Springer Series in Materials Science 264

Amit Bhaduri

Mechanical Properties
and Working of
Metals and Alloys
Springer Series in Materials Science

Volume 264

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Amit Bhaduri

Mechanical Properties
and Working of Metals
and Alloys

123
Amit Bhaduri
Department of Metallurgical and Materials
Engineering
Indian Institute of Technology Kharagpur
Kharagpur, West Bengal
India

ISSN 0933-033X ISSN 2196-2812 (electronic)

Springer Series in Materials Science
ISBN 978-981-10-7208-6 ISBN 978-981-10-7209-3 (eBook)
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This book is dedicated to the memory of my father
LATE ASIM RANJAN BHADURI
Preface

The book has evolved from the author’s lecture notes used for the past several years in the
teaching of two upper-level undergraduate (B.Tech.) and one postgraduate (M.Tech.) courses
in the Department of Metallurgical and Materials Engineering, Indian Institute of Technology
Kharagpur. The book provides a comprehensive account of the basic principles of mechanical
testing and metalworking and can be used as a text for two undergraduate courses taught in the
disciplines of metallurgical engineering, mechanical engineering and production or manu-
facturing engineering. Parts of the book can be used as study material at the undergraduate
level in the branches of civil engineering, aerospace engineering and material science. The
book also contains advanced study material suitable for postgraduate students of metallurgical
engineering.
In addition to the above multifaceted academic applications, a unique feature of the book is
its practical content of direct use to metallurgists and practising engineers in industry. The book
is designed to help them understand and apply the theories of mechanical testing and working
to determine, control and improve the mechanical properties of metals and alloys as well as for
improving production in the metalworking industry by analysing working problems—both the
mechanics of working processes and how the properties of metals interact with the processes.
Mechanical properties of metal play an important role in the processes of metalworking.
Hence, the first part of this book contains a discussion on evaluation of mechanical properties
by testing, relationship among different mechanical properties, factors and variables affecting
mechanical properties, engineering aspects of mechanical properties and their applications in
design, etc. This is continued in the second part of this book that deals with detailed analysis of
various types of metalworking or forming operations to produce useful shapes under the
application of stress arising primarily from mechanical source. The analytical methods in the
text for the treatment of mechanical working processes include slab method of analysis or
free-body equilibrium approach. The slab method is used to estimate the deformation loads for
hot working processes, such as forging and extrusion under conditions of Coulomb’s sliding
friction, sticking friction and mixed sticking–sliding friction, and for cold working processes,
such as drawing of strip, rod or wire, and tube and deep drawing of cup under sliding frictional
condition. Using the slab method, this book provides an exhaustive analysis of Bland and Ford
theory of cold rolling for sliding frictional condition and Sims’ theory of hot rolling for
sticking frictional condition. Elaborate and easy-to-understand mathematical analyses without
skipping any intermediate steps have been incorporated in this book. Not only complete
derivations of mathematical treatments have been considered, but also a comprehensive and
reasonably wide coverage in sufficient depth has also been attempted in this book. High energy
rate forming, which is an unconventional metalworking process, and where chemical, mag-
netic and electrical sources of energy are used, has also been included as the last chapter in this
book. For better understanding of the theory, several solved problems have been included in
each chapter of the book. Similarly, many numerical problems along with multiple choice
questions are given as exercise in each chapter, and answers to the problems and questions
have also been provided.

vii
viii Preface

In addition to the slab method of analysis, this book also contains slip-line field theory, its
application to the static system, such as plane-strain indentation with flat frictionless platens
for cases of various heights of work-piece with respect to the breadth of platen, and its
application to the steady state motion, such as plane-strain frictionless extrusion and strip
drawing. Further, this book includes upper-bound theorem, and upper-bound solutions for
indentation of a semi-infinite slab, for compression, for plane-strain frictionless extrusion and
strip drawing.
The field of mechanical metallurgy may be roughly divided into three modules taught at the
undergraduate level of engineering discipline. These modules are deformation behaviour,
mechanical properties or mechanical testing and mechanical forming or working. Since the
subject matter of this book comprises the last two modules, which are dependent on the first
module, knowledge of deformation behaviour, consisting of elastic stress–strain relations,
plastic deformation including theory of plasticity, dislocation theory and strengthening
mechanisms, is desirable for a better understanding of the contents of this book, though
relevant aspects of deformation behaviour have been briefly included in the first chapter of this
book. However, calculus and engineering mechanics are essential prerequisite subjects for this
book, and thus, the reader must have knowledge of these subjects.
Although the text has been carefully scrutinized, a few errors may still exist in the first
edition of this book. Hence, the author will be happy to receive comments along with sug-
gestions and constructive criticism.
The author acknowledges here that he was inspired by a few lectures on metal rolling
offered by Prof. (Late) R. Roy, Metallurgical Engineering Department, National Institute of
Technology Durgapur. The author is extremely thankful to all of his departmental colleagues,
especially Prof. K. Biswas, Prof. R. Mitra, Prof. S. Biswas, Prof. S. Kar, Prof. T. Laha, Prof.
R. N. Ghosh, Prof. K. K. Ray, Prof. S. K. Pabi, Prof. S. K. Roy, Prof. D. Chakrabarti, Prof.
S. Mandal, Prof. T. K. Bandyopadhyay, Prof. N. Chakraborti, Prof. J. Das, Prof. J. Datta
Majumdar, Prof. G. G. Roy, Prof. M. Roy, Prof. S. Ghosh and Prof. T. K. Kundu, for their
assistance, cooperation and valuable suggestions. The author is really indebted to Prof.
A. Guha, Mechanical Engineering Department, and Prof. S. B. Singh, Metallurgical Engi-
neering Department, IIT Kharagpur, for their helpful comments leading to improvement in the
manuscript. The author is also indebted to his mother, wife, brother, sister, daughter,
son-in-law and grandson for their forbearance, encouragement and constant support during the
preparation of the manuscript. Finally, the author is thankful to the publisher ‘Springer’,
especially its executive editor (applied science and engineering) Ms. Swati Meherishi, its
senior editorial assistant Ms. Aparajita Singh and its editorial assistant Ms. TCA Avni, for
editing the manuscript and giving it the shape of a book. The author is also thankful to
production department of Springer (Scientific Publishing Services), especially its project
manager Sri Nandhini, and its other production administrators (books), such as Ms. Krati
Shrivastava, and Vinoth. S.

Kharagpur, India Amit Bhaduri

Contents

Part I Mechanical Properties of Metals and Alloys

1 Tension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.1 Description of Stress at a Point . . . . . . . . . . . . . . . . . . . . . . 4
1.2 Strain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2.1 True Versus Engineering Strain . . . . . . . . . . . . . . . . . . . . . . 6
1.2.2 Advantages of True Strain Over Engineering Strain . . . . . . . . 6
1.2.3 Poisson’s Ratio and Volume Strain . . . . . . . . . . . . . . . . . . . 7
1.3 Conventional and True Stresses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.3.1 Relationship Between True and Engineering Stresses
During Plastic Deformation. . . . . . . . . . . . . . . . . . . . . . . . . 8
1.4 Elastic Stress–Strain Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.4.1 Three-Dimensional State of Stress . . . . . . . . . . . . . . . . . . . . 9
1.5 Elements of Plastic Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5.1 Relationship Between Principal Normal and Shear
Stresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5.2 Mohr’s Stress Circle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.5.3 Slip . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.5.4 Twinning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.5.5 Strain Hardening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.5.6 Stacking Fault . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
1.5.7 Strengthening Methods. . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
1.5.8 Spherical and Deviator Components of Stress . . . . . . . . . . . . 35
1.5.9 Yielding Criteria for Ductile Metals . . . . . . . . . . . . . . . . . . . 35
1.5.10 Octahedral Shear Stress and Shear Strain . . . . . . . . . . . . . . . 37
1.5.11 Invariants of Stress and Strain . . . . . . . . . . . . . . . . . . . . . . . 38
1.5.12 Levy–Mises Equations for Ideal Plastic Solid . . . . . . . . . . . . 38
1.5.13 Yielding Criteria Under Plane Strain . . . . . . . . . . . . . . . . . . 40
1.6 Types of Tensile Stress–Strain Curve. . . . . . . . . . . . . . . . . . . . . . . . . 41
1.6.1 Type I: Elastic Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . 41
1.6.2 Type II: Elastic–Homogeneous Plastic Behaviour . . . . . . . . . 42
1.6.3 Type III: Elastic–Heterogeneous Plastic Behaviour. . . . . . . . . 51
1.6.4 Type IV: Elastic–Heterogeneous–Homogeneous Plastic
Behaviour. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 52
1.6.5 Type V: Elastic–Heterogeneous–Homogeneous Plastic
Behaviour for Some Crystalline Polymers. . . . . . . . . . . . . . . 54
1.7 Linear Elastic Properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
1.7.1 Modulus of Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
1.7.2 Proportional and Elastic Limit . . . . . . . . . . . . . . . . . . . . . . . 56
1.7.3 Resilience and Modulus of Resilience . . . . . . . . . . . . . . . . . 56

ix
x Contents

1.8 Nonlinear Elastic Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

1.8.1 Secant and Tangent Modulus . . . . . . . . . . . . . . . . . . . . . . . 58
1.8.2 Elastomer or Rubber Elasticity . . . . . . . . . . . . . . . . . . . . . . 58
1.8.3 Elastic Resilience or Resilience . . . . . . . . . . . . . . . . . . . . . . 59
1.9 Inelastic Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
1.9.1 Yield Strength. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
1.9.2 Ultimate and True Tensile Strength . . . . . . . . . . . . . . . . . . . 62
1.9.3 Ductility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
1.9.4 Fracture Strength and True Fracture Strength . . . . . . . . . . . . 68
1.9.5 Toughness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
1.10 Influence of Temperature on Tensile Properties. . . . . . . . . . . . . . . . . . 70
1.10.1 Effect of Temperature on Stress–Strain Curve
of Mild Steel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
1.11 Strain Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
1.11.1 Relation Between Flow Stress and Strain Rate . . . . . . . . . . . 74
1.11.2 Superplasticity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
1.11.3 Effect of Strain Rate on Stress–Strain Curve
of Mild Steel . . . . . . . . . . . . . . . . . . . . . . . ........... 77
1.12 Testing Machine . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........... 78
1.12.1 Influence of Testing Machine on Strain
and Strain Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
1.13 Notch Tensile Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
1.14 Tensile Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
1.15 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

2 Compression. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
2.2 Standard Specimen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
2.3 Elastic Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
2.4 Plastic Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
2.4.1 Stress and Strain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
2.4.2 Strain Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
2.4.3 Brittle Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
2.4.4 Ductile Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
2.5 Bauschinger Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
2.6 Advantages of Compression Over Tension Test . . . . . . . . . . . . . . . . . 105
2.7 Problems in Compression Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
2.7.1 Buckling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
2.7.2 Barreling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
2.8 Compressive Failure of Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
2.9 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

3 Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
3.2 Classification of Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
3.3 Precautions to Avoid Erratic Hardness Measurement . . . . . . . . . . . . . . 121
3.4 Mohs’ Scale of Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
3.5 File Hardness Test. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Contents xi

3.6 Brinell Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124

3.6.1 Principle of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
3.6.2 Derivation for BHN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
3.6.3 Indenters, Loads and Loading Periods . . . . . . . . . . . . . . . . . 126
3.6.4 Method of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
3.6.5 Anomalous Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
3.6.6 Advantages and Disadvantages . . . . . . . . . . . . . . . . . . . . . . 129
3.7 Meyer Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
3.7.1 Meyer’s Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
3.7.2 Load Sensitivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
3.7.3 Influence of P/D2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
3.8 Rockwell Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
3.8.1 Principle of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
3.8.2 Loads. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
3.8.3 Indenters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
3.8.4 Direct-Reading Hardness Dial . . . . . . . . . . . . . . . . . . . . . . . 133
3.8.5 Hardness Scale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
3.8.6 Method of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
3.8.7 Advantages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
3.9 Rockwell Superficial Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
3.9.1 Principle of Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
3.9.2 Superficial Hardness Scale . . . . . . . . . . . . . . . . . . . . . . . . . 139
3.9.3 Merits and Demerits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
3.10 Vickers Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
3.10.1 Indenters and Loads. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
3.10.2 Principle of Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
3.10.3 VHN Versus BHN. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
3.10.4 Operational Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
3.10.5 Minimum Thickness of Test Section . . . . . . . . . . . . . . . . . . 144
3.10.6 Anomalous Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
3.10.7 Advantages and Disadvantages . . . . . . . . . . . . . . . . . . . . . . 144
3.11 Microhardness (Knoop Hardness) . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
3.11.1 Penetrators and Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
3.11.2 Principle of Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
3.11.3 Advantages and Disadvantages . . . . . . . . . . . . . . . . . . . . . . 147
3.12 Monotron Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
3.12.1 Indenters and Hardness Scales. . . . . . . . . . . . . . . . . . . . . . . 148
3.12.2 Principle of Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
3.12.3 Advantages and Disadvantages . . . . . . . . . . . . . . . . . . . . . . 149
3.13 Shore Scleroscope Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
3.13.1 Principle of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
3.13.2 Mass Effect of Test Piece . . . . . . . . . . . . . . . . . . . . . . . . . . 150
3.13.3 Advantages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
3.14 Poldi Impact Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
3.14.1 Principle of Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
3.14.2 Use of Supplied Table to Determine BHN . . . . . . . . . . . . . . 152
3.14.3 Advantages and Disadvantages . . . . . . . . . . . . . . . . . . . . . . 153
3.15 The Herbert Pendulum Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
3.15.1 Time Test. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
3.15.2 Scale Test. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
3.15.3 Time Work-Hardening Test . . . . . . . . . . . . . . . . . . . . . . . . 154
3.15.4 Scale Work-Hardening Test . . . . . . . . . . . . . . . . . . . . . . . . 154
xii Contents

3.16 Nanohardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154

3.16.1 Indenters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
3.16.2 Derivation for Berkovich Hardness . . . . . . . . . . . . . . . . . . . 156
3.16.3 Determination of Contact Depth of Penetration . . . . . . . . . . . 157
3.16.4 Correction for Machine Compliance. . . . . . . . . . . . . . . . . . . 159
3.16.5 Indenter Shape Function . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
3.16.6 Errors Due to Pile-Up . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
3.16.7 Martens Hardness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
3.17 Relationship to Flow Curve and Prediction of Tensile Properties . . . . . . 163
3.18 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

4 Bending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
4.2 Pure Bending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
4.2.1 Bending Stresses and Flexure Formula . . . . . . . . . . . . . . . . . 174
4.2.2 Experimental Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
4.3 Beam Design in Pure Bending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
4.4 Linear Elastic Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
4.4.1 Important Variables Affecting Modulus of Rupture . . . . . . . . 182
4.4.2 Modulus of Elastic Resilience . . . . . . . . . . . . . . . . . . . . . . . 182
4.5 Yielding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
4.5.1 Discontinuous Yielding and Shape Factor . . . . . . . . . . . . . . . 183
4.6 Nonlinear Stress–Strain Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
4.7 Shear Stresses in Elastically Bent Beam . . . . . . . . . . . . . . . . . . . . . . . 186
4.8 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195

5 Torsion—Pure Shear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
5.2 State of Stress and Strain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
5.2.1 Shear Strain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
5.2.2 Relation Between Shear Modulus ‘G’ and Young’s
Modulus ‘E’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....... 202
5.3 Relation Between Shear Strain and Angle of Twist . . . . . . . . ....... 202
5.4 Torsional Stresses in Elastic Range . . . . . . . . . . . . . . . . . . . ....... 203
5.4.1 Relation Between Torque, Shear Modulus
and Angle of Twist . . . . . . . . . . . . . . . . . . . . . . . ....... 204
5.4.2 Computation of Torque in Practical Applications . . . ....... 204
5.4.3 Polar Moment of Inertia, Shear Stress
and Angle of Twist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
5.4.4 Thin-Walled Tube of Arbitrary Cross-Section . . . . . . . . . . . . 207
5.5 Torsional Stresses for Plastic Strains . . . . . . . . . . . . . . . . . . . . . . . . . 208
5.6 Behaviour of Material in Torsion . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
5.6.1 Testing Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
5.6.2 Specimen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
5.7 Elastic Properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
5.7.1 Shear Modulus and Torsional Proportional Limit . . . . . . . . . . 212
5.7.2 Torsional Modulus of Elastic Resilience . . . . . . . . . . . . . . . . 213
5.8 Inelastic Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
5.8.1 Torsional Yield Strength. . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Contents xiii

5.8.2 Ultimate Torsional Shear Strength or Modulus

of Rupture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
5.8.3 Ductility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
5.9 Torsion Test Versus Tension Test . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
5.9.1 Comparison in Terms of State of Stress and Strain . . . . . . . . 218
5.9.2 Comparison of Ductile Behaviour . . . . . . . . . . . . . . . . . . . . 218
5.9.3 Torsional Shear Stress–Strain Diagram from Tensile
Flow Curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
5.10 Failure Under Torsion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
5.11 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225

6 Impact Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

6.1 Dynamic Loading and Brittle Fracture . . . . . . . . . . . . . . . . . . . . . . . . 227
6.1.1 Factors Responsible for Brittle Behaviour . . . . . . . . . . . . . . . 228
6.2 Notched-Bar Impact Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
6.2.1 Single-Blow Pendulum Impact Test . . . . . . . . . . . . . . . . . . . 230
6.3 Calculation of Energy Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
6.3.1 Correction for Energy Losses . . . . . . . . . . . . . . . . . . . . . . . 234
6.4 Impact Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
6.4.1 Transition Temperature Curves . . . . . . . . . . . . . . . . . . . . . . 238
6.4.2 Various Criteria of Transition Temperature . . . . . . . . . . . . . . 239
6.5 Metallurgical Factors Affecting Impact Properties . . . . . . . . . . . . . . . . 240
6.5.1 Embrittlement During Tempering. . . . . . . . . . . . . . . . . . . . . 243
6.6 Instrumented Charpy Impact Test . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
6.7 Additional Large-Scale Fracture Test Methods . . . . . . . . . . . . . . . . . . 248
6.7.1 Explosion-Crack-Starter Test. . . . . . . . . . . . . . . . . . . . . . . . 248
6.7.2 Drop Weight Test (DWT). . . . . . . . . . . . . . . . . . . . . . . . . . 249
6.7.3 Robertson Crack-Arrest Test . . . . . . . . . . . . . . . . . . . . . . . . 250
6.7.4 Dynamic Tear (DT) Test . . . . . . . . . . . . . . . . . . . . . . . . . . 250
6.8 Fracture Analysis Diagram (FAD) . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
6.8.1 Design Philosophy Using FAD . . . . . . . . . . . . . . . . . . . . . . 252
6.9 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255

7 Creep and Stress Rupture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257

7.1 Long-Time Loading at High Temperature. . . . . . . . . . . . . . . . . . . . . . 258
7.2 The Creep Curve. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
7.3 Strain–Time Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
7.4 Creep Rate–Stress–Temperature Relations . . . . . . . . . . . . . . . . . . . . . 265
7.5 Steady-State Creep . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
7.5.1 Effect of Grain Size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
7.5.2 Activation Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
7.6 Creep Deformation Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
7.6.1 Dislocation Creep or Climb–Glide Creep . . . . . . . . . . . . . . . 272
7.6.2 Diffusional Creep . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
7.6.3 Grain-Boundary Sliding . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
7.7 Deformation Mechanism Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
7.8 The Stress-Rupture Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
7.9 Concept of ECT and Elevated-Temperature Fracture . . . . . . . . . . . . . . 281
7.9.1 Wedge-Shaped Cracks and Round or Elliptically
Shaped Cavities. . . . . . . . . . . . . . . . . . . . . . . . ......... 283
xiv Contents

7.10 Presentation of Engineering Creep Data . . . . . . . . . . . . . . . . . . . . . . . 287

7.10.1 Prediction of Creep Strength . . . . . . . . . . . . . . . . . . . . . . . . 288
7.10.2 Prediction of Creep-Rupture Strength . . . . . . . . . . . . . . . . . . 290
7.11 Parameter Methods to Predict Long-Time Properties . . . . . . . . . . . . . . 291
7.11.1 Larson–Miller Parameter . . . . . . . . . . . . . . . . . . . . . . . . . . 293
7.11.2 Orr–Sherby–Dorn Parameter . . . . . . . . . . . . . . . . . . . . . . . . 294
7.11.3 Manson–Haferd Parameter . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.11.4 Goldhoff–Sherby Parameter . . . . . . . . . . . . . . . . . . . . . . . . 296
7.11.5 Limitations of Parameter Methods . . . . . . . . . . . . . . . . . . . . 297
7.12 Stress Relaxation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
7.12.1 Step-Down Creep Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
7.13 Materials for High-Temperature Use . . . . . . . . . . . . . . . . . . . . . . . . . 299
7.13.1 Rules to Develop Creep Resistance . . . . . . . . . . . . . . . . . . . 302
7.14 Creep Under Multiaxial Stresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
7.15 Indentation Creep . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304
7.15.1 Method to Obtain Creep Curve Using Rockwell
Hardness Tester. . . . . . . . . . . . . . . . . . . . . . . .......... 306
7.16 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 308
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 314

8 Fatigue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
8.1 Fatigue Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
8.2 Stress Cycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
8.3 Standard Fatigue Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
8.4 The S–N Diagram and Fatigue Properties . . . . . . . . . . . . . . . . . . . . . . 323
8.4.1 Reason for Existence of Fatigue Limit . . . . . . . . . . . . . . . . . 325
8.5 Statistical Nature of Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
8.6 Fatigue Crack Nucleation and Growth . . . . . . . . . . . . . . . . . . . . . . . . 328
8.6.1 Fatigue Crack Growth Rate. . . . . . . . . . . . . . . . . . . . . . . . . 330
8.7 Effect of Mean Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
8.8 Stress Fluctuation and Cumulative Fatigue Damage . . . . . . . . . . . . . . . 335
8.8.1 Overstressing, Understressing and Coaxing . . . . . . . . . . . . . . 335
8.8.2 Cumulative Fatigue Damage . . . . . . . . . . . . . . . . . . . . . . . . 336
8.9 Stress Concentration Effect. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
8.10 Size Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
8.11 Surface Effects and Surface Treatments . . . . . . . . . . . . . . . . . . . . . . . 342
8.11.1 Surface Roughness and Treatment . . . . . . . . . . . . . . . . . . . . 343
8.11.2 Surface Properties and Treatment. . . . . . . . . . . . . . . . . . . . . 343
8.11.3 Surface Residual Stress and Treatment . . . . . . . . . . . . . . . . . 344
8.11.4 Metallurgical Processes Detrimental to Fatigue . . . . . . . . . . . 346
8.12 Effect of Metallurgical Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
8.13 Frequency of Stress Cycling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
8.14 Temperature Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
8.14.1 Low Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
8.14.2 High Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
8.14.3 Thermal Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
8.15 Chemical Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
8.16 Cyclic Strain-Controlled Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
8.16.1 Low-Cycle Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
8.16.2 Strain–Life Equation and Curve. . . . . . . . . . . . . . . . . . . . . . 356
Contents xv

8.17 Creep–Fatigue Interaction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358

8.18 Increasing Amplitude Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
8.18.1 Step Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
8.18.2 Prot Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
8.19 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370

9 Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374
9.2 Theoretical Cohesive Strength. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
9.3 Inglis Analysis of Stress Concentration Factor . . . . . . . . . . . . . . . . . . 376
9.4 Effects of Notch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378
9.5 Characteristic Features of Fracture Process . . . . . . . . . . . . . . . . . . . . . 382
9.5.1 Energy to Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382
9.5.2 Macroscopic Mode of Fracture . . . . . . . . . . . . . . . . . . . . . . 383
9.5.3 Microscopic Mode of Fracture or Fractography . . . . . . . . . . . 384
9.6 Griffith Theory of Brittle Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
9.6.1 Applicability of Griffith Theory. . . . . . . . . . . . . . . . . . . . . . 390
9.6.2 Modification of Griffith Theory. . . . . . . . . . . . . . . . . . . . . . 391
9.7 Elastic Strain Energy Release Rate . . . . . . . . . . . . . . . . . . . . . . . . . . 392
9.8 Stress Intensity Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394
9.8.1 Different Crack Surface Displacements. . . . . . . . . . . . . . . . . 396
9.8.2 Relationship Between Energy Release Rate and Stress
Intensity Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
9.8.3 Fracture Toughness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
9.9 Plastic Zone at Crack Tip. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
9.9.1 Effective Stress Intensity Factor. . . . . . . . . . . . . . . . . . . . . . 398
9.10 Fracture Toughness: Plane Stress Versus Plane Strain . . . . . . . . . . . . . 399
9.11 Plane-Strain Fracture Toughness ðKIc Þ Testing . . . . . . . . . . . . . . . . . . 400
9.11.1 Specimen Size, Configurations, and Preparation . . . . . . . . . . 401
9.11.2 Test, Interpretation of Result and Calculation of ðKIc Þ . . . . . . 403
9.11.3 Kc from KIc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404
9.12 Design Philosophy with Fracture Toughness . . . . . . . . . . . . . . . . . . . . 405
9.13 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410

Part II Mechanical Working of Metals and Alloys

10 Fundamentals of Mechanical Working. . . . . . . . . . . . . . . . . . . . . . . . . . . . 413

10.1 Classification of Mechanical Forming Processes . . . . . . . . . . . . . . . . . 414
10.1.1 Aims of Mechanical Working . . . . . . . . . . . . . . . . . . . . . . . 414
10.1.2 Different Forming Processes . . . . . . . . . . . . . . . . . . . . . . . . 414
10.2 Temperature and Strain Rate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
10.2.1 Cold-Work-Anneal Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . 417
10.2.2 Temperature Limits for Hot Working . . . . . . . . . . . . . . . . . . 420
10.2.3 Hot Working Versus Cold Working . . . . . . . . . . . . . . . . . . . 421
10.2.4 Warm Working . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422
10.2.5 Temperature Change During Working . . . . . . . . . . . . . . . . . 423
10.2.6 Strain-Rate Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
10.2.7 Choice of Allowable Hot Working Temperature Range . . . . . 426
xvi Contents

10.3 Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427

10.3.1 Coulomb’s Law of Sliding Friction . . . . . . . . . . . . . . . . . . . 428
10.3.2 Shear Friction Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
10.3.3 Measurement of Friction. . . . . . . . . . . . . . . . . . . . . . . . . . . 432
10.3.4 Adverse Effects of Friction . . . . . . . . . . . . . . . . . . . . . . . . . 434
10.3.5 Beneficial Effects of Friction . . . . . . . . . . . . . . . . . . . . . . . 435
10.4 Lubrication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435
10.4.1 Material Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435
10.4.2 Functions and Characteristics of a Lubricant . . . . . . . . . . . . . 436
10.4.3 Lubrication Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
10.5 Mechanics of Working Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439
10.5.1 Slab Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440
10.5.2 Uniform-Deformation Energy Method . . . . . . . . . . . . . . . . . 440
10.5.3 Slip-Line Field Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441
10.5.4 Upper-Bound Technique. . . . . . . . . . . . . . . . . . . . . . . . . . . 451
10.5.5 Finite Element Method. . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
10.6 Deformation-Zone Geometry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
10.7 Anisotropy of Mechanical Properties . . . . . . . . . . . . . . . . . . . . . . . . . 457
10.8 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462

11 Forging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
11.1 Classification of Forging Processes . . . . . . . . . . . . . . . . . . . . . . . . . . 465
11.2 Types of Forging Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
11.3 Forging Equipments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
11.3.1 Drop Forging Hammer . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
11.3.2 Forging Press . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 474
11.4 Open-Die Forging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
11.5 Closed-Die or Impression-Die Forging . . . . . . . . . . . . . . . . . . . . . . . . 477
11.5.1 Flash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
11.5.2 Draft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 482
11.5.3 Radii . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483
11.5.4 Parting Line . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 484
11.5.5 Design Steps. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
11.6 Material Loss During Forging. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
11.7 Plane Strain Forging of Flat Rectangular Plate . . . . . . . . . . . . . . . . . . 488
11.7.1 Coulomb Sliding Friction . . . . . . . . . . . . . . . . . . . . . . . . . . 490
11.7.2 Sliding with Shear Friction Factor and Sticking Friction . . . . . 491
11.7.3 Mixed Sticking–Sliding Friction . . . . . . . . . . . . . . . . . . . . . 492
11.7.4 Selection of Proper Equation for Forging Load . . . . . . . . . . . 495
11.8 Plane Strain Forging of Strip with Inclined Dies . . . . . . . . . . . . . . . . . 495
11.8.1 Strip Thickness at Neutral Plane and Its Location . . . . . . . . . 498
11.9 Forging of Flat Circular Disk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498
11.9.1 Coulomb Sliding Friction . . . . . . . . . . . . . . . . . . . . . . . . . . 500
11.9.2 Sliding with Shear Friction Factor and Sticking Friction . . . . . 501
11.9.3 Mixed Sticking–Sliding Friction . . . . . . . . . . . . . . . . . . . . . 503
11.9.4 Selection of Proper Equation for Forging Load . . . . . . . . . . . 505
11.10 Forging of Circular Disk by Conical Pointed Dies. . . . . . . . . . . . . . . . 505
11.11 Forging Defects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
11.12 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
Contents xvii

12 Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
12.1 Fundamentals of Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522
12.1.1 Terminology of Rolled Product . . . . . . . . . . . . . . . . . . . . . . 523
12.1.2 Different Methods of Rolling . . . . . . . . . . . . . . . . . . . . . . . 523
12.1.3 Quantities Characterizing Deformation . . . . . . . . . . . . . . . . . 523
12.2 Classification of Rolling Mills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
12.2.1 Cluster Mill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
12.2.2 Sendzimir Cold-Rolling Mill . . . . . . . . . . . . . . . . . . . . . . . . 527
12.2.3 Sendzimir Planetary Hot-Rolling Mill . . . . . . . . . . . . . . . . . 528
12.2.4 Pendulum Mill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530
12.2.5 Contact-Bend-Stretch Mill . . . . . . . . . . . . . . . . . . . . . . . . . 531
12.2.6 Universal Mill. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
12.3 Rolling Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
12.3.1 Hot Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
12.3.2 Cold Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533
12.4 Deformation Zone in Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
12.4.1 Angle of Bite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
12.4.2 Neutral Point . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
12.5 Ekelund Expression for No-Slip Angle . . . . . . . . . . . . . . . . . . . . . . . 539
12.6 Forward Slip . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540
12.6.1 Relation with No-Slip Angle. . . . . . . . . . . . . . . . . . . . . . . . 540
12.6.2 Measurement of Forward Slip . . . . . . . . . . . . . . . . . . . . . . . 542
12.6.3 Importance of Forward Slip . . . . . . . . . . . . . . . . . . . . . . . . 542
12.7 Elastic Deformation of Rolls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542
12.7.1 Roll Flattening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542
12.7.2 Roll Deflection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543
12.8 Simplified Assessment of Rolling Load . . . . . . . . . . . . . . . . . . . . . . . 544
12.8.1 Ekelund Equation for Rolling Load . . . . . . . . . . . . . . . . . . . 546
12.9 Theory of Rolling: Derivation of Differential Equation
of Friction Hill . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546
12.10 Bland and Ford Theory of Cold Rolling. . . . . . . . . . . . . . . . . . . . . . . 548
12.10.1 Cold Rolling with no External Tensions . . . . . . . . . . . . . . . . 550
12.10.2 Cold Rolling with Back and Front Tensions . . . . . . . . . . . . . 551
12.10.3 No-Slip Angle in Cold Rolling . . . . . . . . . . . . . . . . . . . . . . 552
12.10.4 Cold-Rolling Load. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
12.10.5 Cold-Rolling Torque . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553
12.10.6 Maximum Allowable Back Tension . . . . . . . . . . . . . . . . . . . 554
12.10.7 Estimation of Friction Coefficient . . . . . . . . . . . . . . . . . . . . 555
12.11 Sims’ Theory of Hot Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
12.11.1 No-Slip Angle in Hot Rolling . . . . . . . . . . . . . . . . . . . . . . . 557
12.11.2 Hot-Rolling Load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
12.11.3 Hot-Rolling Torque . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 560
12.11.4 Limitations of Sims’ Theory . . . . . . . . . . . . . . . . . . . . . . . . 561
12.11.5 Mean Strain Rate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
12.12 Lever Arm Ratio, Roll Torque and Mill Power . . . . . . . . . . . . . . . . . . 561
12.12.1 Estimation of Lever Arm Ratio from Sims’ Theory . . . . . . . . 562
12.12.2 Mill Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
12.13 Minimum Thickness in Rolling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563
12.14 Factors Controlling Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 564
12.15 Gauge Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566
12.16 Defects in Rolled Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 569
xviii Contents

12.17 Roll Pass Design Fundamentals . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571

12.17.1 Types and Shapes of Passes . . . . . . . . . . . . . . . . . . . . . . . . 571
12.17.2 Gap and Taper of Sides in Pass. . . . . . . . . . . . . . . . . . . . . . 573
12.17.3 Pass Arrangement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573
12.17.4 Pass Sequences Used in Rolling of Billets to Rods . . . . . . . . 575
12.17.5 Pass Sequences Used in Rolling of Billets to
Square Bars . . . . . . . . . . . . . . . . . . . . . . . . . . . ........ 577
12.18 Manufacture of Tubes and Pipes . . . . . . . . . . . . . . . . . . . . ........ 578
12.18.1 Production of Seamless Tube and Pipe
by Hot Rolling . . . . . . . . . . . . . . . . . . . . . . . . . ........ 580
12.19 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........ 584
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........ 597

13 Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
13.1.1 Comparison with Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . 600
13.2 Two Basic Methods of Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . 600
13.2.1 Direct Versus Indirect Extrusion . . . . . . . . . . . . . . . . . . . . . 602
13.3 Extrusion Equipments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 602
13.3.1 Extrusion Dies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
13.4 Metal Flow During Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605
13.5 Factors Influencing Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608
13.6 Estimation of Extrusion Load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616
13.6.1 Open-Die, Indirect and Hydrostatic Extrusions . . . . . . . . . . . 616
13.6.2 Direct Extrusion Through Conical Converging Die . . . . . . . . 619
13.6.3 Direct Extrusion Through Square Die. . . . . . . . . . . . . . . . . . 623
13.6.4 Selection of Proper Equation for Ram Load and Stress. . . . . . 625
13.7 Strain Rate in Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 625
13.8 Extrusion Defects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626
13.9 Impact Extrusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
13.10 Hydrostatic Extrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 630
13.10.1 Basic Difference Between Hydrostatic
and Conventional Extrusion . . . . . . . . . . . . . . . . . . . . . . . . 631
13.10.2 Conventional Hydrostatic Extrusion . . . . . . . . . . . . . . . . . . . 631
13.10.3 Differential Pressure Hydrostatic Extrusion . . . . . . . . . . . . . . 632
13.10.4 Advantages of Hydrostatic Extrusion . . . . . . . . . . . . . . . . . . 632
13.10.5 Disadvantages of Hydrostatic Extrusion . . . . . . . . . . . . . . . . 633
13.11 Seamless Tube Production by Extrusion. . . . . . . . . . . . . . . . . . . . . . . 633
13.11.1 Extrusion of Cable Sheathing . . . . . . . . . . . . . . . . . . . . . . . 635
13.12 Application of Slip-Line Field to Steady-State Motion . . . . . . . . . . . . . 636
13.12.1 50% Plane-Strain Frictionless Extrusion . . . . . . . . . . . . . . . . 636
13.12.2 2/3 Plane-Strain Frictionless Extrusion . . . . . . . . . . . . . . . . . 638
13.13 Upper-Bound Solution for Plane-Strain Frictionless Extrusion . . . . . . . . 639
13.14 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 646

14 Drawing: Flat Strip, Round Bar and Tube. . . . . . . . . . . . . . . . . . . . . . . . . 647

14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648
14.2 Strip Drawing Through Wedge-Shaped Dies. . . . . . . . . . . . . . . . . . . . 648
14.2.1 Drawing Stress with Friction. . . . . . . . . . . . . . . . . . . . . . . . 649
14.2.2 Frictionless Ideal Drawing Stress . . . . . . . . . . . . . . . . . . . . . 651
14.2.3 Maximum Reduction of Area in a Single Pass With
and Without Friction . . . . . . . . . . . . . . . . . . . . . . ....... 651
14.2.4 Drawing Stress for Work-Hardening Strip. . . . . . . . ....... 652
Contents xix

14.3 Drawing Stress of Strip Through Cylindrical Dies . . . . . . . . . . . . . . . . 654

14.4 Treatments of Work Metal Prior to Drawing. . . . . . . . . . . . . . . . . . . . 656
14.5 Drawing Equipments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658
14.5.1 Conical Converging Die . . . . . . . . . . . . . . . . . . . . . . . . . . . 659
14.6 Drawing of Rod and Wire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661
14.6.1 Drawing Load and Power with Friction
and Back Tension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 662
14.6.2 Frictionless Ideal Drawing Stress . . . . . . . . . . . . . . . . . . . . . 666
14.6.3 Maximum Reduction of Area in a Single Pass . . . . . . . . . . . 666
14.6.4 Redundant Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . 667
14.6.5 Drawing Stress Versus Die-cone Angle: Optimum Cone
Angle, Dead Zone and Shaving . . . . . . . . . . . . . . . . . . . . . . 668
14.7 Tube Drawing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
14.7.1 Close-Pass Plug Drawing Stress and Load . . . . . . . . . . . . . . 673
14.7.2 Close-Pass Mandrel Drawing Stress . . . . . . . . . . . . . . . . . . . 676
14.7.3 Maximum Reduction of Area in a Single Pass . . . . . . . . . . . 677
14.7.4 Tube Sinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
14.7.5 Equilibrium Condition of Forces Acting
on a Floating Plug . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
14.8 Application of Slip-Line Field to Strip Drawing . . . . . . . . . . . . . . . . . 680
14.9 Upper-Bound Solution for Strip Drawing . . . . . . . . . . . . . . . . . . . . . . 681
14.10 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 691

15 Deep Drawing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 693

15.1 Fundamentals of Deep Drawing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 693
15.1.1 Stresses and Deformation in a Deep-Drawn Cup . . . . . . . . . . 695
15.2 Deep-Drawing Load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 697
15.2.1 Derivation of Mathematical Expression . . . . . . . . . . . . . . . . 698
15.3 Formability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 702
15.3.1 Strain Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 702
15.3.2 Maximum Strain Levels: The Forming Limit Diagram . . . . . . 703
15.4 Deep Drawability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
15.4.1 Plastic Strain Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 704
15.4.2 Drawing Ratio. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
15.5 Effects of Process and Material Variables. . . . . . . . . . . . . . . . . . . . . . 706
15.5.1 Effect of Drawing Ratio . . . . . . . . . . . . . . . . . . . . . . . . . . . 706
15.5.2 Radii of Die and Punch . . . . . . . . . . . . . . . . . . . . . . . . . . . 708
15.5.3 Punch-to-Die Clearance . . . . . . . . . . . . . . . . . . . . . . . . . . . 708
15.5.4 Drawing Speed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 709
15.5.5 Friction and Lubrication . . . . . . . . . . . . . . . . . . . . . . . . . . . 709
15.5.6 Restraint of Metal Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . 710
15.5.7 Material Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
15.6 Evaluation of Formability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
15.6.1 Marciniak Biaxial Stretching Test . . . . . . . . . . . . . . . . . . . . 711
15.6.2 Swift Cup Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 712
15.6.3 Ericksen and Olsen Cup Tests. . . . . . . . . . . . . . . . . . . . . . . 712
15.6.4 Fukui Conical Cup Test . . . . . . . . . . . . . . . . . . . . . . . . . . . 712
15.6.5 Hole Expansion Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 713
15.6.6 Forming Limit Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . 713
xx Contents

15.7 Deep Drawing Defects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 714

15.8 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 716
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 719

16 High-Energy Rate Forming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 721

16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 721
16.2 Fundamentals of HERF Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . 722
16.2.1 Advantages and Limitations . . . . . . . . . . . . . . . . . . . . . . . . 722
16.3 Explosive Forming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 724
16.3.1 Standoff or Unconfined Technique. . . . . . . . . . . . . . . . . . . . 725
16.3.2 Contact or Confined Technique . . . . . . . . . . . . . . . . . . . . . . 727
16.4 Electromagnetic Forming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 728
16.5 Electrohydraulic Forming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 731
16.6 High-Energy Rate Forging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 732
16.7 Other HERF Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 733
16.8 Solved Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 734
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
About the Author

Amit Bhaduri is a faculty member in the Department of

Metallurgical and Materials Engineering, IIT Kharagpur, where
he has taught since 1984, prior to which he was a lecturer at
Regional Engineering College Durgapur (presently, National
Institute of Technology Durgapur). He has earned his B.E. and
M.Tech. in Metallurgical Engineering from University of
Calcutta and IIT Kanpur, respectively. He was awarded the
‘Indranil Award’ from Mining, Geological and Metallurgical
Institute of India as well as other awards and prizes for his
subject knowledge. He has over 34 years of teaching experi-
ence, over the course of which he has taught several subjects.
His special focus has been on teaching ‘Mechanical Testing of
Materials’ and ‘Mechanical Working of Materials’, which he
has taught for about 20 years and 10 years, respectively, at IIT
Kharagpur.

xxi
 Part I
Mechanical Properties of Metals and Alloys
 Tension
1

Chapter Objectives
• Engineering and true strain and stress, and their relationship, Poisson’s ratio and
volume strain.
• Generalized Hooke’s law for a triaxial state of stress.
• Relationship between principal normal and shear stresses and explanation with
Mohr’s stress circle.
• Mechanisms of plastic deformation of crystalline solids: slip and twinning. A brief
introduction to dislocations.
• Reasons of strain hardening, relationship between yield strength and grain size, and
effect of stacking fault energy on the extent of strain hardening and twinning.
• Various strengthening methods.
• Yielding criteria, invariant functions of stress and strain, and flow rules.
• Discussion of various types of stress–strain curve in tension.
• Empirical relationship for flow curve, strain-hardening coefficient, tensile instability,
stress field at the neck.
• Different elastic (linear and nonlinear) and inelastic tensile properties, geometry of
tensile specimen and ductility measurement.
• Influence of temperature, strain rate and testing machine on tensile properties.
• Notch tensile test and tensile fracture.
• Problems and solutions.

tensile loading) or repulsive force (as in case of compressive

1.1 Introduction
The deformation of a solid may be constituted of change in
size or volume, called dilation, or change in shape, known as
distortion. Hence, mechanical deformation can be defined as
a change in the size or shape of an object due to an applied
force, which may be tensile or pulling, compressive (push-
ing), shear, bending or torsion (twisting). When deformation
occurs, the atoms are displaced from their equilibrium
interatomic spacing. This atomic displacement causes to
develop internal interatomic attractive force (as in case of
loading) that opposes the applied force. If the applied force
is not too large, the interatomic force may be sufficient to
completely resist the applied force, allowing the object to
return immediately to its original state on complete release
of the applied load. This type of instantaneous self-reversing
deformation is called recoverable or elastic deformation,
which involves stretching or squeezing of the bonds, but the
atoms do not slip past each other. However, recoverable
deformation may also be time dependent and is known as
anelastic deformation. A larger applied force may lead to a
permanent set or plastic deformation of the material or even

© Springer Nature Singapore Pte Ltd. 2018 3

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_1
4 1
to its structural failure. Plastic deformation involves the
breaking of a limited number of atomic bonds by some of the
atoms or molecules in the material and the movement of
these atoms or molecules from their original positions to new
equilibrium sites. This atomic movement in the material
results in an extension under tension or reduction under
compression, which will be more than that produced by
displacement of atoms due to elastic stretching or squeezing
of the bonds. These atoms or molecules in their new posi-
tions will form new bonds, which will not allow the atoms or
molecules to return to their original states when the applied
load is completely removed. Thus on complete release of
applied load, the deformation becomes inelastic or irrecov-
erable or irreversible, which is called permanent or plastic
deformation. Permanent plastic deformation discussed in this
chapter is a function of load and not a function of time.
Time-dependent permanent deformation called creep will be
discussed in Chap. 7. In general, if a material exhibits the
ability to undergo plastic deformation under load it is duc-
tile, otherwise it is brittle. In a ductile material, atomic or
molecular bond is reformed easily, whereas it cannot
be reformed easily in a brittle material. A completely brit-
tle material like glass will fracture almost at the end of
elastic range, whereas usually all brittle metals, e.g. white
cast iron, show some slight amount of plasticity prior to their
fracture.
The static tensile test performed under uniaxially applied
load is the most extensively used experimental test method
which characterizes many important mechanical properties
of materials. From this test, one can know the material’s
elastic properties such as elastic limit, proportional limit,
modulus of elasticity and modulus of resilience in tension.
For engineering purposes, most commonly used inelastic
properties such as yield strength, tensile strength, breaking
or fracture strength, ductility and toughness can also be
measured from this test record. Just like chemical compo-
sition of a metal or an alloy, the tensile strength of a material
is used to identify it. As this test provides so much infor-
mation, the importance of this test in research as well as in
industry may easily be understood.
1.1.1 Description of Stress at a Point
Stress is defined as the applied load or force per unit area.
Often, these stresses are inclined at some arbitrary angles to
the areas over which they act. In such cases, to describe
stresses conveniently, each of those stresses is resolved into
two components, a normal stress r, perpendicular to the area
of action, and a shear stress or shearing stress s lying on the
plane of action. For example, if a force P applied on a plane
of area A; makes an angle h with the normal to this plane,
then the normal stress is given by
Tension
P
r¼ cos h ð1:1Þ
A
And the shear stress lying on this plane will be
P
s¼ sin h ð1:2Þ
A
Since the shear stresses are generally inclined at arbitrary
angles to the coordinate axes lying on the plane of action,
each shear stress may be further resolved into two compo-
nents parallel to the directions of those coordinate axes. In
the above example if the shear stress is inclined at an angle
of / with the y-axis, then it will make an angle of ðp=2Þ $ /
with the x-axis, where both axes are lying on the plane of the
area A: Hence, the shear stress in the x direction is
P
s¼ sin h sin / ð1:3aÞ
A
And in the y direction is
P
s¼ sin h cos / ð1:3bÞ
A
Therefore, in general one normal stress and two shear
stresses may act on a given plane.
To describe the stress at a point, it is convenient to
(i) construct an elemental cube around it and (ii) describe the
stresses on its faces, as shown in Fig. 1.1a. It appears from
Fig. 1.1a that nine quantities rx ; ry ; rz ; sxy ; syx ; syz ; szy ; szx ;
sxz ; are required to define the state of stress at a point. The
subscript of each normal stress indicates the direction in
which it acts. Obviously, the normal stress must act on the
plane normal to this direction. For example, rx is the normal
stress acting in the direction of the x-axis, i.e. acting on the
plane normal to the x-axis. By convention, if the value of
normal stress is positive it indicates tension (pulling), while
negative value of normal stress denotes compression
(pushing). For each shear stress, the first and second sub-
scripts identify, respectively, the plane and the direction in
which the shear stress acts. As any plane is designated by its
normal, so the first subscript of each shear stress also refers
to this normal. For example, sxy is the shear stress on the
plane normal to the x-axis acting in the direction of the y-axis
and syx is the shear stress lying on the plane normal to the y-
axis acting in the direction of the x-axis. If a shear stress
directs in the positive or negative direction, respectively, on
the positive or negative face of a unit cube, it is positive, but
if a shear stress directs in the positive direction of a negative
face of a unit cube and vice versa, it is negative. Disre-
garding the type of normal stresses that are present, the shear
stresses shown in Fig. 1.1b(i) are all positive and those
shown in Fig. 1.1b(ii) are all negative shear stresses.
For simplification, the areas of the faces of the unit cube
are assumed to be small enough so that there are negligible
1.1 Introduction 5

(a) z 1.2 Strain

σz
Change in dimension of the body is observed in all solid
materials when they are deformation with externally applied
τzx τzy axial loads. The ratio of change in length to the original
length is called linear or normal strain or simply, strain, and
τyz ∆z this ratio, i.e., strain, is a dimensionless quantity. Strain
τyx
τxz measured during elastic deformation is known as elastic or
recoverable strain and that during plastic deformation is
σy σy
permanent or plastic strain.
τxy τyx To achieve uniform tensile deformation of a given
τyz σx material, original length of the specimen is fixed by putting
y
O two gage marks on its surface in its undeformed condition.
∆x The distance between these marks is the original gage
length, say L0. The fixation of gage length depends on the
∆y
original cross-sectional area of the specimen, which will be
x
discussed later. If the specimen is loaded uniaxially in ten-
sion, the original gage length will increase by a certain
(b) +y +y amount, say DL; called the extension or deformation, which
will be accompanied by a decrease in cross-sectional area of
–x –x
the specimen to maintain the constancy in volume during
+x +x
plastic deformation, to be discussed subsequently. The dis-
tance between the two gage marks after tensile deformation
–y –y is measured, and let this gage length at the moment of
(b)(i) (b)(ii) measurement be L: Conventional strain or engineering
strain, denoted by e; is the linear strain referred to the
Fig. 1.1 a Description of stresses acting on faces of an elemental unit original gage length; i.e., it is the ratio of change in the gage
cube. b Figure showing sign convention for shear stresses: b(i) Positive
shear stresses. b(ii) Negative shear stresses length to the original gage length.
Engineering strain or conventional strain,
changes in the stresses over the faces. By taking the sum-
DL L $ L0
mation of the moments of the forces about the z–axis, it has e¼ ¼ ð1:5Þ
L0 L0
been shown below that sxy ¼ syx :
! " ! " This definition of strain does not give a true picture about
sxy DyDz Dx ¼ syx DxDz Dy the deformation behaviour of the material because it is based
) sxy ¼ syx ð1:4aÞ on original constant dimension, L0 ; which changes contin-
uously during tensile deformation. To remove this difficulty,
Similarly, it can be shown that Ludwik (1909) first proposed the definition of true strain or
syz ¼ szy ð1:4bÞ natural strain, which will be denoted by e: It is defined as
the summation of change in length at any instant divided by
szx ¼ sxz ð1:4cÞ the instantaneous gage length. This means true strain or
natural strain,
Thus, the state of stress at a point is completely described
by six components—three normal stresses, rx ; ry ; rz , and X L1 $ L0 L2 $ L1 L3 $ L2 L4 $ L3
e¼ þ þ þ þ &&&
three shear stresses, sxy ; syz ; szx : L0 L1 L2 L3
Similarly, the state of strain at a point is completely ð1:6Þ
described by six components—three linear or normal strains,
ex ; ey ; ez , and three shear strains, cxy ; cyz ; czx : Linear or If the increment of true strain, de; is caused by an increase
in length, dL; based on the instantaneous gage length L; i.e.,
normal strain or, simply, strain is discussed in this chapter,
and shear strain has been defined and described in Chap. 5. if de ¼ dL ; then
L
6 1 Tension

True strain or natural strain;

+2 Engineering strain
Ze ZL
dL L ð1:7Þ
e¼ de ¼ ¼ ln

Tension
L L0 True strain
+1
0 L0

Therefore, true strain is the natural logarithm of the ratio

Strain
of the gage length at the moment of observation to the 0
1 2 3 4 L
original gage length.
L0
Similar to true strain, the total engineering strain e can be

Compression
–1
obtained from an infinitesimal increment by integration, as
follows:
Ze ZL ZL –2
dL 1 L $ L0
e¼ de ¼ ¼ dL ¼ ð1:8Þ
L0 L0 L0
0 L0 L0

Strain is a dimensionless quantity, since both numerator
and denominator of this parameter are expressed in units of
length.
1.2.1 True Versus Engineering Strain
Fig. 1.2 Comparison of engineering and true strain as a function of
ratio of instantaneous to original gage length
for very small values of L=L0 ; which is generally in the
range of elastic deformation, the values of e and e are nearly
equal, as shown in Table 1.1.

Assuming a homogeneous distribution of strain along the

gage length of the tensile specimen, the relationship between 1.2.2 Advantages of True Strain Over
true strain, e; and conventional linear strain, e; is shown as Engineering Strain
follows:
From (1.5), The use of true strain has some advantages over engineering
strain. One advantage is that at any value of L=L0 in tension
L $ L0 L L and reciprocal value of that in compression, the absolute
e¼ ¼ $1 or, ¼ 1þe ð1:9Þ
L0 L0 L0 value of true strain is always same, whereas the absolute
From (1.7) and (1.9), value of engineering strain is always more in tension than in
compression. Therefore, equivalence is obtained for tensile
L and compressive deformation if true strain is used. This is
e ¼ ln ¼ lnð1 þ eÞ ð1:10Þ
L0 illustrated in Table 1.2.
Another advantage of true strain is that the total true
Strain is plotted against different values of instantaneous
strain calculated from initial and final length of a specimen is
to original length ratio, L=L0 ; as shown in Fig. 1.2, which
equal to the sum of true strains for every small length
shows a comparison of true and engineering strain. From
increment from initial to final value. This means the total
Fig. 1.2, it can be seen that as the values of L=L0 increase the
strain is:
engineering strain, e; becomes always greater than the true
strain, e; for uniform tensile deformation and the difference eL0 $Ln ¼ eL0 $L1 þ eL1 $L2 þ eL2 $L3 þ eL3 $L4 þ & & & ð1:11Þ
between e and e increases with L=L0 : Similarly, for uniform
compressive deformation, when the value of L=L0 decreases But, this is not the case with the engineering strain; i.e.,
below 1, e is always less than e: If the length of a specimen the total engineering strain is:
could be compressed to zero, i.e., at L=L0 ¼ 0; e ¼ $1;
eL0 $Ln 6¼ eL0 $L1 þ eL1 $L2 þ eL2 $L3 þ eL3 $L4 þ & & & ð1:12Þ
whereas e is infinite which is much more logical. However,

Table 1.1 Comparison of true Nature of deformation L=L0 e ¼ lnðL=L0 Þ e ¼ ðL=L0 Þ $ 1

strain, e; and engineering strain, e;
for values of L=L0 close to 1 Tension 1.01 0.0099 0.01
Compressiona 0.99 −0.01005 −0.01
a
Strain value with negative sign indicates compressive deformation
1.2 Strain 7

Table 1.2 Comparison of true Nature of deformation L=L0 e ¼ lnðL=L0 Þ e ¼ ðL=L0 Þ $ 1

strain, e; and engineering strain, e;
for equivalent tensile and Tension 2 ln 2 1
compressive deformation 3 ln 3 2
4 ln 4 3
Compression 1=2 $ ln 2 $ 1=2
1=3 $ ln 3 $ 1=3
1=4 $ ln 4 $ 1=4

The following example will help to understand the above: denoted by the symbol, m: If ex is longitudinal strain along the
Let; L0 ¼ 10 cm, L1 ¼ 11 cm, L2 ¼ 12:1 cm, L3 ¼ loading axis x and the lateral strains in other two transverse
13:31 cm and L4 ¼ 14:641 cm; directions y and z are, respectively, ey and ez ; then
Therefore,
ey ¼ ez ¼ $m ex ð1:13Þ
eL0 $L1 þ eL1 $L2 þ eL2 $L3 þ eL3 $L4
Only the absolute value of v is used in calculations.
11 12:1 13:31 14:641
¼ ln þ ln þ ln þ ln Poisson’s ratio ðmÞ is a dimensionless quantity, which usu-
10 11 12:1 13:31 ally varies from 1=4 to less than 1=2 during elastic defor-
which proves (1.11). mation of nonporous solids. For a perfectly isotropic elastic
Again, material, Poisson’s ratio m is 1=4; but for most materials the
values of m are close to 1=3 during elastic deformation. For
eL0 $L1 þ eL1 $L2 þ eL2 $L3 þ eL3 $L4 an ideal plastic material or during plastic deformation of any
1 1:1 1:21 1:331 nonporous solid, the value of m is considered to be 1=2:
¼ þ þ þ ¼ 0:4 The volume strain is the change in volume per unit vol-
10 11 12:1 13:31
ume. Consider an element of initial volume, V0 ; which is
Whereas total conventional strain is
subjected to tensile loading along x-axis. Assume that, initial
4:641 volume, V0 ¼ L0 w0 h0 ; where L0 is the initial length of the
eL0 $L4 ¼ ¼ 0:4641 specimen along x-axis, i.e. along longitudinal axis, and the
10
original lateral dimensions along y and z-axes, i.e. along
and so, (1.12) is justified. transverse axes are, respectively, w0 and h0 : After loading at
The use of true strain offers another additional advantage any instant, the length, L; in longitudinal direction and the
when considering the constant volume deformation process respective lateral dimensions, w and h; are obtained with the
in which ex þ ey þ ez ¼ 0; [see (1.21)] In contrast, a less help of (1.5), as shown below:
! "
convenient relationship ð1 þ ex Þ 1 þ ey ð1 þ ez Þ ¼ 1; [see ! "
(1.19)] is found for the case of engineering strain. These L ¼ L0 ð1 þ ex Þ; w ¼ w0 1 þ ey and h ¼ h0 ð1 þ ez Þ:
above relationships have been developed in the next
The new volume, V; is then given by V ¼ L w h:
Sect. 1.2.3.
! "
) V ¼ L0 w0 h0 ð1 !þ ex Þ 1" þ ey ð1 þ ez Þ
1.2.3 Poisson’s Ratio and Volume Strain ¼ V0 ð 1 þ e x Þ 1 þ e y ð 1 þ e z Þ ð1:14Þ

Hence, the volume strain, ∆, is given by

If a body is subjected to a tensile or compressive load in a
particular direction, then not only strain takes place in the DV V $ V0
D¼ ¼ ð1:15Þ
direction of loading, known as longitudinal strain, but also V0 V0
strains, known as lateral strains, are observed in directions
Putting the value of V from (1.14), in (1.15), we get
perpendicular to the direction of loading. Extension along the
axis of loading causes lateral contraction, whereas compres- # ! " $
V0 ð1 þ ex Þ 1 þ ey ð1 þ ez Þ $ 1
sion along the axis of loading will cause lateral expansion. D¼
The strains in the lateral directions have been found by ! "V0
¼ ð1 þ ex Þ 1 þ ey ð1 þ ez Þ $ 1 ð1:16Þ
experience to be a constant fraction of the longitudinal strain.
The ratio of lateral strain to longitudinal strain under condi- From (1.13), as 1 þ ey ¼ 1 þ ez ¼ 1 $ mex ; so (1.16) can
tions of uniaxial loading is called ‘Poisson’s ratio’, usually be written as
8 1 Tension

h i
D ¼ ð1 þ ex Þð1 $ mex Þ2 $ 1 1.3 Conventional and True Stresses
# ! " $
¼ 1 þ ex ð1 $ 2mÞ þ e2x m2 $ 2m þ m2 e3x $ 1 ð1:17Þ The ratio of applied load at any instant to average original
If ex is small, say 0.01 or less as in elastic deformation, cross-sectional area along the gage length of a specimen is
e2x and e3x can be neglected in comparison with ex ; then called conventional stress or engineering stress, which will
(1.17) takes the following form: be denoted by the symbol S: If the applied load is P and the
original cross-sectional area is A0 ; then
DV
D¼ ¼ ex ð1 $ 2mÞ ð1:18Þ P
V0 Conventional stress or engineering stress; S ¼ ð1:24Þ
A0
Hence, volume strain is always positive as long as
Natural stress or true stress is defined as the ratio of
m \ 0:5: During elastic deformation, the value of m is always
applied load at any instant to the minimum cross-sectional
less than 1=2 and therefore, (1.18) indicates that an increase
area of a specimen along the gage length at that same instant.
in volume or dilation accompanies elastic extension. During
The symbol r; will be used for the true or natural stress. If
plastic deformation, considering m ¼ 0:5 in (1.18), volume
A is the instantaneous cross-sectional area over which the
strain comes out to be zero; i.e., no volume change will
load P acts, then
occur during plastic deformation.
It has been observed that any nonporous solid after large P
plastic strain shows the density change less than 0.1%. As Natural stress or true stress; r ¼ ð1:25Þ
A
the mass of solid remains same, for engineering purpose it
can be considered that the volume of a nonporous solid During elastic deformation where the difference between
remains constant during plastic deformation. With this the original and the instantaneous cross-sectional area is
engineering approximation, the value of m during plastic insignificant, it is not necessary to make the above distinc-
deformation can be derived from (1.16) as follows: tion regarding the stress. But during plastic deformation, the
Substituting D ¼ DV=V0 ¼ 0 into (1.16), we get instantaneous cross-sectional area, A, differs remarkably
from the original cross-sectional area, A0 : With the progress
! "
ð1 þ ex Þ 1 þ ey ð1 þ ez Þ ¼ 1 ð1:19Þ of the tension or compression test in the plastic region, the
value of A will, respectively, show gradual decrease or
Taking natural logarithm to both the sides of equality sign increase from the constant value of A0 : So, it is important to
in (1.19), distinguish between the above two definitions of stress
! " during plastic deformation.
lnð1 þ ex Þ þ ln 1 þ ey þ lnð1 þ ez Þ ¼ ln 1 ¼ 0 ð1:20Þ
! "
From (1.10), ex ¼ lnð1 þ ex Þ; ey ¼ ln 1 þ ey ; ez ¼ lnð1 þ ez Þ;
and substituting them into (1.20), we obtain 1.3.1 Relationship Between True
and Engineering Stresses During Plastic
ex þ ey þ ez ¼ 0 ð1:21Þ Deformation
Equation (1.13) can be written in terms of true strains as
Assuming both constancy in volume and a homogeneous
follows:
distribution of strain along the gage length of a tensile
ey ¼ ez ¼ $m ex ð1:22Þ specimen, the following relationship between engineering
and true stress has been derived, which can only be used
From (1.21) and (1.22), we get during uniform plastic deformation.
From the constancy of volume, V; during plastic defor-
ex $ 2mex ¼ ex ð1 $ 2 mÞ ¼ 0 ð1:23Þ
mation as mentioned in Sect. 1.2.3, one can write,
As ex 6¼ 0; rather ex is a large finite quantity for plastic
A0 L
deformation, so in (1.23), ð1 $ 2 mÞ ¼ 0 : Therefore, V ¼ A0 L0 ¼ A L; or, ¼ ð1:26Þ
A L0
m ¼ 0:5; for plastic deformation.
1.3 Conventional and True Stresses
where A0 and A are, respectively, initial and instantaneous
cross-sectional areas and L0 and L represent, respectively,
initial and instantaneous gage length. From (1.25) and (1.26),
P P A0 P L
True stress; r ¼ ¼ ¼ ð1:27Þ
A A0 A A 0 L0
From (1.9) since L=L0 ¼ 1 þ e; and from (1.24) since
P=A0 ¼ S; hence we get from (1.27):
r ¼ Sð 1 þ e Þ ð1:28Þ
From (1.10), since 1 þ e ¼ expðeÞ;
) r ¼ S expðeÞ ð1:29Þ
1.4 Elastic Stress–Strain Relations
In general, the applied load P in the elastic range is found to
be proportional to the elastic deformation DLe ; which means
P ¼ MDLe ð1:30Þ
where M ¼ proportionality factor expressing the body
stiffness, often referred to as the spring constant. Since the
conventional or engineering stress S / P and the conven-
tional or engineering strain e / DL; (1.30) can be written as
S ¼ Ee ð1:31aÞ
where E ¼ proportionality constant, known as the ‘Young’s
modulus’ or the ‘modulus of elasticity’, whose dimension is
% strain along any principal axis will be the summation of the
the same as that of the stress, i.e. N m2 or Pa; because the
strain is a dimensionless quantity. The magnitude of ‘E’ is
considered to be the same in both tension and compression.
During elastic deformation, the values of engineering
strain, e, and true strain, e, are nearly equal as shown in
Table 1.1, i.e. the engineering strain, e ' the true strain, e:
Since the difference between the original and the instanta-
neous cross-sectional area is insignificant, i.e. A0 ' A in the
range of elastic deformation, so the engineering stress, S '
the true stress, r: Hence, (1.31a) may also be expressed as
r ¼ Ee ð1:31bÞ
Equations (1.31a) and (1.31b) are called the ‘Hooke’s
law’, which describes that stress is proportional to strain in
the linear elastic region of the stress–strain curve.
1.4.1 Three-Dimensional State of Stress
The normal maximum stress acting on a principal plane is
called the principal stress. A principal plane is a plane on
9
which no shear stress act; i.e., the shear stress is zero and
only normal stress act. The direction perpendicular to the
principal plane is called the principal direction along which
the principal stress acts. The three principal directions are
often designated by the orthogonal axes ‘1’, ‘2’ and ‘3’. As
any plane is designated by its normal, so the principal planes
are also represented by their corresponding principal axes. In
three-dimensional state of stress, all of the three principal
stresses acting at a point are generally unequal. This is called
a triaxial state of stress. The state of stress is known as
cylindrical, if two of the three principal stresses are equal,
and is said to be hydrostatic, or spherical, if all three prin-
cipal stresses are equal.
The generalized three-dimensional Hooke’s law in terms
of true stress, r; and true strain, e; is narrated below, but
similar equations will also hold good for the engineering
stress, S; and engineering strain, e;—the only requirement is
to put ‘S’ in place of ‘r’ and ‘e’ in place of ‘e’, in the
following equations. Let r1 ; r2 and r3 are the respective
principal true elastic stresses acting along the three mutually
perpendicular principal axes 1, 2 and 3. Similarly, the
principal true elastic strain along the three orthogonal prin-
cipal strain axes 1, 2 and 3 are, respectively, represented by
e1 ; e2 and e3 : Principal strain axes are those coordinate axes
along which there are no shear strains. An element oriented
along one of the principal strain axes will undergo pure
extension or contraction without any rotation or shear strain.
For an isotropic body, the directions of principal strain
coincide with those of principal stress. Under the action of
the triaxial state of stresses on a body, the total true elastic
normal strain occurring due to the principal stress acting
along that axis and the transverse strains resulting from the
Poisson’s effect of the principal stresses acting along the
other two axes. With the help of (1.31b) and (1.22), the
elastic stress–strain relations for a triaxial state of stress can
be developed as shown in Table 1.3.
Now, due to application of principal elastic stresses along
the three orthogonal principal directions, the total principal
strain produced in each of the principal directions of ‘1’, ‘2’
and ‘3’ is obtained by adding the respective strain compo-
nents in each column of Table 1.3 and expressed by the
following equations:
1
e1 ¼ ½r1 $ mðr2 þ r3 Þ) ð1:32aÞ
E
1
e2 ¼ ½r2 $ mðr3 þ r1 Þ) ð1:32bÞ
E
1
e3 ¼ ½r3 $ mðr1 þ r2 Þ) ð1:32cÞ
E
10 1 Tension

Table 1.3 Elastic stress–strain relations

Principal Principal strain in principal direction Principal strain in principal direction Principal strain in principal direction
stress ‘1’ ‘2’ ‘3’
r1 Normal strain, Transverse strain, Transverse strain,
e1 ¼ rE1 e2 ¼ $m rE1 e3 ¼ $m rE1
r2 Transverse strain, Normal strain, Transverse strain,
e1 ¼ $m rE2 e2 ¼ rE2 e3 ¼ $m rE2
r3 Transverse strain, Transverse strain, Normal strain,
e1 ¼ $m rE3 e2 ¼ $m rE3 e3 ¼ rE3

The principal elastic stress can be expressed in terms of comparison with the other two dimensions. For example, if a
principal elastic strains by solving the above (1.32) as follows: thin plate is loaded in the plane of the plate, there is no stress
By adding the (1.32a), (1.32b) and (1.32c), we get normal to a free surface. If we assume r3 ¼ 0; then (1.32a)
reduces to as follows:
1 2m
e1 þ e2 þ e3 ¼ ðr1 þ r2 þ r3 Þ $ ðr1 þ r2 þ r3 Þ
& E ' E 1
1 $ 2m e1 ¼ ½ r1 $ m r 2 ) ð1:35aÞ
¼ ðr1 þ r2 þ r3 Þ E
E
& ' 1
E e2 ¼ ½ r2 $ m r 1 ) ð1:35bÞ
Or, r1 þ r2 þ r3 ¼ ðe1 þ e2 þ e3 Þ ð1:33aÞ E
1 $ 2m

From (1.32a), m ð r1 þ r 2 Þ
e3 ¼ $ ð1:35cÞ
E
1
e1 ¼ ½r1 þ mr1 $ m r1 $ mðr2 þ r3 Þ) It is to be noted that if r1 6¼ $r2 ; the strain e3 along the
E
& ' ð1:33bÞ principal strain axes ‘3’ is not zero even when the stress
1þm m
¼ r1 $ ðr1 þ r2 þ r3 Þ along that axis, r3 ¼ 0:
E E
By adding (1.35a) and (1.35b) and subtracting (1.35b)
With (1.33a) and (1.33b), from (1.35a), we get, respectively, the following (1.36a) and
& ' (1.36b).
1þm ( m )
e1 ¼ r1 $ ðe1 þ e2 þ e3 Þ & '
E 1 $ 2m 1$m
e1 þ e 2 ¼ ðr1 þ r2 Þ;
& ' * + E
& ' ð1:36aÞ
E mE E
) r1 ¼ e1 þ ðe1 þ e2 þ e3 Þ Or, r1 þ r2 ¼ ðe1 þ e2 Þ
1þm ð1 þ mÞð1 $ 2 mÞ 1$m
ð1:34aÞ &'
1þm
Similarly for other two principal axes, e1 $ e2 ¼ ðr1 $ r2 Þ;
E
& ' * + & ' ð1:36bÞ
E mE E
r2 ¼ e2 þ ðe1 þ e2 þ e3 Þ Or, r1 $ r2 ¼ ðe1 $ e2 Þ
1þm ð1 þ mÞð1 $ 2mÞ 1þm
ð1:34bÞ Solving (1.36a) and (1.36b), the principal stresses
r1 and r2 for a biaxial state of plane stress is obtained, as
And
shown in the following (1.37a) and (1.37b).
& ' * +
E mE * + & '
r3 ¼ e3 þ ðe1 þ e2 þ e3 Þ 2ðe1 þ me2 Þ E
1þm ð 1 þ mÞ ð 1 $ 2 mÞ 2r1 ¼ E ; or, r1 ¼ ðe1 þ m e2 Þ
1 $ m2 1 $ m2
ð1:34cÞ
ð1:37aÞ
Two-dimensional state of stress is called plane stress * + & '
condition, in which the stress is zero in one of the primary 2ð e 2 þ m e 1 Þ E
2r2 ¼ E ; or, r2 ¼ ðe2 þ m e1 Þ
directions. This condition is often approached in practice 1 $ m2 1 $ m2
when one of the dimensions of the object is much smaller in ð1:37bÞ
1.4 Elastic Stress–Strain Relations 11

Very often in experimental stress analysis, the principal
strains e1 and e2 are measured directly by strain gages and
then the corresponding principal stresses r1 and r2 can be
calculated from (1.37).
If the strain is zero in one of the primary directions, the
situation is called plane strain condition. It is found typically
when one of the dimensions of the object is much larger than
the other two dimensions as in a long rod or if the object is
physically restrained to deform in one direction. If we
assume principal strain in direction ‘3’ is zero, i.e. e3 ¼ 0; it
can be written from (1.32c) as follows:
Stress in the principal direction ‘3’; r3 ¼ mðr1 þ r2 Þ
ð1:38Þ
Therefore, although the strain in a direction is zero, a
restraining stress is present in that direction. Substituting the
value of stress from (1.38) into (1.32), we get the following
equations for strain in terms of stresses under plane strain
condition.
1 given by
e1 ¼ ½r1 $ mfr2 þ mðr1 þ r2 Þg)
E ð1:39aÞ
1 #! " $
¼ 1 $ m2 r1 $ mð1 þ mÞr2
E A1 =cos h
P1 =A1 ; r2 ¼ P2 =A2 ; and r3 ¼ P3 =A3 ; although for a cube
A1 ¼ A2 ¼ A3 : An arbitrary plane ‘aa1b1b’ that is normal to
the principal plane ‘3’ denoted by ‘OABC’ or ‘GDEF’, but
inclined to the principal axes ‘1’ and ‘2’ is shown by dotted
lines in Fig. 1.3 for subsequent analysis. Figure 1.3 shows
that the plane ‘aa1b1b’ is inclined to the principal plane ‘1’,
i.e. plane ‘ABED’ or ‘OCFG’ at an angle of h:
Let us first consider a plan view of the cube of Fig. 1.3,
which is shown in Fig. 1.4. In Fig. 1.4, the angle of incli-
nation of ‘ab’ or ‘a1b1’, which is the trace of the plane
‘aa1b1b’, is indicated by an angle h between the normal ‘N’
to ‘ab’ or ‘a1b1’ and the principal axis ‘1’.
On the oblique plane ‘aa1b1b’, i.e. on ‘ab’ or ‘a1b1’ in
Fig. 1.4, normal stress r and shear stress s will act as a result
of the applied principal stresses r1 and r2 : Since the area
‘A1’ of plane ‘ABED’ or ‘OCFG’ that is normal to the
principal axes ‘1’, is inclined to the area of the plane
‘aa1b1b’ by the angle h; the stress, say rab 1 ; acting on this
oblique plane ‘aa1b1b’, i.e. on ‘ab’ or ‘a1b1’ along the
principal axis ‘1’, corresponding to the principal stress r1 ; is
P1
rab
1 ¼ ¼ r1 cos h ð1:40aÞ

1 Similarly, as the area ‘A2’ of plane ‘BCFE’ or ‘AOGD’

e2 ¼ ½r2 $ mfmðr1 þ r2 Þ þ r1 g) that is normal to the principal axes ‘2’, is inclined to the area
E ð1:39bÞ
1 #! " $ of the plane ‘aa1b1b’ by the angle ð90* $ hÞ; so the stress,
¼ 1 $ m2 r2 $ mð1 þ mÞr1 say rab
E 2 ; acting on this oblique plane ‘aa1b1b’, i.e. on ‘ab’ or
‘a1b1’ along the principal axis ‘2’, corresponding to the
e3 ¼ 0 ð1:39cÞ principal stress r2 ; is given by
P2
rab
2 ¼ ¼ r2 sin h ð1:40bÞ
A2 =cosð90* $ hÞ
1.5 Elements of Plastic Deformation

1.5.1 Relationship Between Principal Normal σ3

and Shear Stresses 3

a1
Let us assume that all six faces of a cube shown in Fig. 1.3 G F
are principal planes, which are subjected to a triaxial state of
b1
true tensile principal stress. Suppose these stresses acting on D
the principal planes, i.e. faces of the cube along the three E
principal directions or axes designated by ‘1’, ‘2’ and ‘3’ are, σ2
respectively, r1 ; r2 and r3 : Let us further assume that r1 is
O a C
the algebraically greatest principal normal stress, r2 is the 2
algebraically smallest principal normal stress, and r3 has an
θ
intermediate value, i.e. r1 [ r3 [ r2 : As any plane is des- A
b B
ignated by its normal, so the principal planes are also rep-
resented by their corresponding principal axes, i.e. by ‘1’, ‘2’ 1 σ1
and ‘3’. Let the cross-sectional areas of the principal planes
lying normal to the principal axes ‘1’, ‘2’ and ‘3’ are Fig. 1.3 A cubical element subjected to a triaxial state of tensile
principal stress, showing an arbitrary plane ‘aa1b1b’ inclined to the
denoted, respectively, by A1 ; A2 and A3 ; on which the principal plane ‘1’, i.e., plane ‘ABED’ or ‘OCFG’ at an angle of h; but
respective applied loads are P1 ; P2 and P3 ; so that r1 ¼ normal to the principal plane ‘3’, i.e., plane ‘OABC’ or ‘GDEF’
12 1 Tension

a, a1 Thus, r is shown to be bounded by the magnitudes of r1

G, O C, F
and r2 : When h ¼ 45* ; the shear stress on such a plane
attains the maximum value because sin 2h ¼ 1: This maxi-
σ2 mum shear stress is known as principal shear stress, which
2
has been denoted by s3 ; as this plane of maximum shear
θ stress is parallel to the principal axis ‘3’. Hence, substituting
σ
τ N sin 2h ¼ 1 in (1.41b) we get
1
D, A b, b1 B, E
r 1 $ r2
Principal shear stress; s3 ¼ ð1:42Þ
2
σ1
From (1.41a) and (1.41b), the magnitudes of normal and
Fig. 1.4 Plan view of Fig. 1.3, showing element subjected to biaxial shear stresses can be calculated on any plane normal to the
tensile principal stresses principal plane ‘3’ denoted by ‘OABC’ or ‘GDEF’ in
Fig. 1.3. If we desire to get the normal stress r0 and shear
Each of the above respective stresses rab ab
1 and r2 ; cor- stress s0 on an oblique plane whose normal makes an angle
responding to the principal stresses r1 and r2 ; can be h0 ¼ 90* þ h with the principal axes ‘1’, i.e. on an oblique
resolved into components perpendicular and parallel to the plane normal to the plane ‘aa1b1b’, (1.41a) and (1.41b)
oblique plane ‘aa1b1b’. The component perpendicular to the become:
oblique plane ‘aa1b1b’, i.e. to ‘ab’ or ‘a1b1’ in the direction
of the normal ‘N’, is the normal stress, r; which is given r0 ¼ r1 cos2 ð90* þ hÞ þ r2 sin2 ð90* þ hÞ
below: ¼ r1 ð$ sin hÞ2 þ r2 ðcos hÞ2
From rab ab 1 $ cos 2h cos 2h þ 1 ð1:43aÞ
1 : normal stress, r ¼ r1 cos h ¼ r1 þ r2
2 2
¼ r1 cos2 h; ½from ð1.40aÞ): r1 þ r2 r1 $ r2
¼ $ cos 2h
From rab ab *
2 : normal stress, r ¼ r2 cosð90 $ hÞ 2 2
¼ r2 sin2 h; ½from ð1:40bÞ): s0 ¼ r1 sinð90* þ hÞ cosð90* þ hÞ
Hence, from both rab ab $ r2 sinð90* þ hÞ cosð90* þ hÞ
1 and r2 : total normal stress, ð1:43bÞ
r ¼ r1 cos2 h þ r2 sin2 h r1 $ r2
¼ ðr1 $ r2 Þ cos hð$ sin hÞ ¼ $ sin 2h
2
cos 2h þ 1 1 $ cos 2h
¼ r1 þ r2 The stresses given by (1.41a) and (1.43a) are called
2 2 complementary stresses. It is evident from (1.41a) and
r1 þ r2 r1 $ r2
¼ þ cos 2h ð1:41aÞ (1.43a) that r þ r0 ¼ r1 þ r2 ; i.e. the sum of the comple-
2 2
mentary normal stresses r and r0 is equal to the sum of the
The component parallel to the oblique plane ‘aa1b1b’, i.e. two given principal stresses r1 and r2 : Thus, the sum of the
to ‘ab’ or ‘a1b1’, is the shear stress, s; which is given below: normal stresses on two perpendicular planes is constant, i.e.
an invariant quantity, which does not depend on the angle h;
From rab ab *
1 : shear stress; s ¼ r1 cosð90 $ hÞ i.e. the orientation of the plane. Equations (1.41b) and
¼ r1 cos h sin h; ½from ð1:40aÞ): (1.43b) show that the complementary shear stresses s and s0
From rab ab * are equal in magnitude but opposite in sign, i.e. opposite in
2 : shear stress; s ¼ r2 cosð180 $ hÞ
¼ r2 sin hð$ cos hÞ; ½from ð1:40bÞ): the sense of rotation about any point inside the body. Thus,
the absolute values of the shear stresses are the same for all
Hence, from both rab ab
1 and r2 : total shear stress; angles h differing by 90* for which the values of sin 2h are
s ¼ r1 sin h cos h $ r2 sin h cos h the same, i.e. the absolute values of the shear stresses on
planes at right angles are always equal, but they are of
r1 sin 2h r2 sin 2h r1 $ r2 opposite sense.
¼ $ ¼ sin 2h ð1:41bÞ
2 2 2 If we consider the elevation view of the cube of Fig. 1.3,
It can be concluded from (1.41a) and (1.41b) that an analysis similar to previous one will result in the fol-
lowing equations for the normal and shear stresses acting on
• When the angle h ¼ 0; r ¼ r1 ; and s ¼ 0: any arbitrary oblique plane, which is perpendicular to the
• When h ¼ p=2; r ¼ r2 ; and s ¼ 0: principal plane ‘1’ denoted by ‘ABED’ or ‘OCFG’ in
• For 0\h\p=2; r1 [ r [ r2 : Fig. 1.3, and has its normal inclined at an angle of say ‘u’ to
1.5 Elements of Plastic Deformation 13

the principal axis ‘3’. Hence, each of the principal stresses r 1 $ r2

) Maximum shear stress; smax ¼ s3 ¼ ð1:48Þ
r2 and r3 will contribute to the normal stress and shear 2
stress on this oblique plane. These are: Since shear stresses are involved in the process of plastic
deformation like in theories of yielding and mechanical
Total normal stress; r ¼ r3 cos2 u þ r2 sin2 u;
ð1:44aÞ working operations, it is important to know the planes on
r3 þ r2 r3 $ r2
Or, r ¼ þ cos 2u which the maximum or principal shear stresses occur. The
2 2 planes of the principal shear stress are shown in Fig. 1.5 for
Total shear stress; s ¼ r3 sin h cos h $ r2 sin h cos h; a cube whose faces are the principal planes. It is to be noted
r 3 $ r2 that for each pair of principal stresses, there are two planes of
Or, s ¼ sin 2u principal shear stress, which bisect the directions of the
2
ð1:44bÞ principal stresses.

When the angle u ¼ 45* ; the principal shear stress is

denoted by s1 ; since the plane of the maximum shear stress 1.5.2 Mohr’s Stress Circle
is parallel to the principal axis ‘1’. Hence, substituting
sin 2u ¼ 1 in (1.44b) we get Equation (1.41) in the preceding Sect. 1.5.1 give the normal
r3 $ r2 stress r and the shear stress s on any plane which is per-
Principal shear stress; s1 ¼ ð1:45Þ pendicular to the principal plane ‘3’ denoted by ‘OABC’ or
2
‘GDEF’ in Fig. 1.3 and has its normal inclined at an angle of
Similar to previous one, it can be obtained from (1.44a) h to the principal axis ‘1’ as shown in Fig. 1.4, and these
and (1.44b) that when the angle u ¼ 0; r ¼ r3 ; and s ¼ 0; equations are repeated below for convenience of reference:
when u ¼ p=2; r ¼ r2 ; and s ¼ 0; and for 0\u\p=2;
r3 [ r [ r2 : r1 þ r2 r1 $ r2
Normal stress; r ¼ þ cos 2h ð1:41aÞ
From the consideration of the side view of the cube of 2 2
Fig. 1.3, the following equations can similarly be obtained for r1 $ r2
the normal and shear stresses acting on any arbitrary oblique Shear stress; s ¼ sin 2h ð1:41bÞ
2
plane which is perpendicular to the principal plane ‘2’ denoted
by ‘OGDA’ or ‘CFEB’ in Fig. 1.3 and has its normal inclined It has been shown below that these are the equations of a
at an angle of say ‘w’ to principal axis ‘1’. Hence, each of the circle in a r $ s plane, with the angle h as a parameter. Let
principal stresses r1 and r3 will contribute to the normal stress us denote ðr1 þ r2 Þ=2 ¼ rav , and recall (1.42) where
and shear stress on this oblique plane. These are:
r1 þ r3 r1 $ r3 σ3
Total normal stress; r ¼ þ cos 2w
2 2
ð1:46aÞ
r1 $ r3 τ3
Total shear stress; s ¼ sin 2w ð1:46bÞ
2 σ2 σ2
* σ1
When the angle w ¼ 45 ; the principal shear stress is σ1
denoted by s2 ; since the plane of the maximum shear stress
τ2 σ3
is parallel to the principal axis ‘2’. Hence, substituting
σ –σ σ1 – σ3
sin 2w ¼ 1 in (1.46b) we get τ3 = 1 2 τ2 =
2 2
σ3
r1 $ r3
Principal shear stress; s2 ¼ ð1:47Þ
2
It can similarly be obtained from (1.46a) and (1.46b) that
when the angle w ¼ 0; r ¼ r1 ; and s ¼ 0; when w ¼ σ2 σ2
p=2; r ¼ r3 ; and s ¼ 0; and for 0\w\p=2; r1 [ r [ r3 :
Since it is assumed that r1 [ r3 [ r2 ; the value of any 45° τ1
normal stress r on any plane lies between the limits of r1
and r2 ; i.e. r1 + r + r2 : Accordingly, s3 has the highest σ3 – σ2
τ1 =
2 σ3
value of shear stress and is called the maximum shear stress,
denoted by smax : Fig. 1.5 Shaded planes are planes of principal shear stress
14 1 Tension

ðr1 $ r2 Þ=2 ¼ s3 (principal shear stress). Now, (1.41) can τ

be written in the following compact form as
σ1
Normal stress; r ¼ rav þ s3 cos 2h ð1:49aÞ
F
Shear stress; s ¼ s3 sin 2h ð1:49bÞ σ2 D

From (1.49b), we can get

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
cos 2h ¼ 1 $ sin2 2h ¼ 1 $ ðs=s3 Þ2 :
C 2θ A
O σ
Substitution of cos 2h in (1.49a) will eliminate the B E
parameter h:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
s23 $ s2
r ¼ rav þ s3 ; or; ðr $ rav Þ2 ¼ s23 $ s2 ;
s3
D'
) ðr $ rav Þ2 þ s2 ¼ s23 ð1:50Þ

Equation (1.50) represents the standard form for the

σ1 + σ2
equation of a circle which is centred at rav ¼ ðr1 þ r2 Þ=2;
and has a radius given by s3 ¼ ðr1 $ r2 Þ=2: This circle is 2
called Mohr’s stress circle whose abscissa and ordinate
represent, respectively, the normal stress r and the shear Fig. 1.6 Mohr’s stress circle for biaxial tensile stresses
stress s; as shown in Fig. 1.6. It is convention that if the
sense of rotation of the shear stress about any point inside
the body is clockwise, the shear stress is positive and if the Thus, the coordinates ðOE; DEÞ of the point D in Fig. 1.6
normal stress is tensile in nature, i.e. acts away from the represent the values of the normal stress r and the shear
body, it is taken as positive. Whereas the shear stress causing stress s for the plane whose orientation is given by h with
an anticlockwise rotation is taken as negative, the com- respect to the principal axes ‘1’ in Fig. 1.4.
pressive normal stress acting towards the body is negative. For each different orientation of plane in Fig. 1.6, as
In Mohr’s circle, the positive shear stress is plotted above defined by h ; there is a corresponding point on this circle
and the negative one below the horizontal axis and the whose coordinates give the normal stress r and the shear
positive normal stress is plotted in the right of the vertical stress s on that plane. For example, when h ¼ 0 in Fig. 1.4,
axis and the negative one in the left. Mohr’s circle is very the normal ‘N’ of the oblique plane ‘aa1b1b’, i.e. of ‘ab’ or
helpful for graphically solving of (1.41), (1.44) or (1.46). To ‘a1b1’, coincides with the principal axes ‘1’ and, in Fig. 1.6,
work with Mohr’s circle, it is to be remembered that the the corresponding position of point D is at the point A on the
angular orientation h of the plane in the body subjected to circle, the coordinates of which give the normal stress r ¼
stress is represented by 2h on the Mohr’s circle and the sense r1 (principal stress) and the shear stress s ¼ 0: When h ¼
of rotation in each case must be the same, either clockwise or 45* ; 2h ¼ 90* ; and the point D is positioned at the point F
anticlockwise. Hence, the stresses on any plane with orien- on the circle in Fig. 1.6, resulting r ¼ ðr1 þ r2 Þ=2; and s ¼
tation h are given by the coordinates of the corresponding ðr1 $ r2 Þ=2 ¼ s3 ¼ smax (maximum principal shear stress).
point on this circle making an angle of 2h at the centre. When h ¼ 90* in Fig. 1.4, the normal ‘N’ of the oblique
The following example will help to understand the plane ‘aa1b1b’, i.e. of ‘ab’ or ‘a1b1’, coincides with the
function of Mohr’s stress circle. Let us consider any arbi- principal axes ‘2’ and, in Fig. 1.6, the point D coincides with
trary point D on the Mohr’s circle, where the angle \ACD ¼ the point B on the circle, indicating r ¼ r2 (principal stress)
2h; (say), as shown in Fig. 1.6. The coordinates of the point and s ¼ 0: The complementary stresses r0 and s0 as indicated
D can be obtained from geometry as follows: by (1.43) can also be obtained from the coordinates of point
D0 that is located at the diametrically opposite side of the
r1 þ r2 r1 $ r2 point D on the circle. Thus, the Mohr’s circle provides us all
OE ¼ OC þ CD cos 2h ¼ þ cos 2h
2 2 necessary information about the stresses on various planes in
¼ rðnormal stressÞ ½From ð1:41aÞ): the body.
r1 $ r2 The Mohr’s stress circle for planes which are perpen-
DE ¼ CD sin 2h ¼ sin 2h ¼ sðshear stressÞ
2 dicular to the principal plane ‘3’ denoted by ‘OABC’ or
½From ð1: 41bÞ): ‘GDEF’ in Fig. 1.3 is redrawn in Fig. 1.7a for convenience.
1.5 Elements of Plastic Deformation
(a)
τ
τ3 = τmax
O σ
σ2 σ1
(b)
τ2
O σ
σ3 σ1
(c)
τ1
O σ
σ2 σ3
Fig. 1.7 Mohr’s stress circle for biaxial tensile stresses for planes
normal to a principal plane ‘3’, b principal plane ‘2’, and c principal
plane ‘1’ with reference to Fig. 1.3
Similarly, the Mohr’s stress circles for planes which are
perpendicular to the principal plane ‘2’ denoted by ‘OGDA’
or ‘CFEB’ in Fig. 1.3 and perpendicular to the principal
plane ‘1’ denoted by ‘ABED’ or ‘OCFG’ in Fig. 1.3 are
shown, respectively, in Fig. 1.7b, c. All three Mohr’s stress
circles shown in Fig. 1.7a–c are superimposed to construct
the composite Mohr’s stress circle diagram for the complete
triaxial state of stress, as shown in Fig. 1.8. Now, the
stresses on any plane perpendicular to one of the principal
planes can be determined by applying (1.41), (1.44) or (1.46)
or using the corresponding Mohr’s circle.
1.5.3 Slip
The mechanisms of plastic deformation of crystalline solids
are slip and twinning. Slip is the most important mechanism of
plastic deformation. It refers to the sliding of the blocks of
crystal over one another under the application of shear stress. It
occurs most readily on definite crystallographic planes of
greatest atomic density called slip planes, in the closest-
packed directions on the slip planes known as slip directions.
Since the distance between like planes varies inversely with
their atomic density, the slip planes are widely spaced that
15
τ
O σ
σ2 σ3 σ1
Fig. 1.8 Mohr’s stress circle for triaxial tensile stresses, formed by
superimposition of all three Mohr’s circles shown in Fig. 1.7a–c
decreases the stress required for slip and that is why slip is
preferred on closely packed planes. The slip plane jointly with
the slip direction creates the slip system, and the number of slip
systems is obtained by multiplying the number of slip planes
with the number of slip directions lying on the slip planes.
When more than one slip system is operative during the
deformation, it is often described as duplex or multiple slip.
When a polished specimen is deformed by slip, a step is
produced on the polished surface. When viewed under the
microscope, the step appears as a line, called as a slip line,
which is due to the change in the surface elevation.
1.5.3.1 CRSS for Slip
In uniaxially loaded tension test, the applied tensile stress
will result a stress on any plane whose normal is inclined to
the loading axis, but the resulting stress acts along the
loading axis and can be resolved into components perpen-
dicular and parallel to the oblique plane. The component of
the stress perpendicular to the inclined plane is its normal
stress while that parallel to it is the shear stress on it. This
shear stress component is responsible for slip. Schmid
(1931) first recognized that slip begins in a single crystal
when the shear stress resolved on the slip plane in the slip
direction reaches a critical value called the ‘critical resolved
shear stress’ or ‘CRSS’ and this law of critical resolved shear
stress is known as Schmid’s law.
Let us consider a cubic single crystal as tensile specimen,
which is subjected to uniaxial tensile load ‘P1’ acting along
the axis ‘1’. Assume that the tensile load ‘P1’ is applied on
the principal plane which is normal to the plane of paper and
represented by AB or CD in Fig. 1.9. If this plane, which is
normal to the loading axis ‘1’, has a cross-sectional area of
‘A1’, then the stress acting along the loading axis ‘1’ is
r1 ¼ P1 =A1 : The cross-section ‘ABCD’ of the tensile spec-
imen parallel to the loading axis ‘1’ has been shown in
Fig. 1.9, where ‘ab’ is a slip plane. The normal to this slip
16 1 Tension

P1 If the slip direction ‘S.D.’ lying on the slip plane, as

shown in Fig. 1.9, makes an angle ‘k’ (not shown in figure)
with the shear stress component s acting on the slip plane
a
D C given by (1.52), then the shear stress on the slip plane
resolved in the slip direction, sR ; is given by
r1
sR ¼ sin 2h cos k ð1:54Þ
2
θ
The shear stress resolved on the slip plane in the slip
N direction, sR ; given by (1.54), at which slip begins is the
.

1
S.D

A B critical resolved shear stress or CRSS, scr : The resolved

b shear stress sR ; is a maximum when h ¼ 45* ; and k ¼ 0* ;
so that sR ¼ r1 =2. For any other orientations of the slip
P1 planes, the resolved shear stress will always be less than its
maximum value, i.e. r1 =2, and a larger tensile stress is
Fig. 1.9 Two dimensional view of a cubic single crystal tensile required to bring the resolved shear stress up to the critical
specimen subjected to uniaxial tensile load for derivation of critical value. So the plane on which slip will first take place must
resolved shear stress have the maximum value of resolved shear stress. If the slip
plane is normal to the tensile axis, i.e. h ¼ 0* ; or if it is
plane is ‘N’, which is inclined to the loading axis ‘1’ by an parallel to the tensile axis, i.e. h ¼ 90* ; the resolved shear
angle ‘h’. As the cross-sectional area of this oblique plane stress sR ; is zero, i.e. no shear stress acts on the slip plane.
‘ab’ is larger than that of the principal plane AB or CD; the Therefore, for such orientations of the slip planes, slip can-
stress acting on this oblique plane ‘ab’ will be smaller than not occur and the material tends to fracture.
the applied principal stress r1 : Let the cross-sectional area of The value of CRSS is actually equivalent to the yield
this oblique slip plane ‘ab’ is A0 ; which will be given by stress of a usual stress–strain diagram for the single crystal.
A0 ¼ A1 =cos h: Hence, the stress, say rab The values of CRSS and yield strength (since it is related to
1 ; acting on slip
plane of cross-sectional area A0 ; corresponding to the applied CRSS) depend chiefly on the composition of the material,
tensile stress r1 ; is given by strain rate and deformation-temperature, on the interactions
of dislocations with each other and with other lattice defects
P1 P1 such as vacancy, interstitials and impurity atoms.
rab
1 ¼ ¼ cos h ¼ r1 cos h ð1:51Þ
A0 A1 During uniaxial tension test of a single crystal, the
movement of cross-head of the testing machine imposes
This stress rab1 being parallel to the loading axis ‘1’ is constraint at the grips of the specimen in order to maintain
inclined to the normal of the slip plane ‘ab’ by an angle ‘h’ the grips in line and does not allow the specimen to deform
and can be resolved into components perpendicular and freely and uniformly on every slip plane along the length of
parallel to the slip plane. The component parallel to the slip the specimen. As the deformation progresses and the tensile
plane with cross-sectional area A0 is the shear stress load remains axial, the slip planes near the centre of the
responsible for slip and given by specimen rotate, so as to line up themselves parallel with the
P1 P1 r1 loading axis and the extent of rotation increases with the
s¼ sin h ¼ sin h cos h ¼ sin 2h ð1:52Þ extension of the crystal. The slip planes near the grip is not
A0 A1 2
only rotated but also bent.
The shearing stress resolved on the slip plane reaches the
maximum value when sin 2h ¼ 1 or; h ¼ 45* ; i.e. when the 1.5.3.2 Dislocations: A Brief Introduction
normal to the slip plane makes an angle of 45° with the Slip, the usual method of plastic deformation, occurs by the
direction of applied tensile stress. Hence, the maximum movement of linear lattice defect called dislocation, which is
resolved shear stress on the slip plane is given by defined as the localized region of disturbed lattice making
the boundary on a slip plane between the sheared and the
r1 applied tensile stress
ðsmax Þuniaxial tension ¼ ¼ ð1:53Þ unsheared regions of a crystal. It is the presence of dislo-
2 2
cation in the real crystal that makes the shear stress required
Thus, in a uniaxial tension, a maximum shear stress to cause plastic deformation at least 100 times lower than the
equal to one-half the applied tensile stress always act on any theoretical shear strength of a defect-free ideal crystal. When
plane whose normal makes an angle of 45° with the axis of a dislocation moves on the slip plane, the interatomic bonds
applied stress. are broken and reformed at any given moment only between
1.5 Elements of Plastic Deformation
the atoms located near the axis of the dislocation, but in a
perfect crystal the bodily shearing of planes of atoms would
require very high force to break the bonds between all the
atoms in a crystal plane all at once. Thus, the mechanism
responsible for slip is in reality the movement of dislocations
that allow atoms in crystal planes to slip past one another at a
much lower stress levels than in a perfect crystal. The shear
strengths of filament crystals (whiskers) without dislocations
may approach the theoretical value. Dislocations are not
only connected with slip but are also important to explain
several mechanical behaviours such as strain hardening,
yield point, creep, fatigue and brittle fracture. Relevant
aspects of dislocations and their characteristics are briefly
described below:
1. Origin: Dislocations needed for plastic deformation
originate mainly in the following ways. During crys-
tallization, many dislocations are found as a natural
consequence of crystal growth. The most important
source of dislocations is the dislocation-multiplication
mechanism explained by Frank and Reed (1950), where
the originally present dislocations in the crystal are
multiplied many fold during the process of plastic
deformation. Moreover, the grain boundaries can act as
source as well as sink of dislocations. Further, dislo-
cations can also be generated as a result of phase
transformation, thermal stress or high local stresses at
second-phase particles.
2. Burgers vector: The magnitude and direction of slip
are defined by a vector, known as slip vector or Burgers
vector, usually represented by ‘b’. The slip vector or
Burgers vector is a characteristic property of disloca-
tion. The Burgers vector may be one or more atomic
distances. Burgers vector of a dislocation can be con-
veniently defined with the help of the Burgers circuit.
The circuit starts at a lattice point and moves from atom
to atom an equal number of steps in each direction,
always in the direction of one of the unit cell vectors.
The circuit will close in a perfect crystal having no
dislocation, but when it encloses a dislocation in an
imperfect crystal it will not close; i.e., the end point of
the circuit will fail to meet with the starting point. The
vector joining the end point of the Burgers circuit with
the starting point is the Burgers vector, ‘b’ of a single
dislocation. Burgers vector must always connect one
equilibrium lattice point with another. The connector
from the end to the start point of a Burgers circuit
enclosing multiple dislocations is the summation of
their individual Burgers vectors. If the Bergers vector of
a dislocation is equal to one lattice spacing, it is known
as dislocation of unit strength or unit dislocation. A unit
17
dislocation of this type is also called a full dislocation or
a perfect dislocation. The strength of a dislocation with
Burgers vector a0 ½uvw) is given by
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
jbj ¼ a0 ½u2 þ v2 þ w2 );
where a0 is the lattice constant and ½uvw) is the Miller
indices of the slip direction. For example, if b ¼
ða0 =2Þ½110) for slip in a cubic crystal from a cube
corner to the centre of one face, the magnitude of
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi %pffiffi
Burgers vector will be jbj ¼ ða0 =2Þ 12 þ 12 ¼ a0 2:
3. Types of dislocation: There are two basic types of
dislocation: edge dislocation and screw dislocation.
Edge dislocations are those, which lie perpendicular to
the Burgers vector and move on their slip plane in the
direction of the Burgers vector (slip direction). If an
incomplete extra vertical plane of atoms is introduced
within a perfect crystal lattice either above or below the
slip plane, it will create an edge dislocation. The
intersection of this incomplete extra vertical plane of
atoms with the slip plane is the dislocation line. The
incomplete extra vertical plane of atoms lying above the
slip plane is conventionally called a positive edge dis-
location, indicated by the symbol ┴, and that below the
slip plane is called a negative edge dislocation, indi-
cated by the symbol ┬. In these above symbols, the
slip plane is represented by the horizontal line and the
incomplete extra vertical plane by the vertical line. If a
crystal is rotated by 180°, a positive edge dislocation
will be converted into a negative edge dislocation.
Figure 1.10a shows a positive edge dislocation pro-
duced by slip for an element of crystal with a simple
cubic lattice. Slip has taken place over area ABCD in
the direction of Burgers vector. Edge dislocation line is
indicated by AD because it is the boundary between the
right-hand sheared portion and the left-hand un-sheared
portion of the crystal. The shaded area adjacent to BC in
Fig. 1.10a indicates the amount of displacement of the
portions of the crystal above the slip plane in the
direction of slip with respect to the portions below the
slip plane. This amount of displacement is equal to the
Burgers vector b of the dislocation. Dislocation line AD
lies perpendicular to Burgers vector b and moves in a
direction parallel to the Burgers vector. The exact
atomic arrangement along AD is unknown. A close
representation of atomic arrangement in a plane normal
to the edge dislocation AD is shown in Fig. 1.10b,
which is generally considered. The plane of the paper in
this figure is equivalent to any plane parallel to the front
face of Fig. 1.10a. Figure 1.10b shows that there is
distortion of the lattice in the region of dislocation. The
18
(a)
Sheared area
Incomplete extra of slip plane
plane of atoms
τ
b
D
C
A B
Direction τ
of motion
of dislocation Dislocation
line
Fig. 1.10 a Edge dislocation produced by slip in a simple cubic
lattice. Edge dislocation line indicated by AD lies perpendicular to
Burgers vector b and moves in a direction parallel to the Burgers vector.
Slip has taken place over area ABCD in the direction of Burgers vector.
atomic arrangement in a positive dislocation creates a
compressive stress above the slip plane and a tensile
stress below the slip plane while that in a negative
dislocation results in a tensile stress above and a com-
pressive stress below the slip plane.
On the other hand, screw dislocations lie parallel to the
Burgers vector and move on the slip plane in a direction
perpendicular to the Burgers vector (slip direction).
When the lattice planes spiral around a screw disloca-
tion line like a left hand screw, i.e. in anticlockwise
direction, it is conventionally called a negative or
left-hand screw dislocation indicated by the symbol,
, and when the lattice spirals around a screw dis-
location line in a right-hand fashion, i.e. in clockwise
direction, it is called a positive or right hand screw
dislocation indicated by the symbol, . A screw
dislocation (left-hand screw dislocation) produced by
slip in a simple cubic lattice is shown in Fig. 1.11a. In
this figure, the upper portion of the crystal to the front
of AD has been displaced in the direction of Burgers
vector (to the left) relative to the lower portion, but no
slip has taken place to the rear of AD. Hence, slip has
taken place over area ABCD in a direction normal to the
Burgers vector. Screw dislocation line indicated by AD
lies parallel to Burgers vector b and moves in a direc-
tion normal to the Burgers vector. Figure 1.11b shows a
two-dimensional arrangement of atoms around the
screw dislocation AD in a simple cubic lattice, showing
ABCD is the sheared area of slip plane.
Actually, pure edge and screw dislocations are the
extreme forms of the possible dislocation structures. In
most cases, dislocations exist in the form of partly edge
and partly screw types, called mixed dislocation, in
1 Tension
(b)
Slip vector
b Arrangement of atoms in a plane normal to the edge dislocation line
AD. The plane of the paper in this figure (b) is equivalent to any plane
parallel to the front face of figure (a)
which the edge or screw component of dislocation
makes an arbitrary angle with its slip vector.
4. Dislocation movement: Figure 1.12 illustrates how an
edge dislocation moves through a crystal subjected to a
shear stress which is indicated by the vector s: The
plane x; at the top of Fig. 1.12a is a positive edge dis-
location and the plane y lying to the left of the plane x is
a complete plane of atoms running continuously from
top to bottom of the crystal. Due to the applied shear
stress s; atom o from the plane y may move to the
position marked o0 in the plane x; as indicated in
Fig. 1.12b. If this movement occurs, the dislocation
moves one atomic distance to the left. It now makes the
plane y to terminate abruptly at the slip plane and the
plane x to run continuously from top to bottom of the
crystal. On continuous application of the stress, there
will be movement of the dislocation by repeated steps
along the slip plane of the crystal until the dislocation
reaches the edge of the crystal. The final outcome is
shown in Fig. 1.12c, in which there is shearing of
crystal by one atomic distance across the slip plane. The
amount of slip, which is possible to measure ordinarily,
necessitates the migration of many thousands of such
dislocations. The slip on any one active slip plane is
usually of the order of 1000 atomic distances when a
crystal yields. To bring about significant yielding, slip
on many such active planes is needed.
5. Peierls–Nabarro or Peierls force: When the disloca-
tion lies in a symmetrical position with respect to the
atoms on the slip plane surrounding it, the force nec-
essary to move a dislocation through the crystal lattice
would be zero. Cottrell (1953) pointed out that when
the dislocation passes through non-symmetrical
1.5 Elements of Plastic Deformation 19

(a) (b)

D Dislocation line A D A

C B

b τ

Direction
Sheared area of motion
of slip plane of dislocation
C B
Slip vector

Fig. 1.11 a Screw dislocation produced by slip in a simple cubic dislocation AD, showing that ABCD is the sheared area of slip plane.
lattice. Screw dislocation line indicated by AD lies parallel to Burgers Atoms in the atomic plane just above the slip plane are indicated by the
vector b and moves in a direction normal to the Burgers vector. Slip has open circles and those just below the slip plane are represented by the
taken place over area ABCD. b Arrangement of atoms around the screw solid circles

(a) y x
τ (b) y x
τ (c) τ

O O'

τ τ τ

Fig. 1.12 Movement of an edge dislocation through a crystal. a The move one atomic distance to the left. c Movement of the dislocation by
plane x is a positive edge dislocation. b Movement of atom o from the repeated steps causes shearing of crystal across the slip plane by one
plane y to the position marked o0 in the plane x causes the dislocation to atomic distance

positions, the above situation would not hold true and the dislocation ‘W’, the more is the distance between
the lattice offers some resistance to its movement. like planes, ‘d’, which is related to ‘W’ as:
Consequently, a small shear force, called the Peierls–
Nabarro or Peierls force, is necessary to move a dis- W ¼ d=ð1 $ mÞ:
location through the lattice in a particular direction. The dependence of Peierls stress sp$n ; on ‘W’ and
Although the magnitude of the Peierls force varies Burgers vector ‘b’ is given by
periodically with the movement of dislocation through
the lattice, it is found to depend largely on the width of Peierls stress;
the dislocation ‘W’, which represents a measure of the & ' & ' h 2pd i ð1:55Þ
2G 2pW 2G $
distance over which the lattice is distorted due to the sp$n ¼ e$ð b Þ ¼ e ð1$mÞb
1$m 1$m
presence of the dislocation. Again higher the width of
20
where G ¼ shear modulus of the crystal; m ¼ Poisson’s
ratio.
Equation (1.55) shows that the Peierls stress for a given
plane decreases with increase of distance between
similar planes. Since the spacing between the slip
planes is the maximum due to their highest atomic
density, the Peierls stress on the slip planes will be the
minimum and that is why slip is preferred on these
closely packed slip planes.
6. Cross slip of screw dislocations: The plane passing
through the slip vector and the line of dislocation is
called the glide or slip plane for the edge dislocation.
So, the edge dislocation has a preferred slip plane
because the dislocation line is perpendicular to its
Burgers vector. Since the screw dislocation line is
parallel to its slip vector, the glide plane for a screw
dislocation may be any crystallographic plane passing
through the dislocation line unlike an edge dislocation.
So, a screw dislocation having no fixed glide plane may
overcome obstacles by gliding from one slip plane to
another having a common slip direction and this
movement of a screw dislocation is called cross slip.
7. Elastic stress field around dislocations: The regions
of the crystal in the vicinity of dislocations are in an
elastically stressed state. The stresses decrease in
inverse proportion to distance from the dislocation. In
case of a positive edge dislocation, the atoms above the
slip plane in the region immediately surrounding it are
compressed and so they experience an elastic com-
pressive stress, whereas the atoms below the slip plane
are stretched and so they experience an elastic tensile
stress. In case of a negative edge dislocation, there will
be a state of elastic compression below the slip plane
and a state of elastic tension above the slip plane. The
atoms in the region surrounding a screw dislocation line
in its immediate vicinity undergo a shear displacement,
and thus, an elastic shear strain exists around a screw
dislocation. Due to the presence of elastic strain in the
form of compressive or tensile around an edge dislo-
cation and shear around a screw dislocation, the dislo-
cation is associated with distortional energy or elastic
strain energy. The magnitude of the elastic strain
energy ‘UDislocation’, per unit length of a dislocation of
Burgers vector ‘b’, is approximately given by
Gb2
UDislocation ’ ð1:56Þ
2 zero at x ¼ 0; and x ¼ y: When x ¼ 0; it is a condition
where G ¼ shear modulus of the crystal.
The energy of a unit dislocation is the minimum when
its Bergers vector is parallel to the direction of the
closest atomic packing in the lattice. This agrees with
1 Tension
the fact that the closest packed directions are the slip
directions in crystals.
8. Partial dislocation: If the Bergers vector of a dislo-
cation is a fraction of the lattice spacing, then the dis-
location is called a partial dislocation. From the energy
point of view, dislocations of strengths greater than
unity are usually unstable and dissociate into two or
more dislocations of lower strength. In real crystals,
both edge and screw dislocations may exist as full or
perfect dislocations and as partial dislocations. The
tendency of a dislocation is to have the smallest pos-
sible Burgers vector, i.e. minimum b, in order to min-
imize its elastic strain energy, since the energy is
proportional to b2. Thus, a dislocation of Burgers vector
‘b1’ will have a tendency to dissociate into two (or
more) partial dislocations with Burgers vector ‘b2’ and
‘b3’, if b21 [ b22 þ b23 : So, it is important to note that
dislocations can decompose into partial dislocations if
there is a decrease in strain energy and this energetically
favourable situation will facilitate their movements
through a crystal lattice.
9. Interaction forces between dislocations: Depending
on the sign of dislocations, the force between disloca-
tions may be either attractive or repulsive. Unlike dis-
locations lying on the same, slip plane will attract each
other, run together and cancel or annihilate each other
and thus the dislocations will disappear, but a single
dislocation cannot vanish on its own. On the contrary,
similar dislocations lying on the same slip plane will
repel each other. For two screw dislocations lying on
two different parallel slip planes, the force between
dislocations depends only on the separation distance
between the dislocations. The force is attractive for
screw dislocations of opposite sign, i.e. for antiparallel
screws, and repulsive for screw dislocations of same
sign, i.e. for parallel screws. Now, in case of two par-
allel edge dislocations with the same Burgers vectors
lying on two different slip planes, if ‘x’ is the separation
distance between those two parallel edge dislocations,
‘h’ is the angle between their Burgers vectors, and ‘y’ is
the separation distance between those two slip planes
having dislocations, then similar dislocations repel each
other when x [ y; i.e. h\45* , and attract each other
when x\y; i.e. h [ 45* : The opposite kind of forces
between edge dislocations is found when they are of
opposite sign. The force between edge dislocations is
of equilibrium where edge dislocations of same sign lie
vertically above one another and this vertical array of
similar dislocations exists in a low-angle tilt boundary.
In case of two parallel edge dislocations with different
Burgers vectors lying on two different slip planes,
1.5 Elements of Plastic Deformation
Fig. 1.13 Climb of edge (a)
dislocation. a Diffusion of
vacancy through a crystal lattice
to a positive edge dislocation. b A
positive edge dislocation moves
up by one atomic layer resulting
in positive climb
representing the situation of dislocations on two inter-
secting slip planes, they will either attract or repel
depending on the following conditions. Let us consider
two parallel edge dislocations with Burgers vectors of
b1 and b2 ; which may or may not attract and combine
into a dislocation with Burgers vectors of b3 : The two
dislocations will attract if b23 \b21 þ b22 ; or; h [ 90* ; and
will repel if b23 [ b21 þ b22 ; or; h\90* :
10. Dislocation loop: In fact, dislocations within a real
crystal are hardly present as a straight line and seldom
remain on a single plane. Dislocations within the crystal
are generally present in the shape of closed loops or
curves, which take shape of an interlocking
three-dimensional network of dislocation. Generally, a
dislocation line cannot terminate within the crystal,
except at a node, where several dislocation lines inter-
sect. It must either exist in the form of a closed loop
within the crystal or escapes from the crystal at the free
surface because the surface applies a force of attraction
on a dislocation and the escape of dislocation from the
crystal at surface reduces the strain energy of crystal.
11. Dislocation density: The dislocation density in a
crystal is defined as the total dislocation length present
% atoms that will cause the diffusion of vacancies away
per unit volume, having unit of mm mm3 ; or the
average number of dislocation lines intersecting per unit
area having unit of mm$2 : Dislocation density in a
material can be increased by plastic deformation fol-
pffiffiffi
lowing the relationship of s / q; where s ¼ the shear
stress required for the movement of dislocations to
cause slip and q ¼ the dislocation density. The dislo-
cation density usually varies from 103 to 104 per mm2 in
the fully annealed polycrystalline metals and reaches
about 1010 per mm2 in heavily cold worked metals.
12. Climb of edge dislocation: The edge dislocation can
move directly above or below its slip plane in a per-
pendicular direction onto a parallel plane by a mecha-
nism known as climb that is fundamentally different
from slip. The vertical movement of edge dislocation by
21
(b)
the process of climb can occur if there is an appreciable
rate of diffusion of vacancies or interstitial atoms
through a crystal lattice to or away from the edge dis-
location. The edge dislocation may move in an upward
or in a downward direction, and it is a convention to
denote the former as ‘positive direction of climb’ and the
latter as ‘negative direction of climb’. For positive climb,
atoms are removed from or vacancies are added to the
extra incomplete plane of atoms at a positive edge dis-
location so that this incomplete plane moves up by one
atomic layer. Usually, this occurs by diffusion of a lattice
vacancy to the edge dislocation and the movement of
extra atoms from the incomplete plane in the opposite
direction to occupy the vacant lattice site, which is
shown in Fig. 1.13. Instead of atom–vacancy exchange
by vacancy diffusion process, extra atoms from the
incomplete plane may also move to the interstitial site,
but this process is not energetically favourable. For
negative climb, a row of atoms must be added below the
extra incomplete plane of atoms at the site of edge dis-
location so that this incomplete plane moves down by
one atomic layer. For occurrence of this, surrounding
atoms of the lattice usually join the incomplete plane of
from the edge dislocation. Instead of vacancy diffusion,
the diffusion of interstitial atoms to the edge dislocation
is also possible, but such probability is very less. The
addition or removal of complete rows of atoms at the
incomplete plane rarely occurs. Rather, vacancies dif-
fuse in a small cluster or individually to or away from
the site of the dislocation causing climb to occur over a
short section of the dislocation line, and thus, short steps
or jogs1 are created along the dislocation line.
1
When two dislocations intersect, a step with a length of a few atom
spacing is produced in the dislocation line. If the step in the dislocation
moves it out of the current slip plane, it is called a jog. If the step lies in
the slip plane, it is known as a kink.
22 1 Tension

During positive climb, the removal of atoms causes Twinned region

shrinkage of the crystal in the direction normal to the
incomplete plane of atoms, while the addition of atoms
during negative climb expands the crystal in the direc-
tion normal to the incomplete plane. Therefore, com-
pressive stress in the direction normal to the incomplete
plane causes positive climb, whereas negative climb is
caused by tensile stress. This makes climb different from
slip because only shear stress is responsible for slip.
Since the rate of diffusion increases exponentially, i.e.
very sharply with increasing temperature and vice versa,
the movement of edge dislocation by climb being dif-
fusion controlled is much slower than in glide and is less
likely to occur except at high temperatures. Climb can
occur more readily at high temperatures than at low
temperatures due to an increase in diffusion of vacancy.
Further, application of stress at elevated temperature
increases the rate of climb. Dislocation climb plays an
important role during creep deformation. The formation Twin boundaries
of low-angle tilt boundary during polygonization also
requires dislocation climb for vertical alignment of edge
Fig. 1.14 Schematic diagram of twinning. The atomic arrangement on
dislocation. one side of a twin boundary is a mirror image of that on the other side
Screw dislocation cannot climb because it does not have and the portion of crystal between a pair of twin boundaries is a
an extra incomplete plane of atoms and can slip on any twinned region. Open circles represent the original positions of atoms
in the lattice before twinning, which change position. Arrow marks
crystallographic plane passing through the dislocation
show the direction and distance of their movements, and solid circles
line. Therefore, for its movement onto another slip indicate the final position of atoms after twinning in twinned and
plane, no diffusion of vacancies or interstitial atoms is untwinned regions
required.
The details on dislocation theory and deformation 1.5.4.1 Types of Twin
mechanism are beyond the scope of the text, and the Twin which forms only as a result of plastic deformation is
readers are referred to any book on plastic deformation called deformation twin or mechanical twin and that which
for detailed study of deformation behaviour. forms during annealing of a mechanically deformed material
is called recrystallization twin or annealing twin. Mechani-
cal twins are found in body-centred-cubic (BCC) and
1.5.4 Twinning hexagonal close-packed (HCP) metals under conditions of
low deformation temperatures or high strain rates (shock
The second important mechanism by which plastic deforma- loading), whereas most face-centred-cubic (FCC) metals,
tion occurs is twinning (Cahn 1954; Hall 1954; Mahajan and especially those having a low stacking fault energy (see
Williams 1973). It is shown schematically in Fig. 1.14. Sect. 1.5.6), usually shows annealing twins. In exceptional
Twinning results when a portion of the crystal takes up such an cases, mechanical twins are produced in FCC metals, for
orientation that it becomes a mirror image of the untwinned example, gold silver alloy at low deformation temperature
portion of the crystal, i.e., the parent crystal. The boundary and copper under tension at 4 K. Under optical microscope,
between the twinned and untwinned portion of the crystal is the appearance of a mechanical twin is acicular or
called the twinning plane, which is a surface defect. Twinning needle-shaped with thickness smaller than an annealing twin
planes always occur in pairs so that the change of orientation of and an annealing twin appears like a broad band with
parent crystal across one twin boundary is restored by another straighter sides than a mechanical twin.
boundary of the pairs. The applied shear stress displaces
homogeneously every atom in the twinned portion a distance 1.5.4.2 Role of Twinning
proportional to the distance of each atom from the twin plane. Twinning plays an important role in the plastic deformation
Like slip, twinning also occurs on a specific crystallographic of materials possessing a low number of slip systems, such
plane along a definite crystallographic direction. as in HCP metals with only three slip systems. The
1.5 Elements of Plastic Deformation
orientation changes caused by twinning may bring new slip
system in a favourable orientation with respect to the axis of
applied stress so that additional slip can occur. Twinning is
not a dominant deformation mechanism in metals of cubic
crystal system having many possible slip systems, such as in
BCC or FCC metals with forty-eight or twelve slip systems,
respectively. But twinning occurs in metals of cubic crystal
system when the process of slip is restricted due to
requirement of higher stress for slip than for twinning.
1.5.4.3 Twinning Versus Slip
Twinning differs from slip in several respects as described
below:
• Twinning causes change of orientation across the twin
plane within the crystal, whereas the orientation of
crystal across the slip plane does not change during slip.
• When polished specimens are deformed separately by
slip as well as by twinning, both slip lines and twins are
visible on polished surfaces, but on re-polishing the
surfaces both will disappear due to removal of surface
elevations. Now on etching the re-polished surfaces, the
twins will be again visible due to the orientation differ-
ence across the twin plane, but the slip lines will not
reappear.
• Twins cannot extend beyond a grain boundary, but slip
lines can easily cross a grain boundary although they
change their directions depending on the orientations of
the neighbouring grains.
• Atoms move usually in an integral number of the inter-
atomic spacing during slip, while the atom movements
during twinning is a fraction of the interatomic spacing
depending on their distance from the twin plane.
• The planes on which slip occurs are comparatively
widely spaced, but each atomic plane of the twinned
portion of the crystal takes part in twinning.
• To form a slip band, a time period of several milliseconds
is required, while a twin can be formed within a very
short time in the order of few micro-seconds.
• The amount of plastic deformation produced by slip is
large, whereas that by twinning is small.
• Microscopically slip appears as thin lines, while twinned
region appears as broad lines or bands.
1.5.5 Strain Hardening
When any defects in the regular lattice structure act as bar-
riers to the motion of dislocation, resistance to further slip is
developed in the material subjected to stress. So the shear
stress required to cause further slip increases compared to
the stress needed for prior plastic deformation. This increase
23
in stress with progress of plastic deformation, i.e. with
increase in plastic strain because of previous plastic defor-
mation, is known as strain hardening or work hardening.
Due to the strain hardening, the material is strengthened. It is
to be noted that till the point of fracture of the material, the
stress increases continuously with increase of strain, i.e.
strain hardening continues, but the rate of increase of stress
with strain, i.e. the rate of strain hardening, gradually
decreases with the progress of plastic deformation. In single
crystals of ductile metals, an increase of flow stress (stress
required for plastic flow) of over 100% because of strain
hardening is not unusual.
The defects acting as obstacles to the movement of dis-
locations include the point defects such as vacancies, inter-
stitials and impurity atoms, and surface defects such as twin
boundaries, stacking faults, grain boundaries and subgrain
boundaries (low-angle grain boundaries), volume defects
such as microscopic precipitate particles and foreign-particle
inclusions and also line defects such as other dislocations.
Hence, interactions of dislocations with each other can serve
as barriers to the motion of dislocations. Whenever dislo-
cation movement is made more difficult, the material is
strengthened and, thus, the defects contribute to the
mechanical properties of metals.
When the dislocations pile up on the slip plane at barriers,
a back stress is produced due to the repulsive force created
by the similar dislocations lying on the same slip plane when
they are brought together during their pile-ups. This back
stress opposes the applied stress on the slip plane and
increases the stress required for slip. The other obstacles
arise when dislocations gliding on two intersecting slip
planes combine to form of a new dislocation that is not in the
slip direction and do not lie on the slip plane of low shear
stress. This dislocation of low mobility produced by the
dislocation reaction is called a sessile dislocation, which act
as a barrier to dislocation motion until the barrier is broken
down by the increase of stress to an appreciable high level.
In addition to above, another reason of strain hardening is
the intersection of a forest of dislocation. When dislocations
thread through the active slip plane, they are often called a
dislocation forest. When a screw dislocation moving in the
slip plane intersects another screw dislocation threading
through the active slip plane, a step is formed in each of the
screw dislocation lines, known as jog. The jogs formed are
edge dislocations because they lie perpendicular to the
Burgers vector of the original screw dislocations. Any fur-
ther movement of the screw dislocations in a direction per-
pendicular to their Burgers vector would require the newly
formed edge dislocations to move only along the screw axis,
i.e. to move out of their slip planes because an edge dislo-
cation can move only on plane having the dislocation line
and its slip vector. Since the jogs formed by the intersection
of two screw dislocations cannot move in a direction normal
24
to the screw axis except by the climbing mechanism, they
will cause obstruction to the movement of dislocation. On
the other hand, the jog formed by the intersection of two
edge dislocations has an edge component, which can easily
glide with the rest of the dislocation. Hence, it does not
impede the motion of dislocation, but energy is needed to cut
a dislocation because its length is increased by the creation
of a jog. All these processes mentioned above require
additional consumption of energy, and therefore, they pro-
duce strain hardening of single crystals as well as of
polycrystals.
1.5.5.1 Effect of Grain Boundaries
Grain boundaries play an important role to impart strain
hardening in a polycrystalline material. As the grains on
either side of a grain boundary are oriented differently and
randomly, dislocations moving on common slip planes in
one grain can seldom move onto similar slip planes in
adjoining grains. Further, as grain boundaries of a poly-
crystalline material are a region of disturbed lattice, they act
as barriers to dislocation motion. Dislocations move along
the slip planes, and when their movements are blocked by
grain boundaries, they pile up at the grain boundaries. It is
one of the reasons which will cause a higher rate of strain
hardening in polycrystalline material than in single crystal
during the plastic deformation at room temperature. The
other reasons for higher strain hardening in polycrystals are
easy occurrence of slip on multiple slip systems and the
complex mode of deformation introduced within the indi-
vidual crystals to maintain continuity between grains during
plastic deformation. Here, it is important to mention that in
order to maintain continuity between grains, five indepen-
dent slip systems must operate in each grain (Taylor 1938).
However, the enhanced strain hardening usually increases
the yield and tensile strength of polycrystals compared to
single crystals.
Pile-up of dislocations along the slip planes at the grain
boundary produces stress concentration at the head of the
pile-up due to the interaction forces among the piled-up
dislocations and also creates back stresses, which act against
the generation of dislocations within the grain by
Frank-Read multiplication mechanism and oppose the
additional dislocations to move along the slip plane in the
slip direction. In an array of pile-up stationary dislocations,
the stress concentration at the leading dislocation (which is
nearest to the grain boundary) is equal to the product of the
number of other dislocations in the pile-up and the resolved
shear stress on slip planes. The applied shear stress com-
bined with this stress concentration will cause dislocation
movement in the adjacent grain across the boundary. This
will decrease the pile-up of dislocation, which in turn will
1 Tension
lower the hardening effect in a polycrystalline material.
Therefore, the hardening caused by dislocation pile-up at
grain boundaries is vital during the preliminary period of
plastic deformation but not at the later phase. Its effect will
be more in an HCP metal having only one basal plane for
slip than in BCC or FCC metals with many possible slip
systems. Since the orientations of the slip planes in the
neighbouring grains of HCP metals may be unfavourable for
slip, so a substantially higher stress is needed for initiation of
slip in the adjacent grain. Conversely, as the orientations of
slip planes in any grain of BCC or FCC metals cannot be
highly unfavourable for slip so the stress needed for initia-
tion of slip on a slip plane of the adjacent grains can be
slightly more than that required to initiate slip on the most
favourably oriented slip plane. Therefore, in BCC or FCC
metals, the rate of strain hardening in polycrystals is a little
higher than that in single crystals and the flow curves of the
former do not differ too much from those of the latter. On the
contrary, in HCP metals, the rate of strain hardening in
polycrystals is much higher than that in single crystals,
which causes the flow curves of the former to raise much
above those of the latter and so a great difference in their
flow curves is observed.
Most of the mechanical properties are affected remark-
ably by the change in grain size. Hardness, yield and tensile
strength, fatigue strength and impact toughness—all these
properties at room temperature increase with reduction in
grain size and vice versa. The properties that are associated
with the early period of plastic deformation show the max-
imum dependency on the grain size, because the grain
boundaries are the most active barriers during that period.
So, the effect of grain size is more on the yield strength than
on the tensile strength. For most polycrystalline materials,
the dependency of yield strength on the grain size at room
temperature is given by the following relationship [see
(1.57a)], proposed by Hall (1951) and extended by Petch
(1953), showing higher strength for finer grain-size materi-
als. The increase of yield stress with decrease in grain size
can be explained by assuming that dislocations arise from
sources within the grains and pile up at the grain boundaries.
Obviously, the number of dislocations within a pile up will
have a direct relation with the glide path for dislocations
within a grain, which is decided by the size of grain. For
finer grain-size materials, pile-ups at the grain boundaries
contain fewer dislocations, which will have lower stress
concentrations at their tips, and thus, a greater applied stress
is required to generate dislocations in the adjacent grain,
resulting in the increase of yield stress. On the other hand in
large grained materials, the magnitude of stress concentra-
tion at the head of the pile-up of dislocations will be quite
high and more than sufficient to initiate plastic deformation
1.5 Elements of Plastic Deformation
in adjacent grains. Note that finer grain-size materials are
weaker above the equicohesive temperature (the temperature
at which the strengths of grain boundary2 and grain body are
equal). The following Hall–Petch equation [(1.57a)] is not
only applicable to grain boundaries but also to other types of
boundaries such as ferrite–cementite in pearlite, mechanical
twins and martensite plates.
1
r0 ¼ ri þ Ky d$2 ð1:57aÞ
where
r0 yield or flow stress of polycrystalline material.
ri “lattice friction stress” representing overall resistance
of lattice to dislocation movement and dependent on
composition, strain rate and temperature; ri can be
considered as the yield strength at ‘infinite’ grain size,
i.e. single crystal.
Ky “locking parameter,” which measures relative harden-
ing contribution of grain boundaries that depends on
composition and in some cases strain rate and
temperature.
d diameter of grain
The reader is referred to the work of Eshelby et al. (1951)
for derivation of (1.57a). The above Hall–Petch relation
predicts that the finer the grain size, the higher the yield
strength is. From the tests on a material with different grain
sizes, r0 versus d $1=2 can be plotted as a straight line and the
slope and intercept with the ordinate of this linear plot will
respectively be the values of Ky and ri in (1.57a). The term
Ky is basically independent of temperature. Conrad (1961)
has divided ri into two components: rT ; which is not
sensitive to structure and applied stress but strongly depen-
dent on temperature, and rST ; which is independent of
temperature and applied stress but sensitive to structure. The
term rT is related to the Peierls–Nabarro stress, and the term
rST is a measure of the stress required to move the dislo-
cation against the resistance offered by other dislocations,
precipitate particles, impurities, subgrain boundaries.
According to Conrad, the flow stress of a material may then
be given by
1 the dislocation density, the yield strength is expressed in
r0 ¼ rT þ rST þ Ky d$2 ð1:57bÞ
In (1.57b), the term rT gives the short-range-order Peierls
stress field effects on moving dislocations which extend less
than 10 Å. The term rST represents the long-range-order
dislocation stress field effects which take care of dislocation–
dislocation, dislocation–precipitate and dislocation–impurity
2
Strength of grain boundary means the resistance offered by the grain
boundary to the process of deformation.
25
atom interactions and range from 100 to 1000 Å. The term
Ky d $1=2 represents very long-range structural size effect that
is effective at a spacing greater than 104 Å. Thus, the yield or
flow stress of a material depends on the stress field of both
short- and long-range order that interacts with moving
dislocations.
The Hall–Petch (1.57a) is based on the
grain-boundary-induced dislocation pile-up model and holds
well for large pile-ups containing more than 50 dislocations
but not applicable to extremely small grain size with small
pile-ups of dislocations. For example, if (1.57a) is extrapo-
lated to extremely fine grain size, in the order of 4 nm, the
yield strength will approach the theoretical value, which is
unrealistic. For small pile-ups of dislocations, the observed
strength–microstructural size relation can be better described
(Armstrong et al. 1966) by other equations.
Experiments on many nanocrystalline materials with
grain sizes of several tens of nanometres have established
that their yield strengths would either remain constant or
decrease with reduction in grain size. It has been experi-
mentally observed for several systems that the value of Ky in
(1.57a) (the slope of Hall–Petch plot) is reduced or becomes
negative below a certain grain size (Chokski et al. 1989;
Fougere et al. 1992; El-Sherik et al. 1992; Gertsman et al.
1994). This type of relationship between yield stress and
grain size has been designated as reverse or inverse Hall–
Petch effect (IHPE). Hence, the Hall–Petch relation is only
valid for grain sizes over a critical value up to which dis-
location pile-ups are still possible. When the grain size is
below the critical value, where grains are unable to support
dislocation pile-ups, there will be a decrease in hardness
with decreasing grain size (Nieh and Wadsworth 1991).
At present, there is a growing doubt on the dislocation
pile-up model for the Hall–Petch equation. Instead, presently
the role of the grain boundary as a source for dislocations is
considered to be important and responsible for the relation of
yield strength with the size of the microstructure. Li (1963)
proposed a model based on generation of dislocations at
grain-boundary ledges and observed that the dislocation
density ‘q’ was inversely proportional to the grain size
d; i.e; q ¼ 1=d: Considering the influence of grain size on
terms of dislocation density as follows:
pffiffiffi
r0 ¼ ri þ aGb q ð1:58aÞ
where r0 and ri have the same meaning as in (1.57a);
a A numerical constant that normally range between 0.3
and 0.6;
G Shear modulus;
b Burgers vector;
q Dislocation density.
26
Substituting q = 1/d in (1.58a),
1 1
r0 ¼ ri þ a Gbd $2 ¼ ri þ Ky0 d$2 ð1:58bÞ
Consequently, (1.58b) has the same form as (1.57a).
1.5.6 Stacking Fault
Stacking fault is a surface defect and created by the error or
fault in the stacking sequence of close-packed planes of
atoms produced mostly by plastic deformation (Warren and
Warekois 1955). The presence of stacking faults can be
detected by very precise X-ray diffraction measurements.
Stacking faults are usually observed in close-packed
face-centred-cubic (FCC) structures having the stacking
sequence of ABCABC and in hexagonal close-packed
(HCP) structures having the stacking sequence of ABAB,
because it is much difficult to form stacking fault in an
open-packed body-centred-cubic (BCC) lattice. A stacking
fault is created by the dissociation of a perfect dislocation
into two partial dislocations. To make a stacking fault
stable, the decrease in energy due to dissociation of dislo-
cation must be more than the increase in interfacial energy of
the faulted region. From the point of dislocation theory, a
stacking fault can be defined as an extended dislocation
consisting of a faulted region bounded by two partial dis-
locations. The faulted region in an FCC or HCP structure is
respectively a thin HCP region with the stacking sequence of
ABAB, or a thin FCC region with the stacking sequence of
ABCABC. The two partial dislocations forming a stacking
fault are nearly parallel and, hence, tend to repel each other,
whereas the surface tension of the stacking fault, which is
related to the stacking fault energy, tends to pull the partial
dislocations closer. Hence, the lower the stacking-fault
energy, the greater the equilibrium distance of separation
between the partial dislocations is, and the wider the stack-
ing fault is (Murr 1975).
For the movement on a plane other than the plane of the
fault, the partial dislocations have to recombine together to
form a perfect dislocation. For materials with high stacking
fault energy, a little stress is required for recombination of the
partial dislocations, separated on the order of 1b or less, and if
this recombined dislocation is of the screw type, it may
cross-slip. On the other hand, for materials of low stacking
fault energy, the stress required to recombine the partial dis-
locations, separated on the order of 10–20b, is large and the
cross-slip of an extended screw dislocation around obstacles
and barriers will be restricted and the rate of strain hardening
would be very high. So, it is evident that the extent of strain
hardening is greater in a material with lower stacking-fault-
energy than with higher stacking fault energy.
1 Tension
There is probably a relation between the stacking fault
energy and the energy of a coherent boundary of an
annealing twin in FCC metals; the former is assumed to be
the double of the latter. Hence, the lower the stacking fault
energies, the lower the twin-boundary energy is and the
greater the tendency for the formation of annealing twins in
FCC metals is. This agrees well with metallographic
observations of the frequency of occurrence of annealing
twins in FCC metals. For example, the stacking fault ener-
gies are , 90 mJ=m2 for copper and , 250 mJ=m2 for
aluminium (Hertzberg 1989), and aluminium rarely shows
annealing twins, whereas annealing twins are observed in
copper. Further, since addition of zinc to copper decreases
the stacking fault energy in a-brass, annealing twins are
observed to a greater extent in a-brass than in copper. Thus,
metals with lower stacking fault energies that have wider
stacking faults not only strain-harden more rapidly, but also
twin easily on annealing.
1.5.7 Strengthening Methods
Real crystals due to the presence of dislocations in them
require very low stresses to cause plastic deformation com-
pared to the theoretical shear strength of a defect-free ideal
crystal. Although the shear strengths of perfect crystals
(whiskers) which are free of dislocations may approach the
theoretical value, they are so tiny that they cannot be used as
components in service. Material can be made hard and
strong by making the dislocation movement difficult, while
dislocations can move easily in those materials which tend to
be soft. Hence, to increase the strength of crystalline mate-
rials against plastic deformation, the stress required for
movement of dislocations must be increased. The important
methods of strengthening crystalline materials against plastic
yielding are briefly summarized below:
1. Strain Hardening
Strain hardening increases the stress required for slip and
thereby increases the strength of metals. In addition to the
interaction of dislocations with each other, twin boundaries,
grain boundaries, etc., acting as barriers to dislocation
motion cause strain hardening (see Sect. 1.5.5). Stacking
faults play an important role in strain hardening of metal.
Metals with a lower stacking fault energy having a wider
stacking fault will strain harden more rapidly.
When metals are cold worked, strain hardening causes to
increase their hardness and strength. The dislocation density
of metals increases with increasing the amount of cold
working. The dislocation density of an annealed metal is
1.5 Elements of Plastic Deformation 27

about 104 mm$2 ; whereas that of a heavily cold-worked

metal is 1010 mm$2 : With increasing dislocation density, the
stress required for movement of any one dislocation Z
Y
increases due to interfering effect of the stress fields of
X
surrounding dislocations. The dependency of yield strength
on the dislocation density has been described by means of

Stress
(1.58a).

2. Strain Ageing
A B C

Strain ageing behaviour is usually associated with the

yield-point phenomenon, which has been explained in
Sect. 1.6.4. When a metal after cold working is heated to a
relatively low temperature, its strength is increased (although
its ductility is decreased)—this behaviour is called strain
ageing. For example, the occurrence of strain ageing phe-
nomenon has been explained with respect to the schematic
stress–strain curve (flow curve) of a low-carbon or mild
steel, which is shown by region A in Fig. 1.15. Suppose a
mild steel specimen is strained plastically through the
yield-point elongation to a strain corresponding to point X in
Fig. 1.15. At this point if the load is released and reapplied
immediately, no yield point appears as shown by the region
B in Fig. 1.15, since the dislocations have been torn away
from atmosphere of carbon and nitrogen atoms dissolved in
steel and time has not been allowed for diffusion of carbon
and nitrogen atoms to the dislocations to form new atmo-
spheres of interstitial solutes anchoring the dislocations.
Now, consider that the specimen is strained to point Y and
unloaded. If it is aged for several days at room temperature
or several hours at a little higher temperature like 400 K
ð'130 * CÞ; the dissolved carbon and nitrogen atoms diffuse
to the dislocations during the ageing period and anchor the
dislocations by forming new atmospheres of interstitials. So,
when the specimen is reloaded after ageing, the yield point
will not only reappear but will also be increased from Y to Z
(region C in Fig. 1.15) due to the ageing treatment.
3. Grain Refinement
The effect of grain size on the strength properties of a
polycrystalline material has been described in Sect. 1.5.5.1,
which reflects that we can obtain stronger materials by
refinement of grain size. The refinement of ferrite grain size
in ferrite–pearlite steels, or of pearlite colony in eutectoid
carbon steels, is obtained by controlling the austenite grain
size, which can be performed in at least four ways:
• Normalizing.
• Repetitive rapid austenitizing.
• Controlled rolling.
• Additions of aluminium to steel.
Strain
Fig. 1.15 Schematic stress–strain diagram of low-carbon steel illus-
trating the phenomenon of strain ageing. Region A : original steel is
strained plastically through yield-point elongation to a strain corre-
sponding to point X: Region B : load is released from point X and
reapplied immediately. Region C : reappearance and increase in yield
point from Y to Z on reloading after ageing at 400 K ð'130 * CÞ
Grain refinement not only increases the strength proper-
ties but also improves the impact toughness and decreases
the ductile–brittle transition temperature. An important
example of this is the development of high-strength
low-alloy (HSLA) steels, or low-carbon microalloyed
steels, usually containing less than 0.1% carbon (Union
Carbide Corporation 1977) (see Sect. 6.5 in Chap. 6), in
which ultrafine ferrite grains have been produced by con-
trolled rolling.
The dependency of yield strength on the grain size has been
described by means of (1.57a) that shows the finer the grain
size, the higher the yield strength. Note that the strengthening
effect for a given grain size depends on the magnitude of the
constant Ky in (1.57a). For example, the values of Ky are
0:71 MN m$3=2 for BCC iron, 0:11 MN m$3=2 for FCC
copper and 0:07 MN m$3=2 for FCC aluminium. So, for a
given amount of grain refinement, the strengthening effect in
BCC iron is greater than that in FCC copper, which in turn is
greater than that in FCC aluminium.
4. Subgrain Strengthening
Subgrains can exist within the grains surrounded by
high-energy grain boundaries across which the orientation
difference between grains is large. On the other hand, the
subgrains are bounded by low-angle boundaries having
energy lower than high-angle grain boundaries. The orien-
tation difference across the subgrain boundary may be only a
few minutes of arc or, at most, a few degrees. Low-angle
boundaries or subgrain boundaries can be produced in sev-
eral ways. They may be produced during crystal growth, as a
28
result of phase transformation, or during creep deformation
at high temperature. The most general method of producing
subgrain network is to apply a small amount of deformation
(from about 1 to 10% prestrain) followed by an annealing
treatment to reorganize the dislocation structure into
low-angle boundaries. This process is called polygonization
or recrystallization in situ. Deformation (say, bending) of a
single crystal results in the introduction of excess disloca-
tions of one sign which are distributed along the deformed
(bent) glide planes. When the grain is heated, the disloca-
tions rearrange themselves into the lower energy configu-
ration of a low-angle grain boundary by dislocation climb
process, resulting in a polygonlike network structure of
low-angle boundaries. Figure 1.16 shows a low-angle tilt
boundary, which can be considered to be an array of edge
dislocations.
It has been found (Parker and Washburn 1952) that a
low-angle boundary moves as a unit on application of a
shear stress and as the shear distance increases, the boundary
angle (the orientation difference across the subgrain bound-
ary), h; decreases. Decreasing h means the spacing, L;
between dislocations lying along the boundary increases,
since h ¼ b=L; where b is the magnitude of the Burgers
vector of the lattice. Again, increasing L implies that the
boundary loses dislocations with its movement. This is an
expected fact if dislocations are held up at imperfections
such as precipitate particles, foreign atoms and other dislo-
cations. Thus, the formation of subgrains makes the metal
stronger. It has been shown from the stress–strain curve of
1020 steel (Parker and Washburn 1955) that the substructure
of low-angle grain boundaries in steel, which has been
produced by cold-reduction and annealing, exhibits a higher
yield point and tensile strength than the steel either in
annealed condition only or in cold reduced condition only.
Moreover the ductility of the steel containing a substructure
is almost comparable to that of the annealed steel.
(a)
Fig. 1.16 a Distribution of positive edge dislocations along the bent glide planes. b Formation of polygonlike network structure of low-angle
boundaries by dislocation climb process on heating the crystal
1 Tension
5. Solid Solution Strengthening
Solid solution formed by introducing solute atoms in the
lattice of a pure metal acting as a solvent is stronger than the
pure metal since the resistance to dislocation movement in
the solid solution is generally greater than that in the pure
metal. The increase in stress required for plastic deformation
in a solid solution is due to the interaction of the stress fields
around solute atoms with the stress field of a gliding dislo-
cation. The yield stress and the level of the entire stress–
strain curve will usually be raised by solute additions, as
shown in Fig. 1.17. The solid solution strengthening effect
in a substitutional solid solution increases with increasing
mainly
• the size difference between the solute and the solvent
atoms, because the stress field around the solute becomes
more intense that correspondingly leads to stronger
interaction with the moving dislocation.
• the solute atom concentration, because the gliding dis-
location interacts with the solute stress fields at many
points along its length.
Hence, it appears that the best result from solid solution
strengthening would be achieved if the size difference between
the solute and the solvent atoms would be the maximum cou-
pled with the maximum solute atom concentration. But dis-
solution of a large concentration of a solute, which differs
significantly in size from the solvent, is not possible according
to Hume–Rothery’s rule, which states the larger the size dif-
ference between the solute and the solvent is, the smaller the
equilibrium solubility will be. In interstitial solid solution, the
solute atoms are usually larger than the interstitial voids they
occupy. Here, with increasing solute concentration the
strengthening effect can be very strong, but the equilibrium
solubility tends to be less. However, this problem of lower
(b)
1.5 Elements of Plastic Deformation 29

Solid solution with c2% solute When solute atoms preferentially segregate to the
stacking faults contained in extended dislocations and their
concentration within the stacking fault increases, the
stacking-fault energy is reduced increasing the separation
between the pair of parallel partial dislocations in the
Solid solution with c1% solute stacking fault. The stacking fault energy is found to
decrease more by additions of solutes possessing higher
valency to a pure metal than by additions of solutes of lower
Pure polycrystal valency, because a higher-valency solute increases the
Stress

electron to atom ratio to a greater extent than a

lower-valency solute. Since the pair of parallel partial dis-
locations separated from each other in a stacking fault has to
recombine together to form a perfect dislocation for the
movement on a plane other than the plane of the fault, the
c2 > c1 stress required to recombine them together will be higher as
the separation between them becomes larger. Hence, the
movement of the extended dislocations will be difficult
Strain leading to strengthening effect, which will be obviously
greater for solutes of higher valency than of lower valency.
Fig. 1.17 Effect of solute additions in alloys on stress–strain curve Fortunately, the rise of flow stress due to additions of
(schematic)
higher-valency solutes also tends to be more pronounced
than that due to additions of lower-valency solutes.
solute solubility can be partly overcome by dissolving higher A large valency difference between solute and solvent
amount of solute in solvent at elevated temperature and then atoms can cause strengthening, because the charge associ-
quenching the solid solution at lower temperature in order to ated with solute atoms of dissimilar valency can interact with
obtain a supersaturated metastable solid solution by minimiz- dislocations which have electrical dipoles (Cottrell et al.
ing the diffusion of solute atoms, which consists of solute 1953). Hence, higher hardening effect could be achieved if
concentration higher than the equilibrium one. For example, valency of solutes would differ considerably from the parent
the austenite phase in plain carbon steels at high temperature metal, but unfortunately, these factors are not favourable for
can dissolve carbon atoms (interstitial solute) more than the extensive solid solubility and, thus, limit the formation of
equilibrium solubility of carbon in low-temperature ferrite solid solution.
phase. When this austenite is quenched from the high austen- Short-range ordering, in which atoms have more dis-
itizing temperature to room temperature, all the carbon is similar neighbours than expected for a truly random solu-
retained in the product phase martensite (a super saturated solid tion, and clustering (grouping together of like solute atoms)
solution of C in a-Fe), producing very hard steels. in a solid solution can produce strengthening, because the
For the same size difference between the solute and the degree of order is reduced locally when a dislocation moves
solvent atoms in a given substitutional solid solution, the through a region of short-range order or clustering. There
solute atom smaller than the solvent atom will produce a will be an increase in the energy of the alloy due to this
greater strengthening effect than the solute atom larger than process of disordering, and extra work must be provided to
the solvent atom. In addition to the size difference, the higher maintain the energetically unfavourable movement of
the elastic modulus of the solute, the greater the intensity of dislocations.
the stress field around a solute atom is. For example, the solid Long-range-ordered solid solution or superlattice, in
solution of Cu–Ni system will be stronger than that of Cu–Zn which dissimilar atoms are arranged in some regular alter-
system, where atomic radius is 1.28 Å for solvent Cu, 1.25 Å nating pattern over a large volume of the crystal, also con-
for solute Ni (smaller than the solvent atom) and 1.31 Å for tributes to the solid solution strengthening. The movement of
solute Zn (larger than the solvent atom), and the absolute an ordinary dislocation through a superlattice creates a
atomic size difference between the solvent and both the region of disorder across the slip plane which is called an
solutes is 0.03 Å. Further, since the elastic modulus of Ni is antiphase domain boundary (APDB). In order to preserve
higher than that of Zn, the stress field intensity around Ni will order across the slip plane, the dislocations are paired with
be stronger resulting in a greater strengthening effect. In the APDB between them to form an “extended dislocation”
addition to the above factors, one or more of the following in the superlattice. The disorder created by the first dislo-
factors may contribute to solid-solution strengthening by cation of the pair is eliminated by the passage of the second
offering resistance to dislocation motion. dislocation. Such a pair of dislocations separated by an
30 1 Tension

temperature. The solution-treated alloy is then rapidly

cooled by quenching into water or some other cooling
medium. This rapid cooling suppresses the immediate sep-
aration of the second phase as precipitate so that the alloy is
retained at the low temperature as a metastable supersatu-
rated single-phase solid solution. If, however, after
quenching, the alloy is allowed to ‘age’ for a sufficient
length of time, the decomposition of the supersaturated solid
solution causes the second phase to precipitate out. Since
the rate of atomic migration controls the rate at which the
nuclei grow, so with increasing temperature of ageing the
atomic migration increases, which makes the precipitation
Fig. 1.18 Structure of a superlattice dislocation in an ordered cubic of the second phase rapid. However, the size of the pre-
lattice, in which the dashed line is an antiphase domain boundary lying cipitate becomes finer with lowering of the temperature at
in between the pair of dislocations which precipitation takes place. Extensive hardening of the
alloy occurs if finely dispersed small-sized particles are
antiphase domain boundary (indicated by the dashed line) in precipitated during ageing, since fine dispersions present
an ordered cubic lattice is shown in Fig. 1.18. The width of strong obstruction to the motion of dislocations. A finer
APDB is the result of a balance between the energy of dispersion is produced when particles are nucleated on the
APDB and the elastic repulsion of the two dislocations of the dislocations in the matrix. This can be achieved if the ageing
same sign. The stress required for the movement of a dis- treatment is preceded by plastic deformation. Thus, a com-
location through a long-range-ordered structure is equal to bination of the effects of strain hardening and precipitation
the ratio of the energy of an APDB to the spacing of the can produce a stronger alloy.
APDBs. The rate of strain hardening in the ordered state is Examples of some common age hardening systems are
higher than that in the disordered condition, because more aluminium alloys, such as Al–Cu, Al–Ag, Al–Mg–Si, Al–
APDBs are produced with the progress of slip. Ordered solid Mg–Cu, Al–Mg–Zn, and copper–beryllium alloys. For
solution having a fine domain size of about 5 nm is stronger occurrence of precipitation hardening, the second phase
than the disordered solid solution, but the yield stress of the must be soluble at a high temperature and the solid solubility
former with a large domain size is generally lower than that of the solute must decrease with decreasing temperature.
of the latter. Usually, the lattice of the precipitates is crystallographically
closely matched, or coherent with that of matrix. Coherent
6. Precipitation Strengthening and Dispersion precipitate particles are particularly powerful barriers to the
Strengthening motion of dislocation because the large elastic distortion of
the matrix around the coherent precipitates interacts strongly
The strengthening from distribution of second-phase fine with the stress field of the dislocations. This effect con-
particles in a ductile matrix can be achieved by either pre- tributes to strengthening and is known as coherency hard-
cipitation hardening, also known as age hardening, (Martin ening. Coherency hardening occurs usually in the early
1968) or dispersion hardening (Decker 1973). The degree of stages of precipitation strengthening, when there is a for-
strengthening resulting from second-phase particles depends mation of zones (cluster of solute atoms) which are normally
on the size (average size), shape, mean interparticle spacing coherent with the matrix. For coherent precipitates, there is a
and volume fraction of the particles. Of course, factors such reduction in the surface energy term, but at the same time
as size, spacing and volume fraction are related with each coherency leads to an increase in the strain energy. Since
other. For example, for a given particle size, the mean fine coherent precipitate causes a large reduction in surface
interparticle spacing increases if the volume fraction of energy but a small increase in strain energy, so coherency is
second-phase particles is decreased and vice versa. Simi- favoured when the size of precipitate is small. However, the
larly, for a given volume fraction of second-phase particles, problem of precipitation-hardened alloys is that if, at any
reduction in particle size decreases the mean interparticle given temperature, ageing is allowed to proceed too far,
spacing and vice versa. coarsening of the precipitate particles might take place; i.e.,
In precipitation or age hardening treatment carried out in the smaller ones tend to re-dissolve and the larger ones grow
the solid state, the alloy is first solution heat-treated at an still larger. The driving force for this coarsening process is
elevated temperature above the solvus line to produce a the reduction in the surface energy per unit volume of the
single-phase homogeneous solid solution by dissolving the fine particles. While coarsening, the numerous finely dis-
second phase, which was present in the alloy at low tributed, small-sized precipitate particles are replaced by a
1.5 Elements of Plastic Deformation 31

fewer number of more widely separated, coarser particles. In Disloction line

this state, since the widely dispersed precipitates become
ineffective barriers to the motion of dislocations, the alloy
loses its strength and becomes softer. The alloy is then said
to be in the overaged condition. As the precipitate particles
grow, coherency between the precipitates and the matrix is
lost and there is a further decrease in strength of the alloy
due to loss of coherency.
On the other hand, dispersion-hardened alloys can be
obtained by closely dispersing an almost insoluble and
Particle Sheared particle
thermally stable fine second-phase particles in a metallic
matrix mechanically or by chemical reaction, where these
particles strengthen the alloy by effectively hindering the
dislocation motion. Generally, there is no coherency between Movement of dislocation
the lattices of the second-phase particles and the matrix. The
condition of a decreasing solid solubility with decreasing Fig. 1.19 A dislocation cutting through a particle (schematic)
temperature is also not required for dispersion-hardened
alloys. The advantage of a dispersion-hardened alloy over a the dislocation bow3 around the precipitates particles by the
precipitation-hardened alloy is that the second-phase parti- Orowan’s mechanism of dispersion hardening.
cles in the former are thermally stable at very high temper- The ease with which shearing of particles can occur is
atures because of very small solubility of second-phase affected by six properties of the particles. These lead to the
constituents in the matrix and, thus, the particles in the former following six ways in which the dislocation and particles
resist coarsening to a greater extent than in the latter case. interact to affect the strength of alloys:
Further, if cold worked, a dispersion-hardened material
will resist recovery and recrystallization better than a • Coherency strains: Mott and Nabarro (Smallman 1970)
precipitation-hardened material. In dispersion-hardened suggested that the strain resulting from a slight mismatch
alloys, inert oxides particles, such as thoria (ThO2), alu- between the matrix and a particle gives rise to internal
mina (Al2O3) or silica (SiO2), are mixed with powders of stress fields which prevent the movement of gliding
base metal and the mixture is compacted and sintered into a dislocation and results in coherency hardening. Assum-
solid mass by powder metallurgy techniques. Examples of ing particles to be spherical, the increase in flow stress
such type of alloy are thoria-dispersed nickel, known as TD required to pass the dislocation through the fields of
nickel, and sintered aluminium powder, called SAP. Car- internal stress is:
bides, nitrides, borides, etc., apart from oxides, can also be
used as second-phase particles in dispersion-hardened alloys. Dr ¼ 2Gecs
At least theoretically, it is possible to produce an almost
where G is the shear modulus, e is the strain due to lattice
infinite number of dispersion-hardened systems in contrast to
mismatch between particles and the matrix, and cs is the
a limited number of age-hardening alloys.
atomic concentration of solute.
The movement of dislocations is retarded in two distinct
• Stacking fault energy difference: If the stacking fault
ways by second-phase particles distributed in the matrix.
energy of the particles differs significantly from that of
The dislocations may either cut through the particles, or if
the matrix, the dislocations will have a different width
cutting of particles becomes very difficult, the dislocations
inside the particle than in the matrix, so that extra work is
will bend around and bypass them. When the particles are
done when the glide dislocation enters the particles. The
soft and/or too small, such as clusters of solute atoms
magnitude of strengthening effect will vary directly with
forming coherent zones (e.g., coherent G.P. zones in Al—
the size of the precipitate and inversely with the dislo-
4.5 wt% Cu alloy with interzone spacing of about 150–250
cation width in the matrix. According to Hirsch and
Å), dislocation can cut and deform the particle as shown in
Kelly (1965), the increase in flow stress is directly pro-
Fig. 1.19. In precipitation-strengthened alloys, this mecha-
portional to the stacking fault energy difference between
nism operates when the separation of the centres of the
the matrix and the particle.
precipitates in zones is too small (about 150–250 Å) for
dislocations to bend and curve around the zones. However,
when the stage of intermediate transition precipitate or/and
normal equilibrium precipitate is reached, the separation of 3
Bowing a dislocation means bending a dislocation line like a bow
the centres of the precipitates is large (1000–10,000 Å) and around the obstacles to bypass them.
32
• Chemical hardening: When a dislocation cuts though a
zone, a change in the number of solvent–solute near
neighbours occurs across the slip plane. This tends to
reverse the clustering process and, hence, needs addi-
tional energy, which must be supplied by the applied
stress, resulting in an increase in flow stress. This process
is known as chemical hardening.
In a similar way, when dislocations cut through ordered
structure of particles then antiphase domain boundaries
are introduced leading to strengthening effect, which
depends on the details of spacing and size of the parti-
cles. Good high-temperature strength of many superal-
loys is due to strengthening from ordered precipitate.
• Modulus difference: If the modulus of the particles differs
significantly from that of the matrix, the energy of a
dislocation will be lowered or raised as it passes through
the particles, because the energy of a dislocation depends
linearly on the local modulus. In most alloys, the mod-
ulus difference between the particle and the matrix is not
sufficient to cause a strong strengthening effect.
• Interfacial energy and morphology of particle: When a
dislocation cuts through a particle, a step is created at the
particle–matrix interface. This increase in interface area
between particle and matrix caused by the shearing
process is accompanied by an increase in surface energy,
which must be provided by the external stress. The
increase in flow stress is proportional to the particle–
matrix surface energy (Kelly and Nicholson 1963) and
depends on the morphology of the particle. Strengthening
increases with increasing the surface-to-volume ratio of
the particle. So, finer spherical particles will give higher
strength than coarser ones and greater strengthening is
produced from thin plate-shaped precipitates, like the
G.P. zones or h00 precipitates in the Al–Cu system, than
from the spherical particles. For example, at equal vol-
ume fraction of second-phase particles, strengthening
produced by rod- and plate-shaped particles is about two
times of that by spherical particles (Kelly 1972).
• Lattice friction stress: Strength increase due to the Peierls
stress in the particle and matrix (Gleiter and Hornbogen
1967) is proportional to the strength difference between
the particle and the matrix.
If there is an interface between the matrix and the particle
or the orientation changes abruptly at the matrix–particle
interface or the particles are strong enough to resist cutting,
cutting through the particle will not be possible. Under such
circumstances, the dislocations bend around and bypass the
particles. If qD is the radius of curvature to which the dis-
location is bent under the action of a shear stress s; it has
been shown (Smallman 1970) that
1 Tension
qD ¼ Gb=2s
where G is the shear modulus and b is the Burgers vector. If
the separation distance between particles is k ; and k ffi qD ;
then to avoid obstacles the dislocation would take a form like
the one shown in Fig. 1.20a. For widely separated particles,
where k [ qD ; the dislocation line moves between the par-
ticles as illustrated in Fig. 1.20b based on Orowan’s mech-
anism (Orowan 1947) of dispersion hardening proposed for
the overaged non-coherent precipitates. Figure 1.20b shows
that in stage (1), a dislocation line approaches from left side
towards two particles separated by a distance k; and at stage
(2), the line bends and reaches the critical radius of curvature
after which it moves forward without further reduction in its
radius of curvature. Assuming that the particles do not
deform with the matrix and k ¼ 2qD ; the shear stress needed
to force the dislocation between the particles is:
s ¼ ðGbÞ=k
The yield stress is determined by the shear stress s
required to bow a dislocation. It is theoretically estimated
that in age-hardened and dispersion-hardened alloys, the
most effective dispersion of particles for optimum strength
should have an interparticle spacing k of about 10$4 m.
Overageing increases the interparticle spacing k and
decreases the strength.
(a)
Stress field of
precipitate
Dislocation
line
(b)
Moving Dislocation
dislocation loop left
line behind
λ Precipitate
(1) (2) (3) (4)
Fig. 1.20 Schematic diagrams showing a curling of a dislocation
round the stress fields from precipitates, and b stages in the passage of a
dislocation between widely spaced precipitates, based on Orowan’s
mechanism of dispersion hardening
1.5 Elements of Plastic Deformation
Since the portions of dislocation meeting on the right side of
the particle are of opposite sign, they can cancel each other over
part of their length and leave behind a dislocation loop around
each particle, as shown in stage (3) in Fig. 1.20b. Finally, the
original dislocation is free to glide as shown in stage (4). A back
stress is exerted by these loops, which must be overcome by
increasing the shear stress so that further slip can occur. As a
result, the bowing of dislocations between the dispersed non-
coherent particles strain hardens the matrix rapidly, whereas the
strain hardening of matrix produced by deformation that occurs
by cutting through the particles is small.
The strength limit in overaged alloys or dispersion-
hardened alloys is the yielding, or rupture, of the particles, or
the tearing of the matrix away from the particles. However,
since the particles are usually very fine intermetallic com-
pounds, their strengths are high.
7. Fibre Strengthening
The reinforcement of high strength fine fibres with high elastic
modulus in a ductile matrix, which is nonreactive with the
fibres, can produce high strength materials, especially with
high strength-to-weight ratio. These fibre-reinforced materials
are generally known as composite materials. Graphite, boron
or metal wire such as tungsten is used as fibres in most
fibre-strengthened materials, although whiskers of materials
such as Al2O3, due to their very high strength, have been used
as fibres with good results. Long and continuous or discon-
tinuous fibres may be used. The matrix of materials is gener-
ally made of metals or polymers. The most common fibre-
strengthened materials are glass-fibre-reinforced polymers.
In these materials, the entire load is essentially carried by
the high elastic modulus fibres. The functions of the ductile
matrix are:
• Separation of the individual fibres.
• Protection of fibres from surface damage.
• Load transfer to the fibres.
• Prevention of crack propagation by blunting its tips by
plastic deformation, if cracks develop due to breakage of
fibres.
A unidirectional array of fibres in a matrix will result in a
highly anisotropic material where properties will vary with
change in the orientation of the body. Note that strong
composite materials can also be produced by reinforcement
of particles in a matrix, in which the properties are expected
to be isotropic; i.e., the properties are equal in all directions.
8. Strengthening Due to Vacancies and Interstitials
An excess of vacancies can be retained by quenching a metal
from near its melting point, and the CRSS of aluminium
33
single crystal was found (Maddin and Cotrell 1955) to
increase from 5 to 50 kPa by the presence of such
quenched-in vacancies, because excess vacancies migrate to
dislocations and pin them in a way similar to solute atoms.
Vacancies and interstitials can also be created by the
movement of jogs produced by intersection of dislocations
and by high energy irradiation, where fast-moving (high
energy) atomic particles collide with a solid metal, such as
neutron irradiation. Neutron irradiation of an annealed
metal increases its yield stress in the tensile stress–strain
curve by a factor of 2–4. Neutron irradiation increases the
ductile-to-brittle transition temperature in structural steels.
After irradiation, a sharp yield point is developed in FCC
metals, such as copper and aluminium, but the yield point is
often eliminated in BCC metals, such as steel and
molybdenum.
9. Martensite Strengthening
Martensite is a phase produced by martensitic transforma-
tion, which involves the coherent formation of one phases
from another of the same composition by a diffusionless,
lattice shear process. Several metallurgical systems show
martensitic transformation, but a pronounced strengthening
effect is observed in the alloys based on Fe–C system
because of the presence of interstitial carbon atoms. Thus,
the transformation of austenite to martensite in steel causes
its yield strength and hardness to increase with increase in
carbon content (Bain and Paxton 1961). The reasons of
strengthening in Fe–C martensite are:
• Solid solution strengthening by interstitial carbon atoms,
which is considered to be a major cause of high hardness
and strength of martensite. Figure 1.21 (Krauss 1999)
shows the creation of distortion dipole by displacements
of iron atoms by excess amount of carbon atoms residing
in sites of octahedral voids of BCT lattice in martensite.
This distortion of iron lattice creates stress field around it
and makes the movement of dislocation though this stress
field very difficult. This strengthening follows a
square-root dependency with carbon content of austenite,
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
i.e. 0:2% offset yield strength4 / weight% of C; which
implies that the rise of strength with increasing carbon is
initially rapid, but subsequently slows down at higher
carbon. In case of alloy steel, solid solution strengthening
due to substitutional alloying elements (which is not so
great) is added to that due to carbon.
4
See Sect. 1.9.1 in this chapter for discussion on 0:2% offset yield
strength.
34
Fe atoms
C atoms
Range of
Fe-atom
displacements
c
a II. During its transformation to martensite, by a process
a
Fig. 1.21 Displacements of iron atoms due to carbon atoms in
martensite (Krauss 1999)
• Martensitic substructure consists of high dislocation
density or fine twin structure. Low-carbon martensite
laths, which are aligned parallel to form a packet, usually
contain a high dislocation density of 109–1010 mm−2 and
high carbon martensite plates, which are oriented ran-
domly, usually contain very fine parallel transformation
twins, each about 0.1 lm thick. This martensitic sub-
structure acts as effective barriers to dislocation motions
and aids in increasing the strength of martensite. This
substructure strengthening is relatively constant as a
function of carbon content and, except at low-carbon
concentrations, does not make nearly as great a contri-
bution as does the carbon solid solution strengthening.
• Carbon atom segregation to the dislocation fine structure
and/or lath and packet boundaries during autotempering
of low-carbon martensite having high Ms (Ms is the
temperature, where martensite reaction starts).
• Fine particle size of martensite crystal.
Thermomechanical treatments (TMT) applied to steel to
form martensite from plastically deformed strain-hardened
austenite containing higher dislocation density generally
produce higher strength than the conventionally formed
1 Tension
martensite, with sometimes improvement in ductility and/or
toughness. Austenite can be deformed:
I. Prior to its transformation to martensite:
(a) Above the upper critical temperature of steel with
or without recrystallization, by a process known
respectively as controlled hot rolling or hot-cold
work.
(b) Within upper and lower critical temperature of
steel, by a process known as intercritical TMT.
A typical example of the product after quenching
is dual-phase steel consisting of martensite fibres
in ferrite.
(c) Below the lower critical temperature of steel
without allowing transformation to pearlite or
bainite, by a process known as ausforming or
ausrolling or ausworking.
known as isoforming or zerolling, where martensite
transformation can be due to a stress-assisted or
stress-induced transformation. For example, this treat-
ment can be applied to 18/8 austenitic stainless steels.
III. After its transformation to martensite, by a process
known as marforming. For example, marforming
treatment with a high degree of cold working can be
applied to soft (about RC 30) martensite in maraging
steel.
The most important TMT is ausforming, in which steel in
a metastable austenitic condition is deformed (usually rolled)
in excess of 50% (usually 80–90%) below the lower critical
temperature in the bay of time–temperature–transformation
curve of the steel (usually between 400 and 600 °C) fol-
lowed by quenching below the Ms to transform to marten-
site. This treatment can increase strength up to 50% with no
significant deterioration in ductility and impact toughness
which, in some cases, are even higher than those obtained in
a conventionally formed martensite. The yield and tensile
strength of ausformed steel is proportional to the strain
imparted to the metastable austenite. Strengthening is usu-
ally in the range of 4–9 MPa for each 1% deformation and
greater for higher initial yield strength of steel. Strength
properties of ausformed martensite increase on lowering the
deformation temperature of the metastable austenite because
of its increased strain hardening. Hence for a given alloy,
highest strength is obtained by imparting greatest possible
deformation to the metastable austenite at the lowest tem-
perature. The presence of strong carbide forming elements in
1.5 Elements of Plastic Deformation 35

steel promotes increased strength. The main reasons where r1 ; r2 and r3 represent the principal stresses in
responsible for the increased strength in ausforming are: the principal directions ‘1’, ‘2’ and ‘3’.
(2) The other component of stress is the stress deviator,
• Strain-induced precipitation of carbides that occurs in usually denoted by r0 ; which involves the shear stresses
austenite prior to its transformation, particularly in the and is responsible for producing plastic deformation. If
presence of strong carbide formers such as Mo. The the stress deviators in the principal directions ‘1’, ‘2’
martensite is dispersion strengthened as soon as it is and ‘3’ are, respectively, r01 ; r02 and r03 ; they can be
formed and the pre-existing fine carbides also serve to determined by subtracting the mean stress rm ; from
refine the structure of martensite. their corresponding principal stresses r1 ; r2 and r3 ;
• Inheritance of dislocation structure of the deformed which are shown below:
austenite by the ausformed martensite. Dislocations with
a very high density (1011 mm$2 ), which are distributed r 1 þ r2 þ r3
r01 ¼ r1 $ rm ¼ r1 $
uniformly in martensite, are locked by carbon atoms and -3 . ð1:60aÞ
carbon precipitates. 1 2 1
¼ ½2r1 $ r2 $ r3 ) ¼ r1 $ ðr2 þ r3 Þ
• Development of texture in martensite. 3 3 2
• Refinement or reduction of structural units in a direction - .
2 1
normal to the rolling plane because of reduction in the Similarly; r02 ¼ r2 $ rm ¼ r 2 $ ð r 1 þ r3 Þ
size of austenite grains in that direction. 3 2
ð1:60bÞ
As a result of these strengthening mechanisms, the yield - .
strengths of ausformed steels can reach to a very high value of 2 1
And; r03 ¼ r3 $ rm ¼ r3 $ ð r 1 þ r 2 Þ ð1:60cÞ
about 2–3 GPa with reductions of area varying from 40 to 20%. 3 2

1.5.8 Spherical and Deviator Components

of Stress 1.5.9 Yielding Criteria for Ductile Metals

In the theory of plasticity, the part of the total stress, which is
capable of producing the plastic deformation, must be indi-
cated. Hence, the total stress can be divided into two com-
ponents as follows:
(1) Hydrostatic or spherical component of stress, which
includes only pure tension or compression. Materials
can bear very large hydrostatic or spherical state of
stress, without experiencing any plastic deformation.
However, hydrostatic stress can cause elastic change in
volume. For example, when equal compressive stresses
act from all directions on a material subjected to plastic
deformation, the stresses will push the atoms closer
together in all directions, but the atomic structure is not
distorted. Hence, there is no plastic deformation of the
material and only its volume is reduced. Under an ideal
state of hydrostatic compression, even the failure of the
material becomes impossible. Bridgman (1945) has
confirmed experimentally that the yield stress of metals
is practically independent of hydrostatic pressure. The
spherical, or the hydrostatic component of stress, usu-
ally represented by rm ; is the mean stress and given by
r1 þ r2 þ r3
rm ¼ ð1:59Þ
3
For a material subjected to any possible combination of
stresses, it is important to predict the conditions at which
plastic flow of the material begins. In uniaxial loading, as in
a uniaxial tension test, the onset of macroscopic plastic
deformation occurs at the yield stress, r0 ; also known as
flow stress.
The yielding criteria are basically empirical relationships,
which correlate the initiation of plastic yielding under a
situation of combined stresses with some particular combi-
nation of principal stresses. To predict the onset of yielding
in ductile metals, two yielding criteria based on a number of
experimental observations are generally accepted, which are
discussed below:
(I) Von Mises’ or Distortion Energy Yielding Criterion
or Theory
Von Mises (1913) proposed that yielding would occur when
the following relation is satisfied
1
½ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2 ) ¼ k2 ð1:61Þ
6
where the constant k in (1.61) can be identified as follows by
considering the state of stress in pure shear that is produced
36 1 Tension

in biaxial torsion. If r1 is the algebraically largest principal
normal stress and r2 is the algebraically smallest principal
normal stress, the principal stresses in biaxial torsion are:
r1 ¼ rmax ¼ $r2 ¼ smax ; and r3 ¼ 0;
Because from (1.48),
Advantages of Von Mises’ yielding criterion:
• Since the criterion involves squared terms, the result is
independent of the sign of individual stresses.
• In order to use this criterion, it is not necessary to know
which are the largest and the smallest principal stresses.

r1 $ r2 Why the Name Distortion Energy Yielding Criterion?

maximum shear stress; smax ¼ ¼ r1 ¼ rmax :
2
The part of total strain energy per unit volume that is
Now, from (1.61) at yielding, 16 ½4r21 þ r21 þ r21 ) ¼ k2 ; involved in the change of shape as opposed to a change in
volume is called the distortion energy per unit volume. Let
) r1 ¼ rmax ¼ $r2 ¼ smax ¼ k ð1:62Þ
ðUV Þdistortion represents the distortion energy per unit volume.
Therefore, k represents the yield stress in pure shear Henky (1924) showed that yielding will occur when the
(biaxial torsion) or the shearing yield stress. distortion energy ðUV Þdistortion reaches a critical value which
The constant k in (1.61) can be evaluated and related to is equal to the distortion energy for a uniaxial state of stress.
the yielding in the uniaxial tension test as follows. At ðUV Þdistortion is given by the following equation:
yielding, the principal stresses in uniaxial tension are:
1 h
ðUV Þdistortion ¼ ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2
r1 ¼ r0 ; and r2 ¼ r3 ¼ 0; 12G i ð1:65Þ
þ ðr3 $ r1 Þ2
where r0 is the flow stress or yield stress in uniaxial tension.
Putting these values in the above (1.61) of the Von
where G ¼ shear modulus or modulus of rigidity in shear.
Mises’ yielding criterion, we get
In a uniaxial state of stress like a uniaxial tension test, if
1# 2 $ r0 is the yield stress or flow stress, the principal stresses at
r þ r20 ¼ k2 ; or; r20 ¼ 3 k2 ; yielding will be: r1 ¼ r0 ; and r2 ¼ r3 ¼ 0:
6 0 pffiffi
Or, r0 ¼ 3k; ) From (1.65)
.pffiffi 1
) k ¼ r0 3 ¼ 0:577 r0 ð1:63Þ ðUV Þdistortion for uniaxial state of stress ¼ 2r2 ð1:66Þ
12G 0
Therefore from (1.63), it is evident that according to the According to Henky (1924), yielding occurs when
Von Mises’ yielding criterion the yield stress in pure shear or
ðUV Þdistortion ¼ ð UV Þdistortion for uniaxial state of stress :
biaxial torsion, k; will be less than the yield stress or flow
stress in uniaxial tension, r0 . Substituting the above value of Therefore, from (1.65) and (1.66), the final form of the
k from (1.63) in the original (1.61) of Von Mises’ yielding distortion energy criterion will be:
criterion, it takes the following final form, given by (1.64).
1 h i1=2
1h i r0 ¼ pffiffi ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2
ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2 2
6 ð1:67Þ
r20
¼ k2 ¼ ;
3 Since the yielding criterion based on the distortion energy
1 h given by (1.67) is identical with that proposed by Von Mises
) r0 ¼ pffiffi ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2
2 shown by (1.64), so the ‘Von Mises’ yielding criterion’ is
i1= also called the ‘distortion energy yielding criterion’.
2
þ ðr3 $ r1 Þ2 ð1:64Þ
(II) Maximum Shear Stress or Tresca Yielding Crite-
Equation (1.64) predicts that plastic yielding under a rion or Theory
situation of combined stresses will begin when the yield
stress in uniaxial tension, r0 ; is exceeded by the differences The above yielding criterion, suggested by Tresca (1864),
of principal stresses given by the right-hand side of (1.64). states that yielding will occur in any state of stress when the
1.5 Elements of Plastic Deformation 37

maximum shear stress reaches a critical value equal to the Now, substituting the value of r0 from (1.69) in (1.68a),
maximum shear stress in a uniaxial tension test. Thus, we get the maximum shear stress yielding criterion in the
yielding occurs when smax ¼ s0 ; where s0 the maximum following form:
shear stress in a uniaxial tension test. r1 $ r2 ¼ r0 ¼ 2k ð1:68bÞ
From (1.48), it can be recalled that
Thus, two expressions for the maximum shear stress
r1 $ r2 yielding criterion are:
maximum shear stress; smax ¼ :
2
ðiÞ r1 $ r2 ¼ r0 : ðiiÞ r1 $ r2 ¼ 2k:
Since in uniaxial tension,
where r1 is the algebraically largest principal normal stress
r1 ¼ r0 ; ½r0 is the flow stress or yield stress
and r2 is the algebraically smallest principal normal stress.
in uniaxial tension); and r2 ¼ r3 ¼ 0: Note that according to the maximum shear stress yielding
r0 r1 $ r2 r0 criterion, yielding is independent of the magnitude of the
So, s0 ¼ ; ) ¼ ;
2 2 2 intermediate principal stress r3 ; which is not really true.
Or, r1 $ r2 ¼ r0 ð1:68aÞ The advantage of the maximum shear stress yielding
criterion is its mathematical simplicity compared to the Von
The maximum shear stress or Tresca yielding criterion is
Mises’ yielding criterion. Its difficulty is that one needs to
expressed mathematically by (1.68a).
know in advance which are the largest and the smallest
The yield stress in pure shear shown by (1.62) and rep-
principal stresses.
resented by k; can be evaluated and related to the yielding in
It has been experimentally shown (Taylor and Quinney
the uniaxial tension test according to the above theory, as
1931) that practical results are closely approximated by the
follows:
von-Mises’ yielding criterion than by the Tresca yielding
For a state of pure shear the principal stresses are:
criterion. Hence, von-Mises’ yielding criterion is generally
r1 ¼ $r2 ¼ k; and r3 ¼ 0:
accepted and applied in most analysis throughout this book.
From (1.48), the maximum shear stress for a state of pure
shear is:

r1 $ r2 2 r1 1.5.10 Octahedral Shear Stress and Shear Strain

smax ¼ ¼ ¼ r1
2 2
¼ k ¼ maximum shear stress in uniaxial tension The octahedral planes are the faces of a three-dimensional
r0 octahedron. They make equal angles with each of the three
¼ s0 ¼ ; principal stress axes; i.e., their direction cosines are same.
2
r0 The angle between the normal to one of the planes and the
)k¼ ¼ 0:5 r0 or; r0 ¼ 2k %pffiffi
2 nearest principal axes is 54°44′, whose cosine is 1 3: The
ð1:69Þ family of {111} planes in an FCC crystal lattice are octa-
The ratio of yield stress in pure shear, k; to the yield stress hedral planes.
in uniaxial tension, r0 ; according to Von Mises’ yielding The stress acting on each face of such octahedron is oc-
%pffiffi tahedral stress, which can be resolved into two components
criterion is 1 3; as evident from (1.63), while the ratio
(Nadai 1950):
according to maximum shear stress yielding criterion is 1=2;
as shown by (1.69).
1. Normal octahedral stress. It is the hydrostatic component
kVon Mises0 yielding criterion of the total stress and cannot cause plastic deformation in
Hence; solid materials. It is denoted by roct ; and given by
kmaximum shear$stress yielding criterion
pffiffi
r0 = 3 2 r 1 þ r 2 þ r3
¼ ¼ pffiffi ¼ 1:155; roct ¼ ¼ rm ð1:70Þ
r0 =2 3 3
Therefore, the value of shear stress for yielding, i.e. ‘k’, as 2. Octahedral shear stress acting along the octahedral plane,
given by the more accurate Von Mises’ yielding criterion, is represented by soct ; and it is responsible for yielding. So,
15.5% higher than that given by the maximum shear stress its function resembles to that of the stress deviator and
yielding criterion. given by
38 1 Tension

1h i1=2 Nadai (1937) has shown that the octahedral shear stress
soct ¼ ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2 ð1:71Þ and shear strain are invariant functions of stress and strain
3
Hence, it is assumed that yielding will occur in any state of that describe plastic deformation regardless of the state of
stress when the octahedral shear stress soct reaches a critical stress. Most frequently used invariant stress and strain
value equal to the octahedral shear stress in a uniaxial tension functions, which describe the flow curve independent of the
test ðsoct Þuniaxial tension ; i.e., when soct ¼ ðsoct Þuniaxial tension : state of stress, are effective or significant stress, usually
denoted by r !; and effective or significant strain, normally
Hence for uniaxial tension, substituting r1 ¼ r0 into (1.71),
represented by !e: These are shown respectively by (1.76) and
we get
(1.77a).
pffiffi
2 Significant or effective stress is:
ðsoct Þuniaxial tension ¼ r0 ¼ 0:471r0 ð1:72Þ pffiffi h
3 i1=2
2
Equating (1.71) and (1.72), the yielding criterion can be r¼
! ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2 ð1:76Þ
2
written as
Significant or effective strain is:
1h i1=2
pffiffi h
soct ¼ ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2 2 i1=2
3 pffiffi !e ¼ ðe1 $ e2 Þ2 þ ðe2 $ e3 Þ2 þ ðe3 $ e1 Þ2 ð1:77aÞ
2 3
¼ ðsoct Þuniaxial tension ¼ r0 ;
3 To express the effective or significant strain, another form
1 h i1=2
of (1.77a) is as follows:
) r0 ¼ pffiffi ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2 þ ðr3 $ r1 Þ2
2 pffiffi h i1=2
2
ð1:73Þ d!e ¼ ðde1 $ de2 Þ2 þ ðde2 $ de3 Þ2 þ ðde3 $ de1 Þ2
3
Since (1.73) is same as (1.67) in distortion energy theory, ð1:77bÞ
so the octahedral shear stress yield theory and the distortion
energy yield theory will produce the identical result. The strain considered in (1.77) is the plastic strain, where
Similar to octahedral normal stress, the octahedral linear plastic strain ¼ total strain $ elastic strain: Elastic strains
strain eoct acting on each face of the three-dimensional can be ignored in comparison with enormous amount of
octahedron, which is the mean of the total strain, is given by plastic strains involved during metal working processes, but
in many plasticity problems the elastic strains cannot be
e1 þ e2 þ e3 neglected.
eoct ¼ ¼ em ð1:74Þ
3
Octahedral shear strain is given by
1.5.12 Levy–Mises Equations for Ideal Plastic
2h i1=2 Solid
coct ¼ ðe1 $ e2 Þ2 þ ðe2 $ e3 Þ2 þ ðe3 $ e1 Þ2 ð1:75Þ
3
The relation between stresses and the differentials or incre-
ments of plastic strain for an ideal rigid plastic solid, where
the elastic strains are negligible, is called flow rules or the
1.5.11 Invariants of Stress and Strain
Levy–Mises equations. The Levy–Mises equations neglect
elastic strains and are only applicable to problems of large
Invariant functions of stress and strain are those which
plastic deformation, such as in metal working processes.
describe the flow curve independent of state of stress (the
Let us consider yielding under uniaxial tension where the
type of test). When the plastic stress–strain curve, i.e. the
principal stresses are: r1 6¼ 0; but r2 ¼ r3 ¼ 0, and the
flow curve is plotted with invariant stress function as the
respective principal plastic strains are e1 ; e2 and e3 : The
ordinate and invariant strain function as the abscissa,
hydrostatic component of total stress in uniaxial tension will
approximately the same curve will be obtained irrespective
be: rm ¼ r1 =3: The stress deviators, which are only respon-
of the state of stress. So, a complex state of stress and strain
sible for yielding in uniaxial tension, are shown below:
can be simplified by means of invariant functions of stress
and strain. For example, when the flow curves for a uniaxial 2r1
r01 ¼ r1 $ rm ¼
; and r02 ¼ r03 ¼ r2 $ rm ¼ r3 $ rm
tension test and a biaxial torsion test are plotted in terms of 3
the invariant functions of stress and strain, both the curves r1 r1
¼0$ ¼$
will be identical. 3 3
1.5 Elements of Plastic Deformation 39

From above, it is found that pffiffi " & ' & '
2 4 2 3r1 3r2 2 4 2 3r2 3r3 2
d!e ¼ dk $ þ dk $
r01 ¼ $2r02 ¼ $2r03 ð1:78Þ 3 9 2 2 9 2 2
& ' #1=
Since the volume remains constant during plastic defor- 4 2 3r3 3r1 2 2
mation, the value of Poisson’s ratio is m ¼ 1=2: Hence, one þ dk $
9 2 2
can write for an ideal plastic solid, pffiffi h
2
transvere strain ¼ dk2 ðr1 $ r2 Þ2 þ dk2 ðr2 $ r3 Þ2
Poisson’s ratio; m ¼ 3
longitudinal strain i1=
2
transvere strain increment de2 þ dk2 ðr3 $ r1 Þ2
¼ ¼ pffiffi
longitudinal strain increment de1 *pffiffi h
2 2 2
de3 1 ¼ dk pffiffi ðr1 $ r2 Þ2 þ ðr2 $ r3 Þ2
¼ ¼$ 3 2 2
de1 2 )
i1=
) de1 ¼ $2de2 ¼ $2de3 2 2
þ ðr3 $ r1 Þ
ð1:79Þ
2
Now from (1.78) and (1.79), one can relate the stress ¼ dk! r: ½with the help of ð1:76Þ)
3
deviators with the plastic strain increments as follows: 3 d!e
) dk ¼
r01 de1 r01 de1 2r!
¼ $2 ¼ ; or; ¼ $2 ¼ ð1:80Þ ð1:83Þ
r20 de2 r30 de3
Putting the value of dk from (1.83) in (1.82a), (1.82b) and
Equation (1.80) can be generalized in following form of
(1.82c), the final form of Levy–Mises equation is obtained as
the Levy–Mises equation:
follows:
- .
de1 de2 de3 d!e 1
¼ 0 ¼ 0 ¼ constant ¼ dk ðsay) ð1:81Þ de1 ¼ r 1 $ ð r 2 þ r3 Þ ð1:84aÞ
r01 r2 r3 r
! 2
Levy and Von Mises proposed that the increments of - .
d!e 1
plastic strain are related to stress deviators by the above de2 ¼ r 2 $ ð r 1 þ r3 Þ ð1:84bÞ
r
! 2
relation given by (1.81). It shows that at the moment of
plastic deformation the ratio of the plastic strain increments - .
d!e 1
to the instantaneous stress deviators is constant. With the de3 ¼ r3 $ ðr1 þ r2 Þ ð1:84cÞ
r
! 2
help of (1.60a), (1.60b) and (1.60c), (1.81) can be expressed
in terms of the actual applied stresses as follows: Comparison between (1.32) developed for an elastic solid
- . and (1.84) developed for an ideal rigid plastic solid shows
2 1 they are very similar, except the pre-bracketed part 1=E of the
de1 ¼ dk r1 $ ðr2 þ r3 Þ ð1:82aÞ
3 2 former equation has been replaced by a ratio of d!e=! r in the
- . latter equation. Further, in the flow rule (1.84), the value of m
2 1 has been taken 1=2 due to plastic deformation, while no value
de2 ¼ dk r2 $ ðr3 þ r1 Þ ð1:82bÞ
3 2 of m has been substituted in (1.32) because of variation of
- . m-values from 1=4 to less than 1=2 during elastic deforma-
2 1
de3 ¼ dk r3 $ ðr1 þ r2 Þ ð1:82cÞ tion of nonporous solids. It is to be noted that 1=E always
3 2 remains constant but the ratio d!e=!r in the equation of flow rule
changes throughout the period of plastic flow and this ratio
By substituting de1 ; de2 ; de3 ; from (1.82a), (1.82b) and can be estimated by considering the plastic strain increment d!e
(1.82c) in the effective strain (1.77b), the constant dk; can be in the plot of effective stress versus effective strain, by the
evaluated as follows: method shown in Fig. 1.22, where d!e=! r ¼ cot h:
40 1 Tension

(I) Maximum Shear Stress Yielding Criterion

Since r3 is a principal stress intermediate between r1 and r2 ;

the above criterion (1.68b) is given by

r1 $ r2 ¼ r0 ¼ 2k ¼ r00 ð1:86aÞ

where
σ
σ r00 flow stress under plane strain condition,
r0 flow stress under homogeneous strain condition, and

%
k ¼ yield stress in pure shear ¼ r00 2 ð1:87Þ
dε
cot θ =
θ σ The above (1.86a) can also be expressed in terms of the
deviatoric stresses r01 and r02 ; as follows:
Prior strain
dε ε
increments r01 $ r02 ¼ r0 ¼ 2 k ¼ r00 ð1:86bÞ

Fig. 1.22 Method of evaluating d!e=!

r in flow rule (1.84a)
(II) Von Mises’ Yielding Criterion
1.5.13 Yielding Criteria Under Plane Strain
By substituting the value of r3 from (1.85) into the above
If there is no strain in one of the primary directions, the criterion given by (1.64), it changes to (1.88) as shown
situation is called plane strain condition. To produce such below:
condition, plastic deformation must be physically restrained - n (r $ r )o2
1 1 2
along one direction. Such constraint can be developed with r0 ¼ pffiffi ðr1 $ r2 Þ2 þ $
2 2
the help of an external barrier like a die wall, or the middle
n (r $ r )o2 .1=2
part of a material can be plastically deformed which can be 1 2
þ $
constrained by the surrounding rigid part (the region may be 2
elastically deformed) of the material. For example, during 1h i
4ðr1 $ r2 Þ2 þ ðr1 $ r2 Þ2 þ ðr1 $ r2 Þ2 ¼ 2r20
rolling, the width of the stock remains usually more or less 4
constant and, hence, rolling is normally considered to be a 6
Or, ðr1 $ r2 Þ2 ¼ 2r20 ;
plane strain deformation. 4
Let the three mutually perpendicular principal axes are 8
Or, ðr1 $ r2 Þ2 ¼ r20 ;
‘1’, ‘2’ and ‘3’, which are respectively normal to the prin- rffiffi 6
cipal planes of ‘23’, ‘31’ and ‘12’. Plane strain condition 8 2
) r1 $ r2 ¼ r0 ¼ pffiffi r0 ð1:88aÞ
exists if the plastic flow occurs everywhere only parallel to a 6 3
given plane; i.e., all plastic deformations are restricted to a Since, on the basis of von Mises’ yielding criterion, the
particular plane, say, the plane ‘12’, and the flow does not uniaxial tensile yield stress r0 is related to the shearing yield
depend on the direction ‘3’. In such case, the principal pffiffi
stress k; as r0 ¼ 3k; [see (1.63)], from (1.88a), it can be
plastic strain in direction ‘3’ is practically absent, i.e. e3 ¼ 0; ! %pffiffi "
or the increment of principal plastic strain in the direction ‘3’ written as 2 3 r0 ¼ 2 k ¼ r00 ; where r00 ¼ flow stress
is: de3 ¼ 0: Hence from Levy–Mises (1.84c), we get under plane strain condition, also known as constrained
- . yield stress. Hence according to Von Mises’ yielding crite-
d!e 1 rion, r00 ¼ 1:155r0 ; i.e. r00 is 15% greater than the homo-
de3 ¼ 0 ¼ r 3 $ ð r1 þ r2 Þ :
r
! 2 geneous yield stress r0 ; and r00 must always be used for
) Stress in the principal direction ‘3’ is: plane-strain deformation.
1 Hence under plane strain condition, the von Mises’
r3 ¼ ðr1 þ r2 Þ ð1:85Þ yielding criterion finally reduces to
2
Therefore, even though the strain in a direction is zero, a ) r1 $ r2 ¼ 2 k ¼ r00 ð1:88bÞ
constraining stress acts in that direction.
1.5 Elements of Plastic Deformation 41

It must be noted that the above both yielding criteria are 1.6.1 Type I: Elastic Behaviour
equivalent under a plane strain condition. It is also to be
noted that in both (1.86a) and (1.88b), r1 is the algebraically Elastic deformation is reversible where the object returns to
greatest principal normal stress and r2 is the algebraically its original shape and size on release of the applied force.
smallest principal normal stress. Material under this category will show elastic deformation
right up to the point of fracture. The resulting stress–strain
curve for this kind of material is usually linear, as shown in
1.6 Types of Tensile Stress–Strain Curve Fig. 1.24a, although it may be sometimes nonlinear as
shown in Fig. 1.25. Brittle materials, such as glasses, rocks,
In a uniaxial tensile test, a suitably designed specimen, after concrete, many ceramics, heavily cross-linked polymers,
measuring its lateral dimensions and marking its gage cast iron and some other B.C.C. metals at low temperature,
length, is subjected to increasing axial load until it fractures. will show linear elastic behaviour, although some brittle
Schematic diagram of one model of a tensile testing machine materials such as cast iron and some other B.C.C. metals at
is displayed in Fig. 1.23. During the test, the simultaneous low temperature usually exhibit a little amount of plastic
readings of load, P, and deformation or extension, DL; are range. A completely brittle material, such as glass, exhibits
recorded at frequent intervals. These above recorded read- no plastic deformation as shown in Fig. 1.24a, but a brittle
ings are converted to the engineering stress, S; and the metal-like white cast iron will show a slight amount of
engineering strain, e, according to (1.24) and (1.5), respec- plasticity before fracture, as shown in Fig. 1.24b which has
tively, and the values are plotted as S $ e diagram. The also been included in the same category of stress–strain
shape of S $ e diagram will be the same as that of the curve. Generally, brittle materials are stronger in compres-
load-deformation, i.e., P–DL diagram. Different types of sion than in tension, sometimes by a large factor. Naturally,
tensile stress–strain curve reflecting different deformation applications of these materials under tensile loading are
characteristics have been discussed below in this section. restricted, but they may be applied successfully in services
Hooke’s law stated in Sect. 1.4 is applicable to the linear under compressive loads as compression tends to close up
elastic part of stress–strain curves discussed below. cracks present in brittle materials causing much greater
resistance to fracture. For example, concrete is used widely
Cross yoke in compression but not in tension, and if required, the con-
crete is reinforced by the addition of steel bars that bear the
Load cell tensile loads.
In Fig. 1.25, nonlinear elastic stress–strain diagram has
Testing machine been shown for elastomer or rubber which is characterized
Upper limit main unit by very large elastic strain, often in excess of 100%. Shape
switch knob memory alloys such as Nitinol also exhibit large and non-
Movable linear elastic deformation range. The tensile stress–strain
Sensor crosshead curve of elastomer or rubber has some similarity with that of
switch crystalline polymer under the category of Type V behaviour,
Control/display
panel discussed later, though there are notable differences as fol-
Load fixture lows. Elastomers or rubbers show no drop of stress at
intermediate strains; i.e., the slope of the stress–strain curve
Lower limit for them is always positive. Further, most strains in them are
switch knob
Control unit fully reversed, though nonlinearly. In the unstressed condi-
tion, the structure of rubber is vey disorganized with the
Fixed chains having a random coiled configuration. On tensile
crosshead loading, the chains of the rubber become straightened and
aligned. As a result, the extent of elastic deformation is very
high for rubber. The straightening of the chains in rubber is
responsible for the rapid rise of stress at large strains, as
Emergency switch shown in Fig. 1.25. However, on the release of applied load,
the chains of rubber again return to the random curled
configuration, indicating that this configuration is the pre-
Fig. 1.23 Schematic diagram of one model of a universal tensile
testing machine
ferred one for rubber.
42 1 Tension

Fig. 1.24 Type I: schematic (a) Proportional limit (b) S1 S2

engineering stress–strain curves and fracture strength Young Modulus, E = =
showing linear elastic behaviour e1 e2
for a a completely brittle material,
such as glass and b a brittle Fracture
material with a very little Proportional
ductility, such as white cast iron limit

Loading path Fracture

Engineering stress, S

Engineering stress, S
Ultimate and
fracture
strength
Unloading path

S2
S1
e2
Type I Type I
e1

O Engineering strain, e O Engineering strain, e

The essential feature is that both the linear and nonlinear

elastic curves will return to the origin, if the applied load is A
removed from the tensile specimen before the point of Type I
fracture. The reversible nature of strain is a basic element of
elastic strain in any material, irrespective of its capability to
Engineering stress

undergo much larger total strain or not. In case of a linear Loading curve
elastic plot, the unloading curve will flow the same path but
in reverse direction as compared to the loading curve, as 1
shown by the arrow marks in Fig. 1.24a. But the paths fol-
lowed by a nonlinear elastic curve during loading and
unloading are different. The nonlinear unloading curve is 2
usually somewhat lower than the nonlinear loading curve as
shown in Fig. 1.25. Unloading curve

1.6.2 Type II: Elastic–Homogeneous Plastic
Behaviour
Material under this category will show linear elastic defor-
mation up to small strain and thereafter a gradual transition
from elastic to homogeneous plastic deformation, i.e., irre-
versible flow that continues up to the point of fracture as
shown in Fig. 1.26. Beyond the elastic strain, the stress–
strain curve in Fig. 1.26 shows a smooth parabolic region
which is associated with homogeneous plastic deformation
process, such as irreversible movement of dislocation in
metals, ceramics and crystalline polymers. Generally, this
type of curve is very common for face-centred-cubic
(FCC) metals. Body-centred-cubic (BCC) metals at ele-
vated temperature also show this kind of curve.
O Engineering strain
Fig. 1.25 Type I: schematic engineering stress–strain diagram show-
ing nonlinear elastic behaviour for elastomer or rubber during loading
and unloading, represented respectively by curves ‘1’ and ‘2’
1.6.2.1 Engineering Stress–Strain Diagram
A real ductile material, which undergoes strain hardening,
will cause an increase in load as well as engineering stress
required to cause plastic deformation as long as the decrease
in cross-sectional area along the gage length of the specimen
is uniform. Because the strain hardening increases the load
needed to deform the material plastically, this increase is
greater than the decrease in load caused by the reduction in
instantaneous cross-sectional area of specimen. Hence dur-
ing uniform elongation, the higher rate of strain hardening
1.6 Types of Tensile Stress–Strain Curve
Strain to fracture, ef
Uniform strain, eu
Offset
Engineering stress, S
Fracture
yield
strength, S0
Ultimate tensile
strength, Su
Fracture
strength, Sf
Type II
Engineering strain, e
Fig. 1.26 Type II: schematic engineering stress–strain curve showing
linear elastic behaviour followed by a region of homogeneous plastic
deformation. Different tensile properties are also shown in the diagram
makes the material stronger and increases the applied load.
But as soon as ‘necking’ of the specimen of a ductile
material begins, the condition is reversed causing the applied
load to drop. Thus, the point of maximum load in the load–
deformation curve indicates the point of initiation of necking
in the tensile specimen. Necking is the localized plastic
deformation at some weak region in the tensile ductile
specimen. Once the necking starts, all further plastic defor-
mations are concentrated in that weak region causing this
region to thin down locally. Finally, it results in the localized
reduction of cross-sectional area at that weak region in the
tensile specimen. At this stage of the tensile test, the load
needed to continue plastic deformation drops due to rapid
decrease in the cross-sectional area in the necked region of
the tensile ductile specimen. So the engineering stress S
based on the original cross-sectional area of specimen
decreases causing the engineering stress versus engineering
strain curve (S $ e curve) to decline beyond the point of
maximum load, i.e. the onset of necking for a ductile
material (Fig. 1.26). This falling-off continues till the point
of fracture and fracture usually takes place at the necked
region of the tensile specimen. But an ideal plastic material
in which no strain hardening occurs would start to neck as
soon as the material yields and the applied load as well as
engineering stress (proportional to load) would decrease
43
with the progress of plastic deformation due to localized
reduction in cross-sectional area of the specimen.
1.6.2.2 True Stress–Strain Diagram
Actually, the strain hardening of the tensile specimen con-
tinues throughout till the point of fracture so that the stress
required for further progress of plastic deformation should
also increase. The above can easily be understood from the
true stress–true strain diagram (r $ e curve) that increases
continuously up to the point of fracture unlike the S $ e
curve, because the true stress r is based on the actual
cross-sectional area of specimen at the moment of observa-
tion, which causes r to increase.
The true stress r can be determined from the value of
conventional or engineering stress S; according to (1.28) or
(1.29), which is applicable only during uniform plastic
deformation because both constancy of volume and homo-
geneous distribution of strain along the gage length of tensile
specimen are assumed in the derivation of (1.28) or (1.29).
But once the necking begins, the true stress, r, must be
determined from measurements of the actual load and the
instantaneous minimum cross-sectional area in the necked
region of the tensile specimen, according to (1.25). Thus, a
true stress–true strain diagram (r $ e curve) can be con-
structed from the engineering stress versus the engineering
strain diagram up to the point of maximum load beyond
which measurements of load at the moment of observation
and instantaneous minimum cross-sectional area at the neck
are required to generate the r $ e curve. Similarly beyond
the point of the maximum load, the true strain e cannot be
calculated from the measured value of conventional or
engineering strain e, with the help of (1.10), which is valid
for a homogeneous distribution of strain along the gage
length of the tensile specimen. Hence, the natural or true
strain, which is based on the measurement of actual
cross-sectional area or diameter of the tensile specimen,
must be determined according to (1.89a) or (1.89b) beyond
the point of the onset of necking.
Let us assume that L0, A0 and D0 represent, respectively,
original gage length and initial average cross-sectional area
and initial average diameter of tensile specimen and that L; A;
and D are, respectively, instantaneous values of gage length,
smallest cross-sectional area and minimum diameter during
tensile deformation at any point between the onset of necking
and the fracture of tensile specimen. Due to the constancy of
volume, V; during plastic deformation, one can write
44 1 Tension

V ¼ LA ¼ constant; ) dV ¼ AdL þ LdA ¼ 0; of maximum load, since the true strain is higher and the true
dL dA stress calculated from (1.25) is always higher than the
Or; ¼$ ; engineering stress calculated from (1.24), the true curve
L A
overtakes the engineering curve; i.e., the points on the true
Hence from (1.7), curve are to the right and above of those on the engineering
curve beyond the point of maximum load. From the point of
true strain
maximum load to fracture, the true curve increases contin-
Ze ZL ZA uously upward and is frequently linear, whereas the engi-
dL dA A0 ð1:89aÞ
e¼ de ¼ ¼ $ ¼ ln neering curve continuously bends downward. The fracture
L A A
0 L0 A0 point on the true curve is far to the right and above of that on
the engineering curve.
Or, for cylindrical tensile specimen, true strain A true-stress–true-strain curve is also known as a flow
%
A0 pD20 4 D0 ð1:89bÞ curve, and the true stress is called flow stress, because the
e ¼ ln ¼ ln 2 ¼ 2 ln curve represents the basic plastic-flow characteristics of the
A pD =4 D
material and any point on this curve can be considered as the
Figure 1.27 shows the true-stress–true-strain curve with yield stress or flow stress of a material that has been plas-
its corresponding engineering stress–strain curve for the tically deformed in tension up to that point. Thus, if the load
purpose of comparison. In this figure, the elastic regions of is released at that point and then reapplied, the material will
both the curves have been compressed into the stress axis show elastic behaviour over almost total span of the
because of the relatively large plastic strains. On the two reloading. This has been shown with the help of the
curves in Fig. 1.27, the corresponding points are joined to true-stress–true-strain curve drawn in Fig. 1.28, where the
show their relations one to the other. In agreement with material is unloaded after being loaded into the plastic range
(1.10) and (1.28) or (1.29), the points on the true-stress– and then reloaded. In this context, it is relevant to discuss on
true-strain curve are always to the left and above of those on loading of a member into the plastic range and unloading it
the engineering curve till the point of maximum load, i.e. the from there.
onset of necking. Beyond this point of maximum load,
because of high local necking strain, the values of true strain 1.6.2.3 Loading and Unloading
calculated from (1.89a) or (1.89b) becomes higher than those Figure 1.29 shows the relative amounts of elastic, anelastic
of engineering strain calculated from (1.5). Beyond the point and plastic strain in tensile specimens of the same material

Fig. 1.27 Comparison of

engineering and true stress–strain Applied true
curves for a ductile material fracture strength, σf app
(schematic)
True fracture strain, εf

True Tensile strength, σu

Unifrom
True local necking strain, εn
true strain, εu
Engineering and true stress

True curve
Corrected true
fracture strength, σf
true

Corrected for necking

Engineering curve
Fracture strength, Sf

Unifrom
engineering strain, eu
Maximum load
Tensile strength, Su Fracture

Engineering and true strain

1.6 Types of Tensile Stress–Strain Curve 45

ing
Continued load

Loading
True stress

ing

ing
oad

Stress
Load Reloading Unloading
Unl

Parallel lines

Loading
O True strain

Fig. 1.28 Repeated loading (schematic)

when they are unloaded from different points beyond the O Strain
linear elastic part of stress–strain curve. Suppose the speci-
Fig. 1.30 Hysteresis loop in unloading and reloading (schematic)
mens are plastically strained in tension up to two points
A and B on this curve, where OA and OAB are, respectively,
loading paths and AA′ and BB′ are, respectively, unloading where elastic strain from D to B′, eD!B0 ; is greater than
paths of the specimens, and the respective total strains, elastic strain from C to A′, eC!A0 ; as proved below. If rA and
consisting of elastic, anelastic and plastic parts, are OC and rB are respective tensile stresses at points A and B on the
OD. Neglecting slight curvature of the unloading curves, as stress–strain curve, then
shown in Fig. 1.30, it is assumed that the unloading curves
AA′ and BB′ follow paths nearly parallel to the linear elastic eC!A0 ¼ rA =E and eD!B0 ¼ rB =E;
part of the true stress–true strain curve; i.e., the slope of * rB [ rA ; ) eD!B0 [ eC!A0 :
unloading curve is equal to the elastic modulus, E of the
material. The immediate recoverable elastic strains on Therefore, it is clear from above that the higher the tensile
unloading are respectively from points C to A′ and D to B′, stress applied to deform the material plastically is, the higher
the immediate recoverable elastic strain on unloading will
be. This implies that the stronger or harder the material, the
σ higher the immediate elastic recovery is.
Young’s modulus, E = B
ε However, on unloading, the remaining strains from points
A O to A′ and O to B′ are not fully permanent plastic strain, but
a small part of the remaining strain is elastic in nature, which
Unloading will disappear with time. This time-dependent recoverable
elastic strain is called anelasticity. The extent of anelasticity
Loading
depends on material and test temperature. Anelastic effects at
room temperature are usually very small in metals but can be
Stress

large for polymeric materials. Figure 1.29 shows that the

elastic strains that disappear with time are from points A′ to
A″ and B′ to B″. So, in Fig. 1.29, the permanent plastic
σ σ σ strains will be from points O to A″ and O to B″.
ε ε ε Usually, the unloading path from the plastic range of the
stress–strain curve is not exactly parallel to the linear elastic
part of the curve and will be slightly curved as shown in
B" B'
Fig. 1.30. Further on reloading, the stress–strain curve will
O A" A' C D
generally bend over as the reloading stress approaches
Strain
towards that value of stress from which the tensile specimen
Fig. 1.29 Loading and unloading in the plastic range, showing was unloaded earlier. After a little additional plastic strain,
permanent plastic strain and recoverable elastic and anelastic strains the reloading curve becomes a continuation of the prior
(schematic)
46
stress–strain curve that would have been generated if no
unloading had taken place. Thus, in fact, the unloading and
reloading curves create a hysteresis loop as shown in
Fig. 1.30.
Generally, the anelastic strain as well as the hysteresis
behaviour arising due to unloading and reloading from a
plastic strain is neglected in the theory of plasticity. So it
may be concluded that subsequent to the unloading of the
tensile specimen from the plastic range, the reloading curve
will start from point A′ or B′ in Fig. 1.29. Moreover, it is
assumed that yielding will start respectively from point A or
B on the stress–strain curve up to which the specimens were
plastically deformed earlier in tension, as in Fig. 1.29. This
means that when the material is reloaded in tension after
unloading from its plastic range, the tensile stress required
for yielding increases, i.e., its tensile yield strength, is raised
to a higher value.
1.6.2.4 Empirical Relationship for Flow Curve
The flow curve of many materials in the region of uniform
plastic deformation, i.e. from the onset of yielding to the
point of maximum load (initiation of necking), can be
described empirically by the following parabolic true-stress–
true-strain relationship proposed by Hollomon (1945):
r ¼ Ken ð1:90aÞ
Or; log r ¼ log K þ n log e ð1:90bÞ
where r ¼ true stress, K ¼ a material constant, known as
‘strength coefficient’, e ¼ true plastic strain, and n ¼
strain-hardening coefficient or exponent. Since (1.90b) rep-
resents a straight line, the plot of log r versus log e from the
onset of yielding to the point of maximum load will be a
straight line as shown in Fig. 1.31, if (1.90a) is obeyed by
the experimental data. The value of the strain-hardening
coefficient, n, is the slope of this linear plot, whose intercept
at log e ¼ 0; is log K: It means the strength coefficient, K, is
the value of the true stress, r, at a true plastic strain, e ¼ 1:0;
(corresponding to reduction of area, r ¼ 0:63), with the
dimension of K being the same as that of r. To obtain the
value of K, the above straight line has to be extended to the
right side of the above plot, i.e. to a higher value of true
plastic strain till e ¼ 1:0: If a nonlinear log-log plot is
observed for a given material, often at low strain values of
10$3 or high strain values of 1, the strain-hardening coeffi-
cient, n, will be often defined at a particular strain value.
Sometimes, the experimental data that deviates from (1.90a)
will generate a linear plot according to the following rela-
tionship proposed by Datsko (1966):
r ¼ K ðe0 þ eÞn ð1:90cÞ
1 Tension
True stress σ, on log scale
n=
a
b
a
b
K
0.001 0.01 0.1 1.0
True strain ε
Fig. 1.31 Log–log plot of true stress–strain curve from the onset of
yielding to the point of maximum load. The slope of this linear plot is
the strain hardening coefficient, n ¼ a=b ; as shown. The strength
coefficient, K ¼ r ; at a true plastic strain, e ¼ 1:0
where e0 ¼ the amount of strain hardening imparted to the
material prior to the tension test.
The fallacy of (1.90a) lies in the fact that when the true
plastic strain is zero, i.e. e ¼ 0; the true stress at the onset of
yielding of the material is also zero, i.e. r ¼ 0: So, the origin
of the true stress–true strain curve will be at the yield stress
value of zero, but this is not the case in reality. This dis-
crepancy has been overcome by the following relationship
given by (1.90d), which is proposed by Ludwik:
r ¼ r0 þ Ken ð1:90dÞ
where r0 ¼ true stress at the yield point, i.e. true yield stress;
i.e., when the true plastic strain e ¼ 0; the true stress r ¼ r0 ;
and K and n are the same parameters as in (1.90a). The value
of r0 in (1.90d) can be obtained from the intersection of the
parabolic curve expressed by (1.90a) and the linear elastic
region expressed by (1.31b) at the point of yielding (Mor-
rison 1966). Most materials show a gradual transition from
elastic to plastic behaviour, and it is very difficult to define
precisely the point of the onset of plastic deformation or
yielding because it depends on the sensitivity of the strain
measuring instruments. So, it is assumed that the Hooke’s
law holds good up to the point of yielding that produces a
very small measurable amount of plastic deformation, but
theoretically the Hooke’s law is obeyed up to the point of
‘proportional limit’, to be discussed subsequently in this
chapter.
At the yield point, (1.31b) can be written as
r0 ¼ E e0 ð1:91aÞ
1.6 Types of Tensile Stress–Strain Curve 47

Again at the yield point, (1.90a) can be written as σ

r0 ¼ K en0 ð1:91bÞ
1
where r0 and e0 are, respectively, the true stress and true n=
2
strain at the yield point.
By solving (1.91a) and (1.91b), the value of r0 in (1.90d) n=0

can be obtained as given below:

From (1.91a),

e0 ¼ ðr0 =EÞ

and from (1.91b), e0 ¼ ðr0 =K Þ1=n K

n=1
r0 (r0 )1=n ð1$1Þ K 1=n
) ¼ ; or, r0 n ¼ ;
E K E
& 1=n '1$n
n & '1$n1 ð1:92Þ
K K
) r0 ¼ ¼ ε
E En 1.0

Fig. 1.32 Different forms of true stress–strain curve expressed by r ¼

1.6.2.5 Strain-Hardening Coefficient Ken for various values of n (strain-hardening coefficient)

The magnitude of the strain-hardening coefficient, n, indi- 1.6.2.6 Tensile Instability

cates the ability of the material to resist further deformation.
The values of strain-hardening coefficient may vary from
n ¼ 0 for an ideal plastic material to n ¼ 1 in case of a
perfectly elastic solid, as shown in Fig. 1.32. For most
materials, the values of n lie between 0.10 and 0.50. To
know techniques for measuring n; the reader is referred to
the discussion by Duncan (1967) and ASTM Standard
(ASTM E646 2016a). It is important to note that the values
of n are sensitive to thermal as well as mechanical treatment
and normally higher for materials in the annealed condition
and lower in the cold-worked state. In general, n of a
material decreases as the strength level of that material
increases and vice versa. Further, n of a material depends on
the cross-slip of screw dislocations in that material, which in
turn is determined by its stacking fault energy. Since the
extent of strain hardening is greater in a material with lower
stacking fault energy than with higher stacking fault energy,
the value of n will increase with decreasing stacking fault
energy and vice versa.
The rate of strain hardening, dr=de; at any given strain,
sometimes called the modulus of strain hardening, is equal
to the slope of the r $ e curve at that point and is not the
same as the strain-hardening coefficient n, but directly rela-
ted to n, as shown below:
As n is the slope of the linear plot of log r against log e,
so
dðlog rÞ dr=r e dr dr r ening gradually decreases due to the increase in strength of
n¼ ¼ ¼ ; or; ¼n ð1:93Þ
dðlog eÞ de=e r de de e
The rate of strain hardening is an important property in
the analysis of tensile instability and working operations.
On reaching a particular value of applied stress, plastic flow
will start at the weakest region within the gage length of the
tensile specimen. The strain hardening caused by this
localized plastic flow in a real material increases its local
strength and prevents further plastic deformation in that
region. Then, the applied stress must be increased so that
further plastic flow occurs in the next weakest region within
the gage length. The material is again strain hardened in this
region, and in this way, the above action of shifting the area
of deformation continues. Prior to the onset of necking,
macroscopically there is a uniform extension of the gage
length that in turn causes a uniform reduction in the
instantaneous cross-sectional area A along the gage length to
maintain the constancy in volume during plastic deforma-
tion. The reduction in A requires lower load for plastic
deformation, while strain hardening requires higher load for
plastic deformation. The net effect causes the applied load to
increase with the progress of deformation in the uniform
plastic deformation range, i.e. prior to the onset of necking.
Prior to the onset of necking, since the increase in
load-bearing capability of the material caused by strain
hardening is greater than the increase in stress r due to
decrease in the instantaneous cross-sectional area, necking is
prevented. Hence, the higher rate of strain hardening results
in a uniform elongation and as long as ðdr=deÞ [ r; necking
is prevented. With increase of load, the rate of strain hard-
material, although strain hardening continues till the point of
fracture. At the point of maximum load, the strength of the
material due to strain hardening is equal to the applied stress
r: But once the necking of specimen begins, the load
48 1 Tension

required for continuation of deformation drops due to rapid the strain axis at a linear distance of unit strain, i.e. at a value
decrease of the cross-sectional area, A; in the necked region of true strain, e ¼ 1; when measured linearly along the strain
of the tensile specimen. The increase in r due to the rapid axis from the point of tangent, because according to (1.95)
decrease in A becomes greater than the increase in the slope at this point is ru =1: This point of tangent on the
load-bearing capability of the material caused by strain flow curve is the true tensile strength and can be estimated
hardening so that r [ ðdr=deÞ: Therefore at the point of from the horizontal projection of the tangent point on the
maximum load, necking begins causing instability in ten- stress axis. The linear distance along the strain axis between
sion, which is expressed by the condition dP ¼ 0; because at the stress axis and the vertical drop from the point of tangent
this point the decrease in load due to the reduction in A is is a measure of true strain at maximum load or uniform true
equal to the increase in load due to strain hardening. strain and has been denoted by eu :
The tangent on each point of the true stress–true strain
As P ¼ rA; ) dP ¼ Adr þ rdA ¼ 0; curve is a measure of the rate of strain hardening, dr=de; and
Or, Adr ¼ $rdA; it can be estimated against each value of the true strain of the
dr dA flow curve. In Fig. 1.33b, the rate of strain hardening versus
) ¼$ ð1:94aÞ the true strain curve, i.e. the dr=de versus e curve, is
r A
superimposed on the flow curve, i.e. on r versus e curve. As
From the constancy of volume, V; during plastic defor-
per (1.95), at the point of maximum load, the rate of strain
mation, one can write
hardening equals the stress. So the point at which r versus e
V ¼ LA ¼ constant; ) dV ¼ AdL þ LdA ¼ 0; curve and dr=de versus e curve intersects each other is the
point of maximum load on the flow curve. When this point
dL dA
Or; ¼$ ; of intersection is horizontally projected on the stress axis, it
L A
gives a measure of the true tensile strength, ru : The uniform
dL dA
Since from ð1:7Þ; ¼ de; ) $ ¼ de ð1:94bÞ true strain, eu ; can be estimated from the vertical drop of this
L A
point of intersection on the strain axis.
From (1.94a) and (1.94b), it follows that For obtaining the point of maximum load, the former
method shown in Fig. 1.33a requires searching of the point
dr dr
¼ de or; ¼ r ¼ ru ð1:95Þ of tangent on the flow curve and, in the latter method shown
r de in Fig. 1.33b, the construction of dr=de versus e curve is not
where ru ¼ true stress at the maximum load or true tensile only laborious but also time-consuming. To determine the
strength. Hence with the help of (1.95), the point of maxi- point of maximum load avoiding the above-mentioned dif-
mum load where necking begins can be obtained from the ficulties, a geometrical construction known as “Considère’s
flow curve as explained in Fig. 1.33a, b. construction” (Considère 1885), involving true stress versus
On the true stress–true strain curve in Fig. 1.33a, such a engineering strain diagram, i.e., r versus e curve, can be
point is determined that the tangent at that point intersects used as discussed below.

Fig. 1.33 Graphical dσ

determination of true tensile (a) (b) σ,
dε
strength, ru ; and uniform true
strain, eu ; from necking criterion σ dσ
vs. ε curve
dε
σ vs. ε curve

σu dσ
σu =σ
dε

εu εu

ε
0
1 ε
0
1.6 Types of Tensile Stress–Strain Curve
Starting with (1.95), the necking criterion can be
expressed using the engineering strain, e, as follows:
dr dr de dr dL=Lo dr L dr
¼ ¼ ¼ ¼ ð1 þ eÞ ¼ r
de de de de dL=L de Lo de
dr r ru
) ¼ ¼
de 1 þ e 1 þ eu
ð1:96aÞ
And using (1.28),
dr
¼ S ¼ Su ð1:96bÞ
de
where
Su engineering stress at maximum load or ultimate tensile
strength and
eu engineering strain at maximum load or uniform engi-
neering strain.
The stress–strain curve plotted in terms of true stress
versus engineering strain to determine the point of maximum
load is illustrated in Fig. 1.34. Suppose point A on the axis
of engineering strain at the left side of the origin of the above
plot represents a negative engineering strain value of 1.0, i.e.
e ¼ $1: If a straight line is drawn from the point A so that it
becomes tangent at any point on the stress–strain curve, then
that point of tangent will establish the point of maximum
load, because according to (1.96a), the slope of the line
joining the point A and the tangent point is ru =ð1 þ eu Þ: This
point of tangent on the r versus e curve is the true stress at
maximum load, ru ; whose value can be determined from the
horizontal projection of the tangent point on the true stress
axis. When this tangent point is vertically dropped on the
engineering strain axis, it gives a measure of the uniform
engineering strain. The point of intersection between the
above tangent drawn from the point A at e ¼ $1 and the
stress axis gives a measure of the ultimate tensile strength,
because according to (1.96b), the slope of the line joining the
point A and the point of intersection is Su =1:
If the condition of tensile instability expressed by (1.95)
is applied to the Hollomon parabolic true-stress–true-strain
relation given by (1.90a) at the point of maximum load, the
following simple relationship between the uniform true
strain, eu ; and the strain-hardening coefficient, n, is
developed.
Differentiating (1.90a) with respect to e; we get:
dr ¼ Knen$1 :
de
Substituting the above in (1.95), Knen$1 ¼ r ¼ Ken ;
[From (1.90a)].
) At the point of maximum load; n ¼ eu ð1:97Þ
49
Therefore, the amount of uniform true plastic strain is
numerically equal to the value of strain-hardening coeffi-
cient, if (1.90a) is obeyed.
1.6.2.7 Stress Field at the Neck and Bridgman
Analysis
The development of a neck in the tensile specimen intro-
duces a triaxial state of tensile stress in that region, in
addition to the necking strains. This triaxial stress field raises
the value of axial tensile stress required to cause plastic
deformation in the longitudinal direction. The necked sec-
tion of the sample, having a lower cross-sectional area,
experiences a higher true stress than the unnecked regions.
The more highly stressed material within the neck, under-
going large local extensions in the longitudinal direction,
seeks to contract laterally because conservation of volume
must be maintained during the plastic deformation process.
But the unnecked regions of the sample experiencing a much
lower stress level induce radial, rr ; and transverse, rh ; true
tensile stresses that constrain such lateral contractions and
resist deepening of the neck. Thus, the induced constraining
tensile stresses developed in the radial and transverse
directions along with the applied longitudinal tensile stress
constitute the triaxial stress field, which acts to constrain the
material from plastically deforming in the necked region.
Consequently, the applied axial tensile stress required to
cause plastic deformation at the neck must be higher than the
stress which would be required to cause plastic deformation
if uniaxial tensile stress condition prevailed. So, after the
onset of necking, the higher values of axial stresses, caused
by the development of the plastic constraint in the necked
region, are recorded on the true stress–strain curve
(Fig. 1.27). Based on the following assumptions, Bridgman
(1944) corrected the measured axial true tensile stress, rapp ;
applied under the triaxial stress condition in the presence of
neck to determine the uniaxial true tensile stress, rtrue ; which
would be necessary for plastic deformation if necking had
not introduced triaxial stresses. The assumptions are:
• The neck contour is represented by the arc of a circle.
• The cross-section of the necking zone remains circular
during the test.
• The Von Mises’ yielding criterion is applicable.
• The strains remain uniform over the cross-section of the
neck.
The geometry of the necked region and the triaxial
stresses developed within the necked region are illustrated in
Fig. 1.35. The true stress–strain curve has been corrected for
necking with the following Bridgman relation, and the
resulting curve is shown in Fig. 1.27.
50 1 Tension

Fig. 1.34 Considère’s

construction, to establish the
point of maximum load and
determine true tensile strength,

True stress σ
ru ; uniform engineering strain,
eu ; and ultimate tensile strength,
Su

σu

Su

–1 +1

A 0
Engineering
1 eu strain e

1 + eu

rapp (a) (b)

rtrue ¼ ð1:98Þ
ð1 þ 2R=aÞ½lnð1 þ a=2RÞ)

where
rapp measured true tensile stress at the neck, applied in the
axial direction under the triaxial stress condition in the σapp
presence of neck, i.e.
axial tensile load
rapp ¼ ;
minimum cross-sectional area of the specimen at the neck
R
σr
rtrue uniaxial true tensile stress that would be necessary for a
plastic deformation if necking had not introduced
triaxial stresses;
σθ
R radius of curvature of the neck contour; and
a radius of the minimum cross-sectional area at the
neck
It is obvious from the Bridgman relation that the stress
necessary to produce a given level of plastic deformation
will increase with increasing sharpness of the neck contour,
i.e. with decreasing the value of R for a given depth of the Fig. 1.35 a Geometry of necked region. b Development of triaxial
neck contour. tensile stresses within the necked region which acts to constrain
The fact that rapp is higher than rtrue ; has been proved additional deformation in the neck
below. With reference to Von Mises’ yielding criterion
given by (1.64), we can write r0 ¼ rtrue ; r1 ¼ rapp ; r2 ¼ rr assumption, the incremental transverse true tensile strain ¼
and r3 ¼ rh ; in the present context. As the necked region of deh ¼ de3 ¼ de2 ¼ der ¼ the incremental radial true tensile
the sample contracts symmetrically in the lateral directions strain. Hence, according to the Levy–Mises equations
to maintain a uniform strain, so according to this above (1.84b) and (1.84c), it yields (1.99).
1.6 Types of Tensile Stress–Strain Curve
- . - .
d!e 1! " d!e 1! "
deh ¼ rh $ rapp þ rr ¼ der ¼ rr $ rapp þ rh
r
! 2 r
! 2
1 1 3 3
Or, rh $ rr ¼ rr $ rh ; or, rh ¼ rr ;
2 2 2 2
) Transverse true tensile stress rh ¼ Radial true tensile stress rr
ð1:99Þ
With the help of Von Mises’ yielding criterion given by
(1.64), the required proof is shown by (1.100):
1 h i1=2
rtrue ¼ pffiffi ðrapp $ rr Þ2 þ ðrr $ rr Þ2 þ ðrr $ rapp Þ2
2
1 h i1=2
¼ pffiffi 2ðrapp $ rr Þ2 ;
2
Or, rtrue ¼ rapp $ rr ; or, rapp ¼ rtrue þ rr ;
i:e:; rapp [ rtrue
ð1:100Þ
The values of a=R required for the Bridgman correction
(1.98) can be obtained (Trozera 1963) by direct measure-
ments of ‘a’ and ‘R’ when a tensile specimen is unloaded
after it has been subjected to a given amount of strain
beyond necking. Otherwise, these parameters can also be
measured continuously beyond the point of necking using
photography or a tapered ring gage. The applied true tensile
stress rapp and the corrected true tensile stress rtrue beyond
the point of maximum load (the onset of necking) are shown
respectively by solid line and dashed line in Fig. 1.27. For a
flat tensile specimen, Aronofsky (1951) has considered a
correction for the triaxial stresses in the neck.
1.6.3 Type III: Elastic–Heterogeneous Plastic
Behaviour
Material under this category will show a non-uniform or
heterogeneous plastic deformation after the normal range of
linear elastic deformation as shown in Fig. 1.36. When a
series of serrations are superimposed on the parabolic por-
tion in Fig. 1.26, a serrated stress–strain curve will result.
Beyond the elastic strain, such serrated stress–strain curve in
Fig. 1.36 is exhibited by this category of material either due
to occurrence of twinning or interactions of solute atom or
vacancy with lattice dislocations.
Von Mises showed that the operation of five independent
slip systems is required for plastic deformation of a crystal
by slip. As this requirement is not fulfilled by the HCP
metals, twinning occurs during the tension test of hexagonal
close-packed (HCP) metals at orientations that are unfa-
vourable for slip on basal plane. Therefore, this type of curve
is generally the most common for HCP metals. Twinning is
not a dominant deformation mechanism in metals of cubic
crystal system having many possible slip systems, such as in
51
Engineering stress
Type III
Engineering strain
Fig. 1.36 Type III: schematic engineering stress–strain curve showing
linear elastic behaviour followed by a region of heterogeneous plastic
deformation. This serrated stress–strain curve is caused by twinning
controlled deformation or interactions of solute atom or vacancy with
lattice dislocations
body-centred-cubic (BCC) or face-centred-cubic (FCC)
metals. However, twinning can occur in metals of cubic
crystal system when the twinning stress is lower than the
stress required for slip because of increase in the magnitude
of CRSS for slip at low deformation temperatures or at high
strain rates. So, a similar stress–strain curve may also be
observed in BCC and FCC metals due to occurrence of
twinning, when they are tested at low deformation temper-
atures or at high strain rates.
During twinning, extension of the gage length proceeds in
discrete bursts, often with an emission of audible click [tin
cry], that are associated with twin band nucleation and
growth. This causes the instantaneous strain rate of the
specimen to increase remarkably. Whenever this instanta-
neous strain rate in the specimen exceeds the cross-head
velocity of the tensile testing machine, a drop of load with a
corresponding drop in engineering stress will occur in order
to decrease the instantaneous strain rate in the specimen so
that a balance is maintained between the two rates. The
deformation stress increases due to strain hardening of the
material and causes further twinning. Every time the speci-
men twins, each jog of the irregular stress–strain curve is
created due to the drop of stress, and thus, serrations in
stress–strain curve in Fig. 1.36 are produced.
Serrated stress–strain curves are also observed in plain
carbon steels tested at moderately elevated temperature of
approximately 200°C, depending on the strain rate used in
the test. The occurrence of serrations in the stress–strain
curve is associated with the dynamic strain ageing beha-
viour, called the ‘Portevin-Le Chatelier effect’, which is due
to solute atom or vacancy interactions with lattice
52
dislocations (Cotrell 1958). Due to the raised test tempera-
ture, the solute atoms of carbon and/or nitrogen are able to
diffuse in the specimen at a rate equal to or slightly faster
than the speed of dislocations so as to catch and lock them.
Therefore, the applied stress must increase in order to unlock
dislocations. When dislocations will break free from their
solute clusters, there will be a drop of load and the corre-
sponding stress. If the solute atoms can diffuse quickly
enough to re-trap these dislocations, then more stress must
be applied to enable dislocations to again break free from
their solute atmosphere. This process occurs many times,
producing the serrations, i.e. discontinuous or repeated
yielding in the stress–strain curve in Fig. 1.36.
1.6.4 Type IV: Elastic–Heterogeneous–
Homogeneous Plastic Behaviour
The stress–strain curve under this category consists of three
segments—a linear elastic region is separated from a
homogeneous plastic flow region with a relatively narrow
segment of heterogeneous plastic deformation that normally
ranges from approximately 1–3% strain, but strain over 10%
can be obtained with low-carbon steel under proper condi-
tions. Figure 1.37 shows a steady increase of stress with
elastic strain followed by a sudden drop of stress from a
point A, defined as upper yield point, to a point B, defined as
lower yield point. At point B, the stress–strain curve fluc-
tuates about some nearly constant value of stress, at which
the engineering strain or elongation that occurs by hetero-
geneous deformation is called yield-point elongation. It
extends from B to C as shown in Fig. 1.37. After loading to
the upper yield point A, a discrete deformed band, often
visible with the naked eye, appears at a point of stress
concentration such as a fillet and its development causes the
initial drop of stress from point A to the lower yield point at
B. The band then spreads along the entire gage length of the
specimen, causing the heterogeneous segment of yield-point
elongation. During this period of yield-point elongation,
occasionally more than one band may form at several points
of stress concentration. These bands are generally named as
Lüders bands, or stretcher strains, or Hartmann lines. For-
mation of several Lüders bands makes the flow curve during
the yield-point elongation irregular; i.e., each jog of the
irregular flow curve is created with the formation of a new
Lüders band. The Lüders bands form normally at an angle of
approximately 45° with the tensile axis. After all Lüders
bands have spread simultaneously to cover the entire gage
length of the specimen, the segment of yield-point elonga-
tion will end. Finally, the increase in dislocation density
causes an enhanced strain hardening through interactions of
dislocations, and the stress starts to rise gradually with fur-
ther strain in the usual manner, similar to that described for
1 Tension
Unyielded
metal Lüders band
D
Engineering stress
Upper A
yield Reloading
point B C
Yield
elongation Lower yield point
Unloading
Type IV
Engineering strain
Fig. 1.37 Type IV: schematic engineering stress–strain curve showing
a narrow heterogeneous plastic deformation region between initial
linear elastic and final homogeneous parabolic plastic deformation
regions. Yielding initiates locally at upper yield point A followed by a
sudden drop of stress to lower yield point B, at which yield-point
elongation (heterogeneous deformation) and formation and spreading
Lüders bands over the entire gage length occur from B to C. Homo-
geneous plastic deformation starts at point C, beyond which if the
specimen is unloaded from any point, say point D, and immediately
reloaded, then the subsequent stress–strain curve will not display any
yield point
Type II behaviour, where the material continues to deform
plastically in a homogeneous manner.
Note that if the tensile specimen is unloaded from any
point beyond the Lüders strain region BC, say, from point
D (Fig. 1.37), and reloaded immediately, then the subse-
quent stress–strain curve will not display any yield point.
This type of curve was found originally in low-carbon steel
and is generally observed in many BCC iron based alloys
and some nonferrous alloys. In addition to iron and steel,
yield points have been observed in polycrystalline molyb-
denum, titanium, and aluminium alloys and in single crystals
of iron, cadmium, zinc, alpha and beta brass, and aluminium
and also in ionic and covalent materials.
A pronounced upper yield point is achieved when the
testing uses an elastically rigid or hard machine, a specimen
free from stress concentrations, a very careful axial align-
ment of the specimen in the test grips, a high strain rate, and,
a subambient temperature. The value of stress at the lower
yield point is usually reported as the yield strength of
material under this category because measured value of
stress at the upper yield point suffers from considerable
scatter due to its extreme sensitiveness to the
above-mentioned several experimental factors. Usually, the
upper yield point is 10–20% higher than the lower yield
point, but it can be roughly double of the lower yield point if
the effect of stress concentration is avoided during the for-
mation of first Lüders band. It is to be noted that according to
1.6 Types of Tensile Stress–Strain Curve
the Hall-Petch relationship given by (1.57a), the upper and
lower yield points and the corresponding stresses will
decrease with increasing grain size. Further, the yield drop
tends to become less pronounced and ultimately may vanish
as the grain size becomes larger.
1.6.4.1 Explanation for Yield-Point Behaviour
The yield-point phenomenon was found originally in
low-carbon steel having a small amount, with a minimum of
only about 0.001%, of carbon and/or nitrogen atoms. Either of
these interstitial elements in iron readily diffuses to the posi-
tion of minimum energy in dislocations and thus a solute
“atmosphere”, known as ‘Cottrell atmosphere’, is formed
around each dislocation core. Since these dislocations are
“pinned” by such solute atmospheres, dislocation motion is
severely restricted. Apart from the solute-dislocation inter-
action, pinning can also arise by precipitation of fine carbides
or nitrides along the dislocation. When a sufficiently high
stress corresponding to the upper yield point is applied, dis-
locations will break free from their solute clusters causing a
drop of stress to the lower yield point and then slip can occur at
a lower yield stress. Alternatively, in case of strongly pinned
dislocations new dislocations must be created at the points of
stress concentrations to allow the flow stress to drop. This
explains the origin of the upper yield stress and the drop in
stress after yielding has begun. The applied stress combined
with the stress concentration produced due to the pile-up of
dislocations at grain boundaries will either unlock disloca-
tions from the influence of the solute atoms or generate new
dislocations in the next grain and in this way a Lüders band
propagates over the specimen. The development and propa-
gation of Lüders band in the region of yield-point elongation
continue until essentially all dislocations have broken free
from their respective solute atom clusters. Thus, irregular
segment of yield-point elongation in the curve is caused by a
dislocation-solute atom interaction.
In other materials such as silicon, germanium, lithium
fluoride and copper whiskers the dislocation density is quite
low and dislocation locking by interstitial atoms cannot
explain similar yield-point behaviour. Dislocations pinning
by solute atmospheres thus becomes a special case of
yield-point behaviour. For all materials showing a yield
drop, i.e., a drop in yield stress after yielding has begun,
Johnston (1962) and Hahn (1962) have proposed a more
generalized theory, which is discussed below.
The relation between the strain rate in the material and the
average velocity of mobile dislocation is given by,
e_ ¼ qb!v ð1:101Þ
where e_ ¼ strain rate; q ¼ density of mobile dislocations,
i.e., number of mobile dislocations per unit area.
53
Dislocations multiply and q increases with strain; b ¼
Burgers vector; !v ¼ average velocity of mobile dislocations;
which according to Johnston and Gilman (1959) and Stein
and Low (1960), depends on the resolved shear stress as
given by the following (1.102).
( s )m0
!v ¼ ð1:102Þ
B
where s ¼ applied resolved shear stress; B ¼ material
property; m0 ¼ dislocation-velocity stress sensitivity, i.e.,
exponent describing the stress dependence of dislocation
velocity and it is a material property.
For materials with a low initial density of mobile dislo-
cations or with strongly pinned dislocations, as in steel, the
strain rate, given by qb!v; would be less than the rate of
movement of the test machine cross-head unless average
velocity of mobile dislocations, !v; becomes high to maintain
a balance between the above two rates. But a higher velocity
of mobile dislocations can only be achieved at higher
applied stress level, according to (1.102). On the other hand,
once some dislocations begin to move they also begin to
multiply rapidly and so the density of mobile dislocations, q;
increases rapidly. Under such condition, the strain rate in the
material would exceed the cross-head velocity of the test
machine. To match the two rates, the dislocation velocity
must be decreased and to accomplish this, the stress needed
to move the dislocations must drop according to (1.102).
Note that the decrease in the stress due to the drop in dis-
location velocity is higher than the increase in the stress due
to some strain hardening introduced by the increase in dis-
location density Thus, once yielding begins there will be a
drop in yield stress, the magnitude of which depends on the
dislocation-velocity stress sensitivity parameter, m0 :
According to this model proposed by Johnston and Hahn,
yield-point behaviour is controlled by two parameters that
are the initial mobile dislocation density, q; and the
dislocation-velocity stress sensitivity, m0 : The lower is the
value of these parameters the higher will be the magnitude of
the yield drop, as explained below. We obtain the following
relation by applying (1.101) and (1.102) at the upper and
lower yield points, which are denoted respectively by the
subscripts ‘U’ and ‘L’.
1 - . 0 & '1=m0
sU ð!vU Þm0 B e_ =ðqU bÞ 1=m qL
¼ 1 ¼ ¼ ð1:103Þ
sL ð!vL Þ B0 e
_ = ð q b Þ q
m L U
If values of m0 is very small, for example, less than 20 as
in the case of covalent- and ionic-bonded materials as well as
in some BCC metals and alloys and the initial mobile dis-
location density of the material qU is also very less from the
beginning of the test up to the upper yield point, then the
ratio sU =sL will be large and a strong yield drop will result.
54
For steel having m0 ¼ 35; there will be a substantial yield
drop provided qU is less than about 10 mm$2 : This is only
possible if most of the dislocations are pinned by solute
atmosphere because the mobile dislocation density of
annealed steel is usually at least 104 mm$2 : By contrast, for
most FCC metals and alloys values of m0 is large, normally
greater than 100–200, and an initial mobile dislocation
density qU is also high. These factors cause sU ' sL and
make a yield drop an unlikely event in most FCC metals and
alloys. From the above discussion, a pronounced yield point
is observed in crystalline materials that
• have few mobile dislocations at the start of the test,
• possess the capability to multiply dislocations rapidly
with progress of plastic deformation so that the disloca-
tion density at the lower yield point i.e., qL ; is quite high
and
• show relatively low dislocation-velocity stress
sensitivity.
Since these above characteristics are possessed by many
ionic- and covalent-bonded crystals (Tegart 1966) they
exhibit yield points.
1.6.5 Type V: Elastic–Heterogeneous–
Homogeneous Plastic Behaviour for Some
Crystalline Polymers
Type V stress–strain response, shown in Fig. 1.38, is gen-
erally observed during the tensile deformations of some
crystalline polymers, such as polypropylene. This type of
stress–strain curve at the end of linear elastic region exhibits
an upper yield point and subsequent drop of stress similar to
that observed in Type IV behaviour. But the plastic defor-
mation region of this curve undoubtedly differs from that
exhibited by the Type IV curve.
As soon as yielding of the material begins at the upper
yield point there is a breakdown of the initial crystalline
structure within the polymer, which results the initial drop of
load and corresponding stress. While the stress drops, the
region of greatest deformation within the gage section of the
tensile specimen becomes milky white and the necking of
the specimen begins. The necking process may or may not
produce failure in the specimen within a short time. If
fracture of the specimen does not take place shortly after the
beginning of the neck formation, continuing plastic defor-
mation will bring about a reorganization of the broken-down
crystallite into fresh and highly oriented strong structures.
The plastic zone of the stress–strain curve after the
1 Tension
stress-drop shows a stage of minimum stress level extending
over a range of plastic strain, the reason of which has been
explained by Meinel and Peterlin (1971) considering the
competition of two events. In the region of minimum stress
level, these events occur side by side within the polymer
sample and they are—(1) the breakdown of the original
crystalline structure and (2) its subsequent reorganization
into a highly oriented strong material. The former event
leads to softening due to broken structure and the latter one
causes hardening due to orientation strengthening. The
balance between these two events results in the minimum in
the curve. As more and more of the fresh reoriented strong
structures are created with progress of plastic deformation,
the polymer sample experiences more and more resistance to
deformation due to strain hardening, which is caused by
molecular alignment. Enhanced molecular alignment results
in the development of more highly oriented structure that
generates greater optical transparency in the gage section of
the polymer specimen and the milky white regions, produced
by the initial break-down of original crystal structure,
gradually become clear once again. Finally beyond the
minimum stress region, the stress–strain curve begins to rise
once again and continues up to the point of fracture stress
because of the strain hardening effect.
Orientation
strengthening
Engineering stress
Yield
Type V
Cold drawing
O
Engineering strain
Fig. 1.38 Type V: schematic engineering stress–strain curve usually
observed in some crystalline polymers exhibiting linear elastic region
followed by upper yield point, yield drop, a stage of minimum stress
level extending over a range of plastic strain, called cold drawing, and
ultimately, rise in stress level with further strain, called orientation
strengthening, that continues up to the point of fracture
1.7 Linear Elastic Properties
1.7 Linear Elastic Properties
The linear elastic properties like stiffness or modulus of
elasticity, proportional limit, elastic strength or limit, and
resilience of materials that follow Hooke’s law are generally
determined by the static tensile test. The resilience of a linear
elastic material is usually measured by modulus of resilience.
The Poisson’s ratio, m, can also be measured by observing
the lateral contraction and longitudinal extension of the
specimen in tension using (1.13).
1.7.1 Modulus of Elasticity
If the material obeys Hooke’s law, i.e., has a linear stress–
strain curve in the elastic region, its stiffness or relative
resistance to separation of the two adjacent atoms or ions is
measured by the modulus of elasticity or Young’s modulus,
E. The modulus of elasticity is found geometrically by
measuring the slope of the initial linear portion of the stress–
strain curve, since E ¼ elastic stress=elastic strain: In this
current section, these elastic stress and strain will be
respectively denoted by r and e; since in the elastic range it
is immaterial whether we take the stress and strain as engi-
neering or true. It is to be noted that the higher the value of
the elastic modulus, the lesser is the elastic strain produced
by a particular applied stress. As the value of modulus of
elasticity is required to compute deflections of beams and
other structural members, it is an important design
parameter.
Fig. 1.39 Variation of bond
Bond stress σ (r)
stress with interatomic spacing to
establish graphically the modulus
of elasticity (schematic)
rx
r0
B
O
x Atomic spacing r
rx – r0
A
55
The modulus of elasticity is an example of
structure-insensitive mechanical property. It is only slightly
affected by changes in microstructure caused by alloying
additions, heat treatment, or cold-work (Mack 1946). For
example, while heat treatment and minor alloying additions
may increase the magnitude of strength of steel from 210 to
2400 MPa, the value of the elastic modulus remains rela-
tively unchanged with a rise of about 200–210 GPa. How-
ever, the values of modulus of elasticity for metals and
ceramics decrease with increasing temperature, while those
for rubbers or elastomers increase with increasing
temperature.
The reason behind the relative insensitiveness of the
elastic modulus to micro-structural changes is that the
modulus of elasticity depends on the strength of the inter-
atomic binding forces between adjacent atoms or ions that
vary with the type of bonding found in a given material.
These interatomic forces cannot be altered unless the basic
nature of the material is changed. Let us consider the curve
in Fig. 1.39, where interatomic bond stress, rðr Þ; between
two adjacent atoms or ions is plotted against interatomic
spacing, r, to illustrate the relation between this curve and
the elastic modulus, E. This curve is similar to the curve of
interatomic bonding force, F(r), between two adjacent atoms
or ions versus interatomic spacing, r, as shown in Fig. 9.1,
only the bonding force in Fig. 9.1 has been replaced by
intensity of that force, i.e., the bond stress in Fig. 1.39. On
this diagram in Fig. 1.39, the value of E can be shown
graphically, as follows. On this diagram at point B, which is
the point of equilibrium interatomic spacing, r0,
σc = Cohesive strength
σx
56
corresponding to zero value of the bond stress, a tangent BA
is drawn so that it intersects the stress axis at point A at a
linear distance of OA from the origin O of the curve. The
slope of the tangent BA to this curve at the point r ¼ r0 ¼
OB; is given by ½drðr Þ=dr )r¼r0 : For small atomic displace-
ment, which usually occurs in case of elastic strain, it may be
assumed that this tangent line BA practically coincides with
the curve up to the point of small displacement, which is
shown by point x in Fig. 1.39. The theoretical cohesive
strength, rc ; represented by the maximum ordinate of the
curve in Fig. 1.39, is usually 100–1000 times as great as the
maximum elastic stress at which elastic action in most
materials terminates by yielding or rupture. The elastic range
is therefore restricted to a very minute part of the curve in
Fig. 1.39 and the assumption that the curve coincides with
its tangent in this range is quite justified.
With the above assumption, the slope of tangent BA, can
be expressed approximately by rx =ðrx $ r0 Þ; where rx and
rx are respectively the corresponding values of elastic stress
and atomic spacing at point x: Since the elastic strain ex
corresponding to elastic stress rx is represented by
ðrx $ r0 Þ=r0 ; it follows that the elastic modulus is:
& '
elastic stress; rx rx rx
E¼ ¼ ¼ r0
elastic strain; ex ðrx $ r0 Þ=r0 rx $ r0
OA
¼ r0 . slope of tangent BA ¼ OB . ¼ OA
OB
ð1:104Þ
Or, the distance OA is equal in magnitude to the modulus
of elasticity.
The modulus of elasticity related to differences in the
strength of the interatomic forces shows a wide range of
values for different materials, because the equilibrium
spacing r0 normally varies between 1 and 4 Å with different
bonds and the slope of the curve of Fig. 1.39 at equilibrium
spacing, r0, differs with change of the basic nature of the
material.
The above-mentioned fact that the decrease in values of
modulus of elasticity, E, with increasing temperature for
metals and ceramics depends on the equilibrium spacing
between two adjacent atoms or ions in their unstrained
condition, i.e., r0. It has been seen that the elastic stiffness or
the modulus of elasticity increases with the decrease in value
of r0 and vice versa. As materials expand on heating so the
equilibrium distance of atom or ion separation, r0, increases
with temperature and results in a decrease in the value of the
modulus of elasticity, E. With increasing temperature, the
loss of material stiffness or the decrease of elastic modulus is
gradual, showing only a small percent decrease with an
increase in temperature by 100 °C. In contrast, an increase in
temperature results in contraction in length of a rubber or an
elastomer and causes to increase its modulus of elasticity.
1 Tension
1.7.2 Proportional and Elastic Limit
Proportional limit is the highest engineering stress up to
which stress is directly proportional to strain according to
(1.31) and Hooke’s law is valid. The proportional limit is
shown in Fig. 1.24. The proportional limit, Spl ; is obtained
by noting the value of stress from the engineering stress–
strain curve at which the curve deviates from its linearity and
is given by
Ppl
Spl ¼ ð1:105Þ
A0
where Ppl is the load at which the load–deformation curve
obtained from tensile test deviates from the linearity and A0
is the average initial cross-sectional area in the gage section
of the tensile specimen. The slope of the stress–strain curve
in this region is the modulus of elasticity or Young’s mod-
ulus, E.
Elastic limit or Elastic strength is the highest engineering
stress that the material can withstand without showing any
measurable permanent strain remaining on the complete
withdrawal of applied load. Most materials exhibit a gradual
transition from elastic to plastic behaviour and the stress at
which plastic deformation or yielding begins depends on the
sensitivity of the displacement transducer that measures the
strain. The more sensitive the strain gage, the lower is the
stress level at which plastic flow begins. Usually the elastic
limit is higher than the proportional limit because the sen-
sitivity of strain measurement generally performed in engi-
neering applications is on the order of 10−4. But the value of
the elastic strength decreases gradually with increase in the
sensitivity of strain measurement and becomes lower than
the proportional limit. When special capacitance strain gages
for micro-strain measurements with sensitivity of strain on
the order of 10-6 are employed, this elastic limit ultimately
arrives at a very low stress value, called true elastic limit,
which is associated with the movement of a few hundred
dislocations. The elastic limit or strength is determined by
noting the value of applied load from the load–deformation
curve up to which the deformation strains are fully reversible
and dividing this noted value by the average original
cross-sectional area in the gage section of the tensile speci-
men. But to obtain the elastic limit, a laborious incremental
loading unloading test procedure is required.
1.7.3 Resilience and Modulus of Resilience
Elastic resilience or simply, resilience in tension is the
capacity of a material to absorb energy when deformed
under elastic loading condition and to release it when the
applied load is removed completely. Thus the term
1.7 Linear Elastic Properties
‘resilience’ in tension, denoted by UR, can be expressed as
follows:
Recoverable energy on complete release of applied tensile load
UR ¼
Energy absorbed originally by a material during the elastic stretching
ð1:106aÞ
The amount of energy absorbed by the material comes
directly from the work done by the applied tensile forces and
this energy is stored in the material in the form of strain
energy. This strain energy for uniaxial tension is the area
under the linear elastic portion of the load–deformation
diagram obtained from tensile test, which is nothing but the
area of a right angled triangle with base and altitude being
! "%
respectively DLpl and Ppl : This is given by Ppl DLpl 2;
where Ppl is the load applied at the proportional limit and
DLpl is the extension or deformation of the gage section in
the tensile specimen at the point of proportional limit.
Hence, the elastic strain energy per unit volume for uniaxial
tension is the area between the linear elastic portion of the
engineering stress–strain curve and the strain axis, which is
given by
Ppl DLpl
2 . ðinitial volume in the gage section of the tensile specimenÞ
Ppl DLpl 1 Ppl DLpl
¼ ¼ ;
2ðA0 L0 Þ 2 A0 L0
Or, elastic strain energy per unit volume for uniaxial tension
Spl epl
¼
2 ð1:108bÞ
ð1:107Þ
where
Spl proportional limit, defined by (1.105),
% then according to (1.108b), the material possessing high
epl engineering strain at the proportional limit ¼ DLpl L0 ;
in which L0 is the initial gage length of the tensile
specimen and DLpl is the extension at proportional
limit.
Hence, from (1.106a), the resilience in tension, UR, can
be expressed by the ratio of the areas as follows:
area under elastic engineering stress$strain curve on full release of applied load
UR ¼
area under engineering stress$strain curve when material is deformed elastically
57
As long as the deformation is both elastic and linear the
unloading path will follow the same path as the loading and
the strain energy stored in the material will become com-
pletely recoverable. Therefore, both the above areas obtained
on loading and unloading will be equal to each other. Thus
for all linear elastic materials that follow Hooke’s law, the
value of resilience in tension, UR ¼ 1: To distinguish among
different linear elastic materials, this property is usually
measured by the modulus of resilience, which has been
denoted by UMR : The modulus of resilience in tension is
defined as the elastic strain energy per unit volume required
to stress the material from zero stress to the proportional
limit Spl ; which is as follows according to (1.107) and
Hooke’s law (1.31a):
Spl epl
Modulus of resilience in tension; UMR ¼
2
Spl Spl S2pl
¼ ¼ ð1:108aÞ
2 E 2E
For convenience in engineering application, the propor-
tional limit Spl in (1.108a) can be replaced by the material’s
yield strength, S0 ; (discussed subsequently in this chapter).
If e0 is the engineering strain at the yield point, then
assuming the Hooke’s law to be valid up to the point of yield
stress, (1.108a) can be represented as follows:
S0 e 0 S2
Modulus of resilience in tension; UMR ¼ ¼ 0
2 2E
If an engineering design requires a material that allows
elastic behaviour with large energy absorption and must not
undergo permanent distortion, such as mechanical spring,
yield strength but a low modulus of elasticity will be ideal.
The moduli of resilience for high carbon spring steel and
medium carbon structural steel are shown by the cross-
hatched regions in Fig. 1.40, where each of the steels has the
same value of elastic modulus. The modulus of resilience in
tension for high carbon spring steel is higher than that of the
ð1:106bÞ
58
High carbon spring steel
Engineering stress
Structural steel
Engineering strain
Fig. 1.40 Schematic engineering stress–strain curves for high carbon
spring steel and structural steel, showing that the former has a higher
modulus of resilience than the latter because of higher yield strength of
the former, although the elastic moduli of both steels are same. The
moduli of resilience for both steels are represented by the crosshatched
regions
medium carbon structural steel because of higher yield
strength of the former than the latter.
1.8 Nonlinear Elastic Properties
The properties in the elastic range of a nonlinear elastic
material determined from the static tensile test are normally
average stiffness or secant modulus, instantaneous stiffness
or tangent modulus and elastic resilience or simply
resilience.
1.8.1 Secant and Tangent Modulus
If the material does not follow Hooke’s law, i.e., has a
nonlinear stress–strain curve like Fig. 1.41, its stiffness does
not remain constant but varies with stress. Sometimes av-
erage stiffness of such material at a particular stress value is
found from the average slope of the stress–strain curve with
a secant drawn from the point of that particular stress to the
origin of the curve. The average stiffness at that particular
stress is thus measured by the slope of the secant, shown by
line OX in Fig. 1.41 and this quantity is represented by the
secant modulus, ESec, as follows:
- .
S in other materials. In the unstressed condition the structure of
ESec ¼ ð1:109aÞ
e S¼SX
Since the value of the secant modulus depends on the
location of the point X on the stress–strain curve. i.e., on the
magnitude of the stress SX ; so this stress must be specified
1 Tension
X
SX
Engineering Stress S
Y
SY
O eY eX
Engineering strain e
Fig. 1.41 Schematic nonlinear elastic stress–strain curve, illustrating
secant modulus and tangent modulus
with the value obtained by (1.109a) for the secant modulus
ESec :
If stiffness related to an infinitesimally small change or
increment in stress is desired, instantaneous stiffness or in-
cremental stiffness of material is determined instead of the
secant modulus. Instantaneous stiffness at a particular stress
value can be measured from the slope of the tangent to the
stress–strain curve at the point of that particular stress. This
slope is called the tangent modulus, which is illustrated by a
tangent drawn at point Y on the stress–strain curve as shown
in Fig. 1.41 and given by
- .
dS
ET ¼ ð1:109bÞ
de S¼SY
As for the secant modulus, the stress at the point Y on the
stress–strain curve, i.e., the stress SY must be specified with
the value obtained by (1.109b), for the tangent modulus ET.
1.8.2 Elastomer or Rubber Elasticity
In addition to very large nonlinear elastic strains, often in
excess of 100%, the other distinguished characteristic of
elastomer or rubber is that its elastic modulus increases with
increasing temperature, which is opposite to that observed
rubber is very disorganized with the chains preferring to
remain in random curled positions. Rubber elasticity is
associated mainly with the straightening of the chains from
their random coiled arrangements into partially extended
configurations.
1.8 Nonlinear Elastic Properties 59

The fact that the elastic modulus of rubber increases with is stretched out under a tensile load, the entropy decreases as
increase of temperature can be explained by using the first the chains become straightened and aligned causing a
and second laws of thermodynamics. From the first law of decrease in their degree of disorder. As a result
! % "
thermodynamics @Sentropy @L T is negative. Thus, the second term
! % "
T @Sentropy @L T becomes additive with the first term
dU ¼ dQ $ dðW:D:Þ ð1:110aÞ
ð@U=@LÞT in (1.111) and increases the value of the applied
where load P at constant temperature. Hence, with increase of
temperature T; the load P required to extend the elastomeric
dU the change in internal energy of the system;
rod by an amount dL increases due to increase in the additive
dQ the change in heat absorbed or released between ! % "
term T @Sentropy @L T : As the load and corresponding stress
the system and the surroundings;
dðW:D:Þ work done by the system. applied on the rubber to produce a particular elastic strain
increases with increasing temperature, its elastic modulus
If work is done on the system, (1.110a) can be re-written also increases with increasing temperature. In contrast to
as rubber, the initial degree of order of atoms or ions in metals
and ceramics are very high and so their entropy term is
dU ¼ dQ þ dðW:D:Þ ð1:110bÞ
initially negligible in comparison with rubber. But on
If an elastomeric rod of length L is stretched by an stretching under a tensile load, the entropy of metals and
amount dL under the application of a tensile load of P, the ceramics increases due to increase in the degree of disorder
work done on the system, i.e., on the rod is dðW:D:Þ ¼ PdL; of their atomic or ionic arrangements. As a result
! % "
assuming the change in cross-sectional area of the rod to be @Sentropy @L T is positive in (1.111), which causes to
insignificant. Hence, we get from (1.110b): decrease the modulus of elasticity of metals and ceramics
with rise of temperature.
dU ¼ dQ þ PdL ð1:110cÞ
For a reversible process, the second law of thermody- 1.8.3 Elastic Resilience or Resilience
namics gives

dQ ¼ TdSentropy
where T ¼ temperature; and dSentropy ¼ change in entropy.
Combining both (1.110c) and (1.110d), the following is
obtained.
ð1:110dÞ Similar to that mentioned in the linear case in Sect. 1.7.3, the
elastic strain energy per unit volume stored in non linear
elastic material under uniaxial tensile loading condition is
equal to the area under the elastic portion of the engineering
stress–strain diagram, and is given by

dU ¼ TdSentropy þ PdL ð1:110eÞ Stored elastic strain energy per unit volume;
Zee
If the temperature T remains constant, (1.110e) can be ðUV Þelastic strain ¼ Sde ð1:112Þ
rearranged as follows:
0
& ' & '
@U @Sentropy where ee ¼ the extent of elastic engineering strain experi-
At constant temperature; P ¼ $T
@L T @L T enced by the material. The modulus of resilience, however,
ð1:111Þ is no longer applicable to the case of a non linear elastic
material because it does not possess a proportional limit.
where Even though the material is elastic, the elastic strain
!@U "
change in the strain energy due to elastic energy stored in the material will not be always completely
@L T
straining under an applied tensile load; and recoverable if the unloading path in tensile test does not
( )
@Sentropy change in the entropy or order of the elastomer follow the same path as the loading. This has been explained
@L T with its elastic deformation on tensile loading. in Fig. 1.25, which is a typical engineering stress–strain
diagram for rubber, a non linear elastic material. In
The entropy of a system is measured by the degree of Fig. 1.25, the rubber is loaded from the origin, ‘O’ to a point
disorder, i.e., higher is the degree of disorder higher will be ‘A’ following the curve ‘1’ but when it is unloaded from ‘A’
the entropy. Since the chains of rubbers prefer random coiled to ‘O’, it follows the path represented by curve ‘2’. For
configurations prior to loading, their degree of disorder and rubber, the unloading curve lies usually somewhat below the
corresponding entropy is initially high. But when the rubber loading curve and thus the area under the unloading curve
60 1 Tension

‘2’ is lower than that under the loading curve ‘1’. Now 1.9.1 Yield Strength
according to (1.106b), the resilience in tension, UR, for
rubber is given by The yield strength is a stress associated with the onset of
irreversible plastic deformation and an important structure
area under unloading stress-strain curve 2, in Fig.1.25
UR ¼ \1: sensitive mechanical property of material. Actually the
area under loading stress-strain curve 1; in Fig. 1:25
conventionally determined engineering yield strength is
many times higher than the stress level at which plastic
Hence, the elastic strain energy recovered on complete
deformation begins as revealed by the micro-strain mea-
release of applied load is less than that supplied originally to
surement. However in practical engineering applications, the
the material when it is stretched, because some stored strain
yield strength is the most commonly used parameter to mark
energy is expended for internal friction in the rubber. This
the beginning of yielding and the end of the elastic range.
loss of energy is equivalent to the mechanical hysteresis loop
For materials showing discontinuous yielding, the initia-
formed by the area between the two curves ‘1’ and ‘2’ in
tion of plastic strain occurs abruptly at certain point, known
Fig. 1.25. If the value of resilience for a material is low, it
as yield point, which can easily be detected by the sudden
will possess high damping capacity whereas a high value of
stoppage of increment in the tensile load. The engineering
resilience is desired for low internal heat generation. Rubber
stress at the yield point where yielding; i.e., plastic defor-
has good damping capacity due to its low resilience and so,
mation begins is called the yield strength S0 of the material,
used as a base for machinery to absorb vibration and mini-
as shown in Fig. 1.42. Sometimes with the initiation of
mize noise.
yielding, the load may drop sharply from upper yield point
to lower yield point with a more-or-less steady value of load
at which further plastic deformation proceeds, as discussed
1.9 Inelastic Properties
in Sect. 1.6.4 and shown in Fig. 1.37. Since the stress at
upper yield point ðS0 ÞU ; suffers from considerable scatter
Beyond the elastic range, the inelastic action starts where
due to its extreme sensitiveness to several experimental
irrecoverable changes of structure take place in the material.
factors and the stress at lower yield point ðS0 ÞL ; is relatively
Two possible ways by which the elastic range can end, are
stable, the value of engineering stress at the lower yield point
by yielding or by fracture. Plastic range often refers to the
is usually reported as the yield strength S0 of material. The
range of mechanical behaviour in which yielding and
yield strength S0 ; is given by
strain-hardening take place. Inelastic behaviour of material
thus consists of plastic range and / or fracture. In engineering
applications, most commonly used inelastic tensile proper-
ties that are evaluated in terms of engineering stress and
strain include yield strength, ultimate tensile strength
(UTS) or simply tensile strength, ductility, toughness or
modulus of toughness and breaking or fracture strength. The S0
secant modulus and the tangent modulus in the nonlinear
Engineering stress

plastic region can also be measured in terms of engineering

stress and strain respectively by (1.109a) and (1.109b),
which is identical with that described under nonlinear
properties in Sect. 1.8.1. The inelastic tensile properties,
measured in terms of true stress and strain, are true tensile
strength, true fracture strength, true fracture strain com-
prising of true uniform strain and true local necking strain.
In relation to the flow curve, other inelastic properties that
can also be determined from the tension test are strength
coefficient, strain-hardening coefficient or exponent and rate
of strain-hardening or modulus of strain-hardening, which 0 Engineering strain
have been discussed in Sect. 1.6.2. Fig. 1.42 Yield strength for materials showing discontinuous yielding
(schematic)
1.9 Inelastic Properties 61

load at yield point of load-deformation curve obtained from tensile test Py

S0 ¼ ¼ ð1:113Þ
average initial cross-sectional area in gage section of tensile specimen A0

As most materials exhibit a gradual transition from elastic
to plastic behaviour instead of abrupt change as cited above,
it is very difficult to define precisely the stress at which
plastic deformation or yielding begins because it depends on
the sensitivity of the strain gage. For such materials, the
engineering stress required for producing a small specified
amount of conventional plastic strain or permanent set is
called the yield strength, which is usually defined as the
offset yield strength. A test procedure specified by ASTM
Standard (ASTM E8/E8M 2016b) is adopted to maintain
uniformity in the determination of the offset yield strength.
The value of offset yield strength is obtained in the following
manner from the engineering stress–strain diagram, such as
the one shown in Fig. 1.43:
• A specified plastic strain is measured from the origin on
the strain axis and at this offset a line is constructed
parallel to the linear elastic portion of the engineering
stress–strain diagram. The usually accepted offset is
0.002 or 0.2% strain unless otherwise specified. The
offset strain is nothing but the yield strain (engineering
plastic strain at the yield point), and will be denoted by
e0 :
• The engineering stress at which this offset line intersects
the engineering stress–strain curve is the required yield
stress. This value of engineering stress is usually defined
as the offset yield strength. If offset strain value is 0.002
or 0.2% as cited above, this value is called the 0.2% offset
yield strength, which is expressed as follows:
strain is generally 0.2 or 0.1%, i.e., e0 ¼ 0:002 or
e0 ¼ 0:001: In Great Britain the offset yield strength is
often called as the proof stress, where the offset value of
strain is usually taken as 0.1 or 0.5% i.e., e0 ¼ 0:001 or
e0 ¼ 0:005:
The offset method cannot be used for some materials that
show essentially no linear part in their stress–strain curve,
for example, soft copper or gray cast iron. In such case the
usual practice is to determine the engineering stress required
to produce some total strain, eT ; comprising of elastic and
plastic strain, for example, eT ¼ ee þ e0 ¼ 0:005 and to
report this stress as the yield strength of the material.
If it is desired that a material must remain elastic under
load, the yield strength is commonly used for design and
specification purposes or used as the basis for working stress
in a majority of engineering applications, because the prac-
tical difficulties to measure the elastic limit or proportional
limit can thus be avoided. The working stress, ðS0 ÞW ; is
obtained as follows by reducing the yield strength, S0 ; or
0.2% offset yield strength ½S0 )e0 ¼0:002 ; with a suitable factor
of safety, ny ; which depends mostly upon the previous
experience.
S0 or ½S0 )e0 ¼0:002
ð S0 Þ W ¼ ð1:115Þ
ny
At the yield point, since the difference between the
original and the instantaneous cross-sectional area is
insignificant, i.e., A0 ' A; so, S0 or ½S0 )e0 ¼0:002 ' the true

load required to produce engineering plastic strain; e0 ¼ 0:0002

½S0 )e0 ¼0:002 ¼
average initial cross-sectional area in gage section of tensile specimen
ð1:114Þ
Pengineering strain offset; e0 ¼0:002
¼
A0

One way to understand the offset yield strength is that the stress at the yield point, i.e., the flow stress, r0 : Hence,
tensile specimen will become 0.2% longer than its original S0 or ½S0 )e0 ¼0:002 can be replaced by r0 during yielding and
length when unloaded after it has been loaded to its 0.2% for engineering purposes, the yield stress or 0.2% offset yield
offset yield strength. In the United States the specified offset strength is designated by r0 :
62 1 Tension

strength. Sometimes, UTS (ultimate tensile strength) may be

Offset Yield strength used as a basis to calculate working stress in a ductile
material where some permanent deformation may be
[S0]e = 0.002 allowed but actual fracture must be prevented. For example,
the tensile strengths of ductile materials used to make
pressure vessel and piping system may be used for their
Engineering stress, S

design because some increase of diameter in them is often

0.2% Offset line
0 chemical composition. Moreover, the tensile strength being
e0 Offset (0.2%)
= 0.002 Engineering strain, e
Fig. 1.43 Determination of offset yield strength for a ductile metal or
alloy from its engineering stress–strain diagram (schematic). Tensile
yield strength is defined at the intersection of stress–strain curve and
0.2% offset line
1.9.2 Ultimate and True Tensile Strength
The ultimate tensile strength (UTS) or simply, the tensile
strength and the true tensile strength are important structure
sensitive mechanical properties of material. The tensile
strength (Fig. 1.26) is the maximum engineering stress that a
material can withstand under condition of uniaxial tensile
loading. It is defined as the maximum load, Pmax ; divided by
the average original cross-sectional area, A0, within the gage
length of the tensile specimen and is given as follows:
maximum load
UTS; Su ¼
average original cross-sectional area
ð1:116Þ
Pmax
¼ taneous cross-sectional area, Au ; within the gage length of
A0
The maximum load is measured by the peak point on the
load–deformation curve, obtained from the tensile test. For
ductile materials, the applied load drops beyond the point of
the ultimate load because of necking in the tensile specimen,
but brittle material showing no neck formation breaks at the
point of the maximum load. Thus for brittle materials, the
tensile strength, Su ; is the same as the breaking or fracture
strength, Sf ; as shown in Fig. 1.24b.
For brittle materials, UTS;
Pmax load at fracture, Pf
Su ¼ ¼ ¼ fracture strength; Sf
A0 A0
ð1:117Þ
For ductile materials, the tensile strength is rarely used for
design or as a basis to determine working stress. Rather, the
design of a ductile material is currently based on its yield
acceptable but actual rupture must not take place. However,
because of the prolong use of the tensile strength of a ductile
material to determine its service-strength in earlier days, it
has presently become an important mechanical property used
for identification of a material similar to that served by its
easily measurable and a quite reproducible property, is used
for the purposes of specifications and for quality control of a
product. Further, there are quite useful empirical relation-
ships between the tensile strength and other mechanical
properties like hardness and fatigue strength.
The tensile strength is a valid design criterion for a brittle
material, where the working stress needed to protect against
fracture, ðSu ÞW ; is determined as follows from the ultimate
tensile strength, or the fracture strength reduced by a suitable
factor of safety, nu.
Su or Sf
For brittle materials; ðSu ÞW ¼ ð1:118Þ
nu
The factor of safety, nu ; must be chosen higher than that
used with the yield strength, because of the scatter in the
tensile strengths or fracture strengths of brittle materials and
the need to protect against complete failure of the material.
The true tensile strength (Fig. 1.27), usually denoted by
ru ; is the true stress at the point of maximum load measured
by the highest point on the load–deformation curve. It is
defined as the maximum load, Pmax ; divided by the instan-
the tensile specimen at the point of maximum load and is
given as follows:
True tensile strength;
maximum load Pmax ð1:119Þ
ru ¼ ¼
instantaneous cross-sectional area Au
Let eu and eu denote respectively the engineering strain
and the true strain at the point of maximum load. Then from
(1.28) and (1.29), one can write (see Sect. 1.3.1) the fol-
lowing relationship between the true tensile strength, ru ; and
the ultimate tensile strength, Su :
ru ¼ Su ð1 þ eu Þ ð1:120Þ
ru ¼ Su expðeu Þ ð1:121Þ
Sometimes the point of maximum load on the load–
deformation curve becomes difficult to establish for the
1.9 Inelastic Properties
material having usually a lower value of strain-hardening
exponent, n, which shows normally a lower rate of strain
hardening and makes the curve more flat around its highest
point. This above difficulty may arise when the value of
n becomes normally lower for stronger materials or for the
same material in the cold-worked state than in the annealed
condition or for materials having higher stacking fault
energies, as discussed earlier in Sect. 1.6.2.5. For example,
steel with a lower value of n generally produces a load–
deformation curve flatter than that exhibited by annealed
copper having a higher value of n. In such case, the deter-
mination of the point of maximum load has been explained
by Fig. 1.33a, b and by Considère’s construction in
Fig. 1.34. Out of these three methods Considère’s con-
struction is the best one because it is not only easy to con-
struct but also provides the values of ultimate tensile strength
and true tensile strength, whereas the former two methods
(Fig. 1.33a, b) only provide one strength-value that is the
true tensile strength, as discussed earlier in Sect. 1.6.2.6.
1.9.3 Ductility
Ductility is one of the most desirable structure sensitive
mechanical properties of material because ductility mea-
surement in tension test provides the information regarding
the ability of the material to flow plastically before fracture
and is useful in the following three ways (Dieter 1968):
• To indicate the amount of plastic deformation that can be
imparted to a material without causing its fracture for
formation of unlimited variety of useful shapes in
mechanical working operations such as rolling, drawing,
extrusion etc.
Fig. 1.44 Typical specimen and
various shapes of specimen-ends
for tension test
Plain end
Shouldered end
63
• To indicate the additional margin of safety beyond the
elastic range that may prevent complete mechanical
failure of the material if some part of it is momentarily
overstressed. In such case, if the material is ductile, it will
yield locally without fracture in spite of the wrong stress
calculation or overlooking of the prediction of momen-
tary large overload by the designer.
• The “quality” level of material that depends on changes
in impurity level or processing conditions may be
assessed by ductility measurement.
1.9.3.1 Tensile Specimen
Prior to the discussion on the measurement of ductility, it is
necessary to know the geometry of tensile specimen. The
cross-section of a tensile specimen is usually circular, square
or rectangular. A round specimen is the most common but a
flat specimen is normally used when the specimen has to be
prepared by machining of sheet and plate stock. The
mid-section of the length of the cylindrical or prismatic
specimen has usually a smaller cross-section than the end
sections of the specimen that are placed in the gripping
device of the testing machine. The end portions are inten-
tionally enlarged to provide additional strength so that the
failure of the specimen can be avoided at or near the grips.
The ends of cylindrical specimen may be plain, shouldered
or threaded and those of prismatic specimen are generally
plain, although they may be sometimes shouldered or have a
hole for bearing a pin. Various shapes of specimen-ends are
shown in Fig. 1.44. The central part is not only reduced to
get fracture in that region but its cross-sectional area is
maintained largely constant for uniform distribution of stress
across the cross-section. Care must be taken during speci-
men preparation so that the centre lines of the reduced
portion and the ends must coincide and both sides of the
reduced portion are symmetrical with respect to the
Distance between shoulders
“Reduced” section
May have parallel sides or
slight taper to mid length
Diameter, D0
Fillet
Gage length, L0
Over all length
Threaded end Pin end
64 1 Tension

Table 1.4 Dimensional ratios of tensile specimens standardized by different countries

Type of tensile specimens Dimensional ratio United States Great Britain India Germany
Standardized by ASTM Recommended by I.S.O.
%pffiffiffiffiffi
Flat L0 A0 4.5 5.65 5.65 11.3
Round L0 =D0 4.0 5.0 5.0 10.0

longitudinal axis over the whole length in order to prevent elongation, denoted by ef ; and (2) the reduction of
bending during application of tensile load. Further, both cross-sectional area at fracture, represented by rf ; both of
sides of the reduced section are made parallel with each which are usually expressed as percentage and shown below.
other but they are often slightly tapered from 0.076 to According to (1.5)
0.127 mm (0.003–0.005 in.) towards the centre so that the
DLf Lf $ L0
probability of fracture becomes more near the centre. Elongation; ef ¼ ¼ ð1:122aÞ
L0 L0
Sometimes, brittle specimen is curved throughout the length
of its reduced section in order to avoid its fracture at or near DLf Lf $ L0
the grips. In such case, the stress distribution is not uniform Or, % elongation; % ef ¼ . 100 ¼ . 100
L0 L0
across the cross-section and hence to obtain comparable
ð1:122bÞ
results, all dimensions of the specimen have to be stan-
dardized. In accordance with the standards mentioned in where
Table 1.4 discussed subsequently in Sect. 1.9.3.2, the gage
length is fixed usually by punching two gage marks on the L0 original gage length of the tensile specimen before
surface of the reduced section of the undeformed specimen, loading;
which is slightly more in length than the gage length. All Lf gage length of the tensile specimen after its fracture,
experimental measurements are made over this gage length. which is measured by joining the fractured parts of
The shift from the larger ends to the reduced section must be the specimen together; and
made by fillets of suitable large radius so that the stress DLf total extension or deformation up to the point of
concentration caused by the abrupt changes in the fracture, i.e., increase in length from original gage
cross-section is reduced. Typical tensile specimen with its length, L0 ; to gage length at fracture, Lf :
different sections has been illustrated schematically in
Fig. 1.44. As an example, dimensions of different sections of A0 $ A f
a 5 in. (127 mm) long cylindrical tensile specimen for Reduction of area at fracture; rf ¼ ð1:123aÞ
A0
ductile metals as per ASTM Standard are given below
(Davis et al. 1964; Richards 1961). Or;
A0 $ Af
End sections: Diameter ¼ 0:75 in. ð19:05 mmÞ; and % reduction of area at fracture; % rf ¼ . 100
A0
Length ¼ 1:375 in. ð34:925 mmÞ; ð1:123bÞ
Fillet: Usual radius ¼ 0:5 in. ð12:7 mmÞ; and
Minimum recommended radius = 0.375 in. (9.525 mm) where
Reduced section:
A0 average original cross-sectional area within the gage
Diameter ¼ 0:505 þ 0:003 to 0:005 in.
length of the tensile specimen before loading; and
ð12:827 þ 0:0762 to 0:127 mmÞ (for taper),
Af minimum cross-sectional area of the tensile specimen
And length ¼ 2:25 in. ð57:15 mmÞ;
after fracture, measured from the fractured parts of the
Gage length:
necked segment
Diameter ¼ 0:505 in. ð12:827 mmÞ; and
length ¼ 2 in. ð50:8 mmÞ: The magnitude of total elongation, ef ; reported for a
given tension test depends on the value of original gage
1.9.3.2 Ductility Measurement length of the specimen used in the test, L0 ; because the
The ductility of a material is conventionally measured from largest part of the plastic strain is concentrated in the necked
the tension test by the following two standard parameters— region of the tensile specimen with relatively little in other
(1) the engineering strain at fracture, usually called the parts of it. The shorter is the initial gage length the greater
1.9 Inelastic Properties
Onset of necking
C
B D
A
Engineering stress
Fracture
E
Engineering strain
Fig. 1.45 Engineering stress–strain curve for a ductile material that
undergoes necking followed by fracture. Different arbitrary stress levels
are indicated on the curve by points A, B, C, D, and E, which are
discussed in Fig. 1.46
will be the fraction of strain contributed to the total elon-
gation from the necked region and the higher will be the
value of elongation, ef : For this reason, it is essential that the
original gage length, L0 ; must always be specified when
reporting values of percentage elongation, % ef : The distri-
bution of total extension up to the point of fracture along the
gage length of the tensile specimen is represented schemat-
ically in Fig. 1.46 for different arbitrary stress levels as
indicated by various points on the engineering stress–strain
curve in Fig. 1.45. From Fig. 1.46, it is clear that the total
extension includes two components, the uniform extension,
DLu ; up to the point of maximum load at which the necking
process initiates (point C in Fig. 1.45 that corresponds to
curve C in Fig. 1.46) and the local necking extension, DLn ;
from the onset of necking to the point of fracture. The
amount of uniform extension, DLu ; increases usually with
the value of strain-hardening exponent, n; i.e., normally with
the decrease in strength or stacking fault energy of material,
(see Sect. 1.6.2.5). The size and shape of specimen also
affect the extent of uniform extension. The uniform engi-
neering strain that occurs till the point of maximum load,
i.e., up to the onset of necking is known as uniform elon-
gation, which will be denoted by eu : The total deformation
up to the point of fracture, DLf ; is given by
! "
DLf ¼ Lf $ L0 ¼ ðLu $ L0 Þ þ Lf $ Lu
¼ DLu þ DLn ¼ eu L0 þ DLn ð1:124Þ
where eu ¼ DLu =L0 :
65
E
Elongation
D
Gage length
Fig. 1.46 Schematic illustration of distribution of elongation along
specimen gage length. Uniform elongation occurs up to the point of
maximum load (point C in Fig. 1.45), at which the necking process
initiates (curve C) and further elongations up to the point of fracture are
localized in necked region (curve D and E). A, B, C, D, and E are
different arbitrary stress levels as indicated in Fig. 1.45
The tensile elongation, ef ; can now be expressed by
DLf eu L0 DLn DLn
ef ¼ ¼ þ ¼eu þ ð1:125Þ
L0 L0 L0 L0
The above (1.125) clearly shows that the larger is the
original gage length, L0 ; the smaller will be the value of
DLn =L0 ; and the lower will be the difference between the
values of ef and eu : Therefore, for a tensile specimen with
longer gage length, the total elongation i.e., engineering
fracture strain, ef ; is mainly affected by uniform elongation,
which increases usually with the value of strain-hardening
exponent, n; and thus, the total elongation depends on the
strain-hardening capacity of the material.
From (1.125), it is clear that the smaller is the original
gage length, L0 ; the higher will be the total elongation up to
the point of fracture. This is illustrated with the following
example. Suppose two tensile specimens of the same mate-
rial and the same cross-sectional area and shape, having
original gage lengths of 50 and 200 mm, are stretched with
equal uniform elongation of 10% till the point of maximum
load at which neck begins, i.e., eu ¼ 0:1 for both specimens.
Let the necked segments for both specimens were originally
12.5 mm long at the point of maximum load, but their
lengths after fracture become 25 mm, showing a 100%
localized elongation only in the necked regions, i.e., DLn ¼
25 $ 12:5 ¼ 12:5 mm: According to (1.125), the per cent
elongation, % ef ; of the above 50 and 200 mm long speci-
mens are respectively given below:
66 1 Tension

& ' %pffiffiffiffiffi

DLn various values of L0 A0 for flat test pieces, or, L0 =D0 for
When; L0 ¼ 50 mm; %ef50 ¼ eu þ . 100
L050 round specimens, which is given in Table 1.4.
& ' Now to obtain approximately the same elongation-value,
12:5
¼ 0:1 þ . 100¼35% ef ; of two different specimens, 1 and 2, having the same
50
shape made from the same material, the following is
ð1:126aÞ
expected from (1.128):
& '
DLn L0 L0
When, L0 ¼ 200 mm; %ef200 ¼ eu þ . 100 pffiffiffi1ffiffiffi ¼ pffiffiffi2ffiffiffi ð1:129aÞ
L0200
& ' A0 1 A0 2
12:5
¼ 0:1 þ . 100 ¼ 16:25%
200 where original gage length and cross-sectional area of
ð1:126bÞ specimen 1 are respectively L01 and A01 and those of spec-
imen 2 are respectively L02 and A02 : The elongation of the
From (1.126) it can be readily seen that since L050 \L0200 ; specimen 2 can be predicted by performing the actual tensile
so, % ef50 [ % ef200 : To minimize such variations in the test on the specimen 1 with the cross-sectional area of A01 ;
values of % elongations resulting from the uses of different where its gage length is required to be adjusted according to
original gage lengths, J. Barba in 1880 first stated that (1.129a) so that its gage length becomes
geometrical similarities among test pieces are required to sffiffiffiffiffiffi
compare the elongation-values of different-sized test speci- A01
mens. Numerous investigations since then have been made L01 ¼ L02 ð1:129bÞ
A02
to rationalize the strain distribution (Hsu et al. 1965) in the
tension test. The most general conclusion that has been The application of (1.129b) is explained with the fol-
confirmed is that geometrically similar specimens develop lowing example. Suppose the elongation of a flat specimen
geometrically similar necked regions. The total elongation, of a material with 40 mm gage length, 12 mm width and
ef ; of the same material remains practically constant (Moore 2 mm thickness is desired by the customer. But in produc-
1918; Nichols et al. 1927) when the Barba’s law (Barba tion shop, 12 mm wide and 8 mm thick flat product of the
1880) is followed. identical material is available and the reduction of the
pffiffiffiffiffi thickness is restricted probably due to involvement of cost
Barba’s law: DLn ¼ C A0 ð1:127Þ and / or infrastructural facility etc. In such case to predict the
required elongation, a test specimen has to be made from the
where
8 mm-thick product but the only requirement is to adjust its
DLn local necking extension, gage length, L0 ; so that
C a constant that varies with the type of specimen used pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
in the test, and L0 ¼ 40 . ð8 . 12Þ=ð2 . 12Þ mm ¼ 80 mm:
A0 original cross-sectional area within the gage length of
This above procedure has been experimentally verified by
tensile specimen
Kula and Fahey (1961).
By substituting (1.127) in (1.125), the elongation equa- On the other hand, the prediction of ductility from the
tion becomes tension test by the measurement of the reduction of area at
pffiffiffiffiffi fracture does not suffer from the difficulty encountered by
A0 elongation measurement, mentioned above, i.e., the value of
ef ¼ eu þ C ð1:128Þ
L0 reduction of area at fracture does not depend on the original
gage length-value of tensile specimen. Reduction of area at
Therefore to obtain the same elongation-value for a given
pffiffiffiffiffi% fracture is chiefly influenced by the necking process as it is
material, the value of A0 L0 depending on the type of test
mainly a measurement of the deformation required for
specimen must be kept constant, as predicted by (1.128). As fracture. Since the development of neck is controlled by the
pffiffiffiffiffi
normally A0 \L0 ; so to avoid the fractional values of specimen geometry and the triaxial state of stress in the
pffiffiffiffiffi%
A0 L0 ; the critical geometrical factor that is maintained neck, the value of reduction of area at fracture depends on
%pffiffiffiffiffi
constant is L0 A0 for flat test pieces, or, L0 =D0 for round the specimen geometry and deformation behaviour at the
pffiffiffiffiffi
specimens, because for round specimens, A0 ¼ neck.
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffi pffiffiffiffiffi Both the elongation and reduction of area increase gen-
2
ðp=4ÞD0 ¼ ð p=2ÞD0 and thus, D0 / A0 : Hence, to
minimize the variations in the elongation-data, the stan- erally with the test temperature. Further, they vary usually
dardizing organizations in different countries have specified with the heat treatment, composition or alloy content, etc.,
1.9 Inelastic Properties 67

but the most structure-sensitive ductility parameter is the Only the ratio of A0 to Af is used to calculate the value of ef ;
reduction of area at fracture. as shown by the following (1.132).
The ductility of a material can also be predicted by
! " ZAf
zero-gage-length elongation, represented by ef 0 ; which is dA A0
obtained from an equivalent value of reduction of area at True fracture strain; ef ¼ $ ¼ ln
A Af ð1:132Þ
fracture, rf ; as follows: A0
Due to the constancy of volume, V; during plastic ¼ true reduction of area at fracture; rf0
deformation, one can write
Note that the value of true fracture strain is the same as
A0 Lf that of the true reduction of area at fracture, represented by
V ¼ A0 L0 ¼ Af Lf ; or, ¼
Af L0 rf0 ; as shown by (1.132). The true fracture strain, ef ; can also
be related to the engineering reduction of area at fracture, rf ;
Hence from (1.123a)
by the following (1.133).
Af A0 1 As from (1.130)
rf ¼ 1 $ ; or; ¼ ð1:130Þ
A0 Af 1 $ rf
A0 1
¼ ;
From (1.122a) and (1.130), zero-gage-length elongation Af 1 $ rf
! " ð1:133Þ
ef 0 is given by A0 1
) ef ¼ ln ¼ ln
Af 1 $ rf
! " Lf A0 1 rf
ef 0 ¼ $ 1 ¼ $1¼ $1¼ ð1:131Þ
L0 Af 1 $ rf 1 $ rf The true uniform strain, eu ; is the true strain required to
deform the specimen from the start of loading in tension to
The zero-gage-length elongation represents the elonga- the point of maximum load. Since the strain distribution
tion when the gage length at the point of fracture approaches along the gage length of the tensile specimen is homoge-
zero. As it is based on the shortest possible gage length near neous up to this point, so the true uniform strain, eu ; may be
the fracture, it gives the highest value of elongation for a calculated from the measured value of eu ; with the help of
given material and is independent of the original gage (1.10) as well as by the ratio of either gage length at the
length-value of tensile specimen. point of maximum load, Lu, to original gage length, L0 ; or A0
to Au ; as shown respectively by the following (1.134) and
1.9.3.3 Ductility in Terms of True Strain (1.135).
The measurement of true strain from the tension test is often
required to assess the ductility of material. Specification of True uniform strain; eu ¼ lnð1 þ eu Þ ð1:134Þ
ductility in terms of true strain is more significant than in
terms of engineering strain. The strains, shown in the true where eu ¼ LuL$L
0
0
:
stress–strain curve in Fig. 1.27, are true fracture strain,
ZLu
represented by ef ; true uniform strain, denoted by eu ; and dL Lu
true local necking strain, denoted by en ; which are discussed eu ¼ ¼ ln ð1:135aÞ
L L0
below. Let ‘A’ denotes average cross-sectional area within L0

the gage length of the tensile specimen and its subscripts ‘0’,
‘u’ and ‘f’ represent respectively original ‘A’ before loading,
‘A’ at the point of the maximum load and the minimum ‘A’
after fracture, for the following (1.132)–(1.136).
The maximum true strain that can be tolerated by the
material prior to its fracture is given by the value of true
fracture strain, ef ; and this value is higher than the value of
total fracture strain in the engineering stress–strain curve,
i.e., ef ; for a ductile material which shows necking. Since the
strain distribution along the gage length of tensile specimen
is inhomogeneous beyond the onset of necking, so the value
of ef ; can neither be calculated from the measured value of
ef ; with the help of (1.10), nor be calculated by the ratio of
gage length after the fracture, Lf ; to original gage length, L0 :
ZAu
dA A0
Or; eu ¼ $ ¼ ln ð1:135bÞ
A Au
A0
From the standpoint of the use of material in stretch
forming operations or in any other engineering applications,
the maximum possible amount of uniform strain prior to the
onset of localized necking is always desired. It has been
shown in (1.97) that the extent of uniform true strain, eu ; is
numerically equal to the magnitude of the strain-hardening
exponent, n; where the material obeys Hollomon true stress–
strain relation given by (1.90a). So, the higher the magnitude
of n the more will be the value of eu and the greater will be
the formability or longevity of the material. For this reason,
68
the material selected must have higher value of n that can
easily be judged from the results of tension test by the
measurement of uniform true strain, eu : Moreover to avoid
the complication from necking, ductility measurement is
based on the uniform strain, i.e., the determination of eu is
often used to estimate the ductility of the material.
The true local necking strain, en ; is the true strain needed for
the deformation of material from the onset of necking to the
point of fracture and calculated with the following (1.136).
True local necking strain;
ZAf
dA Au
en ¼ $ ¼ ln ð1:136Þ
A Af
Au
The minimum cross-sectional area after fracture of the
tensile specimen, Af ; is measured from the fractured parts of
the necked segment. From the above three (1.132), (1.135b)
and (1.136), it is clear that
True fracture strain ¼ true uniform strain
þ true local necking strain:
Owing to the variation of elongation, ef ; with the gage
length, L0 ; of tensile specimen, researchers occasionally
report either both of total engineering fracture strain, ef ; and
uniform engineering strain, eu ; or both of total true fracture
strain, ef ; and uniform true strain, eu :
1.9.4 Fracture Strength and True Fracture
Strength
Both fracture strength and true fracture strength are structure
sensitive properties. The breaking or fracture strength, Sf ; is
shown in Fig. 1.26 for ductile material and Fig. 1.24 for
brittle material. The fracture strength Sf is an engineering
stress required to cause fracture. It is defined as the load at
fracture, Pf, divided by the average original cross-sectional
area within the gage length of the tensile specimen, A0, as
given below:
Fracture strength;
ð1:137Þ
load at fracture Pf
Sf ¼ ¼ formation of neck in tensile specimen produces a condition
average original cross-sectional area A0
The breaking or fracture strength, Sf ; for a brittle material
is given by its tensile strength, Su ; as shown in (1.117). But
for a ductile material showing necking the fracture strength,
Sf ; is lower than the tensile strength, Su ; as the fracture load
is lower than the maximum load. So in the process of
1 Tension
fracture of a ductile material, its ultimate tensile strength, Su ;
is more important than its fracture strength, Sf :
It must be noted that the fracture strength observed for a
brittle material is strongly influenced by the stress concen-
trations due to presence of some imperfections in the material,
such as a microscopic crack. The values of stress concentra-
tions again depend on the size, sharpness and orientation of
the imperfections. But this flaw-geometry will vary among
different samples of a brittle material resulting different
observed fracture strengths for the same material. Therefore,
the fracture strength of a brittle material will not have a single
value rather the values will be scattered significantly. The
arithmetic mean or the median of a set of observed values is
usually reported as the fracture strength for a brittle material.
But it must be kept in mind that this reported value of fracture
strength is higher than roughly 50% of the observed fracture
strengths. Further, the fracture strength of a brittle material
will vary with size of specimens made from it. The chance of
having larger flaws is more in a bigger sized sample than in a
smaller sized sample of the same material and as a result, the
larger sample containing bigger flaws will show a lower
average fracture strength than the smaller one. So, this fact
must not be forgotten when the fracture strengths of large
members of brittle materials are predicted from the results of
laboratory tests on small specimens.
The applied true fracture strength, rfapp ; is an applied true
stress required to cause fracture, which is shown in
Fig. 1.27. It is defined as the applied load at fracture, Pf ;
divided by area of the smallest cross-section of the tensile
specimen after its fracture, Af ; as given below:
Applied true fracture strength,
applied load at fracture Pf
rfapp ¼ ¼
minimum cross-sectional area at fracture Af
ð1:138Þ
where Af is measured from the fractured parts of the tensile
specimen. The value of rfapp is always higher than the tensile
strength, Su ; irrespective of whether the material is ductile or
brittle since Af \A0 and it gives a measure of the strain
hardening capacity of the material. The measured value of
true tensile fracture strength applied in the axial direction
rfapp for a ductile material is frequently in error since the
of triaxial stress prior to the fracture,. The value of rfapp is
higher than uniaxial true fracture strength, say rftrue ; that
would be necessary for fracture if necking had not intro-
duced triaxial stress condition. If rfapp is corrected for
necking, probably by Bridgman relation discussed in
Sect. 1.6.2.7, it is possible to obtain the value of rftrue :
1.9 Inelastic Properties
1.9.5 Toughness
Toughness is an important structure sensitive property of the
material. It is defined as the capacity of the material to
absorb mechanical energy in the plastic range up to the
point of fracture. The higher the energy absorbed by the
material the higher will be its toughness and the greater will
be the resistance offered by the material to its fracture. So, a
large amount of energy is expended to cause fracture of a
tough material, whereas a material is said to be brittle if it
absorbs little energy for its fracture. High toughness is
desired particularly for components like coupler joints,
chains, crane hooks, gears etc. which must be capable to
bear incidental rise of stress above the yield strength and
resist fracture.
The amount of energy absorbed by a unit volume of a
material till the point of its fracture comes directly from the
amount of work done by the applied tensile force on a unit
volume of the material without causing it to break. This
energy stored in the material in the form of strain energy per
unit volume is the area under the tensile stress–strain curve.
Hence, toughness is considered to be equal to the area
measured under the engineering plastic stress–strain curve.
Toughness is sometimes termed as the modulus of toughness
because it is measured by the strain energy per unit volume
like the modulus of resilience but the difference is that the
energy absorption is in the plastic range up to the point of
fracture in the former one and in the elastic range up to the
point of proportional limit or yield strength in the latter one.
Since the fracture strain includes the elastic as well as the
plastic strain, the energy to break, i.e., the toughness is
normally measured by the total area under the engineering
stress–strain curve from beginning to end. For an un-notched
tensile specimen, the amount of energy absorbed per unit
volume of the specimen up to the point of its fracture is
therefore
Zef
! "
UToughness Engg:
¼ Sde ð1:139aÞ
0
where ef ¼ engineering strain at fracture:
To compute the modulus of toughness, the above area can
be measured by the use of a planimeter.
Figure 1.47 schematically shows engineering stress–
strain curves for three materials of different toughness.
Material A has a high yield and tensile strength with little
ability for plastic deformation, material B is of poor strength
but shows a greater total elongation and so has a high
ductility, whereas both the strength and ductility levels of
material C are optimum. Out of these three materials, the
69
A
Engineering stress, S
C
B
Engineering strain, e
Fig. 1.47 Schematic engineering stress–strain curves for three mate-
rials of different toughness. Material A has a high strength with little
ability for plastic deformation. Material B has a poor strength but a high
ductility. Material C has an optimum combination of strength and
ductility resulting in a maximum toughness
total area under the engineering stress–strain curve is the
maximum for material C and so it is the toughest material.
Therefore toughness is a property which includes both
strength and ductility. Neither a highly strong nor an
exceptionally ductile material alone can provide good
toughness. The optimum combination of strength and duc-
tility will be required to achieve the best toughness.
Sometimes the total area under the engineering stress–
strain curve is mathematically approximated by the follow-
ing (1.140) and (1.141), where Su ¼ ultimate tensile
strength, S0 ¼ yield strength and ef ¼ total elongation. For a
ductile material that shows necking prior to its fracture,
either of the following equations may be used to calculate its
toughness:
! "
UToughness Engg: ' Su ef ð1:140aÞ
! " Su þ S0
Or, UToughness ' ef ð1:140bÞ
Engg: 2
Since the highly localized strain is involved after necking
for a ductile material, the reporting of its toughness should
include the gage length of the specimen used in testing.
Assuming the engineering stress–strain curve to be a para-
bola for a brittle material that shows no neck formation, the
toughness may be given by the following equation:
70
! " 2 increase in ductility and the easier is the plastic deformation
UToughness ' Su e f ð1:141Þ
Engg: 3 and mechanical working processes. But if changes in
It is to be noted that the engineering stress–strain curve
based on the original cross-sectional area of the specimen
does not represent the true behaviour of the material in the
plastic range. For this reason, the total area under the true
stress–strain diagram up to the point of rupture is used to
measure the toughness in the most severely strained region
of the specimen. This area represents the energy per unit
volume actually put into the material at the smallest part of
the neck. The total area under the true stress–strain curve up
to the point of fracture is given by
Zef
! "
UToughness True
¼ rde ð1:139bÞ
0
where ef ¼ true strain at fracture:
If there would not be any neck formation and the material
would follow Hollomon true-stress–true-strain relation given
by (1.90a) up to the point of fracture, the area under both the
engineering and true plastic stress–strain curve would be
equal to each other, i.e., the value of true toughness would
be equal to that of engineering toughness—it has been
proved subsequently in the section of solved problems.
Strain rate, i.e., rate of loading during tensile testing,
deformation or test temperature and presence of notch can
affect the toughness of a material. As the strain rate increases
or the deformation or test temperature is lowered, ductility of
a material will decrease resulting in a decrease in toughness.
A material having good toughness under uniaxially applied
tensile stress condition tends to be brittle and shows poor
toughness under multi-axial state of stress that is produced
due to the presence of a notch. A notched thick tensile
specimen having a triaxial state of tensile stress is more
prone to brittle fracture than a notched thin specimen that
creates a biaxial state of tensile stress. Apart from the tensile
toughness discussed in this section, there are impact
toughness (also called notch toughness) and fracture
toughness, which will be discussed respectively in Chaps. 6
and 9.
1.10 Influence of Temperature on Tensile
Properties
The stress–strain diagram and the strength and ductility
properties obtained from the tensile test strongly depend on
the test temperature. Generally, the higher the deformation
temperature the more is the reduction in strength and the
1 Tension
micro-structure like precipitate formation, strain ageing etc.
occur at elevated temperature, the above mentioned general
behaviour may be changed.
The magnitude of flow stress at the time of its measure-
ment is controlled by the dislocation structure prevailing at
that time. The dislocation structure again varies with strain,
strain rate and temperature. Therefore, the flow stress r is a
function of strain e; strain rate e_ and temperature T; i.e.,
mathematically r ¼ f ðe; e_ ; T Þ: At constant strain e and strain
rate e_ ; the following general relationship exists between the
flow stress r of a material and the test or deformation tem-
perature T:
Q
r ¼ C1 eR&T je;_e ð1:142Þ
where
Q an activation energy for plastic deformation, in J mol−1;
R molar gas constant = 8.314 J mol−1 K−1;
T deformation or test temperature in K
The slope of the linear plot of ln r versus 1=T at constant
strain and strain rate can provide the value of Q=R; from
where the activation energy for plastic deformation Q can be
determined, and the value of C1 is obtained from the inter-
cept ln C1 in this plot. At constant dislocation structure, the
activation energy for plastic deformation Q can be evaluated
by a temperature change test (Fig. 1.48). In this test per-
formed at a constant true strain rate e_ ; the temperature is
increased from T1 to T2 at a given value of true strain e; so
that the flow stress decreases from r1 to r2 : Q is given by the
following (1.143).
T1
T2
True stress, σ
T2
σ1
T1 < T2
σ2
ε = constant
Time
Fig. 1.48 Temperature change test to determine activation energy for
plastic deformation Q; at constant dislocation structure
1.10 Influence of Temperature on Tensile Properties 71

& ' & '

Q Q
r1 ¼ C1 exp and r2 ¼ C1 exp ; results in a small width of dislocation and hence a high
RT1 RT2
r1 exp½Q=ðR T1 Þ)
Or, ¼ ;
r2 exp½Q=ðR T2 Þ)
r1 Q Q
Or, ln ¼ $ ;
r2 RT1 RT2
& '
r1 T1 T2
) Q ¼ R ln ð1:143Þ
r2 T2 $ T1
Note that a given temperature may be quite high for a low
melting point material but the same temperature may be quite
low for a high melting point material. So the comparison of
mechanical properties of various materials at different tem-
peratures must be based on their melting points. The ratio of
Tt ðin KÞ
deformation or test temperature, in Kelvin
melting point of individual material, in Kelvin ¼ Tm ðin KÞ
is known as the homologous temperature and the
flow stresses of different materials must be compared at
the same value of the homologous temperature. More-
over, instead of comparing only the flow stresses of
different materials, it is better to compare the ratio of
flow stress of individual material r0
elastic modulus of individual material ¼ E for different
materials to rectify for the influence of temperature on
modulus of elasticity.
The temperature sensitivity of yield strength depends on
the type of material. When the test or deformation temper-
ature is decreased the yield strengths of BCC metals and
ceramic materials increase sharply while the yield strengths
of ideal HCP and FCC metals increase very slightly,
showing meagre dependency on the temperature. This can be
explained with respect to the temperature sensitivity of
Peierls–Nabarro stress that is related to the yield strength by
(1.57b). Again from (1.55), it can be inferred that the larger
the dislocation width W; the lower is the Peierls stress sp$n :
Furthermore, the dislocation width is determined by the type
of binding forces between atoms. When the interatomic
binding forces are spherically distributed and acting along
the centre-line of the atoms as found in close-packed crystal
structures, the width of dislocation is large. So, a low
Peierls–Nabarro stress is observed in FCC and ideal HCP
crystals. By contrast, the interatomic binding forces in ionic,
covalent and BCC crystals are highly directional which
Peierls–Nabarro stress is observed in the above crystals. The
decrease in the test or deformation temperature limits the
motion of dislocations and increases the Peierls stress.
However with the decrease in temperature, there is a minor
rise in the Peierls stress resulting in a slight increase in the
yield strength for FCC and ideal HCP crystals having large
dislocation width, because the initial Peierls stress was very
small. On the contrary, similar decrease in temperature will
cause a rapid increase in the Peierls stress for ionic, covalent
and BCC crystals having small width of dislocation and as a
result, their yield strengths will rise sharply. The temperature
sensitivity of yield strength for different materials is com-
pared in the following Table 1.5.
From Table 1.5, it is evident that the yield strength in
FCC metals is much less sensitive to temperature. On the
other hand, with increasing temperature the rate of strain
hardening in a material decreases, which makes the stress–
strain curve quite flat beyond its yield point. Thus, the tensile
strength of the material decreases and comes closer to its
yield strength as the temperature is increased. This results in
the tensile strength of FCC metal to be more dependent on
temperature than the yield strength, which is weakly
dependent on temperature.
The influence of temperature on the ductility expressed in
term of percentage reduction in area is also dependent on the
type of material. With decreasing temperature the behaviour
of BCC metal and ceramic material changes from ductile to
brittle with a drastic decrease in the percentage reduction in
area while the ideal HCP and FCC metals always show
slightly lower ductility measured by a slight decrease in the
percentage reduction in area. For example (Bechtold 1955),
for a drop in temperature of 200 K, the reduction in area
decreases for iron (BCC) from about 70%, for molybdenum
(BCC) from 80%, and for tungsten (BCC) from 20% to
nearly 0%, showing complete brittleness respectively at 48,
173, and 373 K. In contrast, the reduction in area for nickel
(FCC) decreases from about 95–80% for a drop in temper-
ature from 1070 to 70 K. The limited ductility in BCC
metals and ceramic materials at low temperature are partly
because of their large Peierls stress. But with an increase in

Table 1.5 Comparison of temperature sensitivity of yield strength for different materials
Materials Dislocation Peierls Peierls Stress temperature Temperature sensitivity of
width stress sensitivity yield-strength
FCC and ideal HCP Very large Very small Negligible Insignificant
metal
BCC metal Small Large Strong Sharp
Ionic-bonded ceramic Small Large Strong Sharp
Covalent-bonded Very small Very large Strong Sharp
ceramic
72 1 Tension

temperature, there is a rapid decrease in the Peierls stress,

which improves the ductility of these materials at elevated –200°C ( = 73K )

temperatures. Room temperature ≈25°C ( = 298K )

Engineering stress
200°C ( = 473K )
1.10.1 Effect of Temperature on Stress–Strain
Curve of Mild Steel

The influence of temperature on the flow curve of a material 400°C ( = 673K )

at constant strain rate, as shown schematically in Fig. 1.49, Strain rate, ε = constant
indicates that the increase of temperature causes mainly the
following three effects: 0
Engineering strain

1. Lowering of the yield stress; Fig. 1.50 Schematically showing variations in engineering stress–
2. Decrease in the rate of strain hardening and strain curves with temperature for mid steel, at a constant strain rate
3. Increase in the ductility.
very low test temperature of the order of $200 * C: Further,
However, Fig. 1.50 shows schematically the variations in
the lower the temperature the steeper is the linear elastic
engineering stress–strain curves with temperature for mid
modulus line of the stress–strain curve because the modulus
steel, where it is assumed that the strain rate remains con-
of elasticity decreases with the increase of temperature.
stant at all temperatures. The most common engineering
The Type I curve can be explained in terms of the vari-
stress–strain curve of mid steel tested at room temperature of
ations in yield strength and fracture or cleavage strength of
around 25 °C is the Type IV curve showing elastic–
mild steel with temperature. At room temperature, since the
heterogeneous–homogeneous plastic response with
yield strength of mild steel is lower than its cleavage
yield-point phenomenon.
strength, plastic deformation occurs resulting in a ductile
For mild steel, it is possible to obtain Type II curve
fracture. The yield strength of mild steel is much more
showing elastic–homogeneous plastic response with lower
sensitive to temperature than its cleavage strength. When the
strength properties and higher percentage elongation at
test or deformation temperature is decreased below the room
higher test temperature, on the order of 400 °C, which of
temperature, the yield strength of mild steel (BCC) increases
course depends on the value of strain rate. But as the tem-
sharply as discussed earlier, while the fracture strength of
perature decreases the curve shifts gradually to higher
mild steel increases very slightly, showing weak dependency
strength levels with lower percentage elongation and shows
on temperature. At around a temperature of $200 * C the
sequentially elastic–heterogeneous plastic response i.e.,
yield strength of mild steel becomes nearly equal to its
serrated stress–strain curve of Type III, then Type IV curve
cleavage strength and the mild steel undergoes brittle frac-
and finally, Type I curve showing elastic response with little
ture with a little amount of plasticity prior to fracture, thus
plasticity prior to fracture i.e., brittle nature that occurs at
exhibiting the Type I curve.
Curves of Types II to IV can be explained with respect to
the competition between the speed of dislocations and that of
the interstitial solute atoms in mild steel i.e., carbon and
nitrogen atoms. Since the strain rate during the test is
Te

assumed to be constant, the variation in the speed of dislo-

m
pe
ra

cation motion is only dependent on the change in tempera-

tu
re

ture. When the test-temperature is higher on the order of

in
cr
Flow stress

ea

400 °C, the solute atoms move faster than the dislocations
sin
g

because the interstitial solute atoms are smaller in size than

the dislocations. So, pinning of slow moving dislocations by
atmosphere of rapid moving solute atoms cannot occur.
Thus, the unhindered movement of dislocations generates
Constant strain rate
the smooth parabolic curve of Type II.
Strain When the temperature is decreased to about 200 °C, the
speed of the solute atoms of carbon and/or nitrogen also
Fig. 1.49 Schematically showing the effect of temperature on flow decreases and becomes nearly equal to the speed of
stress versus strain curve at constant strain rate
1.10 Influence of Temperature on Tensile Properties 73

dislocations. As a result, the dislocations are pinned by such the testing machine, the extension, dL; of the specimen per
solute atmospheres and dislocation motion is severely unit time is equal to the cross-head velocity. Hence,
restricted. This requires a higher applied stress to unlock the
pinned dislocations from their solute atmosphere and dL
Crosshead velocity, v ¼ ð1:144cÞ
unpinning of dislocations causes a drop of stress. Since the dt
velocities of solute atoms and dislocations are nearly the The strain rate is related to the cross-head velocity, v, by
same, this process of pinning and unpinning of dislocations the following (1.145a) and (1.145b). From (1.144a) and
occurs several times producing the serrated stress–strain (1.144c):
curve of Type III, at test temperature on the order of 200 °C,
which of course depends on the value of strain rate. dL=L0 dL=dt
Engineeng strain rate, e_ ¼ ¼
When the temperature is decreased to room temperature, dt L0
ð1:145aÞ
the velocity of the solute atoms decreases further and causes v crosshead velocity
¼ ¼
an initial locking of most of the dislocations. But even then L0 original gage length
there will be some unpinned mobile dislocations which will
It is clear from (1.145a) that e_ / v; since L0 ¼ constant:
move with deformation at higher velocity to maintain a
Hence, the tension test can easily be carried out at a constant
constant strain rate (1.101), resulting in an increase in stress
engineering strain rate e_ ; if the cross-head velocity, v; is kept
(1.102). These dislocations multiply rapidly to increase the
constant. From (1.144b) and (1.144c):
mobile dislocation density. The high mobile dislocation
density will cause a drop in dislocation velocity for main- dL=L dL=dt
taining a constant strain rate, and a corresponding drop of True strain rate, e_ ¼ ¼
dt L
stress from upper to lower yield point. The next phase of ð1:145bÞ
v crosshead velocity
deformation is the yield-point elongation—all these have ¼ ¼
L instataneous gage length
been discussed in detail in Sect. 1.6.4. Finally, when the
velocity of all unpinned dislocations exceeds that of the As the tensile specimen is stretched its instantaneous gage
solute atoms then only homogeneous dislocation flow will length, L; increases. Therefore, the true strain rate e_
take place producing the smooth parabolic portion of decreases when the cross-head velocity v is maintained
Type IV curve. constant, as evident from (1.145b). To achieve a constant
true strain rate e_ ; during uniform extension of the tensile
specimen, the cross-head velocity must be increased in
1.11 Strain Rate proportion to the increase in the instantaneous gage length of
the specimen (Lautenschlager and Brittain 1968). At the
The rate at which strain is applied to a specimen can be beginning of the test, i.e., at initial time t ¼ 0; the original
expressed in terms of engineering or conventional strain gage length of the specimen is L ¼ L0 : Let the gage length
rate, denoted by e_ ; and in terms of true strain rate, repre- of the specimen after test duration of t ¼ tn ; is L ¼ Ln : At
sented by e_ ; which are defined as follows: time t ¼ tn ; the cross-head velocity vn must increase
according to the following (1.146b) to maintain a constant
de dL=L0 1 dL true strain rate e_ during uniform deformation of the tensile
Engineeng strain rate, e_ ¼ ¼ ¼ ð1:144aÞ
dt dt L0 dt specimen.

de dL=L 1 dL dL=L
True strain rate, e_ ¼ ¼ ¼ ð1:144bÞ Since e_ ¼ and e_ ¼ constant,
dt dt L dt dt
ZLn Ztn
where L0 and L are respectively the original and instanta- dL
so, ¼ e_ dt; ð1:146aÞ
neous gage length of the tensile specimen and dL is the L
extension of the specimen in the time interval dt: The con- L0 0

ventional unit of strain rate is s−1, i.e., “per second” and the Ln
Or; ln ¼ e_ tn ; or, Ln ¼ L0 expðe_ tn Þ
strain rate for static tension test operated with hydraulic or L0
screw-driven machines varies normally from 10−5 to
) vn ¼ e_ Ln ¼ e_ L0 expðe_ tn Þ ð1:146bÞ
10−1 s−1. The rate of movement of the cross-head of the
testing machine is called the cross-head velocity, which will When the localized plastic deformation occurs along the
be denoted by v. As one end of the tensile specimen remains gage length to form ‘neck’ in the specimen the true strain for
fixed and its other end is attached to a movable cross-head of the constant volume plastic deformation process is given by
74 1 Tension

e ¼ $ðdA=AÞ; according to (1.89a). Under such condition a

Temperature, T1 > T2 >T3 > T4 > 25°C

Flow stress at true strain ε = 0.002 (log scale)

constant true strain rate e_ can be achieved, if the initial
cross-sectional area A0 within the gage length of the tensile
Room temperature ≈ 25°C ( = 298K )
specimen at time t ¼ 0; changes to the cross-sectional area An
after test duration of t ¼ tn ; according to the following (1.147):
T4
ZAn Ztn
dA
$ ¼ e_ dt; ½since, e_ ¼ constant) T3
A
A0 0
An T2
Or; ln ¼ $_etn ;
A0
T1
) An ¼ A0 expð$_etn Þ ð1:147Þ
0
Further, the relation between the true strain rate, e_ ; and 10–5 10–1
the conventional strain rate, e_ ; during uniform extension of Strain rate, s–1 (log scale)
the tensile specimen is given by the following (1.148):
Fig. 1.51 Flow stress at true strain e ¼ 0:002 versus strain rate at
L various temperatures (schematic)
Since engineering strain; e ¼ $ 1;
L0
L0 1 C2 ¼ proportionality constant in (1.149), and it is also
Or, ¼ ;
L 1þe dependent on temperature.
v v L0 e_ The slope of the linear plot of log r versus log e_ at
) e_ ¼ ¼ ¼ ð1:148Þ
L L0 L 1þe constant strain and temperature can provide the value of
strain-rate sensitivity m; and the value of C2 is obtained from
1.11.1 Relation Between Flow Stress and Strain the intercept of this plot. However, a more precise method to
Rate determine the exponent m is by means of the strain-rate
change test (Fig. 1.52). In this test performed at a constant
Flow stress of a material usually increases with increase of temperature T; the strain rate is increased from e_ 1 to e_ 2 at a
strain rate e_ ; as revealed from Fig. 1.51. The effect of strain given value of strain e; so that the flow stress increases from
rate is more on the flow stresses at lower plastic strains and r1 to r2 : The strain-rate sensitivity m is given as follows:
on the yield strength than on the tensile strength of the & ' & '
material. Further, the increase in strength properties with @ log r D log r
m¼ ¼
strain rate is more with the increase in temperature, which @ log e_ e; T D log e_ e;T
& ' - . ð1:150Þ
means the difference between flow stresses at low and high log r2 $ log r1 logðr2 =r1 Þ
¼ ¼
strain rate is insignificant at room temperature but becomes log e_ 2 $ log e_ 1 e;T logðe_ 2 =_e1 Þ e;T
appreciable at elevated temperatures, i.e., at above half of the
melting point of the material expressed in Kelvin. So, the The value of strain-rate sensitivity m is usually lower than
stress–strain curve of a material at room temperature remains 0.1 for metals at room temperature but with increase of
practically independent on the strain rate and it becomes temperature this value increases, particularly when the
immaterial to specify the strain rate in tension test at room temperature is above half of the melting point of the mate-
temperature. Low-carbon steel that does not show a yield rial, expressed in Kelvin. During hot working the values of
point under ordinary strain rates will exhibit the yield point m generally vary from 0.1 to 0.2. The variation of flow stress
at high strain rates. with strain rate for steels at constant strain e and temperature
Figure 1.51 shows that at constant strain e; and constant T is better described by the following semi-logarithmic
temperature T; the following general relationship exists relationship than by the above (1.149).
between the flow stress, r; of a material and the strain rate, e_ ;
r ¼ k1 þ k2 log e_ je;T ð1:151Þ
applied during the tensile test:
In the above (1.151), k1 and k2 are constants which can be
r ¼ C2 ðe_ Þm je;T ð1:149Þ
evaluated respectively from the intercept and the slope of the
where the exponent m ¼ strain-rate sensitivity, the value of linear plot of r versus log e_ at constant strain and
which depends on temperature; temperature.
1.11 Strain Rate 75

• An extremely fine and uniform grain size or interphase

spacing of the order of 1$10 lm; most commonly
ε2
1$3 lm; in the material. To make the alloy superplastic
σ1
the grain refining treatment is highly needed. But the
alloy with refined grain size is not suitable for applica-
True Stress, σ

σ2 tions at high temperature under load, as in creep defor-

ε1
Strain rate, ε2 > ε1
at constant temperature
True Strain, ε
Fig. 1.52 Strain-rate change test at a constant temperature to deter-
mine strain-rate sensitivity
1.11.2 Superplasticity
Superplasticity (Johnson 1970; Edington et al. 1976; Taplin
et al. 1979) is the behaviour of a material which can undergo
an extensive total engineering strain usually between 100
and 1000% or sometimes in excess of 1000% without
necking during tensile deformation. A superplastic material
exhibits pronounced resistance to necking primarily due to a
high value of strain-rate sensitivity m ð0:3\m\1:0Þ:
Superplastic behaviours have been observed in a number of
metals and alloys that are mostly of eutectic or eutectoid
compositions, for example, in some stainless steels, alu-
minium, nickel and titanium alloys. Superplasticity has also
been observed in ceramics (Johnson 1970). To avoid internal
cavity formation to a large extent, there must be similarity in
strengths between the matrix and the second phase in a
superplastic material.
Superplasticity occurs in a material under the following
conditions, which are:
mation (described in Chap. 7). This unsuitability is due
to the lower strength of grain boundary than the grain
body at an elevated temperature above the equicohesive
temperature at which the strengths of grain boundary and
grain body are equal. Therefore, after the grain-refining
treatment required for superplastic formation of the
desired component the alloy is subjected to
grain-coarsening treatment for its application at high
temperature under load.
• A high deformation temperature, usually above 0:4 & Tm ;
(where Tm is the melting point of the superplastic
material in Kelvin);
• A high (Backofen et al. 1964; Avery and Backofen 1965;
Johnson 1970) strain-rate sensitivity factor m [ 0:3; of
the material, due to which the material exhibit pro-
nounced resistance to necking;
• Application of a low strain rate, generally strain-rates
lower than 0:01 s$1 are used during superplastic forming.
There is a limiting strain-rate above which no super-
plastic material will remain superplastic. Generally,
superplastic behaviour is observed over a range of strain
rate. This strain-rate range usually increases with
decrease in grain size of the material and increase in the
deformation temperature, as illustrated schematically in
log–log plot of normalized stress, r=G; versus strain rate
in Fig. 1.53.
One characteristic of superplastic materials is that their
grains remain mainly equiaxed even after large amount of
deformation probably due to occurrence of grain-boundary
migration. The main advantage of a superplastic material is

Fig. 1.53 Schematic log–log

plot of normalized stress, r=G ;
versus strain rate, illustrating the
increase in the strain-rate range
associated with superplastic
behaviour with increasing
temperature and decreasing grains σ Increasing temperature
size Log
G
Decreasing grain size

Superplastic
range

Log strain rate

76 1 Tension

that a low flow stress, of the order of 5–30 MPa, is needed Now, substituting e_ from (1.152a) into (1.152b) we get
during its deformation due to high deformation temperature & '1=m & '1=m & '1=m & 'ð1=mÞ$1
and / or its structural condition. This advantage is useful dA P 1 P 1
$ ¼A ¼
during mechanical working operations of superalloys that are dt A C2 C2 A
difficult to work and for embossing finer details in several & '1=m - .
P 1
applications. This low flow stress gives a low rate of strain ¼
C2 Að1$mÞ=m
hardening dr=de for a superplastic material, but in a
non-superplastic material, as long as the rate of strain hard- ð1:153Þ
ening is higher than the increase in the axially applied flow In the extreme case, the material exhibits Newtonian
stress r; caused by the reduction in the cross-sectional area, viscous flow where the flow stress is given by
i.e., as long as ðdr=deÞ [ r; necking will not occur. Then the
question is how necking is being resisted in a superplastic r ¼ g_e ð1:154Þ
material. The reason behind it is that as soon as some region in
where g ¼ constant related to coefficient of viscocity:
a superplastic material begins to neck locally, the strain rate in
Comparing (1.154) with (1.149), it is found that the
that region increases due to this localized plastic flow. Hence
strain-rate sensitivity m ¼ 1 for a Newtonian viscous solid.
the flow stress r required for further deformation in that
Under such condition, i.e., when m ¼ 1; (1.153) reduces to
region increases rapidly according to (1.149), because of the
local rise of strain rate e_ in that region and a high value of dA P
strain-rate sensitivity m of the superplastic material. This local $ ¼ ð1:155aÞ
dt C2
rise in the flow stress prevents further deformation and
incipient neck to propagate inward in that region and hence, Further for any value of m; when A ¼ P=C2 ; $dA=dt
the hardening due to the high value of strain-rate sensitivity becomes independent of m; which is evident from (1.155b):
exponent exceeds the axially applied flow stress r: At this & '1=m " #
moment, the deformation shifts to another region where no dA P 1 P
$ ¼ 1=m
¼ ð1:155bÞ
neck has initiated. The material is again deformed in this dt C2 ðP=C2 Þ ðP=C2 Þ $1 C 2
region and the flow stress r increases locally according to
(1.149). In this way the above action of shifting the area of It is clear from (1.155a) that when m ¼ 1; the rate of
deformation continues producing uniform large elongation decrease in cross-sectional area $dA=dt is only dependent
with the suppression of necking. Hence, the presence of on the applied load P and does not depend on any geo-
strain-rate hardening (Avery and Backofen 1965; Hart 1967; metrical irregularities in the cross-sectional area of specimen
Al-Naib and Duncan 1970) prevents necking. like incipient neck and machining mark etc., which are
The fact that a high value of strain-rate sensitivity m of a simply retained and do not spread inward. In such case, the
superplastic material suppresses necking during tensile material exhibits extreme extensibility without the formation
deformation and results in an extensive elongation can be of neck. For example, a very long fibre can be drawn without
established from the following analysis. Let a specimen necking from the glass in molten condition having the
made of superplastic material is subjected to an axial tensile strain-rate sensitivity m ' 1: But for the exponent m\1; the
load of P applied normal to the cross-sectional area A of the lesser the cross-sectional area A of specimen the higher is the
specimen. From (1.149), it can be written as rate of reduction in cross-sectional area, i.e., the faster is the
decrease in the cross-sectional area. The dependence of the
P P rate of decrease in cross-sectional area $dA=dt on A for
r¼ ¼ C2 ðe_ Þm ; or, e_ m ¼ ;
A AC2 various values of m has been shown in Fig. 1.54. As the
& 'm1 & 'm1 value of m comes near to 1, the rate of inward propagation of
P 1
) e_ ¼ ð1:152aÞ the incipient neck is severely decreased. In accordance with
A C2
the above explanation, Fig. 1.55 shows schematically the
Since the true strain for the constant volume plastic increase in percentage tensile elongation of superplastic
deformation process is given by e ¼ $ðdA=AÞ; according to materials with m:
(1.89a), so the true strain rate will be expressed by The mechanisms that cause the superplastic flow have not
been well accepted. After considerable debate, it is believed
de $ðdA=AÞ 1 dA that the mechanisms responsible for superplasticity are climb
e_ ¼ ¼ ¼$ ;
dt dt A dt of edge dislocation at high stress level and grain-boundary-
dA sliding with diffusion controlled accommodation (Alden
Or, $ ¼ A_e ð1:152bÞ
dt 1967, 1968; Ashby and Verall 1973) at low stress level. The
1.11 Strain Rate 77

1 103
m=
4

Tensile elongation, %
1 102
m=
dA 2
–
dt

10
3 0 0.2 0.4 0.6 0.8
m=
4 Strain rate sensitivity, m

P m=1 1 Fig. 1.55 Schematically showing the increase in percentage tensile

C2 3/4
1/2
1/4
A
P/C2
Fig. 1.54 Graphical illustration of (1.153), showing the variation of
the rate of decrease in cross-sectional area $ dA=dt with
cross-sectional area A for different values of strain-rate sensitivity m
reader is referred to Hubert and Kay (1973) for commercial
applications of superplasticity.
1.11.3 Effect of Strain Rate on Stress–Strain
Curve of Mild Steel
The influence of strain rate on the flow curve of a material at
constant temperature, as shown schematically in Fig. 1.56
indicates that increasing strain rate has mainly the following
three effects:
1. Increase in the flow stress;
2. Increase in the rate of strain hardening and
3. Decrease in the ductility.
Thus, the effect of increasing strain rate on the flow curve
of a material is opposite to that caused by the increase of
temperature.
However, Fig. 1.57 shows schematically the variation of
engineering stress–strain curve with strain rate for mild steel,
where it is assumed that the temperature remains constant at
all strain rates. The variations in the stress–strain curves of
elongation of superplastic materials with strain rate sensitivity m
mild steel with increasing strain rate are similar to those with
decreasing temperatures, which has been described in
Sect. 1.10.1. Thus at a lower strain rate, the Type II curve
with lower strength properties and higher percentage elon-
gation is observed. But at constant temperature, with
increasing strain rate the curve shifts gradually to higher
strength levels with lower percentage elongation and shows
sequentially Type III, then Type IV curve and finally Type I
curve. However, there is no effect of strain rate on the linear
elastic modulus line of the stress–strain curve unlike the
effect of temperature on the linear elastic modulus line.
The Type I curve can be explained in terms of the vari-
ations of yield strength and fracture or cleavage strength of
mild steel with strain rate. The yield strength of mild steel is
much more dependent on strain rate (as on temperature) than
its cleavage strength. The yield strength of mild steel, which
was lower than its cleavage strength at low strain rate,
increases according to (1.151) at higher strain rate (which is
e_ 1 in Fig. 1.57), and becomes nearly equal to its fracture
strength, exhibiting brittle fracture with a little amount of
plasticity prior to fracture, as shown in the Type I curve.
Similar to the effect of temperature, curves of Types II to
IV can be explained with respect to the competition between
the speed of dislocations and that of the interstitial carbon
and nitrogen atoms in mild steel. Since the interstitial solute
atoms are smaller in size than the dislocations, a given
constant test-temperature causes the solute atoms to move
faster than dislocations. At a low strain rate, e_ 4 in Fig. 1.57,
the speed of dislocations is quite lower (1.101) than that of
the solute atoms. So, pinning of slow moving dislocations by
78 1 Tension

strain rate e_ 2 in Fig. 1.57 has been given in relation to the

Str room temperature effect on stress–strain curve of mild steel
ain
rat
ei
ncr (see Sect. 1.10.1).
eas
ing

1.12 Testing Machine

Flow stress

The machine which is equipped to test the specimen under

Constant temperature
Strain
Fig. 1.56 Schematically showing the effect of strain rate on flow
stress versus strain curve at a constant temperature
atmosphere of rapid moving solute atoms cannot occur,
resulting in the smooth parabolic curve of Type II.
When the strain rate is increased to e_ 3 ; as shown in (1.57),
the speed of dislocation increases and becomes nearly equal
to the speed of the solute atoms of carbon and/or nitrogen,
As a result, the dislocations are pinned by such solute
atmospheres requiring a higher applied stress to unlock the
pinned dislocations. Unpinning of dislocations from their
solute atmosphere causes a drop of stress. This process of
pinning and unpinning of dislocations occurs several times
compressive loading or bending load apart from testing
various types of specimens under tensile loading is called
universal testing machine, one model of which has been
shown in Fig. 1.23. A tensile testing machine is character-
ized by its spring constant or stiffness. This characteristic
strongly influences the shape of stress–strain curve. A rigid
testing machine having a high stiffness Mm ; is called a “hard
machine” and a machine with a low stiffness Mm ; is known
as a “soft machine”. During the test, a soft machine itself
undergoes more elastic deformation and stores more elastic
strain energy than a hard one. The elastic strain energy
stored in each machine is given by the area under the load
! "
ðPÞ versus elastic deformation DLm e diagram and a com-
parison of this energy at a given load between hard and soft
testing machines is shown in Fig. 1.58. Since P ¼ Mm DLm e;
so the elastic strain energy stored at a given load P1 with
reference to Fig. 1.58 is:
1 ! "
For hard machine; ðUm ÞH ¼ P1 DLm
2 e 1

producing the serrated stress–strain curve of Type III. ! "2 ð1:156aÞ

ðMm ÞH DLm
e 1 P12
Although further increase in strain rate to a value of e_ 2 ; as ¼ ¼
2 2ð M m Þ H
shown in (1.57), increases the dislocation velocity but there
will be an initial locking of most of the dislocations by 1 ! "
atmosphere of slow moving solute atoms. Even at this stage, For soft machine; ðUm ÞS ¼ P1 DLm e 2
2
there will be some unpinned mobile dislocations that move ! "2 ð1:156bÞ
ðMm ÞS DLme 2
2
P1
at a rapid rate. Further explanation for the Type IV curve at ¼ ¼
2 2ð M m Þ S

where ðU Þ ; ðU Þ are stored elastic strain energy,

! m " ! M mH" M S
DLe 1 ; DLe 2 are elastic deformation and ðMm ÞH ; ðMm ÞS
ε1
•
are stiffness for hard and soft machines respectively. Since
ðMm ÞH [ ðMm ÞS ; therefore from (1.56) it is clear that
ðUM ÞH \ðUM ÞS :
Engineering stress

ε• 2
ε3
•
A hard machine is often important to use in instability
experiments, such as for determination of the discontinuous
yielding of mild steel. The reason is the reduction in the
ε4
• elastic deformation of such machine, which in turn reduces
the energy absorbed by the machine during the test. In
Strain rate, ε• > ε• > ε• > ε• tensile testing two types of machines are generally used:
1 2 3 4
at contsant temperature

0 (1) Hydraulic machine, which is load controlled, i.e., the

Engineering strain
load is adjusted by the operator and the displacement
Fig. 1.57 Schematically showing variations in engineering stress– depends on the regulated load. It is usually less
strain curves with strain rate for mid steel, at a constant temperature expensive and capable of applying a load of about 2300
1.12 Testing Machine 79

Fig. 1.58 Schematically P

comparing hard and soft testing
machines with respect to their
Soft Machine
stored elastic strain energy,
represented by shaded areas at a Low Mm
High Mm
given load P1

P1

Hard machine

0 ∆Lem
( )
∆Lem 1 ( )
∆Lem 2

metric ton ð , 22:55 MNÞ and more. It is a soft v t ¼ DLse þ DLsp þ DLm
e ð1:157Þ
machine, by which the yield-point phenomenon of mild
steel is difficult to detect. where
(2) Mechanical type or screw-driven machine, which is
DLse elastic displacement of the specimen,
displacement controlled, i.e., a constant velocity pres-
D Lsp plastic displacement of the specimen, and
elected for the movement of the machine cross-head
DLm elastic displacement of the testing machine
controls the displacement and the load accommodates e

itself with that displacement. It is usually more expen-
sive than the hydraulic machine but its load applying
capacity is less, which seldom exceeds 200 metric ton
ð , 1:96 MNÞ: It is usually a hard machine, by which
the upper and lower yield point of mild steel can be
precisely recorded.
A versatile machine that serves to control anyone of both
load and displacement is the servo hydraulic testing
machine, where it is possible to carry out the test by com-
puter control.
If L0 is the original gage length of the tensile specimen,
E is its modulus of elasticity and S is the applied engineering
stress, then according to Hooke’s law, D Lse ¼ ðSL0 Þ=E: If ep
is the engineering plastic strain in the specimen, then DLsp ¼
ep L0 : If P is the tensile force applied on the specimen
mounted in the machine and Mm is the stiffness of the testing
machine then according to (1.30), DLm e ¼ P=Mm ; where P ¼
A0 S and A0 is the original cross-sectional area within gage
length of the specimen. Hence, from (1.157),
SL0 P
vt ¼ þ ep L0 þ ð1:158Þ
E Mm

1.12.1 Influence of Testing Machine on Strain vt S A0 S

and Strain Rate
All testing machines undergo elastic deformation when the
specimen mounted in the machine is subjected to load. Let
us assume that the cross-head velocity v of the testing
machine is constant and it produces a total displacement of
v t at a particular time t. This above total displacement is the
summation of the following three components.
) ep ¼ $ $ ð1:159Þ
L0 E Mm L0
Thus, elastic deformations of both specimen and testing
machine must be considered to obtain the correct value of
the plastic engineering strain in the specimen according to
the above (1.159).
When the cross-head velocity v of the testing machine is
kept constant, we obtain a constant engineering strain rate e_ ;
according to (1.145a). This total strain rate e_ ; applied by a
80 1 Tension

testing machine is the summation of the following three Equation (1.163) shows that engineering strain rate e_ in
components, which are the specimen will not be proportional to the prefixed
cross-head velocity v of the testing machine, which was
• The elastic strain rate in the tensile specimen, shown by (1.145a). Rather, e_ will depend on the engineering
• The plastic strain rate in the tensile specimen and plastic strain rate e_ p ; elastic modulus E of the specimen and
• The strain rate caused by the elastic deformation of stiffness or spring constant Mm of the testing machine. The
testing machine. spring constants, Mm ; of testing machines have experimen-
tally been found to have values in the range of 7 to
Now, to obtain the correct engineering strain rate in the 32 MPa m-1, which are usually much lower than the spring
specimen e_ ; the following method is adopted. In above constants of the specimens except for wire specimens
(1.158), the time ‘t’ is replaced by an infinitesimally small (Hockett and Gillis 1971).
period ‘dt‘ at which there are infinitesimally small changes
in the engineering plastic strain of the specimen, the applied
engineering stress and the applied load, i.e., ‘ep’, ‘S’, ‘P’ of 1.13 Notch Tensile Test
(1.158) are respectively replaced by ‘dep ’; dS and ‘dP’:
Further, dP ¼ A0 dS; is substituted in above (1.158). Hence, Metallurgical transformations or environmental attacks may
(1.158) is expressed as cause the reduction in local ductility of a material and make
it susceptible to brittle fracture but this fact is not always
L0 dS A0 dS detected by the measurement of ductility on a smooth nor-
v dt ¼ þ L0 dep þ ð1:160Þ
E Mm mal tensile specimen. The susceptibility to brittle fracture in
Since v; L0 ; and A0 are constants, differentiating (1.160) the presence of a notch is known as notch sensitivity, which
with respect to dt; we get can be assessed by employing a notched specimen in a
uniaxial tension test. The notch sensitivity can also be
L0 dS dep A0 dS examined with notched-bar impact test, which is described
v¼ þ L0 þ ;
E dt dt Mm dt in Chap. 6. The state of stress is better defined in the notch
& '
v S_ A0 E tensile test than the notched-impact test, although the latter
Or, ¼ 1þ þ e_ p ; has the advantage of testing over a broad span of tempera-
L0 E Mm L0
ture and ease in making specimens. The notch tensile test has
S_ ðv=L0 Þ $ e_ p
) ¼ ð1:161Þ been widely applied to study hydrogen embrittlement in
E 1 þ ½ðA0 EÞ=ðMm L0 Þ)
steels and titanium, to evaluate the notch sensitivity of
where S_ ¼ engineering stress rate ¼ dS=dt; and high-strength steels and high-temperature alloys and to
e_ p ¼ engineering plastic strain rate ¼ dep =dt: detect metallurgical embrittlement, such as tempered
martensite embrittlement (TME) in steels and temper
Engineering strain rate in the specimen is given by
embrittlement (TE) in alloy steels and for measurements
S_ involving fracture mechanics.
e_ ¼ e_ e þ e_ p ¼ þ e_ p ð1:162Þ For the notch tensile specimen (Kuhn and Medlin 2000),
E
% a 60° V-shaped notch with a tip radius of 0.025 mm or less
Substituting S_ E from (1.161), into (1.162), we get is the most common that is created in the mid-length of
specimen along the circumference for a round specimen,
ðv=L0 Þ $ e_ p
e_ ¼ þ e_ p called circumferential notch or at two opposite faces for a
1 þ ½ðA0 EÞ=ðMm L0 Þ) flat specimen, called double-edge notch. Generally the notch
ðv=L0 Þ þ ½ðA0 EÞ=ðMm L0 Þ)_ep penetrates into the specimen up to a depth such that the area
¼
1 þ ½ðA0 EÞ=ðMm L0 Þ) of cross-section at the tip of the notch is one-half of the
# $
½ðA0 EÞ=ðMm L0 Þ) fðv Mm Þ=ðA0 EÞg þ e_ p cross-sectional area in the smooth region of the specimen.
¼ The notched specimen after it has been properly aligned
1 þ ½ðA0 EÞ=ðMm L0 Þ)
½ðvMm Þ=ðA0 EÞ) þ e_ p is subjected to uniaxial tensile load till it fractures and the
¼ ð1:163Þ maximum load that the notched specimen can withstand is
½ðMm L0 Þ=ðA0 EÞ) þ 1
recorded. The notch strength, Snet ; and the notch strength
ratio, NSR, are defined as follows:
1.13 Notch Tensile Test
maximum load
Notch strength, Snet ¼
original cross-sectional area at the root of the notch
strength at maximum load for notched specimen Snet
Notch strength ratio, NSR ¼
ultimate tensile strength for smooth specimen
The value of notch strength, Snet ; for a notched material
possessing some amount of ductility will be more than the
ultimate tensile strength ðSu Þ of a smooth specimen of the
same material, due to the development of the plastic constraint
in the notched region similar to that occurred at the neck, as
discussed in Sect. 1.6.2.7. If the material is brittle, then
Snet \Su : When the high strength or the hardness of a material
or the presence of some metallurgical variables or any other
factors limits the plastic deformation at the notch-root, the
material becomes susceptible to brittle fracture. However, the
notch sensitivity can easily be detected by the evaluation of
NSR. If NSR\1; then the material is notch-brittle, otherwise
a notch-tough material will have NSR [ 1: Another tensile
property that is determined from the notch tensile test is the
percentage notch ductility usually measured by percentage
reduction of area at the root of the notch.
Figure 1.59 compares the variations of notch strengths
and percentage notch ductility of two types of steel as a
function of their tensile strengths, which clearly reveals that
steel A is more notch brittle than steel B, i.e., the notch
sensitivity of steel A is higher than that of steel B, although
they have the same notch strength up to a certain level of
their tensile strengths. The above steels become sensitive to
notch at the strength levels where the notch strengths start to
decrease, or more appropriately where NSR < 1.
The metallurgical embrittlement developed on tempering
a hardened alloy steel in the temperature range of 330 to
480* C can be detected by the sesitivity of the notch strength,
as illustrated in Fig. 1.60 (Espey et al. 1959). Note that the
determination of UTS (ultimate tensile strength) or yield
strength or the measurement of conventional elongation
from the tensile test on the smooth embrittled alloy steel
specimen cannot detect the embrittlement, while the notch
81
ðPmax Þnet
¼ ð1:164Þ
ðA0 Þnet
¼ ð1:165Þ
Su
strength obtained from the notch tensile test of embrittled
steel shows a trough revealing the metallurgical embrittle-
ment. For further detailed study on notch tensile testing, the
reader may see the reference (Lubahn 1957).
1.14 Tensile Fracture
Two general classifications of fracture are brittle fracture
and ductile fracture. Different types of loading can produce
various kinds of fracture. In this section, it will be assumed
that fracture occurs only due to application of a uniaxial
static tensile stress at ambient temperature. Brittle tensile
fracture occurs by the stress-assisted separation of atomic
bonds across atomic plane, which is called the fracture plane.
Single- and poly-crystalline brittle metals exhibits a flat and
bright fracture surface lying normal to the applied uniaxial
tensile stress, as shown in Fig. 1.61a. Characteristics of
brittle fractures of single crystals and polycrystals are as
follows:
• No gross plastic deformation is evident, although there is
a very little plastic deformation in the microscopic level
in the metals and a plastically deformed metallic thin
layer has been detected with X-ray diffraction analysis.
• The surface of brittle cleavage fracture produced is flat
and has a granular appearance, as observed in cast iron.
• The fracture surface appears as bright due to light
reflection from flat surface.
• Brittle fracture is initiated by some flaws or imperfections
in the material, such as microscopic cracks or holes. This
flaw causes stress concentration, i.e., a rise of stress to a
high value at its tip, just like a notch. If this local stress at
82 1 Tension

Tensile

B
0.2% offset yield
Notch strength

Strength
A

Notch

Embrittlement
zone
0
0 200 330 480
0 Tensile strength Tempering temperature, °C

Elongation, %
Elongation (50 mm gage length)
B
Notch ductility, %

A
0
200 330 480
Tempering temperature, °C

Fig. 1.60 Schematically showing the effect of tempering temperature

0 on notched and unnotched tensile properties of hardened alloy steel
0 Tensile strength
Fig. 1.59 Schematic variations of notch strengths and percentage
notch ductility of two steels A and B as a function of their tensile
strengths, showing that the notch sensitivity of steel A is higher than
that of steel B
the tip of the flaw becomes high enough so that it equals
the theoretical cohesive strength of the material, there
will be breaking of the interatomic bonds in that area.
Hence the crack, thus formed, will propagate at a very
rapid rate across the member and cause complete sepa-
ration of the member leading to fracture almost
immediately.
• Brittle fracture occurs all on a sudden and must be
avoided at any cost.
The process leading to ductile fracture involves plastic
deformation by atomic shear. Ductile fractures can have
many varieties that depend on whether the metals are single
crystals or polycrystals and the extent of ductility of the
during tempering. The notch strength shows a trough revealing
metallurgical embrittlement developed in alloy steel during tempering
in the temperature range of 330–480 °C, while unnotched tensile
properties cannot detect the embrittlement (Espey et al. 1959)
polycrystals. Various forms of ductile fractures usually
observed in metals are shown in Figs. 1.61b–d and 1.62,
which are as follows:
(a) Single crystals:
(1) Slant or shearing fracture: Shear stress causes
extensive slip in a single crystal on its active slip
planes and finally separation occurs by shear along
a plane usually making an angle of 45° with the
axis of applied load. This results in a shear frac-
ture or slant fracture, as shown in Fig. 1.61b,
example of which is the single crystal of HCP
metal where slip may occur on successive basal
planes before the final separation by shear. This
type of fracture can occur when the single crystal is
so oriented that only one slip system is active.
1.14 Tensile Fracture 83

Fig. 1.61 Various usual types of (a) (b) σ

fractures under uniaxial tensile
loading condition at ambient σ σ
temperature in a single- and
poly-crystalline brittle metals,
exhibiting a flat fracture surface
lying normal to the tensile axis,
b ductile single crystals oriented
for single slip, exhibiting slant
fracture along shear plane making
an angle of 45° with the tensile
axis, c ductile single crystals due
to multiple slip, exhibiting rupture
(100% R. A.), d highly ductile
polycrystals, exhibiting rupture (b)(i) (b)(ii)
(100% R. A.) followed by
necking. The successive stages in σ σ
σ
shape change leading to fracture
are shown in the series of figures
b(i)–(ii), c(i)–(iii), and d(i)–(iii)
(c) σ
σ
σ

(c)(i) (c)(ii) (c)(iii)

σ
σ
σ

(d) σ
σ
σ

(d)(i) (d)(ii) (d)(iii)

σ σ σ
84
Fig. 1.62 Schematic illustration
of successive stages in the (a)
formation of a cup–and–cone
fracture in moderately ductile
polycrystals
(d)
(2) Rupture: Rupture corresponds to a reduction in
area at fracture approaching 100%. When multiple
slip processes are operative in a single crystal
rupture can occur, as shown in Fig. 1.61c.
(b) Necking followed by fracture in polycrystals: A local-
ized reduction in the cross-sectional area of tensile
specimen, called necking, occurs in a polycrystalline
metal before it fractures. Types of fracture depend on
the extent of ductility of the polycrystals, as described
below:
(1) Rupture or completely ductile fracture: The necked
sections of highly ductile polycrystalline metals or
materials of ultra high purity having no inclusion
or pores may actually be thinned down to a line (in
three dimension) or a point (in two dimension)
prior to their fractures. This type of fracture occurs
in a completely ductile manner, which corresponds
to a reduction in area at fracture approaching
1 Tension
(b) (c)
(e)
Cup
Slant shear lip
Fibrous fracture
Cone
100%, and is usually termed as rupture as shown
in Fig. 1.61d, example of which is gold or lead.
(2) Cup-and-cone fracture: Moderately ductile poly-
crystalline metals like mild steel produce
“cup-and-cone” fracture, the development of
which consists of several stages as illustrated in
Fig. 1.62. At certain point, a triaxial state of tensile
stress developed in the necked section causes small
micro-structural particles to either break or detach
from the matrix. This results in the nucleation of
fine cavities or micro-voids most commonly at
second-phase particles in the necked region. The
process of crack initiation can be suppressed by
imposing hydrostatic pressure. In fact, Bridgman
established that under application of a sufficiently
high hydrostatic pressure, necking can continue
steadily to cause thinning down of the specimen to
a line (or a point) before fracture. However with
1.14 Tensile Fracture 85

continuation of strain, the micro-voids undergo a (a) 0.2% offset yield strength.
slow, stable growth and ultimately coalescence to (b) UTS.
produce a disk-shaped central crack oriented per- (c) (i) Fracture strength and (ii) applied true fracture
pendicular to the applied tensile axis. This crack strength.
propagates outward in a direction normal to the axis (d) (i) Elongation and (ii) true strain at fracture.
of applied stress, causing to diminish the radial and (e) (i) Reduction of area and (ii) true reduction of area at
circumferential tensile stresses. When the crack has fracture.
approached the periphery of the specimen there is (f) Zero-gage-length elongation.
only a thin section of material left at the surface to
support the applied load, which is in a state very Solution
close to the single crystal subjected to uniaxial
tension. Finally, the propagation of crack along a Given that L0 ¼ 0:1m; Lf ¼ 0:13 m; Df ¼ 0:021 m; Py ¼
conical shear plane oriented at about 45° to the 160 . 103 N, Pmax ¼ 200 . 103 N, Pf ¼ 170 . 103 N: As
applied stress axis produces the classical cup-cone per ASTM specification, L0 =D0 ¼ 4; so the initial diameter
form of ductile fracture as shown in Fig. 1.62e. The of specimen is: D0 ¼ 0:1=4 ¼ 0:025 m:
central region of this fracture has a zigzag contour Initial cross-sectional area of specimen,
with a fibrous appearance and so it is called the p p
fibrous fracture or fibrous zone. The fibrous zone A0 ¼ ðD0 Þ2 ¼ ð0:025Þ2 m2 ¼ 490:874 . 10$6 m2 :
4 4
usually has a set of peripheral ridges that indicate
slight rise and fall in the direction of stable crack Cross-sectional area of specimen at fracture,
growth. The outer zone of this fracture formed by p ! "2
shearing action produces a smooth slant shear lip, Af ¼ Df
4
known as shear fracture or slant fracture, which p
¼ ð0:021Þ2 m2
spreads faster than the fibrous fracture. 4
¼ 346:36 . 10$6 m2 :
Characteristics of a ductile fracture are as follows:
(a) 0.2% offset yield strength is:
• During as well as prior to the crack propagation, there is
a substantial amount of gross plastic deformation that is Py 160 . 103
usually seen at the fracture surfaces. S0 ¼ ¼ N m$2
A0 490:874 . 10$6
• Tearing of the metal occurs slowly with a slow rate of ¼ 325:95 . 106 Pa ¼ 325 :95 MPa:
crack propagation and usually an appreciable amount of
energy is expended in the process of fracture. (b) UTS is:
• The appearance of a fracture surface at low magnification
is gray and fibrous. Pmax
Su ¼
A0
Fracture surfaces often contain a mixture of fibrous, shear 200 . 103
¼ N m$2
lip and granular fracture zones. The relative amount of these 490:874 . 10$6
zones usually depends on the strength of the material and the ¼ 407:44 . 106 Pa ¼ 407:44 MPa:
test or deformation temperature and the usual practice is to
report the percentage of each of these zones in the fracture (c) (i) Fracture strength is:
surface. Pf 170 . 103
Sf ¼ ¼ N m$2
A0 490:874 . 10$6
1.15 Solved Problems ¼ 346:32 . 106 Pa ¼ 346:32 MPa:

(ii) Applied true fracture strength is:

1.15.1. A round tensile specimen with an initial gage length
of 100 mm, fixed as per ASTM specification, shows after Pf 170 . 103
rf ¼ ¼ N m$2
fracture a gage length of 130 mm and a minimum diameter Af 346:36 . 10$6
of 21 mm at fracture. If the load corresponding to the 0.2% ¼ 490:82 . 106 Pa ¼ 490:82 MPa:
offset yield is 160 kN, that at the point of the onset of
necking is 200 kN and that at the point of fracture is 170 kN, Lf $ L0 0:13 $ 0:1
(d) (i) Elongation is: ef ¼ ¼ ¼ 0:3 or 30%:
determine the following: L0 0:1
86 1 Tension

A0 490:874 . 10$6 pD20 pð12Þ2

(ii) True strain at fracture is: ef ¼ ln ¼ ln A0 ¼ ¼ ¼ 113:1 mm2 :
Af 346:36 . 10$6
4 4
¼ 0:3487 or 34:87%:
Hence, the corresponding instantaneous cross-sectional
(e) (i) Reduction of area at fracture is: areas are:
A0 $ Af ð490:874 $ 346:36Þ . 10$ 6 A0 113:1
rf ¼ ¼ A15 ¼ ¼ ¼ 98:3 mm2 ;
A0 490:874 . 10$6 1 þ e15 1:15
¼ 0:2944 or 29:44%: A0 113:1
and A25 ¼ ¼ ¼ 90:5 mm2 :
1 þ e25 1:25
(ii) True reduction of area at fracture is:
Therefore, the corresponding true stresses from (1.25) are:
A0 490:874 . 10$6
rf0 ¼ ln ¼ ln P15 3 . 103 %
Af 346:36 . 10$6 r15 ¼ ¼ ¼ 30:5 N mm2 ;
¼ 0:3487 or 34:87%: A15 98:3
P25 3:3 . 103 %
(f) From (1.131), zero-gage-length elongation is: and r25 ¼ ¼ ¼ 36:5 N mm2 :
A25 90:5
! " rf 0:2944
ef 0 ¼ ¼ ¼ 0:4172 or 41:72%:
1 $ rf 1 $ 0:2944 Alternative determination of r15 and r35

Combining (1.28), and (1.24), we get the true stress r ¼

Sð1 þ eÞ ¼ ðP=A0 Þð1 þ eÞ; so the corresponding true stresses
1.15.2. In a tensile test of a cylindrical specimen with an
are:
initial diameter of 12 mm, the loads at 15 and 25% engi-
neering strain are recorded to be 3 and 3.3 kN, respectively. P15 3 . 103
If the flow curve of the above specimen is represented by the r15 ¼ ð1 þ e15 Þ ¼ . ð1 þ 0:15Þ
A0 113:1
Hollomon parabolic stress–strain relation, neglect elastic %
¼ 30:5 N mm2 ; and
strain and calculate the following:
P25 3:3 . 103
r25 ¼ ð1 þ e25 Þ ¼ . ð1 þ 0:25Þ
(a) % Uniform elongation. A0 113:1
%
(b) UTS. ¼ 36:5 N mm2 ;
(c) 0.2% Offset yield strength.
(d) (i) % Uniform reduction of area and (ii) % uniform true Following (1.90b), we can write
reduction of area.
log r15 ¼ log K þ n log e15 and log r25 ¼ log K þ n log e25
(e) True toughness in the plastic range up to the point of
tensile instability. Or; log r25 $ log r15 ¼ nðlog e25 $ log e15 Þ

Solution Therefore, strain-hardening exponent is:

& '/ & ' & '/ & '
Given that the initial diameter of specimen, D0 ¼ 12 mm; r25 e25 36:5 0:2231
n ¼ log log ¼ log log
the load at engineering strain e15 ¼ 0:15 is P15 ¼ 3 . r15 e15 30:5 0:1398
103 N; and that at engineering strain e25 ¼ 0:25 is ¼ 0:384:
P25 ¼ 3:3 . 103 N: Strength coefficient,
From (1.10), the true strains corresponding to engineering
strains e15 and e25 are, respectively: - . - .
r25 r15 36:5 30:5
K ¼ n or, n ¼ or,
e25 e 0:22310:384 0:13980:384
e15 ¼ lnð1 þ e15 Þ ¼ lnð1:15Þ ¼ 0:1398; % 15 2
and e25 ¼ lnð1 þ e25 Þ ¼ lnð1:25Þ ¼ 0:2231: ¼ 64:9 N mm :

Since from (1.9), L=L0 ¼ 1 þ e and from constancy of volume, (a) From (1.97), we know that uniform true strain is eu ¼
A ¼ ðL0 =LÞA0 ; where L0 and L are initial and instantaneous n ¼ 0:384: From (1.134), uniform elongation or uni-
lengths and A0 and A are initial and instantaneous form engineering strain is given by
cross-sectional areas of specimen, then A ¼ A0 =ð1 þ eÞ: Now,
1.15 Solved Problems 87

eu ¼ expðeu Þ $ 1 ¼ expðnÞ $ 1 Alternatively, to determine uniform reduction of area:

¼ expð0:384Þ $ 1 ¼ 0:468; or; 46:8% uniform elongation:
Lu $ L0 Lu A0
Since eu ¼ ¼ $1¼ $ 1; or;
(b) Since the flow curve represented by Hollomon parabolic L0 L0 Au
stress–strain relation, i.e. (1.90a) is valid from the onset Au 1 1
¼ ¼ ¼ 0:681:
of yielding to the point of maximum load, so at the point A0 1 þ eu 1 þ 0:468
of maximum load the true tensile strength will be:

ru ¼ Kenu ¼ Knn ¼ 64:9 . 0:3840:384 ) ru ¼ 1 $ ðAu =A0 Þ ¼ 1 $ 0:681 ¼ 0:319;

% Or; 31:9% uniform reduction of area:
¼ 44:94 N mm2 or; MPa:

From (1.121), UTS is given by

(ii) Uniform true reduction of area is given by

Su ¼ ru expð$eu Þ ¼ 44:94 . expð$0:384Þ ¼ 30:61 MPa: ru0 ¼ lnðA0 =Au Þ ¼ uniform true strain; eu ¼ 0:384;
Or; 38:4% uniform true reduction of area:
Alternatively, determination of UTS from (1.120):
(e) From the true stress–strain curve, true toughness in the
ru 44:94 plastic range up to the point of tensile instability is
Su ¼ ¼ ¼ 30:61 MPa:
1 þ eu 1 þ 0:468 given by
Zeu Zn
! "
(c) Given that offset yield strain, i.e. offset engineering UToughnessu True
¼ rde ¼ Ken de
strain at the yield point, is e0 ¼ 0:002: From (1.10), the 0 0
- .n
corresponding true strain is: en þ 1 K # n þ 1$
¼K ¼ n
nþ1 0 nþ1
e0 ¼ lnð1 þ e0 Þ ¼ lnð1:002Þ ¼ 1:998 . 10$3 : 64:9 # $ % %
¼ . 0:3840:384 þ 1 MN m m3 or MJ m3
From (1.91b), the true stress at the yield point, where 0:384 þ 1
¼ 12:47 MJ m$3 :
e0 ¼ 1:998 . 10$3 ; is:
! "0:384 1.15.3. For a material showing uniform strain distribution
½r0 )e0 ¼ 1:998 . 10$ 3 ¼ K en0 ¼ 64:9 . 1:998 . 10$ 3
% and obeying the Hollomon parabolic true stress–strain rela-
¼ 5:966 N mm2 or, MPa :
tion up to the point of fracture,
From (1.28), 0.2% offset yield strength is given by
(a) Prove that in the plastic range, the true toughness is the
½r0 )e0 ¼1:998.10$3 5:966 same as the engineering toughness.
½S0 )e0 ¼0:002 ¼ ¼ ¼ 5:954 MPa: (b) Derive an expression for the tensile strength in terms of
1 þ e0 1 þ 0:002
strain-hardening exponent and strength coefficient. Using
the data from problem 1.15.2, verify the value of UTS.
(d) If Lu is the length and Au is the cross-sectional area of (c) Derive an expression for the tensile-to-yield strength
specimen at the point of tensile instability, then ratio in terms of engineering as well as true yield strain
and strain-hardening exponent. Using the data from
(i) Uniform reduction of area is given by problem 1.15.2, verify the value of the tensile to yield
A0 $ Au Au strength ratio from the derived expression for 0.2%
ru ¼ ¼1$ :
A0 A0 offset yield strength. Neglect elastic strain.
(d) Derive an expression between the yield strength and the
Since from (1.135b) we can write Au =A0 ¼ expð$eu Þ; reduction in cross-sectional area at the yield point.
Using the data from problem 1.15.2, verify the value of
) ru ¼ 1 $ ðAu =A0 Þ ¼ 1 $ expð$eu Þ
0.2% offset yield strength corresponding to the reduc-
¼ 1 $ expð$0:384Þ ¼ 0:319; tion of area at 0.2% offset engineering yield strain.
Or; 31:9% uniform reduction of area: Neglect elastic strain.
88 1 Tension

Solution (b) At the point of maximum load, ru ¼ Kenu :

Equation (1.90a), i.e. r ¼ Ken , is given in the problem. Let
Using (1.121) and (1.97), we can write
us take the definitions of all terms to be the same as those of
problem 1.15.2. Su expðeu Þ ¼ Kenu ; or, Su expðnÞ ¼ Knn ;
( n) n
(a) Let us assume ef is the true plastic strain at fracture and ) Su ¼ K :
e
ef is the engineering plastic strain at fracture. Since
strain distribution is uniform, so according to (1.10), In problem 1.15.2, it was found that K¼
%
! " ! " 64:9 N mm2 or MPa; and n ¼ 0:384:
ef ¼ ln 1 þ ef ; or; ef ¼ exp ef $ 1:
& '
0:384 0:384
The true toughness in the plastic range is the area under ) UTS; Su ¼ 64:9 MPa = 30:61 MPa:
the true plastic stress–strain curve up to the point of fracture 2:718
and will be given by Hence, the value of UTS is the same as that found in
Zef Zef problem 1.15.2.
! " K # n þ 1 $ef
UToughness True
¼ r de ¼ K en de ¼ e 0
nþ1 (c) At the yield point, r0 ¼ Ken0 :
0 0
K nþ1 K # ! "$n þ 1
ef ¼
¼ ln 1 þ ef : Using (1.28) and (1.10), we can write
nþ1 nþ1
r S0 ð1 þ e0 Þ ¼ K ½lnð1 þ e0 Þ)n ;
From (1.28), we know that S ¼ :
1þe ½lnð1 þ e0 Þ)n en
The engineering toughness in the plastic range is the area Or, S0 ¼ K ¼ K e0
1 þ e0 e0
under the engineering plastic stress–strain curve up to the ( ) /
Su n n ½lnð1 þ e0 Þ)n
point of fracture and will be given by ) ¼K K
S0 e 1 þ e0
Zef Zef Zef (n)n 1 þ e
0
! " r K en ¼ :
UToughness Engg: ¼ S de ¼ de ¼ de e ½lnð1 þ e0 Þ)n
1þe 1þe
0 0 0
In problem 1.15.2, it was found that n ¼ 0:384; and
Zef
K ½lnð1 þ eÞ)n Su =S0 ¼ 30:61=5:954 ¼ 5.141.
¼ de: For 0.2% offset yield strength, since offset engineering
1þe
0 yield strain e0 ¼ 0.002,
de & '
Let lnð1 þ eÞ ¼ z; then ¼ dz: Su 0:384 0:384 1 þ 0:002
1þe ) ¼ ¼ 5:141:
S0 2:718 ½lnð1 þ 0:002Þ)0:384
Zef
! " K ½lnð1 þ eÞ)n Again, using (1.29), we can write
) UToughness Engg:
¼ de
1þe
0 S0 expðe0 Þ ¼ K en0 ;
lnð1 þ ef Þ
Z en0
K # n þ 1 $lnð1 þ ef Þ Or, S0 ¼ K :
¼ K zn dz ¼ z 0
expðe0 Þ
nþ1 (n)n / en
0 Su
) ¼K K e0
K # ! "$ n þ 1 S0 e e0
¼ ln 1 þ ef : (n)n &ee0 ' & n 'n
nþ1
¼ ¼ eðe0 $nÞ
Now, it is proved that e en0 e0

! " ! " K # ! "$ n þ 1 For 0.2% offset yield strength, since offset true yield
UToughness True
¼ UToughness Engg: ¼ ln 1 þ ef strain e0 ¼ lnð1 þ e0 Þ ¼ lnð1:002Þ ¼ 1:998 . 10$3 ;
nþ1
K nþ1
¼ e :
nþ1 f
1.15 Solved Problems 89

& '0:384 (a) Uniform engineering strain.

Su 0:384 ! "
) ¼ exp 1:998 . 10$3 $ 0:384 (b) UTS.
S0 1:998 . 10$3
(c) Modulus of elasticity based on the true yield stress in
¼ 5:141:
the Ludwik equation.
(d) Plastic work done per unit volume up to the point of
Hence, the value of the tensile to yield strength ratio for uniform true strain.
offset engineering as well as true yield strain is the same as (e) Elastic work done per unit volume based on the true
that found in problem 1.15.2. yield stress in the Ludwik equation.
(d) Let Ly is the length and Ay is the cross-sectional area of (f) Percentage of work done for elastic deformation with
specimen at the yield point, then from constancy of respect to the uniform plastic work done.
% %
volume, L0 Ly ¼ Ay A0 :
Solution
Hence, reduction of area at the yield point is given by From (1.95), we know that at the point of maximum load up
A0 $ Ay Ay to which true or engineering strain is uniform, the condition
ry ¼ ¼1$ :
A0 A0 is dr=de¼r:
Ly A0 1 Hence from the given Ludwik equation, we can write the
From (1.7), true yield strain e0 ¼ ln ¼ ln ¼ ln ;
L0 Ay 1 $ ry condition at the point of maximum load as:
1
so, expðe0 Þ ¼ : ð507 . 0:35Þe0:35$1 ¼ 28 þ 507 e0:35 ;
1 $ ry
At the yield point, r0 ¼ K en0 ; so from (1.29), we get Or, 28 þ 507e0:35 $ 177:45 e$0:65 ¼ 0:
- .n - .
1 1 Let 28 þ 507 e0:35 $ 177:45 e$0:65 ¼ y; when y ¼ 0; then
S0 expðe0 Þ ¼ K ln or; S0
1 $ ry 1 $ ry e ¼ eu (uniform true strain).
- .n
1 Let us take the starting value of e ¼ 0:35 and then with
¼ K ln the change of the values of e, find by trial and error the
1 $ ry
- .n values of y which will be either zero or very close to zero,
! " 1
) S0 ¼ K 1 $ ry ln : with a positive as well as a negative value.
1 $ ry

Reduction of area corresponding to 0.2% offset engi- e 0.35 0.30 0.32 0.33 0.325 0.323 0.324 0.3235 0.3234

neering yield strain is: y 28 −27.4 −3.9 7.15 1.684 −0.536 0.576 0.02078 −0.09044

Ay L0 1 e0 It will not be unreasonable to assume linearity between

ry ¼ 1 $ ¼1$ ¼1$ ¼
A0 Ly 1 þ e0 1 þ e0 the two coordinate points of ð0:3235; 0:02078Þ and
0:002 ð0:3234; $0:09044Þ; which are very close to each other but
¼ ¼ 1:996 . 10$3 :
1:002 opposite sides of y ¼ 0: Equation of this straight line will be:
In problem 1.15.2, it was found that K ¼ y $ 0:02078 e $ 0:3235
% ¼ ;
64:9 N mm2 or MPa; and n ¼ 0:384; so 0.2% offset yield 0:02078 þ 0:09044 0:3235 $ 0:3234
strength from the derived relation can be obtained as y $ 0:02078
Or, e ¼ 0:3235 þ . 0:0001
follows: 0:11122
- .0:384 ¼ 0:3235 þ ðy $ 0:02078Þ . 0:899 . 10$3 :
! " 1
½S0 )e0 ¼0:002 ¼ 64:9 1 $ 1:996 . 10$3 ln
1 $ 1:996 . 10$3 It is obvious that the straight line joining these above two
¼ 5:954 MPa: coordinate points will intersect y ¼ 0; and at this intersection
point, the value of e is the uniform true strain, i.e. e ¼ eu :
Hence, the value of 0.2% offset yield strength is the same Hence putting y ¼ 0 and e ¼ eu in the above straight line
as that found in problem 1.15.2. equation, we get
Uniform true strain, eu ¼ 0:3235 þ ð0 $ 0:02078Þ.
1.15.4. The flow curve of a metal is described by the Ludwik 0:899 . 10$3 ¼ 0:32348:
equation of the form rðMPaÞ ¼ 28 þ 507e0:35 : Determine
the following:
90 1 Tension

(a) From (1.134), uniform elongation or uniform engi- (f) Percentage work done used for elastic deformation with
neering strain is: respect to the uniform plastic work done is
eu ¼ expðeu Þ $ 1 ¼ expð0:32348Þ $ 1 ¼ 0:3819; 3:57
. 100 ¼ 0:0039%:
Or; 38:19% uniform elongation: 90:89 . 103

(b) True tensile strength,

Exercise
ru ¼ 28 þ 507 e0:35
u
1.Ex.1. A round isotropic metal specimen of 100 mm length
¼ 28 þ 507 ð0:32348Þ0:35
and 20 mm diameter is elastically deformed in tension to a
¼ 369:55 MPa : length of 100.1 mm and a diameter of 19.994 mm. Calculate
its Poisson’s ratio and volume strain.
From (1.121), UTS, Su ¼ ru expð$eu Þ ¼ 369:55.
expð$0:32348Þ ¼ 267:42 MPa:
1.Ex.2. The principal strains are measured to be 0.003 and
(c) The modulus of elasticity E can be computed from (1.92), 0.002 by strain gages on the free surface of a thin copper
in which we can put r0 ¼ 28 MPa, K ¼ 507 MPa sheet. The modulus of elasticity for copper is 129.8 GPa,
and n ¼ 0:35; from the given Ludwik equation. and its Poisson’s ratio is 0.343. Calculate the corresponding
Hence, principal stresses.
& '1$n 1 & ' 1
K 507 1$0:35 1.Ex.3. Calculate the average elastic strain energy stored by
r0 ¼ 28 ¼ ¼ ; or;
En E0:35 an edge dislocation per unit length of the dislocation in an
0:35ð507Þ1$0:35
1
annealed crystal of a metal for which the shear modulus is
E ¼
1$0:35 ; 70 GPa and Burgers vector is 0.3 nm.
28
1
5070:35
)E¼ 1$0:35 MPa ¼ 109904:4 MPa 1.Ex.4. Show that for a uniaxial tensile test the equations for
ð28Þ 0:35 significant stress and strain reduce to the tensile stress and
¼ 109:9 GPa: strain values.

(d) Plastic work done per unit volume up to the point of 1.Ex.5. When the mean grain diameter of a polycrystalline
uniform true strain will be given by material is reduced from 0.05 to 0.01 mm, it is found that the
Zeu 0:32348
Z yield strength increases from 125 to 250 MPa. Assuming
! "
r de ¼ 28 þ 507e0:35 de grains to be spherical, find the yield strength of that material
0 0 for an ASTM grain-size index number of 8.
507 %
¼ 28 . 0:32348 þ ð0:32348Þ0:35 þ 1 MN m m3 or, MJ m$3
0:35 þ 1 1.Ex.6. Assuming constancy in volume, calculate the
¼ 90:89 MJ m$3 :
engineering strain, true strain, reduction in cross-sectional
area and true reduction in cross-sectional area for a rod
(e) Elastic work done per unit volume based on the true which is
yield stress in the Ludwik equation can be written as (a) stretched to 2 times of its initial length.
%
r20 ð2 . EÞ from (1.108b), where r0 is the true yield (b) compressed to half of its initial length.
stress and E is the modulus of elasticity. From the given
Ludwik equation, it is seen that r0 ¼ 28 MPa: 1.Ex.7. If a sheet specimen with an initial gage length of
100 mm, fixed as per current specification in Great Britain,
r20
Elastic work done per unit volume ¼ shows a cross-sectional area of 190 mm2 at fracture, what
2.E
will be the value of zero-gage-length elongation for that
282 % sheet specimen?
¼ 3
MPa or MJ m3
2ð109:9 . 10 Þ
% 1.Ex.8. A 250-mm-long rod with an initial diameter of
¼ 3:57 . 10$ 3 MJ m3 ¼ 3:57 kJ m$3 : 25 mm is stretched under a tensile load of 4 kN. If the
1.15 Solved Problems
diameter of the rod reduces to 22 mm at this load, assuming
constancy in volume, calculate the following:
(a) The corresponding final length of the rod.
(b) The corresponding true stress and strain.
(c) The corresponding engineering stress and strain.
1.Ex.9. A 100-mm-long member made of an aluminium
alloy with a rectangular cross-section of 20 mm by 15 mm is
subjected to a tensile load of 32 kN. Assuming linear elastic
behaviour with Young’s modulus of 72 GPa and Poisson’s
ratio of 0.3, determine the total change in (a) length,
(b) cross-sectional dimensions, and (c) volume.
1.Ex.10. A member whose diameter is 30 mm shows a
linear elastic deformation of 0.03 mm in gage length of
150 mm under an applied tensile load of 12 kN. Compute
the following:
(a) Modulus of elasticity.
(b) Strain energy per unit volume at the applied load.
(c) Modulus of resilience, if the load experienced by the
material of the member at the proportional limit is 55 kN.
1.Ex.11. A member of 400 mm length is to be designed to
withstand a tensile load of 27 kN without exceeding the
yield strain. Three choices are available:
(i) Medium-carbon steel, for which elastic modulus, E ¼
207 GPa and yield strength, S0 ¼ 310 MPa:
(ii) A magnesium alloy, for which E ¼ 45 GPa and
S0 ¼ 196:5 MPa:
(iii) An acrylic polymer, for which E ¼ 3:4 GPa and
S0 ¼ 14 MPa:
Using a safety factor of 1.5,
(a) Determine the necessary cross-section for each material.
(b) Compute the total amount of strain energy stored by each
at the 27 kN load.
1.Ex.12. If a sheet specimen with an initial cross-sectional
area of 400 mm2, on unloading from the point of tensile
instability, shows a permanent extension of 59 mm mea-
sured over the initial gage length fixed as per ASTM Stan-
dard and obeys Hollomon parabolic stress–strain relation
with strength coefficient of 317 MPa, calculate the UTS of
that material.
1.Ex.13. The flow curve of a metal in the form of a Ludwik
equation is described by rðMPaÞ ¼ r0 þ 640e0:15 ; and its
modulus of resilience based on the value of r0 in the above
%
Ludwik equation is 128:69 kJ m3 : Calculate the value of
91
(a) modulus of elasticity; and
(b) r0 :
1.Ex.14. The flow curve of an isotropic homogeneous duc-
tile metal is described by Hollomon parabolic stress–strain
relation with strength coefficient value of 300 MPa and
strain-hardening exponent value of 0.4. If the initial
cross-sectional area of the metal is 9 mm2, calculate the
following:
(a) Rate of strain hardening of that metal at the point of
(i) 0.2% offset yield strength, neglecting elastic strain; and
(ii) tensile instability.
(b) Maximum load at the point of tensile instability.
(c) Cross-sectional area of the metal at the point of maxi-
mum load.
1.Ex.15. Assume that the flow curve of copper in the region
of uniform plastic deformation is described by r ðMPaÞ ¼
317 & e0:54 : Compute the following:
(a) Value of true strain rate corresponding to the engineering
strain rate value of 0.1 s−1 at the point of maximum load for
copper, neglecting the effect of elastic deformation of the
testing machine on flow properties.
(b) Amount of work done per unit volume on copper in the
uniform plastic deformation range.
1.Ex.16. Assume that the flow curve of steel in the region of
uniform plastic deformation is described by rðMPaÞ ¼
1270 & e0:15 : Determine the
(a) UTS;
(b) Uniform elongation;
(c) Uniform reduction of area.
(d) Toughness in the plastic range up to the point of the
onset of necking.
1.Ex.17. If the flow stress of a material at 200 and 1000 °C
are, respectively, 200 and 70 MPa at constant strain and
strain rate, compute the activation energy for plastic flow in
J mol−1.
1.Ex.18. At a true strain value of 0.25, the strain-rate sen-
sitivity of a metal at 25 °C is 0.06 and that at 450 °C is 0.2.
At the same true strain value at a strain rate of 10$2 s-1, if the
flow stress is found to be 53.3 MPa at 25 °C and 5.8 MPa at
450 °C, determine the factor by which the flow stress will
change at each of the temperatures when the strain rate is
increased to 102 s−1.
92 1 Tension

1.Ex.19. Indicate the correct or most appropriate answer(s) (A) e ¼ n; (B) e ¼ n2 ;

pffiffi
from the following multiple choices: (C) e ¼ n; (D) e ¼ 2n;
(a) In general, strain-hardening coefficient increases with
where e ¼ true plastic strain and n ¼ strain-hardening
(A) increasing both strength level ðrÞ and stacking fault exponent.
energy (SFE);
(i) If a round plastic metal with diameter of 20 mm and
(B) decreasing both r and SFE;
length of 100 mm is uniformly elongated to 400 mm, the
(C) increasing r and decreasing SFE;
diameter of that metal after deformation will be:
(D) decreasing r and increasing SFE.
(A) 5 mm; (B) 10 mm;
(b) The strain-rate sensitivity of flow stress for the occur-
(C) 15 mm; (D) 20 mm.
rence of superplasticity is in the range:
(j) For superplastic deformation in an alloy, the necessary
(A) Less than 0.1; (B) 0.1–0.2;
conditions are:
(C) 0.4–0.9; (D) 1.5 to 2.0.
(A) an extremely fine and uniform grain size;
(c) Same elongation will result for 14-mm-wide two sheet
(B) high strain rate;
specimens of same metal, if one specimen has thickness of
(C) coarse and non-uniform grains;
2 mm and gage length of 30 mm and another specimen has
(D) high homologous temperature.
thickness of 8 mm and gage length of
(k) The characteristic mechanical behaviour of an elastomer
(A) 15 mm; (B) 30 mm;
or rubber is:
(C) 60 mm; (D) 120 mm;
(E) none of the above. (A) large recoverable strains;
(B) an adiabatic decrease in temperature on stretching;
(d) If zero gage length elongation of a material is 0.25, the
(C) an increase in elastic modulus with increasing
corresponding value of engineering reduction of area at
temperature;
fracture is
(D) a decrease in elastic modulus with increasing
(A) 0.2; (B) 0.25; temperature.
(C) 0.3; (D) none of the above
(l) Which of the following statements are true about edge
(e) The elastic strain energy of a dislocation is related to its dislocation?
Burgers vector as follows:
(A) edge dislocations have an incomplete extra plane of
(A) directly proportional; atoms associated with them;
(B) proportional to the square of the Burgers vector; (B) edge dislocations lie parallel to the Burgers vector;
(C) proportional to the square root of the Burgers vector; (C) edge dislocations can avoid obstacles by cross-slip;
(D) not related at all. (D) depending on the geometry, parallel edge dislocations of
opposite sign can attract or repel each other.
(f) Von Mises’ yielding criterion for ductile metals predicts
that the yield stress in uniaxial tension is related to that in (m) According to Hall–Petch relation, the yield strength of a
pure shear as: metal is related to its grain size d as
% pffiffiffi %pffiffiffi
(A) equal to each other; (B) 2 times; (A) d2 ; (B) 1 d 2 ; (C) d; (D) 1 d:
pffiffi
(C) one half; (D) 3 times.
(n) As compared to the engineering stress–strain curve, the
(g) Critical resolved shear stress in single crystal is calcu- portion of the true stress–strain curve beyond the necking of
lated by applying a ductile specimen in tension is:

(A) Hooke’s law; (B) Braggs’ law; (A) below and to the left; (B) below and to the right;
(C) Schmid’s law; (D) Coulomb’s law. (C) above and to the right; (D) above and to the left.

(h) If a strain-hardening metal obeys Hollomon true stress– Answer to Exercise Problems
strain relation, then necking in a tensile specimen occurs
when 1.Ex.1. 0.3; and 4 . 10$4 :
1.15 Solved Problems
1.Ex.2. 542.2 MPa; 445.6 MPa.
1.Ex.3. 3:15 . 10$9 J=m:
1.Ex.5. 165.9 MPa.
1.Ex.6. (a) e ¼ 1; e ¼ 0:693; r ¼ 0:5; r 0 ¼ 0:693;
(b) e ¼ $0:5; e ¼ $0:693; r ¼ $1; r 0 ¼ $0:693:
1.Ex.7. 64.87%.
1.Ex.8. (a) 322.83 mm; (b) 10.5 MPa, and 25.6%;
(c) 8.15 MPa, and 29.1%.
1.Ex.9. (a) þ 0:148 mm (increase); (b) longer dimension:
$8:89 . 10$3 mm (decrease) and shorter dimension:
$6:67 . 10$3 mm (decrease); (c) þ 17:78 mm (increase).
1.Ex.10. (a) 84.9 GPa; (b) 1.698 kJ m−3; (c) 35.66 kJ m−3.
1.Ex.11. (a) (i) 130.6 mm2, (ii) 206.1 mm2,
2 Cotrell, A.H.: Dislocation and Plastic Flow in Crystals. Clarendon
(iii) 2892.86 mm ; (b) (i) 5.39 J, (ii) 15.72 J, (iii) 14.82 J.
1.Ex.12. 135.6 MPa.
1.Ex.13. (a) 207 GPa; (b) 230.82 MPa.
1.Ex.14. (a) (i) 4998.3 MPa, (ii) 207.94 MPa; (b) 1254.5 N;
(c) 6.03 mm2.
1.Ex.15. (a) 0.058 s−1; (b) 79.7 MJ m−3.
1.Ex.16. (a) 822.4 MPa; (b) 16.18%; (c) 13.93%;
(d) 124.63 MJ m−3.
1.Ex.17. 6.57 kJ mol−1.
1.Ex.18. At 25 °C: increase by a factor of 1.74; and at
450 °C: increase by a factor of 6.31.
1.Ex.19. (a) (B) decreasing both r and SFE. (b) (C) 0.4 to
0.9. (c) (C) 60 mm. (d) (A) 0.2. (e) (B) proportional to the
pffiffi
square of the Burgers vector. (f) (D) 3 times. (g) (C)
Schmid’s law. (h) (A) e ¼ n: (i) (B) 10 mm. (j) (A) an
extremely fine and uniform grain size; (D) high homologous
temperature. (k) (A) large recoverable strains; (C) an
increase in elastic modulus with increasing temperature.
(l) (A) edge dislocations have an incomplete extra plane of
atoms associated with them; (D) depending on the geometry,
parallel edge dislocations of opposite sign can attract or repel
%pffiffiffi
each other. (m) (D) 1 d: (n) (C) above and to the right.
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 Compression
2

Chapter Objectives
• Standard specimen, elastic and plastic range, stress, strain and strain rate, brittle and
ductile materials in compression. Advantages over tension test.
• Bauschinger effect.
• Barreling and buckling in compression test and remedial measures against them.
Critical column stress for buckling.
• Various compressive failures.
• Problems and solutions.

cohesive strength is exceeded during tensile loading, the

2.1 Introduction
Compression test is simply the reverse of the tension test
with reference to the sense or direction of applied stress.
There are many similarities between static compression and
tension test as far as the behaviour of materials is concerned.
However, static compression differs adequately from static
tension in some important matters, such as (1) manner of
loading, (2) test specimen geometry, (3) frequent differences
in stress–strain diagrams with a pronounced difference in the
plastic range, (4) the extent of ductility shown by a material,
(5) the mode of failure and fracture surface appearance.
Compression test is preferable to tension test for brittle
materials. Compression test becomes essential for ductile
materials which undergo more than 50% plastic strain during
mechanical working processes.
Pure compressive stress causes to push the atoms in a
material closer together, which obviously cannot produce
failure of a homogeneous non-porous body. The atomic bond
curve in Fig. 1.39 shows that there is a definite peak in the
interatomic attractive binding stress that corresponds to the
theoretical cohesive strength of the material. Once this
material will fail in tension. On the contrary, no such limi-
tation exists in the increase of interatomic repulsive stress
within the material; as a result, it might be concluded that the
actual compressive strength of such a material is limitless and
the applied normal compressive stress always produces an
elastic action. Therefore, the resolved shear stress acting on
inclined planes must be responsible for inelastic action in
compression. In compression of homogeneous non-porous
body, slip on the inclined planes produced by the resolved
shear stress follows the same laws and equations as in tension.
Although this chapter involves the discussions on simple
uniaxial compression, it is worthy to point out the effect of
hydrostatic compression in the inelastic range. Hydrostatic
compression is a state of stress where equal compressive
stresses are applied from all directions on a material, such as
a body submerged in water that experiences equal pressures
from all directions. Hydrostatic compression pushes the
atoms and molecules of the material from all directions and
brings them closer and closer, but their atomic structure is
not distorted, i.e. they maintain absolutely identical config-
urations as before. Hence, there is a simple reduction in
volume of the material but no tendency for plastic

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Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_2
96
deformation. If an ideal state of hydrostatic compression (i.e.
exactly equal compressive stresses acting from all directions)
is maintained throughout, the above condition may extend to
any level of stress and failure of material becomes mostly
impossible because failure cannot occur simply due to
gathering together of atoms.
2.2 Standard Specimen
For standard compression test method of metals at room
temperature, the reader is referred to ASTM Standard
(ASTM E9 2009). The specimen employed in compression
test is generally a plain right cylinder or prism with proper
dimensions in accordance with the ASTM Standards. A
cylindrical specimen is usually preferred over other shapes
because a circular cross-section can be uniformly stressed.
However, a square or rectangular cross-section may also be
used. To avoid bending of the specimen due to eccentricity
in loading, the specimen is precisely machined so that the
straightness of the specimen and the flatness and parallelism
of both ends of the specimen are maintained as far as pos-
sible. The specimen is kept between two parallel compres-
sion flat plates, also known as anvils or bearing blocks,
attached to a universal testing machine that applies com-
pressive load to the specimen. The lower compression plate
remains fixed on the frame of the machine, whereas the
upper one is fitted with the movable cross-head of the
machine. Prior to placing the specimen between the anvils,
care must be taken to observe that the axis of the specimen
matches with the centre-line of bearing blocks of machine to
avoid the effect of eccentricity which is more noticeable in
compression than in tension. In order to overcome the effect
of lack of perfect parallelism of both ends of the specimen, it
is desirable to place a spherically seated bearing block at the
upper end of the test piece so that an uniform stress is
applied on each end of the test piece. It must be observed
Table 2.1 Dimensions of Initial length L0C
ASTM medium length cylindrical
specimens (Davis et al. 1964) 1 12 in: ð38:1 mmÞ
2 38 in: ð60:325 mmÞ
3 in. (76.2 mm)
3 38 in: ð85:725 mmÞ
Table 2.2 Dimensions of Initial length L0C
ASTM long cylindrical
specimens (Davis et al. 1964) 6 38 in: ð161:925 mmÞ
12 12 in: ð317:5 mmÞ
2 Compression
that the test piece is cantered with respect to the centre of the
spherical surface of this block.
The standard compression specimens recommended by
the ASTM E9 for metallic materials fall into the following
three categories:
1. ASTM short specimen—It is either a 2-in. (50.8 mm)
cube or a cylinder of 1 in. (25.4 mm) long and 1 18 in:
(28.575 mm) in diameter, i.e. L0C ðinitial lengthÞ=D0C
ðinitial diameterÞ ¼ 0:889 ’ 0:9: It is proposed to use
for brittle metallic materials.
2. ASTM medium length specimen—It is usually a
cylindrical specimen used for general purpose, whose
initial length L0C to initial diameter D0C ratio is 3, that is
L0C =D0C ¼ 3: Different initial lengths and initial diame-
ters are proposed, which are shown in Table 2.1 (Davis
et al. 1964).
(3) ASTM long cylindrical specimen—It is used for more
accurate test results and to determine the modulus of
elasticity. The long specimens have initial lengths to
initial diameters ratios of 8 or 10, as shown in Table 2.2
(Davis et al. 1964).
For compression tests of sheet metals, specimens are
loaded in a jig, and the details of which along with the
specimen are described in ASTM E9. The jig is used as
support to prevent bending of the specimen, but it must not
obstruct the axial deformation of the specimen.
For concrete and mortars, the standard specimen is a
cylinder whose initial length L0C to initial diameter D0C ratio
is 2, that is L0C =D0C ¼ 2; although ASTM has specified a
2 in. (50.8 mm) cube as specimen for mortar. Further, a 6-in.
(152.4 mm) cube is commonly used as a specimen for
concrete in England and in Europe. Dimensions of cylin-
drical specimens for concrete depending on the size of their
constituent aggregates as well as for mortars are shown in
Table 2.3 (Davis et al. 1964).
Initial diameter D0C L0C
D0C
1
in: ð12:7 mmÞ 3
2
0.798 in. (20.2692 mm) 2.976
1 in. (25.4 mm) 3
1 18 in: ð28:575 mmÞ 3
Initial diameter D0C L0C
D0C
0.798 in. (20.2692 mm) 7.9887 ’ 8
1 14 in: ð31:75 mmÞ 10
2.2 Standard Specimen 97

Table 2.3 Dimensions of Material Initial length Initial diameter

cylindrical compression L0C D0C
specimens for concrete and
mortars Concrete containing aggregates of maximum size up to 0.75 in. 6 in. 3 in. (76.2 mm)
(19.05 mm) (152.4 mm)
Concrete containing aggregates of maximum size up to 2 in. 12 in. 6 in.
(50.8 mm) (304.8 mm) (152.4 mm)
Concrete containing aggregates of maximum size up to 2.5 in. 16 in. 8 in.
(63.5 mm) (406.4 mm) (203.2 mm)
Concrete containing aggregates of maximum size up to 6 in. 36 in. 18 in.
(152.4 mm) (914.4 mm) (457.2 mm)
Mortars 4 in. 2 in. (50.8 mm)
(101.6 mm)

Compression specimen for wood is generally a rectan-

Elastic stress
gular prism whose dimensions are 2 by 2 by 8 in. (50.8 by

in tension
50.8 by 203.2 mm) for tests performed parallel to the grains
of wood or 2 by 2 by 6 in. (50.8 by 50.8 by 152.4 mm)
when tests are conducted perpendicular to the grains of
wood.
Elastic strain Tension
in compression
0
2.3 Elastic Range
Elastic strain
The elastic action for non-porous crystalline solids in com- in tension
pression is absolutely same as that in tension but in the
opposite direction. For a given applied compressive stress, Compression

in compression
Elastic stress
the squeezing of atoms from their equilibrium interatomic
spacing causes to develop the necessary internal interatomic
repulsive force to balance the applied compressive stress at
roughly the same atomic displacements as in case of tensile
loading. The reason is that the slope or curvature on either
Fig. 2.1 Elastic stress–strain diagram in tension and compression for a
side of the equilibrium point in the curve of interatomic bond material obeying Hooke’s law
stress versus interatomic spacing does not vary sharply;
rather Fig. 1.38 reveals the continuity of the curve through
its equilibrium. Thus, for non-porous homogenous and iso-
tropic crystalline materials including polycrystals obeying
Hook’s law, the linear elastic stress–strain diagram in ten- C
sion is extended in the reverse direction to get the elastic Rubber
curve in compression as shown in Fig. 2.1, because the
Elastic stress in compression

stress and strain in tension are assumed to be positive while

those in compression are negative during mechanical testing
of materials. But usually the elastic strain in compression is
Cork
more than that in tension, and hence, the only difference
between the two elastic curves lies in the amount of their
elastic strains. B
Under compression, long chain polymers like rubber or A
fibrous and cellular materials like wood and cork exhibit
nonlinear elastic stress–strain diagrams. Elastic stress–strain
diagrams in compression for rubber and cork are shown in 0
Fig. 2.2. The structure of rubber having a random coiled Elastic strain in compression
configuration in the unstressed condition stiffens more and
Fig. 2.2 Elastic stress–strain curves in compression for rubber and
more quickly with increase in compressive stress on it, cork
98
exhibiting a rise of stress with strain from the beginning but
the rate of increase in stress with strain becomes gradually
more and more, as evident in its stress–strain curve. The
behaviour of plastic foam in compression is quite similar to
that of rubber in compression. Wood and cork show an
initial rise of stress with strain because of the deformation
resistance produced by the stiffness of their cell walls. When
the compressive stress increases to such high level that their
cell walls undergo lateral instability, i.e. they buckle, there is
an abrupt reduction in their stiffness. Under such condition,
there is a slight rise of stress with strain producing a segment
from A to B in the stress–strain curve as shown in Fig. 2.2.
As the cells are compressed further, the compaction causes
the stiffness to increase once more and the stress–strain
curve rises rapidly upwards to point C (Fig. 2.2). The stress–
strain diagram for cork or wood in compression looks very
similar to that for rubber in tension.
The elastic properties in compression test, such as mod-
ulus of elasticity, proportional limit, elastic strength or limit,
modulus of resilience, and Poisson’s ratio for linear elastic
materials and secant modulus, tangent modulus and resi-
lience for nonlinear elastic materials, are determined abso-
lutely in the same manner as in the tensile test. Just like
tension, the volume of the object subjected to compression
increases and always shows a value of Poisson’s ratio less
than 1=2 in the elastic range.
2.4 Plastic Range
Beyond the elastic range, the plastic range starts and con-
tinues till the point of final failure of the material. The most
commonly used compressive properties in the plastic range
are yield strength, compressive strength, secant modulus,
tangent modulus and toughness. Definitions of most of the
properties are same as those of the corresponding tensile
properties, and they are determined in the same way as in
tension.
Since necking of the specimen does not occur in com-
pression, the problem of plastic instability as encountered in
the tension test does not arise in the compression test. So, the
plastic range is likely to continue over a much larger strain
value in compression than in tension. In compression, strain
hardening takes place after the initiation of yielding and
volume remains constant in plastic range, just like tension. If
a body is compressed along its longitudinal axis, it will
expand laterally and the lateral strain of the body will be half
of its longitudinal strain because the value of Poisson’s ratio
is again 1=2 during compressive plastic deformation. Hence
with the progress of compressive plastic deformation, the
2 Compression
instantaneous cross-sectional area AC of the member con-
tinues to increase due to Poisson effect and the strain hard-
ening always increases the true stress rC required to
compress the member. Therefore, the axially applied com-
pressive load PC always increases with reduction in length,
DLC ; of the member in the plastic range because PC ¼
rC $ AC : During compressive deformation of a member, the
spreading of the material over the anvils to increase
cross-sectional area of the member is resisted by the fric-
tional stresses developed at the contact area between the
member and the anvils because the frictional stresses act in a
direction opposite to the direction of flow of material, i.e. in
the inward direction and will thus be compressive in nature.
So, the region of the member in contact with as well as near
the anvils will be in a state of triaxial compressive stresses.
This triaxial state is developed by the axial compressive true
stress rC applied in the longitudinal direction and the
imposed compressive stresses sC acting inward in the other
two lateral directions, as shown in Fig. 2.3. With the help of
Von Mises’ yielding criterion given by (1.64), it can be
proved as follows that the longitudinal compressive true
stress, rC ; required to deform the material near the ends of
the member is higher than the flow stress under uniaxial state
of compression r0C . As all stresses of the triaxial state are
compressive, hence it is assumed that these compressive
stresses are positive quantities. So,
r0 ¼ r0C ; r1 ¼ rC and r2 ¼ r3 ¼ sC :
Hence,
1 h i1=2
r0C ¼ pffiffi ðrC % sC Þ2 þ ðsC % sC Þ2 þ ðsC % rC Þ2
2
1 h i1=2
¼ pffiffi 2 ðrC % sC Þ2 ;
2
Or, r0C ¼ rC % sC ; or rC ¼ r0C þ sC ; i:e: rC [ r0C
ð2:1Þ
The above (2.1) shows that the material near the anvil
surfaces is strengthened, i.e. a zone of undeformed material
is created internally near the ends of the member. The
transverse compressive forces that restrain the outward flow
of material are the greatest at the end surfaces in contact with
the anvils and decrease gradually towards the mid-length of
the member. It has been found that for a cylindrical speci-
men of initial diameter D0C , these restraining forces become
zero at a distance of approximately equal to D0C from any
end of the specimen. Hence, the region of stronger unde-
formed material existing internally near the ends of the
member takes the shape of a cone as shown by the shaded
region in Fig. 2.4. The axial compressive load versus
2.4 Plastic Range 99

Fig. 2.3 Triaxial state of Friction forces

compressive stresses at the ends
of a compression specimen in Anvil
Direct axial
contact with anvils—the diagram PC compressive stress, σC
shows only one end of the
specimen

Lateral
compressive
stress, τC

Lateral compressive
stress, τC due to interface
friction acting inward

Element at centre
of end of specimen
Anvil

Fig. 2.4 Conical undeformed (a) (b)

regions (shaded) due to interface
friction at the ends of Pc Specimen before compression
compression specimens with
length to diameter ratios being
larger in (a) and smaller in (b)
Pc
Compressed specimen

Conical undeformed
regions

deformation curve is shown in Fig. 2.5. With decrease in
length of the compression specimen, the above-mentioned
cone-shaped region of stronger material from each end of the
specimen comes near to each other and tends to overlay.
This action causes a rapid increase in the axial compressive
load required for further reduction in length of the specimen
resulting in an upward bend in the load–deformation curve,
as can be seen from Fig. 2.5. For constant diameters of
cylindrical compression specimens, the shorter the specimen
the larger will be the proportion of stronger undeformed
material region in the specimen and the greater will be the
axial compressive load to produce the equal percentage of
reduction in length of the specimen. Therefore, the load–
deformation curves in compression shift upwards at any
given value of reduction in length of the specimen, when the
ratio of initial diameter D0C to initial length L0C , i.e. D0C =L0C
of the specimen increases, as exhibited in Fig. 2.5.
2.4.1 Stress and Strain
The manner of determining conventional and true stress and
strain in the compression test is similar to that in the tension
test. All the equations for stress and strain and their relation
developed in tension can be used for compression provided
all the values of compression are substituted in those equa-
tions with negative signs, otherwise the following equations,
obtained by making all vector quantities of the tensile
equations negative, can be used for compression keeping
their values positive. Any quantity of the tensile equation
with subscript ‘Ç’ represents the same quantity in com-
pression. Hence from (1.5) and (1.7), we get
Conventional or engineering compressive strain,
DLC %DL L0C % LC
eC ¼ ¼ ¼ ð2:2Þ
L0C L0C L0C
100 2 Compression

Natural or true compressive stress,

PC 4PC 4PC LC
rC ¼ ¼ ¼ ð2:8Þ
AC pDC pD20C L0C
2

Further from (2.8), (2.7), (2.4) and (2.3), the following

D0 (2.9) and (2.10) are obtained, either of which can be used to
increasing
C

L0 determine the true compressive stress.

C
True compressive stress,
Axial compressiveload

4PC LC LC
rC ¼ 2
¼ SC ¼ SC ð1 % eC Þ ð2:9Þ
pD0C L0C L0C

True compressive stress,

4PC LC LC
rC ¼ 2
¼ SC ¼ SC expð%eC Þ ð2:10Þ
pD0C L0C L0C

The axial compressive load versus reduction in length,

i.e. PC versus DLC curve for any D0C =L0C ratio of the
0 specimen in Fig. 2.5 can be converted to the corresponding
Reduction in length of specimen engineering compressive stress–strain, i.e. SC versus eC
diagram with the help of (2.7) and (2.2). The shape of the
Fig. 2.5 Load–deformation curves in compression with increasing
resulting SC versus eC diagram will be the same as that of the
ratio of initial diameter D0C to initial length L0C i.e. D0C =L0C of the
specimen load–deformation, i.e. PC versus DLC diagram from which
SC % eC curve is drawn, because SC / PC and eC / DLC :
Natural or true compressive strain, When a crystalline material is strained in compression
beyond its linear elastic part of stress–strain curve and then
ZLC unloaded from its plastic range, the result will be same as
dL L0
eC ¼ % ¼ ln C ð2:3Þ that described in tension. The total strain consists of elastic,
L LC
L 0C anelastic and plastic part as in tension and the unloading path
will also be similar. On unloading, the elastic strain is
From (2.2), recovered immediately, the anelastic strain disappears with
time and the plastic strain remains permanently in the
LC LC
eC ¼ 1 % ; or ¼ 1 % eC ð2:4Þ specimen. When the material is reloaded in compression
L0C L0C
after unloading from its plastic range, the compressive stress
From (2.3) and (2.4), natural or true compressive strain, required for yielding increases, i.e. its compressive yield
strength is raised to a higher value, which is similar to the
LC 1 increase in tensile yield strength observed on reloading in
eC ¼ % ln ¼ % lnð1 % eC Þ ¼ ln ð2:5Þ
L0C ð1 % e C Þ tension.
Let us assume that the compression specimen is cylin-
drical whose initial diameter = D0C and instantaneous
diameter = DC at any moment during homogeneous com- 2.4.2 Strain Rate
pressive deformation. From constancy of volume during
plastic deformation, one can write In homogeneous compression, in which the specimen is
reduced in length uniformly without any barreling, the
pD20C pD2C L0 conventional or engineering strain rate, denoted by e_ C , and
L0C ¼ LC ; or, D2C ¼ D20C C ð2:6Þ
4 4 LC the true strain rate, denoted by e_ C , are defined as follows:
Compressive engineering strain rate,
Hence from (1.24), (1.25) and (2.6), we get
Conventional or engineering compressive stress, "
deC %dL 1 dL
e_ C ¼ ¼ dt ¼ % ð2:11aÞ
PC 4PC dt L0C L0C dt
SC ¼ ¼ ð2:7Þ
A0C pD20C
2.4 Plastic Range 101

"
Compressive true strain rate, %dL
Since e_ C ¼ dt and e_ C ¼ constant,
" LC
deC %dL 1 dL
e_ C = ¼ dt ¼ % ð2:11bÞ ZLnC Ztn
dt LC LC dt dL
so, % ¼ e_ C dt;
where L0C and LC are, respectively, the initial length and LC
L 0C 0
instantaneous length of the compressive specimen and ‘%dL’ Ln
is the compression of the specimen in the time interval Or; ln C ¼ %_eC tn ;
L0C
dt. Since one end of the compression specimen remains fixed
and its other end is attached to a movable cross-head of the Or, LnC ¼ L0C expð%_eC tn Þ ð2:13Þ
testing machine, the compression, ‘%dL’, of the specimen
) vnC ¼ e_ C LnC ¼ e_ C L0C expð%_eC tn Þ ð2:14Þ
per unit time is equal to the cross-head velocity. The
cross-head velocity of the compression testing machine, The relation between the true strain rate, e_ C ; and the
denoted by vC , is: engineering strain rate, e_ C , during uniform deformation of
Cross-head velocity in compression, the compression specimen is given by the following (2.15):
Since engineering compressive strain,
dL
vC ¼ % ð2:11cÞ
dt L0C % LC LC
eC ¼ ¼1% ;
The compressive strain rate is related the cross-head L0C L0C
velocity in compression, vC , by the following (2.12a) and L0 1
Or, C ¼ ;
(2.12b). From (2.11a) and (2.11c), LC 1 % eC
Compressive engineering strain rate, vC vC L0C e_ C
) e_ C ¼ ¼ ¼ ð2:15Þ
" LC L0C LC 1 % eC
%dL %dL=dt vC
e_ C ¼ dt = = ð2:12aÞ
L0C L0C L0C
It is clear from (2.12a) that e_ C / vC since L0C ¼ constant. 2.4.3 Brittle Materials
Hence, the compression test can easily be carried out at a
constant compressive engineering strain rate e_ C , if the The compressive strength, SuCB , of a brittle material is the
cross-head velocity in compression, vC , is kept constant. maximum engineering stress that the material can withstand.
From (2.11b) and (2.11c), It is defined as the maximum compressive load, PmaxC ,
Compressive true strain rate, divided by the average original cross-sectional area of the
" compressive specimen A0C , as given below. For brittle
%dL %dL=dt vC
e_ C ¼ dt = = ð2:12bÞ materials, the compressive strength SuCB is the same as the
LC LC LC
breaking or fracture strength SfCB . Hence,
As the specimen is compressed, its instantaneous length, Compressive strength,
LC , decreases. Therefore, the true strain rate e_ C increases
when the cross-head velocity vC is maintained constant in maximum compressive load
SuCB ¼
compression, as evident from (2.12b). To achieve a constant average original cross-sectional area of specimen
compressive true strain rate e_ C , during uniform compression PmaxCB
¼
of the specimen, the decrease in the cross-head velocity must A0C
be proportional to the decrease in the instantaneous length of compressive load at fracture; PfCB
the specimen. At the beginning of the test, i.e. at initial time ¼
A0 C
t ¼ 0; the initial length of the specimen is LC ¼ L0C . Let, the
¼ fracture strength; SfCB
reduced length of the specimen after test duration of t ¼ tn ;
is LC ¼ LnC : At time t ¼ tn ; the cross-head velocity vnC must ð2:16Þ
decrease during uniform deformation of the compression
Compressive strengths of brittle materials, such as cast
specimen according to the following (2.14):
iron, ceramics and concrete, are higher than their tensile
102 2 Compression

Table 2.4 Comparison of Brittle materials Tensile Compressive Ratio of compressive

tensile and compressive strengths strength, Su strength, SuC in to tensile strength, i.e.
of brittle materials in MPa MPa SuC
Su

Grey cast iron 165.48 827.4 5

Dense, polycrystalline Al2O3 (ceramics) 280 2100 7.5
Concrete (1:3 mix by volume) at 2.76 34.48 12.5
water/cement ratio of 0.64 by volume
(after 28 days)
Acrylic plastic like Plexiglas, Lucite 73.09 117.22* 1.6
*
Stress at which excessive deformation or rupture occurs

strengths, sometimes by a large factor, as shown in Table 2.4
(Richards 1961; Shackelford 1992), the reason for which is
explained below. In tension, the fracture of a brittle material
is initiated by some flaws or imperfections in the material,
such as microscopic cracks or holes. These flaws act as stress
raisers and increase the stresses locally at their tips to high
values so that the local stresses are equal to the theoretical
cohesive strength of the material and cause breaking of the
interatomic bonds in those areas. Thus, tensile fracture takes
place normally by complete separation of the member along
a crystallographic cleavage plane lying normal to the applied
uniaxial tensile stress. Under such situation, the applied
stress remains well below that required to produce slip on
the slip planes oriented at 45° to the applied stress axis.
Conversely, under the applied compressive stress, any cracks
or holes present in brittle materials tend to close up causing
their harmful effect to disappear. Thus, the imperfections fail
to produce stress concentration in compression. Hence, the
applied compressive stress can be raised to such higher value
that the resolved shear stress can initiate slip along a plane
usually making an angle of 45° with the axis of applied
stress. Such attainment of higher compressive stress without
causing brittle material to fail makes the material stronger in
compression than in tension. The compressive strengths of
brittle materials like concrete, soils and other granular
materials are further increased due to the internal frictions
acting along the slip planes between macroscopic or
microscopic particles (Taylor 1948). The engineering stress–
strain diagram in tension as well as in compression for grey
cast iron and acrylic plastic (Plexiglas) are, respectively,
shown in Figs. 2.6 and 2.7.
2.4.4 Ductile Materials
The typical engineering stress–strain curve (SC vs. eC dia-
gram) and the corresponding true stress–strain curve (rC vs.
eC curve) for a ductile material subjected to compression are
shown in Fig. 2.8 for the purpose of comparison. Only
during uniform plastic compression, one can determine the
value of true compressive stress rC , from the engineering
compressive stress SC , according to (2.9) or (2.10) and the

Fig. 2.6 Engineering stress–

strain diagram in tension as well
Stress in tension

165.48 MPa
as in compression for grey cast
iron
Break

0.065 Strain in compression Tension

0 < 5× 10-3
Strain in tension
Stress in compression

Compression

Break 827.4 MPa

2.4 Plastic Range 103

73.09 MPa Break

Stress in tension
Tension

0.2 Strain in compression

0 0.04
Strain in tension

Stress in compression
Compression

117.22 MPa
No break

Fig. 2.7 Engineering stress–strain diagram in tension as well as in compression for an acrylic plastic (Plexiglas)

compressive stress rC and true compressive strain eC ; (2.8)

and (2.3) are, respectively, used. Further, the frictional
Engineering and true stresses in compression

Engineering stress – strain curve
True stress – strain curve
0 load PC for each value of reduction in length DLC of the
Engineering and true strains in compression
Fig. 2.8 Comparison of stress–strain curves in compression for a
ductile metal in the plastic range, using engineering and true stresses
and strains
value of true compressive strain eC , from the engineering
compressive strain eC , using (2.5). Due to the presence of
friction at the contact surfaces between the specimen and the
anvils, there is often non-uniform plastic deformation in the
compression specimen. Then to determine the true
stresses at the ends of the specimen create a triaxial state of
compression, which increases the axially applied compres-
sive load required for deformation of the material. Hence,
the higher load will increase the compressive flow stress rC ;
which will approach the correct value with decrease in
friction. To obtain the correct compressive flow stress rC
without friction (Cooke and Larke 1945), the axial com-
pressive load PC versus D0C =L0C for various values of
reduction in length DLC of the specimen is plotted with the
help of Fig. 2.5. When each curve of the plot is extrapolated
to ðD0C =L0C Þ ¼ 0; the correct value of axial compressive
specimen is obtained. From this correct value of PC ; the
correct compressive flow stress rC without friction can be
calculated using (2.8).
On the two curves in Fig. 2.8, the corresponding points
are joined to show their relations one to the other. Since the
instantaneous cross-sectional area is greater than the original
cross-sectional area of the specimen, i.e. AC [ A0C ; or the
instantaneous length is lower than the original length of the
specimen, i.e. LC \ L0C ; the values of compressive flow
stresses will be less than their corresponding compressive
104
engineering stresses, i.e. rC \ SC ; in accordance with (2.8).
On the other hand, the values of compressive true strains will
be higher than their corresponding compressive engineering
strains, i.e. eC [ eC ; as shown in Fig. 1.2. Hence in Fig. 2.8,
the points on the true-stress–true-strain curve are to the right
and below of those on the engineering curve. For ductile
metals, the flow curve in compression (rC vs. eC curve) is
usually taken identical to that in tension (r vs. e curve) up to
the point that corresponds to the maximum load in tension
and as a result, the compressive properties of ductile metals
are generally deduced from their tensile properties. The
engineering stress–strain curve in compression certainly
differs from that in tension; but in the early part of the plastic
range, they do not indeed differ much and are generally
assumed to be same for convenience in engineering appli-
cations. For example, slip in ductile material causes yielding
at a compressive engineering stress that is roughly identical
to the tensile yield strength. Further, upper and lower yield
points of mild steel in compression are normally observed to
be the same as those in tension. So, the yield strength for
continuous as well as discontinuous yielding in compression
is usually quite similar to that in tension. Since for ductile
materials, the plastic range in compression is theoretically
unlimited and no fracture takes place under compressive
stress, the compressive strength of ductile materials bears
very little sense and is sometimes arbitrarily defined as
follows:
The compressive strength, SuCD ; of a ductile material is
the maximum engineering stress required to distort the
material heavily so that the material is treated as to constitute
complete failure. In fact, this is a yield stress of a ductile
material at large plastic strain and the value of the strength
depends on the degree of distortion. Therefore,
Compressive strength,
load required to distort heavily so as to constitute complete failure
SuCD ¼
average original cross-sectional area of specimen
PHeavy DistotionCD
¼ brought together during their pile-ups. When the slip
A 0C
ð2:17Þ
2.5 Bauschinger Effect
If a material is strained either in tension or in compression,
beyond its yield strength, unloaded to zero stress and then
reloaded in the direction completely opposite to the initial
slip direction, the yield strength of the material on reloading
will be lower than that observed during the initial loading
cycle. This phenomenon of lowering of the yield strength
when plastic deformation in one direction is followed by
deformation in the reverse direction is called the
2 Compression
Bauschinger effect, discovered by Bauschinger in 1881. This
can be explained as follows by considering a pure stress–
strain diagram without any reversal of load in both tension
and compression for a ductile metal, as shown by BAOA0 B0
in Fig. 2.9. In this figure, the magnitude of initial yield
strength in tension given by point A is the same as that in
compression represented by A0 . Now, the same metal in
virgin condition is strained in tension past its original yield
strength A to the point B following the path O-A-B and then
unloaded along the path B-C, neglecting small elastic hys-
teresis effects, to zero stress represented by the point C in
Fig. 2.9. If the metal is now reloaded in compression from
the unloaded point C, the metal will start yielding at the
stress corresponding to the point D in Fig. 2.9, which is
substantially lower than the original compressive yield
strength A0 of the metal. Hence, the new tensile yield
strength of the metal was increased from the point A to the
point B because of its strain hardening, while its new com-
pressive yield strength has been decreased from A0 to D. This
phenomenon is called the Bauschinger effect, which is
reversible. This means that if the metal would have been
initially strained in the plastic range under compression
followed by stressing plastically in tension instead of the
above situation of tensile deformation followed by com-
pressive one, then the tensile yield strength of the metal
would decrease instead of the compressive one. The mech-
anism of the Bauschinger effect is explained below:
1. During plastic deformation, dislocations move on the slip
plane through the crystal but grain boundaries in poly-
crystals or other lattice defects in single-as well as
poly-crystalline materials act as barriers to the movement
of dislocations and dislocations are thus piled-up at such
barriers during the initial loading cycle. This accumula-
tion of dislocations at barriers produces a back stress,
because of the repulsive force created by the dislocations
of same sign lying on the same slip plane when they are
direction is made opposite by 180° with respect to the
initial slip direction, the back stress created during the
initial loading cycle will assist to move the dislocations
in the reverse slip direction and thus decreases the stress
required to initiate slip, i.e. the yield strength of the
material is decreased.
2. The sources that have generated the dislocations to cause
plastic flow in the first slip direction can produce dislo-
cations of opposite sign when the direction of loading is
reversed. Since dislocations of opposite sign lying on the
same slip plane attract and cancel or annihilate each
other, the strength of the lattice will further decrease.
Hence, a lower stress will be required to initiate yielding
in the reverse slip direction.
2.5 Bauschinger Effect
Fig. 2.9 Bauschinger effect
showing the lowering of yield
stress on complete reversal of slip
direction. The virgin engineering
stress–strain curve in tension and
compression for a ductile material
is represented by BAOA0 B0 ; in
which yield stress in tension
represented by point A and that in
compression represented by point
A0 are of equal magnitude
3. It is expected that the obstacles behind the dislocations
are not so strong and closely spaced as they are directly
ahead of the dislocations. When the slip direction is
reversed, dislocations experience less obstructions on
their path and can therefore move a considerable distance
easily requiring a lower stress to initiate yielding.
4. The above factors are responsible for Bauschinger effect
in single-as well as in poly-crystalline materials but there
is another additional factor only for polycrystals. This
factor involves the non-uniformity of yielding in poly-
crystals because of random orientations of the crystals.
Suppose, the material is first plastically strained in ten-
sion after which it will be unloaded and followed by
compressive deformation. During the initial straining in
tension, the randomly orientated crystals yield by dif-
ferent amounts. As a result, there will be slight variation
in stress from one crystal to another on a microscopic
scale but macroscopically average yield strength of the
material will be observed. During unloading, the material
contracts till the point of zero value of average stress but
this amount of contraction will microscopically vary for
differently orientated crystals. On unloading, the stresses
in the least yielded crystals do not completely come back
to zero value, rather stay above zero, i.e. are under ten-
sion, whereas the stresses in the most yielded ones cross
zero and remain in compression. Thus, microscopic
residual stresses known as Heyn stresses (Seitz 1943) or
textural stresses (Freudenthal 1950) exist throughout the
polycrystalline material, somewhere tensile and
105
B
Engineering stress in tension
A
O C
in compression
Engineering stress
Engineering strain Engineering strain in tension
in compression
Aꞌ
Bꞌ
elsewhere compressive. When the material is reloaded for
compressive deformation, those crystals already having
compressive residual stresses will start to yield at a stress
lower than the virgin yield strength of the material and
therefore there will be decrease in the total yield strength
of the material.
The Bauschinger effect can have important consequences
in cold working of metals. For example, the Bauschinger
effect can be seen in the bending of steel plates (Rolfe et al.
1968) and can result in work-softening (Polakowski 1963)
when heavily cold-worked metals are subjected to stresses of
opposite sign. This can take place when rolled sheets or
drawn bars are subjected to alternating bending stresses
during their straightening operations by passing through
roller-levelling machine. The yield strength of work-piece
can be reduced resulting in an increase in the elongation
value compared to the cold-worked state during such
roller-levelling operations.
2.6 Advantages of Compression Over
Tension Test
All brittle materials are weaker in tension than in compres-
sion. This fact coupled with the problems related to brittle
materials mentioned below makes them less useful in tensile
applications than in compression. Moreover, compression
test is also performed for ductile materials particularly when
106
the test involves a much larger plastic strain of the material,
because the plastic range of ductile materials under com-
pression is theoretically unlimited. Hence, it is obvious that
the compression test has several following advantages over
the tension test, although there are some problems associated
with compression test that will be discussed subsequently in
this chapter.
1. In compression test, necking of the specimen does not
occur. Hence, the problem with necking as encountered
in the tension test does not arise. So, the compression test
of a ductile material can be carried out to measure the
flow stress up to true strains in excess of 2.0. Since
mechanical working of material involves very large
plastic strain in the order of true strain value 2–4, it is
very much essential to determine the flow curve at that
strain level. The application of tension test to determine
the flow curve is of limited use in the fields of mechanical
working, because the neck formation does not allow
uniform deformation of the specimen to exceed a true
strain value of about 0.5. On the contrary, the flow stress
of a ductile material at the desired strain level required
for mechanical forming applications can easily be
determined by compression test. However, since many
metalworking operations involve high temperatures
where the flow stress is nearly independent of strain but
strongly dependent on strain rate, so tests to determine
flow stress must be conducted under controlled condi-
tions of temperature and constant true strain rate
(McQueen and Jonas 1971).
2. It is much easier to apply a load to brittle material in
compression test than in tension test, because the grip-
ping of brittle materials in tension test is a serious
problem, as narrated below.
(a) If screw threaded grips are used, the fracture in the
thread regions or at the fillet sections of the specimen
is difficult to prevent because brittle materials are
strongly influenced by stress concentration devel-
oped in the threads or at the fillets.
(b) If clamp-type grips with wedge blocks that provide
automatic clamping are used, the transverse com-
pressive pressure on the specimen caused by the
clamping leads to compressive fracture (shear frac-
ture or fragmentation) of the specimen in the grip
regions.
3. Wood has cellular structure, and its grains have direc-
tional property, i.e. the cell structures of wood are
stronger in the longitudinal than in the transverse direc-
tion. Note that wood does not show brittle characteristics
under tensile loading and surprisingly, it is considerably
stronger in tension than compression. However, wood is
2 Compression
not often used in tension because of the difficulty in
applying the tensile load as explained below.
(a) When the ends of a member made of wood are
gripped with clamps for application of tensile load in
the longitudinal direction of grains, the transverse
compressive pressure on the ends of this member
caused by the clamping leads to compressive failure
of the wood in the grip regions, because wood is
weak in the transverse direction.
(b) When tensile load is applied through hook inserted
into the ends of the wooden member, the ends shear
off easily under tensile force.
Other porous or cellular materials also experience the
above-mentioned same difficulties when they are
loaded in tension.
4. In compression test, an axial compressive force is applied
on a cylindrical or prismatic specimen, which is kept
between two parallel flat plates, known as anvils. So
there is no problem related to gripping of brittle or cel-
lular materials unlike the tensile test. Further, the com-
pression test is not only easy to perform but the specimen
required for the test is also of simple shape having no
change in cross-section, while the tension test requires a
laborious preparation of specimen. This preparation
involves the formation of thicker grip regions with or
without threads at both ends of specimen, a reduced
cross-section at its middle zone and a fillet of suitable
radius in between the grip and middle regions.
2.7 Problems in Compression Test
Two main problems of the compression test are
1. Buckling or lateral deflection and
2. Barreling or barreled specimen profile or end restraint.
2.7.1 Buckling
If a member subjected to a compressive load applied along
its longitudinal axis has its length larger than any of its
transverse dimensions, it is termed as column. Experience
shows that when the axially applied compressive load is
small, the column is stable. However, as the compressive
load is gradually increased it is observed that at certain value
of this load, the column becomes laterally instable and this
lateral instability of column persists even after the applied
compressive load is removed. This lateral deflection is called
buckling, which consequently develops non-uniform stress
2.7 Problems in Compression Test
in the column due to its bending. This condition may lead to
sudden complete failure at an applied compressive stress
which will be lower than the true compressive strength of the
column material. Therefore, care must be taken in the design
of column so that it can bear safely the axially applied
compressive load without acquiring a bent configuration.
2.7.1.1 Critical Column Stress
Due to imperfections, no column is really straight and starts
to buckle at some critical compressive load applied along its
longitudinal axis. The magnitude of the maximum applied
compressive load at which the column begins to buckle is
called the buckling load or critical load for buckling, which
has been denoted by Pcr . So, it is important to know the
critical load for a column to resist its buckling. Let us con-
sider that buckling has occurred in a slender pin-ended
column, which is shown in Fig. 2.10. Euler’s column for-
mula showing critical load for buckling of a slender
pin-ended long column, assuming linear elasticity, is given
as (Timoshenko and Young 1968):
Euler buckling load,
p2 EC I
Pcr ¼ ð2:18Þ
L20C
where
Pcr maximum or critical axial load on the column just
prior to the onset of buckling;
EC Young’s modulus of elasticity in compression;
I the minimum value of moment of inertia of the
column’s cross-section about an axis lying on its
cross-section;
L0C unsupported initial length of the long column, whose
ends are pinned
Equation (2.18) shows that Pcr for a given column is
directly proportional to EC I; called flexural rigidity, and
inversely proportional to the square of the length L0C of the
column, but independent of the compressive strength of
column material. Thus, two geometrically identical slender
columns made of the same metal, one of high strength and
the other of low strength, will fail by buckling at nearly the
same value of the load since their moduli of elasticity remain
relatively unchanged. It must therefore be noted that the
P P
L0 /2 L0 /2
C C
Longitudinal axis of column
Fig. 2.10 Deflection of a slender pin-ended column due to applied
compressive load
107
‘strength’ of a long column that behaves elastically is not
dependent upon the compressive strength of the material, but
only on its geometry and the stiffness of the column material.
Equation (2.18) further shows that if the moment of inertia
I of the cross-section of a long column is increased the column
strength may be increased. Increase in I without increasing the
cross-sectional area may be accomplished by distributing the
material as far as possible from the principal axes of the
cross-section. Hence, it is more economical to use tubular
sections as compression members than solid sections. The
stability of the column may be increased by increasing the
transverse dimensions and reducing the wall thickness of such
tubular sections. However, if the wall thickness is diminished
below a certain limit, the column as a whole may not buckle,
but the wall itself may be unstable leading to the buckling of
the longitudinal elements of the column. This results in a
corrugation of the tube-wall, called local buckling.
The critical compressive engineering stress, Scr ; at which
the long column with pinned ends begins to buckle can be
obtained from (2.18) by dividing with the initial
cross-sectional area A0C of the column.
Critical column stress,
# $
P p2 EC I p 2 EC
Scr ¼ ¼ 2 ¼ % pffiffiffiffiffiffiffiffiffiffiffi&2
A0C cr L0C A0C L2 A0C =I
0C
p2 EC p2 EC
¼ % pffiffiffiffiffiffiffiffiffiffiffi&2 ¼ % &2 ð2:19Þ
L20C = I=A0C L0C =q0C
where
pffiffiffiffiffiffiffiffiffiffiffi
q0C radius of gyration of the cross-section = I=A0C ;
and
L0C =q0C slenderness ratio of the column. It is a measure of
the column’s flexibility.
If (2.19) is plotted with slenderness ratio as abscissa and
the critical column stress as ordinate, it gives the curve ABC,
as shown in Fig. 2.11, which is called Euler’s curve. For a
column of any given slenderness ratio, this curve provides
the corresponding value of the critical column stress Scr ; for
which the column becomes laterally unstable. A column can
fail by buckling, yielding or a combination of both. To
prevent such failure, the compressive stress applied to the
column must remain underneath the curve ABSplC in
Fig. 2.11, where SplC is the compressive proportional limit of
the column material.
Equations (2.18) and (2.19) are not applicable to com-
pressive deformation beyond the linear elastic region of the
column. Since the elastic behaviour of material was assumed
at the beginning of lateral buckling, we conclude that (2.19)
is valid only if the critical column stress Scr is equal to or
lower than the compressive yield strength S0C , or truly
speaking, compressive proportional limit SplC of the column
108 2 Compression

Scr Critical buckling load for short column,

C
p2 ETC I
PcrShort ¼ ð2:21Þ
L20C
Splc B Critical buckling stress for short column,
2
Ec p2 ETC
Scr= ScrShort ¼ % &2 ð2:22Þ
(L0c / ρ0c )2 L0C =q0C

Equation (2.22) may also be applied to the material

A exhibiting nonlinear elastic region as there is no proportional
L0c EC
ρ0c Splc
Fig. 2.11 Euler’s curve showing critical column stress versus slen-
derness ratio
material, i.e. for engineering purpose, Scr ' S0C ; or more
correctly, Scr ' SplC . For a given column, the lower the
slenderness ratio L0C =q0C ; the higher is the critical column
stress Scr ; given by (2.19). Hence, the limiting value of the
slenderness ratio below which Euler’s column formula does
not apply and the column undergoes inelastic compressive
deformation is obtained by setting Scr ¼ SplC as follows:
p2 EC
% &2 ¼ SplC
L0C =q0C
sffiffiffiffiffiffiffi
L0C EC
) ¼p
q0C SplC
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Column, for which L0C =q0C \p EC =SplC is called short
column that requires critical column stress for buckling
higher than the proportional limit. This value of L0C =q0C ;
given by (2.20), is represented by point B on the curve in
Fig. 2.11 and marks the boundary between the long and
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
short columns. Thus for L0C =q0C \p EC =SplC ; the com-
limit, and Young’s modulus does not exist in such case. Use
L0c
of (2.22) to resist buckling of short column is associated with
ρ0c
the estimation of ETC ; which itself depends on the critical
stress ScrShort for short column, whereas for a given value of
ETC ; ScrShort is a function of the slenderness ratio L0C =q0C ; as
shown by (2.22). Now the following procedure, which is an
indirect approach, explains how to obtain the magnitudes of
ScrShort from (2.22) for different values of L0C =q0C .
First, a stress–strain curve of the desired material in
tension, assuming that the curve holds for compression also,
is taken. This curve is shown schematically in Fig. 2.12.
Then the slope of this curve at each point of stress on the
curve is computed. This slope is the tangent modulus ETC of
the material in tension as well as in compression and a curve
of ETC versus the corresponding stress is drawn on the same
plot of stress–strain diagram, as shown in Fig. 2.12. From
the tangent modulus versus stress curve, several values of
ETC and its corresponding stresses are selected. From each
pair of values of ETC and stress, the corresponding
ð2:20Þ
0 Tangent modulus
Tangent modulus
vs. stress curve
Stress – strain curve
Stress

pressive stress in a pin-ended short column will reach the

proportional limit before lateral buckling can occur and
(2.19) becomes inapplicable. For this reason, the part BC of
the Euler’s curve in Fig. 2.11 is represented by a dotted line;
only the part AB is valid.
Linear elastic region
Since Hook’s law cannot be applied to the buckling of
short column, as well as to the material exhibiting nonlinear
elastic region, (2.18) and (2.19) have to be modified by 0
0 Strain
substituting instantaneous stiffness, measured by tangent
modulus ETC ; in place of Young’s modulus EC . Thus for Fig. 2.12 Schematic plot of tangent modulus versus stress, computed
short columns, (2.18) and (2.19) take the following forms from stress–strain curve for a desired material in tension as well as in
that agree well with the experimental findings. compression
2.7 Problems in Compression Test 109

slenderness ratio L0C =q0C is calculated by putting the stress stresses. Therefore, compression of a short length spec-
value in place of the critical stress ScrShort and its corre- imen causes an increase in the axial compressive load
sponding value of ETC in (2.22). Now for various values of required for deformation, which in turn requires a testing
L0C =q0C ; their corresponding critical stresses [the stresses, machine of a relatively higher capacity. The fact that the
which have been substituted in (2.22)] are available and if axial load for compression increases with increasing the
required, a plot of ScrShort versus L0C =q0C can be made from ratio of initial diameter D0C to initial length L0C i.e.
which the critical stress can be determined for any given D0C =L0C of the specimen has been explained earlier in
value of slenderness ratio. Sect. 2.4 and also shown in Fig. 2.5.

2.7.1.2 Remedial Measure Against Buckling

To resist buckling failure of the specimen during its com-
pressive deformation, the critical column stress in the linear 2.7.2 Barreling
elastic region or the critical buckling stress in the inelastic or
in the nonlinear elastic region must be greater than the axial Although lateral expansion at both ends of the specimen is
compressive stresses to be applied during the test. To ensure opposed by the frictional forces developed at the contact area
higher value of Scr and ScrShort ; the slenderness ratio L0C =q0C between the specimen and the compression plates during its
must be decreased to a quite low value as evident from compressive deformation as discussed earlier in Sect. 2.4,
(2.19) and (2.22). For a round cross-section, if D0C = the the material at the mid-length of specimen can uninterrupt-
initial diameter of the specimen, the radius of gyration of the edly flow outward that leads to lateral expansion of the
cross-section, central portion of specimen. This condition, known as end
restraint, tries to retain both ends of a compression specimen
qffiffiffiffiffiffiffiffiffiffiffi rffi'ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi(ffiffiffiffiffiffiffiffi'
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi(ffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffi
near their initial dimensions while the middle part expands,
q0C ¼ I=A0C ¼ pD0C =64 $ 4=pD20C ¼ D20C =16
4
resulting in a barreled specimen profile, as shown in
¼ D0C =4; Fig. 2.13. Sometimes, both ends of the specimen may be
completely prevented from lateral expansion. During longi-
which means q0C / D0C . Therefore, the slenderness ratio is tudinal compression of a cylindrical specimen with initial
% & diameter of D0C ; the expansion in the transverse direction,
L0C =q0C / ðL0C =D0C Þ: So to avoid buckling, a cylindrical
i.e. the increase in diameter DDC is:
specimen must have a low value of the ratio of
L0C ðinitial lengthÞ=D0C ðinitial diameterÞ: Hence to eliminate DDC ¼ DC % D0C ¼ D0C eTC ¼ D0C ð%m eLC Þ ¼ jD0C m eLC j;
the probability of lateral instability, ASTM short specimen
(see Sect. 2.2) can be used provided barreling is ignored. where DC = instantaneous diameter of the specimen,
This short length specimen is used in the standard quality eTC = transverse engineering strain, m = Poisson’s ratio and
control tests of brittle materials when a comparison of results eLC = longitudinal engineering strain.
on different specimens is only required. Hence, tests on short
length specimens can provide useful comparison between
materials. Although a short length specimen provides a
better stability of the test piece under compression, it has the
following limitations:

1. It is difficult to measure strain with precision from such a

test piece of smaller length because the circumferential
surface of a short length specimen under compression
will take a barrel-shaped profile.
2. The capacity of the testing machine for compressing a
short length specimen must be large, the reason of which
is explained below. The ASTM short specimen is a
cylinder with L0C ’ 0:9 ( D0C or a 2-in. (50.8 mm) cube.
So, the cross-sectional area to length ratio of a short
specimen is relatively larger than that of a medium length
or a long specimen (see Sect. 2.2). Hence, a short length
specimen undergoing reduction in length under uniaxial
compression will be in a state of triaxial compressive Fig. 2.13 Barreled specimen profile resulting from end restraint
110
2.7.2.1 Remedial Measures Against Barreling
1. Use of Specimen with Higher L0C ðInitial LengthÞ=D0C
ðInitial DiameterÞ Ratio
Recalling the fact that the transverse restraining compressive
stresses developed due to friction at both ends of the spec-
imen vanish at a distance of roughly equal to the initial
diameter D0C ; from any end of the specimen, the lower limit
for a cylindrical specimen is L0C =D0C ¼ 2; which is the
minimum requirement to avoid the end restraint. The spec-
imen with this minimum dimensional ratio is used for con-
crete and mortar. For metallic materials, ASTM
medium-length specimen with L0C =D0C ¼ 3 (see Sect. 2.2)
can be used. There will be a region in the middle of this
specimen, which is free from the influence of end restraint
and subjected to uniaxial compression. The length of this
region ’ L0C % 2 ( D0C ’ D0C : Hence, about one diameter
long central region of this specimen is experiencing simple
compression over which strains can satisfactorily be mea-
sured. For more accurate results in strain measurements,
ASTM long specimens (see Sect. 2.2) may be used. As the
ratio L0C =D0C of the specimen is increased, the tendency
towards buckling increases. To avoid the danger from
bending of long specimen, it is required to machine the
specimen more precisely and reduce the eccentricity in
loading to the minimum level. Again, as the ratio L0C =D0C of
the specimen is decreased, the effect of the end restraint
becomes predominant. The right selection of the ratio
L0C =D0C for a compression specimen thus becomes a com-
promise between high L0C =D0C to avoid the effects of end
restraint and low L0C =D0C to resist buckling. It may be
concluded that the most satisfactory compromise is to adopt
the ASTM medium length specimen with L0C =D0C ¼ 3.
2. Proper Lubricant Applied in the Fine Concentric
Grooves Made in Both Ends of Specimen
The friction at the specimen–anvil contact surfaces can be
reduced (van Rooyen and Backofen 1960; Pearsall and
Backofen 1963) by applying lubricant at both ends of the
specimen and using hardened anvils with smooth surface
finish. Usually, lubricants used are Teflon sheet or graphite
dispersed in paraffin oil for cold deformation and molten
glass or mixture of molybdenum disulphide and graphite for
hot deformation, although proper lubricant to be used must
be decided experimentally. But the problem is that under
high contact pressure, the lubricant tends to flow outward at
the ends of the compression specimen and develops lateral
stresses acting outward, i.e. in a direction opposite to that of
the friction stresses. Hence, this lateral outward stresses are
2 Compression
of tensile in nature constituting triaxial state of stress with
the axially applied compressive stress rC . As yielding of
material takes place under compressive stress, in the present
context it is assumed that the compressive stress is positive
and the tensile stress is negative. Hence, r0 ¼ r0C ; r1 ¼
rC and r2 ¼ r3 ¼ %sT ; because sT is the shear stress in
tension. With the help of Von Mises’ yielding criterion given
by (1.64), we get
1 h i1=2
r0C ¼ pffiffi ðrC þ sT Þ2 þ ð%sT þ sT Þ2 þ ð%sT % rC Þ2
2
1 h i1=2
¼ pffiffi 2 ðrC þ sT Þ2 ;
2
Or, r0C ¼ rC þ sT ; or; rC ¼ r0C % sT ; i:e: rC \r0C
ð2:23Þ
The above (2.23) shows that there is a weakening of the
material near the anvil surfaces instead of a strengthening, as
shown earlier by (2.1). Consequently, this lateral tensile
stress sT causes the compression specimen to split longitu-
dinally. This longitudinal splitting may be avoided by
making fine concentric grooves in both ends of the speci-
men. The grooves must uniformly be spread over the entire
contact surfaces of the specimen. The grooves are introduced
to retain the lubricant applied at the contact surfaces so that
the outward flow of lubricant is prevented. In spite of this,
the test is carried out in increments so that the lubricant can
be replaced at intervals (Hsu 1969). The kind of lubricant
applied and the size and shape of the grooves have to be
established through experiment. This above approach can
almost eliminate the barreling effect in ductile specimens.
Using the above technique, one can reach a compressive
strain value of about e ¼ 1:0 with a slight amount of
barreling.
3. Shaping the Anvils and the Ends of the Specimen in
the Form of a Cone
Shaping the anvils and the ends of the specimen introduces
an outward force which will just balance the inward friction
force if the contact surface is shaped in the form of a cone in
such a way that the normal to the conical surface makes an
angle equal to the angle of friction f with the longitudinal
axis of the specimen. The angle of friction f is related to the
coefficient of friction l at the anvil–specimen contact sur-
faces as f ¼ tan%1 l:
Figure 2.14 shows the forces exerted by the anvil on an
elemental initial area DA0C at the specimen–anvil interfaces
for two specimens made of same material—one with plane
ends and another with conical ends.
Let, SC = compressive stress applied along the longitu-
dinal axis of the specimen;
2.7 Problems in Compression Test 111

(a) (b)
Compressive stress, SC
Compressive stress, SC

Anvil ∆Rc
Anvil f
f

NC ∆A0

∆A 0
∆RC
A 0 f = angle of

NC
τC ∆A0 τ C∆
friction
∆A0 NC = SC
τC = µNC ∆A0
Specimen τ ∆RC =
tan f = C = µ Specimen
NC SC ∆A0

Fig. 2.14 Method to get rid of barreling of specimen in compression normal to the conical surface makes an angle of friction f with the
by eliminating lateral compressive stresses. a Specimen with flat ends longitudinal axis of the specimen, barreling will not occur
where barreling may occur. b Specimen with conical ends, where if the

NC = normal stress or pressure exerted by the applied of material at both ends of specimen. Hence, barreling is
compressive stress SC on the elemental initial area DA0C of developed by unhindered lateral expansion at the central
the specimen; portion of specimen having plane ends.
sC = tangential shearing friction stress developed at the For specimen having conical ends, the normal stress NC is
anvil–specimen interface if it is assumed that the outward inclined at an angle of f (angle of friction) to the direction of
thrust for lateral expansion of the specimen is enough to applied compressive stress SC and therefore,
produce some slipping between the end of specimen and the
anvil; NC ¼ SC cos f :
According to Coulomb’s law of sliding friction, So from (2.25), the resultant force for specimen with
conical ends is given by
frction stress ¼ coefficien of friction $ normal stress;
Or; sC ¼ l NC ¼ tan f NC SC cos f DA0C
ð2:24Þ DRC ¼ ¼ SC DA0C ð2:27Þ
cos f
Let, DRC = resultant force developed due to the action of Hence, (2.27) shows that the magnitude of the resultant
normal force, NC DA0C ; and friction force, sC DA0C ; on the force DRC is same as that of the applied compressive force.
elemental initial area DA0C of the specimen. For specimens Further, the direction of resultant force DRC is parallel to that
with plane ends as well as conical ends, the resultant force DRC of the applied compressive stress SC ; because both DRC and
is inclined to the direction of the normal stress NC ; at an angle SC make the same angle of f (angle of friction) with the
of f (angle of friction). Hence, we get the resultant force as direction of the normal stress for specimen with conical
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ends. Since the magnitude and direction of the resultant
DRC ¼ NC2 DA20C þ s2C DA20C ¼ DA0C NC2 þ ðlNC Þ2 ½using ð2:24Þ* force are the same as those of the applied compressive force,
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi NC DA0 so the action of the resultant force will be the same as that of
¼ DA0C NC 1 þ tan2 f ¼ C

cos f the applied uniaxial compressive force and the material at

ð2:25Þ both conical ends of the specimen will be subjected to
homogeneous compression, i.e. uniaxial state of compres-
For specimen with plane ends, the normal stress NC is sion. As a result, there will be unhindered lateral uniform
parallel to the longitudinal axis of the specimen, i.e. parallel expansion throughout the length of the specimen during its
to the direction of applied compressive stress SC and NC ¼ compression and barreling of the specimen will be com-
SC : So from (2.25), the resultant force for specimen with pletely eliminated.
plane ends is given by

DRC ¼ ðNC DA0C Þ= cos f ¼ ðSC DA0C Þ= cos f ð2:26Þ

2.8 Compressive Failure of Materials
Since DRC is inclined at an angle of f (angle of friction) to
the direction of applied compressive stress SC ; so the A material subjected to compressive load may usually fail in
resultant force acts inward to resist the lateral outward flow any one of the following ways:
112
1. If the applied compressive load exceeds the Euler
buckling load given by (2.18) in the linear elastic range
of the member or the critical buckling load for short
column shown by (2.21) in the nonlinear elastic range or
in the inelastic region of the member, there will be failure
due to lateral deflection of the member and it is called
buckling failure. It may happen in any material whether it
is ductile or brittle and porous or cellular.
2. When the applied compressive stress exceeds the yield
strength of the material but remains below the critical
buckling stress, there will be slip in the material.
(a) Failure in Ductile Materials
In a ductile material, slip leads to the formation of a barreled
specimen profile during its compression and barreling
increases with the applied compressive stress, provided that
the specimen must not buckle or bend. Excessive barreling
causes to develop secondary tensile stresses in the circum-
ferential direction of the specimen. These circumferential
tensile stresses produce surface cracks parallel to the loading
axis and thus tensile failure instead of compressive one will
occur in a ductile material. But if the ductile material could
be compressed homogeneously without any friction at the
contact surfaces, it would not bulge laterally even after a
large reduction of its length. In such case, no tensile stress
would develop in the circumferential direction and the
specimen would not crack.
(b) Failure in Brittle Materials
In a brittle material, slip leads to permanent rupture of
atomic or molecular bonds and ultimately causes fracture.
Fracture may occur completely along a single shear plane
known as shear fracture, or in the form of fragmentation,
which consists of a lot of small fractures on shear planes in
different directions. Usually, fracture occurs somewhat in
between these above two extremities. Further, if there is
unhindered lateral expansion at the ends of a brittle material,
it generally fails by longitudinal splitting into columnar
fragments called splitting failure or columnar fracture,
which is pronounced in short specimens.
In brittle materials like cast iron and concrete, shear
fracture occurs along the planes that extend from corner to
corner of the specimen. Slip does not occur on planes of
maximum shear stress whose normal is oriented at 45° to the
loading axis but planes of shear leading to fracture are near
those of maximum shear. Since internal friction as well as
cohesion resists failures in these materials, shearing planes
along which fractures take place are function of the angle of
internal friction u. The relation between the angle of fracture
h made by a shearing plane and the angle of internal friction
u is given in Fig. 2.15. Further, the angle of fracture h may
2 Compression
Strees
φ
θ θ = 45° –
2
φ
α = 45° + 2
α
Strees
Fig. 2.15 Relation between the angle of break, h, made by a shearing
plane and the angle of internal friction, u
deviate from the theoretical value due to the effect of end
restraint, which is more pronounced in a short specimen. For
specimens of adequate length, the values of a (see Fig. 2.15)
are observed to vary approximately between 50° and 60° for
several brittle materials, such as cast iron, concrete, sand-
stone and brick (Withey and Aston 1939). For discussions of
failure of granular materials whose internal friction resists
failures, the reader may see textbooks on soil mechanics
(Taylor 1948) or other literature (Endersby 1940).
The end restraint causes a cone-shaped region of stronger
undeformed material to remain internally near the ends of the
specimen, around which a weak zone of material exists at the
periphery of the specimen. The shear crack initiates at this
weak region and propagates from the edge at each end of the
specimen and ultimately meets in the centre of the specimen.
• Usually, cast iron breaks along an inclined diagonal
plane and this shear fracture is shown in Fig. 2.16a,
where the fracture occurs along the dashed line.
(a) Stress (b) Stress (c) Stress
Stress Stress Stress
Fig. 2.16 Types of compressive fractures of brittle materials, such as
cast iron, concrete and mortar or stone cubes. a Shear fracture, e.g. cast
iron and concrete. b Hourglass or shear cone fracture, e.g. concrete,
mortar or stone cubes. c Shear cone fracture with splitting above, e.g.
concrete
2.8 Compressive Failure of Materials
• Failures in cylindrical-shaped specimens of concrete,
mortar or stone cubes commonly occur along conical
shear surface forming the shear cone fracture, sometimes
called an hourglass fracture, as shown in Fig. 2.16b,
where the curved dashed line indicates the fracture path.
If the cross-section of specimen is of square or rectan-
gular shape, the hourglass fracture will have a
pyramidal-shaped fracture instead of a cone-shaped
fracture as observed for a cylindrical specimen.
• In addition to the hourglass fracture, concrete may either
fracture along an inclined diagonal plane showing shear
fracture like cast iron, as shown in Fig. 2.16a or show
the shear cone fracture with longitudinal splitting above,
as shown in Fig. 2.16c, where the fracture path is dis-
played by the dashed line.
3. Failure in Wood
Wood is a fibrous and cellular material where the constituent
cells align themselves forming a series of columns along the
longitudinal direction of the grain of wood. The rupture of
the cell walls causes individual collapse of columnar fibres.
On applying compressive load parallel to the grain of wood,
various types of failure are observed in wood as described
below:
• The plane of fracture is nearly horizontal, known as
crushing failure.
• The plane of rupture makes an acute angle, usually about
45°, with horizontal, called shear failure.
• Fracture into columnar pieces occurs roughly parallel to
the grain of wood, and this longitudinal separation is
called splitting failure.
• If the direction of splitting is radial or tangential, it is
known as wedge split failure.
• Fracture path initially takes a shear plane followed by
longitudinal separation parallel to the grain of wood and
finally again changes to a shear plane causing complete
separation of the member. This may be termed as
shearing and splitting failure.
2.9 Solved Problems
2.9.1. Assume that the flow curve of certain ductile steel in
tension is identical to that in compression. If UTS of the steel
is 414 MPa and uniform engineering tensile strain is 0.16,
compute the engineering stress and strain in compression
corresponding to the values given in tension, assuming
constancy in volume.
113
Solution
UTS, Su = 414 MPa, and uniform engineering tensile strain,
eu = 0.16.
From (1.120), the true tensile strength is:
ru ¼ Su ð1 þ eu Þ ¼ 414ð1 þ 0:16ÞMPa ¼ 480:24 MPa:
From (1.134), the true uniform tensile strain is:
eu ¼ lnð1 þ eu Þ ¼ ln ð1 þ 0:16Þ ¼ 0:14842:
Since as per given condition, the true stress and true strain
in compression are identical to those in tension, so com-
pressive true stress rC ¼ ru ¼ 480:24 MPa and compressive
true strain eC ¼ eu ¼ 0:14842:
Hence, the desired engineering stress in compression
corresponding to the given UTS value can be obtained from
(2.10) and is given below:
SC ¼ rC exp ðeC Þ ¼ 480:24 $ exp ð0:14842Þ MPa
¼ 557:078 MPa:
Similarly, the desired engineering strain in compression
corresponding to the given uniform engineering tensile strain
value can be obtained from (2.5) and is given below:
1 1
eC ¼ 1 % ¼1%
exp ðeC Þ exp ð0:14842Þ
¼ 0:1379 or 13:79%:
2.9.2. When a uniaxial compressive load of 6 $ 105 kgf is
applied to the top surface of a well-lubricated solid cube of
side 100 mm, the cube just yields. What load would be
required to produce yielding if the surfaces of the cube other
than the top surface were constrained by compressive loads
1:5 $ 105 kgf and 3 $ 105 kgf? Neglect the frictional
effects.
Solution
Given that the uniaxial yield load in compression, PyC ¼
6 $ 105 $ 9:807 N ¼ 5;884;200 N; the area of each face of
the cube AC ¼ 100 $ 100 mm2 ¼ 104 mm2 :
Hence, yield stress in compression,
PyC 5;884;200
r0C ¼ ¼ N mm%2 ¼ 588:42 N mm%2 :
AC 104
The problem states the cube is subjected to a triaxial state
of stress, and it is asked to determine the compressive load
required for yielding under such condition. Let this load be
P1C and the corresponding compressive stress is r1C . Other
constraining compressive loads given are:
114 2 Compression

P2C ¼ 1:5 $ 105 $ 9:807 N ¼ 1;471;050 N and Alternative Computation of r1C in case of Von Mises’
yielding criterion:
P3C ¼ 3 $ 105 $ 9:807 N ¼ 2;942;100 N:
Here, calculations of r2C and r3C are not needed. Only
Hence, other constraining compressive stresses are: calculation of yield stress in compression, i.e. r0C is required
to determine r1C from Von Mises’ yielding criterion,
P2C 1;471;050 because loads given in the problem are such that
r2C ¼ ¼ N mm%2 ¼ 147:105 N mm%2 :
AC 104 P2C :P3C :PyC ¼ 1:2:4; and the area AC of each face of the
P3 2;942;100 cube is constant, which means r2C :r3C :r0C ¼ 1:2:4; i.e.
r3C ¼ C¼ N mm%2 ¼ 294:21 N mm%2 :
AC 104 r2C ¼ r0C =4; and r3C ¼ r0C =2:
Hence, from Von Mises’ yielding criterion (1.64):
For yielding under triaxial stress condition, yielding cri-
terion is to be considered and the value of the required load ' r0 (2 'r0C r0C (2
for yielding depends on the yielding criterion selected. r1C % C þ %
4 4 2
According to Tresca yielding criterion (1.68a), yielding in 'r (2
0C
compression will occur when þ % r1C ¼ 2r20C :
2
r0 r1 r20 r20 r20
r1C % r2C ¼ r0C : or, r21C % C C þ C þ C þ C
2 16 16 4
Hence according to Tresca yielding criterion, % r0C r1C þ r21C % 2r20C ¼ 0;
3 13
r1C ¼ r0C þ r2C ¼ 588:42 þ 147:105 ¼ 735:525 N mm%2 : or, 2r21C % r0C r1C % r20C ¼ 0;
2 8
Therefore, load required to cause yielding is: Hence,
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi'ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi(ffiffi
735:525 $ 104
P1C ¼ r1C $ AC ¼ 735:525 $ 104 N ¼ kgf %ð%1:5r0C Þ + ð%1:5r0C Þ2 %4 $ 2 %1:625r20C
9:807
¼ 7:5 $ 105 kgf: r1C ¼
pffiffiffiffiffiffiffiffiffiffiffi 2$2
1:5 + 15:25
According to Von Mises’ yielding criterion (1.64), ¼ ( r0C
4
yielding in compression will occur when ¼ 1:35128 ( r0C ¼ 1:35128 $ 588:42 N mm%2
ðr1C % r2C Þ2 þ ðr2C % r3C Þ2 þ ðr3C % r1C Þ2 ¼ 2 r20C : ¼ 795:12 N mm%2 ; ðneglecting negative valueÞ:

Hence according to Von Mises’ yielding criterion, Therefore, load required to cause yielding is:

ðr1C % 147:105Þ2 þ ð147:105 % 294:21Þ2 795:12 $ 104

P1C ¼ r1C $ AC ¼ 795:12 $ 104 N ¼ kgf
þ ð294:21 % r1C Þ2 ¼ 2 $ 588:422 ; 9:807
¼ 8:108 $ 105 kgf:
or, r21C % 294:21r1C þ 21639:88 þ 21639:88
þ 86559:52 % 588:42r1C þ r21C ¼ 692476:193; 2.9.3. An 18 m long pin-ended column of square cross-
section, made of copper metal, can withstand an application of
or, 2r21C % 882:63r1C % 562636:913 ¼ 0; a maximum compressive stress of 11 MPa acting normal to its
Hence, cross-section. Young’s modulus of copper is 110 GPa. Using
a factor of safety of 2.5 in computing Euler’s critical load for
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
buckling, determine the cross-sectional dimension of the
%ð%882:63Þ + ð%882:63Þ2 % 4 $ 2 ð%562636:913Þ
r1C ¼ column if the column can safely sustain the following com-
2$2 pressive loads applied along its longitudinal axis:
¼ 795:12 N/mm2 ; ðneglecting negative valueÞ:
(a) 900 kN and
Therefore, load required to cause yielding is: (b) 1800 kN.
795:12 $ 104 Solution
P1C ¼ r1C $ AC ¼ 795:12 $ 104 N ¼ kgf
9:807
¼ 8:108 $ 105 kgf: Let the dimension of the square cross-section is a. Hence,
the minimum value of moment of inertia about an axis lying
on its cross-section is I ¼ a4 =12:
2.9 Solved Problems 115

rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
(a) Buckling Criterion 4 4:5 $ 10 $ 18
6 2
or; a , $ 12 m
p2 $ 110 $ 109
According to given condition, critical load for buckling,
¼ 0:3563 m ¼ 356:3 mm:
Pcr , factor of safety $ applied compressive load Stress Criterion
¼ 2:5 $ 900 kN ¼ 2:25 $ 106 N:
applied compressive load
From Euler’s column formula for critical load, given by Cross-sectional area ¼ a2 ,
allowable compressive stress
(2.18) 1800 kN 1800 $ 103 2
¼ ¼ m :
11 MPa 11 $ 106
p2 EC I
, 2:25 $ 106 N:
L20C rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1800 $ 103
) a, m ¼ 0:4045 m ¼ 404:5 mm:
where EC ¼ 110 GPa ¼ 110 $ 109 N=m2 and L0C ¼ 18 m: 11 $ 106
% & We must select the maximum value of a from the results
a4 2:25 $ 106 L20C 2:25 $ 106 $ 182 4
)I¼ , ¼ m : obtained by these above two criteria. Hence, the dimension
12 p2 EC p2 $ 110 $ 109
of square cross-section of the column will be a , 404.5
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi mm. In this case, the stress criterion is considered for the
4 2:25 $ 10 $ 18
6 2
or, a , 2 9
$ 12 m design of the column.
p $ 110 $ 10
¼ 0:2996 m ¼ 299:6 mm: Exercise
Stress Criterion
2.Ex.1. If the engineering stress and engineering strain in
applied compressive load 2
Cross-sectional area ¼ a , compression are, respectively, 300 MPa and 30%, calculate
allowable compressive stress the corresponding values of compressive true stress and
900 kN 900 $ 103 2
¼ ¼ m : compressive true strain.
11 MPa 11 $ 106
2.Ex.2. Calculate the true stress (in MPa) and true strain for
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi a cylindrical specimen of 10 mm diameter and 15 mm
900 $ 103
) a, m ¼ 0:286 m ¼ 286 mm: height, which is homogeneously compressed to one-third of
11 $ 106
its original height by applying a maximum load of 150 kN.
We must select the maximum value of a from the results Assume that volume remains constant.
obtained by these above two criteria. Hence, the dimension
2.Ex.3. A rod of 25 mm diameter is homogeneously com-
of square cross-section of the column will be a , 299.6
pressed within its linear elastic range to reduce its length by
mm. In this case, the buckling criterion is considered for the
1 mm at an engineering stress of 50 MPa. If the speed of the
design of the column.
machine is 5 mm s−1, what will be the power required for
the test?
(b) Buckling Criterion
2.Ex.4. If a cylindrical specimen of initial length 20 mm is
According to given condition, critical load for buckling, homogeneously compressed with a constant true strain rate
of 0:01 s%1 ; what will be the length of the above specimen
Pcr , factor of safety $ applied compressive load after a period of 1 min from the start of the compression
¼ 2:5 $ 1800 kN ¼ 4:5 $ 106 N: test? Neglect the effect of elastic deformation of the testing
machine on flow properties.
From Euler’s column formula for critical load, given by
(2.18) 2.Ex.5. A cylindrical specimen of initial length 70 mm is
homogeneously compressed maintaining a constant true
p2 EC I strain rate till the end of compression test. If the initial
, 4:5 $ 106 N:
L20C cross-head velocity of the machine is 10%1 mm=s; what will
% & be the cross-head velocity after a period of 5 min from the
a4 4:5 $ 106 L20C 4:5 $ 106 $ 182 4 start of the compression test? Neglect the effect of elastic
)I¼ , ¼ 2 m :
12 p2 EC p $ 110 $ 109 deformation of the testing machine on flow properties.
116
2.Ex.6. If a homogeneous compression test with a constant
cross-head speed of the machine requires 5 min to produce
40% compressive engineering strain in a specimen with an
initial length of 100 mm, neglecting the effect of elastic
deformation of the testing machine on flow properties what
will be the
(a) Engineering strain rate in the test?
(b) True strain rate at 40% compressive engineering strain?
(c) Cross-head velocity of the machine?
2.Ex.7. Assume that the flow curve of certain ductile metal
in tension is identical to that in compression. If the metal is
found to follow Hollomon parabolic true stress–strain rela-
tion in tension with strain-hardening exponent of 0.35 and
strength coefficient of 450 MPa, compute the engineering
stress and strain in compression corresponding to the true
tensile strength and the uniform true tensile strain of the
metal, assuming constancy in volume.
2.Ex.8. A steel bar of rectangular cross-section, with breadth
of 50 mm and height of 25 mm, is used as a pin-ended long
column. If Young’s modulus of steel is 207 GPa, and the
proportional limit in compression is 207 MPa, compute the
following:
(a) Critical compressive stress for buckling of the long col-
umn, if it is 1.2 m long.
(b) Minimum length of the long column for which Euler’s
column formula can be applied.
2.Ex.9. A worked alloy steel tube with outer diameter of
50 mm and wall thickness of 3 mm is to be used as a long
column with pinned ends. If Young’s modulus of the alloy
steel is 207 GPa, and the proportional limit in compression
is 1100 MPa, determine the following:
(a) Critical compressive stress for buckling of the long col-
umn, if it is 3.6 m long.
(b) Minimum length of the long column for which Euler’s
equation applies.
2.Ex.10. Indicate the correct or most appropriate answer
from the following multiple choices:
(a) The failure of concrete under compression test will
show a
(A) Cup and cone fracture; (B) Helical fracture;
(C) Hourglass fracture; (D) Flat fracture.
(b) As compared to the engineering stress–strain curve in
compression, the true stress–strain curve in compression is
(A) below and to the left; (B) below and to the right;
(C) above and to the right; (D) above and to the left.
2 Compression
(c) Even when length to diameter ratio of a cylindrical
compression sample is nearly one, purely compressive fail-
ure that is buckling occurs for
(A) concrete; (B) gray cast iron;
(C) stone cube; (D) wooden cork.
(d) If a plastic specimen with cross-sectional area of 6 mm2
and height of 20 mm is uniformly compressed to 12 mm
without any lateral buckling and barreling of the specimen,
the cross-sectional area of that specimen after compression
will be:
(A) 6 mm2; (B) 8 mm2; (C) 10 mm2; (D) 12 mm2.
(e) The flow stress of a ductile metal is 200 MPa in tension
as well as in compression. If the metal is subjected to
compressive stress of r2 ¼ r3 ¼ 50 MPa laterally along the
second and third principle directions, the metal yields when
the longitudinal stress in the first principal direction is:
(A) r1 = 200 MPa in tension, or, r1 = 150 MPa in
compression;
(B) r1 = 150 MPa in tension, or, r1 = 200 MPa in
compression;
(C) r1 = 150 MPa in tension, or, r1 = 250 MPa in
compression;
(D) r1 = 250 MPa in tension, or, r1 = 150 MPa in
compression.
(f) Bauschinger effect is related to
(A) Decrease in yield strength when plastic deformation in
one direction is followed by deformation in the reverse
direction;
(B) Barreling under compression;
(C) Increase in yield strength when plastic deformation in
one direction is followed by deformation in the reverse
direction;
(D) Buckling failure in compression.
Answer to Exercise Problems
2.Ex.1. 210 MPa; 35.67%.
2.Ex.2. 636.62 MPa; 109.86%.
2.Ex.3. 61.36 W.
2.Ex.4. 10.976 mm.
2.Ex.5. 0.065 mm s−1.
2.Ex.6. (a) 1:33 $ 10%3 s%1 ; (b) 2:22 $ 10%3 s%1 ;
(c) 0:133 mm s%1 :
2.Ex.7. 442.22 MPa; 29.53%.
2.Ex.8. (a) 73.89 MPa; (b) 717 mm.
2.Ex.9. (a) 43.7 MPa; (b) 717.6 mm.
2.Ex.10. (a) (C) Hourglass fracture. (b) (B) below and to the
right. (c) (D) wooden cork. (d) (C) 10 mm2. (e) (C) r1 = 150
2.9 Solved Problems
MPa in tension, or, r1 = 250 MPa in compression. (f) (A)
Decrease in yield strength when plastic deformation in one
direction is followed by deformation in the reverse direction.
References
ASTM E9: Standard test methods of compression testing of metallic
materials at room temperature. Designation: E9–09, ASTM Inter-
national, West Conshohocken, Pa. (2009). https://doi.org/10.1520/
E0009-09
Bauschinger, J.: Zivilingur 27, 289–347 (1881)
Cooke, M., Larke, E.C.: J. Inst. Met. 71, 371–390 (1945)
Davis, H.E., Troxell, G.E., Wiskocil, C.T.: The Testing and Inspection
of Engineering Materials, 3rd edn, pp. 140–141. McGraw-Hill
Book Company, New York (1964)
Endersby, V.A.: The mechanics of granular and granular plastic
materials. Proc. ASTM 40, 1154–1173 (1940)
Freudenthal, A.M.: The Inelastic Behavior of Engineering Materials
and Structures. Wiley, New York (1950)
Hsu, T.C.: Mater. Res. Stand. 9(20–25), 47–53 (1969)
117
McQueen, H.J., Jonas, J.J.: Hot workability testing techniques. In:
Hoffmanner, A.L. (ed.) Metal Forming: Interaction between Theory
and Practice. Plenum Publishing Corporation, New York (1971)
Pearsall, G.W., Backofen, W.A.: Trans. ASME, Ser. D J. Basic Eng.
85, 68 (1963)
Polakowski, N.H.: Proc. ASTM 63, 535 (1963)
Richards, C.W.: Engineering Materials Science, p. 151. Wadsworth
Publishing Company Inc., Belmont, California (1961)
Rolfe, S.T., Haak, R.P., Gross, J.H.: Trans. Amer. Soc. Mech. Eng.
J. Basic Eng. 90, 403–408 (1968)
Seitz, F.: The Physics of Metals, 1st edn (Metallurgy and Metallurgical
Engineering Series). McGraw-Hill Book Company, New York,
London, p. 147 (1943)
Shackelford, J.F.: Introduction to Materials Science for Engineers, 3rd
edn, p. 390. Macmillan Publishing Company, New York (1992)
Taylor, D.W.: Fundamentals of Soil Mechanics. Wiley, New York
(1948). (Chaps. 13–15)
Timoshenko, S., Young, D.H.: Elements of Strength of Materials, 5th
edn (an east-west edn.). Litton Educational Publishing Inc., New
York, p. 272 (1968)
van Rooyen, G.T., Backofen, W.A.: Int. J. Mech. Sci. 1, 1–27 (1960)
Withey, M.O., Aston, J.: Johnston’s Materials of Construction, 8th edn,
p. 867. Wiley, New York (1939)
 Hardness
3

Chapter Objectives

• Classification of hardness measurement and precautions to avoid erratic

measurement.
• Measurement of hardness with Mohs’ scale, file test and Herbert pendulum.
• Brinell hardness: principle, method with loading period and derivation of expression
showing hardness. Indenters and loads for standard and non-standard tests. Condition
to obtain a constant hardness for the same material. Advantages and disadvantages.
• Meyer hardness: definition, expression and its load sensitivity. Meyer’s law and
condition to obtain the same hardness.
• Rockwell hardness: principle, loads, indenters, direct-reading hardness dial, hardness
scale, method of testing, expression showing hardness, and advantages.
• Rockwell superficial hardness: principle and expression showing hardness, hardness
scale, merits and demerits.
• Vickers hardness: principle, indenters and loads, derivation of expression showing
hardness, operational method, and minimum test piece thickness. Advantages and
disadvantages, and comparison with Brinell hardness.
• Microhardness (Knoop hardness): principle and derivation of expression showing
hardness, penetrators and loads, advantages and disadvantages.
• Monotron hardness: principle and expression, indenters and hardness scales,
advantages and disadvantages.
• Shore scleroscope: principle, mass effect of test piece and advantages.
• Poldi impact hardness: principle and expression, determination of Brinell hardness
with supplied table, advantages and disadvantages.
• Nanohardness: indenters, derivation of expression showing hardness with Berkovich
indenter, determination of contact depth of penetration, correction for machine
compliance, correction due to imperfect geometry of indenter tip, and errors due to
pile-up. Consideration of Martens hardness.
• Relationship to flow curve and prediction of tensile properties.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 119

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_3
120
3.1 Introduction
The term ‘hardness’ is a structure-sensitive mechanical
property of materials, primarily associated with the surface.
If a material is uniform in composition and structure, the
hardness measured on the surface layer will represent the
hardness of the bulk of the material. In general, the hardness
is defined as the resistance of a material to permanent or
plastic deformation of its surface, usually by indentation,
under static or dynamic load.
From the hardness measurement, one can determine the
tensile or the compressive flow curve of a ductile material up
to certain plasticity, if that ductile material does not show
high anisotropy of deformation. Empirical relation between
hardness and tensile strength of steel or yield strength of a
metal has also been developed. Shear stress–shear strain
diagram, as obtainable by the torsion test (Chap. 5), can be
achieved without carrying out the test if the tensile flow curve
of a material is known which may be obtained from the
indentation hardness data. The hardness tester can also be
used to generate constant-load creep curve of a material
(Chap. 7) at different stress levels, from which creep strength
can be determined. Endurance limit of a material found out
by the fatigue test (Chap. 8) is related to its tensile strength by
some material’s dependent known factor. Thus, hardness
measurement also helps to get the endurance limit. Hardness
tester is relatively inexpensive, and hardness measurement
requires relatively little experience in comparison to machi-
nes and test procedures for other types of test mentioned
above. Although hardness test cannot substitute the different
types of test mentioned above, it may give a rough idea about
the aforementioned different mechanical properties of a
material. Thus, the hardness test becomes the easiest way of
measuring strength property. Moreover, the quality level of
materials or products may be checked or controlled by the
hardness measurements. Often results of such measurements
become a determining factor in the acceptance or rejection of
products, especially in any heat-treating or hardening pro-
cess. Same materials are employed for different applications
depending on their hardness values. Thus, hardness mea-
surement plays an important role in both the fields of research
and routine shop or laboratory inspection. The hardness and
its measurement have been covered in details in a number of
publications (O’Neill 1935, 1967; Williams 1942).
3 Hardness
3.2 Classification of Hardness
Tool of material which causes deformation or indentation on
the surface of the specimen to be tested must be harder than
the test piece. This tool is usually known as indenter, and the
deformation mark or impression on the surface of the test
piece is called indentation. Depending on the manner in
which the hardness test is conducted, hardness may be
classified as follows:
(1) Indentation hardness—It is the resistance of a material
to permanent indentation under static or dynamic load.
Most of the hardness tests operate on indentation
principle. Names of such indentation hardness tests are
given below:
(i) Brinell; (ii) Meyer; (iii) Vickers (macro- and micro-
hardness); (iv) Rockwell (regular and superficial);
(v) Knoop (microhardness); (vi) Nanohardness (mostly
by Vickers and Berkovich indenters); (vii) Monotron;
(viii) Poldi; (ix) Herbert pendulum; etc.
(2) Rebound hardness—It is the resistance offered by a
material to strike and absorb energy for plastic defor-
mation under impact loads, causing the hammer to
rebound. Most common example is the ‘Shore sclero-
scope hardness test’ which measures the hardness in
terms of the rebound height of the indenter. It is vir-
tually an indentation test.
(3) Scratch hardness—It is the resistance of a material to
scratch by another material, for example Mohs’ scale of
hardness.
(4) Wear or abrasion hardness—It is the resistance of
a material to abrasion and wear, when subjected to
rotational or sliding motion, for example file hardness
test.
(5) Cutting hardness—It is the resistance of a material to
various cutting or drilling operations. This hardness is a
measure of machinability of a material. ‘Bauer drill
test’ is one of the various tests employed to determine
the cutting hardness or machinability of materials. In
this test, a special drill running at a constant speed and
pressure is used to make hole in the test piece, and the
depth of the hole made in a given time is reported as the
hardness of the material.
3.2 Classification of Hardness
Table 3.1 Classification of hardness tests
Direction of load Fixed load; variable indentation
application
Normal to surface of Static load
specimen
(a) Brinell
(b) Meyer
(c) Vickers (macro- and microhardness)
(d) Rockwell regular
(e) Rockwell superficial
(f) Knoop (microhardness)
(g) Nanohardness (Vickers and Berkovich
indenters)
Parallel to surface of (a) Herbert pendulum
specimen (b) Bauer drill (machinability test)
(c) File test
Hardness usually means indentation hardness, unless
specified otherwise. Indentation and rebound-type tests,
because of their simplicity, are most widely used as one of
the important quality control tests for metal. Depending on
the mode of load application during hardness measurement,
hardness tests can be classified as shown in Table 3.1.
3.3 Precautions to Avoid Erratic Hardness
Measurement
To avoid erratic hardness determination, a number of pre-
cautions, listed below, must be observed for the hardness
tests, to be discussed in the subsequent articles, particularly
where the direction of load application is normal to the
surface of specimen.
1. The indenter and anvil should be clean and well seated.
2. To prevent injury to the anvil and indenter, they should
not be brought into contact without a test specimen
between them.
3. The surface to be tested should be flat, smooth and per-
pendicular to the vertical axis of the indenter. So the
surface of the specimen must be prepared by belt
grinding and by polishing with emery papers. Diamond
polishing may be required particularly for very
small-sized indentation to facilitate its measurement.
4. The test surface should be dry and clean, which means it
should be free from oil, oxide scale, grit particles or foreign
materials and pits, particularly at the point of indentation.
Oiled surfaces generally give slightly lower hardness
readings than dry ones because of the reduced friction under
the indenting tool.
A pitted surface results in a low hardness reading because
some indentations form near the edge of a pit (a depression),
121
Variable load; fixed indentation
Dynamic load Static load Dynamic
load
(a) Shore (a) Monotron;
scleroscope (b) Wood-hardness tool
(b) Poldi
(a) Mohs’ scale of hardness
which permits a free plastic flow of material around the
indenter owing to lack of sufficiently available supporting or
constraining material.
Decarburized or re-carburized areas from the test surface
should first be removed by grinding, unless they themselves
are of primary interest, as hardness measurements on such
surfaces will not be representative of the entire test piece. In
doubtful cases, it is recommended that two or more tests be
made under different loading conditions until the results
check one another.
5. The bottom surface of test piece should be free from
scale, dirt or other foreign material that might crush or
flow under the test load, for which a portion of the
applied load might be consumed. So, the less amount of
load available for indentation will reduce the size of the
indentation for fixed load tests, or more amount of load
is required to obtain a fixed indentation size for constant
depth tests, anyone of which would result in a higher
hardness value of the specimen. So careful grinding of
the back side of the specimen or specimen mount is
required.
6. Specimens that have sufficient overhang so that they do
not balance themselves on the anvil should be properly
supported.
7. Minimum thickness of the test piece and anvil effect—In
general, the necessary minimum thickness of the test
piece will vary depending upon the relative hardness of
the metal and the magnitude of the applied load. It is
observed that the material of the test piece is plastically
deformed over an appreciable distance below the sur-
face of the indentation. From tests on a large variety of
materials, where the thickness of the test piece was less
than the ‘critical’ value, the National Bureau of Stan-
dards noted that for each indentation on the specimen, a
spot of altered surface was visible on the surface
122
opposite to the indentation surface. The ASTM speci-
fies that no hardness measurements on thin sections or
soft materials can be considered reliable if the com-
pression or indenter mark or bulge appears on the
reverse side of the test piece during indentation. It is
recommended that the thickness of the test piece should
be at least ten times the depth of the indentation. The
reason for such recommendation is that the hardness of
the test piece is influenced not only by the hardness of
the material at the point of indentation but also by the
hardness of the material below the point of indentation
up to at least ten times the depth of the indentation.
Consequently, if a soft layer or a hard surface is present
within this depth, the size of the indentation will,
respectively, be larger or smaller indicating a lower or a
higher hardness value of the specimen. Obviously if the
specimen supporting hard anvil is situated within the ten
times the depth of the indentation during testing of a thin
sample, the influence of the hard anvil, called ‘anvil
effect’, will cause noticeable reduction in the depth of the
indentation for fixed load tests, or increase the amount of
load required to obtain a fixed indentation depth for
constant depth tests, and result in a hardness higher than
when a thick sample of the same material is tested.
8. A single thickness of material should only be used for
testing. To increase the thickness of test piece if several
thin pieces of the same material are combined or clamped
for loading in a test, the tendency for relative movement
on the surfaces between the various pieces and lack of
flatness of the separate pieces will consume a portion of
the applied load for the sliding action as well as for the
flattening of the pieces on the anvil. Thus, the less amount
of load available for indentation will reduce the size of
the indentation for fixed load tests, or more amount of
load is required to obtain a fixed indentation size for
constant depth tests, anyone of which would result in a
higher hardness value of the specimen. So when thick
sample is not available, thin specimens to be clamped
must be completely flat and care must be taken during
clamping so that no sliding takes place under load.
9. Edge effect—If an indentation is made too near the edge
of the specimen, the lateral plastic flow of the material
along the specimen surface will be easier during loading
owing to lack of sufficiently available supporting or
constraining material near the edge and the indentation
may be both too large and unsymmetrical, called ‘edge
effect’, resulting in a lower hardness value of the speci-
men. So it is recommended that the distance from the edge
of the test piece to the centre of the indentation should be
at least 2.5 times the diameter of the indentation.
10. Effect of previous indentation—If the test piece is
indented too close to a previous indentation, the newly
3 Hardness
formed indentation may be either too large due to lack
of availability of sufficient constraining material near
the previous indentation or too small owing to
strain-hardening effect of the material caused by the
previous indentation. However, tests have shown that
one can get rid of the erroneous hardness measurement
if the spacing between the centres of the adjacent
indentations is equal to or greater than three times the
diameter of the previous indentation.
11. Curved or cylindrical surfaces—Test on the convex
side of a curved surface or on the outer surface of a
hollow cylindrical body or on the surface of a solid
cylinder causes a free plastic flow of material around
the indenter due to the lack of availability of con-
straining material at the point of indentation and will
produce a larger indentation resulting in a lower
hardness value than that obtained from test on a flat
surface. On the other hand, in the absence of any
proper support below the curved convex surface or
inside the hollow cylinder, a portion of the applied load
will be consumed for the compression of the curved
surface causing the amount of load available for the
indentation to become less for constant load tests,
or requiring higher amount of load for constant depth
tests. Any one of these will result in a higher hardness
value.
Test on the concave side of a curved surface or on the
inner surface of a hollow cylinder will produce a smaller
indentation and result in a higher hardness value due to the
restricted lateral plastic flow of the material caused by the
constraining material surrounding the point of indentation.
Indentation on the concave surface is preferable to that on
the convex surface if no proper support is provided below
the convex surface or inside the hollow cylinder to avoid
compression of the curved surface.
If comparative results are not desired in the testing of
curved surfaces or round sections, a flat spot for taking
indentation should be made on the curved or round surface
by either filing or grinding in order to avoid the above error
in the hardness measurement. Further, the test piece must be
appropriately clamped and a mandrel must be used as a
support wherever necessary.
12. Effect of vibration—If the base on which the hardness
machine is mounted is subjected to vibration during
moving the operating handle for application of load or
otherwise, the hardness value will be too low, since the
indenter will sink farther into the material than when
such vibrations are absent. In such case, felt or rubber
washers should be placed beneath the machine in order
to absorb the vibration.
3.3 Precautions to Avoid Erratic Hardness Measurement
13. Speed of load application—The speed of application of
the load should always be standardized through
adjustment of an oil-dashpot arrangement in the
machine. A rapid rate of applying the load affects the
size of the indentation in the following two ways:
(i) The inertia effect of the weights due to sudden
application of the entire load causes a momentary
rise of the load above the selected or preset load
and consequently enlarges the indentation.
(ii) A rapid rate of indentation allows less time for the
plastic flow of the material, resulting in a decreased
size of the indentation.
Tests have shown that the error due to inertia effect is
much more than that due to an insufficient period of loading
for plastic flow to occur. Thus, rapid rate of load application
would cause an increased indentation size and lower the
hardness value. The rate of load application may be stan-
dardized with the help of standard specimen of known
hardness.
3.4 Mohs’ Scale of Hardness
One of the first systematic hardness scales is the Mohs’
hardness scale, proposed by a German mineralogist, Frie-
drich Mohs, in 1832. The scale consists of ten standard
minerals with a series of numbers from 1 to 10, arranged in
order of increasing hardness. Diamond, the hardest material,
is assigned the Mohs’ hardness number HM = 10. Talc, one
of the softest minerals, is assigned the Mohs’ number
HM = 1. The other integers, 2 through 9, are assigned to
other natural minerals of corresponding relative hardness.
Mohs’ hardness of a material is determined quickly and
qualitatively by surface scratching with the standard miner-
als listed in the Mohs’ scale. For example, as tungsten car-
bide is scratched by diamond with HM = 10 and not by
Table 3.2 Standard Mohs’ scale Mohs’ hardness Minerals
of hardness number, HM
1 Talc
2 Gypsum
3 Calcite
4 Fluorite
5 Apatite
6 Orthoclase feldspar
7 Quartz
8 Topaz
9 Corundum
10 Diamond
123
corundum with HM = 9, the assigned Mohs’ hardness value
of tungsten carbide will be between 9 and 10. Similarly, the
Mohs’ hardness of mica scratched by fluorite and not by
calcite will be between 3 and 4.
Mohs’ scale of hardness is widely used in the field of
mineralogy but rarely applied for the testing of metals and
alloys, because the intervals are not widely spaced in the high
hardness range of Mohs’ scale and metals of similar hardness
cannot be distinguished clearly. Most hard metals fall in the
Mohs’ hardness range of 4–8. Hardened steel forming
martensite has approximately 7 Mohs. However, annealed
copper and most pure metals have hardness below 4 Mohs.
Soft lead cannot be included in the Mohs’ scale as it lies
below 1 Mohs. Table 3.2 lists ten standard minerals of the
scale, together with their formulas and types of bonding
(Zwikker 1954).
With the development of extremely hard abrasives, the
need to distinguish between materials in the range of hard-
ness between that of quartz and that of diamond is felt.
Table 3.3 (Davis et al. 1964) shows an extension of Mohs’
scale devised for the above purpose.
3.5 File Hardness Test
File hardness test is a simple qualitative method to determine
the abrasion hardness of metals and widely used in many
plants for inspection and quality control purposes. It is per-
formed by subjecting a test piece to the sliding action of a
predesigned standard file and noting whether a visible cut is
produced or not.
The test piece is either clamped in a vise or firmly gripped
in one hand, and a standard file of appropriate hardness is
slowly but firmly drawn for a single time over surface of a
test piece. If that file slides over the surface without pro-
ducing any visible cut on it, the material under test is
acceptable. But if the file bites into the test piece, a visible cut
Formula Types of bonding
3MgO!4SiO2!H2O van der Waals (between layers)
CaSO4!2H2O van der Waals (between layers)
CaCO3 van der Waals (between layers)
CaF2 Ionic
CaF2!3Ca3P2O5 Ionic
K2O!Al2O3!6SiO2 Mixed ionic-covalent
SiO2 Mixed ionic-covalent
(AlF)2SiO4 Mixed ionic-covalent
Al2O3 Mixed ionic-covalent
C Covalent
124
Table 3.3 Extension of Mohs’ scale of hardness (Davis et al. 1964)
Extended Mohs’ hardness number Minerals
1 Talc
2 Gypsum
3 Calcite
4 Fluorite
5 Apatite
6 Orthoclase feldspar
7 Vitreous pure silica
8 Quartz
9 Topaz
10 Garnet
11 Fused zirconia
12 Fused alumina
13 Silicon carbide
14 Boron carbide
15 Diamond
will be noted on the surface and the material will be rejected,
as it proves to be softer than the desired one.
As the test compares the hardness between the material in
question and a predesigned standard file, obviously, the test
method depends upon the following factors:
(1) Type of file—The type of file that will be used for all
samples of the same product throughout subsequent
tests must be the same with respect to the following
parameters.
(a) Size of the file—It is usually either six inch or eight
inch.
(b) Shape of the file—It is usually either pillar or
three-square file. Pillar file is used on fiat, oblong
or square test pieces, and three-square file is used
in testing objects of irregular shapes having cre-
vices and grooves.
(c) Hardness of the file—It is generally standardized
by noting whether or not it will cut the material
under test that has the proper hardness, as deter-
mined quantitatively by more precise hardness
testing method.
(2) Speed, pressure and angle of filing during the test—In
order to achieve more precise and valid hardness indi-
cation of the test piece, the speed of filling over the test
surface must be slow, because rapid filling will remove
material, not only from the test surface, but also from
the file, and thereby indicates the test piece to be softer
than is actually the case. The amount of applied pres-
sure during filing must be the same for all samples of
the same material throughout subsequent tests. The
3 Hardness
angle of contact between the file and the surface of the
test piece should be maintained uniformly for all sam-
ples of the same material for each test. This is important
because the file may produce a cut on projections and
sharp edges more easily than on fiat surfaces.
Advantages
• The test is speedy in the hands of a skilled operator. Due
to the rapidity of the test, file testing provides a simple
method for routine checking to control the hardness level
of materials or products. For example, the hardness of
each tooth of a gear may be determined in a very short
time by the file testing, compared to other testing meth-
ods that require much longer time.
• Filing is carried out for each piece in the lot, and file is
drawn for a single time over the surface of the test piece,
whereas due to the requirement of longer time, more
accurate conventional methods of testing are carried out
for only representative samples from each lot.
• The test allows determining the hardness of a material in
inaccessible places, whereas with a table-type or con-
ventional hardness testing machine, it would be usually
impossible to obtain hardness measurements in such
places.
• Surface preparation of the test piece is not required,
because enough adhering surface scale will normally be
removed during filing.
Disadvantages
• The accuracy of the file hardness testing depends on the
skill of the technician performing the test.
• The test results are generally not reproducible enough.
This may be due to the flexibility of the inevitable vari-
ations in characteristics of ordinary files.
• It is impossible to make fine distinctions in hardness.
• Quantitative measurements of hardness that are given by
table-type or conventional hardness testing machines are
not possible.
3.6 Brinell Hardness
In 1900, Dr. J. A. Brinell, of Sweden, proposed and stan-
dardized a method for quantitative determination of inden-
tation hardness, which was the first widely accepted
indentation hardness test, known as ‘Brinell hardness’ test
(Wahlberg 1901). Figure 3.1a shows a pump-type hydraulic
Brinell hardness tester machine, and Fig. 3.1b shows
schematically its salient features.
3.6 Brinell Hardness
Fig. 3.1 a A pump-type (a)
hydraulic Brinell hardness tester
machine. b Schematic diagram
showing the salient features of a
hydraulic Brinell hardness tester
(Davis et al. 1964) Weights which
regulate load
Brinell ball
Table for
specimen
3.6.1 Principle of Testing
The Brinell hardness test consists of forming an indentation
by forcing a standard spherical ball indenter into the surface
of the material under a definite static load applied for a
standard period of time. The standard Brinell hardness tester
operates usually under hydraulic pressure that applies force.
The Brinell hardness number (BHN), expressed in units
of kilograms per square millimetre, is defined as the ratio of
the applied load, P in kilograms, to the curved surface area
of the elastically recovered indentation, AS in square mil-
limetres. That is,
P !
Brinell hardness number or BHN ¼ kg mm2 ð3:1Þ
AS
In order to determine the Brinell hardness number of a
material, it is necessary to know the curved surface area of the
indentation in the test piece. This can be calculated in terms
of the spherical ball diameter, D; and the diameter of the
indentation, d; or the depth of the indentation, h; as shown
below. The diameter of the indentation means the diameter of
the circular impression along the surface of the test piece.
To calculate the curved surface area AS of the indentation,
the diameter or the depth of the indentation has to be measured
after the release of applied load. But after the removal of
applied load, the indentation is recovered elastically and if
there is no or insignificant distortion of the spherical indenter
during loading the indentation will take the shape of a
spherical cap but with a radius of curvature higher than that of
the spherical ball indenter due to the elastic recovery of
indentation. The harder the material, the greater is the elastic
recovery. Elastic recovery affects the depth of indentation
greatly but its effect on the diameter of indentation is negli-
gible, owing to the larger dimension associated with the
125
(b)
Bourdon gage
Weight to balance
Pump handle oil pressure at
desired load
Small
piston
Oil pressure
applied by
Plunger pump
Ball indenter
Specimen
Anvil
(spherical seat)
Hand wheel
for elevating
anvil
Elevating screw
diameter. Moreover, the curved surface area of the indentation
will be more accurate when it is calculated from the mea-
surement of the larger dimension that is the diameter rather
than the depth of indentation. So, the most common method is
to measure the diameter of indentation as its measurement
does not in general influence the Brinell hardness.
3.6.2 Derivation for BHN
It is assumed in the following derivation for BHN that there
is no elastic deformation or distortion of the spherical ball
indenter and no elastic recovery of the indentation takes
place when the applied load is released. That means the
diameter of the indentation after the removal of load will
remain the same as that of the indentation formed just before
the release of the applied load, and the vertical centre plane
of the indentation coincides with that of the spherical ball
indenter.
Figure 3.2 shows that an indentation of diameter ‘d’ with
depth ‘h’ is formed after the indenter ball with diameter ‘D’
has penetrated into the surface of test piece under an applied
load, ‘P’. Let ‘2a’ be a solid angle of cone formed at the centre
of the indenter by the circular edge of the indentation on the
surface of the test piece. On the curved surface of the inden-
tation, let us arbitrarily choose an infinitesimally thin circular
section of average radius ‘r’ that makes an arbitrary solid
angle of ‘2h’ at the centre of the indenter. The arbitrary
semisolid angle ‘h’ formed at the centre of the indenter varies
from ‘0’ along the centre plane of the indentation to ‘a’ at the
semicircular edge of the indentation on the surface of the test
piece, i.e. hMinimum ¼ 0 and hMaximum ¼ a: It is further
assumed that the thickness of the above section makes an
angle dh at the centre of the indenter, as shown in Fig. 3.2.
126 3 Hardness

P Again from Fig. 3.2

ðd=2Þ=ðD=2Þ ¼ sin a; or; d=D ¼ sin a;

rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi d2 D2 % d 2
Vertical centre plane of ) cos a ¼ 1 % sin2 a ¼ 1% 2 ¼
indenter and indentation pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi D D2
D2 % d2
¼
D
2α So from (3.2a), total curved surface area of indentation is:
D " pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi#
pD2 pD2 D2 % d2
AS ¼ ½1 % cos a' ¼ 1%
θ dθ 2 2 D
D " pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi#
2 pD2 D % D2 % d2
¼
2 D
pD h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii
h Surface of
¼ D % D2 % d 2 ð3:2cÞ
2
test piece
r Hence from (3.1), (3.2b) and (3.2c), Brinell hardness
d number can be given by the following (3.3a) and (3.3b),
φ although the working formula for BHN is given by (3.3a)
2φ
because it does not involve the depth of indentation h; which
Fig. 3.2 Figure for derivation of BHN, showing that an indentation of
is largely affected by elastic recovery on the release of
diameter ‘d’ with depth ‘h’ is formed after the indenter ball with applied load.
diameter ‘D’ has penetrated into the surface of test piece under an From (3.1) and (3.2c),
applied load, ‘P’. The included angle between the tangents drawn to the
edge of a Brinell indentation is ‘2u’ P 2P
BHN ¼ ¼ h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii ð3:3aÞ
AS pD D % D2 % d2

From (3.1) and (3.2b),

Now, the curved surface area of the infinitesimally thin
circular section is: P P
BHN ¼ ¼ ð3:3bÞ
AS pDh
D
dAS ¼ 2pr dh ¼ prDdh
2 It is evident from the above (3.2b) and (3.2c) that
) Total curved surface area of indentation will be pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
D % D2 % d2
Depth of indentation; h ¼ ð3:4Þ
Z Zh¼a Zh¼a 2
D
AS ¼ dAS ¼ pD rdh ¼ pD sin hdh When the load is released, the resulting indentation is not
2
AS h¼0 h¼0 perfectly spherical if the spherical ball indenter deforms
Zh¼a elastically under load. Although the derivation of equation
D for BHN has assumed a perfectly spherical indentation with
¼ pD sin hdh
2 no elastic recovery of the indentation after removal of load,
h¼0
the BHN, as computed by (3.3a), is nevertheless accepted as
pD2 pD2
¼ ½% cos h'a0 ¼ ½% cos a þ 1' valid for all practical purposes, provided standard conditions
2 2 of testing are maintained.
pD2
¼ ½1 % cos a' ð3:2aÞ
2
Since from Fig. 3.2, cos a ¼ fðD=2Þ % hg=ðD=2Þ; it fol- 3.6.3 Indenters, Loads and Loading Periods
lows from (3.2a) that
The diameters of spherical steel ball indenters used in the
" #
pD2 ðD=2Þ % h pD2 2h standard Brinell hardness test are either 5 or 10 mm.
AS ¼ 1% ¼ ¼ pDh ð3:2bÞ Although odd-size ball indenters having diameters such as
2 D=2 2 D
1.25, 2.50 and 7.00 mm are also available but the use of
3.6 Brinell Hardness
these non-standard indenters is not considered to be a stan-
dard Brinell test. The ball indenter normally used is made
from heat-treated hard high-carbon steel, known as ‘Hult-
gren ball’ or made from tungsten carbide. When the indenter
is forced into the test piece, the indenter will be subjected to
varying amount of elastic deformation depending on the
magnitude of the applied load and the hardness of the test
piece and the indenter. In case of a softer material having
BHN less than or equal to 300, there will be practically no or
insignificant distortion of the spherical indenter under load.
If the spherical indenter undergoes some elastic deformation
under load, the surface of the indentation does not remain
truly spherical. Hardness beyond a Brinell number of about
600, the distortion of the Hultgren ball indenter during
loading period becomes substantially high causing the
curved surface area of the indentation to increase so that the
BHN of the material will show a lower value than it should
be. So the Hultgren ball is used till the BHN of the material
does not exceed a value of 600. But if instead of a Hultgren
ball, a tungsten carbide ball indenter is used to minimize the
distortion of the indenter, this upper limit of 600 Brinell may
be extended to approximately 725 Brinell.
3.6.3.1 Standard Test
For the Brinell hardness test, the American Society for
Testing Materials (ASTM) and the British Standards Insti-
tution specify the application of either a load of 3000 kg on a
10-mm-diameter ball or a load of 750 kg on a 5-mm-
diameter ball for at least 10 s when testing iron, steel and
alloys having hardness similar to steel. For non-ferrous
metals and alloys, a 10-mm-diameter ball is specified under
a load of either 500 kg with a loading period of at least 30 s
in case of copper, annealed brass, magnesium alloys, etc., or
1000 kg for at least 15 s in case of gun metal/bronze,
cold-worked brass, etc.
The loading in the Brinell hardness test should be con-
tinued for such a time period that the material under test
becomes fully strain hardened. The softer the material the
longer is the time required for its strain hardening. That is
why the minimum time of full load application for harder
materials is less than that for softer materials. From tests at
the National Bureau of Standards, it was found that the
plastic flow for most materials is quite rapid during the first
30 s under the applied load; it is much less rapid in the
interval from 30 to 120 s. For most metals, the Brinell
number varies less than 1% for loading intervals between 30
and 120 s. This is due to the insignificant enlargement of the
indentation in a fully strain-hardened material that produces
practically no plastic flow.
3.6.3.2 Non-Standard Test
Frequently, either for thinner or for softer specimens, the
Brinell hardness test cannot be conducted according to the
127
above standard test specifications. For such cases, as dis-
cussed below, the material may be tested with either smaller
loads or with indenters of smaller diameter. However, such
Brinell hardness tests should not be considered as standard
one. With a non-standard load or ball diameter, it is neces-
sary to produce geometrically similar indentations so that
the same BHN can be obtained, at least theoretically. Geo-
metrically similar indentations will be achieved provided
that the solid angle ‘2a’ in Fig. 3.2 remains constant, where
‘2a’ is a solid angle of the cone formed at the centre of the
indenter by the circular edge of the indentation on the sur-
face of the test piece. Now the question arises—what should
be the constant value of ‘a’? For the same material, it is
aimed to achieve the Brinell hardness number identical with
the more precise and accurate Vickers hardness number
(VHN), to be discussed in Sect. 3.10, because both the
above hardness numbers are defined in a similar way and
have the same theoretical hardness scale. The included angle
between the two opposite faces of the square-based
pyramidal-shaped Vickers indenter is 136) : To maintain
the similarity between BHN and VHN, the included angle,
‘2u’, as shown in Fig. 3.2, between the tangents drawn to
the edge of a Brinell indentation must be 136) : Hence, the
solid angle, 2a, formed at the centre of the indenter will be:
2a ¼ 180) % 2u ¼ 180) % 136) ¼ 44) ; or;
semi-solid angle; a ¼ 22) :
It is possible to keep ‘a’ at the desired value of 22) ; if the
ratio of the diameter of indentation, d, to that of the ball
indenter, D, is 0.375, because,
d=D ¼ sin a ¼ sin 22) ¼ 0:375:
With the help of (3.1) and (3.2a), the Brinell hardness
number can also be expressed as follows:
P P 2P
BHN ¼ ¼ ¼
AS ðpD2 =2Þ½1 % cos a' pD2 ½1 % cos a'
ð3:3cÞ
Equation (3.3c) shows that for a and BHN to remain
constant, the applied load, P, must be proportional to the
square of the ball diameter, D2, that is the load and ball
diameter must be varied in the ratio
P1 P2 P 3
¼ ¼ ¼ ! ! ! ¼ C ðAn arbitrary constantÞ:
D21 D22 D23
The values of C may vary from 1 to 30 with intermediate
values as 2.5, 5, 10, 15, 20 and 25, depending on the
hardness and the thickness of test piece. Unless precautions
!
are taken to maintain P D2 constant, the BHN will generally
vary with load. If value of C ¼ 1 is considered for an
indenter diameter of 2.5 mm, the magnitude of applied load
128 3 Hardness

in Brinell test may be as low as 6.25 kgf, which is occa-
sionally used.
3.6.3.3 Selection of Ratio of Load to Square
of Indenter Diameter
It is experimentally inconvenient to maintain a constant
!
value of 0.375 for the ratio of d=D: Hence, P D2 ratio
should always be so adjusted that the ratio of d=D would lie
between 0.25 and 0.50, average of which is 0.375. However
in many instances, deviation from the standard testing
specifications will be necessary to maintain the above range
of d=D ratio. If the value of d=D is found to be lower in
Brinell hardness test, it indicates that the test piece is
becoming harder, which will cause more distortion of the
indenter during the loading period. So, the minimum value
of d=D is kept at 0.25 to minimize as far as possible the
elastic deformation of the indenter and its adverse effect on
the hardness value. The maximum value of d=D is limited to
0.5 to avoid the damage of the cap of the indenter, that holds
the ball in place, due to the contact of the cap with the
surface of the specimen because the indenter will sink more
into the test piece as it is becoming softer.
In order to avoid the anvil effect, the thickness of a uni-
formly hard test piece should be at least 10 times the depth
of the indentation, i.e. ‘10 ! h;’ as discussed in Sect. 3.3.
Thus, the magnitude of the applied load is selected by the
size of the indenter and the hardness as well as the thickness
of the material under test.
!
To obtain a constant BHN for the same material, P D2
ratio must be selected in such a way that both the conditions
—(i) 0:25 * d=D * 0:5; and (ii) thickness of the test piece
+ 10 ! h; are satisfied. The following Table 3.4 will help as a
!
guideline to select P D2 ratio depending on the material
under test as well as its hardness, so that 0:25 * d=D * 0:5;
is satisfied. Again, the diameter of the indenter D is selected
depending on the thickness of the test specimen so that the
thickness of the test piece must be greater than or equal to
ten times the depth of indentation.
3.6.4 Method of Testing
Initially, the specimen to be tested is made flat by grinding and
then polished so that the indentation formed by loading on the
surface of the specimen is clearly visible under the Brinell
microscope, used for measurement of indentation diameter.
Then depending on the diameter of Brinell indenter, the load to
be applied is selected maintaining the condition of testing, as
discussed in Sect. 3.6.3.3. The specimen is placed on the anvil
of the testing machine, and the anvil is raised by rotating the
hand wheel so that the specimen surface is brought in tight
contact with the apex of the indenter. Then, depending on the
material under test, the time of load application is set and the
selected load is applied to the specimen for the preset duration.
After the application of load, the specimen is released by
lowering the anvil. Now, the specimen is ready for measure-
ment of the diameter of the indentation, which has been
formed on the specimen surface. To achieve the proper Brinell
hardness number, the indentation diameter must be read
accurately. Errors in reading the diameter of the indentation
may arise from the following two causes:
(i) Error in reading from the microscope and
(ii) The boundary of the indentation is not distinct.

!
Table 3.4 Guidelines for selecting P D2 ratio
P Recommended materials Brinell% hardness Recommended Diameter of the Applied Time of load
D2 ! &
range kg mm2 thickness range of ball indenter, load, P (kg) application (s)
test piece (mm) D (mm)
30 Iron, steel and similarly hard 142.6–601.5 More than 4 10 3000 10 ± 2
ferrous and other alloys 4–2 5 750
Less than 2 2.5 187.5
10 Harder non-ferrous metals and 47.5–200.5 More than 6 10 1000 15 ± 2
alloys like gun metal/bronze, 6–3 5 250
cold-worked brass
Less than 3 2.5 62.5
5 Non-ferrous metals and alloys 23.8–100.2 More than 4 10 500 30 ± 4
like copper, annealed brass, 4–2 5 125
magnesium alloys
Less than 2 2.5 31.25
2.5 Softer non-ferrous metals and 11.9–50.1 More than 6 10 250 60 ± 6
alloys like aluminium, lead, tin 6–3 5 62.5
and their alloys
Less than 3 2.5 15.625
3.6 Brinell Hardness
The diameter of the indentation is measured accurately
with a low-power microscope. The eyepiece of the micro-
scope has a scale from 0 to 7 mm graduated in tenths of a
millimetre that allows an accuracy of the diameter mea-
surement up to 0.05 mm. Two readings of the diameter,
d1 and d2 ; of nearly circular indentation at right angles
should usually be taken and the arithmetic average of d1 and
d2 must be substituted for the diameter, d; of the indentation
in (3.3a). Since P and D are already known, so the Brinell
hardness of the specimen can easily be calculated by (3.3a).
A non-circular indentation will result if the compressive
properties of a flat specimen are not uniform due to direction
of rolling or cooling stresses or any other reason. Then to
obtain the average Brinell hardness of the material, the
diameters, d1 ; d2 ; d3 and d4 ; of the non-circular indentation
are measured in four directions, roughly 45° apart, and their
arithmetic average must be put in place of the diameter, d; of
the indentation in (3.3a).
3.6.5 Anomalous Behaviour
Two types of anomalous behaviour, as illustrated schemat-
ically in cross-sections of Brinell indentations in Fig. 3.3,
are frequently observed owing to the localized deformation
of material at the indentation.
The sketch in Fig. 3.3a shows ‘ridging’ or ‘piling up’, in
which there is a formation of a lip or a raised ridge of
material around the periphery of the indentation. The mea-
sured diameter d of such indentation is found to be higher
than the true diameter of a perfect indentation and would
result in a low hardness value. This condition is observed
with cold-worked materials having little ability to
strain-harden. The sketch in Fig. 3.3b shows ‘sinking in’, in
which a depressed surface of the material is formed around
the periphery of the indentation. The measured diameter d of
such indentation is lower than the true diameter of a perfect
indentation and a high hardness value would result. This
type of behaviour is frequently observed with annealed
materials having a high rate of strain hardening. In both
sketches of Fig. 3.3, h1 is the observed indentation depth,
usually determined from the relative motion of the specimen
and the ball plunger, but h1 differs from the actual depth h
corresponding to the indentation diameter d :
Fig. 3.3 Cross-sections of (a)
indentations in Brinell test.
a ‘Piling up’ indentation showing
encircling ridge. b ‘Sinking in’
indentation showing encircling
depression
129
Sometimes for measurement of the true diameter of
indentation accurately, the steel ball indenter is coated with a
dull black or a blue pigment or etched lightly with nitric acid
before making the indentation so that the indentation
becomes more distinct.
3.6.6 Advantages and Disadvantages
The followings are the advantages of Brinell hardness test:
• The relatively large size of the Brinell indentation will
include local heterogeneities in the material having
heterogeneous structure and provide its average hard-
ness. So, for materials like cast iron or heterogeneous
non-ferrous alloys, measurement of Brinell hardness is
not only advantageous but also preferable.
• The influence of surface scratches and roughness will be
less in the Brinell test than other hardness tests.
• Surface polishing of the test piece is not needed due to
the larger size of the Brinell indentation. Generally, a
satisfactory surface may be obtained by belt grinding or
filing with a relatively fine file.
The disadvantages or limitations of Brinell hardness test
are as follows:
• Determination of the entire range of hardness encoun-
tered in commercial metals is not possible under appli-
cation of a single load.
• Due to the larger size of the indentation, the application
of Brinell hardness test is not possible on small jobs or
critically stressed portions which would crack during the
indentation.
3.7 Meyer Hardness
A definition of indentation hardness under the application of
a constant static load, proposed by Meyer (1908), known as
‘Meyer hardness’ is more rational than that proposed by
Brinell. Meyer hardness is defined as the ratio of the load to
the projected area of the elastically recovered indentation
(b)
d d
h1 h h h1
‘Piling up’ ‘Sinking in’
130 3 Hardness

rather than the surface area of the indentation as defined for If R.H. denotes the rate of work hardening, then R.H.=
BHN. The mean pressure, pm ; between the surface of the rate of change of Meyer hardness or mean pressure with
indenter and the indentation is same as the Meyer hardness indentation diameter d; which means
having units of kilograms per square millimetre just like the ' 0 (
Brinell hardness. d 4K n0 %2 4K 0 0 0
R:H: ¼ d ¼ ðn % 2Þdn %3 ð3:8Þ
d ðd Þ p p
P 4P
Meyer hardness ¼ mean pressure pm ¼ kg/mm2 ¼ 2 Since K 0 6¼ 0; or; d 6¼ 0; and as R:H: ¼ 0; for a fully
Ap pd
strain-hardened material, so, from (3.8), we get n0 ¼ 2:
ð3:5Þ
In (3.8) when n0 [ 2; the value of R.H. is positive indi-
where cating that the material possesses work-hardening capacity.
For a fully annealed material, the value of n0 will be about
P applied load, kg, 2.5. The value of the exponent in Meyer’s law, n0 , is the
Ap elastically recovered projected area of indentation in slope of the straight line obtained when log P is plotted
the test piece, sq mm, and against log d: The intercept of the linear plot of log P versus
d chordal diameter of indentation after unloading, mm. log d at log d ¼ 0; is log K 0 ; which means K 0 is the value of
Hence, d is measured after the release of applied load. P; when d ¼ 1 mm: From (3.6), we see that K 0 will be
0
Meyer hardness or mean pressure is determined using the expressed in kg=mmn :
Brinell hardness tester but the Meyer hardness measurement
is rarely performed for practical purposes, although it is a 3.7.2 Load Sensitivity
more fundamental measure of indentation hardness.
The Meyer hardness is less affected by the variation of the
applied load in comparison to the Brinell hardness when the
3.7.1 Meyer’s Law (Meyer 1908) diameter of the ball indenter ‘D’ is kept constant. For a fully
strain-hardened material with n0 , 2; the Meyer hardness
Meyer formulated an empirical relationship, usually called does not depend on load and remains constant, whereas the
‘Meyer’s law’, between the applied load and the size of the Brinell hardness decreases with the increase of load. The
indentation, as shown below: reason for constancy of the Meyer hardness for a fully
Meyer’s law: strain-hardened material can be obtained as follows by
0 putting n0 , 2; in (3.7),
P ¼ K 0 dn ð3:6Þ
4K 0 n0 %2 4K 0 2%2 4K 0
where pm ¼ d ¼ d ¼ ¼ constant;
p p p
P applied load, kg;
because K′ = constant for a given ball diameter and material.
d chordal diameter of indentation after unloading, mm;
The reason for variation of the Brinell hardness for a fully
K′ a material constant expressing resistance of material to
cold-worked material is explained below:
the initial penetration;
n′ a material parameter related to strain hardening of BHN load=contact area projected area
material , n + 2. Hence, n0 is a measure of the effect ¼ ¼
pm load=projected area contact area
of deformation on the hardness of the metal (Hoyt
' (
1924). n0 is often called as Meyer index. projected area
) BHN ¼ pm
contact area '
As already discussed in Chap. 1, n is the strain-hardening (
projected area
coefficient in Hollomon parabolic relationship for the curve ¼ a constant value -
contact area
of true-stress–true-strain. As fully work-hardened material
cannot be further strain hardened, so the value of n will For a spherical indenter, when the load is increasing the
approach towards zero, which means n0 , 2; for fully contact area is increasing more quickly than the projected area.
strain-hardened material that can be proved as follows: Hence, the ratio of projected area to contact area decreases
With the help of (3.5) and (3.6), one can rewrite the with the increase in load causing the BHN to decrease.
Meyer hardness or mean pressure as For a fully annealed material with n0 , 2:5; as the load is
0 increased the Meyer hardness increases due to the strain
4P 4K 0 dn 4K 0 n0 %2 hardening produced by the indentation but the rate of
pm ¼ 2
¼ 2
¼ d ð3:7Þ
pd pd p increase in hardness gradually decreases because of the
3.7 Meyer Hardness 131

decrease in n0 that gradually approaches towards the value of
2. Ultimately, the Meyer hardness becomes constant for still
higher loads where the deformation of the material will be so
extensive that it becomes fully cold worked with a value of
n0 ¼ 2: However, as the load increases, the Brinell hardness
will initially increase due to the strain hardening but the
hardness-increase-rate gradually decreases till the material
will become fully cold worked and thereafter, the BHN
decreases for still higher loads.
2 !
3.7.3 Influence of P/D
If the same material is indented with ball indenters of different
diameters, the values of K 0 and n0 are expected to change. For
ball indenters of diameters D1 ; D2 ; D3 ; . . .; producing
indentations of diameters d1 ; d2 ; d3 ; . . .; under the application
of same load P; a series of relation is obtained of the type
n0 n0 n0
P ¼ K10 d1 1 ¼ K20 d2 2 ¼ K30 d3 3 ¼ ! ! !
From a series of investigations, Meyer found experi-
mentally that for different diameters of the ball indenters,
n0 , constant, but that the values of K 0 decreased when the
diameters of the indenters were increased and vice versa.
Hence, (3.9a) can be rewritten as
0 0
P ¼ K10 d1n ¼ K20 d2n ¼ K30 d3n ¼ ! ! !
0
The relationship between K 0 and D can be expressed
empirically in the following form:
ðn0 %2Þ ðn0 %2Þ ðn0 %2Þ
K10 D1 ¼ K20 D2 ¼ K30 D3 ¼ !!! ¼ C
For geometrically similar indentations, since d=D is
constant (see Sect. 3.6), the Meyer hardness must also be
constant, as shown by (3.11b). Therefore, geometrically
similar indentations will give the same Meyer hardness
number. Equation (3.12a) can also be rearranged as follows:
' (n0 %2 ' (n0
0
d dn P d
P ¼ Cd 2 ¼ C n0 D2 or; ¼ C
D D D2 D
ð3:13Þ
!
The above (3.13) shows that if the ratio P D2 is kept con-
stant, d=D will remain constant. Hence for same P D2 ratio,
geometrically similar indentations are obtained that will give
the same Meyer hardness number. Therefore, when the ratio of
load to square of indenter diameter is kept constant, the same
Meyer hardness value will be obtained for the same material.
Meyer hardness testing has some advantages over Brinell
hardness testing as follows:
ð3:9aÞ • The Meyer hardness is less sensitive to the applied load
than the Brinell hardness, as discussed above.
• The Meyer hardness is a more fundamental measure of
indentation hardness because it is based on the projected
area of the indentation rather than the surface area as in
the case of the Brinell hardness.
ð3:9bÞ As Meyer hardness is measured using the Brinell hard-
ness tester and the Brinell indenter, so the advantages and
disadvantages associated with the Brinell hardness testing,
mentioned in Sect. 3.6, will also be applicable to the Meyer
hardness testing.
ð3:10Þ

where C is a constant. The general expression for Meyer’s

3.8 Rockwell Hardness
law involving both d and D is then obtained from (3.9b) and
(3.10) as follows:
In 1908, Professor Ludwig of Vienna described a method to
Cd1n
0
Cd2n
0
Cd3n
0 determine the hardness of a metal by ‘differential depth’
P¼ n 0 %2 ¼ n 0 %2 ¼ ¼ !!! ð3:11aÞ measurement test. This hardness testing method involved the
D3n %2
0
D1 D2
measurement of the increment of depth of an indenter forced
Or in general form, into the metal by a primary and a secondary load. Based on
Ludwig’s principles, Stanley P. Rockwell invented the
0
Cd n Rockwell hardness test in 1919 (Rockwell 1922). Today, it is
P¼ ð3:11bÞ
Dn0 %2 the most widely used method to determine quantitatively the
Two interesting conclusions originate from (3.11b). This indentation hardness, particularly for routine testing purpose
equation may first be rewritten as in industry. A photograph of one model of Rockwell hard-
ness tester is displayed in Fig. 3.4.
' (n0 %2
P d
¼ C ð3:12aÞ
d2 D
3.8.1 Principle of Testing
' (0
4P 4 d n %2
) The Meyer hardness ¼ 2 ¼ C ð3:12bÞ The Rockwell test measures the hardness value of material
pd p D
by utilizing the difference in the depth of indentation
132 3 Hardness

Fig. 3.4 One model of a

Rockwell hardness tester
(Courtesy Prof. K. Biswas, IIT
Kharagpur) Depth and hardness
indicating dial
Levers
under cover

Load
Indenter selector

Anvil Adjustable weight

under cover

Handle to
Hand wheel to apply load
elevate anvil

produced by action of an indenter on the test piece under the
applications of two static loads. One of the static loads is a
minor load, and the other is a major load. The minor load is
applied initially to cause penetration of the indenter up to a
certain depth, where a zero datum is established. The major
load is then applied for a definite length of time, which
produces an additional depth of penetration of the indenter
beyond the zero datum point previously set up by the minor
load. Without removing the minor load, the major load is
released after the definite holding period, which causes the
indentation to undergo elastic recovery. Now, the Rockwell
hardness value is read from the difference in depth from the
zero datum position resulting from the withdrawal of the
applied major load while the minor load is still in position.
Thus, the resulting Rockwell hardness represents the elasti-
cally recovered indentation depth due to the major load,
which is equal to the difference between the total indentation
depth upon withdrawal of the applied major load with the
minor load still applied and the indentation depth due to the
minor load. The hardness number found is related inversely
to this depth difference. The hardness value is a purely
arbitrary number having no units, unlike the BHN and the
VHN having units of kg per mm2 and is read directly from a
specially graduated hardness dial having two pointers, per-
manently located on a specially designed machine directly
above the shaft to which the indenter is attached. Various
loads and indenters are used depending on the conditions of
test, as standardized by ASTM E18.
3.8.2 Loads
Loads during testing are applied in two stages:
(a) Initially, a minor static load of 10 kg is applied to form
a very shallow indentation on the surface of the speci-
men through compression of a calibrated coiled spring
placed within the machine between the indenter shaft
and the dial. The purpose of applying minor load is as
follows:
• To eliminate the error that may arise due to variable
contacts between the indenter and the surface of the
specimen.
• To set the indenter on the specimen and hold it in
position.
• To eliminate the error that may arise due to slight
surface imperfections, i.e. to minimize the surface
preparation of the specimen.
• To reduce the tendency for ‘ridging’ or ‘sinking in’
caused by the indenter.
3.8 Rockwell Hardness
(b) Finally, a major static load of either 50, 90 or 140 kg is
applied on the surface of the specimen through a system
of weights and levers by means of an operating handle
in the machine that enlarges the initially formed
indentation under minor load. The total static load
applied for indentation on the test piece is the sum-
mation of the minor load and the major load, which is
equal to either 60 or 100 or 150 kg.
3.8.3 Indenters
The indenter or ‘penetrator’ is either made of hardened steel
with shape of a spherical ball or made of diamond with
shape of a cone having a spherical tip, called the ‘Brale’
(trade name). The spherical tip of the Brale indenter removes
the sharpness at the apex of the cone and thus helps to
minimize damage of the indenter under load, otherwise the
chipped or cracked or blunted indenter would introduce
errors in the hardness measurements. Sometimes, when the
Brale indenter is damaged, reconditioning is required to
repair it.
The diameter of the steel ball indenter is normally
1=16 in: (1.588 mm) but the steel ball indenters of larger
diameter such as 1=8; 1=4; or 1=2 in: (3.175, 6.35, or
12.7 mm) are available that may be used for soft materials.
These larger size indenters are particularly employed for
determining the hardness of plastic materials, cast iron with
large graphite flakes, soft bearing alloys, solders, etc. The
spheroconical diamond tip of the Brale indenter is manu-
factured to very close dimensional tolerances. The included
angle of this diamond cone indenter is 120°, with the radius
of the spherical tip being 0.2 mm, which is lapped tangent to
the cone. It is advisable to check the ball indenters regularly
to see that they do not become flattened and the Brale to see
that it has not become blunted or chipped.
Out of the several indenters and major loads used in the
Rockwell hardness test, proper combinations of indenter and
major load will serve to measure the hardness of nearly all
engineering materials. For harder materials, the combination
of the Brale indenter and the highest major load of 140 kg
should be used. As the hardness of material decreases, the
test is carried out with the Brale indenter but with a gradual
decrease in the major load. Thereafter, the Brale indenter
must be changed to the steel ball indenter of 1=16 in:
diameter under the application of the highest major load,
which must decrease gradually for softer material. Further
softer materials require the application of a gradual increase
in the steel ball diameter and a gradual decrease in the major
133
load for each of the selected steel ball indenters. In general,
the smallest ball, that can properly be used, should be
selected because of the loss of sensitivity to small differences
in hardness with the increase in ball diameter. An exception
to this is when soft non-homogeneous material is to be
tested, in which case it may be preferable to use a larger
diameter ball indenter because the relatively large size of the
indentation will include local heterogeneities in the material
and provide its average hardness.
3.8.4 Direct-Reading Hardness Dial
The direct-reading hardness dial of a Rockwell hardness
tester is shown in Figs. 3.5, 3.6 and 3.7. The dial is designed
to indicate the increment of penetration due to increment in
load between the minor and total loads applied and does not
indicate the total indentation depth made by the indenter.
The dial face of the machine is inscribed with 100 equal
division marks. Each division represents one unit in the
Rockwell hardness number, which increases in the clock-
wise direction and is equivalent to an indentation depth of
0.002 mm caused by the vertical motion of the indenter into
the test piece. The dial has two sets of figures, one set printed
in red and designated by letter ‘B’ that stands for ball, the
other in black and designated by letter ‘C’, which stands for
cone. The red figures are used for reading the hardness
numbers in the tests obtained with ball indenters regardless
of the size of the ball or the magnitude of the major load.
The black figures are used only for the Brale indenter under
any major load to read the hardness numbers in the tests.
The dial divisions for ball indenter differ from those for
cone indenter not only by letter designation and colour but
also in the precise location of specific numbers. The dial was
designed to accommodate the first standardized and the most
widely used B and C scales (to be discussed subsequently),
which differ by 30 hardness numbers. The red scale for ball
indenter is shifted purposely 30 divisions in a counter-
clockwise direction, so that B 30 corresponds to the same
position on the dial face as C 0, which is the ‘set’ point for
the large pointer of the dial. Two advantages were gained by
this shifting of the zero points in the red scale:
• Negative hardness readings were avoided on soft mate-
rials, such as brass, when tested on the Rockwell B scale,
and
• This established Rockwell B 100 at the upper practical
limit of hardness that could be tested with the 100 kg
total load and the 1=16 in: diameter ball without seri-
ously deforming the ball penetrator.
134 3 Hardness

Fig. 3.5 Positions of the large SET

and small pointers on Rockwell POINT
dial, when the minor load is fully
applied but the major load is yet 0
to be applied 90

80
C0
C10
70 C90
B30
B20 B40

60 1 0 9
C20
C80 2 8 B50
B10 3 7
4 5 6

50
B60
B0 C30
C70
40
B70
B90
B80
C60 C40
30

C50
20

10
0

Fig. 3.6 Rockwell dial showing SET

rotational movement of the large POINT
pointer in the anticlockwise
direction from the set-point mark 0
and the small pointer in clockwise 90
direction from the index mark,
when the major load is applied 80
C0
C10
70 C90
B30
B20 B40

60 1 0 9
C20
C80 2 8 B50
B10 3 7
4 5 6

50
B60
B0 C30
C70
40
B70
B90
B80
C60 C40
30

C50
20

10
0
3.8 Rockwell Hardness 135

Fig. 3.7 Rockwell dial showing SET

clockwise movement of the large POINT
pointer and anticlockwise
movement of the small pointer, 0
when the major load is withdrawn 90

80
C0
C10
70 C90
B30
B20 B40

60 1 0 9
C20
C80 2 8 B50
B10 3 7
4 5 6

50
B60
B0 C30
C70
40
B70
B90
B80
C60 C40
30

C50
20

10
0

3.8.5 Hardness Scale
Rockwell hardness value cannot be designated solely by a
number, which is read from the position of large indicator on
the dial face, because the same number may be obtained for
materials of different hardness when different combinations
of total or major load and indenter are employed during the
tests. Therefore, it is necessary to indicate which indenter
and total or major load have been employed in making the
test. So, for each combination of the indenter used and the
magnitude of total or major load applied during the test, a
scale symbol arbitrarily represented by a capital letter is
employed. As the minor load of 10 kg remains always
constant, the three values of total or major load and five
numbers of indenter constitute fifteen different combinations
of total or major load and indenter. Thus, there are arbitrarily
established 15 standard Rockwell hardness scales, as shown
in Table 3.5. The Rockwell hardness number is expressed by
the capital letter ‘R’ with subscript of a scale symbol fol-
lowed by the dial reading. For example, if the indenter used
is 1=8 in: diameter steel ball and the magnitude of total load
applied is 100 kg in a test, the Rockwell hardness scale will
be ‘E’ and if the dial reading in that test is found to be 50, the
Rockwell hardness number will be expressed as RE 50:
The hardness test employing 1=16 in:-diameter steel ball
under a total load of 100 kg is the Rockwell B scale that is
normally applied for testing materials of medium hardness
such as annealed low- and medium-carbon steels. The
working range of this scale is from B 0 to B 100, the reasons
of which are as follows:
• The test piece harder than RB 100 will tend to flatten the
steel ball indenter elastically during test that causes to
decrease the indentation depth and increase the hardness
value.
• Furthermore, the shape of the steel ball indenter makes it
less sensitive to small differences in the hardness of hard
specimens, whereas the Brale indenter maintains its
sensitivity at higher hardness.
• If the test piece is softer than RB 0; the indenter will sink
deeper into it and may cause a damage of the cap holding
the ball indenter due to its contact with the surface of the
specimen or the weight arm may descend too far and rest
on its stop pin.
• Further, below the hardness value of RB 0; the ball
indenter, owing to its shape, becomes supersensitive and
the hardness readings are erratic.
The hardness test employing the Brale indenter under a
total load of 150 kg is the Rockwell C scale that is the one
most commonly used for materials harder than RB 100: The
hardness of the hardest steel is about RC 70: The useful range
of this scale is from Rockwell C 20 to about Rockwell C 70
or slightly higher. The Brale penetrator should never be
136 3 Hardness

Table 3.5 Standard Rockwell hardness scales and prefix lettersa

Scale symbol Indenter Total static Dial Typical applications of scales and working ranges
or prefix load (kg) numerals
letter
Bb 1
16 in:-diameter ball 100 (major Red Copper alloys, annealed low- and medium-carbon content steels, malleable
load = 90 kg) iron, aluminium alloys, rolled sheet stock, etc. Useful range from B0 to
B100. At higher hardness, ball deforms and becomes less sensitive to
small changes in hardness
Cb Brale 150 (major Black Materials harder than B100; such as fully hardened steel, quenched and
load = 140 kg) tempered steel, hard cast iron, pearlitlc malleable iron, deep case-hardened
steel. Useful range from C20 to about C70
A Brale 60 (major Black Cemented carbides, thin shallow case-hardened steel surfaces, hard thin
load = 50 kg) materials, etc. Also used under circumstances where the diamond may chip
or be otherwise damaged if used under 150 kg total load
D Brale 100 (major Black Thin steel, medium case-hardened steel surfaces. Useful for applications
load = 90 kg) where major load is desired intermediate between those required for A and
C scales
E 1 100 (major Red Cast iron, aluminium and magnesium alloys, bearing alloys. Useful for
8 in:-diameter ball
load = 90 kg) measuring hardness of very soft materials (lower than RB 0)
F 1 60 (major Red Annealed copper alloys, thin soft sheet metals
16 in:-diameter ball
load = 50 kg)
G 1 150 (major Red Phosphor bronze, beryllium copper, malleable iron. Useful for some
16 in:-diameter ball
load = 140 kg) materials slightly harder than RB 100
H 1 60 (major Red Aluminium, lead, zinc
8 in:-diameter ball
load = 50 kg)
K 1 150 (major Red Bearing metal and other very soft or thin materials
8 in:-diameter ball
load = 140 kg)
L 1 60 (major Red Useful for special-purpose testing of very soft materials
4 in:-diameter ball
load = 50 kg) Use smallest ball and heaviest load that does not give anvil effect
M 1 100 (major Red
4 in:-diameter ball
load = 90 kg)
P 1 150 (major Red
4 in:-diameter ball
load = 140 kg)
R 1 60 (major Red
2 in:-diameter ball
load = 50 kg)
S 1 100 (major Red
2 in:-diameter ball
load = 90 kg)
V 1 150 (major Red
2 in:-diameter ball
load = 140 kg)
Minor load = 10 kg
a
Based on ASTM E18
b
Commonly used scales and indenters

employed to measure the hardness below RC 20; which is
equivalent to RB 97; due to the following reason:
As the manufacturing of the diamond indenter in the
shape of a cone with an apex angle of 120° having a
spherical tip of 0.2 mm radius is quite costly, the manu-
facturer does not care to check the accuracy of the indenter
during its shaping at penetration depths greater than that
equivalent to a hardness value of RC 20; because the hardness
of materials lower than RC 20 can be obtained with the
Rockwell B scale. Moreover, during the manufacturing
process if there is any inaccuracy in the shaping of the
diamond indenter, it will be more pronounced at the base
than at the apex of the cone. So, the test employing Rock-
well C scale would introduce errors in the hardness values of
materials having hardness lower than RC 20:
3.8.6 Method of Testing
Initially, the specimen to be tested is made flat by grinding
and then roughly polished because any surface irregularities
will be taken care of by the minor load. The application of
the minor load becomes effective when the surface of the
specimen kept on the anvil is brought in contact with the
3.8 Rockwell Hardness
indenter by rotating the anvil elevating wheel. By further
elevating the specimen, the indenter is forced into the
specimen and the minor load of 10 kg is slowly applied.
After raising the specimen sufficiently high when the small
pointer, located in the upper left-hand quadrant of the dial
face, becomes coincident with an index mark, usually a red
mark, it indicates that the minor load of 10 kg has been fully
applied. During the minor load application, the large pointer
of the dial will rotate and after the minor load is fully
applied, the large pointer will stop in a near vertical position.
After full application of the minor load, the large pointer
must coincide with the set-point mark of the dial scale,
otherwise to achieve it the bezel of the dial has to be rotated.
Figure 3.5 shows positions of the large and small pointers on
Rockwell dial, when the minor load is fully applied but the
major load is yet to be applied.
Under the application of the major load, the vertical
motion of the indenter into the test piece produces a rotational
motion of the large pointer on the face of the Rockwell dial in
the anticlockwise direction from the set-point mark and the
small pointer in clockwise direction from the index mark,
which is shown in Fig. 3.6. It is to be noted that the dial face
is inscribed with hardness numbers in the clockwise direction,
that is, the scale of the dial is reversed with respect to the
motion of the large pointer. As soon as the rotational move-
ment of the large pointer stops, it indicates that the major load
has been fully applied. It is specified that the period of full
application of the major load should not be more than 2 s.
After this specified interval without disturbing the application
of minor load, the operating handle should be brought back
immediately to release the major load that will cause elastic
recovery of the metal under test and does not enter the
0 0
75 25 75 25
50 50
Major load
not yet
Minor
applied
load
Minor
not yet
load
applied applied
Steel ball
A A
indenter
B D
Test piece now has
B a firm seating due
C D
to minor load
Test piece
Elevating
screw
Fig. 3.8 Method of Rockwell hardness testing operation (schematic).
AB = Depth of hole made by minor load. AC = Depth of hole made by
major load and minor load combined. DC = Elastic recovery of the
137
hardness reading. Upon withdrawal of the major load, the
large pointer on the dial face moves in the clockwise direction
before it will come to a rest position and the small pointer
moves in the anticlockwise direction, which is shown in
Fig. 3.7. The displacement of the large pointer occurring
during the elastic recovery of the test piece is used to measure
the elastic recovery of the metal under test. For example, if the
clockwise movement of the large pointer on the dial face
during the elastic recovery of the test piece is from C32 or
B62 (Fig. 3.6) to C47 or B77 (Fig. 3.7), the depth recovered
elastically on the release of the major load will be, respec-
tively, 0:002 mm - ð47 % 32Þ ¼ 0:03 mm; or 0:002 mm -
ð77 % 62Þ ¼ 0:03 mm; since each division of Rockwell
hardness number is equivalent to an indentation depth of
0.002 mm. However, upon withdrawal of the applied major
load, Rockwell hardness number is read from the rest posi-
tion of the large pointer on the scale of the dial while the
minor load is still in position. According to Fig. 3.7, the
Rockwell hardness value is 47 for cone indenter and 77 for
ball indenter. The method of Rockwell hardness testing
operation has been illustrated in Fig. 3.8.
When the large pointer after release of the applied major
load coincides with the set-point mark of the dial scale,
which is usually designated by C0 in black scale or B 30 in
red scale, the hardness reading will be either 100 for the
Brale indenter or 130 for the steel ball indenter. Under the
application of the major load, the movement of the large
pointer in the anticlockwise direction from the set point of
the dial causes the decrement of hardness number with
increment of indentation depth. Upon withdrawal of the
major load, if the large pointer rests below the zero reading
crossing minimum 100 divisions in black scale or 130
0 0 0
75 25 75 25 75 25
50
50 50
Major
load
Major withdrawn
load
Minor
applied Minor
load
left load
applied withdrawn
A B
C
metal under test upon withdrawal of major load. This does not enter the
hardness reading. BD = Difference in depth, Dh; of holes
made = Rockwell hardness number
138
divisions in red scale from the set point of the dial, the
material is softer showing negative hardness value. Under
such circumstances, either smaller major load or/and larger
diameter steel ball indenter must be used to reduce the
indentation depth resulting in a positive hardness value.
When the steel ball indenter is used and the large pointer in
the red hardness scale rests at B 0 (a shift of only 30 divi-
sions in a counterclockwise direction from the set point of
the dial) after release of the applied major load, then the
hardness value must be read as 100.
The depth difference between the indentation upon with-
drawal of the applied major load with the minor load still
applied and the indentation made by the minor load can be
measured from the number of divisions in a counterclockwise
direction from the set point on the dial to the rest position of
the large pointer indicating the hardness number. Since the
Rockwell hardness number on the dial face are reversed with
respect to the movement of the large pointer on the dial face,
a shallow indentation caused by the major load will indicate a
high Rockwell hardness number, and a deeper indentation
will indicate a correspondingly lower hardness number. The
Rockwell readings before elastic recovery of metal under test
and the Rockwell hardness numbers for steel ball and Brale
indenters are shown by the following expressions:
For the steel ball indenter; Rockwell reading
before elastic recovery of metal
ð3:14aÞ
Dht mm ðht % hm Þ mm
¼ 130 % ¼ 130 %
0:002 mm 0:002 mm
Dh mm
Rockwell hardness number ¼ 130 %
0:002 mm
ðh % hm Þ mm
¼ 130 %
0:002 mm
ð3:14bÞ
For the Brale indenter; Rockwell reading
before elastic recovery of metal
ð3:15aÞ
Dht mm ðht % hm Þ mm
¼ 100 % ¼ 100 %
0:002 mm 0:002 mm
Dh mm
Rockwell hardness number ¼ 100 %
0:002 mm
ðh % hm Þ mm
¼ 100 %
0:002 mm
ð3:15bÞ
where
ht the total depth of indentation upon application of the
major and minor loads combined,
3 Hardness
h the depth of indentation upon withdrawal of the
applied major load with the minor load still applied
hm the depth due to application of minor load and
∆h the depth difference between indentation upon
withdrawal of the applied major load with the minor
load still applied and indentation made by the minor
load ¼ h % hm ¼ ðht % hr Þ % hm ¼ ðht % hm Þ % hr ¼
Dht % hr ; in which hr ¼ the depth recovered elastically
upon withdrawal of the applied major load
For example, if after application of the major load, the
large pointer rotates in an anticlockwise direction from set
point to 32 on the dial in black scale for Brale indenter or 62
in red scale for ball indenter, as shown in Fig. 3.6, the depth
due to application of the major load, Dht ¼ AC % AB (in
Fig. 3.8) will be, respectively, ð100 % 32Þ - 0:002 mm ¼
0:136 mm; or ð130 % 62Þ - 0:002 mm ¼ 0:136 mm: If after
withdrawal of the major load, the large pointer rotates in a
clockwise direction from numbers 32 to 47 on the dial in
black scale for Brale indenter or 62 to 77 in red scale for ball
indenter, as shown in Fig. 3.7, then the depth difference
Dh ¼ BD (in Fig. 3.8) will be, respectively, ð100 % 47Þ -
0:002 mm ¼ 0:106 mm; or ð130 % 77Þ - 0:002 mm ¼
0:106 mm: The above difference Dh corresponds to the
Rockwell hardness number 47 for Brale indenter and 77 for
ball indenter. Hence, elastically recovered depth in Fig. 3.8
is hr ¼ DC ¼ ðAC % ABÞ % BD ¼ 0:136 % 0:106 ¼ 0:30 mm;
which is same as the earlier derived value.
However, the maximum depths of penetration for steel
ball and Brale indenters are obtained when the Rockwell
hardness number = 0.
Therefore, the maximum depth of penetration for the steel
ball indenter is:
ð130 - 0:002 þ hm Þ mm ¼ ð0:26 þ hm Þ mm:
And the maximum depth of penetration for the Brale
indenter is:
ð100 - 0:002 þ hm Þ mm ¼ ð0:20 þ hm Þ mm:
At the beginning of the test, it is always better to check
the accuracy of Rockwell hardness tester using special test
blocks that are available for all ranges of hardness. If the
error of the tester is more than ±2 hardness numbers,
reconditioning of the tester to bring it into proper adjustment
is required. Further, when comparing test results, it is nec-
essary to establish the speed and time of application of the
major load. The machine should be so adjusted that the
operating handle will complete its travel in 4–5 s under the
application of the major load of 90 kg without any specimen
on the anvil. It has already been specified that the period of
3.8 Rockwell Hardness
full application of the major load, while indenting specimen,
should not be more than 2 s.
3.8.7 Advantages
• Its advantage over the Brinell test is that it can measure
the hardness of harder materials that is beyond the scope
of the Brinell test.
• It is faster because arbitrary hardness values can be read
directly from the dial of the machine. Due to the rapidity
of the test, it is widely used in industrial work.
• It differs from the Brinell test in that the indenters and the
loads are smaller, and hence, the resulting indentation is
smaller and shallower, which is less objectionable in the
finished parts.
• Due to application of minor load, the surface preparation
of the specimen is minimized in comparison to the Bri-
nell as well as Vickers hardness tests, to be discussed in
Sect. 3.10. Only rough grinding of specimen surface may
be adequate for Rockwell hardness test.
3.9 Rockwell Superficial Hardness
The Rockwell superficial hardness tester is a special-purpose
machine, designed for indentation hardness test under a
constant static load, where
• Only very shallow indentation is permissible.
• It is desired to know the surface hardness of the
specimen.
• It might require light loads for testing for some other
reasons.
As the depth of indentation is usually less than
0.125 mm, the superficial tester is applied particularly to test
thin sheets of brass, bronze and steel, such as razor blades,
and to determine the surface hardness of nitrided steel and
lightly carburized or decarburized steel, etc.
3.9.1 Principle of Operation
The principle of operation of the Rockwell superficial
hardness tester is the same as that of the regular Rockwell
tester, but the superficial tester differs from the regular one
with respect to hardness scales, the magnitude of applied
load, sensitiveness of depth-measuring system and numerals
of direct-reading dial. The superficial tester applies a minor
load of 3 kg and total loads of 15, 30 or 45 kg, instead of the
10-kg minor load and the 60-, 100- or l50-kg total loads of
139
the regular Rockwell. For hardness measurements on thin
sheets of the softer metals, the superficial tester employs the
steel ball indenters of the same diameters as used in the
regular Rockwell test. A Brale indenter, very similar to that
used in the regular Rockwell, is employed in the superficial
test for harder materials, such as hardened steel surfaces,
except that a closer tolerance limit is maintained in the
shaping of the spherical end of the superficial Brale.
Similar to the regular one, the superficial direct-reading
dial face is also inscribed with 100 equal division marks and
each division represents one unit in the Rockwell superficial
hardness number. The outermost figures inscribed on the left
half of the dial face shown in Figs. 3.5, 3.6 and 3.7 are used
for measurements of hardness and depth of indentation in
Rockwell superficial hardness test. However, the superficial
dial differs in that it has only one set of figures from 0 to 100,
and each division is equivalent to an indentation depth of
0.001 mm caused by the vertical motion of the indenter into
the test piece. So the superficial tester has a more sensitive
depth-measuring system because of the more shallow
indentations made by it. Similar to the Rockwell hardness
number, the Rockwell superficial reading before elastic
recovery and the Rockwell superficial hardness number for
the indenters of steel ball and Brale are given by the fol-
lowing relation:
For the steel ball and the Brale indenter
Rockwell superficial reading before elastic recovery
Dht mm ðht % hm Þ mm
¼ 100 % ¼ 100 %
0:001 mm 0:001 mm
ð3:16aÞ
Rockwell superficial hardness number
Dh mm ðh % hm Þ mm ð3:16bÞ
¼ 100 % ¼ 100 %
0:001 mm 0:001 mm
All the terms in (3.16) have been defined before in rela-
tion to (3.14) and (3.15).
The accuracy of the superficial tester is checked by means
of special test blocks, similar to those used in the regular
Rockwell test.
3.9.2 Superficial Hardness Scale
The hardness scales for the regular tester cannot be used for
the superficial tester due to difference in the magnitudes of
their applied loads. So just like the regular Rockwell scales,
arbitrary superficial hardness scales have been developed
depending on the major load and the type of indenter used.
Since the Brale in the superficial machine is intended
especially for use on surface of ‘nitrided’ steels and the
1=16 in:-diameter steel ball for testing ‘thin’ sheets of the
140
Table 3.6 Rockwell superficial hardness scalesa
Total static Scale symbol or prefix letter
load (kg) N scale T scale
Type of N Brale or 1 1
16 in:-diameter ball
indenter diamond cone
15 15 N 15 T
30 30 N 30 T
45 45 N 45 T
Minor load = 3 kg
a
Based on ASTM E 18
softer metals, such as brasses, bronzes and unhardened steel,
the letters N and T have been selected, respectively, for scale
designations of the above indenters. So, the particular Brale
used in the superficial tester is designated as the ‘N Brale’.
The standard superficial hardness scales are shown in
Table 3.6.
To report Rockwell superficial hardness number, it is
essential to prefix each dial reading with the appropriate
hardness scale symbol depending on each combination of
the indenter used and the magnitude of major load applied
during the test, just as in the case of reporting regular
Rockwell hardness numbers because the dial reading alone
has no meaning.
For example, if the indenter used is 1=8 in: diameter steel
ball and the magnitude of total load applied is 30 kg in a test,
the Rockwell superficial hardness scale will be ‘30 W’ and if
the dial reading in that test is found to be 50, the Rockwell
superficial hardness number will be reported as 30 W-50.
3.9.3 Merits and Demerits
The superficial test, employing lower values of the applied
loads than the regular test, forms extremely small and
shallow indentation on the test surface particularly by the
1=16 in: diameter ball or the Brale indenter. So, the condi-
tion of the test surface in the superficial test must be
smoother and less irregular than that required in the regular
test. The superficial test has the following merits and de-
merits over the regular hardness test with respect to the
condition of the test surface, although the advantages of both
the above tests over other test methods are very much
similar.
• The merit is that the extremely small and shallow
indentation is much less objectionable in the finished
parts.
• The demerit is that a careful surface preparation of the test
piece is required. Surface polishing of the test piece is
desired for accurate hardness measurement because of
formation of the extremely small and shallow indentation.
3 Hardness
W scale X scale Y scale
1 1
8 in:-diameter ball 4 in:-diameter ball 2 in:-diameter ball
15 W 15 X 15 Y
30 W 30 X 30 Y
45 W 45 X 45 Y
3.10 Vickers Hardness
The Vickers hardness test, used to determine quantitatively
the indentation hardness of material under the application of
a constant static load, is a widely accepted method for
research work because it is capable of measuring hardness
from very soft materials to extremely hard materials without
changing the load or indenter unlike the Brinell or Rockwell
hardness test. So the hardness of different materials can be
compared with a continuous scale of Vickers hardness under
a constant load, or if required by varying the applied load,
since the Vickers hardness is normally independent of load.
Further, the test can be used to measure the hardness of thin
sheets and superficial hardened surfaces. A photograph of
one model of Vickers hardness tester is displayed in Fig. 3.9.
3.10.1 Indenters and Loads
The standard indenter of the Vickers hardness test is made of
diamond in the form of a square-based pyramid with an
included angle of 136) between opposite faces. Such design
of this Vickers indenter was specified by the British Stan-
dards Institution and accepted universally. A Vickers
indenter is shown in Fig. 3.10a, and indentation by Vickers
producing square indentation on specimen surface is shown
in Fig. 3.10b.
The angle of 136) between opposite faces of pyramid
shaped indenter was purposely chosen because it approxi-
mates the most desirable ratio of indentation diameter,d; to
ball indenter diameter, D; i.e. d=D ¼ 0:375 in the Brinell
hardness test. If tangents are drawn to the edge of a Brinell
indentation, where d=D ¼ 0:375; the included angle
between the tangents will be 136) (discussed in Sect. 3.6),
which is the same as the included angle between opposite
faces in the Vickers indenter.
In some model of Vickers hardness tester, the testing
facility with steel balls indenters of 1 and 2 mm diameters is
available, which can also be used to determine the Brinell
hardness under light load using this above machine.
3.10 Vickers Hardness 141

Micrometer
indentation. For most cases, an appropriate applied load is
screw 30 or 50 kg, although it is desirable to apply further higher
Indentation
focusing loads for the hardness measurement of a heterogeneous
Levers
optical under structure, like cast iron and certain non-ferrous alloys, if the
screen cover average hardness of such structure is desired.

Start push
Timer button
3.10.2 Principle of Operation
indicator
Convex lens
in front of The basic principles of operation of Vickers hardness test is
halogen the same as that of the Brinell hardness test, and the
Diamond lamp Vickers hardness scale is identical with that of the Brinell.
indenter Because of the precise shape of the Vickers indenter, the
Objective
Vickers hardness number is frequently called as the dia-
Anvil mond pyramid hardness number. Similar to the definition of
lens
the Brinell hardness number, the diamond pyramid hardness
number (DPH or DPN), or the Vickers hardness number
Hand wheel Weight (VHN, or VPH), expressed in units of kilograms per square
to elevate selection
knob millimetre, is defined as the ratio of the applied load, P in
anvil
kilograms, to the surface area of the elastically recovered
pyramidal indentation, AS in square millimetres. Like the
Brinell hardness, the Vickers hardness can be expressed as
follows:

Fig. 3.9 One model of a Vickers hardness tester (Courtesy Prof. P !

VHN or DPH ¼ kg mm2 ð3:17Þ
K. Biswas, IIT Kharagpur) AS

The loads that can be applied to the indenter in Vickers
hardness tester are 1, 2.5, 5, 10, 20, 30, 50, 100 and 120 kg
through appropriate selection of weights. The largest possi-
ble load should be selected for a given test depending on the
purpose of the test, the relative hardness of the test piece and
its dimension, particularly its thickness, provided that the
image of the indentation is not bigger than the measuring
area of the image viewing screen of the instrument. This will
reduce the personal error arising from the measurement of
diagonal lengths of a smaller sized square-shaped
where,
P the applied load in kg and
As the lateral area of elastically recovered pyramidal
indentation in the test piece, sq mm
The lateral area, AS ; is calculated from microscopic
measurements of the lengths of the diagonals of the square
base of the pyramidal indentation.
Different geometrical parameters of a schematic Vickers
indentation are shown in Figs. 3.11a, b. From these figures,
we can write

Fig. 3.10 a A Vickers indenter. P

b Indentation by Vickers (a) (b)
producing square indentation on
specimen surface

Surface of h
test piece
136°

a
D

Square indentation
142 3 Hardness

AS ¼ 4 - area of each lateral triangular face, Substituting the value of AS from (3.19) into (3.17), a
that constitutes1=4 th part of lateral area working formula to determine VHN or DPH is obtained as
follows:
of the pyramidal indentation
' (
1 P P
¼4- - base - altitude of each lateral triangular face VHN or DPH ¼ 2 ¼ 1:854 - 2 ð3:20Þ
2 D =1:854 D
' (
1
¼4- - a - LS ¼ 2aLS where
2
ð3:18Þ P the applied load in kg and
D the average diagonal length of square indentation in mm
where
Accurate measurement of the lengths of two diagonals of
a the length of each arm of the square base of the the square indentation, D1 and D2 ; for each indentation
pyramidal indentation that is the same as the base of should be taken and the arithmetic average of D1 and D2
each triangular face, mm and must be put in place of the average diagonal length of the
LS the slant height of the pyramidal indentation that indentation, ‘D’, in the above (3.20) for calculation of DPH.
is same as the altitude of each lateral triangular In practice to eliminate the calculation of DPH with
face, mm (3.20), DPH corresponding to the measured average diago-
Suppose, D ¼ average diagonal length of the square base nal length may be determined directly from the computed
of the pyramidal indentation, mm. table based on any applied load, say P0 kg. For an applied
For a perfectly square indentation, the relation between D load of P kg, DPH may be determined using the above table
and a is given by based on P0 kg in the following manner:

D (a) Measure the average diagonal length of the indentation,

D2 ¼ 2a2 ; or; a ¼ pffiffi :
2 ‘D’ in mm.
(b) Multiply ‘D’ by P0 and obtain an adjusted diagonal
As the included angle between opposite faces of the
length D0 mm.
pyramid indentation is 136) ; so from Fig. 3.11b, the slant
(c) Determine DPHP0 kg corresponding to
height LS may be expressed as 0 0
D mm½¼ DðmmÞ - P '; from a table computed for a
% pffiffi & load of P0 kg.
AC a=2 D= 2 2
LS ¼ AO ¼ ¼ ¼ (d) Get the correct value of DPHPkg by multiplying the
sin 68) sin 68) sin 68)
DPHP0 kg [determined in step (c) from the table], with
If the value of LS is substituted in (3.18), the total product of the actual applied load ‘P’ and the table load
lateral area of the indentation, AS ; can be obtained as P0 i.e. with ðP - P0 Þ:
follows:
Justification of the above is as follows:
% pffiffi &
D= 2 2 D D D2 From a table computed for a load of P0 kg,
AS ¼ 2a ¼ 2 pffiffi pffiffi ¼
sin 68 )
2 2 2 sin 68 ) 2 sin 68)
D 2
D 2 1:854 - P0 1:854 - P0 !
¼ ¼ ð3:19Þ DPHP0 kg ¼ ¼ 2
kg mm2 :
2 - 0:927 1:854 D02 ðD - P Þ
0

Fig. 3.11 a Vickers indentation (a) (b)

(not to scale), showing different D
geometrical parameters.
b Section ACBOA in a is redrawn a
for derivation of Vickers hardness B a
number 2 C B
A
C 68°
h
LS
A O

h
136º
O
3.10 Vickers Hardness
For an applied load of P kg, the correct value of Vickers
hardness will be:
1:854 - P0 - ðP - P0 Þ 1:854 - P !
DPHPkg ¼ ¼ kg mm2 :
D2 - P02 D2
3.10.3 VHN Versus BHN
The Vickers and Brinell hardness numbers are practically
identical up to the hardness value of about 300 kg/mm2,
beyond which the Vickers hardness numbers give the true
indication of the hardness values, whereas the Brinell
hardness numbers become lower than the Vickers hardness
numbers, as illustrated in Fig. 3.12. For harder materials, the
Brinell indenter made of steel suffers from distortion which
produces a lower value of Brinell hardness number. The
distortion of the steel ball indenter increases with the rise of
hardness of materials and causes further decrease in BHN. It
was observed that materials harder than about 600 Brinell
would result remarkably lower hardness values when mea-
sured with the Brinell than with the Vickers, because of
insignificant amount of deformation of the diamond indenter
of the Vickers test performed at the high hardness level. For
example, the Vickers hardness of 1300 is equivalent to the
Brinell hardness of about 850. As shown in Fig. 3.12, the
Vickers hardness curve remains practically straight at all
hardness values, whereas at hardness above 300 kg/mm2 the
Brinell hardness curve starts bending to result in a lower
value and it diverges remarkably causing an unacceptable
hardness value above 600 Brinell, where the Vickers test is
considered to be a reliable hardness measurement.
3.10.4 Operational Method
The Vickers hardness instrument is semi-automatic in oper-
ation that normally requires care, rather than skill on the part
of the operator. Because of the very small indentation nor-
mally produced, it is recommended that the test surface must
be polished like a metallographic specimen. For conducting a
test with Armstrong-Vickers hardness tester, the polished test
piece placed on the anvil is raised by means of a hand wheel
or a screw and the test surface is brought into contact with the
indenter. By tripping the starting lever, a loading beam, with
a usual ratio of 20:1, is unlocked and weight attached thereon
causes to apply the selected load to the indenter for some
definite preset duration. The preselected load is applied
slowly and at a decreasing rate for the last part of the loading
and thus, eliminates practically the errors that might arise due
143
1000
Vickers diamond indenter
800
Brinell hardness values
600
400
10 mm steel ball indenter of
Brinell, with 3000 kg load
200
0
0 200 400 600 800 1000
Vickers hardness values
Fig. 3.12 Illustrating approximate divergence of Brinell from Vickers
hardness number at high hardness values (Kehl 1949)
to inertia effects and sudden application of the entire load.
The load is automatically removed after the preset period of
full load application which varies between 10 and 30 s, where
the most common is 20 s. Operation of a foot or hand lever
resets the machine. After an indentation has been formed on
the surface under test, the test piece along with its supporting
anvil is first lowered by means of a hand wheel and a
metallurgical-type microscope attached to the side of the
instrument is swung over the indentation formed on the
specimen surface. The eyepiece attached to the microscope
can be rotated through 90° or more about its principal axis
and thus enables to measure both the diagonals of the square
indentation with an accuracy up to 0.001 mm.
In some models of the Vickers hardness tester, the spec-
imen surface is not brought into contact with the indenter but
is brought close to the point of the indenter until the image of
the polished surface of the test piece is focused on a viewing
screen mounted above the instrument. After the formation of
an indentation on the surface of the test piece due to appli-
cation of the selected load to the indenter for some definite
preset length of time, the test piece is not shifted from its
earlier focused position on the anvil. A magnified square
image of the indentation is projected and focused on the
above viewing screen, which can be rotated through 90° and
facilitate to measure both the diagonal lengths of the square
indentation. In comparison to the Armstrong-Vickers hard-
ness tester, this above model saves time particularly for
routine hardness testing in production.
144
3.10.5 Minimum Thickness of Test Section
As discussed previously in Sect. 3.3, the minimum thickness
of the test section should be at least ‘10 - h;’ where ‘h’
is the depth of the indentation. For Vickers hardness test, it is
recommended that the minimum thickness of the test piece
be at least 1.5 times the diagonal length of the indentation,
‘D’, i.e. at least ‘1:5 - D’. It can be shown that 1:5 - D ,
10 - h; which is as follows:
With reference to Fig. 3.11b,
AC a=2 a The Vickers hardness test has the following advantages:
¼ ¼ tan 68) ; or ; ¼ 2:475 - h;
CO h 2
pffiffi
) Minimum thickness ¼ 1:5 - D ¼ 1:5 - 2a
pffiffi
¼ 1:5 - 2 - fð2 - 2:475Þhg
¼ 10:5 - h:
3.10.6 Anomalous Behaviour
A perfect Vickers indenter would form a perfect square
indentation, as shown in Fig. 3.10b. However, two types of
anomalous behaviour similar to those described previously
for Brinell indentation can frequently occur with a Vickers
indenter because of localized deformation of the material at
the indentation, as illustrated in Figs. 3.13a, b. The sketch in
Fig. 3.13a is the ‘pincushion indentation’ which results due
to ‘sinking in’ or formation of depressed surface of the
material around the flat faces of the Vickers indenter. Hence,
the straight arms of the square indentation are changed to the
concave ones. The measured diagonal length of such inden-
tation is greater than the true diagonal length of a perfect
square indentation and would result in a low hardness value.
This type of behaviour is commonly found in annealed
materials having a high rate of strain hardening. The
‘barrel-shaped indentation’, as shown in Fig. 3.13b, is the
result of ‘ridging’ or ‘piling up’ of the material around the flat
faces of the Vickers indenter, where the straight arms of the
(a) (b)
Fig. 3.13 Anomalous behaviour with a Vickers indenter. a Pincushion
indentation due to sinking in; b Barreled indentation due to ridging or
pilling up
3 Hardness
square indentation become the convex ones. The measured
diagonal length of such indentation is found to be lower than
the true diagonal length of a perfect square indentation and a
high hardness value would result. This type of behaviour is
frequently observed with cold-worked materials having little
ability to strain-harden. It has been proposed (Crowe and
Hinsely 1946) to correct this effect empirically.
3.10.7 Advantages and Disadvantages
• The Vickers hardness test is widely accepted for research
work because it is capable of measuring hardness from
very soft materials with a DPH of 5 to extremely hard
materials with a DPH of 1,500 without changing the load
or indenter unlike the Brinell or Rockwell hardness test.
So, the hardness of different materials can be compared
with a continuous scale of Vickers hardness under a
constant load, or if required by varying the applied load,
as the Vickers hardness is normally independent of load.
The reason for such load-independency is that the
impressions made by the pyramid indenter are geomet-
rically similar, no matter what their sizes are. This is
generally found to be the case, except at very light loads,
usually less than 300 g.
• The test is rapid than the Brinell test.
• The test provides accurate results for hardness as high as
1300 Vickers.
• The Vickers test may be performed on the finished parts,
because compared to the Brinell indentation Vickers
indentation is smaller and shallower, which is less
objectionable in the finished parts.
• The test can be applied for measuring hardness on test
piece as thin as 0.15 mm as well as hardness of super-
ficial hardened surfaces.
• A much more accurate reading can be made of the
diagonal measurement of a square indentation in this test
than can be made of the diameter measurement of a
circular indentation in the Brinell test, because the mea-
surement must be made between two tangents to the
circle in a Brinell impression.
In spite of these advantages, the Vickers hardness test is
not widely accepted for routine hardness testing in produc-
tion because of its following disadvantages:
• The test is slower than the Rockwell test.
• Careful surface preparation of the test piece is required.
Surface polishing of the test piece is desired for accurate
hardness measurement because of the very small size
indentation normally produced.
3.10 Vickers Hardness
• Chance for personal error in the measurement of the
diagonal length of Vickers indentation is involved, which
is absent in the Rockwell test.
3.11 Microhardness (Knoop Hardness)
To determine quantitatively the indentation hardness of
materials over a very small area under the application of a
constant static load, the National Bureau of Standards
introduced a diamond indenter known as the ‘Knoop’
indenter (Knoop et al. 1939; Natl. Bur. 1946) that would
produce an indentation smaller than that produced by the
Vickers indenter and developed the Tukon tester for the
purpose of microhardness testing that may be used as a
routine laboratory procedure. Although the Tukon tester is
normally supplied with the Knoop indenter, it can easily be
used with the standard Vickers 136) diamond pyramid
indenter. Hence, Knoop as well as Vickers indenter, both can
be used for microhardness measurements. In this section,
measurement of microhardness with Knoop indenter, i.e.
Knoop hardness has been considered.
The Tukon tester, attached permanently with a
metallurgical-type microscope, is fully automatic in making
the indentation. The operator selects the point of indentation
on the test piece under high microscopic magnification,
places the selected area to a position directly below the
indenter and applies the selected load for an effective period
of about 20 s and finally relocates the specimen under the
microscope after release of the load for reading the length of
the diagonal of the indentation from which the Knoop
hardness number is calculated.
3.11.1 Penetrators and Loads
The Knoop indenter, which is shown schematically in
Fig. 3.14a, is made of diamond in the form of a pyramid
Fig. 3.14 a Schematic shape (a)
(not to scale) of the Knoop
indenter, showing included
longitudinal and transverse angles
to be, respectively, 172) 300 and
130) 00 : b Associated shape of
Knoop indentation on surface of
test piece 172.5º
130º
145
with base rhombic in shape. It has an included longitudinal
angle, opposite to the longer or longitudinal diagonal of the
base, of 172) 300 and an included transverse angle, opposite
to the shorter or transverse diagonal of the base, of 130) 00 :
The indentation produced by the Knoop indenter, when
viewed normal to the specimen surface as shown in
Fig. 3.14b, is rhombic in shape with the longitudinal and
transverse diagonals being normal to each other and in the
approximate ratio of 7:1; as shown in the following (3.24),
that results in a state of plane strain in the deformed region.
The Tukon tester is capable of applying loads down to
25 g, and depending on the different models of the instru-
ment, the upper limit of the load applied to the indenter may
vary from 10 kg to even 50 kg, to extend the measurement
of macro-Vickers hardness at or above 1 kg load with the
use of the standard Vickers indenter. Various microhardness
testing machines other than the Tukon tester, such as Leco
microhardness tester, Buehler Micromet of various models,
are nowadays available in market. The available loads in
some microhardness testers are from 10 g to 1 kg or more,
and some microhardness testers can apply loads as low as 1
gm. A photograph of one model of microhardness tester is
displayed in Fig. 3.15.
Generally, the applied load should produce an indentation
as large as possible provided that the image of the indenta-
tion is not bigger than the measuring area of the image
viewing screen of the instrument. This will reduce the per-
sonal error arising from the measurement of diagonal length
of a smaller sized rhombic-shaped indentation. An appro-
priate load is selected by trial depending on the purpose of
the test, the relative hardness of the test piece and its
dimension, particularly its thickness. The depth of the
indentation need not exceed about 1 micron that can be
achieved by appropriate selection of loads. Note that the
depth of Knoop indentation is: h ffi l=30; as shown in the
following (3.23), where l is the length of longitudinal or
longer diagonal of the indentation. In microhardness tests,
the most commonly used loads suitable for material layers
that are thicker than about 3 mm range from 100 to 500 gmf.
(b)
l
w
h
l
l = 7.114w h≅
30
146 3 Hardness

Fig. 3.15 One model of a Load selector knob

Microhardness tester (Courtesy
Prof. K. Biswas, IIT Kharagpur) Ocular

Indentation
value input
Halogen
switch
lamp
house Measurement
knob
Objective
Indenter
lens
Up / down
handle
Cross-travel
stage
Display
Loading unit
start
switch
Levelling screws

3.11.2 Principle of Operation ratio of the longitudinal to the transverse diagonal is about
7:1, as shown in the following (3.24), which causes the
The Knoop hardness number (KHN), expressed in units of elastic recovery of the projected indentation to occur mainly
kilograms per square millimetre, is defined as the ratio of the along the transverse or shorter diagonal, rather than along
applied load, P in kilograms, to the elastically unrecovered the longitudinal or longer diagonal. As the elastically unre-
projected area of the indentation, Aup in square millimetres. covered projected area of the indentation, Aup ; is more pre-
That is, cisely related to the elastically unrecovered longitudinal or
longer diagonal length, l, than to the elastically recovered
P
Knoop hardness number or KHN ¼ Kg=mm2 ð3:21Þ diagonal length, w, it is required to measure l and not w. So it
Aup is necessary to express Aup in terms of l only as follows, so
where that the Knoop hardness number or KHN can be determined
in terms of l only. With reference to Fig. 3.16, we get
P applied load in kg and
Aup projected area of elastically unrecovered indentation The depth of Knoop indentation,
in the test piece, sq mm l=2 w=2
h¼ ¼
It must be noted that for the Knoop hardness, the area of tanð172) 300 =2Þ tanð130) 00 =2Þ
the indentation is the elastically unrecovered projected area l=2 w=2 l w
Or, h ¼ ¼ or; h ¼ ¼
and neither the elastically recovered projected area as in the 15:257 2:1445 30:514 4:289
Meyer hardness nor the elastically recovered surface area as ð3:23Þ
in the Vickers and Brinell hardness tests. The area Aup for
From (3.23)
Knoop hardness is determined from the measurement of
elastically unrecovered longitudinal or longer diagonal length 30:514
of Knoop indentation after the release of the applied load. l¼ - w ¼ 7:114 - w ð3:24Þ
4:289
For rhombic base of Knoop indentation, as shown in
Fig. 3.14b, suppose w ¼ length of transverse or shorter Or,
diagonal of the base, mm, and l ¼ length of longitudinal or 1
longer diagonal of the base, mm. w¼ - l ¼ 0:14056 - l ð3:25Þ
7:114
As l and w are normal to each other,
' ( Substituting the value of w in terms of l from (3.25) in
1 w l wl (3.22), the elastically unrecovered projected area of the
) Aup ¼ 4 - - - ¼ ð3:22Þ
2 2 2 2 indentation will be expressed as

It has been mentioned earlier that there is always some ð0:14056 - lÞl
Aup ¼ ¼ 0:07028 - l2 ¼ Cp l2 ð3:26Þ
elastic recovery of the indentation after the release of the 2
applied load. Owing to the shape of the Knoop indenter the
3.11 Microhardness (Knoop Hardness)
(a)
l w
2 2
86.25º
Fig. 3.16 Vertical sections of Knoop indentation along a the longitudinal diagonal and b the transverse diagonal of the rhombic base
where Cp ¼ 0:07028 ¼ theoretical Knoop indenter constant
relating the longer diagonal l to the elastically unrecovered
projected area, Aup :
Combining (3.21) and (3.26), we get the working equa-
tion for the Knoop hardness number or KHN as follows:
Knoop hardness number or KHN
P P ! ð3:27Þ
¼ 2
¼ 2
kg mm2
Cp l 0:07028 - l
Equation (3.27) is applicable for an indentation formed by
a theoretically perfect Knoop indenter. The equation for KHN
is also valid for an acceptable Knoop indenter, which has an
indenter constant within 1%of the theoretical value that is the
constant value must be within the range of Cp / 1% - Cp :
Hardness measurements can be made on etched, as well
as unetched specimens and also on smaller sized objects that
are mounted in conventional metallographic plastics.
3.11.3 Advantages and Disadvantages
For the same diagonal lengths, as the depth and projected
area of a Knoop indentation are, respectively, 23 and 14% of
those of a Vickers indentation, (derived in Prob. 3.18.6), the
volume of the deformed zone will be lower in the Knoop
hardness test than in the Vickers hardness test. So, compared
to the Vickers test, the Knoop test is advantageous for
measurement of
• Hardness over a very small area, such as (a) individual
constituents of a microstructure, i.e. structural phases in
alloyed metals; (b) microscopic areas of segregation;
(c) delicate watch gear; (d) single crystals; (e) tips of
cutting tools; (f) small wires.
• Hardness of very thin sheet materials and of surface
layers, such as (a) thin electroplated materials; (b) car-
burized, decarburized and nitrided surfaces.
• A steep hardness gradient at a carburized surface or
adjacent to a critical surface, because it is possible to
147
(b)
65º
h
place the rhombic Knoop indentations much closer
together than the square Vickers indentations.
• Hardness of very hard and brittle materials, such as
glass, porcelain, metallic carbides, because in a brittle
material the tendency for fracture is proportional to the
volume of the stressed material, i.e. the volume of the
zone of deformation, which is much less for a Knoop
indentation.
• Hardness on the finished parts because smaller and
shallower Knoop indentation is less objectionable in the
finished parts.
Similar to the Vickers test, the other advantages of the
Knoop test are:
• The Knoop test is rapid than the Brinell test.
• A much more accurate reading can be made of the
diagonal measurement of a rhombic indentation in this
test than can be made of the diameter measurement of a
circular indentation in the Brinell test.
The disadvantages of the Knoop hardness test are:
• The test is slower than the Rockwell test.
• Metallographic polishing of the surface of the test piece
is essential to make the surface free from defects and
scratches for accurate measurement of hardness because
the indentation formed by the Knoop indenter, particu-
larly under very light loads, is extremely small in size.
• Chance for personal error in the measurement of the
diagonal length of the very small-sized Knoop indenta-
tion is involved, which is absent in the Rockwell test. As
the size of the indentation decreases, the chance for
erroneous measurement increases.
• Careful grinding of the back side of the specimen or
specimen mount and accurate checking for parallelism
with the prepared surface by means of a measuring
micrometer may be required in order to place the speci-
men surface normal to the vertical axis of the indenter
and to avoid errors in the final hardness number.
148
3.12 Monotron Hardness
The Monotron hardness test also operates on the indentation
principle; but in this test the depth of the indentation is fixed
or predetermined under the application of variable static
loads during hardness measurements of different materials,
whereas different sizes of the indentations are formed under
an applied constant load in other hardness tests, discussed
previously.
The Monotron hardness tester is a constant-depth
direct-reading pressure instrument, in which the specimen
is placed on the anvil and brought into contact with the
indenter. The load is applied to the indenter for penetration
into the test piece up to a fixed depth by means of a side arm,
where it is difficult to control the load precisely. Thereafter,
the hardness is read from a dial attached to this devise.
3.12.1 Indenters and Hardness Scales
The standard Monotron indenter is made of diamond in the
shape of hemisphere with a diameter of 0.75 mm. When the
standard depth of indentation is maintained, the hardness
measurements obtained with this standard Monotron inden-
ter are referred to M-1 scale. The term ‘Monotron hardness’
indicates the hardness values with reference to the M-1 scale.
There are three more scales; they are M-2, M-3 and M-4.
When hemispherical diamond tip of 1 mm diameter is used
as an indenter it is referred to as M-2 scale but it is seldom
used because the M-l scale normally meets the purpose that
would be served by the M-2 scale. When soft materials are
tested with the standard indenter of 0.75 mm diameter, the
small differences in their hardness values are difficult to
determine. So for testing on soft materials, the standard
indenter is replaced by larger sized indenters made of
tungsten carbide that are available in diameters of either 1.53
or 2.5 mm and the hardness values obtained with these
indenters are referred to as M-3 and M-4 scales, respectively.
3.12.2 Principle of Operation
Depending on the hardness of the material under test, such a
load is applied to force the indenter into the test piece that the
indenter penetrates up to a fixed indentation depth of 0.0018
in. (0.04572 mm) under standard testing condition. This
standard depth corresponds to an indentation depth of 6% of
the 0.75-mm-diameter diamond indenter and produces an
indentation with diameter of 0.36 mm (derived in Prob.
3.18.7). The Monotron hardness number is defined as the
ratio of the applied load to the projected area of the elastically
‘unrecovered’ indentation, prior to the release of applied
3 Hardness
load. The Monotron hardness is same as the pressure, having
units of kilograms per square millimetre, necessary to give a
fixed indentation depth of 0.0018 in. (0.04572 mm).
P !
Monotron hardness number ¼ kg mm2
Aup
4P !
¼ 2 kg mm2 ð3:28Þ
pdup
where
P applied load in kg,
Aup elastically unrecovered projected area of indentation
in the test piece, mm2, and
dup diameter of indentation prior to release of the applied
load, mm.
There is a hardness registering dial, which is inscribed
with an inner set and an outer set of hardness numbers
increasing in a clockwise direction. The inner set is equally
divided into 160 divisions, and each division represents a
pressure of 1 kg per mm2, i.e. one unit in the Monotron
hardness number. So the Monotron hardness number in M-1
scale can be read directly from the hardness registering dial
in terms of kilograms per square millimetre while the load is
still applied to the indenter. The outer set is numbered
directly in Brinell hardness numbers, which may be read
directly from this dial only when the standard test conditions
are maintained.
In M-1 scale, as dup = 0.36 mm, so the applied load will
be:
p % ! &
PðkgÞ ¼ ð0:36 mmÞ2 -Monotron Hardness Number kg mm2 ;
4
read from the dial:
Therefore, in the standard test with M-1 scale, the load
required to force the standard penetrator to a depth of 0.0018
in. can be calculated from the reading indicated on the
hardness registering dial.
There is also an indentation depth indicating dial, which
consists of an inner set and an outer set of number scales. Each
scale is divided into 100 equal numbered divisions, and each
division represents an indentation depth of 0.0002 in.
(0.005 mm) caused by the vertical motion of the indenter into
the test piece. The number of the inner set scale increases in a
clockwise direction and is utilized for standard constant-depth
Monotron hardness testing, whereas the number of the outer
set scale increases in an anticlockwise direction and is used to
measure the hardness in terms of flow and ductility under
selected constant loads. Resetting of the dial indicator to zero
value is not necessary at the beginning of each test due to
presence of twin indicators that help to get readings on the
dial. Releasing of the applied load causes elastic recovery of
3.12 Monotron Hardness
the metal under test during which the pointer on the dial face
moves in the counterclockwise direction towards zero number
before the pointer will come to a rest position. Similar to that
of the Rockwell tester, the displacement of the pointer on the
dial face can be used to measure the elastic recovery of the test
piece and the number in the dial scale corresponding to the
rest position of the pointer can be used to measure the depth of
permanent indentation.
An unprepared surface of the material, consisting of a
scaly, rough or decarburized layer, may be used for testing if
a prepressure is applied to penetrate the indenter through this
unwanted surface layer. To apply a prepressure, the pointer
of the hardness registering dial is first set at 10 or 20 or more
divisions below the zero mark. Then such a load is applied
that the pointer moves to the zero mark and at that instant the
pointer of the depth indicating dial is set at zero value. Now
the test is carried out as usual.
The standard depth of indentation in thin hard cases may
produce deeper penetrations and result in lower hardness
values, due to the presence of the underlying softer base
metal. In such cases, it is desired to have a shallower
indentation. Hence to determine the hardness on thin car-
burized or nitrided surfaces, a method of partial penetration
has been recommended. In this method, such a load is
applied that the indenter penetrates into the test piece up to a
fraction of the standard depth of indentation and the standard
hardness value is obtained by multiplying the pressure
reading with the reciprocal of the fractional value. For
example, if one-half or one-third or one-fourth of the stan-
dard depth is allowed to penetrate, the standard hardness
value is obtained by multiplying the pressure reading,
respectively, with 2 or 3 or 4.
Hardness test of wood is also a constant-depth test,
similar to Monotron hardness test. In wood-hardness testing,
a steel ball of 0.444 in. (11.28 mm) diameter is forced to
penetrate into the wood up to a fixed depth, which is equal to
half of the ball diameter. The load required for this pene-
tration is reported as the hardness of wood. This hardness
value is used for comparison purposes only.
3.12.3 Advantages and Disadvantages
The Monotron hardness test has the following advantages:
• The test is quite rapid in its operation, like the Rockwell
hardness test.
• The instrument is well suited to determine the hardness
of thin materials or case-hardened surfaces.
• The indentation mark is almost entirely invisible to the
unaided eye and so it is not objectionable for most fin-
ished surfaces because the standard depth of indentation
produces an indentation of 0.36 mm in diameter.
149
• The method of partial penetration, as described above,
may be used where it is desired to have a smaller sized
indentation.
• The test surface either in a prepared or an unprepared
condition may be used for testing with any of the
indenters mentioned above.
• The test is suitable to use over the entire hardness range
of materials.
The disadvantages of the Monotron hardness test are:
• Indentations of exactly the same sizes are difficult to
produce with the same indenter on the same material
because the depth indicating dial is not so sensitive.
• It is difficult to control the applied load precisely in this
device.
3.13 Shore Scleroscope Hardness
The most common example of a dynamic hardness tester is
the Shore scleroscope, invented by A. F. Shore in 1907, that
is, probably at the present time, the most widely used
dynamic hardness measurement device. It operates on the
indentation principle to determine quantitatively the hard-
ness of materials under the application of a constant dynamic
load. In the Shore scleroscope tester, a diamond-tipped
hammer, acting as an indenter, is usually dropped by its own
weight from a definite height onto the surface of the test
piece, and the hardness is measured by noting the height to
which the indenter rebounds from the surface, i.e. in terms of
the rebound height of the indenter. As the height of rebound,
rather than the size or depth of indentation, is taken as the
measure of hardness, the hardness measured by this instru-
ment is often called as ‘rebound hardness’, which is pro-
portional to the rebound height of the indenter. It should be
noted that the scleroscope hardness value is a purely arbi-
trary number having no unit, just like the Rockwell hardness
number. This hardness test is best used on finished surfaces
where large permanent indentations cannot be tolerated,
such as surface of a hardened steel roll.
There are two types of scleroscope instruments:
(a) ‘Vertical Scale’ type
The instrument consists of a drop tube, usually made of glass,
through which a small pointed hammer indenter is allowed to
fall downward from a height of 10 in. (254 mm) on the sur-
face of the specimen. After forming an indentation on the test
surface, the hammer rebounds upward and Scleroscope
hardness number is expressed by the rebound height of the
hammer. The drop tube is accurately aligned in a vertical
150
position that is ensured by plumb rod provide in the side of the
tester, otherwise hammer might strike the drop tube and cause
a lower hardness reading due to loss of energy in the collision.
The standard hammer is a cylindrical plug with tapering at one
end and weighs approximately 2.6 g (Kehl 1949). The
cylindrical plug is approximately 1=4 in: (6.35 mm) in
diameter and 3=4 in: (19.05 mm) long, and its tapered end is
fitted with a ground and polished diamond striking tip
rounded to a 0.01-in. (0.254 mm) radius (Davis et al. 1964).
The diamond tip, serving as the actual indenter, prevents
distortion of the hammer end while striking the test piece. As
the rebound height of the regular hammer is limited when
testing soft materials, small differences in their hardness
values are difficult to detect immediately. So for use on soft
materials, the regular hammer may be replaced by a magnifier
hammer, having a larger point area than the standard ham-
mer. The magnifier hammer gives a higher rebound height,
thus magnifying small but significant variations in hardness.
The indenter is lifted to the top position of the tube by an
air-suction device and held there by means of a mechanical
catch. The indenter is released from the mechanical catch by
air pressure, developed from squeezing a rubber air bulb,
and allowed to fall on the test surface whenever required for
hardness testing. The Shore hardness scale, to be discussed
subsequently, is inscribed within the drop tube, and the
hardness value is read from the scale by noting the top of the
first rebound height of the hammer indenter.
(b) ‘Dial recording’ type
The principle and the energy relationship of the dial
recording instrument is the same as those of the
vertical-scale-type tester. However, they differ from each
other with respect to the fall heights and weights of the
indenters, hardness measuring systems, their appearance and
design. The hammer indenter weighs approximately 37 g
and the distance through which it falls is only about 0.75 in.
(Kehl 1949). The rebound height of the indenter in the dial
recording type is automatically recorded on a dial attached to
the top of the instrument. The dial is calibrated directly in
scleroscope hardness numbers, and the dial hand moves to a
certain hardness value and rests there depending on the
rebound height of the indenter until it is reset.
3.13.1 Principle of Testing
When the hammer indenter falls from the definite height its
potential energy is transformed into kinetic energy, which is
consumed partly for plastic deformation, i.e. in the formation
of the indentation and partly in the rebound of the hammer. In
general, the harder the test piece, the lesser will be the plastic
deformation caused by the striking indenter and as a result the
3 Hardness
lesser will be the energy absorbed in forming the smaller sized
indentation. So the greater amount of energy will be available
for the indenter to rebound that will result in the higher
rebound height of the indenter and the corresponding higher
hardness of the material. For example, the energy absorbed for
plastic deformation in lead is 98% of the total energy available
from the striking indenter in comparison to only 20% in the
case of martensitic high-carbon steel (Kehl 1949). Hence, the
rebound height of striking indenter for martensitic
high-carbon steel is higher than that for lead, showing that the
former has higher hardness than the latter. It must be noted that
in addition to the resistance to permanent deformation, the
damping capacity of the material is an important factor on
which the rebound height of the indenter will depend. Apart
from energy expended for permanent deformation, the rest of
the energy is not fully utilized in the rebound of the hammer in
those materials having high damping capacity because some
energy is lost in the form of internal friction in such materials.
So the scleroscope hardness numbers between two dissimilar
materials such as rubber having high and steel having low
damping capacity cannot be compared. Obviously, rebound
hardness can be compared only in case of similar materials. If
Shore hardness measurements are carried out only for mate-
rials of low damping capacity, the loss of energy due to
internal friction will be negligible and the rebound hardness
will become virtually an indentation hardness measurement as
the rebound height would depend only on the energy absorbed
in forming the indentation.
The rebound height of the hammer from fully hardened
high-carbon steel usually varies between Shore scleroscope
numbers of 95 and 105. So the average rebound height of
100, being equivalent to hardness of martensitic high-carbon
steel, is divided into 100 equal divisions on the Shore
hardness scale. The area of contact between the indenter and
the test piece for martensitic high-carbon steel is only about
0.0004 sq. in. (0.258 mm2), and the stress exerted on the
surface of the test piece momentarily exceeds 4 - 105 psi
(2758 MPa) (Davis et al. 1964). In spite of the lightness of
the indenter, the stresses developed in all cases are suffi-
ciently high to overcome the resistance offered by the sur-
face of the hardest engineering materials. Most often the
scleroscope hardness scale is extended to 140 divisions to
make the hardness measurement possible on very hard and
brittle materials, such as glass, porcelain, metallic carbides.
3.13.2 Mass Effect of Test Piece
The mass of the test piece should be such that it can over-
come inertia effects or shock of the striking hammer. It has
been seen that a cubic-shaped block of hardened steel
weighing about 0.45 kg is sufficient to overcome inertia
3.13 Shore Scleroscope Hardness
effects. As the mass decreases, the amount of energy avail-
able for rebound of the hammer also decreases due to the
shock of the striking hammer on the test piece. This causes
to decrease the rebound height of the hammer and thereby
Shore hardness. Hence, the mass of test piece influences the
reproducibility of hardness values. Further, it has been seen
that the decrease in hardness with decrease in mass is more
pronounced in soft metals than in hard metals. For example,
if the mass is reduced from 0.45 to 0.225 kg or to 0.028 kg,
the rebound height of the hammer will be reduced by
approximately 1 and 20%, respectively, for the hardened
steel and by about 2 and 40%, respectively, for a metal
whose hardness is 1=5 of the hardness of the hardened steel
(Kehl 1949). If the mass of a specimen is not sufficient, the
specimen should be appropriately clamped between the anvil
and the drop tube of the instrument to avoid inertia effects. If
the test piece is properly clamped to the anvil, an audible
dull sound will be heard when the specimen (even when in
the form of sheet material) is struck by the falling hammer
during the test. A similar sound would be produced on
striking the anvil directly by the hammer. If the specimen is
not appropriately clamped, a higher pitched (shrill) sound
will be heard when the hammer strikes the specimen. Hence,
it is essential to listen carefully the sound produced during
the test when the test surface is struck by the falling hammer.
If a shrill sound is noted during the test, clamping is not
adequate, which must be rectified and the test has to be
repeated until the characteristic dull sound is heard.
3.13.3 Advantages
• The indentations, produced even on a soft surface, are so
minute that they do not become objectionable for a fin-
ished surface. For example, the depths of penetration on
specimen surfaces are 0.025 mm for mild steel and about
0.013 mm for hardened tool steel (Vander Voort 1999).
• Each variety of the instruments can be used as a portable
hardness tester when the scleroscope unit is detached
from its base.
• The hardness testing is quite rapid.
• Generally, the determination of hardness on round or
irregularly shaped surfaces does not involve any error,
unless the hammer, on striking the test surface, rebounds
to one side.
3.14 Poldi Impact Hardness
The Poldi test provides a method for quantitative determi-
nation of the indentation hardness of materials under impact
(dynamic) loading, although the accuracy of the hardness
151
values will be somewhat lower than that obtained by using
the more accurate table-type standard hardness testers.
The Poldi impact hardness tester is probably the cheapest
and the lightest indentation hardness measuring instrument.
Brinell hardness numbers and tensile strengths of steel and
BHN of other various non-ferrous metals can be found from
the tables of a booklet supplied with this device but neither
the standard Brinell hardness tester nor the tensile testing
machine can be replaced by the Poldi tester.
The instrument consists of a plunger pressed by a spring
within a cylinder, and a square slot is provided beneath the
plunger. A steel ball indenter of 10 mm in diameter is fixed
in such a way at the base of the slot on the diametrically
opposite side of the bottom face of the plunger that half
portion of the ball indenter remains inside the space of the
slot and half portion is projected outside and below the slot.
A standard test bar made of steel with square cross-section
having dimensions of 10 mm - 10 mm and usually 6 in. in
length is supplied with this device. The standard test bar is
tapered at one end to facilitate its insertion into the space of
the slot between the ball indenter and the plunger. The
dimensions of the slot will be such that the square
cross-section of the standard test bar is just fitted into it,
where the top and bottom surfaces of the standard test bar
touch, respectively, the bottom face of the plunger and the
top point of the ball indenter. Normally, the hardness value
of the standard test bar in BHN along with its tensile strength
value is supplied by the manufacturer.
3.14.1 Principle of Testing
The tapered end of the standard test bar is inserted into the
space of the slot between the ball indenter and the plunger,
and it is pushed further inside the slot beyond the tapered
end such that a clean surface of the bar touches the top point
of the fixed ball indenter. The standard bar will thus be
firmly gripped between the ball indenter and the plunger.
The surface of the test piece is properly ground or filed and
polished. The tester along with the inserted standard test bar
is placed vertically on the prepared surface of the test piece
so that it is touched by the ball indenter. Now, the top end of
the plunger is struck with a hammer that applies an arbitrary
unknown load P on the indenter to force it to penetrate into
the surfaces of the standard test bar as well as the test piece.
Obviously, there will be two indentations—one on the sur-
face of the standard test and another on the surface of test
piece. The striking with the hammer should be as far as
possible vertical and not be such hard that the diameter of
indentation on the standard bar or on the test piece crosses
4.2 mm. The diameters of these two indentations are mea-
sured accurately with a low-power microscope. Two read-
ings of the diameter of each nearly circular indentation at
152 3 Hardness

right angles should usually be taken and their arithmetic AS

Brinell hardness number of the test specimen; BHNT ¼ BHNS
average must be used to determine the hardness of the test h
AT
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii
piece as discussed below. If a non-circular indentation forms fðpDÞ=2g D % D2 % dS2 D % D2 % dS2
on the surface of test piece, the indentation diameters will be ¼ h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii BHNS ¼ h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii BHNS
fðpDÞ=2g D % D2 % dT2 D % D2 % dT2
measured in four directions, roughly 45° apart and their
arithmetic average must be considered to obtain the average ð3:31aÞ
hardness of the material.
Similarly, the Meyer hardness of the specimen can be
Suppose, the hardness of the standard test bar is HS and
determined in the following way, if AS and AT are considered
that of the test piece is HT and the areas of the indentations
as the projected areas of the two indentations and the value
on the surfaces of the standard test bar and the test piece are,
of HS is known or determined in the Meyer hardness num-
respectively, AS and AT. As the same load P is applied to the
ber. Assuming HT ¼ ðpm ÞT and HS ¼ ðpm ÞS ; Meyer hard-
standard test bar and the test piece through the same
ness number of the test specimen is:
indenter, so,
% 2 &! ' (2
P P AS pdS 4 dS
HS ¼ and HT ¼ ðpm ÞT ¼ ðpm ÞS ¼ 2
! ðpm ÞS ¼ ðpm ÞS ð3:31bÞ
AS AT AT ðpdT Þ 4 d T
ð3:29Þ
HT P=AT AS AS
) ¼ ¼ ; or; HT ¼ HS If the standard test bar is not available or lost, a steel bar
HS P=AS AT AT
with square cross-section having correct dimensions of
If the areas of the two indentations, AS and AT, are cal- 10 mm - 10 mm can be used as a standard test bar provided
culated from the average values of the measured diameters the hardness of the bar HS in BHN or in Meyer hardness is
of indentations on the standard bar and on the test piece, the determined by using the table-type standard Brinell hardness
hardness of the test piece, HT, can be determined as the tester.
hardness of the standard test bar, HS, is known or supplied to
us. Let,
3.14.2 Use of Supplied Table to Determine BHN
dS the average value of the measured diameters of
indentation on the standard bar, The supplied table is used to know the hardness value of the
dT the average value of the measured diameters of standard test bar HS in BHN, as supplied by the manufac-
indentation on the test piece and turer as well as Brinell hardness numbers and tensile
D the diameter of the steel ball indenter, usually 10 mm strengths of steel test piece and BHN of test pieces made
Normally the value of HS in BHN is supplied by the from other various non-ferrous metals and thus, the calcu-
manufacturer. In such case, AS and AT will be taken as the lation of BHN using the above (3.31a) can be avoided.
surface areas of the two indentations, which according to In the table, there are column for diameter of indentation
(3.2c), are expressed as follows: on standard test bar and row for diameter of indentation on
Surface area of indentation on the standard bar, test piece. The values of the tensile strength and BHN of the
" supplied standard test bar can be obtained, respectively, from
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi#
pD the upper and lower figures at any of the diagonal sites of the
AS ¼ D % D2 % dS2 ð3:30aÞ
2 table where any value of indentation diameter on the stan-
dard test bar in the vertical column intersects the same value
and surface area of indentation on the test piece, of indentation diameter on the test piece in the horizontal
" qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi# row. The standard bar is produced by the manufacturer with
pD
AT ¼ D % D2 % dT2 ð3:30bÞ an aim to maintain its tensile strength and BHN values same
2
as those provided in the table, but in production it is very
From (3.29), (3.30a) and (3.30b), the hardness of the test difficult to achieve the above. So each standard bar after its
piece, HT, can be determined in BHN, assuming HT ¼ production is properly tested and a multiplying factor is
BHNT and HS ¼ BHNS ; as follows: inscribed on it to take care of the variations in the strength
3.14 Poldi Impact Hardness
and hardness values, whereas the computed table based on
the aimed values of the tensile strength and BHN of the
standard bar remains unaltered.
After formation of indentations, the measured value of
diameter for the indentation on the standard test bar is first
selected in the column of the table and that on the specimen
is then selected in the row of the table. The respective values
of the tensile strength and Brinell hardness number of steel
test piece or only the BHN value of other non-ferrous metal
test piece can be read from the upper and lower figures or
from only one figure provided in the site of the table where
the selected vertical column and horizontal row intersect.
Most often the value of the tensile strength is supplied in the
unit of ton per square inch that may be converted into the
unit of kg per square mm or MPa by multiplying, respec-
tively, with 1.575 or 15.4448. All these strength and hard-
ness values of the test piece read from the table are based on
those values of the standard bar obtained from the table. If
some multiplying factor is inscribed on the standard bar, all
the strength and hardness values of the test piece read from
the table have to be multiplied with this factor in order to get
the correct values of the tensile strength and BHN of the test
piece, as shown in the following example.
Example
Suppose, diameter of indentation on the standard test bar =
1.8 mm and
Diameter of indentation on steel specimen ¼ 1.7 mm.
Tensile strength of steel specimen read from the supplied
! !
table ¼ 50:8 ton in:2 ¼ 80:01 kg mm2 ¼ 784:59 MPa:
Brinell hardness number of steel specimen read from the
! fully measured by the Herbert pendulum test. The test can be
supplied table ¼ 225 kg mm2 :
Brinell hardness number of the standard test bar obtained
! excessively thin test sections, wires, carburized and nitrided
from the supplied table ¼ 197 kg mm2 :
Multiplying factor is inscribed on the supplied standard
test bar ¼ 1.03.
So the correct Brinell hardness number of the supplied
!
standard test bar ¼ 197 - 1:03 ¼ 202:91 kg mm2 :
Hence, the correct Brinell hardness number of steel test
!
piece ¼ 225 - 1:03 ¼ 231:75 kg mm2 ; and
The correct tensile strength of steel test piece ¼ 50:8 -
! !
1:03 ¼ 52:324 ton in:2 ¼ 82:41 kg mm2 ¼ 808:13 MPa:
3.14.3 Advantages and Disadvantages
The Poldi impact hardness test has the following advantages:
• The Poldi impact hardness tester is a small-sized portable
instrument, whereas most table-type hardness testers are
not portable or small in size.
153
• The heavy specimens, which cannot be taken to a
table-type hardness tester for testing, can easily be tested
with this instrument.
• The tester can easily be handled, whereas most table-type
hardness testers require greater skill to operate them
properly.
• The tester is much cheaper than any standard table-type
hardness tester.
The disadvantages of the Poldi impact hardness test are:
• The accuracy of the Poldi hardness values will be
somewhat lower and may vary to the extent of ±10% as
against the more accurate table-type standard hardness
testers.
• Reconditioning or replacement of the plunger of this
instrument may be required when the protruding end of
the plunger gets deformed after some blows with the
striking hammer.
3.15 The Herbert Pendulum Hardness
The Herbert pendulum hardness test (Herbert 1926) may be
considered in the class of dynamic tests, although no impact
load is involved in the test. The tester is mainly a special
research instrument and used to measure hardness as well as
to study the work-hardening characteristics of metals. The
hardness of very hard materials, which would not be
appropriate to determine by the Brinell hardness test due to
attendant deformation of the ball indenter, can be success-
employed readily to measure quite accurately the hardness of
cases, etc. Since the test generally produces a deformation
mark of microscopic size on the test piece, it can also be
applied to breakable objects or finished surfaces, without
causing any visible damage to them. This test can also be
performed above and below ambient temperature.
The instrument consists of an arched metal frame of
12 in. (304.8 mm) in length which acts as pendulum and is
capable to stretch over flat surfaces of 6 in. (152.4 mm)
width or cylindrical articles of 8 in. (203.2 mm) diameter.
Under the centre of the arch, a suitable chuck holds a
1-mm-diameter hardened steel or diamond ball which makes
a contact at a point on the test surface. The centre of gravity
of the pendulum is set to a predetermined distance, usually
0.1 mm, below the centre of the ball, which can be con-
trolled by means of an adjustable weight. On the top of the
frame, there is a curved bubble tube which consists of a scale
graduated from 0 to 100, with the 50 mark directly over the
ball. The standard pendulum weighs 4 kg, but pendulums
154
weighing either 2 or 24 kg and equipped with 1-mm-
diameter hardened steel, ruby, or diamond balls may be
available that are used for special testing purposes.
The hardness is measured by swinging the pendulum and
to allow the free motion of the ball during the swing. The
test piece should be prepared to have reasonably smooth
surface without any surface imperfections. In making a test,
the ball is placed at the point on the surface of the test piece
where it is required to determine the hardness. The pendu-
lum is made to swing and, by noting the oscillations of the
pendulum when swung, the following various types of
hardness measurements may be obtained:
3.15.1 Time Test
The ‘time hardness number’ is determined by noting the
time in seconds required for 10 single swings (5 over and 5
back) of the pendulum through a small arc. It is a measure of
indentation hardness of the metal which can be converted to
Brinell hardness numbers. In the case of hardened steels, the
Brinell number is obtained directly by multiplying by 100
the number of seconds required for one single swing. Her-
bert obtained a time hardness value of 3 for lead, 85 for
hardened steel and 100 for glass. Indentation tests show that
hardened steels have higher hardness than glass.
3.15.2 Scale Test
The pendulum is tilted until the bubble arrives at zero mark
on the scale and then released for angular oscillation. The
‘scale hardness number’ is determined by noting the scale
number in the bubble level at the end of one swing. Since the
magnitude of the angle reached at the end of one swing of
the pendulum, which is recorded as the hardness, is depen-
dent upon the energy absorbed at the point of contact
between the ball and specimen surface, the scale hardness
number is said to measure the resistance of specimen (metal)
to deformation. Herbert obtained a scale hardness value of 0
for lead and 100 for glass. The flow hardness of a material is
expressed by the scale-time ratio, which is obtained by
dividing the scale hardness number by the time hardness
number.
3.15.3 Time Work-Hardening Test
If the pendulum ball is rolled over the test specimen by
moving the pendulum first to the extreme right and then to
the extreme left, the hardness of the material under the ball is
changed due to strain hardening. After each two passes of
the ball over the test specimen as described just above, a
3 Hardness
time test is performed and continued, until the time hardness
reaches a maximum value. The maximum induced time
hardness produced in the test specimen is a measure of
work-hardening capacity of the metal.
3.15.4 Scale Work-Hardening Test
The increase in work-hardening of the test specimen is
measured in this test by repeated rolling of the ball on the
same spot of the test specimen. Five scale tests are per-
formed successively by tilting the pendulum alternately in
opposite directions. The work-hardening capacity of the
metal is then expressed by the difference between the orig-
inal scale hardness number and the average of the other four
successively determined scale hardness numbers.
3.16 Nanohardness
Depending on the magnitudes of loads applied for indenta-
tions, hardness tests are classified into three categories:
• Macro-hardness tests, in which the magnitudes of
applied loads are 1 kgf (9.8 N) or greater. As discussed
in earlier sections, the applied loads may vary from 1 to
120 kgf in Vickers test, from 15 to 150 kgf in Rockwell
tests and from 6.25 kgf, which may be occasionally used,
to 3000 kgf in Brinell tests.
• Microhardness tests, performed with either Vickers
indenter or Knoop indenter, use smaller loads that vary
from 1 gmf (9.8 mN) to 1 kgf (9.8 N). The loads com-
monly used range from 100 to 500 gmf, and materials
thicker than about 3 mm is suitable for microhardness
measurements.
• Nanohardness tests or nanoindentation tests, in which
the magnitudes of applied forces are usually in the
milli-newton ð10%3 NÞ range, may be as low as 0.1 mN.
The forces involved are measured with a resolution of a
few nanonewtons ð10%9 NÞ: The test depends on the
simultaneous measurement of the load and the depth of
indentation produced by load. The measures of indenta-
tion depth are in the range of nanometres ð10%9 mÞ; rather
% &
than microns 10%6 m or millimetres ð10%3 mÞ; the latter
being common, respectively, in conventional micro-
hardness or macro-hardness tests.
Majority of nanoindentation tests aim to obtain Young’s
modulus along with measurement of hardness of the speci-
men material from the load–displacement data obtained in
tests. Determination of elastic modulus from nanoindenta-
tion tests is beyond the scope of the text, and for this, the
3.16 Nanohardness
widely used method developed by Oliver and Pharr is
referred (Oliver and Pharr 2004). Working of the nanoin-
dentation is carried out by forcing an indenter, usually
Berkovich indenter (Berkovich 1951), under a prescribed
load into a specimen at the selected location. The readings of
load and displacement of the indenter (depth of indentation)
are recorded during loading and unloading, which gives
characteristics load versus displacement curve, which has
been shown subsequently in Fig. 3.19. The principal
mechanical property determined in nanoindentation test is
the hardness, HNano ; which is defined as the applied maxi-
mum load divided by the projected area of contact surface of
the indenter under load, i.e.
!
HNano ¼ Pmax Apc ð3:32Þ
where Pmax is the applied maximum load and Apc is the
projected area of contact surface at that load. Since this
definition of hardness is based on the projected contact area
under load, and the traditional hardness is determined from
the projected contact area of the residual plastic impression
left in the specimen upon the removal of load, the
nanohardness defined by (3.32) may deviate from the tra-
ditional hardness if there is significant elastic recovery dur-
ing unloading. In nanohardness test, since the depth of
indentation beneath the specimen surface produced by load
is measured simultaneously with the measurement of the
load, the size of the projected contact area under full load
can be determined from the depth of impression and the
known geometry (angle or radius) of the indenter. Since
from the measurement of the depth of indentation and the
known geometry of the indenter the projected contact area is
determined, the nanohardness test is sometimes called depth-
sensing indentation test.
Nanoindentation test is also called ultra-low-load inden-
tation test, and this test is carried out using the technique of
instrumented indentation testing (IIT), also known as con-
tinuous-recording indentation test. A high-resolution
instrument used in IIT can continuously control and record
the loads and displacements of an indenter as it is forced into
and drawn back from the material. In a nanoindentation test,
the indentation size upon unloading is often only a few
microns, which is very difficult to measure using optical
techniques. With the above instrument, loads as small as
1 nN can be applied and displacements as small as 0.1 nm
(1 Å) can be measured. Another important advantage of IIT
is that several mechanical properties, such as hardness,
Young’s modulus, yield stress, strain-hardening character-
istics of metal, the activation energy and stress exponent for
creep, can be determined using load–displacement data
without the requirement to image the impressions formed by
the indenter. Because of formation of only a few nanometres
deep indentations, nanoindentation test can be applied to
155
examine ion-implanted and laser heat-treated surfaces, thin
films and coatings, small pieces of materials with thicknesses
of the order of several tens of nanometres and materials with
nano-sized structural features.
The equipment used to perform instrumented indentation
testing consists of three basic components:
1. An indenter of specific geometry usually mounted on a
stiff but lightweight shaft through which the load is
imparted.
2. An actuator to apply the load, which can be performed in
different ways. Small loads can be generated electro-
statically using a capacitor or by an electromagnetic coil
or the expansion of a piezoelectric element.
3. A sensor to measure displacements of the indenter, which
are measured by a variety of means. These include a
changing capacitance, linear variable differential trans-
formers (LVDTs) and laser interferometers.
Most nanoindentation instruments are load controlled,
that is, a commanded force is applied and the resulting
displacement is read.
3.16.1 Indenters
Although nanohardness test or IIT testing uses a variety of
indenters made from a variety of materials, diamond is
probably the most frequently used material for indenter due
to its high hardness and elastic modulus so that the contri-
bution to the measured displacement from the indenter itself
remains to a minimum level. Indenters made of less-stiff
materials, such as tungsten carbide, sapphire or hardened
steel, may be used but the elastic displacements of the
indenter must be removed from the total measured dis-
placement, as in the case of the machine compliance.
Nanoindentation hardness tests are generally made with
either spherical or pyramidal indenters, but the pyramidal
Berkovich indenter is used most frequently in IIT testing.
Berkovich indenter, shown in Fig. 3.17a, is an equilateral
triangular-based pyramidal-shaped indenter made of dia-
mond. This indenter is comparable to Vickers indenter in the
sense that both of them make sharp contacts and produce
geometrically similar indentations. The centre-line-to-face
angle for an ideal Berkovich indenter with a three-sided
pyramid is 65.27°, whereas that for the four-sided Vickers
pyramid indenter is 68°. For small-scale testing, i.e. for
nanohardness measurements, the geometry of Berkovich
indenter is preferred to that of Vickers indenter, because the
edges of a three-sided pyramid can be ground to meet at a
single sharp point, while a four-sided pyramid ends at a
‘chisel edge’ (a line) rather than a point. The point apex of
Berkovich indenter maintains its self-similar geometry to
156
Fig. 3.17 a A Berkovich (a)
indenter. b Indentation
parameters for Berkovich
very small scales but the chisel edge defect even for the best
Vickers indenter has a length of about a micron, which
causes its small-scale geometry to differ from that at larger
scales, although Vickers indenters could be used for
large-scale testing like microhardness measurements.
Besides Berkovich and Vickers indenters, other indenter’s
shapes, which may be used for nanoindentation tests, include
spherical and conical or sphero-conical indenter, cube corner
indenter with three-sided pyramid having centre-line-to-face
angle of 35.26° (similar to but sharper than Berkovich
indenter) and rhombic-based four-sided pyramidal-shaped
Knoop indenter. The use of spherical indenters at the micron
scale is restricted due to difficulties in obtaining high-quality
spheres made of hard, rigid materials. Conical indenters have
very little application in the small-scale work because of
difficulty in manufacturing conical diamonds with sharp tips.
On the other hand, the sharper cube corner indenter displaces
more than three times the volume of the Berkovich indenter
at the same load and thereby develops much higher stresses
and strains in the vicinity of the contact. This produces very
small well defined cracks around hardness impression in
brittle materials, and the indenter is thus ideal for estimating
fracture toughness at relatively small scale using such
cracks. The four-sided pyramidal Knoop indenter with two
different face angles is generally used to investigate aniso-
tropy of the surface of the specimen from the measurements
of the unequal lengths of the diagonals of the residual
impression. This indenter was originally developed for the
testing of very hard materials where a longer diagonal length
Fig. 3.18 a Equilateral (a)
triangular impression formed by
Berkovich indenter on surface of
specimen. b Vertical section of
Berkovich indentation along the
median line of the triangular
impression
3 Hardness
(b)
Apc
θ
hc
could be more easily measured for shallower depths of
residual impression. Now, further discussions in this section
will be mainly concentrated on Berkovich indenter, which is
used routinely for measurement of nanohardness, because its
apex is a sharper point and thus ensures a more precise
control over the indentation process.
3.16.2 Derivation for Berkovich Hardness
The Berkovich indenter normally used for nanoindentation
tests has a centre-line-to-face angle of 65.27°, which gives
the same ratio of projected area to indentation depth as the
Vickers indenter. The tip radius for a typical Berkovich
indenter is of the order of 50–100 nm, although the tip
radius usually increases to about 200 nm with use. Berko-
vich indenter is a geometrically self-similar sharp indenter
having well defined tip geometry. When penetrated into the
surface, it causes well defined plastic deformation. It is good
for measuring values of hardness and elastic modulus. The
disadvantage is that the elastic–plastic transition is not clear.
Indentation parameters for Berkovich indenter are shown
in Fig. 3.17b, where the apex semi-angle h ¼ 65:27) : The
mean contact pressure, which is a measure of hardness,
HNano ; is usually determined by (3.32) from a measure of the
contact depth of penetration, hc ; which is related to the
projected area of the contact, Apc ; as derived below:
For a Berkovich indentation, as shown in Fig. 3.18,
suppose
(b)
2L L
L 3 3
hc
L
θ =65.27°
3 60°
a
3.16 Nanohardness 157

a length of each arm of the equilateral triangular Originally, the Berkovich indenter was constructed with a
impression formed on the surface of specimen, centre-line-to-face angle of 65.03°, which gives the same
L perpendicular distance from the base to the apex actual surface area-to-depth ratio as a Vickers indenter.
of the triangular impression formed on the surface Since the hardness in nanoindentation is defined by the mean
of specimen, contact pressure, the original face angle of Berkovich
hc contact depth of penetration beneath the specimen indenters used in nanoindentation work has been modified to
surface under load, and 65.27° to have the same projected area-to-depth ratio as the
h centre-line-to-face angle of Berkovich Vickers indenter. The equivalent semi-angle of cone inden-
indentation ¼ 65:27) : ter, which gives the same projected area-to-depth ratio, is
70.296°.
From Fig. 3.18a, the projected area of contact is:
pffiffi
% & 1 1 a ) 3 2 3.16.3 Determination of Contact Depth
Apc Berkovich
¼ a - L ¼ a - tan 60 ¼ a ð3:33Þ
2 2 2 4 of Penetration
In the nanohardness test, since hc is measured, so the
% & In a typical test, the load is applied from zero to some pre-
projected contact area, Apc Berkovich ; has to be expressed in
determined maximum value to drive the indenter into the test
terms of hc ; which is given below:
piece and then the load is released from the maximum value
From Fig. 3.18b,
back to zero while the indenter is withdrawn from the test
L a piece. The applied load and displacement of the indenter are
¼ hc tan h; or; L ¼ tan 60) ¼ 3hc tan h; recorded simultaneously during loading and unloading per-
3 2
2-3 pffiffi iod, as shown in Fig. 3.19, and by an analysis of the load–
)a¼ hc tan h ¼ 2 3hc tan h ð3:34Þ displacement data, the contact depth of penetration is
tan 60)
determined.
Substituting for a from (3.34) into (3.33) and remem- As the sample is indented, both elastic and plastic
bering that h ¼ 65:27) ; we get deformation takes place, forming a hardness impression that
pffiffi ) *2 conforms to the shape of the indenter to some contact depth,
% & 3 pffiffi pffiffi
hc : When the indenter is withdrawn, only the elastic part of
Apc Berkovich
¼ 2 3hc tan h ¼ 3 3h2c tan2 65:27)
4 the displacement is recovered, which facilitates one to sep-
¼ 24:494h2c , 24:5h2c arate the elastic properties of the material from the plastic.
ð3:35Þ Figure 3.19 shows schematically a typical indentation load,
P; versus displacement (relative to the initial undeformed
Hence, the mean contact pressure or Berkovich hardness surface), h; data obtained during one full cycle of loading
according to (3.32) is:
Pmax Pmax
HBerkovich ¼ ð3:36Þ
24:5h2c

For comparison purpose, let us consider nanoindentation Loading

test using Vickers indenter, where the apex semi-angle h ¼
68) : If a is the length of each arm of Vickers square Slope = Mcs
Load, P

impression formed on the surface of specimen and contact Unloading

depth of Vickers indentation beneath the specimen surface Possible
under load is h ¼ hc ; then from Fig. 3.11b, a=2 ¼ hc tan h: range for
hc
Hence, the projected area of contact will be
% &
Apc Vickers ¼ a2 ¼ ð2hc tan hÞ2 ¼ 4h2c tan2 68) ¼ 24:504h2c hf
, 24:5h2c hc for χ = 1 hmax
hc for χ = 0.72
ð3:37Þ
Displacement, h
And the Vickers nanohardness according to (3.32) is:
Fig. 3.19 Schematic illustration of a typical indentation load–dis-
placement (relative to the initial undeformed surface) data during one
Pmax complete cycle of loading and unloading, showing important measured
HVickers ¼ ð3:38Þ
24:5h2c parameters (Oliver and Pharr 1992)
158
and unloading, also known as compliance curves for loading
and unloading, where deformation during loading is
assumed to be both elastic and plastic in nature and only the
elastic displacement is assumed to be recovered during
unloading. The method of analysis based on the elastic
nature of the unloading curve is not applicable to materials
in which plasticity reverses during unloading. However, it
has been shown (Pharr and Bolshakov 2002) that reverse
plastic deformation is usually negligible.
The important quantities in Fig. 3.19 are the maximum
load,Pmax ; the maximum displacement, hmax ; the final per-
manent depth of penetration after complete unloading, hf ,
the slope of the upper portion of the unloading curve during
the initial stages of unloading, Mcs ¼ dP=dh: The parameter
Mcs is called the elastic contact stiffness, or simply contact
stiffness and has the dimension of force per unit distance.
Hardness and elastic modulus can be derived from mea-
surements of these four important quantities from the P % h
curve in Fig. 3.19. In Fig. 3.19, hc is the contact depth of
penetration of the indenter under the maximum load. The
values of hc vary depending on the geometry of indenter
used for penetration and the two values of hc for two values
of v, i.e. for v ¼ 1 and v ¼ 0:72 ; have been shown
schematically in Fig. 3.19, where v is a constant that
depends on the indenter geometry. For determination of
nanohardness, it is required to know the value of hc under
the applied maximum load, from which the projected area of
% &
contact surface, Apc Berkovich ; at that load and nanohardness
for Berkovich indenter can be calculated by using, respec-
% &
tively, (3.35) and (3.36). Similarly, Apc Vickers and
nanohardness for Vickers indenter can be calculated by
using, respectively, (3.37) and (3.38). The contact depth of
penetration, hc ; is determined from an analysis of the
Pmax
Indenter profile
hs hf
hc ϕ
hmax
Fig. 3.20 Schematic representation of deformation pattern of an elastic–plastic sample during and after indentation showing parameters
characterizing the contact geometry (Oliver and Pharr 1992)
3 Hardness
unloading part of the load–displacement data rather than by
imaging, as used in conventional hardness testing.
The most widely method used to establish the projected
area of contact surface was developed by Oliver and Pharr
(1992). They found that the unloading curve (Fig. 3.19) is
usually not linear as suggested by Doerner and Nix (1986),
but is usually well approximated by the power law relation:
0
P ¼ Bð h % h f Þ m ð3:39Þ
where B and m0 are empirically determined power law fitting
constants. The power law exponents, m0 in (3.39) are always
greater than 1, varying in the range of 1.25–1.51 from
material to material (Oliver and Pharr 1992). The contact
stiffness, Mcs ; is then evaluated by differentiating (3.39) at
the maximum depth of indentation, h ¼ hmax ; which gives
the following (3.40):
' (
dP 0
Mcs ¼ ¼ Bm0 ðhmax % hf Þm %1 ð3:40Þ
dh h¼hmax
Experience has shown that the entire unloading curve is
not always adequately described by (3.39). To avoid unac-
ceptable errors in computing the contact stiffness from
(3.40), it is recommended to determine the contact stiffness
by fitting only the upper portion of the unloading data.
The deformation pattern of an elastic–plastic sample
during and after indentation (Oliver and Pharr 1992) is
shown schematically in Fig. 3.20, in which the behaviour of
the Berkovich indenter is assumed to represent by a conical
indenter with an equivalent half-included angle, / ¼
70:296) ; which gives the same projected area-to-depth ratio.
The basic assumption in this model is that ‘sinking in’ of
material at the contact periphery of the indenter occurs and it
Indenter profile
Initial surface
Surface profile after unloading
Surface profile under load
3.16 Nanohardness
is shown in Fig. 3.20. ‘Sink-in’ is the movement of the
indented material around the indenter below the original
surface plane. This assumption restricts the method to
account for the ‘pile-up’ of material at the contact periphery
that occurs in some elastic–plastic materials. ‘Pile-up’ is the
movement of the indented material around the indenter
above the original surface plane. However, assuming the
‘pile-up’ to be negligible, the amount of ‘sink-in’, hs ; is
given by (Oliver and Pharr 2004):
Pmax
hs ¼ v ð3:41Þ
Mcs
where v is a constant that depends on the geometry of
indenter. For example, a conical indenter has v ¼ 0:72; and
a Berkovich as well as a Vickers indenter has v ¼ 0:75
(Oliver and Pharr 1992; Fischer-Cripps 2011). Since the
vertical displacement of the contact periphery can be
approximated from (3.41), the contact depth, hc ; can be
estimated from the geometry in Fig. 3.20 as follows:
Pmax
hc ¼ hmax % hs ¼ hmax % v ð3:42Þ
Mcs
The above analysis is based on an elastic solution and
works well when ‘sink-in’ pre-dominates and ‘pile-up’ is
negligible. Neglecting the displacement arising from the
compliance of the testing machine and ‘piling up’ of the
material, if any, the projected contact area for an ideally
sharp Berkovich indenter is given by (3.35), which is
% &
Apc Berkovich ¼ 24:494h2c :
In practical nanoindentation tests, indenters are not ide-
ally sharp. Therefore, an empirically determined indenter
area function at the contact depth hc is evaluated to calculate
the projected contact area. The area function relates the
cross-sectional area of the indenter to the distance from its
tip. An experimental procedure to determine the area func-
tion is presented subsequently in Sect. 3.16.5. Once the
projected contact area is known, the nanohardness is com-
puted using (3.32).
3.16.4 Correction for Machine Compliance
The load applied on the test piece causes the frame of the
testing machine to deflect. This deflection divided by the
applied load is the compliance of the machine. Hence, the
displacement arising from the compliance of the machine itself
is included as a component in the displacement recorded in an
instrumented indentation testing system. Thus, the stiffness,
dP=dh; measured from the unloading curve of P % h plot in
an indentation test has contributions from both the responses
159
of the machine and the test piece. The contribution from the
machine compliance that may be significant must be cali-
brated and subtracted from the total measured displacement.
For the purpose of calibration, a calibration material with
known elastic properties is required to be indented. Typically,
fused quartz is considered as the calibration material, whose
elastic modulus, E ¼ 72 GPa and Poisson’s ratio, m ¼ 0:17:
The most important reason to choose fused quartz is that it
does not pile-up because of its high ratio of hardness to elastic
modulus. Further, it is relatively inexpensive, available in
highly polished form producing repeatable results with little
scatter, highly isotropic due to its amorphous nature, not
susceptible to oxidation and its near-surface properties are
similar to those of the bulk. To determine the machine
compliance, a convenient procedure is to assume that the
indenter does not deviate from its perfect geometric shape at
large depths of indentations and the machine compliance is a
constant, independent of load. Thus, indentations are made on
fused quartz at several large depths for which ideal area of the
indenter is expected to apply and the machine compliance is
determined by using the load–displacement data from fused
quartz in a manner described below.
A geometry independent relation (a very general relation
that applies to all axial-symmetric indenter, from which the
elastic modulus is determined) among contact stiffness,
projected contact area and elastic modulus is given below
(Pharr et al. 1992):
pffiffiffiffiffiffi
2
Mcs ¼ b pffiffiffi Eeff Apc ð3:43aÞ
p
where b is a constant that depends on the geometry of
indenter (Bulychev et al. 1975; Oliver and Pharr 1992), with
a value of b ¼ 1:034 for a Berkovich indenter, and Eeff is the
effective elastic modulus, which takes into account the fact
that elastic deformations occur in both the test piece and the
indenter. Since the indenter is diamond with E ¼ 1141 GPa
and m ¼ 0:07; the effective elastic modulus in above (3.43a)
is Eeff ¼ 69:6 GPa; when fused quartz is used as the cali-
bration material.
Let Cm ¼ the machine compliance ¼ the inverse of
machine stiffness ðMm Þ ¼ 1=Mm ;
Ccs ¼ the elastic compliance of the specimen-indenter
contact ¼ the inverse of contact stiffness ðMcs Þ ¼ 1=Mcs ;
and Ct ¼ the total compliance ¼ the inverse of total mea-
sured stiffness ðMt Þ ¼ 1=Mt ¼ dh=dP:
The unloading part of the load–displacement data from
fused quartz is used to measure the total stiffness, dP=dh: To
determine Cm or Mm ; the machine and the specimen-indenter
combination are assumed to act like springs in series, whose
compliances are additive. Thus, the total measured compli-
ance, Ct ; is given by
160
Ct ¼ Cm þ Ccs
From (3.43), it follows that
pffiffiffi
1 p 1
Ccs ¼ ¼ pffiffiffiffiffiffi
Mcs 2bEeff Apc
Substituting for Ccs from (3.43b) into (3.44) yields the
following relation:
pffiffiffi
p 1
Ct ¼ Cm þ pffiffiffiffiffiffi
2bEeff Apc
For an ideal Berkovich indenter, since Apc Berkovich ¼
24:494h2c (3.35), we obtain from (3.45):
rffiffiffiffiffiffiffiffiffiffiffiffiffi
dh p 1 1
¼ Cm þ
dP 24:494 2bEeff hc
Machine compliance calibration is usually based on the
general relation, given by (3.45), or the relation, given by
(3.46) for a Berkovich indenter. Hence, the most common
method of determining a value for the machine compliance
ðCm Þ is to make a linear plot of Ct or dh=dP versus Apc ; in
general, or a linear plot of dh=dP versus 1=hc ; for a Ber-
kovich indenter, obtained for an elastic unloading into an
elastic–plastic material for a range of large indentation
depths. The intercept of this linear plot gives the machine
compliance while the slope is proportional to the effective
elastic modulus, Eeff : The machine compliance can be
measured with great accuracy, when the second term on the
right of (3.45) or (3.46) is small, i.e. when the contact areas
or depths are large, because extrapolation of the data to
%1=2
Apc ¼ 0 or h%1 c ¼ 0 is required. At shallow depths, cor-
responding to small contact areas, the contact compliance is
high and dominates the total measured compliance, while as
the contact depths (and areas) increase, the contact compli-
ance decreases, and the machine compliance becomes the
more dominant factor.
The total displacement, ht ; that occurs in the test equip-
ment can be measured from the load–displacement data and
is the summation of machine displacement, hm and the
specimen displacement, h. Once machine compliance, Cm ; is
known, the displacement in the machine at any load P is
given by hm ¼ Cm P and the true displacement in the test
piece will be obtained by subtracting machine displacement
hm ; from the total measured displacement ht :
h ¼ ht % hm ¼ ht % Cm P
3 Hardness
ð3:44Þ 3.16.5 Indenter Shape Function
The indenter cannot be prepared to have a perfectly sharp
tip. Therefore, correction due to real geometrical shape of
ð3:43bÞ the indenter tip is necessary, especially at shallow depth of
contact. Hence, calibration of indenter area function, also
sometimes called the indenter shape function or indenter tip
function, is needed to calculate the projected contact area.
Independent measurements must be made for careful
calibration of the indenter area function so that deviations
ð3:45Þ
from perfect indenter geometry are taken into account. These
% & deviations can be quite severe near the tip of the Berkovich
indenter, where some rounding undoubtedly occurs during
the grinding process. To implement the area-function cali-
bration for a Berkovich indenter, a series of indentations is
made on a calibration material with known elastic properties
ð3:46Þ
at depths of interest, usually from as small as possible to as
large as possible to establish the area function over a wide
range. The most commonly used material for this purpose is
fused quartz. After correction for machine compliance as
described in Sect. 3.16.4, the load–displacement data are
%1=2
reduced, from which the contact stiffness, Mcs ; and the
contact depth, hc ; are obtained by means of (3.40) and
(3.42). From these quantities and the known elastic proper-
ties of fused silica, the projected contact areas are determined
by rewriting (3.43a) as:
' (
p Mcs 2
Apc ¼ ð3:48Þ
4 bEeff
A plot of Apc versus hc then gives a graphical represen-
tation of the area function, which can be curve fit according
to the following functional form, shown by (3.49):
Apc ¼ f ðhc Þ ¼ C0 h2c þ C1 hc þ C2 h1=2
c
þ C3 h1=4 1=128
c þ ! ! ! þ C 8 hc ð3:49Þ
where C0 ! ! ! C8 are constants determined by curve-fitting
procedures. The reason for selection of this function was
strictly due to its ability to fit data over a wide range of
depths and is, in fact, quite convenient to describe a number
of important indenter geometries. The first term alone of
(3.49) describes a perfect pyramid or cone, with C0 ¼ 24:5;
and the first two terms describes a perfect sphere of radius R;
with C0 ¼ %p; and C1 ¼ 2pR: The other higher order terms
in (3.49) generally describe deviations from the perfect
geometry near the indenter tip due to its blunting (Oliver and
ð3:47Þ Pharr 1992) and assist to develop an area function that is
3.16 Nanohardness 161

accurate over several orders of magnitude in depth. Thus, for
a Berkovich indenter (3.46) becomes:
% &
Apc Berkovich ¼ 24:5h2c þ C1 hc þ C2 h1=2
c final indentation depth, hf ; to the depth of the indentation at
ð3:50Þ
þ C3 h1=4 þ ! ! ! þ C h
8 c
1=128
c
The area functions determined for three diamond inden-
ters, which are Berkovich, Vickers and a 70.3° diamond
cone, are shown in Fig. 3.21 (Tsui et al. 1997), taking the
same ideal area function, Apc ¼ 24:5h2c ; for each of the three
diamond indenters. At large depths, all three indenters tend
to this ideal area function. However, at small depths, the data
show that there is indeed tip blunting for all three indenters,
whose area functions differ from each other due to different
degrees of tip rounding. Indenter tip rounding for the conical
diamond is the most and for Berkovich is the least. The data
confirm that the Berkovich geometry provides the sharpest
diamond indenter.
3.16.6 Errors Due to Pile-Up
The fundamental material properties that affect pile-up are
the ratio of the yield stress to elastic modulus and the
strain-hardening behaviour. In general, materials having low
ratio of the yield stress to elastic modulus and little or no
capacity for work hardening (i.e. ‘soft’ metals that have been
cold-worked prior to indentation) exhibit large ‘pile-up’, for
example, aluminium creates a ‘pile-up’ condition under
elastic/plastic conditions (Pharr 1998). This ‘pile-up’ leads
to an underestimation of the contact area and thus, an
overestimation of the nanohardness. In general, ‘pile-up’
error increases as the indentation depth increases.
1010
It has been shown (Bolshakov and Pharr 1998) that the
extent of ‘pile-up’ or ‘sink-in’ depends on the
work-hardening behaviour of the material and the ratio of
the maximum load, hmax , i.e. hf =hmax ; which can be easily
obtained from the unloading curve in a nanoindentation
experiment. Since conical and pyramidal or Berkovich
indenters have self-similar geometries, hf =hmax ; does not
depend on the depth of indentation. The lower limit of
hf =hmax ; is 0, which is observed for fully elastic deformation
and the upper limit of hf =hmax ; is 1, which corresponds to
rigid–plastic behaviour. It has been observed that large
‘pile-up’ occurs, specifically only when hf =hmax ; is close to
1, and the degree of work hardening is small. Further that
when hf =hmax \0:7; ‘pile-up’ observed is very little irre-
spective of the work-hardening behaviour of the material.
On the other hand, when hf =hmax [ 0:7; the accuracy of the
method is dependent on the amount of work hardening in the
material. If nanoindentation is made on material that has
capacity to work harden, then no or negligible ‘pile-up’
occurs, and the contact area and thereby, the nanohardness
are predicted very well by the Oliver-Pharr method. On the
other hand, the method underestimates the contact area by as
much as 50% for an elastic–perfectly plastic material that has
no capacity to strain-harden and shows large ‘pile-up’.
If from the value of hf =hmax ; and/or based on other
independent knowledge of the properties of the material,
‘pile-up’ is suspected, indentations should be imaged to
examine the extent of the pile-up. If large pile-up occurs, the
contact area deduced from the load–displacement data can-
not give the accurate measurement of nanohardness and the
true area of contact should be measured from the image for
computation of correct nanohardness, although method to
correct for pile-up without imaging the contact impression
has been developed (Oliver and Pharr 2004).

109 3.16.7 Martens Hardness

108 Similar to nanoindentation measurements, Martens hardness

70.3° Cone values are determined from the simultaneous measurements
Area, nm2

107 Vickers of the applied load and the indentation depth produced
during the application of load. Martens hardness, HM, is
Berkovich
106 defined as the applied load divided by the actual surface area
of contact of the indenter under load, i.e.
105 Ideal, A = 24.5 hc2
HM ¼ P=As ð3:51Þ

104 where P is the applied load and As is the actual contact

10 102 103 104
Depth (hc), nm
surface area at that load. It is to be noted that As is not
measured from the dimensions of residual impression
Fig. 3.21 Calibrated area function for three diamond indenters (Tsui obtained after elastic recovery on unloading as performed in
et al. 1997) the traditional hardness measurement. As is a function of the
162 3 Hardness

contact depth, hc ; of indentation and can be determined in

terms of hc for the known geometry of a given indenter. The
Martens hardness was previously called ‘Universal hard-
a
ness’ and designated as HU: The Martens hardness value
HM has been defined for Vickers and Berkovich indenters L
3
and not for Knoop or spherical indenters.
For a Vickers indenter, with semi-angle h ¼ 68) at the
apex of the pyramidal indentation between the height and the
slant surface, the derivation of relation between As and hc is
given below. As shown in (3.18), the actual surface area of
hc
pyramidal indentation in the test piece will be ðAs ÞVickers ¼
θ
2aLS ; where a is the length of each arm of the square base of
b
the pyramidal indentation that is the same as the base of each
θ = 65.03°
lateral triangular face, and LS is the slant height of the
pyramidal indentation that is the same as the altitude of each
lateral triangular face. If contact depth of Vickers indentation
beneath the specimen surface under load is h ¼ hc ; then
from Fig. 3.11b, we can write
Fig. 3.22 Unmodified Berkovich indenter (schematic and not to scale)
showing indentation parameters, used for derivation of Martens
a=2 hc
¼ tan 68) ; or; a ¼ ð2 tan 68) Þhc ; and LS ¼ : hardness
hc cos 68)
4 tan 68) 2
) ðAs ÞVickers ¼ 2aLS ¼ h ¼ 26:428h2c , 26:43h2c and
cos 68) c
ð3:52Þ pffiffi
L a 3a
¼ tan 60) ; or; )
L ¼ tan 60 ¼ ð3:54cÞ
Hence, Martens hardness for a Vickers indenter is given a=2 2 2
by
Equating for L from (3.54b) and (3.54c), we get
P P pffiffi
ðHMÞVickers ¼ ¼ ð3:53Þ 3a pffiffi
ðAs ÞVickers 26:43h2c ¼ 3hc tan h; or, a ¼ 2 3 tan h hc ð3:54dÞ
2
From (3.54a) and (3.54d), we can write
Martens hardness for an unmodified Berkovich indenter,
having a centre-line-to-face angle of 65.03° (since this angle ab 3 ) pffiffi *' h (
c
ðAs ÞBerkovich ¼ 3 ¼ 2 3 tan hhc
gives the same actual surface area-to-depth ratio as a Vickers 2 2 cos h
pffiffi
indenter), can be found from Fig. 3.22 as follows: 3 3 tan 65:03) 2
The actual contact surface area As is 3 times the area of ¼ hc ¼ 26:43h2c ð3:55Þ
cos 65:03)
each lateral triangular face of a Berkovich indentation. If b is
the slant height of the pyramidal indentation that is same as P P
) ðHMÞBerkovich ¼ ¼ ð3:56Þ
the altitude of each lateral triangular face and a is the base of ðAs ÞBerkovich 26:43h2c
each triangular face, as shown in Fig. 3.22, then
Usually, an indentation depth greater than 0:2 lm is
ðAs ÞBerkovich ¼ 3ðab=2Þ: From Fig. 3.22,
required for the test. The Martens hardness value is reported
hc hc by the symbol HM; followed by the name of the indenter if
¼ cos h; or; b¼ ð3:54aÞ other than Vickers indenter is used, the test load in N, the
b cos h
time (in s) over which the load is applied for indentation, and
the number of steps of application of the load if the load is
If L is the altitude of the base triangle of the pyramidal not applied continuously. For example, ‘HM (Berkovich)
indentation, then !
0.5/10/25 ¼ 5000 N mm2 ’ means the Martens hardness
!
L=3 value of the test piece is 5000 N mm2 ; determined with a
¼ tan h; or; L ¼ 3hc tan h ð3:54bÞ Berkovich indenter by applying a load of 0.5 N for a time of
hc
10 s in 25 steps.
3.17 Relationship to Flow Curve and Prediction of Tensile Properties
3.17 Relationship to Flow Curve
and Prediction of Tensile Properties
Tabor (1951a, b) has proposed a procedure by which the
plastic region of true stress–true strain curve, as obtainable
by the conventional uniaxial tension and compression tests,
may be determined from the indentation tests. Tabor com-
pared the flow curve determined from uniaxial tension and
compression tests with the curve obtained from the inden-
tation tests performed on a number of specimens subjected to
increasing amounts of plastic strain and found a similarity
between the shapes of the curves. This is basically an
empirical method because the stress distribution in the
indentation test is quite complex and difficult to relate
directly with that in the tension or compression test. How-
ever, a good agreement has been observed between the flow
curves obtained using this empirical method and the con-
ventional ones for several ductile metals that do not show
high anisotropy of deformation. When data with a high
degree of accuracy are required, this method is unable to
substitute the conventional test methods and the flow data
obtained by this means must only be used in situations
where it is not possible to determine the flow curve by the
conventional destructive test methods probably because of
the size or nature of the test piece or some other reason.
When the specimen is indented with a spherical indenter,
the mean contact pressure, pm ; according to Tabor, is related
to the uniaxial flow stress (true stress), r0 ; at a given value of
true strain as follows:
pm ¼ Cr0 ¼ 3r0 ð3:57Þ
where pm is equal to the applied load divided by the projected
area of elastically recovered indentation, i.e. pm ¼
!
ð4PÞ ðpd2 Þ; in which P ¼ applied load, and d ¼ chordal
diameter of indentation after unloading. Since about
two-thirds of the mean contact pressure in an indentation
hardness test is hydrostatic pressure, which cannot plastically
deform a material in the uniaxial tension test even if the
applied stress would exceed significantly the material’s yield
strength, so only one-third of the mean contact pressure pro-
duces plastic deformation. Thus, the mean pressure between
the surface of the indenter and the indentation pm ; is three
times the flow stress, r0 ; as shown by (3.57). Hence, (3.57)
represents Tabor relation between uniaxial tensile flow stress
or true stress and mean contact pressure or Meyer hardness.
Table 3.7 Relation between Steel type
UTS (MPa) and BHN (kg mm−2)
for steel Heat-treated alloy steel (250–400 Brinell)
Heat-treated carbon and alloy steel (Below 250 Brinell)
Medium-carbon steel (as-rolled, normalized, or annealed)
163
The above Tabor relation, (3.57), has been proved [see (10.59)
in Chap. 10] using slip-line field theory under plane-strain
condition (analogous to a two-dimensional hardness test),
although the proof assumes a frictionless condition.
Tabor suggested that similar strain distributions would be
produced by geometrically similar indentations. To charac-
terize the strain field, he studied the deformation at inden-
tations and concluded that the true strain, e; might be
considered to be proportional to the ratio d=D; which could
be expressed as
d
e ¼ 0:2 ð3:58Þ
D
where
d the chordal diameter of indentation after unloading, and
D the diameter of spherical indenter.
Hence, Tabor relation between tensile true strain and the
ratio of diameter of indentation after unloading to diameter
of spherical indenter is given by (3.58).
After knowing the diameter of spherical indenter, D; and
the applied load, P; and measuring the average chordal
diameter of indentation after unloading, pm and d=D can be
obtained. If tests are conducted with various values of d=D
starting from the smallest one for full plasticity up to large
ones and the corresponding values of pm are measured, the
various values of true strain and the corresponding true
stresses can be determined, respectively, from various values
of d=D and the corresponding values of pm by means of
(3.58) and (3.57). The true stress versus true strain curve,
thus determined, makes it possible at least to approximate
the tensile flow curve. For mild steel and copper, Tabor
observed a good agreement between the plots of true stress
vs. true strain obtained from uniaxial compression tests and
indentation tests using spherical indenters for various values
of d=D (Tabor 1951a). Lenhart (1955) verified Tabor’s
results for duralumin and OFHC copper, but the flow curve
for magnesium could not be predicted from Tabor’s analysis,
the reason of which referred by Lenhart was the high ani-
sotropy of deformation in magnesium.
The ultimate tensile strength (UTS) of a metal is related
directly to its Brinell hardness number (BHN) but the con-
stants used in the correlation differ for different metals and
alloys and depend largely upon the structural condition of
the metal. From an extensive statistical study after reviewing
most of the early work, Greaves and Jones (1926)
UTS in MPa ¼
3:24- Brinell hardness value
3:32- Brinell hardness value
3:4- Brinell hardness value
164
recommended the multiplying factors between the UTS and
the BHN for steels, which are presented in Table 3.7, where
the UTS is expressed in units of MPa and the BHN in
!
kg mm2 :
One general thumb rule for heat-treated plain carbon and
medium-alloy steels is to estimate approximately the UTS
from the BHN with the following multiplying factor (Bain
and Paxton 1966):
Ultimate tensile strength; in pounds per square inch
¼ 500ðBHNÞ
ð3:59aÞ
Or,
Ultimate tensile strength; in MPa ¼ 3:45ðBHNÞ ð3:59bÞ
If we make the simplifying assumption that steel does not
work-harden (in fact, steel work-hardens but to a less extent
than many other metals like annealed copper), then the
tensile strength of steel is equal to its yield strength and an
agreement between (3.59b) and Tabor’s result can be
obtained as follows:
1 %
UTS; Su ¼ pm ¼ 0:33pm kgf mm%2 ¼ 3:23pm MPa
3
ð3:60Þ
Since the BHN is only a few percent less than the value of
pm ; the multiplying factor between the UTS and the BHN
will be slightly higher than 3.23. For a metal possessing
greater capability to work harden, such as annealed copper,
the multiplying factor will have a higher value than that
employed for steels in (3.59). The multiplying factors
relating tensile strength with hardness for different materials
are available as a result of detailed study conducted by
Taylor (1942). A strength-hardness correlation has not been
exhibited by magnesium alloy casting.
Tabor (1951b) suggested a relation to calculate the tensile
strength (TS) in kilograms per square millimetre using the
Vickers hardness (VHN) and the exponent in Meyer’s law
(Meyer’s index), n0 ; for carbon and low alloy steels as
follows:
% ! &
TS in kgf mm2 ;
" #0
VHN 0 12:5ðn0 % 2Þ n %2 ð3:61Þ
Su ¼ ½ 1 % ð n % 2Þ ' -
2:9 1 % ð n0 % 2Þ
! (c) Difference between the depth of indentation upon
The units of TS can be converted from kgf mm2 to MPa
by multiplying by 9.81. In (3.61), Tabor recommended
VHN=2:9 for steels, but VHN=3 for copper (Tabor 1951b).
3 Hardness
Subsequently, Cahoon et al. (1971) found that VHN=3 was
acceptable for steels, aluminium and brass. Later, a simpli-
fied relationship between TS and VHN was published by
Cahoon (1972):
VHN h n in
TS; Su ¼ ð3:62Þ
2:9 0:217
where n ¼ the strain-hardening coefficient ¼ n0 % 2: Cahoon
et al (1971) also proposed the following relation from which
the 0.2% offset yield strength of carbon steel can be calcu-
lated with good precision from the measurement of its
Vickers hardness:
VHN 0
½S0 'e0 ¼0:002 ¼ ð0:1Þn %2 ð3:63Þ
3
where ½S0 'e0 ¼0:002 ¼ the 0.2% offset yield strength, kgf mm%2
(=9.81 MPa),
!
VHN ¼ the Vickers hardness number, kg mm2 ; and n0 ¼
n þ 2 ¼ the exponent in Meyer’s law.
For aluminium alloys, Petty (1962) predicted the
expressions for the tensile strength and the 0.2% offset yield
strength in terms of the Vickers hardness number:
! &
TS in tons in2 ; Su ¼ 0:189 - VHN % 1:38 ð3:64Þ
% ! &
0:2% offset yield strength in tons in2 ;
ð3:65Þ
½S0 'e0 ¼0:002 ¼ 0:148 - VHN % 1:59
The units of the tensile strength and the 0.2% offset yield
!
strength can be converted from tons in.2 to MPa by multi-
plying by 15.4448.
3.18 Solved Problems
3.18.1. Rockwell hardness test performed on a material with
1=8 in. diameter steel ball indenter shows that after appli-
cation of the total load of 60 kg, the large pointer moves to
number 45 on red dial and after removal of the major load,
the large pointer moves to number 65 on the same dial. What
is the
(a) Rockwell hardness of that material?
(b) Depth difference between indentation upon withdrawal
of the applied major load with the minor load still applied
and indentation made by the minor load?
application of the total load and that due to application of the
minor load?
(d) Depth of indentation recovered elastically?
3.18 Solved Problems 165

Solution (a) Now the indentation depth due to minor load, neglecting
very small elastic recovery, will be:
(a) Rockwell hardness of the material = RF 65.
(b) If h is the depth of indentation upon withdrawal of the hm ¼ h % 0:104 mm ¼ ð0:118 % 0:104Þ mm
applied major load with the minor load still applied and hm is
¼ 0:014mm:
the depth of indentation under minor load of 10 kg, then
from (3.14b) we get (b) Again by rearranging (3.4), we can obtain the indentation
diameter dm corresponding to hm for the same indenter
ðh % hm Þ mm
RF 65 ¼ 130 % diameter D ¼ 3:175 mm as follows:
0:002 mm
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
So; h % hm ¼ ð130 % 65 Þ - 0:002 ¼ 0:13 mm:
dm ¼ D2 % ðD % 2hm Þ2
(c) If ht the depth of indentation upon application of total qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
load of 60 kg, then from (3.14a) we can write ¼ 3:1752 % ð3:175 % 2 - 0:014Þ2 mm
¼ 0:421 mm:
ðht % hm Þmm
Rockwell red dial reading ¼ 45 ¼ 130 %
0:002 mm Now, using Meyer’s law given by (3.6), we can write
So; ht % hm ¼ ð130 % 45Þ - 0:002 ¼ 0:17 mm: For major load (100 kg in E scale):
0
(d) The elastically recovered depth is: 100 ¼ K 0 dn ¼ K 0 ð1:2Þn
0
ð3:66Þ
ht % h ¼ ðht % hm Þ % ðh % hm Þ ¼ ð0:17 % 0:13Þ mm For minor load (10 kg):
¼ 0:04 mm: 0
¼ K 0 ð0:421Þn
0
n
10 ¼ K 0 dm ð3:67Þ

3.18.2. If Rockwell hardness of a metal is RE 78 and the Dividing (3.66) by (3.67), we get
average diameter of the corresponding Rockwell indentation ' (n0
on that metal measured with an optical microscope after the 1:2 0 log 10
10 ¼ ¼ 2:85n or, n0 ¼ ¼ 2:2
removal of total load is 1.2 mm, calculate the 0:421 log 2:85

(a) Depth due to minor load in mm, (neglect very small
elastic strain due to minor load);
(b) Value of strain-hardening coefficient for the above metal.
Solution
From (3.14b), we can write
ðh % hm Þ mm
RE 78 ¼ 130 % ; or;
0:002 mm
h % hm ¼ ð130 % 78 Þ - 0:002 ¼ 0:104 mm;
where the symbols have the same meaning as defined earlier
with (3.14b).
Given that the average diameter of the Rockwell inden-
tation after release of total load is d ¼ 1:2 mm: In E scale of
Rockwell, the diameter of ball indenter is D ¼ ð1=8Þ in: ¼
ð25:4=8Þ mm ¼ 3:175 mm: If we neglect very small elastic
recovery upon withdrawal of the minor load, then h is equal
to the total permanent indentation depth, which can be cal-
culated from the measured d by means of (3.4). Hence,
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
D % D2 % d 2 3:175 % 3:1752 % 1:22
h¼
2 2
¼ 0:118 mm:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ mm
So the required value of strain-hardening coefficient is:
n ¼ n0 % 2 ¼ 2:2 % 2 ¼ 0:2:
3.18.3. The Meyer hardness of a metal, having a strain-
!
hardening coefficient value of 0.15, is 210 kg mm2 ; under an
applied load of 3000 kg with 10 mm-diameter ball indenter.
If the diameter of ball indenter is changed to 7 mm and the
same metal is tested keeping the above applied load constant,
what would be the Meyer hardness of the above metal?
Solution
!
Given that Meyer hardness, pm ¼ 210 kg mm2 ; under an
applied load, P ¼ 3000 kg with indenter diameter D1 ¼
10 mm: Therefore from (3.5), the indentation diameter is:
sffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
4P 4 - 3000
d1 ¼ ¼ mm ¼ 4:265 mm
ppm p - 210
The strain-hardening coefficient of the given metal is n ¼
0:15: Hence, the value of Meyer’s index will be: n0 ,
n þ 2 ¼ 2:15: If K10 is the resistance of metal to penetration
in Meyer’s law for indenter diameter D1 ¼ 10 mm; then
from Meyer’s law given by (3.6) we get
166 3 Hardness

P 3000 Let d ¼ diameter of permanent indentation under total

K10 ¼ 0 ¼ ¼ 132:68 kg mm%2:15 :
n
d1 4:2652:15 load of 100 kg and dm ¼ diameter of indentation under
minor load of 10 kg. Now, using Meyer’s law given by
Let the indentation diameter is d2 ; and the resistance of the (3.6), we can write
metal to penetration is K20 ; when the indenter diameter is D2 ¼
7 mm: The value of K20 is obtained using (3.10) as follows: 0
For total load: 100 ¼ K 0 d n ¼ 125:66 ! d2 ;
ðn0 %2Þ
K10 ! D1
ðn0 %2Þ
¼ K20 ! D2 ; or; 100
Or; d2 ¼ ¼ 0:7958 mm2 :
125:66
132:68 - 10ð2:15%2Þ ¼ K20 - 7ð2:15%2Þ
0
2
For minor load: 10 ¼ K 0 dmn ¼ 125:66 ! dm ;
' (0:15 10
10 Or; dm 2
¼ ¼ 0:07958 mm2 :
) K20 ¼ 132:68 - ¼ 139:97 kg mm%2:15 : 125:66
7
If h is the depth of permanent indentation under total load
Again from Meyer’s law given by (3.6), we get the value
of 100 kg, then from (3.4):
of d2 as
' (1=n0 ' ( pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
P 3000 1=2:15 D2 % d2 1:5875 % 1:58752 % 0:7958
D%
d2 ¼ ¼ ¼ 4:16 mm: h¼ ¼ mm
K20 139:97 2 2
¼ 0:1372 mm:
Hence, the Meyer hardness of the same metal under the
applied load, P ¼ 3000 kg with indenter diameter D2 ¼ If hm is the depth of indentation under minor load of
7 mm will be: 10 kg,
4P 4 - 3000 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
pm ¼ 2
¼ kg mm%2 ¼ 220:7 kg mm%2 : D%D 2 % dm 2
pd2 p - 4:162 hm ¼
2 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1:5875 % 1:58752 % 0:07958
¼ mm ¼ 0:0126 mm:
3.18.4. If the Meyer hardness of a cold-worked metal is 2
160 kg mm−2, determine its corresponding Rockwell hard-
Now, from (3.14b) Rockwell hardness of the metal in ‘B’
ness number in ‘A’ scale and ‘B’ scale. Neglect spherical
scale is given by
apex of the cone indenter.
Solution ðh % hm Þ mm 0:1372 % 0:0126
RB ¼ 130 % ¼ 130 %
Let P is the applied load in kg and d is the diameter of 0:002 mm 0:002
¼ 67:7 , 68:
indentation in mm.
Given that, So the required hardness is RB 68.
Meyer hardness number,
! 4P Rockwell Hardness in A Scale
pm ¼ 160 kg mm2 ¼ 2 ; or;
pd Applied total load ¼ 60 kg, and minor load ¼ 10 kg: Dia-
P p ! mond cone indenter, which has an apex cone angle of 120°,
¼ 160 - kg mm2 :
d2 4 is used in ‘A’ scale.
0
Meyer’s Law: P ¼ K 0 dn ; where Meyer’s index n0 ¼ 2 Let d ¼ diameter of permanent indentation under total
for a cold-worked metal. load of 60 kg and dm ¼ diameter of indentation under minor
P load of 10 kg. Now, using Meyer’s law given by (3.6) we
So, for the given cold-worked metal, K 0 ¼ 2 ¼ can write
d
p ! !
160 - kg mm2 ¼ 125:66 kg mm2 :
4 0
For total load: 60 ¼ K 0 d n ¼ 125:66 ! d2 ;
rffiffiffiffiffiffiffiffiffiffiffiffiffi
Rockwell Hardness in B Scale 60
Or; d ¼ mm ¼ 0:691 mm:
Applied total load ¼ 100 kg, and minor load ¼ 10 kg: ‘B’ 125:66
n0 2
scale uses steel ball indenter whose diameter is: For minor load: 10 ¼ K 0 dm ¼ 125:66 ! dm ;
rffiffiffiffiffiffiffiffiffiffiffiffiffi
10
1 25:4 Or; dm ¼ mm ¼ 0:2821 mm:
D¼ in: ¼ mm ¼ 1:5875 mm: 125:66
16 16
3.18 Solved Problems 167

If h is the depth of permanent indentation under total load From (3.6), Meyer’s Law: P ¼ K 0 dn ; where Meyer’s
0

of 60 kg, then from the geometry of the cone indenter we index n0 ¼ 2:5 for a fully annealed metal. If dm ¼ diameter
can write of indentation under minor load of 10 kg, we can use
Meyer’s law as follows:
d=2
¼ tan 60) ; or;
h
For total load: 100 ¼ K 0 d n ¼ K 0 ð1:5875Þ2:5 ;
0
d 0:691
h¼ ¼ ¼ 0:1995 mm:
2 tan 60) 2 tan 60) 100 !
Or; K 0 ¼ 2:5
¼ 31:49 kg mm2:5 :
If hm is the depth of indentation under minor load of ð1:5875Þ
10 kg, similarly we get For minor load: 10 ¼ K 0 dm n 2:5
¼ 31:49 ! dm ;
0

' (2:51
dm =2 10
¼ tan 60) ; or, Or; dm ¼ ¼ 0:632 mm:
hm 31:49
dm 0:2821
hm ¼ ¼ ¼ 0:0814 mm: If h is the depth of permanent indentation under total load
2 tan 60) 2 tan 60)
of 100 kg, then from (3.4):
Now, from (3.15b), Rockwell hardness of the metal in ‘A’
scale is given by pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
D2 % d2 3:175 % 3:1752 % 1:58752
D%
h¼ ¼
ðh % hm Þ mm 0:1995 % 0:0814 2 2
RA ¼ 100 % ¼ 100 % ¼ 0:213 mm:
0:002 mm 0:002
¼ 40:95 , 41:
If hm is the depth of indentation under minor load of
So the required hardness is RA 41. 10 kg, then
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
3.18.5. Suppose, the Rockwell direct-reading hardness dial D % D 2 % dm 2 3:175 % 3:1752 % 0:6322
hm ¼ ¼
is not working properly and it is required to estimate the 2 2
Rockwell hardness and related flow stress for a fully ¼ 0:032 mm:
annealed copper specimen. To obtain the above, the copper
Now from (3.14b), Rockwell hardness of copper in ‘E’
specimen is tested in the Rockwell hardness tester using the
scale is given by
load and the indenter of ‘E’ scale and after release of total
load, the diameter of indentation formed on the specimen is ðh % hm Þ mm 0:213 % 0:032
measured. If the measured indentation on the copper speci- RE ¼ 130 % ¼ 130 %
0:002 mm 0:002
men corresponds to the true strain value of 0.1, found by ¼ 39:5 , 40:
Tabor relation, determine

(a) Rockwell hardness of copper in ‘E’ scale, and (a) The required hardness is RE 40.
(b) Flow stress of copper at the specified true strain, using (b) From Tabor relation given by (3.57),
Tabor relation. Flow stresss r0 ¼ pm ðmean pressureÞ=3:
!
Solution Since from (3.5), mean pressure pm ¼ ð4PÞ pd2 ; so
Let P is the applied total load in kg and d is the diameter of pm 4P
permanent indentation in mm, formed under this load. Flow stress of copper ¼ ¼
3 3pd2
In E scale of Rockwell, applied total load P ¼ 100 kg, 4 - 100
and minor load ¼ 10 kg: ‘E’ scale uses steel ball indenter ¼ ¼ 16:84 kg=mm2
3pð1:58752 Þ
whose diameter is:
¼ ð16:84 - 9:807Þ N=mm2
D ¼ ð1=8Þ in: ¼ ð25:4=8Þ mm ¼ 3:175 mm: ¼ 165:15 N mm%2 or MPa:
From Tabor relation (3.58), the true strain is: e ¼
0:2ðd=DÞ; and given value of true strain is e ¼ 0:1: So, 3.18.6. Assuming that the longitudinal diagonal length of the
Knoop indentation is equal to the diagonal length of Vickers
e - D 0:1 - 3:175
d¼ ¼ ¼ 1:5875 mm: indentation, compute the ratios of
0:2 0:2
168 3 Hardness

(a) Projected areas of Knoop to Vickers indentations. (a) The required percentage is:
(b) Indentation depths of Knoop to Vickers indentations.
h 0:04572
- 100 ¼ - 100 ¼ 6%:
D 0:75
Solution
(b) By rearranging (3.4), we can obtain diameter dup of the
From (3.26), projected area of Knoop indentation in terms of standard elastically unrecovered Monotron indentation in
% &
its longitudinal diagonal length l is: Aup K ¼ 0:07028 l2 : M-1 scale as follows:
Projected area of Vickers indentation in terms of its diagonal qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
% & !
length D is: Ap V ¼ a2 ¼ D2 2; [where a is length of each dup ¼ D2 % ðD % 2hÞ2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
arm of the square base of the Vickers indentation and
¼ 0:752 % ð0:75 % 2 - 0:04572Þ2 mm ¼ 0:3589 mm
D2 ¼ 2a2 ]
, 0:36 mm:
(a) Given that l ¼ D; so the required ratio is:
!
% & (c) Since given Monotron hardness ¼ 100 kg mm2 ; so the
Aup 0:07028 l2
% &K ¼ ¼ 0:14056 ¼ 14%: applied load P is obtained from (3.28) as follows:
Ap V D2 =2
2
pdup p - 0:35892
(b) From (3.23), indentation depth of Knoop indentation in P ¼ Monotron hardness - ¼ 100 - kg
4 4
terms of its longitudinal diagonal length l is: hK ¼ l=30:514: ¼ 10:117 kg:
With reference to Fig. 3.11b, indentation depth of Vickers
indentation in terms of its longitudinal diagonal length D is: Hence, the BHN of the material corresponding to the
elastically unrecovered indentation depth, h ¼ 0:04572 mm,
a D D
hV ¼ ¼ pffiffi ¼ : can be computed from (3.3b):
2 tan 68) 2 2 tan 68) 7
P 10:117 !
Since l ¼ D; so the required ratio is: BHN ¼ ¼ kg mm2
pDh !p - 0:75 - 0:04572
hK l=30:514 ¼ 93:9kg mm2 , 94 kg mm%2 :
¼ ¼ 0:229 , 23%:
hV D=7
3.18.7. If Monotron hardness tester is used to indent a
material up to the standard penetration depth using indenter Exercise
of M-1 scale and Monotron hardness of the material is found 3.Ex.1. Rockwell hardness test performed on a material with
to be 100 kg mm%2 ; compute the Brale indenter shows that after application of the total load
(a) Percentage of the indenter diameter that equals the depth of 100 kg, the large pointer moves to number 50 on black
of the standard elastically unrecovered impression. dial and after removal of the major load, the large pointer
(b) Diameter of the standard elastically unrecovered moves to number 65 on the same dial. What is the
impression. (a) Rockwell hardness of that material?
(c) Applied load in kg and the corresponding BHN (for (b) Depth difference between indentation upon withdrawal
elastically unrecovered indentation) of the material. of the applied major load with the minor load still applied
and indentation made by the minor load?
Solution (c) Difference between the depth of indentation upon
Standard depth of penetration in Monotron hardness test is: application of the total load and that due to application of the
minor load?
h ¼ 0:0018 in: ¼ ð0:0018 - 25:4Þ mm ¼ 0:04572 mm: (d) Depth of indentation recovered elastically?
The diameter of Monotron indenter in M-1 scale is 3.Ex.2. Rockwell superficial hardness test is performed on a
D ¼ 0:75 mm: specimen with 1/2 in. diameter steel ball indenter under a
3.18 Solved Problems
major load of 30 kg. If the depth difference between
indentation upon withdrawal of the applied major load with
the minor load still applied and indentation made by the
minor load is found to be 0.055 mm, find the Rockwell
superficial hardness of that specimen.
3.Ex.3. A standard Brinell hardness test is performed on a
cast iron specimen. If the angle between the tangents drawn
to the edge of the Brinell indentation formed on the cast iron
specimen is the same as the angle between two opposite
faces of any ideal Vickers indentation, what will be the BHN
of the above cast iron specimen?
3.Ex.4. If the Rockwell superficial hardness number of a
material is reported to be 30 W-45, mention the size, shape
and material of the indenter, the value of minor load and
total load used in the above test. If the average diameter of
the above indentation on that metal is measured with an
optical microscope after the release of total load and found to
be 0.9 mm, calculate the depth due to application of minor
load in mm, neglecting very small elastic recovery that
occurs upon withdrawal of the minor load.
3.Ex.5. The Meyer hardness of a fully annealed metal is
!
140 kg mm2 ; under an applied load of 1000 kg with
7-mm-diameter ball indenter. If the same metal is tested with
10-mm-diameter ball indenter under the same load, what
would be the Meyer hardness of the above metal?
3.Ex.6. Assume that Knoop hardness number is based on the
measurement elastically unrecovered surface area instead of
elastically unrecovered projected area of indentation. Under
such condition derive the Knoop hardness number in terms
of the applied load, P; and the longitudinal diagonal length,
l; of the Knoop indenter.
3.Ex.7. The respective indentation diameters on the test and
the standard specimens are measured to be 3 and 2 mm
when an indenter of 10 mm diameter is used in a Poldi
hardness test. If the Meyer hardness of the standard speci-
men is 200 kg/mm2, determine the following:
(a) Meyer hardness of the test specimen.
(b) BHN of the test specimen.
(c) True stress and true strain of the test specimen using
Tabor’s relation.
3.Ex.8. Calculate the Monotron hardness of a material in
standard M-3 scale under an applied load of 21.32 kg.
3.Ex.9. Using Tabor’s relation, calculate the value of % true
strain corresponding to the standard penetration depth on a
specimen by a Monotron hardness tester using indenter of
M-2 scale.
169
3.Ex.10. Assume that the flow curve of copper in the region
of uniform plastic deformation is described by rðMPaÞ ¼
317 ! e0:54 : Compute the engineering stress corresponding to
the condition in which the angle between the tangents drawn
to the edge of a Brinell indentation formed on copper is
140°. Use Tabor’s relation to find true strain.
3.Ex.11. Suppose a depth-sensing instrument is used to
perform microhardness indentation test on a sample with
Vickers indenter under a load of 10 g. If the indentation
depth after release of the applied load is found to be 1 lm;
what will be the Vickers hardness? If it is assumed that the
same indentation depth under the same applied load is
obtained when the sample is indented with Knoop indenter,
then what would be the Knoop hardness? Compare it with
Vickers hardness.
3.Ex.12.
(a) If the Vickers microhardness of the sample estimated in
problem 3.Ex.11 is same as the Vickers nanohardness,
compute the contact depth of indentation based on the basic
principle of nanoindentation.
(b) What would be the nanohardness with Berkovich or
Vickers indenter if it is assumed that the contact depth of
nanoindentation is 1 lm under the applied load of 10 g?
3.Ex.13. Indicate the correct or most appropriate answer
from the following multiple choices:
(a) A Brale indenter used in Rockwell hardness test has the
following geometry and material:
(A) Square-based diamond pyramid with 136° included
angle;
(B) Conical shape steel with 120° apex angle;
(C) Conical-shaped diamond with 120° apex angle;
(D) 10-mm-diameter hardened steel ball.
(b) If Mohs’ hardness number of mica is 3.5, it can scratch
(A) Apatite; (B) Feldspar; (C) Fluorite; (D) Calcite.
(c) If a material scratches Feldspar and is scratched by
Quartz, the hardness of the material lies between Mohs’
hardness numbers of
(A) 3 and 4; (B) 4 and 5; (C) 5 and 6;
(D) 6 and 7; (E) 7 and 8.
(d) With the increase of applied load, the Meyer hardness
number for a given indenter size in case of a fully annealed
metal
(A) Remains constant;
(B) First increases and then remains constant;
(C) First increases and then decreases; (D) Decreases.
170 3 Hardness

(e) Out of the following cubic-shaped unclamped specimens, Answer to Exercise Problems
the lowest Shore scleroscope hardness value will be shown
by 3.Ex.1. (a) RD 65; (b) 0.07 mm; (c) 0.1 mm; (d) 0.03 mm.
3.Ex.2. 30Y − 45
(A) Copper weighing 400 g; (B) Copper weighing 4 kg; !
3.Ex.3. 261:7 kg mm2 :
(C) Lead weighing 400 g; (D) Lead weighing 4 kg.
3.Ex.4. 1=8 inch diameter steel ball, 3 and 30 kg; 0.01 mm.
!
(f) The hardness test, where the direction of load application 3.Ex.5. 121:4 kg mm2 :
+ ! , !
is parallel to specimen surface, is 3.Ex.6. P ð0:07774 l2 Þ kg mm2 :
! !
3.Ex.7. (a) 88:89 kg mm2 ; (b) 86:84 kg mm2 ;
(A) Shore scleroscope; (B) Poldi;
(c) 290.55 MPa, and 6%.
(C) Knoop; (D) Herbert Pendulum. !
3.Ex.8. 100 kg mm2 :
(g) The hardness test based on the principle of variable load 3.Ex.9. 8.36%.
and fixed depth of indentation is 3.Ex.10. 69.55 MPa.
! !
3.Ex.11. VHN ¼ 378:3 kg mm2 ; KHN ¼ 152:8 kg mm2 ;
(A) Rockwell; (B) Vickers; (C) Meyer;
KHN : VHN ¼ 0:4 : 1:
(D) Knoop; (E) Monotron. !
3.Ex.12. (a) 1:04 lm; (b) 408:16 kg mm2 :
(h) With the increase of applied load, the Brinell hardness 3.Ex.13. (a) (C) Conical-shaped diamond with 1200 apex
number for a given indenter size in case of a heavily angle. (b) (D) Calcite. (c) (D) 6 and 7. (d) (B) First increases
cold-worked metal and then remains constant. (e) (C) Lead weighing 400 g.
(f) (D) Herbert Pendulum. (g) (E) Monotron. (h) (D)
(A) Remains constant; !
Decreases. (i) (D) P 0:07028 l2 : (j) (C) First increases and
(B) First increases and then remains constant;
then decreases. (k) (A) Remains constant.
(C) First increases and then decreases;
(D) Decreases.

(i) Knoop hardness number is expressed by the formula: References

!% ! &
(A) P=ðwl=2Þ; (B) P 7:114w2 2 ; Bain, E.C., Paxton, H.W.: Alloying elements in steel. Am. Soc. Met.
!2 !
(C) ð1:854 PÞ l ; (D) P 0:07028 l2 : 225 (1966)
Berkovich, E.S.: Three-faceted diamond pyramid for micro-hardness
testing. Ind. Diamond Rev. 11(127), 129–133 (1951)
where P ¼ applied load, l ¼ longitudinal diagonal length of
Bolshakov, A., Pharr, G.M.: J. Mater. Res. 13, 1049 (1998)
Knoop indentation and w ¼ transverse diagonal length of Bulychev, S.I., Alekhin, V.P., Shorshorov, MKh, Ternovskii, A.P.,
Knoop indentation. Shnyrev, G.D.: Determining young’s modulus from the indenter
penetration diagram. Zavod. Lab. 41(9), 1137–1140 (1975)
(j) With the increase of applied load, the Brinell hardness Cahoon, J.R.: An improved equation relating to ultimate strength.
number for a given indenter size in case of a fully annealed Metall. Trans. 3, 3040 (1972)
Cahoon, J.R., Broughton, W.H., Kutzak, A.R.: The determination of
metal yield strength from hardness measurements. Metall. Trans. 2, 1979–
1983 (1971)
(A) Remains constant; Crowe, T.B., Hinsely, J.F.: J. Inst. Met. 72, 14 (1946)
(B) First increases and then remains constant; Davis ,H.E., Troxell, G.E., Wiskocil, C.T.: The testing and inspection
(C) First increases and then decreases; of engineering materials, 3rd edn, pp. 188–189, 205-206, 209.
McGraw-Hill Book Company, Inc., New York (1964)
(D) Decreases
Doerner, M.F., Nix, W.D.: A method for interpreting the data from
depth-sensing indentation instruments. J. Mater. Res. 1(4), 601–609
(k) With the increase of applied load, the Meyer hardness (1986)
number for a given indenter size in case of a heavily Fischer-Cripps, A.C.: (2011) Nanoindentation test standards. In:
cold-worked metal Nanoindentation, 3rd edn., p. 186. Mechanical Engineering
Series I. Springer Science + Business Media, New York
(A) Remains constant; Greaves, R.H., Jones, J.A.: The ratio of the tensile strength of steel to
(B) First increases and then remains constant; the brinell hardness number. J. Iron Steel Inst. 113(1), 335–353
(1926)
(C) First increases and then decreases; Herbert, E.G.: Work-hardening properties of metals. Trans. ASME 48,
(D) Decreases. 705–745 (1926)
References
Hoyt, S.L.: The ball indentation hardness test. Trans. Am. Soc. Steel
Treat. 6, 396–420 (1924)
Kehl G. L. (1949). The principles of Metallographic laboratory
practice, 3rd edn., pp. 226, 249–255. McGraw-Hill Book Company,
Inc., New York (Indian Reprint by Eurasia Publishing House Pvt.
Ltd, New Delhi: 1965)
Knoop, F., Peters, C.G., Emerson, W.B.: A sensitive
pyramidal-diamond tool for indentation measurements. Research
paper RP1220. J. Res. Natl. Bur. Stand. 23, 39–61 (1939)
Lenhart, R.E.: WADC Tech. Rept. 55–114 (1955)
Meyer E.: Contribution to the knowledge of hardness and hardness
testing. Zeits. d. Vereines Deutsch. Ingenieure 52, 645–654,
740-748, 835-844 (1908)
Natl. Bur. (1946). National Bureau of Standards Specifications for
Knoop Indenters, Letter Circular LC819, Apr. 1, 1946
O’Neill, H.: The hardness of metals and its measurement. Sherwood
Press, Cleveland, Ohio (1935)
O’Neill, H.: Hardness measurement of metals and alloys, 2nd edn.
Chapman & Hall Ltd., London (1967)
Oliver, W.C., Pharr, G.M.: An improved technique for determining
hardness and elastic modulus using load and displacement sensing
indentation experiments. J. Mater. Res. 7(6), 1564–1583 (1992)
Oliver, W.C., Pharr, G.M.: Measurement of hardness and elastic
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and Refinements to methodology. J. Mater. Res. 19(1), 3–20 (2004)
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25–26 (1962)
171
Pharr, G.M.: Measurement of mechanical properties by ultra-low load
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 Bending
4

Chapter Objectives

• Bending stresses, flexure formula and experimental method in pure bending.

• Beam design from economical and strength considerations of cross-sectional shapes.
• Modulus of elastic resilience and important variables affecting modulus of rupture.
• Yielding: discontinuous yielding and shape factor.
• Nonlinear stress–strain relationships for materials either deforming in the plastic
range or exhibiting nonlinear elastic deformation.
• Shear stresses in elastically bent beam subjected to non-uniform bending moment.
• Problems and solutions.

confined to the assessment of bending stresses developed in a

4.1 Introduction
Majority of structural members used in engineering appli-
cations are subjected to some bending. Any eccentricity in
load applied in the longitudinal direction of a member may
cause its bending in the lateral direction. A member is said to
be loaded in bending if one side of it is extended, i.e. under
tension, while the other side of it is shortened, i.e. under
compression. The reaction of the member in bending is to
develop internal stresses that will oppose its extension and
compression. Thus, on each cross-section of the member
subjected to bending, there will be normal stresses that will
change from tension on one side to compression on the
other. Further, there will be variation in the magnitude of
tensile or compressive normal stresses across the
cross-section of the member.
In actual services, structures and members are subjected to
bending that may be associated with direct stress, torsional
shear or transverse shear. However, to know the behaviour of
materials subjected to bending, the discussion will be
transversely loaded beam. A beam is a suitably supported
structural member that has length reasonably higher than its
lateral dimensions and undergoes bending under the appli-
cation of transverse loads. A beam under transverse loading
will be subjected to bending moment which will induce
stresses in the beam, and these stresses are called bending
stresses. Bending action in beams subjected to transverse
loading is generally referred to as ‘flexure’. Structural
members subjected to bending in actual service conditions
experience mostly elastic deformation with occasional neg-
ligible plastic flow. In such conditions, there is either no
change or very small changes in cross-sectional areas, which
can be neglected, i.e. the cross-sectional areas are assumed to
remain approximately constant during deformation and so,
the engineering stress, S ! the true stress, r. Further, during
elastic deformation, the engineering strain, e ! the true
strain, e. Hence, the stress will be designated by the term r
and the strain by the term e, subsequently in this chapter,
although initial cross-sectional areas of the members are
mostly used to determine the stresses.

© Springer Nature Singapore Pte Ltd. 2018 173

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_4
174 4 Bending

4.2 Pure Bending P P

The simplest form of bending is the pure bending, where the

beam is free from shear force and the bending moment A B
applied to the beam is constant. A beam is subjected to pure x
bending when it is loaded in such a way that two equal and C D
opposite couples, say ‘MB’, act at its ends, as shown in a a
Fig. 4.1. Although the shearing stresses are zero and only
P P
uniaxial tensile or compressive normal stresses are present
on the cross-section of the beam, there is a stress gradient
across the cross-section with respect to these normal stresses. y
For convenience, the beam may be regarded as made of
longitudinal elements of infinitesimal cross-section or ‘fi- P
bres’, each of which is in a state of uniaxial tension or
compression. P

4.2.1 Bending Stresses and Flexure Formula

Pa Pa
Let us consider a transversely loaded beam ‘AB’, along with
its shear force and bending moment diagrams, as shown in
Fig. 4.2. This figure shows that two transverse loads of equal Fig. 4.2 A transversely loaded beam along with its shear force and
bending moment diagrams
magnitudes, say ‘P’, act at equal distances, say ‘a’, from the
end supports of the beam, i.e. at points ‘Ç’ and ‘D’ of the
beam. Figure 4.2 also shows that the bending moment MB ¼
(4) The bending deformation is uniform in the portion
P a; remains uniform along the length ‘ÇD’ and the shear
‘CD’ of the beam, i.e. this portion ‘CD’ takes the shape
force is also absent there. So, the middle portion ‘CD’ of the
of a circular arc, as shown in Fig. 4.3. This assumption
beam is subjected to pure bending.
is quite reasonable because the applied bending
To study the state of internal stresses caused by pure
moment is uniform along the length ‘ÇD’ of the beam.
bending and the deformations taking place within the
(5) Each cross-section of the beam that was initially plane
material, the following assumptions are made. For more
before the deformation will remain plane and normal to
complicated cases of bending, the readers may consult texts
the longitudinal fibres of the beam in its deformed
on mechanics of materials (Popov 1990; Timoshenko 1955,
configuration, not only during its elastic bending but
1956).
also beyond its elastic range. For the case of pure
bending, this assumption has been found to hold good,
(1) The beam made of material is homogeneous and fol-
as confirmed by the accurate strain measurements in the
lows Hooke’s law. Its modulus of elasticity in tension,
laboratory.
E, is the same as that in compression, EC .
(6) The method of the load application and the supports to
(2) The beam made of material is prismatic, and it has an
the beam are such that no constraint is introduced in the
axial plane of symmetry, which is taken as plane ‘xy’,
longitudinal direction of the beam.
as shown in Fig. 4.2.
(3) The loads are applied in the above-mentioned plane of
As a result of bending deformation occurring under the
symmetry so that no twisting occurs and so that
application of bending moment, upper fibres on the concave
bending takes place only parallel to this plane.
side of the beam are shortened while lower fibres on the
convex side of the beam are extended that can be visualized
in Fig. 4.3. Somewhere in between the compressed top
fibres and the elongated bottom fibres of the beam, there
exists a bed of fibres that are neither in compression nor in
MB MB tension and remain unchanged in length. This layer of fibres
representing the location of zero strain is called the neutral
plane or surface of the beam. All fibres on the convex side
Fig. 4.1 Beam subjected to pure bending of the neutral plane are in tension while those on the concave
4.2 Pure Bending
Fig. 4.3 ‘CD’ portion of the
beam, shown in Fig. 4.2, takes
the shape of a circular arc due to
the action of pure bending and as
a result, cross-sections of the
beam rotate
side are in compression. So, it can be stated that the elon-
gated fibres are located at a positive distance from the neutral
plane along the positive transverse direction of y-axis and the
longitudinal tensile strain in ‘x’-direction experienced by
them is positive, while the compressed fibres are located at a
negative distance from the neutral plane and the longitudinal
compressive strain undergone by them is negative. The
intersection of this neutral plane with the axial plane of
symmetry ‘xy’ of the beam is called the neutral axis of the
beam, which passes through its centroid that will be proved
subsequently. Again, the intersection of this neutral plane
with the plane of any cross-section is called the neutral axis
of that cross-section.
It is to be noted that the bending action causes
cross-sections of the beam to rotate, and Fig. 4.3 shows that
the rotation causes one extreme cross-section of the beam to
make an angle ‘h’ with another extreme cross-section at their
intersection point ‘O’. Let us consider a short segment of the
beam contained between the planes of two adjacent
cross-sections. After bending deformation, these two adja-
cent cross-sections ‘mn’ and ‘pq’ rotate and intersect at point
‘O’, as evident from Fig. 4.3. Let the intersection point of
the neutral axis of the beam with the cross-section ‘mn’ is ‘a’
and that with the cross-section ‘pq’ is ‘b’.
If dh ¼ the angle between these adjacent planes ‘mn’ and
‘pq’ at their intersection point ‘O’;
dx ¼ the spacing between these adjacent cross-sections
‘mn’ and ‘pq’ along the neutral axis of the beam ¼ ab; and
q ¼ the radius of curvature of the neutral axis of the
beam, then
dx
dh ¼ ð4:1Þ
q
175
The initial orientation of the cross-section ‘pq’ before
deformation is indicated in Fig. 4.3 by a line ‘p′q′’ drawn
parallel to the cross-section ‘mn’ through the point ‘b’ on the
neutral axis of the beam, at which the cross-section ‘pq’
intersects. Since p0 q0 k mn; the angle formed between the
initial cross-section ‘p′q′’ and the rotated cross-section ‘pq’
at their intersection point ‘b’ = the angle between the adja-
cent planes ‘mn’ and ‘pq’ at their intersection point ‘O’ ¼
dh: From the figure, it is clear that after rotation of the initial
cross-section ‘p′q′’ to ‘pq’, the segment of fibre between the
two cross-sections ‘mn’ and ‘p′q′’ has increased in the
positive direction of y-axis from their initial separation ab ¼
dx ¼ cd 0 to ‘cd’ at any arbitrary distance ‘y’ from the neutral
plane. This segment at any arbitrary distance ‘y’ is longitu-
dinally elongated in the ‘x’-direction by the amount d0 d ¼
ydh: Since cd 0 ¼ dx and from (4.1), dh=dx ¼ 1=q; the lon-
gitudinal tensile strain, ex ; in the ‘x’-direction is given by
d0 d ydh y
ex ¼ ¼ ¼ ð4:2aÞ
cd 0 dx q
If we consider any fibre on the concave side of the neutral
plane, the longitudinal compressive strain exC ; in the
‘x’-direction will be given by
%y
e xC ¼ ð4:2bÞ
q
According to Hooke’s law, the longitudinal tensile stress
rx ; in each fibre is
E
rx ¼ Eex ¼ y ð4:3aÞ
q
176 4 Bending

(a) (b) (c)

εxc σxc
Compression
(–) (–)

0 0 Neutral
surface Neutral
axis
y
(+) (+)
Tension
εx σx
Beam cross-section

Fig. 4.4 Linear variations of longitudinal fibre a strains ex in tension and exC in compression and b stresses rx in tension and rxC in compression
with distance ‘ý’ from the neutral surface. c Transverse curvature of beam

Fig. 4.5 Diagrams to determine (a) (b)

the location of the neutral axis
‘Oz’ of cross-sections, which are
a symmetrical with respect to the
neutral axis and b not
symmetrical with respect to the
neutral axis c
c2

O
z
O
y z
y
c
c1
dA
dA

y y

Similarly, the longitudinal compressive stress rxC ; in each distance y from its neutral axis is denoted by dA; then the
fibre is given by elemental normal force on this area in the cross-section is
EC rx dA: Now using (4.3a), it can be written as
rxC ¼ EC exC ¼ % y ð4:3bÞ
q Z Z
E
Equations (4.3) and (4.2) show, respectively, that the Nx ¼ rx dA ¼ y dA ð4:4Þ
q
longitudinal fibre stresses rx in tension and rxC in com- A A

pression and strains ex in tension and exC in compression vary Since for pure bending there must be no resultant normal
linearly with distance ‘y’ from the neutral surface, as long as force Nx on the cross-section of the beam, (4.4) becomes
Hooke’s law is obeyed by the material. Such distributions of Z
stress and strain over the depth of the beam are shown in E
Nx ¼ y dA ¼ 0 ð4:5Þ
Fig. 4.4a, b, where jrx j ¼ jrxC j is taken according to the q
A
assumption, E ¼ EC : It is to be noted that the fibre stresses
are normal to the cross-section of the beam. E
Since 6¼ 0; it is concluded from (4.5) that
Referring to Fig. 4.5, the location of the neutral axis ‘Oz’ q
of the cross-section can be found by equating the summation Z
of the elemental normal forces with the resultant normal y dA ¼ Ayc ¼ 0 ð4:6Þ
force, say Nx ; on the cross-section of the beam. If the area of
A
an element of the cross-section at an arbitrary positive
4.2 Pure Bending 177

where A is the total area of the cross-section and yc is the extreme fibres in tension and compression, then from (4.9a)
distance from the centroid of the cross-section to its neutral and (4.9b), we obtain
axis. Again since A 6¼ 0; it is concluded from (4.6) that yc ¼ 0:
M B c1
Therefore, the neutral axis of the cross-section passes through Maximum bending stress; ðrx Þmax ¼ ð4:10aÞ
Iz
its centroid.
The fibre stress acting normal to any cross-section of the M B c2
beam caused by the applied bending moment MB is found Minimum bending stress; ðrx Þmin ¼ ð4:10bÞ
Iz
from the following consideration. The moment of the ele-
mental normal force rx dA at an arbitrary positive distance Due to the imposed maximum and minimum bending
y from the neutral axis of the cross-section with respect to stresses as mentioned above, there must be a maximum
that axis produces the elemental bending moment, denoted longitudinal tensile strain on the convex extreme face of the
by dMB ; where dMB ¼ yrx dA: The summation of these beam and a maximum longitudinal compressive strain on the
elemental bending moments over the total area A of concave extreme face. Denoting the former by the maximum
cross-section must give rise to the bending moment MB on and the latter by the minimum (as it is negative) longitudinal
that cross-section. Therefore, with help of (4.3a), strain, we obtain by substituting the value of 1=q from (4.8)
Z Z Z into (4.2a) and (4.2b),
E E
MB ¼ dMB ¼ yrx dA ¼ y2 dA ¼ Iz ð4:7Þ c1 MB c1
q q Maximum longitudinal strain; ðex Þmax ¼ ¼
A A A q EIz
ð4:11aÞ
where Iz ¼ the moment of inertia of the cross-sectional area
R
about its neutral axis, i.e. z-axis ¼ A y2 dA: From (4.7), the c2 MB c2
Minimum longitudinal strain; ðex Þmin ¼ ¼
curvature 1=q of the neutral axis of the beam is q EIz
1 MB ð4:11bÞ
¼ ð4:8Þ
q EIz Let Iz =c1 ¼ Z1 and Iz =c2 ¼ Z2 ; where Z1 and Z2 are
called the section moduli. Hence, (4.10) and (4.11) can also
where the quantity ‘EIz ’ is called the flexural rigidity of the
take the following forms:
beam. It includes both the stiffness of the material as mea-
sured by E and the proportions of the cross-sectional area as MB
measured by Iz : Equation (4.8) shows that the curvature of ðrx Þmax ¼ ð4:12aÞ
Z1
the neutral axis of the beam is directly proportional to the
applied bending moment and inversely proportional to the and
flexural rigidity of the beam.
MB
By substitution of the value of 1=q from (4.8) into (4.3a), ðrx Þmin ¼ ð4:12bÞ
Z2
we get
MB
MB MB y ðex Þmax ¼ ð4:13aÞ
rx ¼ Ey ¼ ð4:9aÞ EZ1
EIz Iz
and
Similarly from (4.3b),
MB
MB y ðex Þmin ¼ ð4:13bÞ
rxC ¼ % ð4:9bÞ EZ2
Iz
If the cross-section of the beam is symmetrical with
Equations (4.9) show that the bending stresses reach the
respect to its neutral axis, i.e. centroidal axis, such as square,
maximum values in those fibres farthest away from the
rectangular or circular cross-section, then c1 ¼ c2 ¼ cðsayÞ
neutral plane. So, there will be a maximum tensile stress on
and Z1 ¼ Z2 ¼ Z ðsayÞ; and in such cases, the bending
the convex extreme face of the beam and a maximum
stresses as well as the longitudinal strains in the extreme
compressive stress on the concave extreme face. Since the
fibres in tension and compression are equal, as shown below:
maximum compressive stress value is negative, it is denoted
as the minimum bending stress. If c1 and c2 are, respectively, ! ! ! ! MB c MB
!ðrx Þ ! ¼ !ðrx Þ !¼ ¼ ð4:14Þ
the absolute values of distance from the neutral plane to the max min
Iz Z
178 4 Bending

(a) (b) (c) (d)

b

a
h/2 D/2 c2

a z z
z
z
h/2 D/2 c1

y y y y

Fig. 4.6 Figures to explain section moduli for different cross-sections

! ! ! ! lateral strain in the z-direction due to Poisson’s effect, just

!ðex Þ ! ¼ !ðex Þ ! ¼ c ¼ MB c ¼ MB ð4:15Þ
max min
q EIz EZ like in uniaxial tension and compression. This lateral strain
in the z-direction is given by ez ¼ %m & ex ; and similar to ex ;
Each of (4.10) as well as (4.14) is called the flexure the variation of ez will be always linear across the
formula. cross-section of the beam. Thus, the fibres on the concave
For a square cross-section of side ‘a’ shown in Fig. 4.6a, side of the neutral surface, i.e. the compression side of the
beam, expand laterally, and those on the convex side, i.e. the
a a4 a3
c1 ¼ c2 ¼ c ¼ ; so; Iz ¼ and Z1 ¼ Z2 ¼ Z ¼ tension side, contract laterally. As a result, the beam
2 12 6 becomes narrower on the tension side and wider on the
ð4:16aÞ compression side compared to the neutral surface that
For a rectangular cross-section of depth ‘h’ and width ‘b’, remains unchanged in dimensions, as shown in Fig. 4.4c.
as in Fig. 4.6b, Thus, a transverse curvature of the beam is developed in a
direction opposite to the longitudinal curvature. The above
h bh3 two opposite curvatures interfere with each other, and this
c1 ¼ c2 ¼ c ¼ ; so; Iz ¼ and
2 12 ð4:16bÞ interference increases with increase of width-to-depth ratio
bh2
Z1 ¼ Z2 ¼ Z ¼ of the beam. If the beam is made wider keeping its depth
6
fixed, these two opposite curvatures will become incom-
In case of a circular cross-section of diameter, ‘D’, as in patible, which will cause the transverse curvature to remain
Fig. 4.6c, little or vanish.
So far, the theory for the case of pure bending has been
D pD4 developed. But shear force is present at each cross-section of
c1 ¼ c2 ¼ c ¼ ; so; Iz ¼ and
2 64 ð4:16cÞ the beam when the applied bending moment varies from one
pD3
Z1 ¼ Z2 ¼ Z ¼ cross-section to another. This results in a non-uniform
32 bending of the beam which induces shearing stresses in the
If a beam with the trapezoidal cross-section as shown in material unlike in the case of pure bending. The non-uniform
Fig. 4.6d is bent convex downwards, the maximum tensile bending of the beam combined with these shearing stresses
stress in the fibres of the convex extreme face will be lower causes distortion of the different cross-sections so that each
than the maximum compressive stress in the fibres of the cross-section of the beam that was initially plane before the
concave extreme face, as c1 < c2 and consequently, Z1 > Z2. deformation will not remain plane in its deformed configu-
Since a brittle material is usually stronger in compression ration. An extensive analysis of this complicated problem
than in tension, the trapezoidal cross-section of the beam shows that the normal bending stresses, as evaluated from
made of brittle materials like cast iron or concrete may prove (4.9) for pure bending, do not vary much due to the exis-
to be advantageous. tence of these shear stresses. Accordingly, it is reasonable to
So far we have discussed about the longitudinal strain of apply the theory of pure bending for estimation of the nor-
the fibres in the x-direction, but the beam also experiences a mal bending stresses and usually adopted in practice.
4.2 Pure Bending
4.2.2 Experimental Method
For experimental investigation of materials’ behaviour under
pure bending, the first requirement is to satisfy the condi-
tions mentioned earlier which are:
• Loading in an axial plane of symmetry.
• Freedom from constraint in the longitudinal direction of
the beam.
• Application of uniform bending moment with zero shear
force in the part of the beam under investigation.
A typical experimental set-up for pure bending is
schematically illustrated in Fig. 4.7. A loading beam that
rests on two rollers on the top of beam to be tested is used to
apply the loads. Accurate spacing of the supports and
loading points is necessary to provide constant bending
moment with zero shear force. A load, say P; is applied to
the loading beam accurately at the mid-point between its two
supporting rollers. These rollers in turn must be spaced
accurately at equal distances from the supporting rollers for
the beam to be tested. If the distance between the supporting
rollers of the test-beam is L; the supporting rollers of the
loading beam are often located at L=3 or L=4 distances from
Fig. 4.7 A typical experimental
set-up (schematic) for pure
bending
Fig. 4.8 Frame to measure
deflection in pure bending P
__
2 2
Pivot
179
the test-beam supports, although any equal location dis-
tances can be used. In order to fulfil the requirement of
loading in a vertical plane of symmetry, the loading beam
and the test-beam as well as the supporting rollers must be
precisely machined and the rollers remain normal to the axes
of all beams. The supports of the test-beam in the form of
rollers provide freedom from longitudinal restraint.
Local stresses arise near the loading points, but they
disappear at a short distance from the loading points; this
distance is nearly equal to the depth of the test-beam. The
minimum length for the centre region of the test-beam
should be 4 times its depth so that the region free from local
stresses is long enough.
Load and either deflection or strain are usually recorded
in the test. The deflection is measured in the portion of the
beam that is subjected to pure bending. Device for measur-
ing deflection in pure bending is shown in Fig. 4.8. The
device is attached to the test-beam by pins or setscrews
within the pure-bending region at equal distances from the
loading points and at the neutral plane in order to eliminate
the effects of shear in the end regions. A standard calibrated
dial indicator is used to measure the deflection. If strain is to
be measured, strain gages are used and attached to the top
and bottom of the test-beam.
P
Loading beam
Test-beam
Loading points
P
__
Dial indicator
180
4.3 Beam Design in Pure Bending
In designing a beam subjected to pure bending, the choice of
its cross-sectional shapes from the point of a satisfactory
utilization of the strength of beam and the selection of its
cross-sectional areas and shapes from an economical point of
view will be discussed.
(1) Strength considerations of cross-sectional shapes:
If strength of a material in tension is the same as that in com-
pression, as usually observed in ductile metals, it will be rea-
sonable to select such cross-sectional shapes, which will be
symmetrical with respect to the neutral axis of the cross-section,
i.e. the centroid of the cross-section must be at the centre of the
depth of the beam. Beam made of such materials like structural
steel, whose yield strength in tension is almost the same as in
compression, is designed by using the same factor of safety for
fibres in tension and for those in compression.
For brittle materials like cast iron or concrete, the strength
in tension is lower than that in compression. For them, the
preferable cross-sectional shapes are those which are not
symmetrical with respect to the neutral axes of these
cross-sections. If c1 and c2 are, respectively, the distances
from the centroidal axis of the cross-section to the extreme
fibres in tension and compression, the best cross-section to
obtain equal strength in tension and compression must sat-
isfy the condition, which is
c1 strength of material in tension
¼ :
c2 strength of material in compression
For example, the dimensions of the bases of a trapezoidal
section or those of the flange and web of a T-section may be
adjusted to obtain the centroid of the cross-section in such a
location along the depth of the cross-section that the strength
of the extreme fibres of the beam in tension is equal to that in
compression.
(2) Economical considerations of cross-sectional areas
and shapes:
Along with the satisfactory fulfilment of the strength con-
dition, the condition of economy in the cross-sectional area
of the beam must also be considered. If the section modulus
of the cross-sectional area is the same and the strength
condition is satisfied with the same factor of safety, then the
smaller the cross-sectional area of the beam the more
4 Bending
economical it is. Let us compare various cross-sectional
shapes with respect to the economical aspect.
If ‘A’ denotes the cross-sectional area for any shape, the
section modulus ‘Z’ of a rectangular cross-section from
(4.16b) is
bh2 A
Z¼ ¼ h ð4:17aÞ
6 6
Equation (4.17a) shows that as long as the section mod-
ulus ‘Z’ is kept constant, increasing the height ‘h’ of the
cross-section causes the area ‘A’ of the rectangular
cross-section to decrease and make it more and more eco-
nomical. However, the height ‘h’ can be increased up to a
certain extent beyond which the rectangular cross-section
becomes so narrow that the beam collapses due to lateral
buckling. For a discussion on lateral buckling of beams, the
reader may consult Timoshenko and Gere (1963).
From (4.16c), the section modulus ‘Z’ of a circular
cross-section is
pD3 A
Z¼ ¼ D ¼ 0:125AD ð4:17bÞ
32 8
If the area ‘A’ of a square cross-section of side ‘a’ is the
same as that of the circular cross-section, then
pffiffiffi
a ¼ ð pDÞ=2; and from (4.16a), the section modulus ‘Z’ of
a square cross-section will be
pffiffiffi
a p
Z¼ A¼ DA ¼ 0:148AD ð4:17cÞ
6 12
Comparison of (4.17c) with (4.17b) shows that a square
cross-section is more economical than a circular one.
We have already seen that the absolute value of the
pure-bending stresses increases with distance from the neu-
tral axis of the cross-section. So, it may be concluded that
the beam design in pure bendingwill be economical, if the
material of the beam is put at a distance as much as possible
away from the neutral axis. If we consider a beam of a given
cross-sectional area ‘A’ and depth ‘h’, the theoretical ideal
distribution for area ‘A’ would be to put each half of the area,
i.e. A=2; at a distance h=2; from the neutral axis on both
sides of it, as shown in Fig. 4.9. In this case, the moment of
inertia Iz ; of this cross-sectional area about its neutral axis,
i.e. z-axis, will be Iz ¼ 2 ' ðA=2Þ ' ðh=2Þ2 ¼ ðAh2 Þ=4 and
the section modulus Z will be given by
Iz 1
Z¼ ¼ Ah ð4:17dÞ
h=2 2
4.3 Beam Design in Pure Bending 181

A
__
2
/
h 2
/
h 2
A
__
2
Fig. 4.9 Theoretical ideal distribution for a given cross-sectional area
‘A’ and depth ‘h’ of a beam for economical design
Equation (4.17d) shows the limiting condition for an
ideal case, which can never be achieved in practice. But this
condition may be approached by an I-section with wide
flange and narrow web, where most of the material is put in
the flange section and the minimum necessary part of the
material is put in the web section. For such an I-section, we
may have the section modulus as
1
Z ¼ Ah
3 region. The extension of the linear elastic line ‘OA’ in
From the comparison of (4.17e) with (4.17a), it is clear
that for maintaining the same value of the section modulus
‘Z’, an I-section requires less area ‘A’ than a rectangular
section of the same depth ‘h’ and so an I-section is more
economical than a rectangular section of the same depth.
Moreover, when the lateral buckling is concerned, the sta-
bility of an I-section will be more because of its wide flanges
than that of a rectangular section having the same depth and
section modulus.
4.4 Linear Elastic Behaviour
The mechanical behaviour of a material is always repre-
sented by some kind of variables like force and deformation
variables. In pure bending, the force variable used may be
the applied bending moment MB ; the applied load P; or
z some particular value of stress like the maximum bending
stress ðrx Þmax ; because the stress varies across the
cross-section of the beam. Similarly, the deformation vari-
able used may be the maximum deflection or a particular
value of strain like the maximum bending strain ðex Þmax : The
maximum bending strain is simple to measure because the
bending strain varies always linearly across the cross-section
of the beam. The maximum deflection is also widely
employed because it is easy to measure.
A typical bending moment–strain diagram for a ductile
material subjected to pure bending is shown in Fig. 4.10. For
convenience of comparison, the tensile stress–strain diagram
for the same material is included in Fig. 4.10. The scales along
the ordinate of this figure have been so adjusted that the loca-
tion of the bending moment at the proportional limit ðMB Þpl
coincides with that of the tensile stress at the proportional limit
rpl (rpl is used instead of Spl ; because of negligible change in
cross-sectional area during elastic deformation). This point of
ð4:17eÞ coincidence, ‘A’, in this figure represents the end of elastic
Fig. 4.10 towards the point ‘B’ corresponds to the values of
bending moment or tensile stress that would exist if the
material proceeded to respond elastically. If Hooke’s law is
obeyed by the material, the equation of the linear elastic line
‘OA’ in Fig. 4.10 is obtained as follows from (4.18), assuming
that the beam has a symmetrical cross-section.
EIz
MB ¼ ðex Þmax ð4:18Þ
c

Fig. 4.10 Comparison of MB , σ

bending moment–strain and Moment–strain diagram
tensile stress–strain diagrams for
a ductile material
B
Y' Stress–strain diagram
Proportional
limit
A Y

O εmax , ε
ε1
Offset
182
The modulus of elasticity E; used in (4.18) has the same
value as that obtained in uniaxial tension or compression.
For a perfectly brittle material, the flexure formula given
by (4.14) can be applied all the way to rupture. If the rupture
moment, i.e. bending moment, at the point of rupture for a
brittle material is ðMB Þr ; then the bending stress required to
cause rupture at the outermost fibre, also called the modulus
of rupture ðrmax Þr ; will be given by
ðM B Þr c
Modulus of rupture; ðrmax Þr ¼ ð4:19Þ
Iz
Equation (4.19) is commonly used to evaluate the max-
imum bending stress required to cause rupture of brittle
plastics and other brittle materials like cast iron, ceramics,
concrete and wood which are not perfectly brittle and usually
undergo inelastic deformation prior to their fracture,
although the actual rupture stresses for these materials will
be lower than the stress computed from (4.19) for a brittle
elastic solid.
4.4.1 Important Variables Affecting Modulus
of Rupture
The important factors that affect the modulus of rupture of
brittle materials in flexure tests are:
• Types of loading;
• Length of span;
• Shape of the cross-section of a beam;
• Cross-sectional dimensions of a beam;
• Rate of loading, i.e. speed of testing.
There are three common types of loading: (1) symmetri-
cal two-point loading of simple beam, as shown in Fig. 4.2;
(2) centre loading of simple beam, as shown in Fig. 4.25
related to solved problem 4.8.3; (3) single-point loading at
the free end of a cantilever beam. Flexure test results of
concrete (Kellerman 1933; Goldbeck 1943; Wright 1952)
have indicated the effect of the types of loading on the rel-
ative magnitudes of the modulus of rupture. The modulus of
rupture obtained from symmetrical two-point loading is
roughly 10–25% less than the centre loading. But the centre
loading tends to give slightly lower results than cantilever
loading although the difference, on the average, is not great.
The most concordant results are generally obtained by the
symmetrical two-point loading method.
Test results on both concrete and cast iron have indicated
that, for beams of the same cross-section, the greater the
length of span, the lower the modulus of rupture (Mathews
1910; Kellerman 1933; MacKenzie and Donoho 1937).
4 Bending
Test results on cast-iron beams of various shapes but
having approximately equal cross-sectional area show that
the modulus of rupture is lower for beams in which a rela-
tively greater proportion of the cross-sectional area is con-
centrated near the extreme fibres, such as an I-section beam,
although the breaking loads for such sections are signifi-
cantly larger (Withey and Washa 1954).
Test results on both concrete and cast iron have shown
that strengths are lower for beams having larger
cross-sectional dimensions (MacKenzie 1931; Kellerman
1933; Wright 1952).
In general, the effect of testing speed in the flexure test is
the same as that in the tension and compression tests. If the
rate of stressing is increased from 138 to 7860 kPa (20–1140
psi) per min, then the modulus of rupture for concrete beams
increases by about 15% (Wright 1952).
4.4.2 Modulus of Elastic Resilience
The modulus of elastic resilience in pure bending for
materials showing linear elasticity is expressed in terms of
the work done per unit volume as the applied bending
moment is gradually increased from zero to the proportional
limit moment, ðMB Þpl : The total work done in pure bending
is the area between the linear elastic portion of the applied
bending moment ðMB Þ versus the angular rotation ðhÞ dia-
gram and the h-axis: So, the work done per unit volume is
equal to half the product of the proportional limit moment
and the angular rotation of the beam at the proportional limit
divided by the volume of the beam, which is given by
Modulus of resilience in pure bending,
ðMB Þpl hpl
ðUB ÞMR ¼ ð4:20Þ
2AL
where
ðMB Þpl the applied uniform bending moment at the
proportional limit;
A the cross-sectional area of the beam;
L the length of the beam subjected to pure bending;
hpl the angular rotation of one end of the beam with
respect to the other at the proportional limit
During bending, the length L of the beam remains
unchanged at the neutral axis of the beam and the angle
between the radii to the ends of the beam is the same as hpl ;
therefore L ¼ qpl hpl ; where qpl ¼ the radius of curvature of
the neutral axis of the beam, when the applied moment
reaches the proportional limit. At the proportional limit, the
maximum bending strain ðemax Þpl for a cross-section that is
4.4 Linear Elastic Behaviour
symmetrical with respect to the centroidal axis of a beam can
be obtained from (4.11a) as
c chpl L the tensile stress at the proportional limit, i.e. the point ‘A’.
ðemax Þpl ¼ ¼ or; hpl ¼ ðemax Þpl ð4:21Þ
qpl L c
On substituting for hpl from (4.21) into (4.20), we get
ðMB Þpl ðemax Þpl
Modulus of resilience, ðUB ÞMR ¼ ð4:22Þ
2Ac
Therefore, the modulus of resilience in pure bending is
equal to the area under the linear elastic portion of the
applied bending moment MB versus the maximum bending
strain emax diagram divided by the product A c : The modulus
of resilience can be calculated from either of the above two
(4.20) and (4.22). For comparison of the values of the
modulus of resilience for beams of different materials, the
geometry of the beams must be maintained identical because
the values of the modulus of resilience are dependent on the
geometry of the beams. The other elastic properties of a
material subjected to bending can be predicted from the
equivalent properties in uniaxial tension.
4.5 Yielding
Yielding in pure bending is identical to that in uniaxial
tension, i.e. slip takes place in the direction of the maximum
shear stress on planes oriented at 45° with the axis of the
beam. When the bending stresses developed on the extreme
fibres of the beam reach the yield strength of the material, as
determined by uniaxial tensile test, these fibres farthest from
the neutral axis of the beam yield locally producing a strain
equal to the yield strain in uniaxial tension. Afterwards with
the continuation of bending, yielding proceeds gradually
inward towards the neutral plane of the beam.
Since initial local yielding near the outermost surfaces of
the beam changes the bending stress only in a small region
of the cross-section, its effect on the bending moment–strain
diagram (Fig. 4.10) is minor that leads to a slight deviation
of the diagram from its linear portion. This makes the
position of the proportional limit moment very unreliable
and the detection of the initial yielding in bending difficult.
At a strain slightly beyond the elastic range say e1 ; in
Fig. 4.10, the bending moment–strain diagram will lie
slightly below its corresponding elastic diagram, given by
the extended linear elastic line ‘AB’. On the other hand, at
the same strain e1 ; the tensile stress–strain diagram for the
same material will lie substantially below its corresponding
elastic diagram since there is an appreciable stress drop from
the elastic value at the onset of yielding in tension. The
value of yield moment in bending at Y 0 in Fig. 4.10 obtained
by the construction for the same strain offset used in tension
183
will be at a much higher level than the proportional limit
moment given by the point ‘A’, while the offset yield
strength at Y in tension remains at a little higher level than
Thus, the above offset construction is of no use for evalu-
ation of the yield moment. Because of the small deviation
from linearity in the bending moment–strain diagram, it is
easier and more reliable to determine the elastic properties in
bending by computation from the corresponding properties
obtained in uniaxial tension. Accordingly, the proportional
limit moment ðMB Þpl can be calculated with quite accuracy
from the tensile proportional limit stress rpl by means of
(4.10) or (4.14). Similarly with the same equation, the yield
moment ðMB Þy can be calculated from the tensile yield
strength r0 ; measured in uniaxial tension, although the
value of ðMB Þy computed from this equations (valid for
linear elastic region) will be approximate because of the
involvement of a small amount of inelastic deformation in
yielding.
4.5.1 Discontinuous Yielding and Shape Factor
The best example among the materials that yield discontin-
uously is mild steel because it is widely used in application.
The absolute maximum value of bending stress developed in
the extreme fibres of a beam made of mild structural steel
subjected to pure bending reaches the uniaxial tensile upper
yield stress value ðr0 ÞU just prior to the onset of yielding. At
this stage, a linear elastic stress distribution over the
cross-section of the beam is noted, as shown in Fig. 4.11a,
where the cross-section of the beam is assumed to be sym-
metrical with respect to its neutral axis. As soon as yielding
begins at some point on the extreme surface, owing to an
imperfection, the stress in the extreme fibres of mild steel
beam drops to the uniaxial tensile lower yield stress value
ðr0 ÞL . The onset of yielding causes a small slip band to form
at the outermost surface that starts from this surface and
propagate inward towards the neutral surface of the beam in
the shape of a wedge. This propagating wedge acts like a
notch and has stress concentration at its tip. This causes the
inner fibres of the mild steel beam to yield at the uniaxial
tensile lower yield stress value ðr0 ÞL : As a consequence, the
elastic stress distribution curve of Fig. 4.11a changes
abruptly to the elastic and plastic stress distribution curve, as
shown in Fig. 4.11b. Just like uniaxial tension, highly
localized yielding takes place at several points along the
beam until the entire beam has yielded.
After the inward progress of yielding up to some depth
from the extreme surface of the beam, the actual elastic and
plastic stress distribution curve in mild steel appears as that
in Fig. 4.12a. The absolute maximum value of bending
184 4 Bending

(a) (b)

(–) (–)

σx σx
0 0
Neutral surface
(+) (+)

(σ0)U (σ0)L
y (σ0)U
y

Fig. 4.11 Discontinuous yielding in mild steel subjected to pure bending. a Linear elastic stress distribution over the cross-section of the beam
just prior to the onset of yielding. b Elastic and plastic stress distribution just after initiation of yielding at the outermost surface of the beam

(a) (b)
(σ0)L (σ0)L

(–)
Neutral surface (–)
σx σx
0 0
(+) (+)

(σ0)L (σ0)L
y y

Fig. 4.12 Stress distribution over the depth of a mild steel beam with surface of the beam. b Idealized stress distribution under fully plastic
discontinuous yielding. a Actual elastic and plastic stress distribution condition of the beam
after the inward progress of yielding up to some depth from the extreme

stress over the depth of yielding is given by the uniaxial
tensile lower yield stress value ðr0 ÞL that remains nearly
constant, as observed in uniaxial tension during the period of
yield-point elongation. Ultimately, when the yielding pro-
gresses up to the neutral surface of the beam, the condition
becomes fully plastic. As long as the mild steel does not
strain harden, the bending moment cannot rise above the
value that corresponds to this fully plastic condition, which
is therefore called the ultimate moment, ðMB Þu : The ideal-
ized stress distribution curve under fully plastic condition
can be represented by two rectangles meeting at the neutral
axis of the cross-section of beam and is shown in Fig. 4.12b.
The magnitude of the ratio of the ultimate moment to initial
yield moment, i.e. the ratio ðMB Þu =ðMB Þy ; depends on the
cross-sectional shape of the beam and is called the shape
factor (Richards 1961), the value of which will be obviously
above 1. The higher the value of the shape factor, the higher
is the difference between the ultimate moment and the initial
yield moment. The shape factor is applied in the plastic
design of structures made of mild steel because it determines
the allowance that remains beyond the initial yield moment.
Assuming that no strain hardening takes place, the shape
factor for circular cross-section is 1.7 and that for rectangular
cross-section is 1.5, i.e. their ultimate moments are respec-
tively 70 and 50% higher than their initial yield moments
and therefore, the circular cross-section is preferred to the
rectangular cross-section in the plastic design of steel
structures.
4.6 Nonlinear Stress–Strain Relations
Materials either deformed in the plastic range or exhibiting
nonlinear elastic deformation involve nonlinear stress–strain
relationships. In either of the above cases, (4.9) or (4.10) or
(4.14) cannot be applied because they are derived for the
conditions of linear elastic deformation. In such situations,
the stress distribution curve over the depth of the beam has
to be established in order to determine the relation between
bending moment and stress for each stress distribution.
Let us first consider a beam having a vertical as well as a
horizontal plane of symmetry, such as a circular, rectangular,
I-shaped or any other shaped cross-section having two axes
of symmetry. In this section, all diagrams are constructed
assuming that the beam is bent concave upwards. Consider a
ductile material stressed into the plastic range, whose stress–
4.6 Nonlinear Stress–Strain Relations 185

Fig. 4.13 Nonlinear stress– (a) (b)(i) (b)(ii)

strain relation for a beam having a
vertical as well as a horizontal (εx)min (σx)min
plane of symmetry subjected to
pure bending. a Stress–strain
σx (σx)max (–)
diagram identical in tension and
Neutral
compression. b Distributions of (+) (–)
surface
corresponding (i) strain and (ii)
(εx)min 0 σx
stress over the depth in the beam
(εx)max 0 εx 0
εx
(–) y y
(+)
(σx)min (+)

(σx)max
(εx)max

strain diagram in tension is identical to that in compression, Fig. 4.13b(i). If strains are determined for various values of
as shown in Fig. 4.13a. The corresponding stress distribu- depth from (4.23), the corresponding values of stresses rx
tion curve over the depth of the beam is shown in Fig. 4.13b and rxC are then obtained from the stress–strain curve in
(ii), which has the same shape as that in Fig. 4.13a, but Fig. 4.13a. Now, one can easily plot the stress distribution
differs only in scale. In Fig. 4.13b(ii), the ordinate shows the curve over the depth of the beam, i.e. stress versus depth
depth distance y from the neutral axis of the cross-section curve, as shown in Fig. 4.13b(ii). Since the stress–strain
while in Fig. 4.13a, the abscissa shows the strain ex along curve in tension is identical to that in compression for the
the neutral axis of the beam, i.e. in the x-direction; but in material considered above, the neutral axis of the
each figure, the other axis represents the stress. Since ex is cross-section coincides with the horizontal axis of symmetry
proportional to y in case of pure bending according to (4.2a) and the stress distribution in tension will be identical to that
(where it is assumed that initially plane cross-sections in compression. Hence, the resultant of the tensile stresses
remain plane beyond the elastic range), the corresponding will be equal in magnitude to that of the compressive
strain ðex Þ distribution curve over the depth ðyÞ of the beam stresses and thus balance each other to satisfy the condition
is linear, as shown in Fig. 4.13b(i). of equilibrium.
If we know the maximum strain ðex Þmax (the tensile strain For materials with stress–strain curves that differ in ten-
on the convex extreme face of the beam) and the minimum sion and compression, as shown in Fig. 4.14a, the stress
strain ðex Þmin ; (the compressive strain on the concave distributions are altered from those discussed above. For this
extreme face of the beam), the stress and strain distribution unsymmetrical stress–strain diagram, if the neutral axis of
curves in Fig. 4.13b can be constructed from the stress– the cross-section would remain at the horizontal axis of
strain diagram in Fig. 4.13a in the following way. From symmetry, i.e. at the centre of the beam, as shown in
(4.2a) and (4.2b) Fig. 4.14b, then the resultant of the stress distribution in the
y %y tensile part will differ in magnitude from that in the com-
ex ¼ ; and e xC ¼ pressive region and hence imbalance will be created. To
q q
meet the conditions required for equilibrium, the neutral axis
Since from (4.15), of the cross-section must move towards the side of higher
! ! ! ! c stress, as shown in Fig. 4.14c (in diagram, the compressive
!ðex Þ ! ¼ !ðex Þ
!¼ stress-side), so that the resultants of the stress distributions
max min
q
on both sides of the neutral axis become equal to each other.
! !
!ðex Þ ! With the continuation of bending, the neutral axis of the
max
) ex ¼ y ð4:23aÞ cross-section must continuously shift its location to maintain
c
equilibrium. A similar condition arises for the beam having
and no horizontal plane of symmetry, such as a trapezoidal
! ! section or T-section. In both situations, the neutral axis of
!ðex Þ !
min
exC ¼ ð%yÞ ð4:23bÞ the cross-section moves away from the centroid with the
c
continuation of bending.
The above (4.23) is used to plot the strain distribution Once the stress distribution curve over the depth of the
curve over the depth of the beam, i.e. strain versus depth beam has been established as discussed above, the bending
curve, which is linear according to (4.23) and shown in moment is determined as follows. The tensile and
186 4 Bending

(a) (b) (c)

σx

(–) (–)
Neutral
surface
σx
0 Centre 0
εx
of beam σx
0
(+) (+)

y y

Fig. 4.14 Nonlinear unsymmetrical stress–strain relation for a beam of symmetry, i.e. at the centre of the beam. c Actual stress distribution
subjected to pure bending. a Stress–strain diagram differing in tension curve over the depth of beam, resulting from the shift of the neutral axis
and compression. b Stress distribution curve over the depth of beam, if towards the side of higher stress in order to satisfy the conditions of
the neutral axis of the cross-section would remain at the horizontal axis equilibrium

Fig. 4.15 Typical stress

distribution over the depth of a
beam of brittle material subjected C
C Neutral
a 0 a
to pure bending 2 surface σx
Neutral
σx
surface 0 a 0
2 T
T

(σmax)r (σmax)r
y y

compressive segments of stress distribution curve will pro-
duce, respectively, the resultant tensile force T and the
resultant compressive force C; both of which act through the
centroids of their respective stress distributions and will be
of equal magnitude, as required for equilibrium. These equal
and opposite forces form a couple, the moment arm of which
is the distance a between the centroids of their stress dis-
tributions. The above can easily be visualized from
Fig. 4.15, where T; C; and a have been shown and the stress
distributions are represented by shaded areas. The applied
bending moment must always be equal to the moment of this
couple, i.e. T or absolute value of C multiplied by the
moment arm a and hence given by
MB ¼ Ta ¼ jC ja
elastic stress distribution represented by the dashed lines in
Fig. 4.15 will have a rupture moment equal to ðMB Þr ; from
which the modulus of rupture ðrmax Þr is computed using the
flexure formula [(4.19)]. ðrmax Þr is the maximum stress at
rupture for the theoretical linear elastic stress distribution
and is always substantially higher than the real maximum
stress at rupture ðrmax ÞrTrue : For example, ðrmax Þr is greater
than ðrmax ÞrTrue by 80% in case of cast iron and by 50–100%
for concrete.
Note that beams of brittle materials never undergo com-
pressive fracture because brittle materials are stronger in
compression than in tension. In beams of ductile materials,
final failure generally includes either lateral buckling or
ð4:24Þ excessive plastic deformation.

The stress distributions usually developed by beams made

of brittle materials are like those of Fig. 4.15. In these fig-
ures, the stress distributions under linear elastic condition,
which does not really exist, have also been superimposed by
the dashed lines so that the modulus of rupture ðrmax Þr can
be compared with the true rupture stress ðrmax ÞrTrue : If the
actual stress distribution at rupture is assumed to be repre-
sented by any of the diagrams in Fig. 4.15, the actual rupture
moment ðMB ÞrTrue will be given by T a : Whereas the linear
4.7 Shear Stresses in Elastically Bent Beam
When the applied bending moment varies from one
cross-section to another of a beam transversely loaded within
the elastic range, a shear force F is generally present at each
cross-section along with the bending moment. This shear
force F on any cross-section represents the resultant of a
certain distribution of shear stresses s over that section. This
4.7 Shear Stresses in Elastically Bent Beam 187

τ
b n'

τ τ n
h m' z
τ
τ
Enlarged view τ m

τ x
τ

F
y

Fig. 4.16 Illustrating shear stresses in bending of a rectangular cross-section

distribution must satisfy the conditions of equilibrium for
various elements of the beam.
For simplicity, consider a beam of rectangular
cross-section of depth h and width b ; which may be imag-
ined to be composed of infinitesimal strips parallel to the
neutral axis z of the cross-section as shown in Fig. 4.16. It
may be reasonably assumed that on any one of such strips,
the shear stress s is consistent across the width b of the beam
and parallel to the depth direction of the beam, i.e. along y-
axis. From the equilibrium conditions of the elemental strip,
it can be established that such shear stress on one side of the
prismatic element mn must be accompanied by equal shear
stresses on each of the other three sides of the element as
exhibited in Fig. 4.16. Finally, there will be horizontal shear
stresses between layers of beam parallel to the neutral plane
as well as transverse shear stresses between cross-sections,
and these complementary shear stresses are always equal in
magnitude but opposite in sign at any point in the beam. The
upper face of the topmost prismatic element, say m0 n0 in
Fig. 4.16, and the lower face of the bottommost prismatic
element (not shown in figure) coincide respectively with the
top free surface and bottom free surface of the beam, where
the shear stress s must vanish because any free surface of the
beam is free from stress. From this, we can conclude that the
shear stress s must vary with distance y along the depth from
top to bottom of the beam and must be zero at y ¼ (h=2
from the neutral axis z of the cross-section.
Let us find a relationship between shearing force and
bending moment at any cross-section of a transversely loaded
beam between points of application of concentrated loads.
F
m p
MB
O
MB + dMB
n q
dx
F
Fig. 4.17 Figure to find a relationship between shearing force and
bending moment at any cross-section of a transversely loaded beam
between points of application of concentrated loads
For this, consider an element of the beam between two
adjacent cross-sections mn and pq ; separated by a distance
dx; and subjected to varying bending moment as shown in
Fig. 4.17. On the cross-section ‘mn’, shear force and bending
moment are represented, respectively, by F and MB (assumed
positive). If no external force is applied between the
cross-sections ‘mn’ and ‘pq’, the respective shear force and
bending moment on the cross-section ‘pq’ will be F and
MB þ dMB as shown in Fig. 4.17, where dMB is the change in
188 4 Bending

bending moment between ‘mn’ and ‘pq’. For equilibrium of y from the neutral axis z of the cross-section, the normal
the element, the algebraic sum of the moments of these forces force acting on dA will be rx dA; which can be related to
about point ‘O’ must be equal to zero which is given below: bending moment MB from (4.9a) as follows:

%MB þ ðMB þ dMB Þ % Fdx ¼ 0: MB y

rx dA ¼ dA
Iz
From the above, we get:
The sum of these normal forces over the left face m1 n of
dMB the block becomes
¼F ð4:25Þ
dx
Zc1
Thus, at any cross-section of the beam between points of MB y
dA ð4:26aÞ
application of concentrated loads, the shear force is equal to Iz
y1
the rate of change of bending moment with respect to the
separation distance x. where y1 and c1 are, respectively, distances of the upper and
Again, between the above two adjacent cross-sections bottom faces of the elemental block m1 np1 q of the beam
‘mn’ and ‘pq’ separated by the distance dx; let us examine from the neutral plane, as shown in Fig. 4.18a.
the equilibrium of an elemental block m1 np1 q of the beam Similarly, the sum of the normal forces over the right face
whose lower and upper faces are parallel to the neutral plane p1 q of the block will be
as shown in Fig. 4.18a. The shear stress on the bottom face
of this block is s ¼ 0; because it coincides with the bottom Zc1
ðMB þ dMB Þy
free surface of the beam. A horizontal shear stress s acts dA ð4:26bÞ
Iz
upon the area bdx of the upper face of this block, which is y1
located at an arbitrary distance y1 from the neutral plane of
the beam. The left face of this block represented by ‘m1n’ is Since a horizontal shear stress s acts upon the area b dx of
shown by the shaded area in Fig. 4.18b. The free-body the upper face m1 p1 of this block at an arbitrary distance y1
diagram of the complete elemental block is shown in from the neutral plane of the beam, the shear force on m1 p1
Fig. 4.18c. Since we are considering the general case of becomes
varying bending moment, Fig. 4.18c shows that the left face
sb dx ð4:26cÞ
m1 n and right face p1 q of this block are respectively acted
upon by the normal bending stresses rx and rx þ drx : The forces, given by (4.26a), (4.26b) and (4.26c), must be
Although shear stresses exist on these end faces m1 n and in equilibrium in the direction of the neutral axis x of the
p1 q, they are not shown on the free-body diagram in beam and hence the algebraic sum of these forces is equated
Fig. 4.18c, because they will not enter in the equation of to zero as follows:
equilibrium of this block taken in the direction of the neutral
axis x of the beam. The shear stress s present on the upper Zc1 Zc1
ðMB þ dMB Þy MB y
face m1 p1 of this block is shown in Fig. 4.18c, whereas the dA % dA % s b dx ¼ 0 ð4:27Þ
Iz Iz
bottom face nq is free from stress. y1 y1

Referring to Fig. 4.18b, if we consider an elemental area

dA on the left face m1 n of the block at an arbitrary distance

(a) (b) (c)

dx
m p b
m m
c2 h/2
x
x z τ p
m1 p 1 y1 y1 m 1 m1 m1 1
c1 h/2 y
MB MB+ dMB σx σx+dσx
n q dA n n n q
y = bdy y

Fig. 4.18 a Figure to examine the equilibrium of an elemental block elemental block, showing that the normal bending stresses rx and
m1 np1 q of the beam between two adjacent cross-sections mn and pq; rx þ drx are acting, respectively, on the left face m1 n and right face
separated by a distance dx: b Representation of the left face of the block p1 q, and the shear stress s is present on the upper face m1 p1 whereas the
m1 np1 q by the shaded area. c Free-body diagram of the complete bottom face nq is free from stress
4.7 Shear Stresses in Elastically Bent Beam 189

Prior to proceeding further, it is to be noted that if the variation of Q with y and let us do it with respect to a
bending moment applied to the beam is of the same mag- rectangular cross-section as given in Fig. 4.18b, where dA ¼
nitude at the cross-sections ‘mn’ and ‘pq’, as observed in bdy and c1 ¼ h=2; so that
case of pure bending, the distribution of the normal longi-
h
tudinal fibre stresses on the end faces m1 n and p1 q of the Zc1 Z2 # $
b h2 2
elemental block will be identical and equal to rx : Then Q¼ ydA ¼ b ydy ¼ % y1 ð4:33Þ
2 4
following the above (4.27), the equation for equilibrium of y1 y1
the block in the direction of the neutral axis x of the beam
can be written as The area of the shaded portion m1 m1 nn of the
cross-section in Fig. 4.18b is given by
Zc1 Zc1 # $
MB y MB y h
sb dx ¼ dA % dA ¼ 0 ð4:28Þ b % y1 ð4:34aÞ
Iz Iz 2
y1 y1

From (4.28), it is concluded that And the distance of its centroid from the neutral axis of
the cross-section is given by
s¼0 ð4:29Þ # $
ðh=2Þ % y1 1 h
Equation (4.29) clearly proves the fact that no shear y1 þ ¼ þ y1 ð4:34bÞ
2 2 2
stress is induced in the beam subjected to pure bending.
In case of non-uniform bending moment applied to a It is to be noted that the product of (4.34a) and (4.34b)
beam, the shearing stress s at any point of a cross-section of will result the same statical moment Q given by (4.33).
the beam loaded within the elastic range can be obtained Substituting the value of Q from (4.33) into (4.32), we get
from (4.27) as follows: # $
F h2
s¼ % y21 ð4:35Þ
Zc1 2Iz 4
dMB 1
s¼ y dA ð4:30Þ
dx Iz b It is clear from (4.35) that the variation of the shear stress
y1
s with the distance y1 from the neutral plane is parabolic, as
By using (4.25), (4.30) reduces to shown in Fig. 4.19. Further, from (4.35), at y1 ¼ 0; i.e. at the
neutral axis of the cross-section, the maximum shear stress is
Zc1
F
s¼ y dA ð4:31Þ Fh2
Iz b smax ¼ ð4:36Þ
y1 8Iz
Rc And at y1 ¼ (h=2; i.e. at the top and bottom surfaces of
The integral y11 y dA represents the statical moment,
the beam,
about the neutral axis z of the cross-section, of the shaded
area m1 m1 nn of the cross-section in Fig. 4.18b, i.e. of the
part of the cross-section at an arbitrary distance y1 from the
neutral plane of the beam at which the shear stress s is τmax
Rc
required. If we denote the statical moment y11 y dA ¼ Q;
(4.31) takes the following form:

FQ
s¼ ð4:32Þ
Iz b
Neutral
where axis

F the resultant shear force on the cross-section;

Rc
Q the statical moment ¼ y11 y dA;
Iz the moment of inertia of the cross-sectional area about
its neutral axis z ; and
b the width of the cross-section
To know the variation of this shear stress s with the
distance y1 from the neutral plane, we have to examine the
τ
Fig. 4.19 Parabolic variation of shear stresses with distance from the
neutral axis of cross-section of a rectangular beam, showing that the
shear stress is the maximum at the neutral axis and zero at the top and
bottom surfaces of the beam
190
s¼0 ð4:37Þ
Since for rectangular cross-section Iz ¼ ðbh3 Þ=12; so
2
h =ð8Iz Þ ¼ 3=ð2bhÞ; and as the total area of the cross-section
A ¼ bh; so we obtain from (4.36)
# $
3F 3 F
smax ¼ ¼ ¼ 1:5 ' ðaverage shear stressÞ
2bh 2 A
ð4:38Þ
Therefore, the maximum horizontal or vertical shear
stress exists at the neutral axis of the cross-section, i.e. at
y1 ¼ 0; and its value is 50% greater than the average shear
stress F=A:
The shear strain c is given by c ¼ s=G; where G is the
modulus of elasticity in shear, sometimes called the modulus
of rigidity. Since there is a variation of the shear stress s from
the top to bottom of the beam and the shear strain c is pro-
portional to the shear stress s; so c must also vary in a similar
manner. Thus, each cross-section of the beam that was initially
plane before the deformation will become warped after it is
bent. The straight cross-sections before bending as repre-
sented by lines mn and pq in Fig. 4.20 will change respec-
tively to curved lines m0 n0 and p0 q0 after bending. Since the
shear stress s vanishes at the top and bottom surfaces of the
beam, the shear strain c is zero at the points m0 ; n0 ; p0 ; q0 ; and
hence, the curved cross-sections m0 n0 and p0 q0 remain normal
to the upper and lower faces of the beam in its bent configu-
ration. At the neutral plane, the maximum shear stress smax
will produce the maximum shearing strain given by cmax ¼
smax =G; which is equal to the angles between the tangents to
these curved cross-sections m0 n0 and p0 q0 and their respective
normal straight cross-sections mn and pq: As long as the shear
force F remains uniform along the beam, the warping of each
cross-section due to shear strain will be identical, i.e. mm0 ¼
pp0 ; nn0 ¼ qq0 : Thus, the shear stresses s do not contribute to
the longitudinal fibre strains ex and the distribution of longi-
tudinal fibre stresses rx that is normal to the cross-section
remains the same as in the case of pure bending. For a uni-
formly distributed load applied to a beam, where the shear
force F varies continuously along the beam, or even in case of
P
m' m
p' p
n n'
q q'
Fig. 4.20 Demonstration of warping after bending of originally plane
cross-sections of the beam
4 Bending
application of concentrated external loads on the beam, where
the shear force changes abruptly, it is theoretically investi-
gated that the longitudinal strains in the fibres are not appre-
ciably affected by the warping due to shear strain and thus, the
distribution of normal longitudinal fibre stresses in the beam is
not substantially modified. Therefore, it is reasonable to apply
flexure formulas derived for pure bending in case of a beam
subjected to non-uniform bending moment.
4.8 Solved Problems
4.8.1. Compute the shape factor in pure bending for a
transversely loaded flexure beam of mild steel having cir-
cular cross-section. Assume that there is no strain hardening.
Solution
The magnitude of the ratio of the ultimate moment to initial
yield moment, i.e. ðMB Þu =ðMB Þy ; in pure bending is to be
determined. Considering initial yielding at the uniaxial ten-
sile lower yield stress value ðr0 ÞL of mild steel, the initial
yield bending moment of a circular cross-section can be
written from (4.14) as:
Iz ðpD4 Þ=64 pD3
ð M B Þ y ¼ ð r0 Þ L ¼ ðr0 ÞL ¼ ðr 0 ÞL ð4:39Þ
c D=2 32
where D is the diameter of a circular cross-section; c is the
distance from the neutral surface of the symmetrical
cross-section to the extreme fibres, and c ¼ D=2 for a cir-
cular cross-section; Iz is the moment of inertia of the circular
cross-sectional area about its neutral axis, i.e. centroidal axis
and Iz ¼ ðpD4 Þ=64:
As shown in Fig. 4.21, let us consider a thin strip of
thickness dy and length z at an arbitrary distance y from the
z-axis, which is nothing but the neutral or centroidal axis of
the circular cross-section of the beam. Elementary area of the
strip is:
#qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$
dA ¼ zdy ¼ ðD=2Þ2 %y2 dy; since for a circle;
z2 þ y2 ¼ ðD=2Þ2 :
Hence, using Fig. 4.21, we can obtain ultimate moment
as
Z Z
% &
ðMB Þu ¼ 4 ' ðr0 ÞL dA y ¼ 4ðr0 ÞL ydA
A A
ZD=2 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ 4ðr0 ÞL y ðD=2Þ2 %y2 dy
0
Let, ðD=2Þ2 %y2 ¼ w2 ; or; ydy ¼ %wdw:
4.8 Solved Problems 191

y through the centroids of their respective semicircular equal

cross-sectional areas, as required for equilibrium. The
magnitude of T or C can be obtained from the multiplication
z
of stress and the area over which the stress acts. Since the
stress is the lower yield stress value ðr0 ÞL of mild steel, and
the area is the semicircle of diameter, say D, therefore
dy
T ¼ jCj ¼ ðr0 ÞL ðpD2 =8Þ:
y Let a is the moment arm and yc is the distance between
z the centroid of the semicircle and its base, as shown in
Fig. 4.22. Hence, a ¼ 2yc :
Since there is no strain hardening, the ultimate moment
ðMB Þu from (4.24) is:

ðMB Þu ¼ Ta ¼ jC ja; or;

pD2 pðr0 ÞL D2 yc ð4:41Þ
ðMB Þu ¼ ðr0 ÞL 2yc ¼
Fig. 4.21 Circular cross-section of a flexure beam showing a thin strip 8 4
of thickness dy and length z at an arbitrary distance y from the z-axis
(neutral or centroidal axis of cross-section) We know that yc ' the area of the semicircle = summa-
tion of the moment of the elemental area about the base of
R
When y ¼ D=2; w ¼ 0; and when y ¼ 0; w ¼ D=2: the semicircle ¼ 2 ' A ydA (from Fig. 4.21).

Z0 pffiffiffiffiffi ZD=2 ZD=2 ZD=2 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

pD2
) ðMB Þu ¼ 4ðr0 ÞL w2 ð%wdwÞ ¼ 4ðr0 ÞL w2 dw Or; yc ' ¼2 yzdy ¼ 2 y ðD=2Þ2 %y2 dy
8
D=2 0 0 0

ðD=2Þ 3
D 3 Let ðD=2Þ2 % y2 ¼ w2 ; or; ydy ¼ %wdw:
¼ 4ðr0 ÞL ¼ ðr 0 ÞL ð4:40Þ
3 6
When y ¼ D=2; w ¼ 0; and when y ¼ 0; w ¼ D=2:
ðMB Þu Eq: ð4:40Þ
) Shape factor ¼ ¼ Z0 pffiffiffiffiffi ZD=2
ðMB Þy Eq: ð4:39Þ 16 16
) yc ¼ w2 ð%wdwÞ ¼ w2 dw
ðr0 ÞL ðD3 =6Þ pD2 pD2
¼ D=2 0
ðr0 ÞL ½ðpD3 Þ=32+ 3
16 ðD=2Þ 2D
32 ¼ ¼ ð4:42Þ
¼ ¼ 1:697 ! 1:7: pD2 3 3p
6p
Substituting yc from (4.42) into (4.41), we get ultimate
Alternative way to determine ultimate moment: moment as

pðr0 ÞL D2 2D D3
Figure 4.22 shows that the resultant tensile force T and the ðMB Þu ¼ ' ¼ ðr0 ÞL ð4:43Þ
4 3p 6
resultant compressive force C of equal magnitude are acting
Equation (4.43) coincides with (4.40).

ðMB Þu Eq: ð4:43Þ ðr0 ÞL ðD3 =6Þ

) Shape factor; ¼ ¼
T ðMB Þy Eq: ð4:39Þ ðr0 ÞL ½ðpD3 Þ=32+
yc
a
32
C ¼ ¼ 1:697 ! 1:7:
6p

Fig. 4.22 Circular cross-section of the flexure beam in Fig. 4.21,

showing that the resultant tensile force T and the resultant compressive
force C of equal magnitude are acting through the centroids of their
respective semicircular equal cross-sectional areas and thus forming a
couple, the moment arm of which is the distance a between the
centroids of the two semicircles and yc is the distance between the
centroid of the semicircle and its base, where yc ¼ a=2:
4.8.2. A prismatic beam of a brittle material having a
trapezoidal cross-section, as shown in Fig. 4.23, is subjected
to pure bending in such a way that the top fibres experience
compression. Determine the ratio of bases b1 =b2 for maxi-
mum economy, if the allowable working stresses in tension
and compression are, respectively, 35 and 56 MPa.
192 4 Bending

b1 Since Fig. 4.23 shows that c2 ¼ yc ; so the value of c2 can

be equated to the distance yc to get the desired ratio of bases
b1 =b2 : The distance yc from the base b2 to the centroid of the
trapezoid can be determined as follows:
h c1 From the drawn Fig. 4.24, we can write

z ðb2 % b1 Þ=2 b2 % b1
z ¼ ; or; z¼ y:
y h 2h
yc c2
Let us consider a thin strip of thickness dy at an arbitrary
distance y from the base b2 ; as shown in Fig. 4.24. Hence,
the length of the strip within the trapezoidal cross-section at
b2
the distance y from the base b2 is:

Fig. 4.23 Trapezoidal cross-section with height h; top edge length b1 b2 y % b1 y b2 h % b2 y þ b1 y

and bottom edge length b2 of a prismatic flexure beam, showing the
b2 % 2z ¼ b2 % ¼ :
h h
distance from the z-axis (neutral or centroidal axis of cross-section) to
the top edge as c1 and to the bottom edge as c2 ; which is equal to the Area of the elemental strip,
distance yc from the base b2 to the centroid of the trapezoid # $
b2 h % b2 y þ b1 y
dA ¼ ðb2 % 2zÞdy ¼ dy:
Solution h

Given that the allowable working stresses in tension, b1 þ b2

Since area of trapezoid ¼ h; and area of trapezoid '
ðrx Þmax ¼ 35 MPa, and that in compression, ðrx Þmin ¼ R 2
56 MPa: Since the top fibres experience compression, so in yc ¼ A ydA; therefore,
given Fig. 4.23, c1 and c2 denote, respectively, the distances ' (Z
2
from the neutral (centroidal) axis to the extreme fibres in yc ¼ ydA
ðb1 þ b2 Þh
compression and tension. Hence, from (4.10) we have A
' ( Zh # $
M B c1 M B c2 2 b 2 h % b2 y þ b1 y
56 ¼ ; and 35 ¼ : ¼ y dy
Iz Iz ðb1 þ b2 Þh h
0
From the above, c1 =c2 ¼ 56=35 ¼ 8=5: Again since ' (" # 2 $h # $h # $h #
2 y b2 y 3 b1 y 3
c1 þ c2 ¼ h; therefore ¼ b2 % þ
ðb1 þ b2 Þh 2 0 h 3 0 h 3 0
8 5 ' (' 2 2 2
(
c1 ¼ h; and c2 ¼ h: 2 3b2 h % 2b2 h þ 2b1 h
13 13 ¼
ðb1 þ b2 Þh 6
' (' 2 ( # $
2 h ð2b1 þ b2 Þ h 2b1 þ b2
¼ ¼
ðb1 þ b2 Þh 6 3 b1 þ b2
b2 – b1 b2 – b1
ð4:44Þ
2 2
b1
Since yc ¼ c2 ; and c2 ¼ ð5=13Þh; so yc ¼ ð5=13Þh; and
from (4.44) we can write
# $
z z h 2b1 þ b2 5
dy ¼ h; or; 26b1 þ 13b2 ¼ 15b1 þ 15b2 ;
3 b1 þ b2 13
h Or; 11b1 ¼ 2b2 ;
b1 2
y
) ¼ :
b2 11
4.8.3. A concentrated load P newton is applied transversely
at the mid-section of a simply supported beam of length
b2 1.2 m. The beam is of rectangular cross-section with width
of 150 mm and height of 250 mm. If the allowable working
Fig. 4.24 Trapezoidal cross-section of the flexure beam in Fig. 4.23 stress in tension or compression is 15 MPa and that in shear
showing a thin strip of thickness dy and length ðb2 % 2zÞ within the
trapezoid at an arbitrary distance y from the base b2 is 2 MPa, what will be the safe value of the applied load P?
4.8 Solved Problems 193

L/2

D/2

L z (Neutral axis)
P/2

(a)

–P/2

PL/4

Fig. 4.26 Circular cross-section of a beam of diameter D; showing the

(b) z-axis (neutral or centroidal axis of cross-section) and the shaded
semicircular cross-section
Fig. 4.25 Centre loading of a simply supported beam of length L; with
a transversely applied concentrated load P: a Shear force diagram.
b Bending moment diagram
Again, from (4.38), and given allowable value of smax ;
we get
# $
Solution 3 F 3'P
smax ¼ 2 N=mm2 ¼ & ¼
2 A 4 ' 37;500
For a rectangular beam, it is given that width, b ¼ 150 mm, P
¼ N=mm2 :
and height, h ¼ 250 mm: So, the cross-sectional area is A ¼ 50;000
bh ¼ 150 ' 250 ¼ 37;500 mm2 ; and the section modulus is
bh2 150 ' 2502 ) Based on allowable shear stress:
(4.16b): Z ¼ ¼ ¼ 1;562;500 mm3 : The length of
6 6 P ¼ 2 ' 50;000 N ¼ 105 N ¼ 100 kN:
the beam is L ¼ 1200 mm: The allowable! working
! stress in
tension or compression is ðrx Þmax ¼ !ðrx Þmin ! ¼ 15 MPa ¼ Since the load derived based on the allowable bending
15 N=mm2 ; and that in shear is smax ¼ 2 MPa ¼ 2 N=mm2 : stress is lower than that based on the allowable shear stress,
If a concentrated load P (in N) is applied transversely at the safe value of applied load is P ¼ 78.125 kN.
the mid-section of a simply supported beam of length L ;
then the resulting shear force and bending moment diagrams 4.8.4. If a beam of circular cross-section, as shown in
are shown, respectively, in Fig. 4.25a, b. Fig. 4.26, has a total shear force equal to F; determine the
From Fig. 4.25, it is clear that the maximum bending maximum shear stress induced at the neutral axis of the
moment ðMB Þmax and the uniform shear force F are cross-section in terms of F and area, A; of the cross-section.
respectively: Solution
PL P The moment of inertia of circular cross-section about the
ðMB Þmax ¼ ¼ 300 P N mm; and F¼ N:
4 2 neutral axis ðz-axisÞ is:
From (4.14), and given allowable value of ðrx Þmax ; we get Iz ¼ pD4 =64:
ðMB Þmax 300 ' P The statical moment about the neutral axis z of the shaded
ðrx Þmax ¼ 15 N=mm2 ¼ ¼ N=mm2
Z 1;562;500 semicircular cross-sectional area is:
3'P
¼ N=mm2 :
15;625 Q ¼ area of the shaded semicircular cross-section
' the distanceðyc Þof the centroid of semicircle from
) Based on allowable bending stress:
the neutral axis of the circular cross-section
15 ' 15;625 ) *
P¼ N ¼ 78;125 N ¼ 78:125 kN: ¼ pD2 =8 ' yc :
3
194 4 Bending

The neutral axis of the circular cross-section is the base of P P

the semicircle and from (4.42) of the solved problem 4.8.1, E
a a
the distance ðyc Þ of the centroid of a semicircle from its base
C δ D B
is: A E0
L L
2D pD2 2D D3 2 2
yc ¼ )Q¼ ' ¼ :
3p 8 3p 12 P θ P
For a circular cross-section, the width is b ¼ D; and the
cross-sectional area is A ¼ pD2 =4: ρ
Hence, substitution of the above values of b; Iz and Q into
Fig. 4.4.Ex.B Circular cross-section of a flexure beam subjected to
(4.32) gives the maximum shear stress ðsmax Þ induced at the transverse loads that changes to the shape of a circular arc CED in pure
neutral axis of the cross-section as bending and shows a deflection of E0 E; i.e., d

FQ 64 ' F ' D3 16F 4F 4F

smax ¼ ¼ ¼ ¼ ¼ : 4.Ex.2. Compute the slope of elastic moment–strain diagram
Iz b pD4 ' D ' 12 3pD2 3ðpD2 =4Þ 3A
for
(a) A tungsten carbide flexure specimen of circular
cross-section having diameter of 8 mm, if its elastic modulus
Exercise is 538 GPa.
4.Ex.1. Neglecting strain hardening, compute the shape (b) A fused silica glass flexure specimen of rectangular
factor in pure bending for transversely loaded mild steel cross-section with width of 20 mm and height of 5 mm, if its
flexure beams of elastic modulus is 69 GPa.
(a) Rectangular cross-section. 4.Ex.3. Compute the modulus of resilience of the beam in
(b) Square cross-section loaded in the plane of the diagonal Problem 4.Ex.2, if the maximum bending strain at the pro-
of the square. portional limit bending moment is
(c) I-section in which bending load is applied along the
vertical axis as shown in Fig. 4.Ex.A. (a) 0.001 for tungsten carbide beam.
(b) 0.0001 for silica glass beam.

4.Ex.4. The whole length of a flexure beam of a ductile

metal having a rectangular cross-section is subjected to a
uniform bending moment of 30 kN m. If the height-to-width
ratio of the cross-section is 1.2 and the allowable working
stress is 10 MPa, calculate the value of the height and the
25 mm width of the cross-section.

4.Ex.5. A flexure beam of circular cross-section with

diameter of 280 mm is subjected to transverse loads as
shown in Fig. 4.Ex.B. If a ¼ 350 mm; L ¼ 15 m; P ¼
12.5 mm
300 mm 150 kN, and Young’s modulus for tension and compression
is 206 GPa, determine

(a) the maximum bending stress induced in the beam;

(b) the radius of curvature, q; of the circular arc CED;
(c) the deflection E0 E; i.e. d :

4.Ex.6. A concentrated load P is applied transversely at the

150 mm
Fig. 4.4.Ex.A Dimensions of an I-section of a flexure beam showing
the vertical axis along which load is applied in pure bending
mid-section of a simply supported beam of length 3 m. The
beam is of rectangular cross-section with width of 200 mm
and height of 300 mm. If the maximum flexure stress due to
bending is 12 MPa, calculate the maximum shear stress.
4.8 Solved Problems
t proportional limit for square cross-section to that for circular
250 mm
50 mm
150 mm
Fig. 4.4.Ex.C Dimensions of an inverted T-section of a flexure beam
subjected to transverse loads in pure bending
4.Ex.7. In case of pure bending, what will be the ratio of
section modulus of a square cross-section loaded in the plane
of the diagonal of the square to that of a circular
cross-section, where both cross-sections have the same area?
4.Ex.8. A flexure beam made of cast iron has an inverted
T-section, as shown in the Fig. 4.Ex.C, which is subjected to
transverse loads in pure bending so that the top fibres
experience compression. If the allowable stresses for cast
iron in tension and compression are, respectively, 28 and
56 MPa, calculate the proper stem thickness t of the section.
4.Ex.9. Compute the ratio of modulus of resilience at the
point of proportional limit of a beam of circular cross-section
subjected to pure bending to that of the same beam subjected
to uniaxial tension.
4.Ex.10. Two flexure beams of the same material with equal
cross-sectional area are subjected to proportional limit
moment in pure bending. If cross-sectional shape of one
beam is square and that of another is circular, compute the
ratio of the curvature of the neutral axis of the beam at the
195
cross-section.
Answer to Exercise Problems
4.Ex.1. (a) 1.5; (b) 2; (c) 1.161.
4.Ex.2. (a) 27.043 kN m; (b) 5.75 kN m.
4.Ex.3. (a) 67.25 kJ m-3; (b) 115 J m-3.
4.Ex.4. 278.5 mm height and 232.1 mm width.
4.Ex.5. (a) 24.36 MPa; (b) 1183.886 m; (c) 23.7 mm.
4.Ex.6. 600 kPa.
pffiffiffiffiffiffi
4.Ex.7. 2 p=3 ¼ 0.8355.
4.Ex.8. 30 mm
4.Ex.9. 0.25.
pffiffiffi
4.Ex.10. 2= p ¼ 1.128.
References
Goldbeck, A.T.: Tensile and flexural strengths of concrete. Significance
of Tests of Concrete, 2nd edn. American Society for Testing
Materials, Philadelphia, pp. 9–14. (1943)
Kellerman, W.F.: Effect of size of specimen, size of aggregate, and
method of loading upon the uniformity of flexural strength tests.
Public Roads 13(11), 177–184 (1933)
MacKenzie J.T.: Tests of cast iron specimens of various diameters.
Proc. ASTM, 31(I): 160–166 (1931)
MacKenzie, J.T., Donoho C.K.: A study of the effect of span on the
transverse test results for cast iron. Proc. ASTM, 37(II): 71–87
(1937)
Mathews, C.D.: Tests of cast iron arbitration test bars. Proc. ASTM 10,
299–305 (1910)
Popov, E.P.: Engineering Mechanics of Solids. Prentice-Hall Inc,
Englewood Cliffs, N.J. (1990)
Richards, C.W.: Engineering materials science, Wadsworth Publishing
Company, Inc., Belmont, California, p. 178 (1961)
Timoshenko, S.: Strength of Materials, Part I, Elementary Theory and
Problems, 3rd edn. Van Nostrand Reinhold Inc, New York (1955)
Timoshenko, S.: Strength of Materials, Part II, Advanced Theory and
Problems, 3rd edn. D. Van Nostrand Company Inc, New York
(1956)
Timoshenko, S.P., Gere, J.M.: Theory of Elastic Stability, 2nd edn.
McGraw-Hill Book Co., Inc, New York (1963)
Withey, M.O., Washa, G.W.: Johnson’s Materials of Construction, 9th
edn. Wiley, New York (1954)
Wright, P.J.F.: Effect of the method of test on the flexure strength of
concrete. Mag. Concr. Res. (London) 11, 67–76
 Torsion—Pure Shear
5

Chapter Objectives

• State of stress and strain in torsion.

• Shear strain and its relation with angle of twist. Relation between shear modulus and
Young’s modulus.
• Torsional stresses in elastic range. Relation between torque, shear modulus and angle
of twist. Torque computation in practical applications.
• Polar moment of inertia, shear stress and angle of twist for solid and hollow
cylindrical shaft and thin-walled tube subjected to torsion.
• Behaviour of thin-walled tubes of non-circular cross-section under torsion.
• Torsional stresses for plastic strains, and ultimate torsional shear strength or mod-
ulus of rupture.
• Shape of torque-angle of twist diagram for a solid or hollow cylindrical shaft and for
a thin-walled tubular specimen of a ductile material subjected to torsion.
• Specimen and equipment for torsion test.
• Different elastic and inelastic properties in torsion.
• Comparison between torsion and tension tests with respect to state of stress and
strain developed in each test and ductile behaviour of materials.
• Torsional shear stress–strain diagram from tensile flow curve and failure under
torsion.
• Problems and solutions.

5.1 Introduction
The twisting action of one section of a member with respect
to an adjoining section is called torsion. If no bending is
introduced in the member, ‘pure shear’ exists in torsion.
A material is said to be in a state of pure shear if only shear
stresses of equal magnitude act on two set of perpendicular
planes at any point in a stressed body and produce a shape
change by equal shearing displacement on those pair of
planes at that point. The torsion test has not been standard-
ized and widely used to the same extent as the tension test
and is rarely required to specify materials. However, it is
useful in many engineering applications and is frequently
applied to test materials, such as tool steels. Since torsion
involves pure shear and shear stresses cause plastic flow, the
torsion test is performed for theoretical studies of plastic
deformation process. Torsion tests are carried out to deter-
mine properties of materials, such as (a) the modulus of
elasticity in shear (also called modulus of rigidity or shear

© Springer Nature Singapore Pte Ltd. 2018 197

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_5
198
modulus), (b) the torsional yield strength and (c) the ultimate
torsional shear strength known as the modulus of rupture.
But the torsion test cannot be applied to determine the
shearing strength of brittle materials like cast iron, because
the test piece will fail along a diagonal plane under tensile
stress before the shearing strength is reached, although the
torsion test has been carried out to determine overall tor-
sional resistance and other shearing properties of cast iron
(Draffin and Collins 1938; Draffin et al. 1940) and concrete
(Anderson 1953). Torsion tests also may be performed on
full-sized parts subjected to torsional loading in service like
automobile and truck axles, shafts, twist drills.
A cylindrical specimen is generally used in the torsion
test since a circular cross-section provides the simplest
geometry for calculation of stress. A thin-walled tubular
specimen of circular cross-section is usually preferred to a
solid circular shaft for testing because the shear stress varies
linearly from a value of zero at the centre of the solid
cylindrical shaft to a maximum value at its outer surface,
whereas a nearly uniform shear stress exists over the
cross-section of the thin-walled tubular specimen. In torsion
test, the specimen of circular cross-section is twisted about
its longitudinal axis by the action of equal and opposite
moment applied at its ends. If the angle of twist is small, it
can be shown by measurements at the surface of the cylin-
drical specimen that its circular cross-sections remain cir-
cular during twist and that no changes occur in the
cross-sectional diameters and in the distances between the
cross-sections.
5.2 State of Stress and Strain
Now, the actual state of stress and the corresponding strain
in the material of a cylindrical shaft subjected to torsion will
be analysed by considering a very small element on the
surface of the shaft, as shown in Fig. 5.1. This element is so
small that it can be approximated to have plane surfaces and
its shape can be considered as a rectangular prism.
A three-dimensional view of this element is given in
y mum, i.e. tensile, and the minimum, i.e. compressive, whose
τmax MT
τmax
x'
τmax
MT
τmax
y'
Fig. 5.1 Maximum shear stresses, smax , on a very small element on the
surface of a cylindrical shaft subjected to torque, MT
5 Torsion—Pure Shear
τmax
τmax τmax
Torque Torque
MT MT
τmax
Fig. 5.2 Square element on the surface of the shaft in Fig. 5.1 has
been replaced by a cubical element on which the maximum shear stress
smax is shown
Fig. 5.2. In Fig. 5.1, x x0 is the longitudinal (horizontal) axis
and y y0 the transverse (vertical) axis of the shaft, which is
subjected to torque MT applied in the anticlockwise
direction.
Since the torsional shearing stresses are the maximum at
the extreme fibres of the shaft, the maximum shear stresses,
smax , act in this element on the upper and lower planes
perpendicular to the y y0 -axis and are balanced by equal
shearing stresses acting in the opposite sense on the side
planes perpendicular to the x x0 -axis, for maintaining the
required equilibrium, as shown in Fig. 5.1. Thus, the max-
imum shear stresses act on two mutually perpendicular
planes—one is normal to the x x0 -axis, and another is parallel
to the x x0 -axis. The maximum shear stresses are directed as
shown in Figs. 5.1 and 5.2 when the torque, MT , is applied
to the shaft as well as to this element in the anticlockwise
direction. But for the shaft or the element subjected to tor-
que, MT , in the clockwise direction, the directions of all
shearing stresses, smax , will be reversed. It is to be noted that
there are no normal stresses acting on any of the above four
planes of this element.
If no normal stresses are present on the planes on which
the maximum shear stresses, smax , act, then a corresponding
Mohr’s circle can be drawn with centre at the origin ‘0’ and
a radius equal to smax , as shown in Fig. 5.3. At the points of
intersection of the normal stress r-axis with the Mohr’s
circle in the positive (right) and negative (left) side of the
origin ‘0’, the normal stresses are, respectively, the maxi-
absolute value is the same as that of the tensile normal stress.
Since at these above points of intersection, the values of the
shear stresses s ¼ 0, the maximum and the minimum normal
x stresses are the principal stresses, which are denoted by r1
and r2 .
The Mohr’s circle in Fig. 5.3 shows that the principal
stresses r1 and r2 make an angle of 90" with the direction of
the maximum shear stress, smax . Since the angular orienta-
tion h of a plane in a body subjected to stress is represented
by 2h on the Mohr’s circle, so in reality, the angle between
5.2 State of Stress and Strain 199

τ y
σmin
σmax

τmax
45°

σ x
0

Fig. 5.5 Tensile and compressive principal stresses acting on the

σ2 σ1 cubical element which is equivalent to the square element in Fig. 5.4
= σmin = σmax
= – σ1 = τmax principal normal stresses r1 and r2 act on the planes rep-
= – τmax resented by the edges of this oriented square element, and
thus, they act at angles of 45" and 135" with the longitudinal
Fig. 5.3 Mohr’s circle showing an angle of 90" between the directions
of the maximum shear stress, smax , and the principal stresses, r1 and r2 . xx0 -axis of the shaft, whereas the maximum shear stress acts
In reality, this angle in body is 45" on planes represented by the diagonals of this square ele-
ment in Fig. 5.4. Obviously, the diagonal planes of this
square element are perpendicular to the xx0 -axis and yy0 -axis.
the directions of the maximum shear stress, smax , and the
The oriented planes on which the tensile and compressive
principal stresses, r1 and r2 , in the body will be 45" . Now
principal stresses r1 and r2 act are shown in a
from Fig. 5.3, the values of the principal stresses are
three-dimensional view in Fig. 5.5.
r1 ¼ rmax ¼ smax and r2 ¼ rmin ¼ #r1 ¼ #smax Hence, the state of pure shear can be considered to be
ð5:1Þ equivalent to one of tension in one direction and equal
compression in the perpendicular direction. Therefore, tor-
Since the algebraically greatest and smallest principal sion produces a biaxial state of principal stress consisting of
normal stresses are, respectively, r1 and r2 , the maximum a tensile stress r1 and an equal compressive stress r2 , with
shear stress acting on the faces of the element in Fig. 5.2 can the intermediate principal stress r3 being zero, where r1 and
be written from (1.48) as follows: r2 are equal in magnitude to the maximum shear stress smax .
In the case of pure shear as in torsion, the volume of an
r1 # r2 r1 # ð#r1 Þ element does not change during deformation and this has
smax ¼ ¼ ¼ r1 ¼ rmax ð5:2Þ
2 2 been proved by the following (5.4). In case of a biaxial state
Figure 5.4 illustrates the state of stress on a square ele- of principal stress as exist in torsion, since
ment lying on the surface and oriented at 45" to the longi- r1 ¼ #r2 ¼ smax ; and r3 ¼ 0, therefore, the principal
tudinal (horizontal) axis x x0 of the shaft subjected to torque strains e1 ; e2 and e3 , in terms of the maximum shear stress
MT . The edges and diagonals of this square element repre- smax can be obtained from (1.35) as follows:
sent the planes, which are normal to the plane of paper. The
1 smax
e1 ¼ ½smax # mð#smax Þ' ¼ ð 1 þ mÞ ð5:3aÞ
E E

y 1 smax
e2 ¼ ½#smax # msmax ' ¼ # ð1 þ m Þ ð5:3bÞ
E E
τmax
σ2 σ1 MT mð#smax þ smax Þ
τmax e3 ¼ # ¼0 ð5:3cÞ
x' x E
MT Then the unit volume change, i.e. volume strain in pure
σ1 σ2 = – σ1
shear,
y' DV
D¼ ¼ e1 þ e2 þ e3 ¼ 0 ð5:4Þ
V0
Fig. 5.4 State of stress on the surface of a cylindrical shaft subjected
to torsion
200
5.2.1 Shear Strain
The deformation of a body will not only result in a change in
the linear dimension producing linear strain in the body, but
it may also cause a change in the initial angle between any
two lines resulting in a change in shape. The angular dis-
placement or rotation of a point near one end of a body with
respect to a point on the same longitudinal element at the
opposite end is called shear strain, or in other words, shear
strain is the angular change in a right angle. To illustrate
shear strain, let us consider a simple shear that involves a
change in shape produced by displacement along a single set
of parallel planes. Consider shearing displacement of one
face, say upper plane, relative to another parallel face, say
lower plane, of the cube in Fig. 5.2, whose elevation view
represents a square element, say abcd, as shown in Fig. 5.6.
The edges of this square element abcd represent the planes
lying normal to the plane of paper.
In Fig. 5.6, the angle at point a ; which was initially 90" ,
is reduced by a small amount / due to the application of a
shear stress. The shear strain c is equal to the ratio of the
lateral displacement of point d to d0 on the upper plane dc of
the element relative to the lower plane ab, say by an amount
d, to the distance between these planes, say h. Again, the
tangent of the angle / through which the plane ad has been
rotated is also equal to the ratio d=h. For the small angles of
rotation, usually involved within the elastic range of the
material, the angle in radian is equal to its tangent, i.e.
tan u ) u in radian.
y Since no normal stresses act on the edges of the element
δ τmax
d d'
c c'
ϕ
τmax
h x' x by the dotted lines in Fig. 5.7. Assuming the angular
τmax
a b
τmax
y'
Fig. 5.6 Shear strain
5 Torsion—Pure Shear
) Shear strain,
displacement dd 0 d
c¼ ¼ ¼ ¼ tan /
distance between planes ad h
) /ðin radianÞ ð5:5Þ
Hence, shear strain c is often expressed as angle of
rotation, /, as shown by the above (5.5).
Experiments with materials in pure shear show that within
the elastic limit of the material, the shear stress s is propor-
tional to the shear strain c, i.e. s / c, which is given by
s¼Gc ð5:6Þ
where the constant of proportionality, denoted by G, is called
the modulus of rigidity, or the modulus of elasticity in shear, or
simply, the shear modulus. Since the shear strain is a dimen-
sionless quantity, so the dimension of the shear modulus of
elasticity G is the same as that of the shear stress, i.e.
N=m2 or Pa. Materials that obey Hooke’s law in tension
usually follow (5.6) and show linear elastic behaviour in shear.
Now let us consider the same square element abcd in
Fig. 5.6, but for convenience, the element is rotated in the
clockwise direction by 45" as shown in Fig. 5.7, so that the
diagonals of this element coincide with the directions of
principal stresses. Only the maximum shear stresses act on
all four edges of the square element abcd, i.e. on the four
faces of the cube in Fig. 5.2, and the strain produced by this
state of pure shear will be analysed with respect to this
square element in Fig. 5.7. Note that the maximum principal
stress r1 acts along the diagonal ac and the minimum
principal stress r2 acts along the diagonal bd and ‘o’ is the
point of intersection of these diagonals.
abcd, the length of these edges will remain unchanged
during shear deformation of the element. When the maxi-
mum shear stresses smax act in the directions as shown in
Fig. 5.7, the horizontal diagonal of the element will simply
elongate from ac to a0 c0 and the vertical diagonal will con-
tact from bd to b0 d 0 so that, the element after shear defor-
mation will take the shape of a rhombus a0 b0 c0 d0 , as shown
deformation to be small, its value in radian can be equated to
value of the maximum shear strain cmax . Thus, the original
right angles at a and c become ðp=2Þ # cmax and those at b
and d become ðp=2Þ þ cmax .
It is to be noted that the maximum principal strain e1 and
the minimum principal strain e2 in the directions of the
diagonals ac and bd of the element abcd (in the directions of
principal stresses) must be geometrically related to the
maximum shearing strain cmax , which is obtained as follows:
5.2 State of Stress and Strain 201

Fig. 5.7 State of pure shear σ2

showing maximum shear stresses
on all four edges of a square
element oriented at 45" to the d
directions of principal stress
τmax τmax
x' y
d'

a' a o
c c'
σ1
( π
— – γmax
2 (
τmax b' τmax
y' x

oc0 ¼ ocð1 þ e1 Þ ð5:7aÞ Subtracting (5.11a) from (5.11b), we obtain the relation
between the maximum shear strain cmax and the principal
and od 0 ¼ odð1 þ e2 Þ ð5:7bÞ strains as follows:
p Maximum shear strain,
Since \b0 c0 d0 ¼ # cmax , so \oc0 d0 ¼ 12 * \b0 c0 d0 ¼
2
p cmax cmax ¼ e1 # e2 ð5:12aÞ
# .
4 2
Now, from the geometry of right-angled triangle d 0 oc0 , The maximum shear strain cmax is nothing but the prin-
we obtain cipal shear strain c3 corresponding to the principal shear
stress s3 given by (1.48). Since the algebraically greatest and
!p c " od0 smallest principal normal stresses are, respectively,
tan oc0 d0 ¼ tan # max ¼ 0 ð5:8Þ
4 2 oc r1 and r2 , the principal shear stress s3 becomes the maxi-
mum shear stress smax , and thus, the corresponding principal
By substituting (5.7) into (5.8) and noting that oc ¼ od,
shear strain c3 becomes the maximum shear strain cmax , as
we get
shown above in (5.12a). Therefore, (5.12a) can be rewritten
!p c " odð1 þ e Þ 1 þ e
tan # max ¼
2
¼
2
ð5:9Þ as
4 2 ocð1 þ e1 Þ 1 þ e1 Maximum shear strain,
Again from trigonometry, we have
cmax ¼ c3 ¼ e1 # e2 ð5:12bÞ
!p "
cmax tanðp=4Þ # tanðcmax =2Þ
tan # ¼ In a way similar to the derivation of (5.12a), one can
4 2 1 þ tanðp=4Þ tanððcmax =2ÞÞ develop the relations for other principal shear strains,
1 # ðcmax =2Þ
¼ ð5:10Þ c1 and c2 , in terms of the principal strains, e1 ; e2 and e3 , as
1 þ ðcmax =2Þ follows:
Since tanðp=4Þ ¼ 1 and tanðcmax =2Þ ¼ cmax =2 where the Principal shear strain,
angle cmax is very small.
Comparing (5.10) with (5.9), we get c1 ¼ e 3 # e 2 ð5:13Þ
Principal shear strain,
1 # ðcmax =2Þ ¼ 1 þ e2 ð5:11aÞ
c2 ¼ e 1 # e 3 ð5:14Þ
and 1 þ ðcmax =2Þ ¼ 1 þ e1 ð5:11bÞ
202 5 Torsion—Pure Shear

5.2.2 Relation Between Shear Modulus ‘G’ shearing displacement of one end of the shaft relative to its
and Young’s Modulus ‘E’ other end. On the surface of the undeformed shaft, consider a
longitudinal element ab with length L, i.e. equal to that of
An important relationship exists between the shear modulus, the shaft, whose thickness is assumed to be very small in the
G, and the Young’s modulus, E, which will now be radial direction. The side of this element was horizontal
established. before strain, but after twisting, it rotates slightly through an
Substituting e1 and e2 from (5.3a) and (5.3b) into (5.9), angle /, i.e. \bab0 ¼ /, as shown in Fig. 5.8. Since the
we obtain length of the side of the element remains basically constant
!p c " 1 # ½s ð1 þ mÞ=E' and only the angle at the corner a changes, it may be con-
tan # max ¼
max
ð5:15Þ sidered to be in a state of pure shear. Since the shearing
4 2 1 þ ½smax ð1 þ mÞ=E' displacement bb0 becomes the maximum at the outer surface
Comparing expressions given by (5.15) and (5.10), we of the shaft, the shear strain on the outer surface of the shaft
conclude that will also attain the maximum value. Now, the magnitude of
the maximum shear strain cmax occurring at the surface is
cmax smax given by
¼ ð 1 þ mÞ ð5:16Þ
2 E
shearing displacement
From (5.6), we can write cmax ¼ tan \bab0 ¼ tan / ¼
length of the element or shaft
bb0
smax ¼ G cmax ð5:17Þ ¼
ab
cmax G cmax ð5:19Þ
Substitution of (5.17) into (5.16) gives ¼
2 E
ð1 þ mÞ; Since bb0 is a small arc of radius R subtended by an angle
h at the centre of the shaft, bb0 ¼ R h, where h is called the
E angle of twist, usually expressed in radian. Hence, noting
)G¼ ð5:18Þ
2ð1 þ mÞ that ab ¼ L,
Maximum shear strain occurring at the surface,
From (5.18), the shear modulus G can be calculated if
Young’s modulus E and the Poisson’s ratio m are known, and bb0 R h
thus, the two moduli of elasticity are not independent. The cmax ¼ ¼ ð5:20Þ
ab L
values of m during elastic deformation are close to 1=3 for
most materials, and if we take m ¼ 1=3; then G ¼ 3E=8. It can be easily seen from Fig. 5.8 that for a shaft twisted
by a torque at the end, the shearing displacement bb0 and,
consequently, the angle of twist h are proportional to the
5.3 Relation Between Shear Strain distance of the cross-section under consideration from the
and Angle of Twist fixed end, which in our case is equal to the test length (or
gage length) L of the element or the shaft. Hence, h=L is
Let us take a cylindrical shaft of outer radius R and test constant and is called the angle of twist per unit length of the
length L ; which is subjected to a twisting moment or torque, specimen, or simply, the unit angle of twist, and it will be
say MT , at one of its ends as shown in Fig. 5.8. Under the denoted by h0 , i.e. h0 ¼ h=L. Then from (5.20),
action of the applied torque, there will be slight rotation of Maximum shear strain occurring at the surface,
cross-sections, one with respect to another, that result in the
cmax ¼ R h=L ¼ R h0 ð5:21Þ

Fig. 5.8 Torsion of a cylindrical τ

shaft
b'
a θ
b
φ r
2R MT

dA
dr = 2πr dr
τ
L
5.3 Relation Between Shear Strain and Angle of Twist
For the state of stress within a solid as well as a hollow
shaft, the following assumptions are made.
• The circular boundaries of the cross-sections of the shaft
remain undistorted.
• The cross-sections themselves remain plane after
twisting.
• The rotation of the cross-section is absolutely rigid, i.e.
every diameter of the cross-section remains straight and
rotates through the same angle.
Tests of circular shafts show that the experimental results
agree well with the theory developed on the above
assumptions. Under such condition, the above discussion for
the element ab at the surface of the shaft will also hold good
for a similar element located within the shaft at any arbitrary
radial distance r from the centre. Hence, the maximum
radius R in (5.20) and (5.21) can be replaced by r, and the
shear strain c at any arbitrary radial distance r from the
centre of the shaft is given by
rh
c¼ ¼ r h0 ð5:22Þ
L internally developed over the above elemental area. The total
Since the relation between the shear strain and the angle of
twist or the unit angle of twist is not based on the assumption
of elasticity but only on geometry, so the foregoing equations
from (5.20) to (5.22) are applicable in the elastic as well as
the plastic range of torsional deformation of a shaft.
5.4 Torsional Stresses in Elastic Range
Now, let us consider the above cylindrical shaft of outer
radius R and test length L, which is subjected to a twisting
moment or torque MT , at one of its ends as shown in
Fig. 5.8, and find the relationship between MT and the shear
stresses, say s, produced by the applied torque MT , within
the elastic limit of the material. The assumptions mentioned
in Sect. 5.3 also hold well in the present context. By sub-
stituting (5.22) into (5.6), the shear stress s in the linear
elastic range of the material is obtained, which is:
rh
s¼G ¼ G r h0 ð5:23aÞ
L inertia is given by
Equation (5.23a) shows that for a given unit angle of
twist h0 , the shear stress s in the elastic range increases
linearly with the radial distance r measured from the centre
of the cross-section, i.e. s=r ¼ constant. Hence, the shear
stress s ¼ 0 at the centre of the cross-section, i.e. at r ¼ 0,
and the shear stress attains the maximum value at the surface
of the shaft, i.e. at r ¼ R; s ¼ smax (maximum shear stress).
203
Again from (5.23a), the expression for the maximum
shear stress smax at the surface of the shaft, i.e. at r ¼ R, will
be given by
Rh
smax ¼ G ¼ G R h0 ð5:23bÞ
L
The torsional moment MT applied to a shaft is resisted by
the shear stresses s developed in the cross-section of the
shaft. The shearing stresses distributed over the cross-section
develop an internal resisting torque, which is equal and
opposite to the externally applied torque MT . For an external
torque MT , applied in any direction such as in the clockwise
direction as shown in Fig. 5.8, the shear stresses s are
directed in such a way that the internal resisting torque acts
in the opposite direction, i.e. in the anticlockwise direction in
the present situation. In the cross-section of the shaft, let us
consider a very thin circular element of thickness dr, located
at an arbitrary mean radial distance r from the centre of the
cross-section. If the area of this circular element is dA, then
the shearing force acting on this elemental area is F ¼ s dA.
So, the moment of this force F about the axis of the shaft is
Fr ¼ ðsdAÞr, which is nothing but the resisting moment
resisting moment about the axis of the shaft is the summa-
tion, taken over the entire cross-sectional area, of these
internal resisting moments of the individual elemental areas.
Hence, equating the externally applied twisting moment,
MT , to the internal resisting total moment developed over the
entire cross-sectional area A of the shaft, we get:
Z
MT ¼ r s dA ð5:24Þ
A
In the plot of s versus r, since the slope of the curve s=r ¼
constant in the linear elastic range, (5.24) can be written as
Torque,
Z
s s
MT ¼ r 2 dA ¼ J ð5:25Þ
r r
A
where J ¼ the polar moment of inertia of the circular
cross-sectional area A with respect to the axis which is
normal to the cross-section of the shaft. The polar moment of
Z
J ¼ r 2 dA ð5:26Þ
A
) Shear stress in the linear elastic range,
MT r
s¼ ð5:27Þ
J
204 5 Torsion—Pure Shear

If the value of the applied torsional moment MT is mea- 5.4.2 Computation of Torque in Practical
sured in N m unit, the radial distance r measured from the Applications
centre of the cross-section is in m unit and the dimension of
the polar moment of inertia J is m4 , the shear stress s In practical applications, the torque MT can be computed
determined by (5.27) will be in N m#2 or Pa unit. from the power, say W, which the shaft is required to
Since the maximum shear stress smax occurs at the outer transmit. If the speed of revolution of the shaft is
surface of the shaft, therefore to obtain smax , we must put N Hzð¼s#1 Þ, and the power transmitted by it is expressed in
r ¼ R in (5.27), where R is the maximum radius of the shaft. watts, where 1 W ¼ 1 Js#1 , and the torque MT is taken in
) Maximum shear stress in the linear elastic range, N m unit, the work done by the applied torque MT per rev-
olution of the shaft is MT * 2 p and the work done per
MT R
smax ¼ ð5:28Þ second needed to operate the shaft revolving at N Hz will be
J MT * 2pN. Since the power is defined as the rate at which
Since J and R are related to the geometry of the shaft, the work is done, it is given by
(5.28) shows that for a given shaft,smax / MT , in the linear # $
elastic region. Further, from (5.23b), it is seen that the Power, W ¼ 2 pN MT in J s#1 or W ð5:31aÞ
maximum shear stress smax at the surface of the shaft, i.e. at
W ð0:159ÞW
r ¼ R, increases linearly in the elastic range with the angle ) Torque, MT ¼ ¼ ðin N mÞ ð5:31bÞ
of twist h; or with the unit angle of twist h0 . Therefore in the 2pN N
elastic range, the variation of applied twisting moment MT When the power W transmitted by the shaft and the speed
with the angle of twist h, or with the unit angle of twist h0 , is of revolution N of the shaft are given, the corresponding
linear. torque MT can be calculated from (5.31b). Once the torque is
known, (5.28) and (5.30) can then be used to compute,
respectively, the maximum shear stress smax and the total
5.4.1 Relation Between Torque, Shear Modulus angle of twist h in the shaft stressed in the linear elastic range.
and Angle of Twist Note that, all foregoing equations from (5.23) to (5.31)
are applicable to solid as well as hollow cylindrical shafts, to
An expression for the shear modulus G in terms of the torque be discussed subsequently.
MT and the angle of twist h or the unit angle of twist h0 can
be obtained by substituting (5.27) into (5.23a) as follows:
5.4.3 Polar Moment of Inertia, Shear Stress
MT r rh and Angle of Twist
¼G ¼ G r h0 ;
J L
where L is the test length (or gage length) of the specimen. 5.4.3.1 Solid Cylindrical Shaft
Referring to Fig. 5.8, the cross-sectional area dA of a very
MT L MT thin circular element of thickness dr at any arbitrary radial
)G ¼ ¼ 0 ð5:29Þ
Jh Jh distance r from the centre of the cross-section is given by
dA ¼ 2 p r dr. If diameter of a solid cylindrical shaft is D ;
From (5.29), it follows that the total angle of twist h in the
i.e. D ¼ 2R, then the polar moment of inertia J of the cir-
linear elastic range will be
cular cross-sectional area A from r ¼ 0 to r ¼ D=2, with
MT L respect to the axis of the shaft, is given by
h¼ ð5:30Þ
GJ
Z r¼D=2
Z % 4 &D=2 % &
The torsion tests are commonly performed to determine 2 r p D4
J¼ r dA ¼ r 2 2pr dr ¼ 2p ¼
the modulus of elasticity in shear G of materials. If the angle 4 0 2 24
A r¼0
of twist h produced by a given torque subjected to a given p D4
shaft is measured, the magnitude of G can easily be calcu- ¼
32
lated using (5.29) or (5.30). Further, (5.30) is helpful to
ð5:32Þ
verify experimentally the above theory. This equation has
been examined by several experiments which establish the Substituting the value of J from (5.32) into (5.28), the
assumptions mentioned in Sect. 5.3, considered to derive it. maximum shear stress smax occurring at the surface of the
5.4 Torsional Stresses in Elastic Range 205

solid cylindrical shaft in the linear elastic range is obtained polar moment of inertia J of the circular cross-sectional area
as follows: A from r ¼ Di =2 to r ¼ Do =2, with respect to the axis of the
shaft, is given by
MT ðD=2Þ 16MT
smax ¼ ¼ ð5:33Þ
p D4 =32 p D3 Z r¼D
Z o =2 % 4 &Do =2
2 r
J¼ r dA ¼ r 2 2pr dr ¼ 2p
Equation (5.33) shows that the maximum shear stress 4 Di =2
smax varies directly with the applied torque MT and inversely A r¼Di =2
% & # $
with the cube of the shaft diameter D. Now, substitution of p D4o # D4i p D4o # D4i
¼ ¼ ð5:36Þ
(5.32) into (5.30) gives the total angle of twist h of the solid 2 24 32
cylindrical shaft in the linear elastic range:
Hence, the maximum shear stress smax occurring at the
MT L 32 MT L outer surface of the hollow cylindrical shaft in the linear
h¼ ¼ ð5:34aÞ
GJ p D4 G elastic range is obtained by substituting the value of J from
) Unit angle of twist, (5.36) and the radius of the outer surface of the hollow shaft
R ¼ Do =2 into (5.28) as follows:
h MT 32 MT
h0 ¼ ¼ ¼ ð5:34bÞ MT ðDo =2Þ 16MT Do
L G J p D4 G smax ¼ # 4 $ ¼ # 4 $ ð5:37Þ
p Do # Di =32 p Do # D4i
4
0
Thus, the angle of twist per unit length h of the solid
shaft in the linear elastic range is directly proportional to the By substituting (5.36) into (5.30), we obtain the total
applied torque MT and inversely proportional to the shear angle of twist h of the hollow cylindrical shaft in the linear
modulus G and the fourth power of the diameter D of the elastic range as given below.
shaft.
MT L 32MT L
In practical fields, the required diameter D of a solid h¼ ¼ # 4 $ ð5:38aÞ
circular shaft in the linear elastic range is sometimes com-
GJ p Do # D4i G
puted from the power W (in watts) transmitted by the shaft ) Unit angle of twist,
revolving at N Hz with a maximum allowable working stress
sw in shear, using (5.31b) and (5.33), where smax in (5.33) h MT 32 MT
h0 ¼ ¼ ¼ # $ ð5:38bÞ
will be replaced by sw . L G J p D4o # D4i G
' (
16 MT 16 ð0:159Þ W W
D3 ¼ ¼ ¼ 0:81
p sw p sw N N sw 5.4.3.3 Thin-Walled Tube
rffiffiffiffiffiffiffiffiffi The thin-walled tube is also a hollow cylindrical shaft, but the
3 W
Or, D ¼ 0:93 ðin mÞ ð5:35Þ inside diameter of it is almost equal to its outside diameter so that
N sw
its wall thickness becomes very small compared to its diameter.
Equation (5.35) shows the formula for the required Thus, the variation of shear stress across the wall thickness can
diameter (in m) of a solid circular shaft in terms of the be neglected. In this case, the radius of the tube is usually taken
transmitted power, revolving speed of the shaft and the as the mean radius Rm , which is given by Rm ¼ ðDo # tÞ=2,
maximum allowable working stress in shear. where Do ¼ outside diameter of the tube and t ¼ wall thick-
ness of the tube. For such thin-walled tubular specimen sub-
5.4.3.2 Hollow Cylindrical Shaft jected to torsion, the polar moment of inertia J of the
In practical applications, only the material at the outer sur- cross-section cannot be calculated with good accuracy from
# $
face of a solid cylindrical shaft can be subjected to a max- (5.36) given for the hollow shaft, i.e. by J ¼ p D4o # D4i =32.
imum allowable working shear stress, whereas all of the For calculating J, it is preferable to take the following
materials within the solid shaft will experience a lower stress approximate expression which is obtained by substituting r ¼
and are not being fully utilized. Thus in service, where the Rm in (5.26). Since the mean radius Rm is constant for a given
weight reduction of the shaft is important, the use of hollow thin-walled tube, it can be taken out of the integral sign.
shaft is advantageous. Z Z
Similar to the solid shaft, the elemental cross-sectional
) J ¼ r dA ¼ Rm dA ¼ R2m A ¼ 2pR3m t
2 2
ð5:39Þ
area dA is given by dA ¼ 2 p r dr. If Di ¼ inside diameter
A A
and Do ¼ outside diameter of a hollow cylindrical shaft, the
206 5 Torsion—Pure Shear

∆ A = ∆ θ R mt Since the shear stress is uniform along the length of the

tube, (5.41) is applicable to any cross-section along its length.
τm From (5.30), the total angle of twist h of the tube in the
linear elastic range will be:
t MT L MT L
Rm h¼ ¼ ð5:42aÞ
GJ 2 p R3m t G
∆θ
) Unit angle of twist,

h MT MT
h0 ¼ ¼ ¼ ð5:42bÞ
L G J 2 p R3m t G

In (5.21), by substituting R ¼ Rm and R ¼ Do =2, the

mean shear strain cm at the middle of the wall thickness and
Fig. 5.9 Section of a thin-walled tube the maximum shear strain cmax at the outer surface of the
thin-walled tube are, respectively, obtained as follows:

where A ¼ the cross-sectional area of thin-walled tube
¼ 2 p Rm t.
Since the variation of shear stress across the wall thick-
ness of a thin-walled tube is neglected, the shear stress may
be assumed to remain constant over the cross-section at a
value of shear stress at the mean radius Rm of the tube (at the
middle of the wall thickness) and may be called the mean
shear stress sm . For a thin-walled tube of wall thickness t, let
us consider a small element of cross-section DA located at
the mean radius Rm of the tube, as shown in Fig. 5.9. Since
the mean shear stress sm acts on this area DA, the shearing
force acting on this elemental area is F ¼ sm DA. So, the
moment of this force F about the axis of the tube is
F Rm ¼ ðsm DAÞRm . The total resisting moment about the
axis of the tube is the summation, taken over the entire
cross-sectional area, of these internal resisting moments of
the individual elemental areas. Hence, equating the total
resisting moment to the applied moment, MT , and remem-
bering that A ¼ 2 p Rm t, we obtain
X X
MT ¼ sm DARm ¼ sm Rm DA ¼ sm Rm A ¼ 2 p R2m sm t
A A
Rm and sm have been taken outside the summation sign,
since all elemental areas, i.e. ∆A’s are at the same radius Rm ,
and the mean shear stress sm is constant over the cross-section.
The mean shear stress from (5.40) is obtained as
MT
sm ¼
2 p R2m t
By substituting R ¼ Rm and the value of J from (5.39)
into (5.28), we obtain the same result as given by (5.41), i.e.
M T Rm MT
sm ¼ ¼ .
2 p R3m t 2 p R2m t
cm ¼ Rm ðh=LÞ ¼ Rm h0 ð5:43aÞ
D o h D o h0
cmax ¼ ¼ ð5:43bÞ
2L 2
Since the relations between the mean shear stress and the
applied torque and between the mean or maximum shear
strain and the angle of twist or the unit angle of twist are not
based on the assumption of elasticity but only on equilibrium
and geometry for a thin-walled tube, so (5.41) and (5.43)
remain the same after plastic deformation as before. There-
fore, these equations are used not only to determine the
elastic properties in torsion but also to evaluate the torsional
properties in the plastic range, and the shear stress–strain
diagram is geometrically similar to the torque-twist curve for
the thin-walled tube. It is important to mention here that the
use of mean stress sm to evaluate the torsional elastic
properties may cause significant errors, so it requires cor-
rection. Since the shear stress in the elastic range varies
linearly across the wall thickness of the tube, the maximum
shear stress smax at the outer surface of the thin-walled tube
is given by the proportion as follows:
% &
smax Do =2 Do =2 1
ð5:40Þ ¼ ¼ ; or smax ¼ sm
sm Rm ðDo # tÞ=2 1 # ðt=Do Þ
ð5:44Þ
where Do is the outside diameter and t is the wall thickness
of the tube.
If the ratio of Do =t is measured, the maximum shear
stress smax at the outer surface of the thin-walled tube in the
ð5:41Þ
elastic range can be computed from the mean stress sm by
means of (5.44). For example, when Do =t ¼ 10, we obtain
from (5.44) that smax ¼ ð10=9Þ * sm ¼ 111:11% of sm , i.e.
the value of maximum shear stress is 11% greater than that
of mean shear stress in the elastic range. Although by using
thinner tubes, the error will be reduced somewhat, but too
5.4 Torsional Stresses in Elastic Range 207

much reduction in wall thickness will cause the tube to fail Am ¼ p R2m ¼ area enclosed by the mean centre-line of
by buckling rather than torsion. Hence, it is recommended to radius Rm , and
make a correction by means of the above (5.44). sm ¼ 2 p Rm ¼ perimeter length of the mean centre-line
Since the slope of the shear stress–strain diagram decrea- of radius Rm .
ses in the plastic range compared to the linear elastic region, Hence, we obtain from (5.40) and (5.41)
the variation of shear stress across the wall thickness is
reduced, i.e. for a given ratio of the outside diameter to the M T ¼ R m s m sm t ð5:46Þ
wall thickness of the tube, the difference between the maxi-
and
mum shear stress and the mean shear stress in the plastic range
will be less than that in the elastic range. Thus, the behaviour MT
sm ¼ ð5:47Þ
of material in the plastic range can be represented by the mean 2 Am t
stress–strain diagram. For convenience, the mean shear stress
sm and the mean shear strain cm will be considered for sub- From (5.42) and (5.46), we obtain
sequent discussions on the thin-walled tube. ' (
L MT sm s m L
Now, by substituting (5.42b) into (5.43a), we get the h¼ ¼ ð5:48aÞ
2 Am G Rm t 2 Am G
mean shear strain in terms of shear modulus G, which is only
applicable in the elastic deformation range. ' (
1 MT sm s m
and h0 ¼ ¼ ð5:48bÞ
MT 2 Am G Rm t 2 Am G
c m ¼ Rm h 0 ¼ ð5:45Þ
2 p R2m t G Since the above (5.47) and (5.48) do not include the mean
radius term Rm , which is involved in a circular cross-section,
these formulas can be used to calculate the mean shear stress
5.4.4 Thin-Walled Tube of Arbitrary sm and the corresponding angle of twist h, or unit angle of
Cross-Section twist h0 , in a thin-walled tube of non-circular cross-section
having uniform wall thickness, as shown in Fig. 5.10. The
In practical applications, we often encounter thin-walled applicability of the above (5.47) and (5.48) to a thin-walled
tubes of non-circular cross-section, and it is important to tube of non-circular cross-section has been verified below
analyse their behaviour under torsion. To find the shear through derivation.
stress and angle of twist in such cases, let us imagine a mean When such a thin-walled tube with cross-section other
centre-line of radius Rm , which is located at the middle of the than the circular one is twisted, its cross-sections rotate
uniform thickness of wall, and introduce the following slightly, one relative to another, but they do not remain
notations in (5.40), (5.41) and (5.42). plane. Each cross-section that was initially plane before the

Fig. 5.10 Torsion of a (a) Mr (b)

thin-walled tube of arbitrary
(non-circular) cross-section
O
t
r
Rm
τmt dsm
dsm

Mr
208 5 Torsion—Pure Shear

deformation will become slightly warped after twisting. If
there is no restraint against this warping at the ends of the
tube, it occurs in such a manner that the magnitude of the
shear strain c of every element of the wall will be the same
irrespective of the arbitrary radial distance r of that element
from the centroid of the cross-section. Hence, the shear
stress s will remain uniform throughout the wall of such tube
in the linear elastic region, because it is proportional to the
shear strain c.
Let us find the relation between the mean shear stress sm ,
at the middle of the wall thickness, and the external torque
MT , applied to a thin-walled tube of non-circular
cross-section having a constant wall thickness, say t. For
this, we consider any cross-section of the tube and an
infinitesimally small element of length dsm , at the mean
centre-line of the wall, as shown in Fig. 5.10b. The area of
this element is t dsm , and the mean shear force on this ele-
ment is sm t dsm , as shown in Fig. 5.10b. If Rm is the distance
from the centroid O of the cross-section to the tangent to the
mean centre-line of the wall, the elemental moment of this
mean shear force about the point O is
dMT ¼ sm t dsm Rm ð5:49aÞ
Integrating such elemental moments over the entire
length sm of the mean centre-line of the wall, we obtain
subsequently in Sect. 5.7.2. Equation (5.70) is repeated
below for convenience of reference.
ð sm Þ 2
Strain energy per unit volume, ðUV ÞThin Tube ¼
2G
If L is the length, sm is the length of mean centre-line
located at the middle of the wall thickness and t is the uni-
form wall thickness of the thin-walled tube, then the volume
of the material in the tube will be L sm t, and the total strain
energy ðUT ÞThin Tube in the thin-walled tube will be given by
ðsm Þ2
ðUT ÞThin Tube ¼ ðUV ÞThin Tube * L sm t ¼ * L sm t
2G
ð5:52aÞ
If the angle of twist in the tube is h, caused by the applied
torque MT , then the work done by the applied torque during
twist of the tube will be
MT h
Work done by the applied torque during twist ¼
2
ð5:52bÞ
Since the work done by the applied torque is absorbed by
the thin-walled tube, which is stored as the total strain
energy in it, so (5.52b) can be equated to (5.52a) as follows:

Zsm Zsm M T h ð sm Þ 2 ð sm Þ 2
MT ¼ sm t Rm dsm ¼ sm t Rm dsm ð5:49bÞ ¼ * L sm t ; or h¼ L sm t ð5:52cÞ
2 2G MT G
0 0
Substituting for MT from (5.50) into (5.52c), we obtain
Again, the area of the small shaded triangle with altitude Angle of twist,
Rm and base length dsm in Fig. 5.10b is equal to
ð sm Þ 2 sm s m L
1 h¼ L sm t ¼ ð5:53aÞ
dAm ¼ Rm dsm ð5:49cÞ 2 Am G t s m 2 Am G
2
) Unit angle of twist,
Substituting (5.49c) into (5.49b), we get
Z sm s m
h0 ¼ ð5:53bÞ
M T ¼ sm t 2 dAm ¼ sm t * 2 Am ð5:50Þ 2 Am G
Am Equation (5.53) coincides with the above (5.48).
Equations (5.51) and (5.53) are very helpful in analysing
where Am is the area enclosed by the mean centre-line of the
the torsional behaviour of thin-walled tubular members of
wall. From (5.50), we obtain
arbitrary cross-section, which are often encountered in
Mean shear stress,
practical fields.
MT
sm ¼ ð5:51Þ
2 Am t
5.5 Torsional Stresses for Plastic Strains
Equation (5.51) agrees with the above (5.47).
To relate the angle of twist h of the tube with the mean Beyond the linear elastic range, the shear stress s developed
shear stress sm , which is uniform throughout the volume of over a cross-section of the cylindrical shaft subjected to
the thin-walled tube, we use the formula for strain energy per twisting moment is no longer a linear function of radial
unit volume, ðUV ÞThin Tube , stored in a thin-walled tube distance r measured from the centre of the cross-section,
during its elastic deformation, given by (5.70), as discussed although the shear stress s ¼ 0 at the centre of the
5.5 Torsional Stresses for Plastic Strains 209

cross-section, i.e. at r ¼ 0, and for a given unit angle of twist R d

Let, f ðcÞc2 dc ¼ F ðcÞ, so that F ð cÞ ¼ f ð cÞ c2 .
h0 , the shear stress, s, attains the maximum value, i.e. the dc
maximum shear stress, smax , at the outer surface of the shaft, Hence, from (5.57),
i.e. at r ¼ R. Hence, due to nonlinear distribution of shearing Zcmax
stress in the cross-section, (5.28), (5.33) and (5.37) cannot be 0 3 c
MT ðh Þ ¼ 2p f ðcÞc2 dc ¼ 2p½F ðcÞ'0max ¼ 2p F ðcmax Þ
applied to compute the maximum shear stress smax , occur-
0
ring at the surface of the shaft. However, Nadai (1950) has
presented a method for computing the maximum shear stress ð5:58Þ
smax in the plastic range from the torque MT versus unit Equation (5.58) shows the expression for MT at a given
angle of twist h0 diagram. Since the shear stress is related to unit angle of twist h0 . But to get the variation of torque MT
the shear strain by the shear stress–shear strain diagram, it with h0 , we must differentiate (5.58) with respect to h0 or cmax
can be said that the shear stress s is some function of shear (the maximum shear strain occurring at the outer surface of
strain c, i.e. mathematically
the shaft), because cmax ¼ R h0 , as given in (5.21), where the
s ¼ function of c ¼ f ðcÞ ð5:54aÞ radius of the shaft R ¼ constant. Hence, differentiating
(5.58) with respect to cmax ; we obtain
) smax ¼ f ðcmax Þ ¼ f ðRh0 Þ ð5:54bÞ d # $ d
MT h03 ¼ 2 p ½F ðcmax Þ'
where cmax ¼ R h0 , as given in (5.21). dcmax dcmax
! 0
"
3
In Sect. 5.4, it was discussed that the twisting moment MT 1 d MT h 2
applied externally to a shaft is opposed by the internal Or ; ¼ 2p f ðcmax Þ c2max ¼ 2 p f ðRh0 ÞðRh0 Þ
R dh0
resisting torque developed over the entire cross-sectional 2
¼ 2 p R2 ðh0 Þ f ðRh0 Þ
area A of the shaft due to the distribution of shear stresses s ! "
0
over the cross-section. With reference to Fig. 5.8, let us take d MT h 3 2
dA ¼ 2 p r dr, where dA is the cross-sectional area of a very ) ¼ 2 p R3 ðh0 Þ f ðRh0 Þ
dh0
thin circular element of thickness dr at any arbitrary radial
ð5:59Þ
distance r from the centre of cross-section in a shaft of radius
R. Hence, we can rewrite (5.24) as follows: Substituting (5.54b), i.e. f ðR h0 Þ ¼ smax into (5.59), we
get
Zr¼R ZR
MT ¼ sr ð2prdr Þ ¼ 2 p s r 2 dr ð5:55Þ d # $ 2
MT h03 ¼ 2 p R3 ðh0 Þ smax
r¼0 0 dh0
# $ dMT 3 0 2
Again, from (5.22), we get ) MT 3h02 þ h03 0 ¼ 2 p R ðh Þ smax ð5:60Þ
dh
c 2
r¼ ð5:56aÞ Since h0 6¼ 0, dividing both sides of (5.60) by ðh0 Þ , we
h0
obtain
For a given unit angle of twist h0 , since h0 ¼ constant,
dMT
' ( 3 M T þ h0 ¼ 2 p R3 smax
c dc dh0 '
) dr ¼ d 0 ¼ 0 ð5:56bÞ (
h h 1 0 dMT
) smax ¼ h þ 3MT ð5:61Þ
2 p R3 dh0
Now in (5.55), changing the variable from r and dr to c
and dc by means of (5.56) and substituting for s from where smax ¼ the maximum shear stress at the outer surface
(5.54a), we get of the shaft.
c¼c A typical diagram of torque MT versus unit angle of twist h0
Z max Zcmax
c2 dc 2p for a cylindrical shaft of a ductile material subjected to torsion
MT ¼ 2 p f ð cÞ 0 2 0 ¼ 0 3 f ðcÞc2 dc ð5:57Þ
ðh Þ h ðh Þ is presented in Fig. 5.11. It is obvious that the maximum shear
c¼0 0 stress smax will increase with the twisting moment MT applied
Since the shear strain c ¼ 0 at the centre of the to the shaft. At the maximum value of the applied torque
cross-section, i.e. at r ¼ 0, and the shear strain c attains the ðMT Þmax where dMT =dh0 ¼ 0 (see Fig. 5.11), the peak value
maximum value, i.e. the maximum shear strain, cmax , at the of smax will be obtained, which is called the ultimate torsional
surface of the shaft, i.e. at r ¼ R, so the limits of integration shear strength, or modulus of rupture, ðsmax Þu ; for that
in (5.57) have been changed accordingly. material. Thus, by putting dMT =dh0 ¼ 0 in (5.61), we obtain
210 5 Torsion—Pure Shear

Following the method shown above, values of the max-

imum shear stress smax corresponding to the various values
of the applied torque in the plastic range can be obtained
from different points on the torque-twist diagram.
E
Twisting moments MT

C 5.6 Behaviour of Material in Torsion

The behaviour of material in torsion can be studied by

Mmax applying a slowly increasing twisting moment to a specimen
A B MT of circular cross-section and recording at regular intervals,
the values of the applied torque MT from the torsion tester
and the angle of twist h from the device called troptometer.
θ' Increments of either twisting moment or angle of twist are
required to be fixed before the start of the test, and readings of
O D F
Angle of twist per unit length θ'
the moment and angle are recorded at regular intervals during
the test period. For a solid or hollow cylindrical specimen,
Fig. 5.11 Method of obtaining the maximum shear stress and ultimate applied torque MT in N m versus unit angle of twist h0 in
torsional shear strength from torque MT versus unit angle of twist h0 rad m# 1 is directly plotted from the recorded values, where
diagram of a cylindrical shaft
h0 ¼ angle of twist=test length ðgage length) of the specimen ¼ h=L.
If h is measured in degrees and L is measured in metre, h0 in
Ultimate torsional shear strength, or modulus of rupture,
radian per metre is given by h0 ¼ ðh=LÞ * ðp=180Þ.
3 ðMT Þmax Figure 5.11 has shown a typical MT # h0 diagram for a
ðsmax Þu ¼ ð5:62Þ ductile material, determined by torsion of a cylindrical shaft.
2 p R3
Beyond the point of the maximum applied torque ðMT Þmax ,
If a torque-twist curve is available for a material from its there is a drop in the applied torque as shown in the torque
test record or otherwise, the maximum shear stress at any versus twist diagram in Fig. 5.11. For a solid or hollow
value of the applied torque in the plastic range and the cylindrical shaft, the applied torque begins to drop as soon as
modulus of rupture can be obtained, respectively, by means the crack begins to form at the outermost surface of the shaft,
of (5.61) and (5.62), as illustrated below with respect to the although the cross-section of the shaft may not decrease
diagram in Fig. 5.11. noticeably in torsion. So, the applied torque reaches the
At point C on the diagram in Fig. 5.11, the maximum maximum value at the onset of the crack in the extreme fibres
shear stress smax corresponds to the torque value at C, i.e. because its radial distance from the centre of the cross-section
ðMT Þat point C . Hence, ðMT Þat point C ¼ CD, or 3ðMT Þat point C ¼ is the maximum. The uncracked inner fibres below the
' (
dMT cracked outermost surface having less radial distance from
3CD; ðh0 Þat point C ¼ OD ¼ AB; ¼ tan \BAC
dh0 at point C the centre require less torque for rupture, and as soon as they
BC dMT BC break, the applied torque decreases further and this process
¼ ; and so, h0 0 ¼ AB * ¼ BC.
AB dh AB continues till the shaft undergoes complete fracture. Hence,
Now, the maximum shear stress smax given by (5.61) can the shape of torque-angle of twist diagram for a solid or
be expressed in terms of the geometry of the diagram in hollow cylindrical shaft of a ductile material subjected to
Fig. 5.11 as shown below. torsion sometimes resembles that of the engineering stress–
strain diagram of a ductile material subjected to tension.
1 For thin-walled tubular specimens, the results of the
ðsmax Þat point C ¼ ðBC þ 3 CDÞ ð5:63Þ
2 p R3 torsion test may be plotted directly as above, or these
recorded readings are converted to the mean shear stress and
Similarly, from (5.62), the ultimate torsional shear strength,
mean shear strain using, respectively, (5.41) and (5.43).
or modulus of rupture, ðsmax Þu , can be written as follows:
Figure 5.12 shows a typical mean shear stress–strain dia-
3 ðMT Þmax 3 EF gram in the plastic range for a ductile material, determined
ðsmax Þu ¼ ¼ ð5:64Þ by torsion test of a thin-walled tube.
2 p R3 2 p R3
5.6 Behaviour of Material in Torsion
τm
0 γm
Fig. 5.12 Typical mean shear stress–strain diagram, for a ductile
material, determined by torsion test of a thin-walled tube
It is to be noted that the torque versus twist diagram for a
thin-walled tube does not show any drop in the applied
torque unlike the torque versus twist diagram for a solid or
hollow cylindrical shaft. This can be justified as follows:
By substituting the cross-sectional area of a thin-walled
tube, A ¼ 2 p Rm t, in (5.40), we get
MT ¼ 2 p R2m sm t ¼ A Rm sm ð5:65Þ
The increment of torque can be obtained by differentiat-
ing (5.65), which is expressed as
dMT ¼ Rm sm dA þ A sm dRm þ A Rm dsm ¼ A Rm dsm
ð5:66Þ
In (5.66), since both area A and radius Rm remain constant,
dA ¼ 0 and dRm ¼ 0. Again, since A 6¼ 0 and Rm 6¼ 0, the
shear stress sm increases throughout the elastic and plastic
range. The increase of the shearing stress throughout the
plastic range is due to the strain hardening associated with the
shearing strain. As a consequence, dMT is never zero, and MT
never decreases. The shear stress–strain diagram obtained
from the torque versus twist diagram for a thin-walled tube in
torsion will be very much similar to the true stress–strain
diagram in tension.
When a specimen is unloaded from the plastic range in
torsion, the unloading occurs almost entirely in the elastic
manner similar to that in the uniaxial tension. It means that
the unloading line will be parallel to the original elastic line
of the torque-twist or the shear stress–strain diagram. After a
material is unloaded from the plastic range in torsion, if it is
reloaded by reversing and increasing the torque in the
opposite direction, yielding of the material on reloading will
begin at a lower stress than in the initial loading cycle. Thus,
the phenomenon, called the Bauschinger effect, takes place
(Liddicoat and Potts 1952); the mechanism of which is the
same as that described in Sect. 2.5 of Chap. 2.
211
5.6.1 Testing Equipment
The equipment for torsion test, known as torsion tester,
consists of a twisting head and a weighing head having a
chuck at each head. Both ends of the specimen are gripped
by these two chucks which must be aligned on a common
axis to avoid bending of the specimen. Both ends of the
specimen are properly centred with care when they are
inserted in the chucks of the testing equipment. Bending
must not be introduced in the specimen during tightening of
the grips. The grips in the chucks are ordinarily in the form
of serrated blocks or cams, some types of which cause
automatic tightening during the application of torque. The
twisting moment is applied at one end of the specimen by
rotating the chuck of twisting head about the axis, while the
weighing head that grips the other end of the specimen with
chuck measures the amount of twisting moment or torque
being applied to the specimen.
Shearing deformation of the specimen in torsion is usu-
ally measured by a twist-measuring device called a trop-
tometer. Troptometer is employed to determine the angular
displacement or rotation of a point at one end of a specified
gage length of the specimen with respect to a point lying on
the same longitudinal element at the opposite end. Trop-
tometer indicates the angle of twist on a graduated scale.
Often a straight line is marked on the surface on the reduced
gage section, parallel to longitudinal axis of the specimen, to
facilitate the measurement of the total angle of twist at
rupture of the specimen. Other method for determining the
deformation of the specimen involves the use of strain gages
that measure the normal principal strains occurring in the
directions of the principal stresses. Once the normal princi-
pal strains are known, the maximum shear strain can be
computed by using (5.12).
5.6.2 Specimen
To select a specimen for torsion test, the main criteria seem
to be that (1) the specimen must be of such size as to allow
the precise measurement of strain and (2) the portion of the
specimen on which measurements are made must be of such
proportions as to exclude the effect of stresses due to grip-
ping the ends. The ends of the specimen must be such that
they can be securely gripped without the development of
sufficient stresses that will cause local failure in the grips.
The diameter of the centre portion of the specimen, which
is subjected to torque, is usually smaller than that of gripping
regions at the ends. Thus, the cross-section of centre portion
of specimen is reduced compared to the end portions, and
such transition in cross-section must be provided with
212
large-radius fillets to make it gradual so that stress concen-
trations at the change-points are minimized. When a
thin-walled tube is used as specimen, both of its hollow ends
must be fitted tightly with plugs to prevent crushing of the
ends.
To minimize the variation of stress across the wall
thickness of a thin-walled tubular specimen, the wall must be
as thin as possible; to measure the angle of twist precisely, a
large length tube is desirable. But the high ratio of length to
wall thickness favours the buckling failure of the tube, and
thus, a compromise between the length and wall thickness is
needed to select tubular specimens. If tests are performed
covering the entire plastic range, the length of the reduced
test section, i.e. the gage length, must be kept to a minimum
to prevent the buckling failure of the tube. Experience has
shown that for tests covering the entire plastic range, the
ratio of the gage length to the outside diameter, i.e. L=Do ,
must not be more than 0.5 and that of the diameter to the
wall thickness, i.e. Do =t, cannot be much greater than 20.
A thin-walled tubular specimen is preferable for the deter-
mination of the proportional limit shearing strength of the
extreme fibres because the determination of this property is
practically impossible by torsion test of a solid cylindrical
shaft. For the determination of the ultimate shear strength
with a thin-walled tubular specimen, usually the preferred
value of Do =t is about 10–12 and that of L=Do is about 0.5.
However, for the determination of the torsional yield
strength and the modulus of rigidity, a hollow cylindrical
specimen having a ratio of the length of the reduced test
section to the outside diameter, i.e. L=Do , of at least 10 and
that of the diameter to the wall thickness, i.e. Do =t, in its
reduced section of about 8–10 is to be preferred (Templin
and Moore 1930; Davis et al. 1964).
5.7 Elastic Properties
For materials that follow Hook’s law, the linear elastic
properties such as the ‘shear modulus’ or ‘modulus of
rigidity’, the ‘torsional proportional limit’ and the ‘modulus
of elastic resilience in torsion’ are generally determined by
torsion tests of thin-walled tubular specimens. A thin-walled
tubular specimen is preferred to a solid cylindrical specimen
for precise determinations of the torsional proportional limit.
Because of the existence of the stress gradient across the
diameter of a solid shaft, the outer surface experiencing the
maximum shear stress starts to yield while the interior of the
shaft is still stressed in the elastic range, which restrains the
outer surface from yielding. This situation resembles that in
pure bending. Since initial local yielding in the surface fibres
alone is very small, there is an insignificant drop of torque
from the elastic value at the onset of yielding in torsion of a
solid shaft, and thus, the torque-twist diagram departs almost
5 Torsion—Pure Shear
slightly from linearity. As a result, the torsional proportional
limit of the material that is obtained from testing of the solid
cylindrical shaft becomes unreliable and the first onset of
yielding is normally not readily detectable with the device
usually employed to measure the angle of twist. The above
effect is minimized when a thin-walled tubular specimen is
used in the torsion test because the stress is practically
uniform across its wall thickness. Thin-walled tubular
specimens can be used to study the elastic as well as inelastic
properties of the material.
5.7.1 Shear Modulus and Torsional Proportional
Limit
5.7.1.1 Thin-Walled Tube
Figure 5.13 shows an elastic mean shear stress sm versus
mean shear strain cm diagram, determined by torsion test of a
thin-walled tube for a material that follows Hook’s law. The
slope of this linear elastic diagram gives directly the mag-
nitude of shear modulus G ; and the end point ‘A’ of the
linear plot represents the torsional proportional limit.
5.7.1.2 Solid or Hollow Cylindrical Shaft
Figure 5.14 is a linear elastic plot of torque MT versus unit
angle of twist h0 diagram obtained from testing of a cylin-
drical shaft. The slope of this linear plot, i.e. MT =h0 , provides
the value of the product of shear modulus G and the polar
moment of inertia of the cross-section J, as shown in (5.29).
From this product of G J, the shear modulus G can be
computed using the value of J obtained from (5.32) for the
solid shaft and from (5.36) for the hollow shaft. The end
point ‘A’ of the linear plot of MT # h0 diagram in Fig. 5.14
represents the torque at proportional limit ðMT Þpl , from
which the torsional proportional limit ðsmax Þpl can be cal-
culated by means of (5.33) and (5.37), respectively, for solid
and hollow shaft:
A
τm
0 γm
Fig. 5.13 Elastic mean shear stress–strain diagram of a thin-walled
tube, showing the torsional proportional limit at point ‘A’
5.7 Elastic Properties
Fig. 5.14 Elastic torque MT
versus unit angle of twist h0
diagram showing the torque at
proportional limit, given by point A volume ðdaÞ3 , we obtain the following (5.69a) for the elastic
MT
‘A’, obtained from testing of a
cylindrical shaft
0 θ'
16ðMT Þpl
ðsmax ÞplSolid ¼ ð5:67aÞ
p D3
16 ðMT Þpl Do
ðsmax ÞplHollow ¼ # 4 $ ð5:67bÞ
p Do # D4i
To determine the torsional proportional limit, a
thin-walled tubular specimen is usually preferred to a solid
or hollow shaft because of the difficulty in detecting the end
point ‘A’ of the linear plot of MT # h0 diagram in Fig. 5.14,
obtained from the torsion test of a solid or hollow shaft.
However, to determine the modulus of rigidity, G, a hollow
cylindrical specimen is to be preferred as mentioned earlier.
5.7.2 Torsional Modulus of Elastic Resilience
Similar to tension, the modulus of elastic resilience in torsion
is the capacity of a material to absorb energy in the linear
elastic range up to the point of torsional proportional limit. It
is measured by the elastic strain energy per unit volume
required to stress the material as the shear stress increases
from zero to the torsional proportional limit.
Consider a cubic element with edge length of ‘da’, of a
linear elastic material in a state of pure shear, where top and
bottom horizontal faces of the element are subjected to
shearing stresses equal to the shearing proportional limit, say
spl . During the deformation of the element, the top face is
displaced horizontally through a distance cpl da relative to
the bottom face as the shear stress is gradually increasing
from zero to the shearing proportional limit spl ; where cpl is
the shear strain at the proportional limit. Then the elastic
work done by the shearing force spl ðdaÞ2 acting on the top
face is given by
1 1
spl ðdaÞ2 + cpl da ¼ spl cpl ðdaÞ3 ð5:68Þ
2 2
Since the shear forces on the side faces of the element do
not work during the displacement, (5.68) represents the total
213
strain energy absorbed by the element that is stressed to the
proportional limit. Hence, dividing (5.68) by the elemental
strain energy per unit volume absorbed by the cubic element
stressed up to the proportional limit, i.e. its modulus of
elastic resilience in pure shear, denoted by ðUMR ÞCube .
Modulus of elastic resilience of cube in pure shear,
spl cpl
ðUMR ÞCube ¼ ð5:69aÞ
2
Within the linear elastic limit of a material subjected to
pure shear, (5.6) at the proportional limit can be written as
spl ¼ Gcpl , or cpl ¼ spl =G, substitution of which in (5.69a)
will give the following two forms of expression for
ðUMR ÞCube . The modulus of elastic resilience of the cubic
element in pure shear ðUMR ÞCube as a function of the shear
strain cpl at the proportional limit and that as a function of
the shearing proportional limit spl are given by:
Modulus of elastic resilience of cube in pure shear,
G c2pl s2pl
ðUMR ÞCube ¼ ¼ ð5:69bÞ
2 2G
For a thin-walled tube subjected to torsion, since the
mean shear stress sm and shear strain cm are assumed to
remain uniform across the wall thickness, so if spl and cpl in
(5.69) are replaced by the proportional limit mean shear
stress ðsm Þpl and shear strain ðcm Þpl , the expression for the
modulus of elastic resilience in torsion for thin-walled tube,
denoted by ðUMR ÞThin tube , can be obtained as follows:
ðsm Þpl ðcm Þpl G ðcm Þ2pl ðsm Þ2pl
ðUMR ÞThin tube ¼ ¼ ¼ ð5:70Þ
2 2 2G
Once the torque versus angle of twist diagram obtained
from the torsion test of a thin-walled tubular specimen is
converted to the mean shear stress–strain diagram, it is easy
to determine the modulus of elastic resilience by means of
(5.70).
Again, the modulus of elastic resilience in torsion for a
solid cylindrical shaft of radius R and length L can also be
found, as discussed below, from the expressions of
ðUMR ÞCube , given by (5.69).
Within the solid shaft, consider an elemental tube of
length L (same as the shaft length) with a very thin circular
cross-section of thickness dr located at any arbitrary radial
distance r from the centre of cross-section, as shown in
Fig. 5.15. If ðsmax Þpl is the proportional limit maximum
shear stress at the surface of the solid shaft, the shear stress at
the proportional limit below the surface at any arbitrary
radial distance r from the centre will be ðsmax Þpl ðr=RÞ. Then
214 5 Torsion—Pure Shear

Fig. 5.15 Torsion of a solid

Mr Hence from (5.28),
shaft showing a very thin
elemental tube located at any ðMT Þpl R 2ðMT Þpl R 2ðMT Þpl
r ðsmax Þpl ¼
arbitrary radial distance, r, from R dr ¼ ¼ ð5:74Þ
the centre of the cross-section J p R4 p R3
Substituting smax from (5.74) into (5.73), the total strain
energy stored in the solid shaft at the proportional limit will
be:
L h i2
# $ # $ 2ðMT Þpl ðMT Þ2pl L ðMT Þ2pl L
UplT ¼ pR2 L ¼ ¼
Solid shaft
4GðpR3 Þ2 G p R4 2GJ
ð5:75Þ
Equation (5.75) is a general equation applicable to solid
Mr as well as hollow cylindrical shaft. The only difference is
that the polar moment of inertia J will be determined by
# $ using (5.32) for solid shafts and (5.36) for hollow shafts.
the elastic strain energy per unit volume, UplV r , stored in When (5.73) is divided by the volume V ¼ pR2 L, of the
the elemental tube of the intermediate radius r at the pro- solid cylindrical shaft, we obtain the expression for the
portional limit can be written from (5.69b) as modulus of elastic resilience in torsion for a solid cylindrical
shaft, denoted by ðUMR ÞSolid shaft , as follows:
# $ ðsmax Þ2pl r 2
UplV r ¼ ð5:71Þ
2GR2 ðsmax Þ2pl
ðUMR ÞSolid shaft ¼ ð5:76Þ
Now, the volume dV of the elemental tube is given by 4G
dV ¼ L 2p r dr. So from (5.71), the total elastic strain energy, Equation (5.76) shows that the value of the modulus of
# $
dUplT r , stored in the elemental tube at the proportional limit elastic resilience for a solid cylindrical shaft in torsion is half
will be: of that for a thin-walled tube in torsion given by (5.70) or
# $ # $ ðsmax Þ2pl r 2 that for a cubic element in a state of pure shear given by
dUplT r ¼ UplV r dV ¼ + 2p r L dr ð5:72Þ (5.69b). Because the whole cross-section of the solid
2G R2
# $ cylindrical shaft is not stressed to the maximum shear stress
The total elastic strain energy, UplT Solid shaft , stored in value, rather in the linear elastic region, it experiences a
the solid shaft subjected to torque up to the proportional mean shear stress of smax =2, or at the proportional limit,
limit is obtained by summation of the expression given by ðsmax Þpl =2, which is the average of zero shear stress at the
(5.72), from r ¼ 0 to r ¼ R, as follows: centre and the maximum shear stress at the surface.
The modulus of elastic resilience in torsion for a solid
Zr¼R Zr¼R
# $ ðsmax Þ2pl r 2 ðsmax Þ2pl cylindrical shaft can also be found from the linear elastic
UplT ¼ 2 p r L dr ¼ 2pL r 3 dr
Solid shaft 2 G R2 2 G R2 diagram of applied torque, MT , versus angle of twist, h. The
r¼0 r¼0
modulus of elastic resilience is expressed in terms of the
ðsmax Þ2plR4
¼ 2pL work done per unit volume as the applied twisting moment is
2 G R2 4
gradually increased from zero to the proportional limit tor-
# 2 $ ðsmax Þ2pl V ðsmax Þ2pl
¼ pR L ¼ que, ðMT Þpl . The total work done in torsion is the area
4G 4G
ð5:73Þ between the linear elastic portion of the MT versus h curve
and the h-axis. So, the work done per unit volume is equal to
where V ¼ the volume of the solid cylindrical shaft ¼ pR2 L. half the product of the proportional limit torque and the
The total elastic strain energy stored in the solid shaft at angle of twist of the solid cylindrical shaft at the proportional
the proportional limit can also be expressed in terms of the limit divided by the volume of the solid cylindrical shaft,
proportional limit torque, ðMT Þpl , from (5.73) as follows: which is given by
From (5.32), note that for a solid cylindrical shaft,
ðMT Þpl + hpl ðMT Þpl + hpl
p D4 pð2 RÞ4 p R4 ðUMR ÞSolid shaft ¼ ¼ ð5:77Þ
J¼ ¼ ¼ . 2+V 2 ð p R2 L Þ
32 32 2
5.7 Elastic Properties
where
ðMT Þpl the proportional limit torque applied to the solid
circular shaft,
V the volume of a solid cylindrical shaft with radius
R and length L ¼ p R2 L,
hpl the angle of twist of the solid cylindrical shaft at
the proportional limit.
The expression for the modulus of elastic resilience in
torsion for a solid cylindrical shaft given by (5.76) can be
obtained from (5.77) using (5.33) and (5.23b) as follows:
From (5.33), we can write
pð2 RÞ3 ðsmax Þpl p R3 ðsmax Þpl
ðMT Þpl ¼ ¼ ð5:78aÞ
16 2 Sect. 5.9.2.
From (5.23b), it follows that
Lðsmax ÞPl
hpl ¼ ð5:78bÞ
GR
Substituting for ðMT Þpl and hpl from (5.78) into (5.77), we
obtain
h i * + from the torque-twist diagram, because toughness is indi-
p R3 ðsmax Þpl =2 + Lðsmax ÞPl =GR
ðUMR ÞSolid shaft ¼
2ðpR2 LÞ
2
ðsmax Þpl
¼ ð5:79Þ
4G
Hence, the expression for the modulus of elastic resilience in
torsion for a solid cylindrical shaft given by (5.76) coincides
with that given by (5.79), which is derived from (5.77). There-
fore, once the torque versus angle of twist diagram is available
from the torsion test of a solid cylindrical shaft, the modulus of
elastic resilience can directly be computed from (5.77), and thus,
it is not necessary to convert MT versus h diagram to the
maximum shear stress–strain diagram for determination of the
modulus of elastic resilience for solid circular shaft.
For convenience in engineering application, the linear
elastic behaviour of the material is assumed to hold good up to
the yield point in torsion. Hence to get the modulus of resi-
lience for the solid shaft, the proportional limit maximum shear
stress at the surface ðsmax Þpl in (5.76) can be replaced by the
torsional yield strength at the surface, ðsmax Þ0 ; and the pro-
portional limit torque ðMT Þpl and the angle of twist hpl at the
proportional limit in (5.77) can be replaced by the yield torque
ðMT Þy and the angle of twist hy at the yield point. Similarly, for
thin-walled tube, the mean shear stress at the proportional
limit, ðsm Þpl , in (5.70) can be replaced by the torsional mean
yield strength ðsm Þ0 to get the modulus of resilience.
215
5.8 Inelastic Properties
Beyond the elastic range, when some of the atomic or
molecular bonds are broken causing irrecoverable changes
of structure to take place in the material, the inelastic
action starts. Similar to uniaxial tension, both normal and
shear strains are involved in the inelastic action, which
includes two possibilities: yielding and fracture. As in
uniaxial tension, yielding and strain hardening take place
in the plastic range of torsion. All kinds of material,
whether brittle or ductile in uniaxial tension, exhibit more
ductility in torsion than in uniaxial tension, i.e. the plastic
range in torsion is larger than that in uniaxial tension for all
materials, which has been explained subsequently in
The inelastic torsional properties that are generally eval-
uated include the torsional yield strength, the ultimate tor-
sional shear strength or the modulus of rupture and ductility.
To determine the torsional yield strength, a hollow cylin-
drical specimen is to be preferred as mentioned earlier.
Toughness can also be measured by the area under the shear
stress–strain curve up to the point of fracture that is obtained
cated by the amount of work required on a unit volume of a
material to cause it to break, as in uniaxial tension. To
determine the torsional modulus of rupture, ductility and
toughness, any one of the solid cylindrical, the hollow
cylindrical and the thin-walled tubular specimens can be
tested.
5.8.1 Torsional Yield Strength
Yield strength of the material in torsion is usually obtained
from torque at some offset unit angle of twist in the plot of
MT versus h0 , as shown in Fig. 5.16, and the offset is
determined in the same manner as the offset yield strength in
uniaxial tension is found. The torsional yield strength ðsm Þ0
can also be evaluated from the mean shear stress value
usually at 0.2% offset mean shear strain in the diagram of sm
versus cm , of a thin-walled tubular specimen. Note that 0.2%
offset engineering strain, i.e. the same strain offset value, is
used in uniaxial tension test. For materials showing dis-
continuous yielding, like mild steel, the torsional yield
strength ðsm Þ0 is directly given by the lower yield point
(similar to uniaxial tension) from sm versus cm diagram for a
thin-walled tube.
For a MT versus h0 diagram of a solid or hollow cylin-
drical shaft, if the strain offset same as that of uniaxial
216
Offset yield torque
Twisting moment M T , N m
0 computing the shear stress because this equation is based on
Unit angle of twist θ', rad m-1
Offset
Fig. 5.16 Offset yield torque is shown in torque versus unit angle of
twist diagram
tension is chosen, then the torsional offset yield strength,
calculated from torque at unit angle of twist corresponding to
the chosen strain offset, will be at a much higher level than
the torsional proportional limit, while the tensile offset yield
strength remains at a little higher level than the tensile
proportional limit. This is because of an insignificant drop of
torque from the elastic value at the onset of yielding causing
a slight deviation from linearity in the diagram of MT versus
h0 of a solid or a hollow shaft. Therefore, for a MT versus h0
diagram of a solid or a hollow shaft, a smaller maximum
shear strain offset must be selected and converted to unit
angle of twist, from which the corresponding offset yield
torque ðMT Þy is noted from MT versus h0 diagram and con-
verted by means of (5.33) and (5.37) to the torsional yield
strength ðsmax Þ0 , respectively, for solid and hollow shaft:
16ðMT Þy
ðsmax Þ0Solid ¼
p D3
16ðMT Þy Do
ðsmax Þ0Hollow ¼ # 4 $ ð5:80bÞ
p Do # D4i
For a solid or a hollow shaft, the maximum shear strain
offset is usually taken as 0.05% (1=4th of the tensile offset
engineering strain), i.e. cmax ¼ 0:002=4 ¼ 0:0005. Now for
a solid or a hollow cylindrical specimen with outer diameter
of 25 mm, the offset unit angle of twist h0 , obtained from
(5.21), is:
cmax 0:0005
Offset unit angle of twist, h0 ¼ ¼ the limiting case of a completely brittle material. For mate-
R 12:5
¼ 0:00004 rad mm#1
¼ 0:04 rad m#1
5 Torsion—Pure Shear
The value of 0:04 rad m#1 ðor, 0:001 rad=inÞ, as given by
(5.81a), is frequently chosen as the offset unit angle of twist.
Now, at this selected offset unit angle of twist h0 , the tor-
sional offset yield strength for a solid or a hollow cylindrical
specimen with outer diameter of 25 mm can be expressed as
follows:
* +
ðMT Þh0 ¼0:04rad m#1 * 0:0125
ðsmax Þcmax ¼0:0005 ¼ N m#2
J
ð5:81bÞ
Once the linear elastic limit of the material in torsion has
been exceeded, (5.27) or (5.28) is not strictly applicable for
the linearity of the shear stress distribution from the centre to
the surface of the specimen. Thus, the results obtained by
(5.80) or (5.81b) will slightly overestimate the torsional
yield strength. Equation (5.61) that is applicable to the
plastic range of materials in torsion can be used to obtain a
more precise value of the torsional yield strength when a
solid or a hollow cylindrical specimen is tested.
5.8.2 Ultimate Torsional Shear Strength
or Modulus of Rupture
For a solid or a hollow cylindrical shaft, the applied torque
increases with the angle of twist and reaches the maximum
value and then begins to drop as soon as the crack begins to
form at the outermost surface. If the buckling failure can be
prevented, the torque applied to a thin-walled tube is expected
to reach the maximum value at the fracture point. In both of
the above cases, the maximum applied torque corresponds to
the peak value of the maximum shear stress developed at the
outer surface, and this peak value is the ultimate torsional
shear strength, or modulus of rupture, denoted by ðsmax Þu .
ð5:80aÞ Solid as well as hollow specimens are frequently compared by
means of the modulus of rupture, ðsmax Þu , by substituting the
maximum measured torque, often known as the rupture
moment, say ðMT Þu , into (5.28), as shown below:
ðMT Þu R
ðsmax Þu ¼ ð5:82aÞ
J
Since (5.28) is based on the linearity of shear stress dis-
tribution from the centre to the surface of the specimen, the
value obtained by (5.82a) is larger than the actual modulus
of rupture in torsion. But (5.82a) is generally sufficiently
accurate to determine the modulus of rupture in torsion in
rials (usually brittle materials) that fail by tensile stresses
ð5:81aÞ under torsional loading, the torsional modulus of rupture
must approximate roughly the fracture strength in tension or
5.8 Inelastic Properties
the tensile strength, but the modulus of rupture computed by
(5.82a) is always somewhat higher than the tensile strength,
because above the proportional limit, (5.82a) gives stresses
that are too high. For example, the modulus of rupture of
cast iron determined by (5.82a) for solid shaft subjected to
torsion is about 1.2 times the tensile strength (Upton 1916).
Upton indicated that the ratio of the actual maximum shear
stress at rupture to the modulus of rupture calculated by
(5.82a) must lie between 3=4 and 1 and approaches 3=4 as
the ductility of material increases. Although the results
obtained by (5.82a) beyond the torsional proportional limit
suffer from considerable error, this equation is frequently
used as a convenient means of comparing and selecting
materials of identical size and shape.
A more precise value of the modulus of rupture in torsion
can be calculated by means (5.62), which is applicable to the
plastic range of materials in torsion (see Sect. 5.5). Since the
torsion formula given by (5.41) holds good in the plastic
range for thin-walled tubular specimen, the modulus of
rupture, ðsmax Þu , for torsion of a thin-walled tubular speci-
men can also be calculated by substituting the mean shear
stress sm ) ðsmax Þu , and MT ¼ ðMT Þu (rupture moment) into
(5.41) as follows:
ðM T Þu
ðsmax Þu ¼ ð5:82bÞ
2pR2m t
5.8.3 Ductility
A material’s ductility in torsion is determined from the
amount of angle of twist, maximum shear strain or per-
centage elongation of the outer fibres at rupture. Angle of
twist h at the point of the fracture of the specimen, say hf ,
can directly be obtained from the troptometer, but from the
value of hf , the ductility of specimens of identical size and
shape can only be compared. The maximum shear strain at
fracture, say ðcmax Þf , which is a measure of ductility in tor-
sion, is calculated by means of (5.21) as given below:
Maximum shear strain at rupture,
Rhf
ðcmax Þf ¼ Rh0f ¼ ð5:83Þ
L tension test.
We can also measure the ductility in torsion in terms of
per cent elongation of the outer fibres at rupture. Let, the
initial length of a longitudinal straight line on the surface of
the specimen is L. After torsional deformation, this line will
be twisted into helix and suppose its final length at the point
of the fracture of the specimen is Lf , which can be computed
217
from the values of L and R h0f . Hence, the percentage elon-
gation of the outer fibres at rupture will be given by
% Elongation in torsion
rffiffiffiffiffiffiffiffi!
ffiffiffiffiffiffiffiffiffiffi"
ffiffiffiffi
qffiffiffiffiffiffiffiffiffiffi#ffiffiffiffiffiffiffiffiffiffi$ffiffiffi 2
L2 þ Rhf # L
2 L 1 þ Rh0f # L
Lf # L
¼ * 100 ¼ * 100 ¼ * 100
L ! L L
rffiffiffiffiffiffiffiffi!
ffiffiffiffiffiffiffiffiffiffi"
ffiffiffiffi
2
'qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi (
¼ 1 þ Rh0f # 1 * 100 ¼ 1 þ ðcmax Þ2f # 1 * 100
ð5:84Þ
It may be noted that the three measures of ductility are
related to each other. The torsional strain to fracture,
ðcmax Þf , is obviously the most useful measure of ductility,
since it does not depend on the length of specimen and can
easily be computed.
5.9 Torsion Test Versus Tension Test
A torsion test has the following advantages over the tension
test.
• A shear stress–strain diagram determined from torsion
test is fundamentally more important in characterizing
the plastic behaviour of material than a conventional or a
true stress–strain curve obtained from tension test. Thus,
a more fundamental measure of plasticity of a material is
provided by the torsion test rather than by the tension test
(Sauveur 1938).
• The dimensions of a member of circular cross-section,
whether tubular, hollow or solid, remain constant in the
elastic range of torsion. This behaviour is characteristic
of the pure shear deformation involved in torsion and not
dependent on the elastic deformation. Thus, the dimen-
sions of a member do not basically change even in the
plastic range, as verified by experimental observations.
Since the dimensions are unaltered, the problems of
plastic instability and necking, as observed in tension,
and barreling resulting from the end restraint in com-
pression never occur in torsion.
• Due to the absence of the above problems, torsion can
produce large values of strain compared to the uniaxial
On the other hand, torsion test faces some problems,
which are as follows:
• Conversion of the data of torque and angle of twist into
shear stress–strain curves is quite laborious.
218 5 Torsion—Pure Shear

• The elimination of the steep stress gradient across the Fig. 5.17. Now from Table 5.1, we find that for a material
cross-section of the specimen is required for precise subjected to a given value of maximum normal tensile stress
determination of the proportional limit in torsion, for rmax , the maximum shear stresses are:
which a thin-walled tubular specimen is essential to use.
rmax
• The thin-walled tubular specimen tends to fail by buck- In tension: ðsmax ÞUniaxial tension ¼ ð5:85aÞ
2
ling rather than torsion, if its diameter to wall thickness
ratio is increased to a very high level. In torsion: ðsmax ÞBiaxial torsion ¼ rmax ð5:85bÞ

Therefore, for any given value of rmax ,

5.9.1 Comparison in Terms of State of Stress
and Strain ðsmax ÞBiaxial torsion ¼ 2ðsmax ÞUniaxial tension ð5:86Þ

The comparison between the uniaxial tension test and the
biaxial torsion test with respect to the state of stress and
strain developed in each test is shown in Table 5.1.
5.9.2 Comparison of Ductile Behaviour
The ductile behaviour of materials is apparently greater in
biaxial torsion than in uniaxial tension, which has been
illustrated below with reference to the schematic diagram of
where ðsmax ÞBiaxial Torsion is the maximum shear stress in
biaxial torsion, and ðsmax ÞUniaxial Tension is the maximum shear
stress in uniaxial tension.
Figure 5.17 shows schematically a plot of smax versus rmax
for tension and torsion tests. According to (5.85), the curves of
the tension and torsion tests will be linear but inclined,
respectively, with the abscissa ðrmax -axisÞ at an angle of
26:565" and 45" . It is quite logical to consider that for plastic
flow to occur, a critical value of the maximum shear stress, say
ðsmax Þcritical , and for occurrence of brittle fracture, a critical

Table 5.1 Comparison of state of stress and strain between tension and torsion
Uniaxial tension test Biaxial torsion test Sources of explanation
r1 ¼ rmax ; and r2 ¼ r3 ¼ 0. r1 is r1 ¼ rmax ¼ #r2 ; and r3 ¼ 0. r1 is the From (5.1), where r1 ; r2 ; and r3 are principal
the maximum normal tensile stress maximum normal tensile stress and r2 is the true stresses
maximum normal compressive stress of equal
magnitude
r1 rmax r1 # ð#r1 Þ Since r1 [ r3 [ r2 ; the principal shear stress
smax ¼ ¼ smax ¼
2 2 2 s3 becomes the maximum shear stress, smax , so
r1 # r2
¼ r1 ¼ rmax according to (1.48), s3 ¼ smax ¼
2
e1 ¼ emax and e1 ¼ emax ¼ #e2'and ( e3 ¼ 0: Increment in true linear strains e1 ; e2 ; and e3 ;
e1 emax d!e 3r1 from (1.84) are:
e2 ¼ e3 ¼ # ¼ # : Since, de1 ¼
2 2 ! (2
; d!e h r2 þ r3 i
d!e ' r de1 ¼ r1 #
Since, de1 ¼ ðr1 Þ; d!e 3r1 r
! 2
r
! de2 ¼ # ¼ #de1 : d!e h r1 þ r3 i
d!e ! r1 " de1 r
! 2 de2 ¼ r2 #
de2 ¼ # ¼# and and r
! 2
! ! 2"
r 2 d!e h r1 þ r2 i
d!e r1 de1 de3 ¼ 0; de3 ¼ r3 #
de3 ¼ # ¼ de2 ¼ # r
! 2
r
! 2 2
! e "
cmax ¼ e1 # #
1 cmax ¼ e1 # ð#e1 Þ Maximum shear strain from (5.12) is:
2 cmax ¼ e1 # e2
¼ 2e1 ¼ 2emax
3 e1 3emax
¼ ¼
2 2
pffiffi pffiffi
2* 2 +
2 1=2 2* 2 +1=2 Significant stress from (1.76) are:
r
!¼ r1 þ r1 ¼ r1 r
!¼ 4r1 þ r21 þ r21 2 31=2
2 2
pffiffi pffiffi pffiffi pffiffi ðr1 # r2 Þ2
¼ rmax ¼ 2smax ¼ 3r1 ¼ 3rmax ¼ 3smax 26 7
6 þ ðr2 # r3 Þ2 7
r
!¼
2 4 5
þ ðr3 # r1 Þ2
2 pffiffi
pffiffi e1 2 31=2 2* 2 +1=2 Significant strain from (1.77a) are:
26
ðe1 þ Þ
2 7
!e ¼ 4e1 þ e21 þ e21 2 31=2
!e ¼ 4 5 3 pffiffi ðe1 # e2 Þ2
3 e1 2 2 cmax 26 7
þ ð# # e1 Þ2 ¼ pffiffi e0 1 ¼ pffiffi emax ¼ p ffiffi !e ¼ 6 þ ðe2 # e3 Þ2 7
pffiffi 2 3 3 3 3 4 5
2 3 2 þ ðe3 # e1 Þ2
¼ pffiffi e1 ¼ e1 ¼ emax ¼ cmax
3 2 3
5.9 Torsion Test Versus Tension Test 219

Fig. 5.17 Schematically

showing greater apparent Critical τmax for plastic flow
ductility of material in torsion

ax
than in tension ax

m
2) σ m

σ
1/

=
=( Critical σmax for

τmax

ax
m
tτ
ax fracture of a
tτm

tes
es Critical σmax for
nt

n
o ductile material

o
nsi fracture of a brittle

rsi
Te

To
material in tension in tension

σmax

value of the maximum normal tensile stress, say ðrmax Þcritical ,
exist. Since ðsmax ÞBiaxial torsion is two times of ðsmax Þ
Uniaxial tension , as shown in (5.86), the curve of torsion test
having higher slope than that of tensile test for a material will
reach ðsmax Þcritical before reaching ðrmax Þcritical , and the plastic
deformation of that material occurs in torsion, while for the
same material subjected to tension, ðrmax Þcritical is reached
prior to ðsmax ÞUniaxial tension reaches ðsmax Þcritical , as shown in
Fig. 5.17, and the material undergoes brittle fracture in ten-
sion. So, this material is said to be brittle in tension, but ductile
in torsion. However, the location of ðrmax Þcritical for a ductile
material in tension will be on the right side to that for a brittle
material in tension. Hence, the curve of tension test of a ductile
material will reach ðsmax Þcritical before reaching ðrmax Þcritical ,
but after the curve of torsion test reaches ðsmax Þcritical , as shown
in Fig. 5.17. Thus, the plastic range of a ductile material in
torsion will be greater than that in tension. Therefore, we can
conclude that the apparent ductility of materials is greater in
torsion than in tension. Note that the word ‘apparent’ is used to
refer to the fact that the enhancement of ductility by torsion is
because of the way in which the stress is applied to a material
but not due to any change in the material itself.
5.9.3 Torsional Shear Stress–Strain
Diagram from Tensile Flow Curve
The shear stress–strain diagram of a material, as obtainable
from the torque-twist curve in a torsion test, can be achieved
from the tensile flow curve, obtained from the uniaxial
tension test of that material.
The significant or effective stress r
! and significant or ef-
fective strain !e are the two most frequently used invariant
functions of stress and strain which describe the flow curve
independent of the type of test (Nadai 1937). From
Table 5.1, we find that for a uniaxial tension test
r
! ¼ ðr1 ÞUniaxial tension ð5:87aÞ
!e ¼ ðe1 ÞUniaxial tension ð5:87bÞ
where ðr1 ÞUniaxial tension is the applied true stress in uniaxial
tension, and ðe1 ÞUniaxial tension is the value of the true strain
corresponding to the applied true stress. According to (5.87),
the values of significant or effective stress and strain are the
same as those of true stress and strain in uniaxial tension.
Hence, when the tensile flow curve obtained from a uniaxial
tension test of a material is plotted in terms of invariants of
stress r
! and strain !e, it remains unaltered. From Table 5.1,
we again find that for a biaxial torsion test
pffiffi
! ¼ 3ðsmax ÞBiaxial torsion
r ð5:88aÞ
ðcmax ÞBiaxial torsion
!e ¼ pffiffi ð5:88bÞ
3
where ðsmax ÞBiaxial torsion is the value of maximum shear stress
computed from the applied torque MT in torsion, and
ðcmax ÞBiaxial torsion is the value of maximum shear strain
computed from the unit angle of twist h0 , corresponding to
the applied torque. Since when the stress–strain data
obtained from any type of test for a given material are
plotted as r ! versus !e diagram, approximately the same curve
will be obtained regardless of the state of stress, which
means the flow curve obtained in a uniaxial tension test and
a biaxial torsion test will coincide when both the curves are
plotted in terms of invariant of stress and strain functions.
Therefore, r ! versus !e curve obtained by means of (5.88),
from the values of ðsmax ÞBiaxial torsion and ðcmax ÞBiaxial torsion in
torsion test of a material, will be placed over the tensile flow
curve obtained from a uniaxial tension test of the same
material. Now from (5.87) and (5.88), it can be written that
r! ðr1 ÞUniaxial tension
ðsmax ÞBiaxial torsion ¼ pffiffi ¼ pffiffi ð5:89aÞ
3 3
pffiffi pffiffi
ðcmax ÞBiaxial torsion ¼ 3!e ¼ 3ðe1 ÞUniaxial tension ð5:89bÞ
Therefore, once the tensile flow curve is available, the
shear stress–strain diagram, which could be obtained from
the torque-twist diagram in the torsion test, can be plotted by
means of the above (5.89).
 220 5 Torsion—Pure Shear

170 5.10 Failure Under Torsion

160
The shear fracture in torsion is quite different from the
150
fracture either in tension or in compression. Torsional failure
140
True Stress (MPa)

of the member shows usually little or no elongation and

130 localized reduction of area unlike the tensile failure as well
120 as no barreling or reduction in length unlike the failure under
110 compression. Although, buckling failure is observed in tor-
100
sion of a thin-walled tube with a high ratio of length to wall
thickness, as in compression of a column with a large
90
slenderness ratio.
80
Since the maximum shear stress is developed in the
70 outermost fibres of the test piece subjected to torsion, the
0.04 0.06 0.08 0.10 0.12 0.14 0.16
initiation of plastic flow or cracks occurs first in the outer
True Plastic Strain
surface. A ductile material breaks by shear along one of the
Fig. 5.18 Flow curve in uniaxial tension for copper using a hardness planes of the maximum shear stress, i.e. along a plane, which
tester (Bhaduri 2007) is either perpendicular or parallel to the longitudinal axis of
the test piece. Generally, the plane at which the fracture of a
ductile material occurs is smooth, flat and normal to the
100 longitudinal axis of the test piece, as shown for a solid shaft
of a ductile material in A of Fig. 5.20. Hollow shaft of
90 ductile material also shows this type of fracture. The flat
fracture normal to the longitudinal axis of the test piece
Shear Stress in Torsion (MPa)

80 occurs in thin-walled tubular specimens of ductile material

70
60
50
40
0.10 0.15 0.20
Shear Strain in Torsion
Fig. 5.19 Shear stress versus shear strain curve in biaxial torsion for
copper, derived from the tensile flow curve of Fig. 5.18 using (5.87)
(Bhaduri 2007)
The diagram in Fig. 5.18 (Bhaduri 2007) shows the
tensile flow curve for copper in uniaxial tension, from which
the shear stress ðMPaÞ versus shear strain curve for copper in
biaxial torsion has been constructed using (5.89) and shown
in Fig. 5.19 (Bhaduri 2007). It may be noted that the tensile
flow curve in Fig. 5.18 has been generated by means of
indentation tests using hardness tester, as discussed in
Sect. 3.17 of Chap. 3. Hence, it may be possible to obtain the
shear stress–strain diagram of ductile, homogeneous and
isotropic metals, if a hardness tester, which is inexpensive,
easy to operate and requires small test pieces, is available to
carry-out indentation tests.
having the ratio of the length of the reduced test section to
the outside diameter, i.e. L=Do not be more than 0.5, and the
fracture surface is shown in B of Fig. 5.20, whereas those
having higher ratio of L=Do undergo buckling failure, as
shown in C of Fig. 5.20. For thin-walled tube subjected to
torsion, the buckling failure occurs before the shearing
strength of the material is reached, due to the compressive
stresses that act at 45" to the planes of maximum shear. So,
to assure shear failure in torsion, L=Do ratio of thin-walled
0.25
tube specified in Sect. 5.6.2 must be followed.
For a ductile material, which is weaker in shear longitu-
dinally than transversely, the first cracks produced by
shearing stresses will appear on the surface of the test piece
in the longitudinal direction, i.e. fracture will start on a plane
of the maximum shear stress parallel to the longitudinal axis
of the test piece. In such cases, the test piece breaks into a
large number of fairly small pieces.
If the tensile strength of a material is less than the
shearing strength, brittle fracture occurs and is caused by the
maximum tensile stress developed in torsion. Thus, a brittle
material in torsion breaks along a plane normal to the
direction of the maximum tensile stress. Since the plane of
brittle fracture makes an angle of 45" with both planes of the
maximum shear stress, i.e. with the longitudinal and trans-
verse axis of the test piece, the brittle material in torsion
results in a fracture along a helix inclined at 45" to the
longitudinal axis of the test piece, as illustrated in D of
5.10 Failure Under Torsion 221

Fig. 5.20 Types of failure in

torsion (Report of ASTM
Committee E-1 1925)

A B C D

A – Soild shaft of ductile material; Flat fracture on plane normal to its longitudinal
axis. This fracture also occurs in hollow shaft of ductile material.
B – Thin-walled tubular specimen of ductile material; Short reduced section; Flat
fracture on plane normal to its longitudinal axis.
C – Thin-walled tubular specimen of ductile material; Bucking failure.
D – Soild shaft of brittle material; Helical fracture. This fracture also occurs in hollow
shaft and thin-walled tube of brittle material.

Fig. 5.20 for a solid shaft of brittle material, but it can also Solution
occur in hollow shaft and thin-walled tube of brittle material.
Given that Do ¼ 3D, where Do ¼ the outside diameter of a
This type of fracture is called helical fracture, which occurs
hollow cylindrical shaft and D ¼ the diameter of a solid
when cast iron, plain concrete and ceramics are broken by
cylindrical shaft. Let Di ¼ the inside diameter of the same
torsion. Helical fracture may easily be obtained by breaking
hollow cylindrical shaft. As the solid cross-sectional areas of
a piece of chalk by twisting its ends with the fingers. The
both shafts are the same, so
ratio of shear strength to tensile strength appears to vary
from about 1.1 or 1.3 for brittle materials like cast iron to D2 ¼ D2o # D2i ; or D2i ¼ 9D2 # D2 ¼ 8D2 :
values of perhaps 0.8 for ductile ones. The ratio of shearing
elastic strength to tensile elastic strength for ductile and (a) Given that the maximum shear stress at the point of pro-
semiductile steel appears to be close to 0.6 (Seely and Put- portional limit, ðsmax ÞplHollow , for the hollow cylindrical shaft
nam 1919). ¼ ðsmax ÞplSolid for the solid cylindrical shaft ¼ ðsmax Þpl (say).
Hence from (5.67a), the torque at the proportional limit
for a solid cylindrical shaft is:
5.11 Solved Problems
p D3
ðMT ÞplSolid ¼ ðsmax Þpl
16
5.11.1. The outside diameter of a hollow cylindrical shaft is
3 times the diameter of a solid cylindrical shaft, but the solid Again from (5.67b), the torque at the proportional limit
cross-sectional areas of both shafts are the same. If both for a hollow cylindrical shaft is:
shafts made of same material experience equal torsional # $
proportional limit, compute the ratios of p D4o # D4i
ðMT ÞplHollow ¼ ðsmax Þpl
16Do
(a) The torque bearing capacity at the proportional limit of
the hollow shaft to that of the solid shaft. The required ratio of the torque at the proportional limit
(b) The stiffness of the hollow shaft to that of the solid shaft. for hollow to solid shaft is:
222 5 Torsion—Pure Shear

# $
ðMT ÞplHollow p D4o # D4i ðsmax Þpl 16 (b) Given that the length of cylindrical solid shaft is
¼ + L ¼ 500 mm ¼ 0:5 m, and the angle of twist at the yield
ðMT ÞplSolid 16 Do pD3 ðsmax Þpl
# 2 $# $ point is hy ¼ 4:5" ¼ fð4:5" * pÞ=180" g rad ¼ 0:0785 rad.
D4o # D4i Do þ D2i D2o # D2i For the yield point, we can write from (5.23b):
¼ ¼
Do D3 ð3DÞD3 Dhy
ðsmax Þ0Solid ¼ G , where G is the shear modulus or
ð9 D2 þ 8D2 ÞD2 17D4 2 2L
¼ ¼ ¼ 5 ¼ 5:67: modulus of rigidity.
ð3DÞD3 3D4 3
(b) The stiffness is measured by slope of the torque versus 2L 2 * 0:5
G ¼ ðsmax Þ0Solid ¼ 165:745 * MPa
unit angle of twist in the elastic range, i.e. by the ratio of D hy 0:025 * 0:0785
MT =h0 from the elastic diagram. Hence from (5.34b), the ¼ 84:456 GPa:
stiffness for a solid cylindrical shaft is:
Given that the Poisson’s ratio is m ¼ 0:3. Hence, from
' ( (5.18), the modulus of elasticity, E, can be obtained as follows:
MT pD4 G
¼
h0 Solid 32
E ¼ 2ð1 þ mÞG ¼ 2 * ð1 þ 0:3Þ * 84:456 GPa
Again, from (5.38b), the stiffness for a hollow cylindrical ¼ 219:5856 GPa:
shaft is:
(c) The radius of the solid shaft is R ¼ D=2 ¼ 0:025=2 m.
' ( # $ Now, the modulus of resilience for solid shaft, ðUMR ÞSolid shaft ,
MT p D4o # D4i G
¼ can be determined by replacing the proportional limit torque,
h0 Hollow 32
ðMT Þpl , and the angle of twist at the proportional limit, hpl ,
The required ratio of the stiffness for hollow to solid shaft is: respectively, with the yield torque ðMT Þy and the angle of
# $ twist at the yield point hy in (5.77), as follows:
ðMT =h0 ÞHollow p D4o # D4i G 32 D4 # D4
0 ¼ 4
¼ o 4 i
ðMT =h ÞSolid 32 pD G D ðMT Þy +hy 508:5 * 0:0785
# 2 $# 2 $ ðUMR ÞSolid shaft ¼ ¼ N m m#3
2
D þ Di Do # Di 2 2ðpR2 LÞ 2 * p * ð0:025=2Þ2 *0:5
¼ o
D4 ¼ 81319 J=m3 ¼ 81:32 kJ m#3 :
ð9D2 þ 8D2 ÞD2 17D4
¼ ¼ ¼ 17:
D4 D4
Alternatively
5.11.2. A 500 mm long and 25 mm diameter cylindrical From (5.74), the modulus of resilience for solid shaft,
solid shaft of hot-rolled steel is tested in torsion. The test ðUMR ÞSolid shaft , can be determined by replacing the propor-
shows that the twisting moment at the yield point is tional limit maximum shear stress at the surface ðsmax Þpl in
508.5 N m and the corresponding angle of twist is 4.5°, and
(5.76) with the torsional yield stress ðsmax Þ0Solid of the solid
the rupture moment is 1446.4 N m. Determine
shaft. Therefore,
(a) The torsional yield stress.
(b) The modulus of elasticity, if the Poisson’s ratio is 0.3. ðsmax Þ20Solid
Modulusof resilienceforsolidshaft,ðUMR ÞSolid shaft ¼
(c) The modulus of resilience, for engineering application. 4G
(d) The modulus of rupture. ð165:745Þ2
¼ MN=m2 or; MN m=m3
4 * ð84:456 * 103 Þ
Solution ¼ 0:081319 MJ=m3 ¼ 81:32 kJ m#3 :

(a) Given that the twisting moment at the yield point is (d) Given that the rupture moment is ðMT Þmax ¼ 1446:4 N m.
ðMT Þy ¼ 508:5 N m, and the diameter of cylindrical solid
The modulus of rupture, ðsmax Þu , for a solid shaft can be
shaft is D ¼ 25 mm ¼ 0:025 m. The torsional yield stress, obtained from (5.62):
ðsmax Þ0Solid , for a solid shaft can be obtained from (5.80a):
3ðMT Þmax 12 ðMT Þmax 12 * 1446:4
16ðMT Þy 16 * 508:5 ðsmax Þu ¼ ¼ ¼ N=m2
ðsmax Þ0Solid ¼ ¼ N=m2 ¼ 165745231Pa 2pR3 pD3 pð0:025Þ3
pD3 3
pð0:025Þ ¼ 353;589;826 Pa ¼ 353:59 MPa:
¼ 165:745 MPa:
5.11 Solved Problems 223

5.11.3. The diameter of a solid cylindrical shaft is the same Solution

as the outside diameter of a hollow cylindrical shaft whose
inside diameter is half of its outside diameter. Both shafts of Given that, the mean radius of a thin-walled tube, Rm ¼
equal length and made of same material are stressed in the ð100=2Þ mm ¼ 0:05 m wall thickness, t ¼ 0:003 m: Since
linear elastic range in torsion to the same value of maximum the assigned working stress in shear is equal to the value of
shear stress. Compute the ratio of the amounts of strain shear stress at the mean radius Rm of the tube, so it is the
energy stored for solid to hollow shafts. mean shear stress sm ; at the middle of the wall thickness,
, ,
where sm ¼ 42 MN m2 ¼ 42 * 106 N m2 (given).
Solution From (5.40), we get the applied torque, MT ; as follows:
Given that Do ¼ D, and Di ¼ Do =2 ¼ D=2, where D ¼ the 2
diameter of a solid cylindrical shaft, Do ¼ the outside MT ¼ 2pR
h m sm t i
# $
diameter of a hollow cylindrical shaft and Di ¼ the inside ¼ 2 * p * ð0:05Þ2 * 42 * 106 * 0:003 N m
diameter of the same hollow cylindrical shaft. The length of ¼ 1979:2 N m or J:
each shaft, L ¼ constant. Since both shafts are made of same
material, so the shear modulus, G ¼ constant. Given that, the power transmitted by the shaft is
From (5.28), we get MT ¼ ðJ=RÞsmax ¼ ð2J=DÞsmax ; W ¼ 50 * 103 W or J=s. If the shaft revolve at N Hz ð¼s#1 Þ,
where MT is the torque and smax is the maximum shear stress then from (5.31a), we get
(shear stress at the surface) in the linear elastic range, J is the
polar moment of inertia, R is the radius or outer radius and D W 50 * 103
N¼ ¼ s#1 ¼ 4 s#1 :
is the diameter or outer diameter of the solid or hollow shaft. 2pMT 2 * p * 1979:2
From (5.75), the total stored strain energy in the linear
Therefore, the required rpm of the shaft is N * 60 ¼
elastic range is:
4 * 60 min#1 ¼ 240 rpm.
ðMT Þ2 L 4 J 2 s2max L 2J L s2max
UT ¼ ¼ * ¼ : 5.11.5. A thin-walled steel tube of hexagonal cross-section
2GJ D2 2GJ D2 G
has a mean centre-line length of 120 mm and wall thickness
For solid shaft: of 1.5 mm. If the mean shear stress, i.e. shear stress, at the
middle of wall thickness is 56 MPa, which is in the linear
2JS Ls2max 2ðp D4 =32ÞLs2max pD2 Ls2max elastic range, compute the following:
ðUT ÞSolid ¼ ¼ ¼ :
D2 G D2 G 16G
(a) The corresponding torsional moment for the tube.
For hollow shaft: (b) The corresponding unit angle of twist, if the modulus of
* # $ + rigidity is 78 GPa.
2JH Ls2max 2 p D40 # D4i =32 Ls2max
ðUT ÞHollow ¼ ¼
D20 G D20 G Solution
p½D4 # ðD4 =16Þ'Ls2max
¼ Given that the wall thickness is t ¼ 0:0015 m, and the mean
16D2 G
centre-line length of hexagonal cross-section is
pð15=16ÞD2 Ls2max pD2 Ls2max 15
¼ ¼ * : sm ¼ 0:12 m ¼ 6 * a; where a is the length of each arm of
16G 16G 16
the hexagonal cross-section. So, a ¼ 0:02 m, and the mean
Hence, the ratio of the amounts of strain energy stored for area of the hexagonal cross-section is Am ¼ 6 * 12 a+
solid to hollow shafts is pffiffi pffiffi
a tan 60" 3 3a2 3 3ð0:02Þ2 2
¼ ¼ m . The working stress in
2 2 2
ðUT ÞSolid pD2 Ls2max 16G 16 16 shear is equal to the mean shear stress sm , at the middle of
¼ * * ¼ :
ðUT ÞHollow 16G pD2 Ls2max 15 15 the wall thickness, where sm ¼ 56 MN/m2 ¼ 56 * 106 N/m2
(given).
5.11.4. A thin-walled tubular shaft of circular cross-section
(a) The safe torsional moment, MT , for the thin-walled tube
has a mean diameter of 100 mm and a wall thickness of
is obtained from (5.50):
3 mm. The power transmitted by the shaft is 50 kW without
exceeding a mean shear stress (shear stress at the middle of MT ¼ 2Am tsm
wall thickness) of 42 MPa, which is in the linear elastic pffiffi
3 3ð0:02Þ2 # $
range. Compute the required rpm of the shaft. ¼2* * 0:0015 * 56 * 106 Nm
2
¼ 174:59 Nm:
224
(b) Given that the modulus of rigidity is G ¼ 78 * 109 N=m2 .
Hence the corresponding unit angle of twist, h0 , can be
obtained from (5.53b):
# $
sm sm 56 * 106 * 0:12
0
h ¼ ¼ h i rad=m
2Am G 2 * 3pffi3ffi ð0:02Þ2 =2 * ð78 * 109 Þ
56 * 0:12
¼ h pffiffi i rad=m
3 3ð0:02Þ2 * ð78 * 103 Þ
" "
¼ 0:04145 radm#1 ¼ 2:375 m#1 ¼ 2 220 3000 m#1 :
Exercise
5.Ex.1. If a thin-walled tube of an aluminium alloy having
tensile yield strength of 250 MPa is loaded in torsion, find
the magnitude of the maximum principal stress at which
yield should begin according to
(a) The Tresca yielding criterion.
(b) The Von Mises’ yielding criterion.
5.Ex.2. Assume that the shear modulus of copper is
44.13 GPa. Compute the slope of the elastic diagram of
torque versus unit angle of twist for torsion test of
(a) A hollow cylindrical copper shaft with outer diameter of
50 mm and wall thickness of 10 mm.
(b) A thin-walled copper tube with mean diameter of 40 mm
and wall thickness of 1 mm.
5.Ex.3. A cylindrical solid shaft turning at 500 rpm has to
transmit a power of 500 kW. If the working stress in shear is
42 MPa, which is in the linear elastic range, determine the
proper diameter for the solid shaft.
5.Ex.4. A hardness test using 5 mm diameter spherical
indenter on some material shows an indentation diameter of
2 mm under an applied load of 750 kgf. From these hard-
ness data using Tabor’s relation, compute the maximum
shear stress and the maximum shear strain in torsion of that
material which might have been obtained if that material
would be tested in torsion.
5.Ex.5. The diameter of a solid cylindrical shaft is the same
as the outside diameter of a hollow cylindrical shaft whose
inside diameter is half of its outside diameter. Both shafts
made of same material are subjected to equal twisting
moment in the linear elastic range in torsion. Show that the
maximum shear stress as well as the angle of twist per unit
length is 6.67% larger for hollow shaft than those for solid
shaft.
5 Torsion—Pure Shear
5.Ex.6. Assume that a certain brittle material having
Young’s modulus of 175 GPa will fail at a tensile stress of
210 MPa. Assume elastic behaviour.
(a) For a cylindrical solid shaft with diameter of 6.5 mm,
what torsional moment will cause failure?
(b) If this is an ideal brittle material with Poisson’s ratio of
0.25, show that greater strain will be achieved in torsion than
in tension before failure takes place.
5.Ex.7. Two cylindrical solid shafts are identical except for
their diameters D1 and D2 . If the same torque in the linear
elastic range is applied to both of them in torsion, what will
be the ratio of the amounts of strain energy stored for shaft
of diameter D1 to that of diameter D2 ?
5.Ex.8. A solid circular shaft and a thin-walled circular tube
are made of the same material and have the same weight.
Both of them are stressed in the linear elastic range in torsion
to the same value of maximum shear stress. Considering the
mean shear stress, i.e. shear stress at the middle of wall
thickness for thin-walled tube to be the maximum shear
stress, compute the ratio of the amounts of strain energy
stored for solid to thin-walled tubes.
5.Ex.9. The mean torsional yield strength (torsional yield
stress at the middle of the wall thickness) of a thin-walled
tube of square cross-section with a mean edge dimension of
250 mm is 42 MPa. If the corresponding torsional yield
moment is 695 kN m, calculate
(a) The proper wall thickness of the tube.
(b) The angle of twist per unit length of the tube, if the shear
modulus is 28 GPa.
5.Ex.10. Compute the maximum power that may be devel-
oped by a cylindrical solid shaft 10 mm in diameter turning
at 3000 rpm if the assigned working stress in shear is
35 MPa which is in the linear elastic range.
5.Ex.11. A thin-walled tube of a circular cross-section has
the same thickness and the same length of the mean
centre-line as those of a square cross-section made of the
same material. If both tubes of equal length are subjected to
the same torsional moment in the linear elastic range,
compute the ratios for circular to square cross-sections of the
following:
(a) Shear stresses.
(b) Angles of twist.
5.Ex.12. Indicate the correct or most appropriate answer
from the following multiple choices:
5.11 Solved Problems 225

(a) For any given value of the maximum true strain, the ratio 5.Ex.9. (a) 132.4 mm; (b) 0.012 rad m-1.
of the maximum shear strain for uniaxial tension to that for 5.Ex.10. 2.16 kW.
biaxial torsion is 5.Ex.11. (a) 0.7854; (b) 0.6168.
5.Ex.12. (a) (C) 0.75. (b) (B) √3. (c) (B) Helical fracture.
(A) 0.25; (B) 0.50; (C) 0.75;
(d) (B) 0.50.
(D) 1.00; (E) None of the above.
(b) Von Mises’ criterion for plastic yielding of a ductile
metal predicts that the ratio of the yield stress in uniaxial References
tension to that in pure torsion is
pffiffi Anderson, P.: Experiments with concrete in torsion. Trans. ASCE 100,
ðAÞ 1; ðBÞ 3; ðCÞ 2; ðDÞ 1=2
949–983 (1953)
(c) The failure of concrete under torsion test will show a Bhaduri, A.: Use of hardness tester for the measurement of different
mechanical properties of metals. J. Mat. Edu. 29(3–4), 269–288
ðAÞ Cup and cone fracture; ðBÞ Helical fracture; (2007)
ðCÞ Hourglass fracture; ðDÞ Flat fracture: Davis, H.E., Troxell, G.E., Wiskocil, C.T.: The Testing and Inspection
of Engineering Materials, 3rd edn, p. 161. McGraw-Hill Book
(d) For any given value of maximum principal true stress, Company, New York (1964)
the ratio of maximum shear stress for uniaxial tension to that Draffin J.O., Collins W.L.: Effect of size and type of specimen on the
torsional properties of cast iron. Proc. ASTM 38(II), 238–245
for biaxial torsion is (1938)
(A) 0.25; (B) 0.50; (C) 0.75; Draffin, J.O., Collins, W.L., Casberg, C.H.: Mechanical properties of
gray cast iron in torsion. Proc. ASTM 40, 840–848 (1940)
(D) 1.00; (E) None of the above. Liddicoat, R.T., Potts, P.O.: Laboratory Manual of Materials Testing,
p. 128. The Macmillan Company, New York (1952)
Nadai, A.: J. Appl. Phys. 8, 205 (1937)
Answer to Exercise Problems Nadai, A.: Theory of Flow and Fracture of Solids, 2nd edn., vol. 1,
pp. 347–349. McGraw-Hill Book Company, New York (1950)
Report of ASTM Committee E-1: Proposed method for torsion tests to
5.Ex.1. (a) 125 MPa; (b) 144.34 MPa. determine the mechanical properties of metallic materials under
5.Ex.2. (a) 23.57 kN m2; (b) 2.22 kN m2. shearing stress. Proc. ASTM 25(1), 430–436 (1925)
5.Ex.3. 105 mm. Sauveur, A.: Proc. ASTM 38(2), 3–20 (1938)
Seely F.B., Putnam W.J.: Relation between the elastic strengths of steel
5.Ex.4. 450.57 MPa; 13.8%. in tension, compression and shear. Univ., Ill. Eng. Expt. Sta. Bull.
5.Ex.6. (a) 11.324 N m; (b) 0.15% in torsion [ 0.12% in 115, 42 (1919)
tension. Templin R.L., Moore R.L.: Specimens for torsion tests of metals. Proc.
ASTM, 30(II), 534–543 (1930)
5.Ex.7. ðD2 =D1 Þ4 . Upton, G.B.: Materials of Construction, p. 327. Wiley, New York
5.Ex.8. 1=2. (1916)
 Impact Loading
6

Chapter Objectives

• Behaviour of materials under impact loads. Factors responsible for brittle cleavage
type of fracture of normally ductile metals and alloys.
• Single-blow pendulum impact tests with notched bar, such as Charpy and Izod tests.
Geometry of Charpy and Izod standard specimens with different types of notch and
placement of specimens for tests in Charpy and Izod impact testers.
• Calculation of energy relations and correction for energy losses in impact test.
• Impact properties and transition temperature curves, and various criteria to define
ductile–brittle transition temperature.
• Metallurgical factors affecting impact properties. Metallurgical embrittlement, such
as tempered martensite embrittlement and temper embrittlement.
• Instrumented Charpy impact test. Additional large-scale fracture test methods, such
as explosion-crack-starter test, drop weight test, Robertson crack-arrest test and
dynamic tear test.
• Fracture analysis diagram and design philosophy using it.
• Problems and solutions.

cause deformation of the parts receiving the blow. Some

6.1 Dynamic Loading and Brittle Fracture
Many structures and machines or their parts are subjected to
dynamic loads. Materials under dynamic loading may
sometimes behave quite differently from those subjected to
static or slowly applied loads. There are two important types
of dynamic loading. One of them includes the application of
rapidly fluctuating loads as occurred in fatigue phenomenon,
which will be described in Chap. 8. The other one involves
the sudden application of load, as from the impact of a
moving mass. The stress produced by the impact loading
depends upon the amount of energy that is expended to
aspects of the material’s behaviour under impact loads are
discussed in this chapter.
During the Second World War, a special attention was
drawn to the problem that the ships and tankers made of mild
steels had undergone brittle fractures (Williams 1954),
occurring mostly in the winter season. This fact that a nor-
mally ductile material like mild steel, which is a low-carbon
ferritic steel, can become brittle under certain conditions led
the researchers to find the reasons for such failure and their
remedial measures. It has been reported (Shank 1954) that
brittle fractures in bridges, pressure vessels, pipe lines and
tanks made of normally ductile material, such as ferritic

© Springer Nature Singapore Pte Ltd. 2018 227

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_6
228
alloys, were also noticed long before in the year 1886. The
details of fracture behaviour of materials have been dealt
separately in Chap. 9.
6.1.1 Factors Responsible for Brittle Behaviour
From research, it was found that three chief factors inhibit
plastic flow and usually promote a brittle cleavage type of
fracture (refer to Chap. 9) in some materials, which are
normally ductile under uniaxial tensile test carried out with
an unnotched specimen at a slow strain rate at normal or
elevated temperature. These factors are as follows:
(1) A low temperature.
(2) A high strain rate or rapid rate of loading, which is
provided by the impact test. For example, the strain rates
produced by the normal notched-bar impact tests usually
range from 102 to 104 s−1, while the range of strain rate
in the static tensile tests with screw-driven or hydraulic
machines is from 10−5 to 10−1 s−1.
(3) A high triaxial tensile stress field, as produced in the
presence of a notch or a defect in a thick sample which
will lead to the development of an absolute plane strain
state of stress. The existence of a notch in a thin sample
creates a biaxial state of tensile stress; i.e., a plane stress
condition is developed, as discussed in Sect. 9.4 of
Chap. 9. The probability of brittle fracture is more in a
plane strain condition than in a plane stress condition.
The presence of all three of the above factors at the same
time is not essential to cause brittle fracture. Most of the
brittle failures in service occur due to low temperature and a
high triaxial tensile stress field. However, impact test is
carried out to impart rapid rate of loading because it inten-
sifies the susceptibility of some materials to brittle fracture.
The concept of fracture curve is important to understand
the process of fracture, which can be illustrated with respect
to a fracture stress curve of a metal proposed by Ludwik
(1927). Fracture occurs when strain hardening, low tem-
perature, high strain rate or triaxiality suppress the capacity
of the material to deform plastically by elevating the flow
stress of a ductile material to a level at least equal to the
fracture stress. On the other hand, the fracture strength
usually remains relatively unaffected or increases by only a
small amount with decreasing temperature or increasing
strain rate or triaxiality or strain, although Drucker has given
theoretical arguments that in certain cases, the fracture stress
may decrease with increasing strain (Drucker 1963). Hence,
the plastic deformation is terminated by fracture when the
flow curve intersects the fracture curve, as shown in Fig. 6.1.
The fracture stress at a given value of strain on the fracture
curve is obtained by plastically deforming a test piece up to
6 Impact Loading
Fracture curve
ve
w cur
Flo
True stress σ
Fracture strain
True strain !
Fig. 6.1 Schematic diagram showing intersection of flow curve with
fracture curve of the same material according to the Ludwik theory
that strain beyond which the test piece is strained with
introduction of a notch into it and/or using an environment
of low temperature so as to prevent further plastic flow until
fracture occurs at that strain value. Since the embrittling
effect of a notch is limited to a plastic constraint factor of
2.57, according to Orowan (1945), and brittle fracture of
metals at low temperature is even preceded by some amount
of plastic deformation, so the experimental points on the
fracture stress curve of metals do not provide real quantita-
tive values. However, the concept of this qualitative fracture
stress curve according to Ludwik theory is useful to under-
stand the problem of fracture.
The transition from ductile-to-brittle behaviour caused by
the above basic factors in some materials, like mild steel
with BCC crystal structure, can be explained in terms of the
relative resistance to shear deformation and brittle cleavage
fracture and their variations with temperature, state of stress
and strain rate. In these materials, a strong dependency of
shear resistance or flow stress r0 and a weak dependency of
cleavage resistance or cleavage fracture strength rf on these
above factors have been observed. Figure 6.2 shows that
with decreasing temperature, r0 increases appreciably for an
unnotched specimen and is raised to a higher level with a
rapid rate of increase for a notched specimen, while rf
increases slightly and remains essentially unchanged for
both specimens. The effect of increasing strain rate on r0 is
similar to that of the notch on r0 . An unnotched specimen
deforms plastically well under uniaxial tension before frac-
ture occurs, because r0 \rf at all temperatures above the
temperature of occurrence of fracture. The temperature at
which r0 ¼ rf is the transition temperature of unnotched
specimen subjected to uniaxial tension. Since the fracture
stress is lower than the flow stress below this transition
temperature, the material fractures before it can deform
plastically. The existence of a transition temperature has
been shown (Eldin and Collins 1951; Parker 1957) by
6.1 Dynamic Loading and Brittle Fracture 229

Fig. 6.2 Schematic illustration

of transition temperature in
notched and unnotched condition
of specimen

Plastic constraint factor × σ0

(notched specimen)

Strength
Cleavage
fracture
strength

σf

σ0
Flow stress
(unnotched specimen)

Temperature
Transition temperature Notch
of unnotched specimen transition temperature
in uniaxial tension

low-temperature tests on unnotched specimens under static many fold. So, the notch is a more important factor than the
loading. Now, if a notch is introduced in the specimen, it impact and the ‘notched-bar’ impact test is a more appro-
will raise the flow stress by a factor of about 2.5 due to priate name compared to the simple impact test to study the
plastic constraint, which results in a large rise in the tran- effects of high strain rates only.
sition temperature as shown in Fig. 6.2. This transition Various types of notched-bar impact tests are employed
temperature of notched specimen is called notch transition to determine the susceptibility of the material towards brit-
temperature, below which brittle fracture takes place at all tleness and detect the differences between behaviours of
temperatures because of rf \r0 and above which plastic materials, which cannot be detected by the smooth-bar ten-
flow occurs due to lower value of the flow stress than the sile test performed at a slow strain rate. The notched-bar
fracture strength. The notch transition temperature will be impact tests may be carried out with different types of
the temperature at which rf = plastic constraint factor "r0 . loading, which are as follows:
The increase in strain rate increases the flow stress in the
same manner as the notched specimen and thus produces a • Flexural loading—the most common form of loading.
large increase in the transition temperature. • Tensile loading—less commonly used. It is applied to
metals largely for experimental purposes with notched or
unnotched specimen.
6.2 Notched-Bar Impact Tests • Compressive loading—used in special circumstances.
• Torsional loading—used in special instances.
The impact test is a dynamic test, carried out with notched
specimen and known as notched-bar impact test. The stan- The impact blow may be applied by means of
dard impact test is so designed that all three principal factors
responsible for brittle cleavage fracture; i.e., temperature, (1) A dropping weight;
strain rate and triaxiality, are combined into a single test. The (2) A swinging pendulum; and
function of impact loading is to increase the strain rate, (3) A rotating flywheel. The rotating flywheel type of
whereas the notch not only creates triaxiality but also causes machine is capable of providing very high impact
stress concentration, which in turn increases the strain rate velocities.
230 6 Impact Loading

Again, the specimen is ruptured in impact test by prepared test piece is subjected to a certain temperature of
interest, and the temperature is noted. Then, the test piece is
• A single blow; held in the anvil, prior to the release of the pendulum by a
• Repeated blows of constant magnitude; and release mechanism from its fixed starting point. Initially,
• Repeated blows of increasing magnitude, known as before release, the pendulum will have a potential energy
‘increment-drop’ test, in which the drop-height of the that depends on the weight of the pendulum and its height of
weight is increased gradually until the specimen breaks. fall. Upon release, the pendulum strikes and breaks the test
piece by a single blow, which consumes part of the energy of
Few applications of various types of impact tests are the pendulum depending on the toughness of the test
given below: material. Then, after breaking, the pendulum rises up to a
certain point depending on the residual energy available with
(a) The increment-drop test with flexural loading is used for it. The energy consumed to break the specimen is measured,
wood and that with compressive loading is applied to usually in joule, from the position of a pointer on a dial
measure toughness of rock for road-building purposes. attached to the impact tester. The values of height or angle of
In both cases, the impact blow is delivered through the fall (before impact) and rise (after impact) of the pendulum
use of a dropping weight. The procedures for testing are indicated by the pointer moving on the dial. The scale on
wood and rocks are standardized, respectively, in this dial is usually calibrated directly in the unit of energy,
ASTM D 143 and ASTM D 3. such as J, kg-m, ft-lb or in the angle unit like degree. Ini-
(b) A single-blow rotating flywheel machine with torsional tially, before the specimen is impacted, the pointer on the
loading may be used to test tool steels. dial is set to the proper starting point.
(c) Impact resistance of cast iron has been investigated by The capacity of an impact tester is given by the initial
employing a variety of procedures, which include potential energy of the pendulum, which must obviously be
single-blow pendulum tests, increment-drop tests and greater than the energy consumed in breaking the test piece.
tests with repeated blows of constant magnitude, and all For specimens having wide difference in energy to fracture,
the tests employ flexural loading. Graphite flakes present impact testers of different capacities are used, which can be
in cast iron act like notches. Hence, the addition of an obtained by varying both of the weight of the pendulum and
external notch in the pool of numerous internal notches its height of fall. Two fixed starting points of the pendulum,
does not increase the notch sensitivity of cast iron, and i.e. two values of fall height, are usually available on stan-
so most often unnotched specimens are used for testing. dard machines. Two or more weights of the pendulum are
also available to provide four or more combinations of
weight and fall height of the pendulum. For each combina-
6.2.1 Single-Blow Pendulum Impact Test tion, a separate scale must be calibrated.
Care must be taken to observe the followings:
The standard impact testing machine is a single-blow
swinging pendulum type with flexural loading. The essen- (a) Upon release, the free-fall movement of the pendulum
tial features of this machine are as follows: must not be influenced by imposing any accelerating or
vibrating effects.
• A swinging pendulum or hammer falling from a fixed (b) The pendulum must fall in a vertical plane without
starting point, whose kinetic energy will be sufficiently experiencing any lateral play or lateral restraint.
high to break the specimen placed in its path by a single (c) To minimize vibration, the striking edge of the pendu-
blow. lum must be very close to its centre of percussion.
• An anvil and a support in which the specimen is held to
receive the strike of the moving mass. The anvil and
support are placed at the bottom of the swing of the Tests are conducted to determine the impact resistance of
pendulum. the material over a wide range of temperatures starting from
• A means for measuring the energy consumed to break the subambient temperatures. To carry out tests at low temper-
specimen. atures, the samples are immersed in some coolant in a
wide-mouthed vacuum jar, with at least 25 mm of coolant
The pendulum may normally weigh as much as 22 or above and below the samples. Different types of coolant can
27 kg and is usually lifted to its starting point by hand. The be used depending on the test temperatures. For tempera-
standard specimen is taken in machined or surface-ground tures from ambient to −123 °C, the coolant is usually
condition into which a notch of specified geometry is alcohol or acetone, cooled to the desired temperature by the
introduced by milling using standard milling cutters. Such a addition of small lump of ice. At a lower temperature of
6.2 Notched-Bar Impact Tests 231

−157 °C, isopentane and at a further lower temperature of
−195 °C, liquid nitrogen may be used as a coolant. Copper–
constantan thermocouples may be used to determine the
temperature of the coolants at lower temperatures. Speci-
mens must be kept for 15 min in a bath of coolant, and the
bath temperature must be maintained within ±0.5 °C during
the last 5 min before testing of the specimen. The test must
be performed within 5 s from the time of removal of the test
piece from the low-temperature bath. It has been observed
(Driscoll 1953) that the temperature does not change
appreciably within the time interval of 5 s, when tested at
−40 °C using alcohol and dry ice as coolant.
6.2.1.1 Charpy and Izod Impact Tests
The most commonly used notched-bar impact tests that
employ the principal of single-blow swinging pendulum
with flexural loading are mainly of two types, for which the
specimens have been standardized in accordance with ASTM
Standards pt.31, Designation E 23-82.
(1) Charpy Notched-Bar Impact Test
between the notch toughness for tough and brittle materials,
and the effect of the notch sharpness decreases as the
materials become tougher. Since it is difficult to prepare a
dead sharp notch, a value of 0.25 mm has been accepted as
standard for the root radius of V-notch. Two other types of
notch having a 5 mm depth are also used in special cases:
(i) a keyhole notch (commonly used for low-temperature
tests) and (ii) a U-notch, as shown in Fig. 6.4a, b. It has been
observed that the shallower the notch, the greater the spread
of notch toughness for brittle and tough materials, and
moreover, the use of a shallow notch seems to be more
responsive to the changes in either temperature or compo-
sition. For this reason, it is preferred to use the Charpy
specimen with the 2-mm-deep 45° V-notch instead of the
5-mm-deep keyhole notch or U-notch. The Charpy specimen
is placed as a horizontal beam between the two anvils, as
shown in Fig. 6.5. The knife or striking edge of the heavy
swinging pendulum is slightly rounded with 8 mm radius.
The knife strikes the specimen behind the notch, i.e. on the
face opposite to notch. The set-up details for Charpy test are
shown in Fig. 6.5.

It is employed most commonly in the USA. The Charpy (2) Izod Notched-Bar Impact Test
tester is available in a variety of sizes, i.e. with various
energy capacities. The maximum energy capacity of a Great Britain would prefer this test, although it is rarely
standard Charpy tester for metals is usually applied nowadays. The commonly used Izod tester has an
330 J ð$245 ft-lbÞ. The commonly used tester for metals energy capacity of 120 ft-lb corresponding to 162.7 J,
has an energy capacity of 300 J ð$220 ft-lbÞ. For plastics, although other different capacities are also available. The
the usual energy capacity of the Charpy tester is 4 ft-lb that standard flexure Izod test specimen also has a square
corresponds to 5.4 J. The standard flexure Charpy test cross-section of 10 by 10 mm like the Charpy specimen, but
specimen has a square cross-section of 10 by 10 mm and a the length of the Izod specimen is 75 mm. The Izod speci-
length of 55 mm. It usually contains a V-shaped notch men has a 2-mm-deep 45° V-notch with a 0.25 mm root
located at the mid-span of the specimen as shown in radius, and specimen with other types of notch is not in use
Fig. 6.3. The sides of the standard notch form an angle of with the Izod test. The Izod specimen is placed in the anvil
45°, the root of the notch is rounded to a 0.25 mm radius, like a vertical I-section and gripped inside a clamp device or
and the depth of the notch from surface is 2 mm. The energy vise so as to act as a cantilever beam, as shown in Fig. 6.6.
required to rupture a specimen is appreciably influenced by The notch is located at a distance of 28 mm away from the
the sharpness of the notch root (Batson and Hyde 1922; top and 47 mm away from the bottom of the specimen. The
Kahn et al. 1950). The rupture energy generally decreases heavy swinging pendulum consisting of a hammer strikes
with the increase of sharpness of the notch root because of the unsupported section of specimen on the face of notch at a
the increase in the stress concentration. It has been seen that distance of 22 mm away from the notch and 6 mm away
the less the notch-root radius, the more is the difference from the top of the specimen. The length of the bottom part

Fig. 6.3 Standard V-notch 55 mm ± 0.25 mm

Charpy specimen with 10 mm ± 0.025 mm
dimensions 55 55
mm mm
2 2
45° ± 1°

0.25 mm radius
8 mm ± 0.025 mm
232 6 Impact Loading

Fig. 6.4 Dimensions of Charpy 55 mm ± 0.25mm

specimen with (i) keyhole notch 10 mm ± 0.025mm
and (ii) U-notch 27.5mm 27.5 mm
1.5875 mm saw slot

2 mm diameter
5 mm ± 0.25mm

(i) Keyhole notch

55 mm ± 0.25mm
10 mm ± 0.025mm
27.5 mm 27.5 mm
2 mm

0.25 mm radius
5 mm ± 0.025mm

(ii) U notch

Direction of blow placement of the Charpy specimen in the tester compared

to the Izod.
• Free from compressive stresses around the notch since
the Charpy specimen is not inserted into the vise, while
Specimen
gripping of the Izod specimen inside the clamp device
Striking edge, 10 by 10 by 55 mm produces the compressive stresses around the notch.
8 mm radius

In both of the above tests, the face of the specimen having

Anvil
80° 1 mm radius
40 mm
Anvil
Fig. 6.5 Loading of Charpy impact specimen in machine by placing it
as a horizontal beam between the two anvils (top view)
of the specimen that is gripped inside the clamp device is
47 mm. Thus, the V-notch of the Izod specimen is located
near the clamped end, although the notch geometry of the
Izod specimen is the same as that of the V-notch Charpy
specimen. The geometry of the hammer is shown in Fig. 6.6.
In comparison with the Izod test, the Charpy test has the
following two advantages:
• More suitable for low-temperature tests which must be
completed within a few seconds from the time of removal
of the test piece from the coolant. This is due to easier
the notch is subjected to tensile force under impact loading.
The impact velocity of the swinging pendulum is approxi-
mately 5 m s&1 ð16 ft=sÞ. On impact, the specimen is forced
to bend and fracture at a high strain rate on the order of
103 s&1 . The strain rate under impact loading may vary from
102 to 104 s&1 . Procedures for Charpy and Izod tests, as
applied to metals and moulded electrical insulating materials,
are standardized, respectively, in ASTM E 23 and ASTM D
256. However, the notched-bar impact tests have some
advantages as well as disadvantages, as narrated below:
Advantages
• The chief merit is that comparatively inexpensive
small-sized test specimens are used in these tests, which
are also comparatively simple to carry out.
• Tests can easily be performed over a wide range of
subambient temperatures.
• The differences in notch toughness of different low and
medium-strength BCC materials can be well determined
by these tests.
• The differences between materials in their tendency for
brittle fracture which are not observable in tension or
6.2 Notched-Bar Impact Tests 233

5° (a) The variations in the microstructural constituents

from one specimen to another of the same material,
Striking edge for example variation in the inclusion contents of
of pendulum steel is highly responsible for a considerable scatter.
0.66 mm radius
(b) Difficulties in producing notches of perfectly identi-
75° 10° cal geometry in each test specimen.
(c) Improper placement of the test piece in the impact
tester.
28 mm

8 mm 22 mm

6.3 Calculation of Energy Relations

75 mm

Since the velocity of a striking body is changed after the

45° V-notch with impact, work is performed on the members receiving the
0.25 mm root radius blow that must cause a transfer of energy from the striker
to the receiver. In a single-blow pendulum impact
47 mm

machine, which is shown in Fig. 6.7, the impact strength

10 mm
Specimen: 10×10×75mm
Vise
Fig. 6.6 Loading of Izod impact specimen by gripping it vertically
inside vise so as to act as a cantilever beam
torsion tests at slow strain rates can be detected by
notched-bar impact tests.
• Tests can be applied to study and compare the effects of
heat treatments and alloy additions on the notch tough-
ness of a material.
• Tests are well suited for quality control and material
acceptance purposes.
Disadvantages
• The main problem is that the results obtained from these
tests cannot be readily used in design, since the mea-
surement of the triaxial stress components existing at the
notch root of the specimen is not possible.
• The notched-bar impact properties are remarkably influ-
enced by the size, shape and sharpness of the flaw, but no
correlation between the test data and flaw geometry is
available.
• The results of notched-bar impact tests cannot be corre-
lated with the results from other mechanical tests.
• The data of these notched-bar impact tests show a large
scatter (Fahey1970; Bishop et al. 1983), especially in the
transition temperature range that may create difficulty in
determining well-defined transition temperature curves.
The reasons of the huge scatter inherent in these tests are
as follows:
or energy required to break the test piece is equal to the
energy difference of the striking pendulum before and after
the impact. This is true in ideal situation, where no
external loss of energy occurs and the energy is consumed
only to break the specimen. Before the impact, the initial
potential energy of the pendulum at its starting point is the
product of its weight and the height of free fall, measured
with respect to the centre of the pendulum, which is given
by
Initial potential energy ¼ WHFall ¼ WRð1 & cos aÞ ð6:1Þ
where
W weight of pendulum;
HFall height of fall of centre of gravity of pendulum from
its release point;
a angle of fall of pendulum with respect to its release
point;
R distance from centre of gravity of pendulum to axis
of rotation O of the pendulum in Fig. 6.7.
Upon release of the pendulum, and during its downward
motion, its potential energy is converted to the kinetic
energy. At the lowest point of its swing, where it hits the test
piece, its kinetic energy is given by
Wv2Fall
Kinetic energy at striking point ¼ ¼ WHFall
2g
¼ WRð1 & cos aÞ ð6:2Þ
where
vFall velocity of pendulum, where it strikes the test piece
and
g acceleration due to gravity.
234
Fig. 6.7 Pendulum impact
machine and its space relation
Pointer
End of swing
Hrise
Anvil
W
After breaking the specimen, the rotational velocity of the
pendulum will decrease, which in turn will reduce the kinetic
energy. Thus, a certain portion of this kinetic energy is
consumed to break the test piece, and the residual kinetic
energy lifts the pendulum through the bottom point up to a
certain height, say HRise , where the pendulum comes to rest.
The value of HRise is a function of the residual kinetic
energy; i.e., the higher the remaining kinetic energy, the
higher is the rise of the pendulum. Thus, at the rest point of
the pendulum after the rupture of specimen, its potential
energy is the product of its weight and the height of rise,
measured with respect to the centre of the pendulum, which
is given by
Potential energy after break ¼ WHRise ¼ WRð1 & cos bÞ
ð6:3Þ
where
HRise height of rise of centre of gravity of pendulum with
respect to the lowest point of its swing and
b angle of rise of pendulum after breaking of
specimen.
In an ideal impact test, the energy of a blow must be fully
transmitted to the test specimen; i.e., the reduction of energy
of the pendulum must only be expended in fracturing the
specimen, and there must not be any external loss of energy.
Assuming the ideal situation, the difference between (6.2)
and (6.3) will provide us the energy delivered to break the
specimen, which is given below:
6 Impact Loading
Scale
Starting position
O
Hammer
β α
Angle
of fall
of rise
Angle
CG
R
Hfall
W
CG
Specimen
Energy to break the specimen ¼ WðHFall & HRise Þ
¼ WRðcos b & cos aÞ ð6:4Þ
Equation (6.4) is made applicable to the cases where the
angle of fall a and the angle of rise b are greater than 90' , by
noting that cosð90 þ hÞ ¼ & sin h. The energy required to
cause the rupture of specimen given by (6.4) is the notch
toughness or the impact strength of the material, which does
not involve the volume of the metal.
6.3.1 Correction for Energy Losses
The ideal situation is never achieved in practice, where some
part of the energy is always lost due to air drag on the
pendulum, by friction in the machine bearing and for the
movement of the indicator arm, due to imparting motion to
the broken test piece, through deformation of the pendulum
and of the anvils or supports and through vibration of vari-
ous parts of the impact testing machine. The impact testing
machine including the pendulum is usually sturdy enough,
and the anvils are normally heavy enough in relation to the
energy of the blow so that the energy loss by deformation
and/or vibration can be neglected. To obtain accurate impact
strength of a material, a correction may be necessary for the
energy lost during impact test, such as for the loss of energy
due to air drag on the pendulum, for the energy absorbed
through friction in the machine bearing and by the move-
ment of the indicator arm and for the energy lost to move the
broken test piece.
6.3 Calculation of Energy Relations 235

The following procedure may be adopted to correct the air drag and the bearing friction of the pendulum is
energy losses due to bearing friction of the pendulum and air b2 ðb & b3 Þ
represented by an angle of " 2 .
drag on it and for the movement of the indicator: ðb2 þ b3 Þ 10
(5) Hence, the angle of fall a in (6.4) will be replaced by the
(a) The indicator is set at zero, and the pendulum is released corrected angle of fall acorrect , which is given by
in the normal manner without placing the specimen on
the anvil. After swing, note the reading of the indicator b2 ðb & b3 Þ
acorrect ¼ b2 þ " 2 ð6:5Þ
on the dial that results an angle of rise, say b1 . ðb2 þ b3 Þ 10
(b) Without resetting the indicator as well as without plac-
(6) During an upward swing of the pendulum through an
ing the specimen on the anvil, the pendulum is again
angle of b2 , the total energy lost in friction involved to
released in the normal manner. Some small amount of
move the indicator and in air drag and the bearing
energy is usually required for the forward movement of
friction of the pendulum is represented by an angle of
the indicator. The indicator moves forward to a higher
b2 ðb & b3 Þ
angle in this current swing than in the previous swing ðb2 & b1 Þ þ " 2 .
ðb2 þ b3 Þ 10
mentioned in the step (a), because the indicator has
(7) The observed angle of rise of the pendulum after break
already moved forward in the previous swing and the
of specimen in (6.4) is denoted as b. Hence, this
movement of the pendulum is not hindered by the
observed angle needs correction, and the corrected angle
indicator except at the very end of the current swing.
of rise bcorrect is given by
This process is repeated until the forward movement of
the indicator caused by the pendulum stops. The reading ! "
b2 ðb2 & b3 Þ b
of the final position of the indicator is recorded as an bcorrect ¼ b þ ðb2 & b1 Þ þ " "
ðb2 þ b3 Þ 10 b2
angle of rise, say b2 .
ð6:6Þ
(c) Without moving the position of the indicator from the
angle of b2 , as well as without placing the specimen on
To impart motion to the broken test piece, the amount of
the anvil, the pendulum is again released in the normal
energy lost is small, which is not usually considered in
manner and allowed to accomplish five forward and five
commercial testing. However, the magnitude of this energy
backward swings, which make 10 complete swings of
loss can be computed from the following formula given by
the pendulum. The indicator is then moved back just
(6.7), based on the assumption that the speed at which the
enough so that its forward movement will not be more
broken test piece moves from the anvil is the same as that of
than 1° on the eleventh swing of the pendulum. During
the swinging pendulum.
these 11 swings, the pendulum must not be touched.
Finally, the reading of the position of the indicator is Energy required to move broken specimen
recorded as an angle of rise, say b3 . ¼ wr ð1 & cos bÞ ð6:7Þ

It may be assumed that the energy lost in the bearing where

friction of the pendulum and air drag on it and energy
w weight of specimen;
consumed for the movement of the indicator are distributed
r distance of specimen from rotational axis of pendulum;
evenly over their ranges of action. The computations for
b angle of rise of pendulum after breaking of specimen.
correction of the energy losses are as follows:

(1) The energy needed for the movement of the indicator

through an angle of b2 is represented by an angle of
ðb2 & b1 Þ.
(2) The average angle of rise of the pendulum between
readings b2 and b3 is ðb2 þ b3 Þ=2; hence, the angle of a
complete swing including fall and rise of the pendulum
is approximately ½ðb2 þ b3 Þ=2* " 2 ¼ ðb2 þ b3 Þ.
(3) The energy lost in air drag and the bearing friction of the
pendulum during one average forward swing is repre-
sented by an angle of ðb2 & b3 Þ=10.
(4) Thus, during either a downward or an upward swing of
the pendulum through an angle of b2 , the energy lost in
6.4 Impact Properties
One of the important properties measured from impact test is
the impact toughness of a material. Since a notched speci-
men is usually considered for impact testing, the impact
toughness is commonly called notch toughness. Referring to
Sect. 1.9.5 in Chap. 1, the amount of energy absorbed per
unit volume of the specimen up to the point of its fracture
has been designated as ‘toughness’. Toughness is a property
which includes both strength and ductility of the material
and would appear to be independent of the type of loading.
236
However, it is a fact that the behaviour of a material depends
on the rate of loading, i.e. on the strain rate because it may
be affected by the rate at which the energy is absorbed in
fracturing the material. Thus, toughness of a material mea-
sured by impact loading may be different from that by static
loading. For example, (i) a high speed bullet that provides a
rapid rate of loading penetrates and forms a fairly clean hole
in an ordinary glass by the impact, whereas the same glass is
shattered under a slowly applied load, and (ii) a stick of
sealing wax breaks in a brittle manner under a sharp blow
providing a rapid rate of loading, but when kept as a hori-
zontal beam, it slowly sags plastically under its own weight,
i.e. under slow-speed loading.
The following properties are commonly measured from
the notched-bar Charpy and Izod impact tests.
• Energy absorbed in fracturing the standard notched
specimen is measured. This absorbed energy is nothing
but the notch toughness or impact strength of the mate-
rial. However, the energy absorbed per unit
cross-sectional area of the specimen is frequently used in
Europe to express the results of impact tests. As the
height of rise of the pendulum or hammer after breaking
the test specimen increases, the energy absorbed in
fracturing the specimen decreases. The extent of this
energy consumed to break the specimen depends on the
capability of the material to undergo plastic deformation
prior to the fracture. The less the amount of plastic
deformation prior to the rupture of specimen, the less the
work done on the specimen to break it; i.e., the less is the
energy absorbed in fracturing the specimen, and so the
less is the notch toughness or the impact strength. The
fracture energy of a material decreases with increasing
triaxiality and/or strain rate and/or with decreasing
Fig. 6.8 Schematic curve of
fracture energy transition
temperature, showing transition
range, upper and lower shelf
energy
Upper shelf energy
Fracture energy
Lower shelf energy
6 Impact Loading
temperature. The impact test to measure the fracture
energy becomes the most useful when it is carried out
with a given strain rate on notched specimens of the same
material having identical triaxiality over a wide range of
temperatures. In such situation, the fracture energy, i.e.
the notch toughness of the same material, will increase
with temperature. The variation of the notch toughness
with temperature may be little or large that depends on
the plasticity of the material. Fracture energy absorbed
versus temperature curve is known as fracture energy
transition temperature curve, which is shown in Fig. 6.8.
In case of large variation of the notch toughness with
temperature, the energy transition temperature curve
usually becomes nearly flat at the maximum as well as
minimum energy absorption levels, respectively, at high
and low temperatures. These maximum and minimum
energy levels are, respectively, called upper shelf energy
and lower shelf energy.
• The fracture surface of the standard notched specimen is
examined with naked eye to determine whether the
fracture surface reveals (a) flat cleavage (granular) frac-
ture, or (b) rough fibrous fracture (shear fracture), or (c) a
mixture of both, in which the amount of cleavage or
fibrous fracture is estimated. These different modes of
fracture can easily be distinguished even without mag-
nification. When there is little or practically no plastic
deformation before fracture takes place, the fracture is
said to be ‘brittle’, which may be accompanied by sep-
aration along specific crystallographic planes in a tran-
scrystalline manner leading to a brittle cleavage fracture
having flat facets. If a material undergoes appreciable
plastic deformation prior to fracture, it will produce a
‘ductile’ or ‘shear’ fracture revealing a rough fibrous
appearance on the fracture surfaces. The brittle cleavage
Transition
range
Temperature
6.4 Impact Properties
fracture appears bright due to high reflectivity of light
from the flat fracture surface, while the ductile fibrous
fracture provides dull grey appearance due to absorption
of light by the dimpled fracture surface. When the impact
test is carried out over a wide range of temperatures, the
percentage of cleavage or fibrous fracture can be esti-
mated at each test temperature and plotted over the whole
range of test temperatures. Thus, a plot of the percentage
cleavage (or fibrous) fracture versus temperature is
obtained, which is known as fracture appearance tran-
sition temperature curve, as shown in Fig. 6.9. Some
materials are always brittle, and some are always ductile
at all temperatures. But some materials are brittle below
some critical temperature and become ductile above
some critical temperature. Between these two critical
temperatures, these materials undergo a transition from
brittle-to-ductile behaviour with increasing temperature.
This causes the fracture surface appearance to change
from 100% flat cleavage fracture to 100% fibrous fracture
(0% cleavage fracture) as the test temperature is
increased. In such cases, with increase in temperature the
fibrous fracture appears first around the outer surface of
the notched specimen (shear lip), because the outer sur-
face experiences the least triaxial constraint.
• Ductility is measured at each test temperature by noting
the lateral contraction of the specimen at the notch root or
the lateral expansion at compression side of the speci-
men. As both Charpy and Izod specimens are subjected
0
% cleavage fracture
100
Temperature
Fig. 6.9 Schematic curve of fracture appearance transition temper-
ature, showing the temperature dependence of percentage of cleavage
fracture appeared on the facture surface of material
237
to tensile loading on the face having notches and com-
pression loading on the face opposite to notch, so there
will be, respectively, lateral contraction at the notch root
and lateral expansion on the face opposite to notch due to
Poisson’s ratio. When the measured lateral expansion or
the lateral contraction is plotted over the whole range of
test temperatures, the resulting curve is called ductility
transition temperature curve, which is shown in
Fig. 6.10.
• One important impact property is the brittle-to-ductile
transition temperature (BDTT) of a material. Below
some critical temperature, some materials show brittle
cleavage fractures and low values of notch toughness,
while above some critical temperature they show ductile
fractures and high values of notch toughness that may be
many times the energy absorption in the brittle fracture
range. Thus, there is a transition from notch brittle to
notch-tough behaviour of those materials with increase in
temperature between these critical temperatures, which
has been termed as the ‘transition temperature range’.
This temperature range over which brittle-to-ductile
transition will occur may be very short; i.e., the transi-
tion may occur abruptly for some materials. For most
cases, the increase in notch toughness with increasing
temperature does not take place sharply at a certain
temperature, which creates difficulty for accurate deter-
mination of the transition temperature. The BDTT of a
material is determined from the fracture energy and/or
fracture appearance and/or ductility transition tempera-
ture curve. BDTT has different values with different
names depending on the various criteria to define the
on the compression side of the bar
Lateral expansion
0.38 mm
Ductility transition temperature
for mild steel
Temperature
Fig. 6.10 Schematic curve of ductility transition temperature, show-
ing the temperature dependence of lateral expansion measured on the
compression side of the test bar. Ductility transition temperature for
mild steel corresponds to 0.38-mm lateral expansion
238 6 Impact Loading

transition temperature, as described subsequently in 6.4.1 Transition Temperature Curves

Sect. 6.4.2. It may be noted that the range of
brittle-to-ductile transition temperature (BDTT) is usu- For the purposes of fracture analysis, materials can be clas-
ally from 0.1 Tm to 0.2 Tm in metals and from about sified depending on the values of the ratio of yield strength
0.5 Tm to 0.7 Tm in ceramics, where Tm is the absolute S0 to elastic modulus E, i.e. S0 =E as follows:
melting temperature of the material, expressed in
K. Lower BDTT of metals makes most of them ductile at • Low-yield-strength material whose S0 =E\1=300.
room temperature, while ceramics are mostly brittle at • Medium-yield-strength material whose 1=300 + S0 =E
room temperature because of their higher BDTT. + 1=150.
• High-yield-strength material whose S0 =E [ 1=150.
To select a material from the angle of tendency for brittle
fracture or notch toughness, the material to be preferred must The notch toughness at a given temperature depends on
have the lowest transition temperature. To illustrate this, the the strength level and/or crystal structure of a material.
fracture energy transition temperature curves for two kinds Depending on the level of the notch toughness and its
of steel, say steel ‘A’ and steel ‘B’, obtained from the Charpy variation with temperature, the transition temperature beha-
V-notch impact test are shown in Fig. 6.11. In this figure, the viour of a wide range of materials can be divided into three
notch toughness at room temperature is given by the upper following categories, as shown in Fig. 6.12.
shelf energy, which is higher for steel ‘A’ than steel ‘B’, but
the transition temperature of steel ‘B’ is observed to be lower (1) Curve (a) in Fig. 6.12, which shows such high notch
than that of steel ‘A’. Now, if steel ‘A’ is subjected to impact toughness at all temperatures that brittle fracture does
loading in service below room temperature, say at subzero not take place unless there is some special reactive
temperature, it will behave in a much more brittle fashion environment. In this case, there is a little increase in
than steel ‘B’, and so the steel ‘B’ is preferred to the steel toughness with temperature. This type of curve is
‘A’. Thus, one must not select a material depending on the observed by low- and medium-strength face-centred-
higher upper or lower shelf energy or the higher impact cubic (FCC) metals, such as aluminium, copper, nickel,
strength at only one temperature, say room temperature, austenitic steel alloys, and most hexagonal closed-pack
which may be misleading; rather, a lower transition tem- (HCP) metals. These metals are always ductile since
perature is the most important factor for selection of a there is no transition from ductile-to-brittle behaviour of
material. Usually, the lower the transition temperature, the materials.
greater is the notch toughness of the material in the transition
temperature range.
(a)

(b)

Steel A
Energy absorbed

Steel B
Energy absorbed

(c)

Room
Temperature
temperature

Fig. 6.12 Schematically showing the effect of temperature on notch

0°C toughness for a wide range of materials. Curve (a) is exhibited by low-
Temperature and medium-strength face-centred-cubic (FCC) metals and most
hexagonal closed-pack (HCP) metals. Curve (b) is exhibited by low-
Fig. 6.11 Schematic curves of fracture energy transition temperature and medium-strength body-centred-cubic (BCC) metals, few HCP
for two steels, showing fallacy of depending on impact toughness metals and ceramics materials. Curve (c) is exhibited by high-strength
values at room temperature BCC, FCC and HCP metals
6.4 Impact Properties 239

(2) Curve (b) in Fig. 6.12, which shows strong dependency capacity of the material can be obtained from the method
of notch toughness on temperature, having a low used to calculate its standard strength, ignoring its fracture
toughness at a low temperature and a high toughness at a properties or the stress concentration effects of flaws or
high temperature. Hence, there is a transition from brittle cracks. When it is required to determine the operating tem-
behaviour at low temperatures to ductile behaviour at perature by means of transition temperature curves, ascertain
high temperatures. This type of transition from a temperature which must be above the transition tempera-
ductile-to-brittle behaviour is observed by low- and ture of the particular preselected material so that at or above
medium-strength body-centred-cubic (BCC) metals such this operating temperature, the material subjected to elastic
as ferritic alloys and few HCP metals like beryllium, stress levels does not undergo brittle fracture. Obviously, the
zinc and ceramic materials, because their yield strengths lower the transition temperature of the material, the greater
are far more sensitive to changes in temperature and will be its notch toughness.
strain rate than the yield strengths of low- and
medium-strength FCC metals and most HCP metals.
With decrease in temperature and/or increase in strain 6.4.2 Various Criteria of Transition Temperature
rate, the yield strengths of BCC and ceramic materials
increase sharply, while the yield strengths of FCC metals There are various criteria to define the transition tempera-
increase very slightly, showing meagre dependency on ture, as seen from the shape of the typical fracture energy
temperature and strain rate. As pointed out in Sect. 1.10 versus temperature curve (Fig. 6.8). Using a fracture energy
of Chap. 1, this increased sensitivity in BCC and cera- transition temperature curve or a fracture appearance tran-
mic materials can be related to the temperature sensi- sition temperature curve, obtained from the Charpy V-notch
tivity of their Peierls–Nabarro stresses and thereby that impact test, the various definitions of transition temperature
of their yield strengths (see Table 1.5). These tempera- are illustrated in Fig. 6.13 and given below:
ture sensitivities are much larger in BCC and ceramic
materials than in FCC and ideal HCP metals. (1) Fracture transition plastic or FTP—It is the minimum
(3) Curve (c) in Fig. 6.12, which shows such low notch temperature above which the fracture is 100% fibrous or
toughness at all temperatures that brittle fracture can 0% cleavage, as seen from the fracture appearance
occur at all temperatures and strain rates under nominal curve, and this transition temperature corresponds to the
stresses in the elastic range when flaws are present. initiation of the upper shelf in the fracture energy curve.
A very slight increase in toughness with temperature is FTP has been represented by the temperature T1 in
observed in this case. This type of curve is exhibited by Fig. 6.13. Above the FTP, the chance of occurring
low-plasticity, high-strength materials of different crystal brittle fracture is negligible, since the FTP is the tem-
structures, such as high-strength steel (BCC), perature at which there is a transition from totally ductile
high-strength aluminium alloys (FCC) and high-strength to substantially brittle fracture. FTP is the most conser-
titanium alloys (HCP). Fracture occurs by brittle cleav- vative criterion for transition temperature and impracti-
age at low temperatures and by low energy rupture at cal in many applications.
high temperatures. Hence, there is no transition from (2) Fracture appearance transition temperature or FATT—
brittle-to-ductile behaviour. For this kind of It corresponds to 50% cleavage and 50% shear in fracture
high-strength, low-plasticity materials, fracture appearance curve, denoted by the temperature T2 in
mechanics analysis is needed, which is appropriate for Fig. 6.13. The average of upper and lower shelf energy
quantitative prediction. values in energy curve corresponds to the transition
temperature T3 in Fig. 6.13, which is slightly lower than
The main engineering application of the notched-bar the FATT represented by temperature T2 . There is a high
impact test is to obtain the transition temperature curves. The probability that brittle cleavage fracture will not take place
design philosophy using the transition temperature curves is at or above FATT if the stress applied to the material does
either to select a material for a particular service temperature not exceed about one-half of the yield strength (Hodjson
or to determine an operating temperature for a particular and Boyd 1958). This transition temperature criterion is
preselected material. While selecting a material, it must less conservative than that based on FTP.
possess sufficiently high notch toughness so that it can resist (3) Ductility transition temperature or DTT—It is based on
brittle fracture when subjected to acute operating conditions. an arbitrary low value of energy absorbed, as defined by
The behaviour of this material would be like a flaw-free the transition temperature T4 in the fracture energy curve
material, which means a crack of any size cannot propagate of Fig. 6.13. DTT is a very common criterion to define
as an unstable fracture. In such case, the load-bearing the transition temperature. Extensive tests on ship steel
240
Fig. 6.13 Various definitions of
transition temperature obtained
from a fracture energy transition
temperature curve or a fracture
appearance transition temperature
curve
Energy absorbed, Cv
20 J
plates during Second World War established that brittle
cleavage fracture would never occur at temperatures
greater than the transition temperature corresponding to
20-J energy absorption in V-notch Charpy test. The
energy required to fracture a V-notch Charpy specimen
is usually designated by CV . So, a 20 J (15 ft-lb) CV
transition temperature has now become an accepted
criterion for low-carbon mild steels or low-strength ship
steels. It has been seen (McNicol 1965) that the tem-
perature at which lateral expansion on the compression
side of the notched bar is 0.38 mm (0.015 inch) rea-
sonably agrees well with the transition temperature
defined by 20-J energy criterion. So, DTT of mild steels
or low-strength ship steels also corresponds to a
0.38-mm lateral expansion on the compression side of
the notched bar, which can be obtained from ductility
transition temperature curve, as shown in Fig. 6.10.
However, it must be noted that the energy level of 20 J
CV for DTT criterion is not constant, rather varies with
material. Gross (1970) has found that for higher strength
steels with strengths in the range of 415–965 MPa, the
specific energy level on which this transition tempera-
ture criterion is based would increase with increasing
strength.
(4) Nil ductility temperature or NDT—It is the maximum
temperature up to which 100% brittle cleavage fracture
is obtained, as seen from the fracture appearance curve.
In the fracture energy curve, NDT corresponds to the
extreme point of the lower shelf energy beyond which
the fracture energy begins to rise rapidly. NDT has been
represented by the temperature T5 in Fig. 6.13. The
chance of occurring ductile fracture is negligible below
the NDT, since the NDT is the temperature at which the
initiation of fracture occurs essentially without any prior
6 Impact Loading
NDT FTP
100
Fracture appearance
transition temperature
curve
Fracture energy transition T1 = FTP
temperature curve T2 = FATT
T3 ∼ FATT
50
% cleavage fracture
T4= DTT, (for
mild steel)
T5 = NDT
0
T5 T4 T3 T2 T1
Temperature
plastic deformation. It is a well-defined transition tem-
perature criterion.
6.5 Metallurgical Factors Affecting Impact
Properties
Variation in the chemical composition or microstructure of
mild steel can change the transition temperature by about
50 °C. The transition temperature changes to the largest
extent by varying the amount of carbon and manganese
(Rinebolt and Harris 1951; Tetelman and McEvily 1967).
The 20-J V-notch Charpy transition temperature (DTT) of
steel increases by about 14 °C for every 0.1 wt% increase in
carbon content and decreases by about 5 °C for every 0.1 wt%
increase in manganese content. When carbon content is
raised, the upper shelf energy, i.e. the maximum notch
toughness, decreases and the shape of the energy transition
temperature curve changes with a decrease in slope, as shown
in Fig. 6.14. If the ratio of Mn:C is raised to a higher level, it
may be possible to have a maximum decrease of about 50 °C
in the transition temperature. But there are practical limita-
tions to increases the ratio of Mn:C beyond 7:1, because a
minimum amount of about 0.2 wt% carbon content is
essential to maintain the required tensile properties, while
manganese contents more than about 1.4 wt% may cause the
retention of austenite and problem associated with it. To
obtain satisfactory notch toughness, the ratio of Mn:C must
be at least 3:1.
The effect of phosphorus in raising the transition tem-
perature is stronger than that of carbon. The 20-J CV transi-
tion temperature increases by about 7 °C for every 0.01 wt%
increase in phosphorus content. Since nitrogen interacts
6.5 Metallurgical Factors Affecting Impact Properties
Decreasing weight%
of carbon in steel
Fracture energy
0 perature decreases by about 16 °C for every increase of one
– 200°C 0 200
Temperature, °C
Fig. 6.14 Schematically showing the effect of carbon content on the
fracture energy transition temperature curves for steel (Rinebolt and
Harris 1951)
with other elements, its role in changing the transition
temperature is difficult to judge. However, it is generally
considered to be harmful to notch toughness. Aluminium
appears to be beneficial to notch toughness because it com-
bines with nitrogen to form insoluble aluminium nitride and
thus destroys the detrimental effect of nitrogen. Nickel is
considered to be particularly powerful in decreasing the
ductility transition temperature. The notch toughness gener-
ally increases with the amount of nickel up to 2 wt%. The
effect of molybdenum in raising the transition temperature is
almost the same as that of carbon, while the transition tem-
perature is raised little by addition of chromium. Silicon
contents more than about 0.25 wt% seem to raise the tran-
sition temperature.
Notch toughness and transition temperature are greatly
affected by oxygen content and deoxidation practice. It was
observed for high-purity iron (Rees et al. 1952) that oxygen
content greater than 0.003 wt% exhibited intergranular
fracture and corresponding low toughness. With increasing
oxygen content from 0.001 wt% to the high value of
0.057 wt%, the transition temperature was found to increase
from −15 to 340 °C. In connection with the deoxidation
practice carried out prior to solidification of steel in ingot
moulds, there are mainly three different types of steel ingots.
Depending upon the extent of deoxidation, they are the
killed, the semikilled and the rimming steels. No deoxidation
or small amount of deoxidation is carried out in the pro-
duction of rimming steel, and thus, it shows a higher tran-
sition temperature, which is generally above room
temperature. Semikilled steel is a balanced variety of steel,
which is partially deoxidized with silicon and has a transition
241
temperature lower than the rimming steel. The killed steel is
fully deoxidized with aluminium or silicon plus aluminium,
and the 20-J transition temperature for this steel is observed
to be around −60 °C, which is the lowest transition tem-
perature among the above three varieties. In addition to the
beneficial effect of complete deoxidation on the transition
temperature in killed steel, aluminium added for deoxidation
also combines with nitrogen to form insoluble aluminium
nitride particles and thus contributes to the lowering of the
transition temperature, otherwise nitrogen dissolved in steel
would increase the transition temperature.
The transition temperature is strongly affected by grain
size of ferrite or austenite in steel. It is known that decrease
in grain diameter means increase in ASTM grain-size index
number and vice versa. For mild steel, the transition tem-
ASTM index number in the ferrite grain size. It has been
observed (Owen et al. 1957) that the 14-J V-notch Charpy
transition temperature decreases from about 20 to −50 °C
when ASTM number of ferrite grain size increases from 5 to
10. The microstructures of highly alloyed heat-treated steels
consist of austenite phase at room temperature. If this aus-
tenitic grain size is decreased, the transition temperature is
found to decrease in a similar manner. It is to be noted that
the finer the grain size of a material, the higher is the fracture
energy, i.e. the toughness. For occurrence of transcrystalline
fracture, the fracture path has to pass through more
grain-boundary areas per unit volume in a fine-grained
material than in a coarse-grained material, and since the
grain boundaries are higher energy sites than the grain
bodies, a fine-grained material will require higher energy for
fracture than a coarse-grained material. Normalizing treat-
ment of steel produces finer grains than the annealing
treatment. So the transition temperature of normalized steel
will be lower than that of annealed steel and normalized steel
will be tougher than annealed steel. The use of the lowest
possible finishing temperature for hot working operation like
hot rolling to obtain refined grains has also beneficial effect
on the transition temperature. Further, the transition tem-
perature can decrease by about 50 °C, when the material is
spray cooled from the temperature of hot working before it
cools down (Bucher and Grozier 1965). For a given steel of
same chemical composition and deoxidation practice, the
transition temperature of a thick hot-rolled section will be
considerably higher than that of a thin hot-rolled section
because it is difficult to obtain small-sized grains and fine
pearlite in a thick section.
A new class of low-carbon ferritic steels, usually con-
taining less than 0.1 wt% carbon, has been developed by the
addition of small amounts, frequently less than 0.1 wt%, of
niobium, titanium and/or vanadium, which are strong car-
bide and nitride forming alloying elements, to take the
advantage of high strength and toughness of very
242
fine-grained steels. These steels are referred to as high-
strength low-alloy (HSLA) steels (Union Carbide Corpora-
tion 1977) and also described as low-carbon microalloyed
steels because of the very small additions of the alloying
elements to steel having very low-carbon content (usually
less than 0.1% carbon). When the steel is heated to about
1300 °C prior to the hot-rolling operation, these alloying
elements go into solution in austenite. Subsequently, when
the temperature is decreased gradually during hot rolling,
strain-induced very fine precipitates of carbides, nitrides
and/or carbonitrides of these alloying elements like NbC
and/or Nb(CN) form from austenite because of their reduced
solid solubility at low austenitizing temperature. These fine
precipitates effectively pin down the migrating grain
boundaries, which limit the austenite grain growth and even
recrystallization during hot rolling at low finishing temper-
atures. The amount of retardation depends on the rolling
temperature, amount of deformation and alloy concentration.
This yields a fine-grained austenite in recrystallized condi-
tion or in the extreme case, in highly deformed and elon-
gated condition. On cooling below the upper critical and
through the lower critical temperature, ferrite forms on the
closely spaced grain boundaries of fine-grained austenite. As
a result, very fine ferrite grain sizes of about 2–3 lm is
produced in the steel without a heat treatment step, which
adds to the cost. For the same alloy concentration, in refining
ferrite grain size the effectiveness of Nb > that of Ti > that
of V. The grain refinement and dispersion strengthening
caused by the precipitate particles raise yield strengths of
HSLA steels that range from 350 to 550 MPa, while mild
steels have yield strengths of about 210 MPa. At the same
time, very fine ferrite grain sizes lower the fracture appear-
ance transition temperature (FATT) below −30 °C and
improve the impact strength of HSLA steels.
When steels are cold worked, the transition temperature
increases, but strain ageing of low-carbon steels, in which
steels after cold working are heated for several hours at a
relatively low ageing temperature like 130 ' C ð$400 KÞ,
exhibits a greater increase in the transition temperature,
usually about 25–30 °C. In the blue brittleness region, where
the cold-worked steel is heated in the temperature range of
around 230–350 °C (503–623 K), a decreased notch
toughness is observed due to the maximum rate of strain
ageing. Another ageing phenomenon associated with
low-carbon steels is quench ageing, a type of true precipi-
tation hardening, for which plastic deformation is not nec-
essary. Quench ageing that occurs on quenching low-carbon
steel from the temperature of maximum solubility of carbon
and nitrogen in ferrite, i.e. from around 700 °C, results in a
loss of impact properties, but this loss is less than that caused
by strain ageing.
6 Impact Loading
The notch toughness of rolled or forged plates or bars
depends on the orientations of specimens cut from the
products as well as on the orientations of notches in speci-
mens. The effect of orientations of specimens ‘A’, ‘B’, and ‘C’
and that of notches in these specimens on the V-notch Charpy
energy transition temperature curves are shown schemati-
cally in Fig. 6.15. Specimens ‘A’ and ‘B’ are oriented in the
longitudinal direction of a rolled plate, while specimen ‘C’ is
oriented in the transverse direction. The notch is parallel to
the plate surface in specimen ‘B’, whereas the notch lies
perpendicular to the plate surface in both specimens ‘A’ and
‘C’. This latter orientation of notch is generally preferred,
because it provides less resistance to the propagation of crack
than the former orientation of notch and thus results in lower
value of toughness, which is conservative. In specimen ‘B’,
the orientation of notch would cause the crack to propagate in
the thickness direction of the plate that would experience
more resistance, because the plate is compressed in the
thickness direction under rolling. So, the specimen ‘B’
requires higher energy to fracture than the specimens ‘A’ and
‘C’. In the longitudinal specimen ‘A’ and transverse specimen
‘C’, cracks would propagate, respectively, transverse to and
parallel to the rolling direction. The crack propagation is
easier in the longitudinal direction than in the transverse
direction of rolling, and thus for fracture, the energy absorbed
for the specimen ‘A’ becomes higher than that for the speci-
men ‘C’. The values of notch toughness at room temperature
B
A C
)
l (B
Rolling direction udina
git
Lon
A)
inal (
itud
Energy absorbed
g
Lon
)
e rse (C
Transv
Room
Temperature
0
0°C
Temperature
Fig. 6.15 Schematically showing the effects of orientations of spec-
imens and notches in specimens on the V-notch Charpy energy
transition temperature curves
6.5 Metallurgical Factors Affecting Impact Properties
that correspond to high levels of energy absorption differ
quite largely for different orientations of specimens, but these
differences in the values of notch toughness at low energy
absorption levels become much less, as shown in Fig. 6.15.
Since ductility transition temperatures are evaluated in this
low-level energy region, DTT will not be affected greatly by
orientations of specimen and notch, but orientation can be an
important variable for comparison of room temperature
impact properties of materials.
In general, tempering of martensitic structure in steel
produces the best combination of strength and impact
toughness, but in the hardness range between Rockwell C 40
and 60, the impact strength of austempered product in steels
is superior to that of the tempered martensitic structure with
the same hardness. Austempering is a hardening treatment in
which austenite is isothermally transformed to bainite,
without formation of the high-temperature transformation
product, by quenching the austenitized steel in a molten lead
or salt bath held at a temperature below the region of fine
pearlite formation and above the martensite start tempera-
ture. Comparison of impact toughness of austempered and
conventionally quenched-and-tempered carbon steel as a
function of hardness showed that austempering is clearly
most beneficial in the hardness range between RC 50 and 55
(Grossmann and Bain 1964). For example, at a hardness of
RC 50, 0.74% carbon steel austempered at 305 °C showed
much better impact toughness and ductility than the same
steel quenched from the same austenitizing temperature of
790 °C and tempered at 315 °C. The impact toughness was
47.9 J for austempered steel against 3.9 J for
quenched-and-tempered steel, and the ductility measured by
reduction of area was, respectively, 34.5% against 0.7%. The
low impact toughness observed in quenched-and-tempered
steel was most probably due to tempered martensite
embrittlement, which has been subsequently discussed in
Sect. 6.5.1.
Fig. 6.16 Heat treatments of (a)
temper embrittled steels:
a one-step embrittlement
(TME) and b two-step γ γ
embrittlement (TE) (Briant and
Banerji 1978)
Temperature
Time
243
6.5.1 Embrittlement During Tempering
Steels quenched to form martensite are susceptible to two
kinds of embrittlement during their tempering operations.
The first type of embrittlement is known as tempered
martensite embrittlement (TME), which appears after tem-
pering of hardened steels between 260 and 370 °C or 500–
700 °F, and so TME is often referred to as ‘350 °C
embrittlement’ or ‘500 °F embrittlement’. The second vari-
ety of embrittlement is commonly called temper embrittle-
ment (TE), which develops when some hardened alloy steels
containing specific impurity elements are tempered isother-
mally in the temperature range of 400–600 °C or slowly
cooled through that critical temperature range after initial
tempering at a high temperature of 600–700 °C. The names
suggested by McMahon are ‘one-step embrittlement’ for
TME and ‘two-step embrittlement’ for TE, because a single
tempering treatment is sufficient to induce TME, while two
tempering treatments or a heating step or a cooling step is
sometimes required for TE to occur (McMahon 1975). The
heat treatments involved in one-step and two-step embrit-
tlements are shown in Fig. 6.16 (Briant and Banerji 1978).
Both TME and TE cause a decrease in the notched-bar
impact toughness and an increase in the impact transition
temperature. In spite of these similarities between the two
types of embrittlement, TME and TE are separated into two
different phenomena from the practical point of view,
because TME is a much more rapid process than TE and
they take place in the two separate temperature ranges. TME
occurs during tempering for short times, normally within one
hour time period, in the critical temperature range of
embrittlement, whereas it requires many hours for TE to
occur. Hence, thicker sections, like large shafts and steam
turbine rotors for power generating equipment, are suscep-
tible to TE, because even after tempering at high tempera-
tures of 600–700 °C, thicker sections cool very slowly over
(b)
Temperature
600°C
400°C
350°C
200°C
Time
244
a long period of time involving several hours through the
critical temperature range for embrittlement and cause TE.
On the other hand, TME is independent of section size
and/or cooling rate after tempering, because it takes shorter
duration to develop.
6.5.1.1 Tempered Martensite Embrittlement
The fracture energy in the notched-bar impact test at room
temperature generally increases with increasing tempering
temperature of a hardened steel, except showing a minimum
in the curve in the critical tempering temperature region of
260–370 °C due to the development of TME, but hardness
of steel decreases continuously with increase in tempering
temperature, as shown schematically in Fig. 6.17 (Briant and
Banerji 1978). Studies have shown that TME develops due
to the stress concentration effects of needle-like or
rod-shaped thin cementite plates that are formed by replac-
ing epsilon carbides during the tempering of martensite in
the above temperature range. TME can occur at temperatures
as low as 200 °C and as high as 400 °C, depending on the
time allowed for tempering. In commercial practice, hard-
ened steels are not generally tempered between 200 and
400 °C to avoid TME. Additions of about 2–2.25 wt% sil-
icon to steels increase the temperature of formation of
cementite platelets by stabilizing the epsilon carbide, and
thus, the embrittling reaction shifts to a higher temperature
of about 400 °C. This allows tempering of steels between
200 and 400 °C, without severe embrittlement, and steels
with strength levels above 1400 MPa can be obtained.
TME may or may not be associated with segregation of
embrittling impurity elements along prior austenite grain
boundaries of steels. For steels containing low concentration
of impurity elements and/or where the embrittling effects of
impurities have been minimized by the scavenging action of
an alloying element, for example the interaction of molyb-
denum with impurity like phosphorus (McMahon et al.
Fig. 6.17 Schematically
showing the effect of tempering
temperature on hardness and
room temperature notched-bar
fracture energy for hardened steel
Hardness and notch toughness
(Briant and Banerji 1978)
0 200
6 Impact Loading
1977), the plates of cementite lead to brittle transgranular
fracture. These cementite platelets have no effect on the
tensile ductility measured by reduction of area, but they
severely reduce the room temperature notch toughness of
steel. The common mode of fracture associated with TME is
the intergranular fracture along prior austenite grain
boundaries of steels. It occurs when impurity elements such
as phosphorus (P), sulphur (S), nitrogen (N), antimony (Sb),
arsenic (As) and/or tin (Sn) are segregated to prior austenite
grain boundaries during austenitizing. Figure 6.18 (Mater-
kowski and Krauss 1979) shows schematically the room
temperature Charpy V-notch impact energy versus temper-
ing temperature for two steels of the similar composition, but
one with higher phosphorus content of 0.03 wt% and
another with lower phosphorus content of 0.003 wt%. Both
of them are quenched to form martensite after austenitizing
at the same temperature and then tempered for 1 h at dif-
ferent temperatures up to 500 °C. Both steels show a trough
in their corresponding curves between tempering tempera-
ture of 250 to about 400 °C, and the room temperature notch
toughness of the steel containing 0.03% P is found to be
inferior to that containing 0.003% P at all tempering tem-
peratures. Moreover, when steel containing 0.03% P is
broken at room temperature under impact loading after
tempering in the temperature zone of embrittlement, it shows
intergranular fracture (Materkowski and Krauss 1979).
Indeed, the impact energy reaches to its minimum value
when the extent of intergranular fracture is observed to be
the maximum (Bandyopadhyay and McMahon 1983).
Although phosphorus that is segregated to prior austenite
grain boundaries during austenitizing remains present in the
as-quenched martensite and after tempering up to the tem-
perature of embrittlement, TME does not fully develop
unless cementite plate forms in the tempered martensite. It
may be concluded from the latter observation that an inter-
action between the impurity element and cementite is
Hardness
Notched-bar
fracture energy
400 600
Tempering temperature, °C
6.5 Metallurgical Factors Affecting Impact Properties
Fig. 6.18 Schematic curves of
room temperature Charpy
V-notch impact energy versus
tempering temperature for steel
Charpy impact energy, Joules
containing different amounts of
phosphorus (Materkowski and
Krauss 1979)
required to cause the intergranular mode of fracture in TME.
On the other hand, when steel containing 0.003% P is
tempered at 350 °C followed by breaking at room temper-
ature under impact loading, transgranular fracture with flat
cleavage facets is observed and no intergranular fracture is
visible (Materkowski and Krauss 1979). Further, the trans-
granular fracture mode associated with TME is of two types
—translath cleavage and interlath cleavage that may be
related to thickness of carbide remaining between laths of
martensite. The thicker carbides promote translath cleavage,
while the thinner ones promote interlath cleavage. The
translath cleavage, where the cleavage facets are oriented
across the martensite laths of a packet, initiates due to
cracking of relatively thick cementite plates (King et al.
1977), whereas the interlath cleavage is induced by cracking
parallel to thinner plate of cementite formed (Schupmann
1978).
6.5.1.2 Temper Embrittlement
The heat treatment conditions and compositional factors that
cause temper embrittlement in steels are well known from
many review articles (Hollomon 1946; Woodfine 1953;
McMahon 1968; Capus 1968; Olefjord 1978), but the exact
mechanisms remain unclear. Heat treatment factors that
cause TE, as mentioned earlier, involve isothermal temper-
ing in or slow cooling through the temperature range of 400–
600 °C.
It is generally believed that TE results from segregation of
embrittling impurity elements at prior austenite grain
boundaries as a result of exposure to the critical temperature
range for embrittlement. By using Auger electron spec-
troscopy (AES), a surface analysis technique, this has been
verified (Marcus and Palmberg 1969; Stein et al. 1969;
Marcus et al. 1972) and the extent of segregation of
embrittling impurity elements has been determined quanti-
tatively (Palmberg and Marcus 1969; Mulford et al. 1976).
245
50
Steel containing
0.003 wt% P
Steel containing
0.03 wt% P
TIME zone
0
0 100 200 300 400 500
Tempering temperature, °C
The composition analysis of atomic layers adjacent to the
intergranular fracture surface by AES has contributed to the
understanding of cause of TE. AES shows that the alloying
element such as Ni stimulates segregation of embrittling
impurity elements at prior austenite grain boundaries
(McMahon et al. 1976). It has been argued (Banerji et al.
1978; McMahon and Vitek 1979; Kameda and McMahon
1980; McMahon et al. 1981) that the cohesive energy of the
grain boundaries is lowered by the segregation of embrittling
impurities such as Sb and in turn the local stress required to
produce an accelerating microcrack is reduced that leads to
intergranular fracture and lower toughness. To reduce the
susceptibility to TE, the best procedure is to reduce the
embrittling impurities through control of raw materials and
melting practice.
Compositional factors required to induce TE have certain
characteristics that are as follows:
• In plain carbon steels with manganese content less than
0.5 wt%, TE does not occur.
• Specific impurities must be present in steel to cause TE.
From the work of Steven and Balajiva (1959), it has been
known that the potent embrittling impurity elements are
antimony, phosphorus, tin, arsenic (in decreasing order
of their embrittling effects) and high-purity steels do not
experience TE. These results have also been verified by
others (Low et al. 1968). TE is found to occur even in the
presence of very small quantities of these detrimental
impurities on the order of 100 ppm (0.01 wt%) or less
and increase in severity with the concentration of these
embrittling impurities. These offending impurities seg-
regate to the prior austenite grain boundaries and cause
TE.
• TE is found to occur in certain alloy steels of commercial
purity, but comparable alloys of high purity are not
susceptible to TE, as demonstrated by Balajiva et al.
246 6 Impact Loading

(1956), Steven and Balajiva (1959). The additions of

alloying elements to steels that enhance the susceptibility
to embrittlement are Cr, Mn, Ni and Si. For a given
impurity level, steels alloyed with either Ni or Cr are
embrittled less than Ni–Cr alloy steels (Low et al. 1968).
Thus, the severity of embrittlement depends not only on Unembrittle
steel
the concentration of the embrittling impurity elements

Energy absorbed
Temper embrittled
present, but also on the overall composition of the steel. steel
• There are certain alloying elements that suppress
grain-boundary segregation of the embrittling species and
thus inhibit the embrittlement. The onset of embrittle-
ment is delayed by addition of a small amount of W, Mo,
Ti or Zr to steel. The advantageous effects of these
alloying elements on preventing embrittlement are due to
their scavenging actions on harmful impurity elements. Room temperature
However, the actions of these alloying elements are only 0
– 200 0
to make the rate of embrittlement slow because they Testing temperature, °C
slowly react with carbon to form stable carbides,
releasing the impurity atoms that segregate to grain Fig. 6.19 Shift in fracture energy transition temperature curve,
obtained from notched-bar impact test, to higher temperature as a
boundaries and give rise to TE. In other investigation result of temper embrittlement (TE) produced in steel by isothermal
(Garcia et al. 1985), it was reported that the tendency for holding and furnace cooling through the critical temperature range
TE in alloy steels was reduced through additions of
lanthanide metals, which acted as scavenger elements to
temperature embrittlement (TTE) curve, as shown in
form thermodynamically stable harmless compounds in
Fig. 6.20, similar to TTT (time–temperature transforma-
the matrix by combining with embrittling impurity ele-
tion) diagram for steel. The TTE curve shows isoem-
ments, such as Sb, P, Sn and As. As a result, the seg-
brittlement lines as a function of tempering time and
regation of impurity elements to the prior austenite grain
temperature with a nose or the shortest hold time at about
boundaries was prevented that in turn reduced the sus-
550 °C. One investigation (Carr et al. 1953) has shown
ceptibility to TE.
that it requires an isothermal hold time of about one hour
at 550 °C to notice the first increase in transition tem-
TE is demonstrated in the following three ways:
perature and several hundred hours at 375 °C for the first
sign of embrittlement. In TE developed on isothermal
(1) The embrittlement that results is primarily detected by a
tempering of alloy steel, the embrittlement as well as the
remarkable increase in the impact-notch transition
fracture appearance transition temperature (FATT) is
temperature, as shown schematically in Fig. 6.19. In
found to increase with tempering time (King and Wig-
Cr–Ni steel with 0.3 wt% C, the presence of 0.04% Sb
more 1976).
can raise the transition temperature from −40 °C in the
unembrittled condition to 600 °C in the embrittled
condition. It is to be noted that the hardness and tensile
~ 600
properties are not affected by TE.
Tempering temperature, °C

(2) TE is always associated with intercrystalline fracture TE1

TE2
that occurs along prior austenite grain boundaries.
(3) A grain-boundary etching effect is observed after the
occurrence of TE. This can be used for the measure-
ment of austenite grain size.
~ 400
Other important special characteristics of TE are as Temper embrittlement, TE2 > TE1
follows:
Hold time

• The embrittling kinetics that are quantified by measuring Fig. 6.20 Schematically showing isoembrittlement lines (fixed shift in
the transition temperature as a function of tempering ductile–brittle transition temperature) as function of tempering temper-
temperature and hold time exhibit a C-shaped time– ature and hold time
6.5 Metallurgical Factors Affecting Impact Properties 247

• TE is a reversible process unlike TME. The temper Zt Zt Zt

embrittled steels can be de-embrittled; i.e., their original E1 ¼ load " displacement ¼ PðV0 , dtÞ ¼ V0 Pdt
toughness in the unembrittled condition can be restored. 0 0 0
This de-embrittlement can be obtained by reheating the
ð6:8Þ
embrittled steel above 600 °C, holding at that tempera-
ture for only few minutes and then cooling rapidly to where
below about 300 °C, with a rate faster than or at least
E1 total fracture energy when the pendulum velocity is
equal to the cooling rate given by the tangent to the nose
assumed to be constant;
of TTE curve. If unembrittled steel is cooled slowly from
t time;
above 600 °C so that the cooling rate intersects the TTE
curve, then TE will develop in that steel. V0 initial pendulum velocity;
P instantaneous load.
In fact, the assumption of a constant pendulum velocity
V is not valid. Rather, V decreases in proportion to the
6.6 Instrumented Charpy Impact Test instantaneous load on the test specimen. From the work of
Augland (1962), it is found that
The total energy absorbed in fracturing the test specimen is
measured by the ordinary Charpy impact test. But it is ET ¼ E1 ð1 & aÞ ð6:9Þ
possible to obtain additional information by instrumenting
where
the Charpy impact tester so as to provide a load–time history
of the test specimen during the test (Turner 1970; Wullaert ET total fracture energy and
1970). Figure 6.21 shows a typical load–time curve obtained
from such an instrumented Charpy impact test. A curve of E1
this kind provides information on the general yield load, the a¼ ;
4 E0
maximum load and the fracture load. The energy required to
initiate fracture as well as that required to propagate fracture where E0 is the initial energy of the pendulum.
can also be determined from this type of record. The fracture energy values based on the final position of
However, the fracture energy of the test specimen can be the pendulum are conventionally determined by direct
computed by integrating a load–displacement record. If the read-out from the dial of an impact tester. When total frac-
velocity V of the striking pendulum is known and assumed ture energy values are computed from (6.9) and compared
to be constant throughout the test, then the fracture energy with the conventionally determined results, good correlation
E1 is calculated from a load–time curve as follows: is obtained. Because of such good agreement, the initiation
and propagation energies required for fracture at any given
test temperature can be calculated separately by using (6.9).
Further, the determination of the data related to the yield
Maximum load, Pmax load, the maximum load and the fracture load has facilitated
Fracture load, Pf us to identify more clearly the various stages in the fracture
Yield load, Py
process. Moreover, for comparison of material properties
and selection of material, the instrumented Charpy impact
test is relatively inexpensive.
Load

Propagation The notch root of a fatigue precracked specimen used in

energy, Ep
fracture mechanics test (described in Chap. 9) is sharper than
Initiation energy, EI
that of a Charpy specimen. So to determine dynamic fracture
toughness KID by using the instrumented Charpy impact test,
the standard Charpy specimen is precracked by introducing a
Time for brittle fracture fatigue crack at the tip of the V-notch. Hence, it is to be
Time
concluded that the instrumented Charpy impact test can be
Fig. 6.21 Schematic load–time history from an instrumented Charpy used to establish the existence of a temperature-induced
test transition in dynamic notch toughness response.
248 6 Impact Loading

6.7 Additional Large-Scale Fracture Test
Methods
It was found that small laboratory specimens like Charpy
specimen made of ship steel did not fracture at service
temperature at stresses below the gross yield stress, while
brittle fractures were observed in ship structures at the same
temperature at elastic stress levels. Because the degree of
triaxial constraint in a thinner section is likely to be less than
that in a thicker section. Further, considerable scattered data
are obtained in a thin section than in a thick one. Thus,
Charpy impact test carried out with a standard 10-mm-thick
specimen shows a higher toughness at a given service tem-
perature and a lower transition temperature than that
exhibited by a thicker section of the same material, as shown
in Fig. 6.22. This situation necessitates the development of
other large-scale tests to be performed on much thicker
Charpy
specimen
Fracture energy
sections. To solve this problem, Pellini (1971) and his
co-workers developed tests to be performed on specimens at
least 25 mm thick and their rational method of analysis.
Different large-scale tests are described below.
6.7.1 Explosion-Crack-Starter Test
Explosion-crack-starter test was the first developed (Puzak
et al. 1954) large-scale test. In this test, a flat steel plate of
350 " 350 " 25 mm thick is considered as a specimen.
A short brittle weld bead is deposited on one surface of the
plate. A small natural crack, similar to a weld-defect crack, is
introduced by the deposited weld bead in the test plate. The
plate is placed over a circular die, weld bead face down and
dynamically loaded with an explosive charge on the face
opposite to weld bead after it has reached a desired test
temperature. The same test is repeated at various tempera-
tures, and the various transition temperatures are determined
from the appearance of the fracture, as shown in Fig. 6.23.
From this test, nil ductility temperature (NDT) is determined
by the highest temperature up to which a flat elastic fracture
that propagates completely to the edges of the test plate is
developed. With increase in temperature above NDT, a
plastic bulge is formed at the centre of the plate, but still the
flat elastic fracture runs completely to the plate edge. At

Thicker
certain higher temperature, the elastic fracture remains
section confined within the bulged region instead of propagating to
the plate edge. The temperature at which the elastic fracture
no longer spreads to the plate edge is called the fracture
transition elastic (FTE). FTE is defined as the maximum
temperature above which purely elastic stresses cannot
propagate a crack. With further increase of the test temper-
Service temperature ature, plasticity of the plate increases that gives rise to for-
Temperature mation of a helmet-type bulge and complete ductile tearing.
The minimum temperature above which this occurs is the
Fig. 6.22 Schematically showing the effect of section thickness on
fracture energy transition temperature curves
fracture transition plastic (FTP).

Fig. 6.23 Fracture appearance NDT FTE FTP

as a function of temperature in
explosion-crack-starter test and
determination of various
transition temperatures

Flat Bulge Bulge Helmet-type Bulge

fracture & & &
fracture partial fracture ductile tearing

Temperature
6.7 Additional Large-Scale Fracture Test Methods
6.7.2 Drop Weight Test (DWT)
Drop weight test (DWT) was developed (Puzak and Pellini
1962; ASTM E208 2012) particularly to measure NDT of
15.9-mm-thick or more thick structural materials with an
accuracy of ±5 °C and is quite reproducible. This test is not
recommended for steels less than 15.9 mm thick. For this
test, there are three standard flat plate-shaped specimens
according to ASTM E208–06 (2012). A centrally located
weld bead, approximately 50 mm long and 12.7 mm wide,
is deposited on one surface of the plate specimen. At the
centre of the length of the weld bead, a minute notch is
introduced for initiation of crack. Care must be taken to
ensure that only the weld deposit is notched without cutting
the specimen surface. The plate is placed with weld bead
face down, as a simple beam in a holder having an anvil stop
just below the weld bead and heated in a constant temper-
ature bath to a desired test temperature. Then, the specimen
is impacted with a falling weight on the face opposite to
weld bead as shown in Fig. 6.24, and as a result, the
crack-starter brittle weld bead deposited on the tensile face
of the specimen is fractured at near yield stress levels. The
impact load is provided by a guided, free-falling weight
whose energy varies from 340 to 1630 J depending on the
yield strength of the specimen material. The placement of
anvil stop will be such as to prevent the specimen from
deflecting more than a few tenths of an inch. Note that when
the specimen is fully bent or deflected under load, the weld
bead must not contact the anvil support.
Fig. 6.24 Schematic diagram of
drop weight test (DWT)
90 mm
Creacked weld bead
249
The length, width and thickness dimensions of specimens
are as follows:
• 360 mm " 90 mm " 25 mm, with weld bead length of
63.5 mm.
• 130 mm " 50 mm " 19 mm, with weld bead length of
44.5 mm.
• 130 mm " 50 mm " 16 mm, with weld bead length of
44.5 mm.
The length of the weld bead is not critical, provided the
crack-starter notch is at the centre of specimen and the weld
bead does not contact the anvil support in fully bent con-
dition of the specimen.
The same test, as mentioned above, is repeated by sub-
jecting each of a series (generally four to eight) of specimens
of a given material to a single impact load sequentially at
various temperatures to determine the maximum temperature
at which a specimen breaks. When the test specimen is
dynamically loaded in three-point bending, the anvil stops
restrain the bending of the specimen, which in turn does not
allow the stress on the tension face of the specimen to
exceed the yield strength. Since very little energy is required
for a crack to start propagation at the base of notched bead of
brittle weld metal, the critical factor is whether the base test
plate can resist the propagating crack or not, i.e. whether the
plate does not break or breaks. If a crack spreads to one or
more edges on the tension face, the ‘break’ condition of the
specimen is established. For the specimen to be considered
Impact loading
from falling weight
360 mm
Specimen
25 mm
Anvil stop
250
as ‘broken’, cracking on the compression face of the speci-
men is not required. According to ASTM Standard E208, the
nil ductility temperature (NDT) is defined as the maximum
temperature up to which the plate ‘breaks’. Above NDT, the
plate does not break and so NDT reflects a break, no-break
condition of the specimen.
6.7.3 Robertson Crack-Arrest Test
Robertson crack-arrest test (Robertson 1951) provides the
relationship between the magnitude of applied stress and the
temperature at which the material is capable of arresting a
rapidly propagating crack. In this test, at one side of a
150-mm-wide plate specimen, there is a saw cut that acts as
a starter crack. The specimen is subjected to a thermal gra-
dient across the plate width by applying heat at one side and
using liquid nitrogen coolant at the other side such that the
starter crack is at the lowest temperature, as shown in
Fig. 6.25. A uniform elastic tensile stress is applied normal
to the plane of the starter crack. When the plate is impacted
at the starter crack on the cold side of the specimen, an
unstable crack starts to grow from the root of the starter
crack. The crack propagates across the plate width towards
the hot side until it experiences such a high plate temperature
that provides enough ductility to blunt the crack tip and
resists further crack growth. This temperature is called the
crack-arrest temperature (CAT). Hence, CAT is defined as
the highest temperature up to which unstable propagation of
crack can occur at any stress level in a given material.
Crack-arrest tests are carried out over a range of stress levels.
Such tests have shown that CAT depends on the magnitude
Fig. 6.25 Schematically showing
Robertson crack-arrest test, in
which specimen is uniformly
loaded and subjected to thermal
gradient. After impact loading,
crack propagates from starter notch Saw cut
(saw cut) and arrested at TCAT
Impact
Liquid N2
coolant
6 Impact Loading
of applied stress, the material and the thickness of specimen.
From crack-arrest tests, it has been seen that CAT of mild
steel below the NDT is independent of temperature, but the
stress level for crack arrest is 35–55 MPa, above which
brittle fracture will occur. Since the allowed stress level is
too low for practical applications, mild steels cannot be used
in service below the NDT. Although crack-arrest test pro-
vides quantitative measurements, but it is not used widely,
because large specimens and large testing machines are
required for this test.
6.7.4 Dynamic Tear (DT) Test
Dynamic tear (DT) test is a large Charpy test carried out on
specimens of typically 455 " 120 " 15–25 mm thick, as
shown in Fig. 6.26, but the thickness of specimens may be
as high as 300 mm. The energy capacity of a single-blow
swinging pendulum-type tester used for DT test is 14 kJ in
contrast to 330 J for a standard Charpy tester. An electron
beam narrow weld that acts as a notch is produced on one
side of the specimen. This weld is embrittled by addition of
alloying element, for example addition of Ti produces a
brittle Fe–Ti alloy. The specimen is supported as a simple
beam with embrittled weld-face down and is impacted with
the pendulum on the face opposite to weld after it has
reached a desired test temperature. When the test specimen is
dynamically loaded in three-point bending, the embrittled
narrow weld fractures easily and provides a reproducible
sharp crack that causes the fracture of the specimen. The
above DT test is repeated over a range of temperature in a
pendulum-type machine (Puzak and Lange 1969; Lange and
Load
Heat
Weld applied
TCAT
Cold Warm
Load
6.7 Additional Large-Scale Fracture Test Methods
Impact load
455 mm
15 to 25 mm
120 mm
Embrittled
electron-beam
narrow weld
Fig. 6.26 Specimen details and method of loading in dynamic tear test
(DT)
Loss 1970) from which the energy absorbed in fracturing
each specimen at every temperature is measured and the
resulting test data are used to construct a curve of DT energy
versus temperature as shown in Fig. 6.27. From this plot of
DT test and the appearance of fracture surface of specimen,
various transition temperatures can be defined. NDT is the
maximum temperature up to which fractures are fully brittle
with flat surfaces and without formation of any shear lips.
In DT energy versus temperature curve, NDT corresponds to
the extreme point of the lower shelf energy beyond which
the DT energy begins to rise sharply. At temperatures above
the NDT, the DT energy required for fracture sharply
increases and shear lips begin to appear on the fracture
surfaces.
With rise in temperature to the FTE, the development of
shear lips becomes progressively more noticeable. The
average of upper and lower shelf DT energy values corre-
sponds roughly to the FTE, as shown in Fig. 6.27.
Above FTE, as temperature is increased to FTP the fracture
mechanism becomes void coalescence type, resulting in a
ductile fracture, and the fracture surface appears as a fibrous
slant fracture. Further, FTP corresponds to the initiation of
the upper shelf in the DT energy curve. The DT test pos-
sesses high flexibility because it is equally applicable to
low-strength ductile materials that have a high value of
upper shelf energy and high-strength low-toughness mate-
rials that exhibit a low value of upper shelf energy. The
large-sized specimen used in DT test produces a high degree
of triaxial constraint and reduces the scattering of data to a
minimum.
251
FTE FTP
Slant fracture
DT energy
Shear lip
NDT
Temperature
Fig. 6.27 Schematic curve of DT energy versus temperature from
dynamic tear test
6.8 Fracture Analysis Diagram (FAD)
Pellini and Puzak (1963) collected data from large-scale
fracture tests like Robertson crack-arrest test and DWT and
prepared the information in the form of fracture analysis
diagram (FAD). The ratio of fracture strength to yield
strength versus temperature for a steel containing flaws of
various initial sizes is presented as FAD, as shown in
Fig. 6.28. In this figure, the curve marked a5 corresponding
to a large-sized initial flaw is a CAT curve determined from
the Robertson crack-arrest test carried out over a range of
stress levels. The CAT curve is a limiting curve of fracture
strength because brittle fracture will not take place for any
point to the right of this curve. Decreasing initial flaw sizes
progressively moves the fracture strength curves upward and
to the left as evident from Fig. 6.28, which in turn increases
the allowable stress levels for a given minimum service
temperature. Thus, FAD provides allowable stresses as a
function of flaw size and operating temperature for
low-strength ferritic steels of the type used for construction
of ships and has been applied in the design of structures. For
mild steel below the NDT, the CAT curve is parallel to the
temperature axis because CAT is independent of temperature
as mentioned earlier and the safe stress level is 35–55 MPa,
above which brittle fracture will occur irrespective of the
original flaw size. Above the NDT, the CAT curve rises
sharply with increasing temperature causing to increase the
stress required for the unstable propagation of a large-sized
initial flaw. Apart from NDT, some other transition
252 6 Impact Loading

Fig. 6.28 Fracture analysis Initial flaw size, a1 < a2 < a3 < a4 < a5
diagram showing allowable FTP
UTS
stresses as a function of initial
flaw size and operating
temperature. Curve a5
corresponds to crack-arrest a1 Plastic

Fracture strength, σf / yield strength, σ0

temperature (CAT) as obtained 1.00 FTE
from Robertson test Elastic
a2
0.75

a3
0.50 CAT

a4
0.25
a5 CAT
35 to 55 MPa
0
NDT NDT NDT NDT
+17°C +33°C +67°C
Temperature

temperatures can be defined with respect to CAT curve. 4. When r + UTS, Tmin - NDT þ 67 ' C ð120 ' FÞ or;
Hence, FTE corresponds to the point on the CAT curve, Tmin - FTP. Because above FTP, the behaviour of a
where allowable stress is equal to the yield strength and FTP material will be like a flaw-free material that means any
is the point at which allowable stress is equal to the UTS. It crack whatever be its size cannot propagate as an
has been seen that for various structural steels, CAT curve is unstable fracture and only ductile failure will occur when
related to NDT in the following way: the CAT curve is the applied stress is equal to the UTS of the material.
estimated by

• NDT þ 17 ' C ð30 ' FÞ

at maximum allowable stress ¼ 0:5 " yield strength.
• NDT þ 33 ' C ð60 ' FÞ ¼ FTE
at maximum allowable stress ¼ yield strength.
• NDT þ 67 ' C ð120 ' FÞ ¼ FTP
at maximum allowable stress ¼ UTS.
Thus, once the NDT for structural steels has been mea-
sured, the entire CAT curve can be well established and
applied for design in service, although the above relation
may be a function of the thickness of specimen and the value
of temperature that is added to NDT may increase for very
thick sections on the order of 150–300 mm. Based on the
above relation, the permissible minimum operating temper-
ature, Tmin , for structural steels containing sharp long flaws
or cracks depending on the levels of applied stress can be
given (Pellini 1969) as follows:
1. When applied stress r + 35–55 MPa, Tmin - NDT.
2. When r + 0:5 " yield strength, Tmin - NDT þ 17 ' C
ð30 ' FÞ.
3. When r + yield strength, Tmin - NDT þ 33 ' C ð60 ' FÞ
or; Tmin - FTE.
6.8.1 Design Philosophy Using FAD
There are three variables with respect to use of FAD in
design: (a) selection of steel, (b) service temperature and
(c) applied stress level. Once any two variables out of the
above three variables are decided by the designer, the third
factor will automatically be fixed by the FAD, so that the
brittle fracture can be avoided. But the designer must first
decide the most important factor required for the design of
the structure so that it not can only safely operate but can
also be economical. The design philosophy is illustrated with
the following examples:
Example I
Suppose the minimum expected operating temperature, Tmin ,
is known or fixed by the designer. For application, the
designer selects such steel whose FTE is lower than or equal
to the Tmin . Hence, from FAD, one can easily visualize that
as long as the applied stress does not exceed the yield
strength, the worst expected flaw will not propagate and the
component will work safely, but this design criterion against
brittle fracture is over conservative and not at all economical.
6.8 Fracture Analysis Diagram (FAD)
Example II
A slightly less conservative and more practical design cri-
terion against brittle fracture is to base on an allowable
applied stress level that does not exceed half of the yield
strength. From FAD, it can be seen that no crack will
propagate so long as the service temperature does not fall
below NDT þ 17 ' C. If minimum operating temperature,
Tmin , is not expected to fall below −7 °C, the selection of
steel with the help of FAD would be such that its NDT is
−7° −17° = −24 °C.
6.9 Solved Problems
6.9.1. The weight of the hammer of a pendulum impact
machine is 20 kg. The distance from the centre of gravity of
the pendulum to the axis of rotation is 800 mm, with ref-
erence to Sect. 6.3.1, given that b1 ¼ 160' ; b2 ¼ 160:1' ;
b3 ¼ 156:5' . The angle of rise of the hammer after breaking
the specimen is observed to be 100°. Neglect the loss of
energy required to move the broken test piece. Applying
necessary correction for the loss of energy due to air drag on
the pendulum, for the energy absorbed through friction in the
machine bearing and by the movement of the indicator arm,
determine accurately
(a) The potential energy of the impact machine.
(b) The striking velocity of the hammer.
(c) The impact strength of the material of the specimen.
Solution
In problem, it is given that the weight of the hammer is:
W ¼ 20 " 9:807 ¼ 196:14 N; the distance from the centre
of gravity of the pendulum to the axis of its rotation is:
R ¼ 0:8 m; and the observed angle of rise of the pendulum
after break of the specimen is: b ¼ 100' .
For the movement of the indicator through an angle of
b2 ¼ 160:1' , the energy required is represented by an angle of
b2 & b1 ¼ 160:1' & 160' ¼ 0:1' :
The average angle of rise of the pendulum between
readings b2 and b3 is as follows:
' '
ðb2 þ b3 Þ=2 ¼ ð160:1 þ 156:5 Þ=2 ¼ 158:3 : ' corrected impact strength of the material of the specimen
Hence, the angle of a complete swing including fall and
rise of the pendulum is approximately
158:3' " 2 ¼ 316:6' :
During one average forward swing, the energy lost in air
drag and the bearing friction of the pendulum is represented
by an angle of
253
ðb2 & b3 Þ=10 ¼ ð160:1' & 156:5' Þ=10 ¼ 0:36' :
Thus, during either a downward or an upward swing of
the pendulum through an angle of 160.1°, the energy lost in
air drag and the bearing friction of the pendulum is repre-
sented by an angle of
160:1'
" 0:36' ¼ 0:182' :
316:6'
Hence, according to (6.5), the corrected angle of fall,
acorrect , is as follows:
acorrect ¼ 160:1' þ 0:182' ¼ 160:282' :
During an upward swing of the pendulum through an
angle of 160.1°, the total energy lost in friction involved to
move the indicator and in air drag and the bearing friction of
the pendulum is represented by an angle of
0:1' þ 0:182' ¼ 0:282' :
Hence, this observed angle b needs correction, and the
corrected angle of rise according to (6.6) is as follows:
100'
bcorrect ¼ 100' þ 0:282' " ¼ 100' þ 0:176'
160:1'
¼ 100:176' :
(a) Replacing a by acorrect in (6.1), we can get
The potential energy of the impact machine
¼ WRð1 & cos acorrect Þ
¼ 196:14 " 0:8ð1 & cos 160:282' Þ N m or J
¼ 304:6 J:
(b) Replacing a by acorrect in (6.2), we can write
2
WVFall
¼ WRð1 & cos acorrect Þ; where VFall is the striking
2g
velocity of the hammer.
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) VFall ¼ 2gRð1 & cos acorrect Þ
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ 2 " 9:807 " 0:8ð1 & cos 160:282' Þm=s
¼ 5:52 m s&1 :
(c) Replacing a by acorrect and b by bcorrect in (6.4), we get the
which is equal to
Energy to break the specimen
¼ WRðcos bcorrect & cos acorrect Þ
¼ 196:14 " 0:8ðcos 100:176' & cos 160:282' Þ N m or J
¼ 119:989 J $ 120 J:
254 6 Impact Loading

6.9.2. Suppose the temperature dependence of uniaxial ten-
sile yield strength ðr0 Þ and fracture strength ðrf Þ of a
material is given by r0 ðMPaÞ ¼ 1500 & 2:5 T and
rf ðMPaÞ ¼ 1000 & 0:1 T, respectively, where T is the tem-
perature in Kelvin. Calculate the ductile-to-brittle transition
temperature and comment on the behaviour of material at
room temperature for:
(a) Simple tension and
(b) Notched specimen, where plastic constraint factor is 2.5.
Solution
(a) The temperature at which r0 ¼ rf is the transition tem-
perature of unnotched specimen subjected to uniaxial ten-
sion. Therefore,
1500 & 2:5 T ¼ 1000 & 0:1 T;
Or; 2:4 " T ¼ 1500 & 1000 ¼ 500;
(a) The potential energy of the impact machine.
(b) The striking velocity of the hammer.
6.Ex.2. The weight of the hammer of a pendulum impact
machine is 30 kg. The starting height of fall of the hammer is
1.1 m, and after breaking the specimen, the height of rise of
the hammer is 0.9 m. Neglect all losses and compute the
following:
(a) The impact value of the specimen.
(b) The striking velocity of the hammer.
6.Ex.3. The standard specimen for Charpy impact test is
10 " 10 " 55 mm in size. But it is required to perform
Charpy tests on 8-mm thick and 12-mm thick specimens of
the same metal having identical microstructures to evaluate
their toughness. What percentage difference in the values of
impact energy, if any, would you expect if results from both
specimens are compared with each other?

) Ductile-to-brittle transition temperature; 6.Ex.4. The yield strength and UTS of a structural steel
500 containing worst flaws are, respectively, 210 and 320 MPa.
T¼ K ¼ 208:3 K ¼ & 64:7 ' C:
2:4 Assuming that the thickness of the steel is 25 mm and the
NDT of the steel is at −10 °C,
Comment
The smooth specimen of the material is ductile at room (a) Draw the CAT curve for the steel.
temperature ð300 K ¼ 27 ' CÞ. (b) Find the highest allowable stress against brittle fracture
of the steel at
(b) In problem, it is given that plastic constraint factor is:
q ¼ 2:5. The notch transition temperature will be the tem- (i) NDT; (ii) NDT þ 17 ' C; (iii) FTE; and (iv) FTP.
perature at which rf = yield strength of the notched
(c) When the maximum applied stress does not exceed the
specimen = q " r0 .
yield strength of the steel, what is the minimum allowable
1000 & 0:1 T ¼ 2:5 " ð1500 & 2:5 TÞ service temperature for the steel?
¼ 3750 & 6:25 T; or; 6.Ex.5. Indicate the correct or most appropriate answer(s)
6:15 T ¼ 3750 & 1000 ¼ 2750; from the following multiple choices:
Hence, ductile-to-brittle notch transition temperature, (a) Ductility transition temperature of mild steel is the tem-
2750 perature at which lateral expansion on the face opposite to
T¼ K ¼ 447 K ¼ 174 ' C:
6:15 V-notch of a Charpy specimen, after fracture in Charpy
impact test, will show a value of
Comment
(A) 0.14 mm; (B) 0.26 mm; (C) 0.38 mm;
The notched specimen of the material is brittle at room (D) 0.50 mm; (E) none of the above.
temperature ð300 K ¼ 27 ' CÞ.
(b) Out of the followings, the best impact toughness is
Exercise
achieved when eutectoid steel is
6.Ex.1. The hammer of a pendulum impact machine weighs
(A) Annealed;
25 kg. The distance from the centre of gravity of the pen-
(B) Normalised;
dulum to the axis of rotation is 1.25 m. If the pendulum arm
(C) Hardened and tempered at 300 °C;
is horizontal before striking the specimen, compute assum-
(D) Austempered at 300 °C.
ing the ideal situation
6.9 Solved Problems
(c) Among the following choices, lowest transition temper-
ature results in case of
(A) Annealing of killed steel;
(B) Annealing of rimmed steel;
(C) Normalizing of killed steel;
(D) Normalizing of rimmed steel.
(d) State, which of the following elements, if added, lowers
the 20-J ductility transition temperature of mild steel:
(A) Nickel; (B) Chromium;
(C) Molybdenum; (D) Phosphorus.
(e) State, which of the following conditions, shows the
highest probability of brittle cleavage fracture:
(A) High strain rate and plane strain;
(B) High strain rate and plane stress;
(C) Low strain rate and plane strain;
(D) Low strain rate and plane stress.
(f) Unless there is some special chemical reactive environ-
ment, brittle fracture is not observed for
(A) Aluminium alloy with S0 [ E=150;
(B) Aluminium alloy with S0 \E=300;
(C) Steel with S0 [ E=150;
(D) Steel with S0 \E=300.
where S0 is the yield strength, and E is the Young’s
modulus.
(g) To obtain satisfactory notch toughness, the ratio of Mn:C
in mild steel must be at least
(A) 1:2; (B) 2:1; (C) 1:3; (D) 3:1.
(h) Suggest one of the following materials for use as a
container for liquid oxygen:
(A) Glass; (B) Mild Steel;
(C) Copper; (D) 18/8 Austenitic stainless steel.
(i) Out of the following transition temperatures, the one
which cannot be determined by explosion-crack-starter test is
(A) NDT; (B) FATT; (C) FTE; (D) FTP.
(j) FATT is the temperature at which % of brittle cleavage
fracture becomes
(A) 0; (B) 25; (C) 50; (D) 75 (E) 100.
(k) Out of the following respective values of ASTM
grain-size number and oxygen content of mild steel, the
lowest transition temperature will be observed for
(A) 4 and 0.01 wt%; (B) 8 and 0.01 wt%;
(C) 8 and 0.03 wt%; (D) 4 and 0.03 wt%.
255
(l) In selecting a material from the standpoint of notch
toughness, the most important factor is:
(A) Transition temperature;
(B) Impact value at service temperature;
(C) Lower self energy;
(D) Upper shelf energy.
(m) Regardless of the size of initial flaw, the maximum safe
stress level against brittle fracture below NDT for mild steel
is
(A) 5–25 MPa; (B) 35–55 MPa;
(C) 65–85 MPa; (D) 95–115 MPa.
(n) Ductile–brittle transition temperature for steels depends
significantly on
(A) grain size; (B) shear modulus;
(C) tensile strength; (D) strain rate.
(o) Unless there is some special chemical reactive environ-
ment, brittle fracture is not observed for one of the following
materials. Select it.
(A) Nickel; (B) Zinc; (C) Mild Steel; (D) Glass.
(p) For improvement of notch toughness in mild steel, there
are practical limitations to increase the ratio of Mn:C beyond
(A) 5:1; (B) 7:1; (C) 9:1; (D) 11:1.
Answer to Exercise Problems
6.Ex.1. (a) 306.4 J; (b) 4.95 m s−1.
6.Ex.2. (a) 58.8 J; (b) 4.64 m s−1.
6.Ex.3. Energy absorbed by 12-mm-thick specimen will be
50% more than that by 8-mm-thick specimen.
6.Ex.4. (b) (i) 35–55 MPa; (ii) 105 MPa; (iii) 210 MPa;
(iv) 320 MPa. (c) 23 °C.
6.Ex.5. (a) (C) 0.38 mm. (b) (D) Austempered at 300 °C.
(c) (C) Normalizing of killed steel. (d) (A) Nickel. (e) (A)
High strain rate and plane strain. (f) (B) Aluminium alloy
with S0 \E=300. (g) (D) 3:1. (h) (C) Copper. (i) (B) FATT.
(j) (C) 50. (k) (B) 8 and 0.01 wt%. (l) (A) Transition tem-
perature. (m) (B) 35–55 MPa. (n) (A) grain size; and
(D) strain rate. (o) (A) Nickel. (p) (B) 7:1.
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 Creep and Stress Rupture
7

Chapter Objectives

• Creep phenomenon.
• Creep curve and its different stages.
• Strain–time relations to describe the basic shapes of creep curves mathematically.
A general empirical equation for time laws of creep.
• Creep rate–stress–temperature relations, showing influence of stress and temperature
on steady-state creep rate.
• Effect of grain size on steady-state creep rate.
• Activation energy for creep, its determination and relation with activation energy for
self-diffusion.
• Creep deformation mechanisms: dislocation glide, dislocation creep or climb–glide
creep, diffusional creep (Nabarro–Herring creep and Coble creep), and grain
boundary sliding.
• Deformation mechanism map.
• Stress-rupture test and its difference with the creep test.
• Concept of equicohesive temperature (ECT) and deformation features at ECT.
• Fracture at elevated temperature. Creep cavitation: wedge-shaped cracks and round
or elliptically shaped cavities.
• Presentation of engineering creep data, and prediction of creep strength and
creep-rupture strength.
• Prediction of long-time properties by means of parameter methods, such as Larson–
Miller parameter, Orr–Sherby–Dorn parameter, Manson–Haferd parameter, Gold-
hoff–Sherby parameter and limitations of parameter methods.
• Stress-relaxation and step-down creep test.
• Creep-resistant materials for high-temperature applications and rules to develop
increased creep resistance at elevated temperatures.
• Creep under multiaxial stresses.
• Indentation creep and method to obtain creep curve using Rockwell hardness tester.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 257

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_7
258
7.1 Long-Time Loading at High Temperature
In Chap. 1, it has been mentioned that recoverable defor-
mation may be instantaneous (time independent), known as
elastic deformation, or time dependent, known as anelastic
deformation. Similarly, permanent deformation may be
instantaneous (time independent), or time dependent. So far
our discussions have been limited to the instantaneous per-
manent deformation response to the application of a load.
Our previous discussions have considered permanent
deformation under short-time loading, as in conventional
tension test, in which deformation increases simultaneously
with the load or stress, as can be observed in static stress–
strain diagram. If, under any conditions, deformation
extends over a period of time when the load or stress is kept
constant, this time-dependent permanent deformation under
constant load or stress is called creep and is observed in both
crystalline and amorphous materials. Initially creep defor-
mation may be small, but over the lifetime of the structure
deformation can grow large and even result in final fracture
without any increase in load. However, when both recov-
erable and permanent deformations occur together and
dependent on time, it is called viscoelastic deformation,
which is commonly observed in non-crystalline organic
polymers.
Creep deformation is possible at all temperatures above
absolute zero and has been observed down to the tempera-
ture of liquid helium. However, since it depends on thermal
activation, the strain rate at a given stress level is extremely
sensitive to temperature. As a result, the higher the tem-
perature, the more pronounced is the creep phenomenon.
Since temperature is a relative quantity for any material, i.e.
a high temperature for one material may not be high for
another material, it is normal practice to express temperature
as a homologous temperature, which is the ratio of the
operating temperature to the melting temperature on an
absolute temperature scale. In crystalline solids, such as
metals and ceramics, creep occurs appreciably at a homol-
ogous temperature ! 0.5, although some crystalline mate-
rials exhibit measurable creep deformation at a homologous
temperature as low as 0.25. In amorphous materials, such as
glasses and polymers, creep occurs at measurable rates
above the glass transition temperature. Approximate tem-
peratures for the onset of creep deformation are 540 °C for
austenitic iron-based heat resisting alloys, 650 °C for nickel
and cobalt-based heat resisting alloys, and 980–1540 °C for
refractory metals and alloys. On the other hand, low melting
point metals, such as lead and tin, exhibit significant creep at
room temperature because room temperature is equivalent to
a homologous temperature of about 0.5 for lead and greater
than 0.5 for tin. In old time roofs, a thick rim of lead has
7 Creep and Stress Rupture
been observed at the edge of roof due to occurrence of creep
of lead under its own weight. Plastics also undergo signifi-
cant creep at room temperature, whereas creep may be
observed in tar and asphalt at temperatures far below room
temperature.
Since many materials at high temperatures behave
somewhat like a very viscous liquid, so a stress often much
less than that required to cause failure in a short time (in a
few minutes) may cause failure if sufficient time is allowed
at high temperatures (where creep predominates). Creep may
often cause undesirable structural distortion over a period of
time prior to reaching the stage of rupture in material. Such
excessive distortion seriously impairs the dimensional sta-
bility and thus the usefulness of the material. Examples of
such effects are the undesirable changes in clearance
between the ends of the blades and housing of a steam tur-
bine and the loosening of flanged joints caused by creep in
the connecting bolts.
Our discussions to creep will be restricted to metallic
materials only. It is essential to know the various changes
that take place in metallic materials with increasing tem-
perature. Some of these are mentioned below:
• Diffusion-controlled mechanisms become active due to
rapid increase in the mobility of the atoms.
• Equilibrium concentration of vacancies increases.
• The presence of a large number vacancies aids climbing
of edge dislocation, which in turn results in greater
mobility of dislocations.
• New slip systems may be introduced.
• Deformation at grain boundaries may occur.
• Metallurgical stability of metals and alloys may be dis-
turbed resulting in loss of strength, for example, loss of
strength caused by recrystallization and grain coarsening
of cold-worked metals and overaging of age-hardened
alloys.
• Oxidation and intergranular penetration of oxide may
occur.
Thus, for successful applications at high temperatures,
materials require better high-temperature strength and oxi-
dation resistance. Many types of engineering machines and
structures are required to sustain steady loads for a long period
of time at temperatures as high as 650 °C or higher, e.g.
internal combustion and jet engines, high-pressure boilers and
steam turbines and cracking stills used in chemical and pet-
roleum industries. The operating temperature of turbine
bucket of gas turbine engine is around 800 °C and that for
ballistic-missile cone and rocket engine is much higher. Hence
for elevated temperature applications, one of the important
factors is the selection of proper creep-resistant materials.
7.1 Long-Time Loading at High Temperature
At lower temperatures, where creep is negligible, per-
manent deformation of a structure can be prevented if the
applied stress does not exceed the yield strength of the
material and yield strength is the limiting design factor. For
example, the design of bridges, ships and other large struc-
tures made of steel which are to be used at ambient tem-
peratures is based primarily on elasticity theory, because
creep is usually not considered to be important for such
applications. On the other hand, at higher temperatures,
where creep is predominant, permanent deformation can take
place over a period of time at stresses well below the
material’s yield strength. Because high thermal energy
makes plastic deformation possible under lower stresses if
sufficient time is provided. Ultimately, whether creep or
time-independent flow (yielding) would be considered in
engineering design will be decided by which type of
deformation dominates at different operating temperature
and stress combinations.
Most often two types of time-dependent tests at elevated
temperatures are conducted to determine the strength and
lifetime of materials for applications in different kinds of
long-time high-temperature services. These tests are creep
test and stress-rupture test. The former one is a long-time
test that may extend from several months to more than
10 years and generally performed to know useful informa-
tion about the performance of a long-lasting component,
such as a steam pipeline which is used in elevated-
temperature service for more than 10 years. On the other
hand, stress-rupture test is usually carried out for relatively
shorter time, usually between one to two months, with an
aim to get the information about the high-temperature per-
formance of a short-lived item, such as a missile nose cone
or a rocket engine. Other test includes stress-relaxation test
that involves imposing a constant displacement under load at
elevated temperatures.
7.2 The Creep Curve
ASTM [ASTM E6] defines creep as ‘the time-dependent part
of the strain resulting from stress’. To carry out creep testing,
a constant load or a constant stress is applied to a tensile
specimen maintained at a sufficiently high constant homol-
ogous temperature, where measurable creep deformation can
occur. For engineering purposes, the creep curve is deter-
mined under constant load because in actual service condi-
tions, usually the load but not the axial stress is maintained
constant, whereas constant stress testing is carried out to
study the mechanisms of creep deformation.
Typical loading apparatus for constant-load creep test is
shown in Fig. 7.1. To obtain an engineering creep curve, a
tensile specimen is subjected to a constant tensile load at a
constant elevated temperature. The specimen will creep
259
under load, i.e. undergo a time-dependent increase in length.
Now, the extension over the gage length of the specimen is
measured as a function of time, t, and the true strain is
determined from the natural logarithm of the ratio of the
instantaneous length found from extension to the initially
measured original gage length of tensile specimen. Hence,
the creep curve is constructed by plotting the determined true
strain, e; against log time ðlog tÞ: It is important to note that
the creep testing time may extend from several months to as
high as more than 10 years. Since it is not generally feasible
to extend creep tests for periods more than 10 years, so creep
tests are frequently conducted for periods of 2,000 h and
often to 10,000 h and the results of such short tests are
extrapolated to long time for getting the information about
the performance of a long-lasting component, which has
been discussed later in this chapter. However, as the defor-
mation continues the length of specimen increases but the
cross-sectional area decreases resulting in an increase in the
axial stress, since the applied load is held constant
throughout the engineering creep test. Hence, the reported
value of stress is usually the initially applied stress based on
the original cross-sectional area of specimen.
The idealized shape of a constant-load creep curve at a
constant temperature is shown by curve A in Fig. 7.2. The
creep rate, de=dt; or e_ , is determined by the slope of this
curve. Two dominant external variables that affect the shape
of creep-time curve are test temperature and stress. Another
external variable is certainly environment because oxidation
and corrosion are important in the fracture process. Unfor-
tunately, consideration of this variable is beyond the scope
of the text.
The plot of creep rate versus total creep strain, as shown
in Fig. 7.3, illustrates the large variation in the creep rate that
occurs during the creep test. Since the test temperature and
the applied load remain constant, the creep rate varies due to
the changes in the internal structure of the material that
occurs with creep strain and time during creep process. The
overall creep rate at a given stress and temperature is
strongly affected by a continually changing interaction
between strain hardening and recovery or softening pro-
cesses. It is believed that strain hardening at elevated tem-
perature involves formation of subgrain associated with
rearrangement of dislocations (Mukherjee et al. 1969), while
two dominant recovery processes are thermally activated
climb of edge dislocations and cross-slip of screw
dislocations.
When the load is first applied, normally a small strain, e0 ;
occurs very rapidly, which is termed as instantaneous strain.
Even if the applied initial stress is below the yield strength,
the instantaneous strain, e0 ; may not be fully elastic, rather it
may be partly elastic, partly anelastic and partly plastic and
the extent of each part depends upon the material, the tem-
perature and the stress. Thermal expansion may also be
260 7 Creep and Stress Rupture

Loading lever

Upper pull rod

Furnace

Specimen

Lower pull rod Weights

Fig. 7.1 Loading apparatus for constant-load creep testing (Moore and Moore 1953)

Secondary or
Primary creep steady state creep Tertiary creep
Stage I Stage II Stage III Rupture

A
B
Stage I Stage II Stage III
dε
dt

dε
Creep rate, ε =

= minimum
Strain, ε

dt creep rate, ε
s

Instantaneous strain, ε0

Log time (log t) Rupture

time, tr
Total strain, ε
Fig. 7.2 Constant-temperature typical creep curve showing the three
distinct stages of creep. Curve ‘A’ for constant-load test and curve ‘B’ Fig. 7.3 Creep rate as a function of total strain
for constant-stress test

included in this component if it is significant. The instanta- structural members. The creep strain is obtained by sub-
neous strain, e0 ; is not considered as creep, but it is important tracting the instantaneous strain, e0 ; from the total strain that
with regard to the design of the component because it forms the creep specimen undergoes. Excluding the initial instan-
an appreciable part of the allowable total strain in the taneous strain, e0 ; the constant-load ideal creep curve can be
7.2 The Creep Curve
divided into three distinct stages which may be observed at
only certain combinations of stress and temperature. The
relative strain extent of these three stages depends strongly
on the testing temperature and the applied stress.
Primary Creep
After the initial instantaneous strain, e0 ; the creep rate
decreases rapidly with time from a large initial value, as
exhibited in Fig. 7.2. This is the Stage I or the first stage of
creep, known as primary creep, which is a period of pre-
dominantly transient creep. At low stresses and creep
strains, primary creep may exhibit logarithmic behaviour,
known as logarithmic creep. The strain hardening caused
primarily by the changes in the number, type and arrange-
ment of dislocations is more effective than the recovery or
softening processes in the Stage I, leading to decrease in the
strain rate. Transmission microscopic examination shows the
increase of dislocation density, and in many materials, for-
mation of subgrain structure with a cell size decreasing with
increasing strain. These structural changes are indicative of
decreasing creep rate with increasing time in primary creep
region. The elastic after-effect, which always forms a part of
transient creep, is practically insignificant in crystalline
materials.
Secondary Creep
Following the primary creep, the creep rate reaches essen-
tially a steady state, in which the creep rate changes little
with time. This region of approximately constant creep rate
is the Stage II or the second stage of creep, known as sec-
ondary creep, or steady-state creep, or sometimes called
viscous creep. During this stage, the steady state is achieved
because of an approximate balance between two opposing
factors: the strain hardening that tends to reduce the creep
rate and the softening or recovery process that tends to
increase it. Thus, softening reactions tends to oppose or
nullify the strain hardening. In this stage, the dislocation
density does not increase or a subgrain structure, if present,
does not become progressively finer with increasing strain.
This invariant microstructure indicates that the intrinsic
strain-hardening capacity of the material is balanced by
softening or recovery effects. If the rate of strain hardening is
h ¼ @r=@e; and the rate of recovery is r ¼ %@r=@t; then for
a steady-state creep rate e_ s , the flow stress r must remain
constant, i.e. dr ¼ 0. This gives
@r @r @r @r
dr ¼ @t þ @e ¼ 0; or; @e ¼ % @t;
@t @e @e @t
de @r=@t r
) e_ s ¼ ¼ % ¼ ð7:1Þ
dt @r=@e h
261
Microstructural softening due to recovery process in the
low-temperature region includes cross-slip of screw dislo-
cations while that at a homologous temperature above 0.5
includes rearrangement and annihilation of dislocations and
climbing of edge dislocations. Further, at constant-load
creep test, the reduction in the cross-sectional area of the
specimen with increasing strain causes a rise in the axial
stress, which increases the creep rate, because the creep rate
of a metal is a sensitive function of stress. So, geometrical
softening due to the increase in stress is also required to be
balanced by the strain hardening. Recovery process is slow
at low temperature while that is rapid at elevated temperature
because high thermal energy makes the diffusion-controlled
mechanisms to become operative. Higher the rate of recov-
ery the more is the creep deformation. Thus, the creep
deformation is significant only at elevated temperatures.
The average value of the creep rate during steady-state
creep is called the minimum creep rate. The minimum creep
rate, e_ s ; which can be derived from the second stage of creep
curve, is usually the most important design parameter. This
design parameter is used for components in which the
fracture is not at all tolerated but a low permanent strain
without disturbing the structural integrity may be allowed.
Commonly used two standard criteria are:
(1) The stress to produce a minimum creep rate of 1% in
104 h or 0.0001% per hour. This is applied to those
components which are used for hundreds of hours at
high temperatures, e.g. a jet engine turbine blade.
(2) The stress to produce a minimum creep rate of 1% in
105 h (about 11.5 years) or 0.00001% per hour. This is
applied to those components which are used for many
years at high temperatures without replacement, e.g.
boiler tubing and blades in a steam turbine.
Tertiary Creep
Subsequent to the second stage creep, the Stage III or the
third stage of creep, known as tertiary creep, or accelerated
creep is observed mainly in the constant-load creep test at
high stresses or/and at high temperatures. During this stage,
the creep rate is greater than that during Stage II and
increases continuously till the material undergoes fracture, as
seen from Fig. 7.2. Tertiary creep occurs when the effective
cross-sectional area of the specimen is reduced remarkably
either due to localized necking or internal void formation. In
a constant-load creep test, this causes a rapid increase in the
axial stress which overcomes the strain hardening and
accelerates the creep rate during tertiary creep. Further,
metallurgical changes that often occur during tertiary stage
are recrystallization of strain-hardened grains and overaging
in a precipitation-hardened alloy. These changes lead to
262
softening that supersede the strain-hardening effects and thus
tend to increase the creep rate. Fracture in tertiary creep is
also related to several other factors which include a number
of weakening metallurgical instabilities, such as grain
boundary shearing leading to intercrystalline fracture, pre-
cipitation of brittle second-phase particles, resolution of fine
second-phase particles that originally strengthened the alloy,
and corrosion. In most cases, the creep test is terminated as
soon as the creep curve enters the third stage, because the
main aim of the creep test is to establish the stage of
steady-state creep and to measure the minimum creep rate,
which will be used for design purpose in components
without allowing them to fracture. However, the duration of
tertiary creep is also important because the time to fracture
provides the information about the safety margin before a
catastrophic fracture of a component takes place.
The variations in the shape of creep curve obtained from
constant-load tests carried out at a constant temperature
under various initial stress levels or carried out at a constant
initial stress for various temperatures are shown in Fig. 7.4,
because both variables, temperature and initially applied
stress, tend to alter the shape of the creep curve in a similar
manner. The family of creep curves in this figure clearly
shows that high stresses or high temperatures reduce the
extent of primary creep and practically eliminate the
steady-state creep, with the result that the creep rate accel-
erates almost from the start of the test. It can be seen from
this figure that the greater the stress or the higher the tem-
perature, the greater will be the creep rate. At intermediate
stresses or intermediate temperatures, the primary and sec-
ondary stages become more prominent. Low levels of stress
or low temperatures show long, well-defined regions of
secondary creep. Therefore, conditions that favour a very
slow creep rate make the second stage of creep most pro-
nounced. Further, this figure shows that the longer the life of
a creep test, the smaller the total extension that the specimen
Fig. 7.4 Schematic (a) Temperature, T = constant
representation of creep curves
σ 6 > σ 5 > σ 4 > σ 3 > σ 2 > σ1
a under various initial stresses
ðfrom r1 to r6 Þ at one
temperature, T, and b at various σ6
σ5
temperatures ðfrom T1 to T6 Þ σ4
under the same initial stress, r
Creep strain
Log time
7 Creep and Stress Rupture
undergoes and this is an important characteristic of most
creep phenomena.
At small strains, the creep curve is essentially the same in
both constant-load and constant-stress creep tests. In
constant-stress creep test, the transition from Stage II to
Stage III creep is greatly delayed. At a constant temperature,
the shape of a constant-stress creep curve excluding the
tertiary creep stage is shown by the curve B (dashed line) in
Fig. 7.2. However, tertiary creep can also be observed in
constant-stress tests in which its onset is related to recrys-
tallization, coarsening of precipitate particles and/or internal
void formation. To maintain a constant stress during creep
test, it is usually necessary to decrease the load during the
test in order to compensate for the decrease in the
cross-sectional area of the specimen as it deforms. Since
creep essentially involves plastic strain, so constancy in
volume is applicable to the creep process. Hence, the
cross-sectional area varies inversely with length, as indicated
in (1.26). In a constant-stress test, the instantaneous applied
load P is:
A0 L0
P ¼ rA ¼ r
L
As long as the creep strain is uniform, in order to maintain
a constant stress, r; the applied load P at each moment has to
vary inversely as the instantaneous length L (which is
increasing during the test), since the initial cross-sectional
area A0 and length L0 remain constant. Methods to carry out
the constant-stress creep test have been developed (Andrade
and Chalmers 1932; Fullman et al. 1953), which involve
deadweights with adjustable lever arms and screws controlled
by electronic devices. The creep stress, which is usually
determined from the initial cross-sectional area of a member
in a constant-load test or held constant in a constant-stress
test, will be designated by the term r in this chapter.
(b) Stress, σ = constant
T6 > T 5 > T 4 > T3 > T2 > T1
T6
T5
σ3
Creep strain
T4
σ2
σ1 T3
T2
T1
Log time
7.3 Strain–Time Relations 263

7.3 Strain–Time Relations
Numerous attempts have been made over the years to
describe the basic shapes of creep curves mathematically and
many equations have been proposed with varying degree of
success. One of the earlier relationships provided by
Andrade (1910) in terms of specimen length was:
! 1
" ation of e with ln t deviates from linearity. Most experiments
l ¼ l0 1 þ bt3 expðjtÞ ð7:2Þ
where l0 is the instantaneous length of specimen observed
upon loading, i.e. at time t ¼ 0; and ðl % l0 Þ is the creep
extension of specimen after a time t. b and j are constants.
After converting to true strain, (7.2) becomes:
# ! " $
l l0 1
ln ¼ ln 1 þ bt expðjtÞ ;
3 at low creep strains and stresses. Equation (7.4) is valid only
li li
where li is the initial gage length of specimen.
! "
1
e ¼ e0 þ ln 1 þ bt3 þ jt
where e0 is the instantaneous true strain on the application of
load and e in the total true strain in time t. Andrade per-
formed the experiment under constant stress and considered
that constant-stress creep curve, excluding e0 ; consists of
two creep components. The first one is the transient creep
having a creep rate decreasing with time and describes the
primary creep. This is also known as b flow (the second term
in the above equation), which occurs when j ¼ 0: The
second one is the viscous creep with a constant creep rate
and known as j flow (the third term in the above equation),
which occurs when b ¼ 0: Hence, the addition of e0 ; b flow
and j flow constitute the total constant-stress creep curve, as
shown in Fig. 7.5.
Primary creep strain has been related to time by a number
of empirical relations. Garofalo (1965) summarized the work
of others and showed that for a homologous temperature of
0.05–0.3 and very small creep strains up to about 2 ' 10−3,
a number of BCC, FCC and HCP metals and alloys, and
graphite below 1500 °C exhibit logarithmic creep, where
creep strain, e; varies linearly with the logarithm of time, t, as
given below:
e ¼ c ln t þ C ð7:4Þ
where c and C are time-independent constants. At stresses
and temperatures, where creep strains are greater, the vari-
showing logarithmic creep behaviour have run for a short
duration, involving only a few days, when creep rate is
found to decrease continually with time as shown by (7.4),
which indicates the absence of secondary creep at low
temperatures. But at low temperatures, secondary creep is
observed at sufficiently high stresses or in very long time
tests at low stress levels. Thus, (7.4) describes primary creep
when time t [ 0. Because (7.4) shows that at any stress level
at time t ¼ 0; the initial creep rate is infinitely high which
cannot be accepted because no known creep mechanism can
ð7:3Þ lead to infinitely high rates. On the other hand, initial creep
rates are finite under finite stresses. So, to eliminate the
objection associated with (7.4), let us put C ¼ c ln m in (7.4),
which then becomes
e ¼ c ln mt ð7:5Þ
Since C ! 0 and c ! 0; m ! 1: Hence, without introducing
much error, (7.5) can be replaced by the following relation:
e ¼ c lnð1 þ mtÞ ð7:6Þ
From (7.6) we get, the initial creep rate at t ¼ 0 as
ðde=dtÞt¼0 ¼ ½cm=ð1 þ mtÞ)t¼0 ¼ cm:
When the homologous temperature is in the range of 0.2–
0.7, two relations are found to fit the experimental results for
a large number of BCC, FCC and HCP metals and alloys,
graphite, glass, ceramic oxides, mortar and plastics. The first
of them which describes primary creep is given by
e ¼ e0 þ btm ð7:7Þ

Instantaneous Transient creep, Viscous creep,

Creep curve strain, ε0 called β flow called К flow
Strain

Strain

Strain
Strain

= + +

ε0 ε0
Time Time Time Time

Fig. 7.5 Andrade analysis showing that the addition of instantaneous strain e0 ; transient creep, called b flow, and viscous creep, called j flow,
constitute the total constant-stress creep curve
264
where
e0 the instantaneous true strain observed upon loading,
and
b; m time-independent constants
Creep behaviour in materials according to (7.7) is often
called parabolic creep or b flow. Generally, b increases
exponentially with temperature and stress. The value of m is
assumed to depend on both stress and temperature and has
been found to vary from 0.03 to approximately 1.0. Since
0\m\1, (7.7) reflects a decreasing creep rate with time in
Stage I. When m ¼ 1=3, (7.7) reduces to transient creep
proposed by Andrade.
At stresses where steady-state creep is observed, a linear
term jt; representing secondary creep strain, is added to
(7.7) and the total strain–time relation becomes
e ¼ e0 þ btm þ jt ð7:8Þ
where j = steady-state (secondary) creep rate. When the
Stage I creep is over, the primary creep rate is practically
zero and creep becomes almost viscous. At temperatures
near the melting point of material, the creep curve becomes
mainly linear at low stresses, which has been found for Al,
Au, Cu and d-Fe at a homologous temperature of 0.96–0.99
(Garofalo 1965). In such cases, primary creep basically does
not exist. If primary creep is non-existent or assumed to be
complete, then the creep curve mainly shows steady-state
creep behaviour and is described by the relation
e ¼ e1 þ jt ¼ e1 þ e_ s t ð7:9Þ
where e1 is the instantaneous true strain plus the primary
creep, which is equal to the intercept made by the extrapo-
lation of the linear part of the creep curve on the creep-strain
axis, and j or e_ s is the steady-state creep rate, which is
measured by the minimum creep rate. For very long times
and low stresses, the instantaneous strain plus the primary
creep may be negligible compared to total steady-state creep,
es , i.e. e1 * es ; then e1 can be neglected and (7.9) can be
written in the simpler form
e ¼ e_ s t ð7:10Þ
When Stage II creep lasts for thousands of hours, whereas
first and third stages of creep last only a few hours or per-
haps only minutes, the creep curve can be approximated by
(7.10) and in such cases, the only variable required to
describe the creep behaviour is the minimum creep rate.
Wyatt (1953) has successfully combined (7.4), (7.7) and
(7.8) through his experimental findings on polycrystalline
copper tested over the temperature range of 77–443 K at a
7 Creep and Stress Rupture
constant stress of 176 MN m−2. He found that at lower
temperatures, logarithmic creep occurs, but at higher tem-
peratures, the creep strain at a given time is greater than that
predicted by logarithmic relationship. The creep–time rela-
tion proposed by him consists of three terms, which are
logarithmic, parabolic or power law, and linear or
steady-state creep. His proposed relation is:
0
e ¼ a log t þ btm þ ct ð7:11Þ
where a, b and c are constants and m0 ’ 1=3: He found that
low-temperature logarithmic creep followed a mechanical
equation of state. That is, the creep rate was dependent on
the instantaneous values of stress, strain and temperature and
not on the previous strain history. However, in the higher
temperature range (above room temperature), creep was
strongly dependent on prior strain and thermal history, and
hence, a mechanical equation of state was no longer valid.
Cottrell (1952) suggested a general empirical equation for
the time laws of creep which can represent many creep
curves. This equation expressing the variation of creep rate,
e_ ; with time, t, for a given stress is:
e_ ¼ C1 t%p ð7:12Þ
where C1 and p are empirical constants and the value of
p varies from 0 to 1. Generally, p decreases with increasing
temperature and stress. Depending on the values of p, dif-
ferent types of creep behaviour can be described by (7.12).
When p ¼ 1; integration of (7.12) gives
e ¼ C1 ln t þ C ¼ c ln t þ C ð7:13Þ
e ¼ c ln t þ C ð7:4Þ
where c ¼ C1 ; and C represents the creep strain at time t ¼ 1
(unit of time), since (7.13) is valid only when time t [ 0;
similar to (7.4). Equation (7.13) describes logarithmic creep
found at low temperatures, which has been given by (7.4). In
(7.12), at time t ¼ 0; the initial creep rate is infinitely high,
which is unacceptable as discussed earlier. To eliminate this
objection, t is replaced by t þ t1 in (7.12) for p ¼ 1; which
then becomes
C1
e_ ¼ ð7:14Þ
ðt þ t 1 Þ
where the initial creep rate at t ¼ 0 is C1 =t1 ¼ cm (as shown
in 7.6), and t1 is an arbitrary time which is equal to 1=m:
Now, integration of (7.14) gives
e ¼ C1 lnðt þ t1 Þ þ C2 ð7:15Þ
7.3 Strain–Time Relations
Since at t ¼ 0; the creep strain e ¼ 0; so from (7.15) we
get C2 ¼ %C1 ln t1 ; and (7.15) becomes the same as that
given by (7.6):
% &
t dependent on the magnitude of the steady-state creep rate, e_ s ;
e ¼ C1 ln þ 1 ¼ c lnð1 þ mtÞ ð7:16Þ
t1
where c ¼ C1 ; and m ¼ 1=t1 : When 0\p\1; integration of
(7.12) gives parabolic creep as shown by (7.7), which is as
follows:
C1
e¼ + t1%p þ C3 ¼ e0 þ btm ð7:17Þ
1%p
where b ¼ C1 =ð1 % pÞ ¼ C1 =m; m ¼ 1 % p; and e0 ¼ C3 ¼
instantaneous true strain observed upon loading. When p ¼
2=3 in (7.12), i.e. m ¼ 1=3 in (7.17), we obtain the
Andrade’s laws of transient creep (Andrade 1914),
e ¼ e0 þ bt1=3 ð7:18Þ
When p ¼ 0; we get from (7.12) the steady-state creep as
shown by (7.9), which is as follows:
e ¼ C1 t þ C4 ¼ e1 þ jt ¼ e1 þ e_ s t ð7:19Þ
where e_ s ¼ j ¼ C1 ; and e1 ¼ C4 ¼ instantaneous true strain
plus primary creep. Since steady-state creep is generally
preceded by parabolic or transient creep, so replacement of
e1 in (7.19) by e from (7.17) gives (7.8).
Garofalo (1960, 1965) proposed a creep–time relation
that provides better fit than Andrade’s equation, although
this relation has been tested for ferritic and stainless steels in
the homologous temperature range of 0.4–0.6. The creep
strain, e; is given in the following form:
e ¼ e0 þ et ð1 % e%rt Þ þ e_ s t ð7:20Þ
where
e0 the instantaneous true strain observed upon loading,
et the limiting transient creep strain,
r the ratio of transient creep rate to the transient creep
strain,
e_ s the steady-state creep rate
The second term in the right-hand side of (7.20) gives
transient creep that differs from primary creep in which all of
the time-dependent strain is included. The initial creep rate at
t ¼ 0 is given by ðde=dtÞt¼0 ¼ ½%et e%rt ð%rÞ þ e_ s )t¼0 ¼
ðret e%rt þ e_ s Þt¼0 ¼ ret þ e_ s ; that avoids the objection associ-
ated with (7.4). Creep behaviour that satisfies (7.20) is called
exponential creep.
265
7.4 Creep Rate–Stress–Temperature
Relations
The total elongation and creep life of a material are strongly
which in turn is strongly influenced by the external variables,
stress and temperature. It is believed that thermal energy can
activate or aid in the motion of dislocation. Let us consider a
deformation mechanism acting locally under the influence of
temperature but in the absence of a stress. In such case,
thermal energy is not capable to cause movement of long
dislocation segment, but rather is only able to activate dis-
location reaction on a limited scale. Similarly in creep,
thermal energy can activate the deformation mechanisms
that involve only a small number of atoms. So, for creep
mechanism to operate the presence of stress is an important
factor and the majority of investigations have been limited to
the determination of stress dependence of steady-state creep
rate.
Hence, from a hypothetical model of the effect of stress
on the activation energy of a thermally activated creep
mechanism, the general form of creep equations can be
developed (Reed-Hill 1973). For a creep mechanism to
operate, an energy barrier of the type shown in Fig. 7.6 must
be overcome. For a material to undergo a small unit strain in
the direction from point A to point C, an atom must be
shifted from the free-energy minimum position at A over the
activation energy barrier at B to another free-energy mini-
mum at C. The reversed movement of the atom would
produce a unit strain in the opposite direction. Thermody-
namically, more correct approach would be to express the
energy barrier in terms of free energy. Since the knowledge
about the entropy functions of activation processes is very
little, so for simplicity neglecting entropy, the energy barrier
is expressed by enthalpy change, i.e. DH ¼ Q; and Q is
called activation energy. Now if a given stress acts in the
direction from A to C and the strain is in the direction of the
stress, positive work is performed. This effectively lowers
the height of the energy barrier for deformation in the
direction from A to C, while raises it for deformation in the
direction from C to A. Let the changes in energy, due to
stress, from state A to activated state B and from activated
state B to state C are, respectively, W1 and W2 : As shown in
Fig. 7.6b, the height of the activation energy barrier is then
Q % W1 for the change of state from A to C and is Q þ W2
for the change of state from C to A, where Q is the height of
the activation energy barrier in the absence of a stress.
Hence, the respective frequency with which the mechanism
operates from A to C and C to A is:
266 7 Creep and Stress Rupture

Fig. 7.6 Hypothetical model (a) (b)

B B
showing the effect of stress on the
activation energy of a thermally
activated creep process; a before
application of stress; b after Q – W1
Q Q
application of stress; c continuous Q + W2
operation of creep mechanism by
passing over a series of energy W1
barriers A C W2
A C

(c) B

A to C: m1 ¼ m0 exp½%ðQ % W1 Þ=kT ) ð7:21Þ W eW=kT % e%W=kT

C to A: m2 ¼ m0 exp½%ðQ þ W2 Þ=kT ) ð7:22Þ
where m1 and m2 are respective frequencies of the mecha-
nism, m0 is a constant which is assumed to have the same
value for both directions of the mechanism, k is Boltzmann’s
constant, and T is the absolute temperature.
After passing over the energy barrier at B and reaching
the state C, it is possible for the deformation mechanism to
operate again in the same sense and pass over a similar
energy barrier at D for going from state C to state E, and
then continue on in this same manner over a series of bar-
riers, as indicated in Fig. 7.6c. In general, the frequency
corresponding to strain in the direction of stress will be
larger than that in the direction opposite to the stress. If a
large number of identical mechanisms are capable of oper-
ating in this same fashion, then the net rate, e_ s ; at which
creep strain occurs will be proportional to the difference
between the forward and reverse frequencies, thus
h i
e_ s , m1 % m2 , m0 e%ðQ%W1 Þ=kT % e%ðQ þ W2 Þ=kT
sinh ¼ ;
kT 2
With the above definition, (7.23) becomes
W
e_ s ¼ A0 e%Q=kT 2 sinh ð7:24Þ
kT
In (7.24), the temperature dependence of steady-state creep
rate is represented by an exponential factor, which is e%Q=kT ;
and the stress dependence by a hyperbolic sine function whose
argument is a function of stress, because the value of W de-
pends on the applied stress, r: The simplest assumption is
W ¼ v- r ð7:25Þ
where v- is a constant that depends on the nature of mech-
anism and is called the activation volume. Activation volume
is the average volume of dislocation structure involved in the
deformation process and is given by the product of the
length of dislocation segment involved in the thermal fluc-
tuation, the Burgers vector and the distance the atoms move
during the process. Hence, (7.24) becomes

v- r
Or, e_ s ¼ A0 e%Q=kT + 2 sinh ð7:26Þ
kT
! "
e_ s ¼ A0 e%Q=kT e þ W1 =kT % e%W2 =kT ð7:23Þ v- r v- r
For a very small applied stress, sinh , ; and
kT kT
where A0 is a constant that contains m0 : Let us simplify (7.26) becomes
(7.23) by assuming W1 ¼ W2 ¼ W: Recalling the definition 2v- r
e_ s ¼ A0 e%Q=kT + ð7:27Þ
of the hyperbolic sine function, we can write kT
7.4 Creep Rate–Stress–Temperature Relations
Equation (7.27) shows that when the applied stresses are
very small, the creep rate is directly proportional to the
applied stress. On the other hand, if Q is large compared to
kT, and the stress is also large, the backward frequency m2 is
negligible compared with the forward frequency m1 of the
deformation mechanism. In such case, the deformation
mechanism may be assumed to act only in the forward
(stress-aided) direction and thus, the creep rate becomes
directly proportional to m1 : Hence, we may write
e_ s ¼ A0 e%ðQ%W Þ=kT
¼ A0 e%Q=kT eW=kT ð7:28Þ
¼ A0 e%Q=kT ev
-
r=kT
The assumption that Q . kT is quite reasonable because
the energy barrier is around 40 times larger at room temper-
ature and 10 times larger at 900 °C than the thermal energy.
Garofalo (1963) proposed an empirical relation showing
the temperature and stress dependence of steady-state creep
rate, e_ s ; as follows:
e_ s ¼ Aðsinh arÞn e%Q=RT ð7:29Þ
where the stress, r; is held constant. A, a; and n are exper-
imentally determined constants and Q is an activation
energy. Equation (7.29) is the most generally applicable
relation, which was also adopted by Sellars and Tegart
(1966) for hot-working studies. Let us consider (7.29) sep-
arately at constant stress and at constant temperature test
conditions. At constant stress, (7.29) becomes
ðe_ s Þconst: stress ¼ A1 e%Q=RT ð7:30Þ
where
A1 the pre-exponential term, which is constant at constant
stress. It includes frequency of vibration of the flow
unit, the entropy change and a factor that depends on
the structure of the material, which includes the
number, distribution, and length of dislocations, type
and dispersion of precipitates, grain size and perhaps
other geometrical details,
Q the activation energy for the rate-controlling process in
creep (J mol−1),
R the universal molar gas constant, 8.314 J mol−1 K−1.
Note that R = kN, where k is Boltzmann’s constant and
N is Avogadro’s number.
T the test temperature (K)
267
Again, at constant temperature, (7.29) can be written as
ðe_ s Þconst: temperature ¼ A2 ðsinh arÞn ð7:31Þ
where A2 and a are constants at constant temperature. The
dimension of a is inverse to that of stress r: At low stress
levels, where values of ar\0:8; it can be assumed that
sinh ar , ar; and then (7.31) reduces to a power depen-
dence of stress as follows:
ðe_ s Þconst: temperature; low stress ¼ A2 ðarÞn ¼ ðA2 an Þrn ¼ A02 rn
ð7:32Þ
where A02 is independent of stress, but dependent on tem-
perature. n is independent of stress and, to some extent,
depends on temperature. For annealed metals and alloys, n is
found to vary from 1 to 7 and seems to be independent of
crystal structure. For Au, Ag, Cu and d-Fe, n approaches 1 at
temperatures near the melting point under conditions where
creep is controlled by stress-induced migration of vacancies.
In most other cases for high-temperature creep n remains
between 2 and 4 for alloys and between 4 and 6 for pure
metals, although there are a few deviations from these
variations. An example of the change in n with alloying is
that n = 5.6 for both Ni and Au, but upon alloying, n drops
rapidly from this value and reaches a minimum value of
roughly 3 (Garofalo 1965).
Sherby (1962) has shown that the steady-state creep rate
for a number of pure metals follows a power dependence of
stress, as given by (7.33). This power relation shows that
n = 5, which is in agreement with the range of n-values for
pure metals, as mentioned above.
! r "5
e_ s ¼ CS d2 D ð7:33Þ
E
where
e_ s the steady-state creep rate (h−1),
CS a constant (1029 cm−4),
d the grain diameter (cm),
D the self-diffusion coefficient (cm2/s),
r the creep stress (psi),
E the elastic modulus (psi).
At high stress levels, where values of ar [ 1:2; (7.31)
reduces to an exponential dependence of stress. Since
sinh ar ¼ ðear % e%ar Þ=2; and at high stress levels ear .
e%ar ; so e%ar can easily be neglected. Thus, we get
268 7 Creep and Stress Rupture

sinh ar , ear =2; which may be substituted in (7.31) to 7.5 Steady-State Creep
obtain the exponential relation of stress:
% ar &n 7.5.1 Effect of Grain Size
e
ðe_ s Þconst: temperature; high stress ¼ A2
2 The effect of grain size on steady-state creep rate has been
A2 ð7:34Þ studied to a great extent. Equation (7.33) indicates that
¼ n expðnarÞ
2 steady-state creep rate increases with increasing grain
¼ A002 expðbrÞ diameter. Parker (1958) has also shown that the steady-state
creep rate, e_ s ; increases as the grain size is increased for
where A002 and b are independent of stress, but found to be copper at temperature of 0:5Tm ; where Tm is the melting
dependent on temperature. point of material on the absolute scale. Further, this is found
However, (7.31) expressing the stress dependence of by other investigators (Feltham and Meakin 1959) to be true
steady-state creep rate by a hyperbolic sine function is a
at 0:6Tm and e_ s is shown to be proportional to d 2 ; where d is
single stress function that has been observed to satisfy the
the diameter of grain. Later on, e_ s / d2 is also observed for
experimental results over the entire stress range from a low to
brass at 0:6Tm (Feltham and Copley 1960). But a different
a high level used in the tests (Garofalo 1963). This means that
behaviour is exhibited by lead at 25 °C (0:5Tm ) (McKeown
when log e_ s is plotted against log sinh ar; linearity will be
1937) that shows e_ s / 1=d; i.e. as d increases e_ s decreases.
observed over the entire stress range. For simplicity, the
However, in many instances, at temperatures greater than
power relation given by (7.32) can be used at low stress
about half of the homologous temperature coarse-grain-size
levels, because the plot of log e_ s versus log r shows linearity
materials exhibit lower steady-state creep rates and higher
at low stress levels and gradually deviates from linearity as
creep resistances than fine-grain-size materials. In several
the stress increases. Similarly, the exponential relation given
metals and alloys, for example, tin at 25 °C (0:6Tm ) (Hanson
by (7.34) agrees well with the test results at high stress levels,
1939), Fe–Cr–Ni–Mn alloy at 704 °C at various stresses
where the plot of log e_ s versus r shows a linearity and as the
(Garofalo et al. 1964), monel at various temperatures and
stress is decreased, there is a gradual deviation from linearity.
stresses (Shahinian and Lane 1953), it has been observed
The temperature dependence of steady-state creep rate (7.30)
that e_ s is minimum at a critical value of d and e_ s increases as
can be combined separately with the power dependence of
d is decreased or increased from this critical value. This
stress (7.32), and the exponential dependence of stress (7.34)
general behaviour of variation e_ s with d is shown schemat-
to yield the following equations for steady-state creep rate, e_ s ;
ically in Fig. 7.7 at a constant temperature at various stresses
respectively at low and high stress levels:
and in Fig. 7.8 at various temperatures and stresses. The
ðe_ s Þlow stress ¼ A0 rn e%Q=RT ð7:35Þ variation of e_ s with d can be described by the following
relation which was found to be fitted to the test results for
ðe_ s Þhigh stress ¼ A00 ebr e%Q=RT ð7:36Þ both Fe-alloy and monel.

Fig. 7.7 Schematic curves

Temperature is constant, but stresses vary from σ1 to σ4.
showing variation of secondary
creep rate with grain size at
various stresses at a constant σ 1 > σ 2 > σ3 > σ 4
temperature (Garofalo et al. 1964)
Secondrary creep rate (log scale)

σ1

σ2

σ3

σ4

Grain diameter (log scale)

7.5 Steady-State Creep 269

Stress, σ1 > σ2 > σ3 > σ4
Temperature, T1 < T2 < T3 < T4
σ1 , T1
Secondary creep rate (log scale)
levels, whereas Fig. 7.7 shows that the values of dm remain
nearly constant at a constant temperature at various stress
levels. These indicate that the values of dm are weakly
dependent on stress, from which it can be concluded that the
increase in dm in Fig. 7.8 is due to the increase in temper-
ature. From Fig. 7.8, it is seen that dm is very small at low
creep temperatures. Hence, we can say e_ s / d2 at low creep
3
temperatures, since we can substitute 2dm þ d3 , d3 in the
numerator of (7.38). On the other hand, at high creep tem-
peratures, where dm is large, we may neglect d 3 term in the

3
numerator of (7.38), since 2dm . d3 ; and thus at high creep
temperatures, e_ s will be essentially proportional to 1/d. At
intermediate creep temperatures, (7.38) will predict a mini-
mum in e_ s : It has been found (Pranatis and Pound 1955) that
σ2 , T 2 in copper, near its melting point, where stress-induced
migration of vacancies controls creep, e_ s / 1=d2 ; instead of
creep rate varying as 1/d.
As grain-boundary sliding can add to the creep defor-
σ 3 , T3
mation and increase the creep rate, one simple explanation
for lower creep rate observed in a coarse-grain material at
high creep temperatures is that a coarse-grain material has
smaller grain boundary areas per unit volume available for
σ4 , T4 sliding than a fine-grain material. Parker (1958) has pro-
posed that the change in grain-boundary structure associated
with different grain-coarsening treatments is the primary
reason for variation of creep rate with grain size. Since
Average grain diameter (log scale) high-temperature creep is dependent on dislocation climb,
the creep rate increases with increase in the rate of diffusion
Fig. 7.8 Schematic curves showing secondary creep rate as a function of vacancy to edge dislocation. Vacancy can diffuse more
of grain size at various stresses and temperatures (Shahinian and Lane
1953)
rapidly along high-energy grain boundaries than through the
interior of the grains. Vacancy diffusion is rapid in a
fine-grain-size material having more number of high-angle
k grain boundaries and so, the creep rate is higher. When the
e_ s ¼ þ Kd2 ð7:37Þ
d same material is subjected to high temperature for coarsen-
ing of grains, the grain growth will cause most of the
where k and K are constants at constant temperature and
high-energy grain boundaries to vanish. Hence, material
stress. Let dm is the critical grain diameter of the material at
with coarser grain will have lesser grain boundary areas per
which e_ s is minimum. The above relation can be more
unit volume and mostly lower-energy grain boundaries for
conveniently expressed by differentiating (7.37) with respect
which vacancy diffusion is relatively slow. Therefore, the
to d at the point of minimum in the curve, where d ¼ dm ;
coarse-grain material will result in a lower creep rate and
and setting the differential to zero for the minimum as
higher resistance to creep. For example, when aluminium is
follows:
added for deoxidation of steels, it refines the grain size, and
# $
d_es k 3
thus, creep properties are generally poor in
¼ 0; or; % 2 þ 2Kdm ¼ 0; or; k ¼ 2Kdm aluminium-deoxidized steels than in silicon-deoxidized
dðd Þ d¼dm dm
# 3 $ steels having relatively coarse grains.
2dm þ d 3
) e_ s ¼ K ð7:38Þ
d

Since (7.38) fits to both curves shown in Figs. 7.7 and 7.8
and e_ s increases with increasing stress over the whole range
of grain diameter, d, these indicate that K is strongly
dependent on stress. Figure 7.8 shows that the values of dm
increase with increasing temperature and decreasing stress
7.5.2 Activation Energy
Steady-state creep becomes dominant at temperatures above
about half of the absolute melting point of the material.
Since creep is dependent on the thermally activated
270 7 Creep and Stress Rupture

processes, so it is necessary to examine the role of temper-
ature on creep mechanisms. More than one mechanism is
likely to operate in creep at a given time. If these various
mechanisms are assumed to depend on each other, the one
with the slowest rate that requires the highest activation
energy will be the rate-controlling mechanism. If, however,
the operations of these mechanisms are independent of each
other, the one with the fastest rate that requires the lowest
activation energy will be the dominant mechanism. In the
simplest way, creep may be assumed to be due to a single
activated process. In such conditions, the creep rate can be
expressed by an Arrhenius-type rate equation, which has
already been shown by (7.30) and is repeated below for
convenience of reference:
%Q=RT
ðe_ s Þconst: stress ¼ A1 e
For a given material with the same structure, if log e_ s is
plotted against 1/T a series of parallel straight lines, one for
each stress level, will result, provided (7.30) is effective. The
slope of these lines will be 0.4343Q/R.
Using temperature differential tests of the type shown in
Fig. 7.9, Dorn (1957) developed method to determine acti-
vation energy Q. He assumed that the term A1 in (7.30) that
includes the dislocation structure remained substantially
constant with small changes in temperature. The assumption
that the dislocation structure remains constant during the
change of temperature is quite reasonable because disloca-
tions are not easily formed by thermal activation. Further, it
is assumed that a single creep-rate-controlling mechanism
prevails over the small temperature range considered.
A creep test is carried out at a temperature T1 at a constant
stress r: After a suitable creep time t, or attaining an
equivalent creep strain e; the temperature is changed by a
small amount DT to T1 þ DT; which causes to change the
creep rate immediately from e_ 1 at T1 to e_ 2 at T1 þ DT: The
same metallurgical microstructure is assumed to be present
before and after the change of creep rate. Thus, the
temperature change is considered to be the only reason for
the change of creep rate. If creep rates, e_ 1 and e_ 2 ; are mea-
sured before and just after the temperature change, then
(7.30) can be applied to determine Q as follows:
A1 ¼ e_ 1 eQ=RT1 ¼ e_ 2 eQ=RðT1 þ DT Þ ;
Or;
% & % &
e_ 2 1 1
R ln ¼Q %
e_ 1 T1 T1 þ DT
% &# $ % &% 2 &
e_ 2 ðT1 þ DT ÞT1 e_ 2 T1 þ T1 DT
) Q ¼ R ln ¼ R ln
e_ 1 ðT1 þ DT Þ % T1 e_ 1 DT
ð7:39Þ
Employing temperature differential tests of the type
shown in Fig. 7.9, Dorn determined the activation energies
ð7:30Þ
for polycrystalline aluminium over the temperature range
from 75 K to near its melting point. It was found that Q in-
creased with increasing temperature from 75 K to about
233 K, where Q reached a value of 117 kJ mol−1. Between
233 and approximately 373 K, the activation energy
remained approximately constant around the value of
117 kJ mol−1. Above 373 K, Q increased again, reached a
value of 146.45 kJ mol−1 at 467 K and then remained
constant up to near the melting point. The increase in acti-
vation energy from a value of 117–146.45 kJ mol−1 between
373 and 467 K implies that the two creep mechanisms are
both operative and interdependent in this temperature range.
The activation energy value of 146.45 kJ mol−1 has been
found to be equal to that for self-diffusion in Al (Dorn 1957).
It was also found that if the ratio of the activation energy for
creep to that for self-diffusion is plotted against the homol-
ogous temperature, the curve obtained for polycrystalline
pure aluminium coincides with that for polycrystalline
OFHC copper (Landon et al. 1959).
An alternative method to determine the activation energy
is to carry out creep tests at two separate temperatures not
too widely separated, say T1 and T2 ; but at the same stress

(a) (b)
σ = Const. σ = Const.

!2 T1 + ΔT
!2
!1
Log10 !

! T1 T1 + ΔT

!1
T1

t !

Fig. 7.9 Method to determine activation energy in creep from temperature differential tests carried out at a constant stress r; by changing
temperature from T1 to T1 þ DT; which is demonstrated by a strain–time plot and by b log of strain rate versus strain plot
7.5 Steady-State Creep
level, where it is assumed that the structure will remain the
same at both the temperatures for a given strain during
steady-state creep. This method is based on Dorn’s obser-
vation, which is:
h ¼ te%Q=RT ð7:40Þ
where h is called a temperature-compensated time parame-
ter and t is the time of creep exposure. Creep curves deter-
mined at several different temperatures but at the same stress
can be represented by a single common creep curve when
creep strain, e; is plotted against h; i.e. te%Q=RT ; provided a
single creep-rate-controlling mechanism prevails. An
important characteristic of (7.40) is that equivalent structure
is obtained for the same values of e and h: To reach a given
strain, e; if the times of creep tests carried out under the same
applied stress at temperatures T1 and T2 are, respectively,
determined as t1 and t2 ; then from (7.40)
h1 ¼ h2 ¼ t1 e%Q=RT1 ¼ t2 e%Q=RT2 ð7:41Þ
Since e ¼ f ðhÞ; so for a given strain e; the values of h are
equal, i.e. h1 ¼ h2 : Hence, it follows from (7.41) that
% &% & polycrystals of Al, Cu, Mg, Sn and Pb.
t1 T1 + T2
Q ¼ R ln ð7:42Þ
t2 T 2 % T1
This method was used satisfactorily by Dorn for alu-
minium in the temperature range 424–531 K at a constant
stress of 20.7 MPa, which showed activation energy of
142 kJ mol−1.
An extensive correlation (Sherby et al. 1954) of creep and
diffusion data shows that at high temperatures, where
steady-state creep predominates, the activation energy in
most cases is equal to or nearly equal to the activation en-
ergy for self-diffusion. This indicates that the
creep-rate-controlling mechanism is diffusion controlled.
Significant phenomena involved in steady-state creep are the
formation and movement of vacancies and the formation of a
dislocation subgrain structure. These strongly support the
view that dislocation climb is the rate-controlling mecha-
nism in high-temperature creep. In general, metals with
lower self-diffusion coefficients will show higher creep
resistance. Since the activation energy for self-diffusion,
Q (assuming to be the same as that for creep), is the sum of
the energies for vacancy formation, QF ; and movement, QM ;
i.e. Q ¼ QF þ QM ; it is expected that metals in which
vacancy movement is restricted, i.e. QM is high, will have
more resistance to creep. The higher the QM ; the higher is
the Q, and the lower is the self diffusion coefficient, D, since
D / e%Q=RT : Hence, BCC metals in which diffusivity is
higher than in FCC metals will have less creep resistance.
Sherby (1962) has indicated that the creep rate for BCC
' (
a-ironðe_ a Þ is 200 times higher than that for FCC c-iron e_ c
271
at the transition temperature, i.e. e_ a ¼ 200 e_ c : This correlates
with self-diffusion coefficient in a-iron; Da ; being 350 times
higher than that in c-iron; Dc ; i.e. Da ¼ 350 Dc : Thus, FCC
c-iron is more creep-resistant than BCC a-iron under com-
parable conditions. Further, the self-diffusion coefficient in
alpha iron increases with carbon content, which causes to
increase the creep rate and decrease the creep resistance.
It is important to know whether the magnitude of acti-
vation energy for creep, Q, depends on any of the metal-
lurgical variables or not. Investigations for aluminium,
copper (Landon et al. 1959), magnesium, stainless steel
(Garofalo et al. 1963) and several other alloys have shown
that both at low and high temperatures, Q is independent of
creep strain. For creep deformation at high temperatures,
where the activation energy for creep is very close to that for
self-diffusion, the effect of stress on Q seems to be reason-
ably small. The activation energy is independent of defor-
mation temperature, if the temperature is sufficiently high,
but Q changes significantly at lower temperatures. At tem-
peratures where the activation energy for creep is essentially
equal to that for self-diffusion, Q is found to be independent
of grain size and essentially the same for single crystals and
7.6 Creep Deformation Mechanisms
The main deformation processes at elevated temperature are:
• Slip, which includes multiple slip, the formation of
coarse slip bands, involvement of operation of new slip
system, etc.
• Subgrain formation as shown in Fig. 1.16, where excess
dislocations of one sign arrange themselves into a
low-angle grain boundary by dislocation climb process
that readily occurs at high temperature. During primary
creep, the subgrain structure or cell structure forms and
the dislocation density of the subgrain network increases
to a certain level, which remains essentially constant
during steady-state creep. The size of subgrain depends
on the applied stress and deformation temperature. High
temperature and a low stress or creep rate produce large
subgrains. Metals of high stacking fault energy readily
form a subgrain structure.
• Grain-boundary sliding. It is a shear process occurring in
the direction of grain boundary, causing the movement of
grains relative to each other in polycrystals. Grain
boundaries lying at about 45° to the applied tensile stress
will experience the maximum shear stress and slide the
most. It is encouraged by decreasing the strain rate and/or
increasing the temperature. The strain due to
grain-boundary sliding may vary from only a few per
272
cent to as high as 50% of the total strain, depending on
the test conditions and the material.
At low homologous temperatures, the dominant defor-
mation mechanisms in crystalline solids are slip and twin-
ning. The mechanism of low-temperature creep is
dislocation glide, which involves the movement of disloca-
tion along slip planes and the overcoming of obstacles by
thermal activation. Creep resulting from this mechanism
occurs at high stress where r ! 10%2 G: These stress levels
are higher than those generally considered in creep defor-
mation. The creep rate depends on the hindrance of dislo-
cations by barriers such as other dislocations, solute atoms
and precipitates.
However, at intermediate and high homologous temper-
atures where creep predominates, the three basic mecha-
nisms that contribute to creep in metals are:
1. Dislocation creep that involves dislocation glide and
climb.
2. Diffusional creep that involves stress-assisted diffusional
flow of atoms and vacancies.
3. Grain-boundary sliding.
Most often several creep mechanisms operate simulta-
neously. If more than one mechanism operates indepen-
dently of each other, i.e. they operate parallelly, then the
total steady-state creep rate is given by
X
e_ s ¼ e_ i ð7:43Þ
i When metals are deformed at elevated temperature, slip
where e_ i is the creep rate for ith mechanism. For parallel
mechanisms, the fastest one will control or dominate the
creep deformation. If there are i number of mechanisms that
operate sequentially, i.e. operate in series, then the total
steady-state creep rate is given by
1 X1
¼ ð7:44Þ
e_ s i
e_ i
For series mechanisms, the slowest one will control or
dominate the creep deformation.
Creep of various materials exhibiting a variety of mech-
anism can be described by the following Mukherjee–Bird–
Dorn equation (Mukherjee et al. 1969) which expresses the
steady-state creep rate in terms of stress, temperature and
grain size as:
% &% &p0 ! " 0
BGb Q b r n
e_ s ¼ D0 exp % ð7:45Þ
kT kT d G
where B is a dimensionless material constant that includes
additional effects of microstructure such as stacking fault
7 Creep and Stress Rupture
energy (Sherby and Burke 1967; Mukherjee et al. 1969),
G is the elastic shear modulus, b is the burgers vector, k is
the Boltzmann’s constant, T is the temperature on absolute
scale, D0 is the frequency factor, Q is the activation energy
for creep, d is the grain size, p0 is the inverse grain size
exponent, r is the applied stress, and n0 is the stress expo-
nent. Specific creep mechanisms have specific values of n0 :
Equation (7.45) shows that stress and temperature are the
two main external variables, on which the creep rate
depends. Note that the last three-bracketed terms on the
right-hand side in (7.45) are dimensionless quantities. It is
commonly observed that the activation energy for creep is
equal to that for diffusion; hence, the term D0 expð%Q=kTÞ
in (7.45) is replaced by the relevant diffusion coefficient, D,
(Sherby and Burke 1967; Mukherjee et al. 1969) and (7.45)
takes the following form:
% &0
DGb b p ! r "n0
e_ s ¼ B ð7:46Þ
kT d G
7.6.1 Dislocation Creep or Climb–Glide Creep
Dislocation creep involves the dislocation glide coupled with
dislocation climb that assists to overcome barriers by a
process of diffusion of vacancies or interstitials. This occurs
at intermediate and high homologous temperatures and at
intermediate stresses, where normalized stress is such that
10%4 \r=G\10%2 : The stress dependence of climb–glide
creep is stronger than that of diffusional creep.
system that was not active at room temperature may become
operative and dislocation glide is promoted. When a
well-annealed material is initially subjected to a stress, the
movement of dislocations will be rapid as few obstacles are
present to resist their motion. However, dislocations multi-
ply rapidly and cause strain hardening which subsequently
decreases the creep rate during the primary transient creep
stage. This strain hardening occurs as the number of dislo-
cations increases and they start to act as barriers to glide
motion of other dislocations. On encountering an obstacle,
dislocations are blocked and tend to pile up at the barrier. At
low applied stress levels, dislocations are unable to bow
around or cut through the obstacle. However at elevated
temperature, an edge dislocation may climb upwards or
downwards to a parallel slip plane. Climbing occurs by
diffusion of vacancies or interstitial atoms through a crystal
lattice to or away from the edge dislocation. Compressive
stress in the direction normal to the incomplete plane causes
upwards climb of dislocation, whereas downwards climb is
caused by tensile stress acting normal to the incomplete
plane. After climbing, the dislocation glides along the new
slip plane until it encounters another resisting obstacle,
7.6 Creep Deformation Mechanisms 273

where the dislocation again climbs up or down to another
parallel slip plane and the process is repeated. Thus, creep
occurs by the sequential processes of dislocation glide and
climb. During the primary transient creep stage, the process
of climbing makes the dislocation structure gradually orga-
nized into low-angle boundaries that define subgrains within
the grains. This substructure becomes more stable as the
creep deformation approaches the steady state. Note that
subgrain structures do not form in glide-controlled creep. In
climb–glide creep, almost all of the creep strain is produced
by the glide step, whereas the average velocity of dislocation
is controlled by the climb step. As the climb step is slower
than the glide, so the rate-controlling step is the dislocation
climb, i.e. the diffusion of vacancies or interstitials.
For dislocation climb–glide creep, the value of inverse
grain-size exponent p0 in (7.46) is zero, because this type of
creep is independent of grain size. The stress dependence of
steady-state creep rate in climb–glide creep exhibits a power–
law relation, which is obtained by substituting p0 ¼ 0; in
(7.46):
DGb ! r "n0
e_ s ¼ B ð7:47Þ
kT G
Theoretical treatments can yield a value of 3 or 4 for n0
and this is often termed the natural creep law. The value of
n0 is a function of crystal structure and stacking fault energy
and n0 increases with decreasing stacking fault energy. It has
been seen that n0 may vary from 3 to 8.
At high homologous temperatures greater than or equal to
0.5, it is observed for a variety of materials that n0 ¼ 5 is the
most common in the power law region which agrees well
with (7.33), and accordingly, this regime is often called
power law creep. For a wide variety of materials, it is seen
(Nix and Gibeling 1985) that the activation energy for creep,
Q, is equal to that for lattice self-diffusion, QL at homolo-
gous temperatures greater than or equal to 0.5. This evidence
supports the concept that the rate of power law creep is
controlled by lattice self-diffusion at homologous tempera-
tures greater than or equal to 0.5. Hence in (7.47), the rel-
evant diffusion coefficient, D, is to be substituted by the
lattice or bulk self-diffusion coefficient DL : Hence, consid-
ering n0 ¼ 5 (the most common value) for power law creep,
(7.47) can be presented as
DL Gb ! r "n DL Gb ! r "5
e_ s ¼ B ¼B ð7:48Þ
kT G kT G
However, at lower homologous temperatures lying
between 0.25 and 0.5, the activation energy for creep falls to
lower values and generally corresponds to the activation
energy for vacancy diffusion along dislocation cores. In this
temperature range, the creep rate depends on the dislocation
density that serves as diffusion paths for this
low-temperature climb. Since the density of dislocations is
directly proportional to the square of stress [see (1.58a)], this
leads to an effective diffusion coefficient, Deff ; given by
! r "2
Deff ¼ DL þ / Dcore ð7:49Þ
G
where / is a constant which is equal to about 10, and Dcore is
the self-diffusion coefficient in the dislocation core. Substi-
tution of Deff from (7.49) for DL in (7.48) shows that the
expected most common stress exponent in this temperature
region is n0 ¼ 7; which arises as a result of the above
additional stress dependence. Thus, we see that the lattice
diffusion is dominant at high homologous temperatures,
whereas core diffusion becomes dominant at intermediate
homologous temperatures, in which the steady-state creep
0 0
rate varies as rn þ 2 instead of rn :
The plot of the steady-state creep rate, normalized with
lattice diffusivity, against the stress, normalized with the
shear modulus, is shown in Fig. 7.10. Power law creep

Fig. 7.10 Schematic plot of

steady-state creep rate, 1018
normalized with diffusivity, Power-law
versus stress, normalized with breakdown
shear modulus, showing the effect
of the stress on the steady-state 1014
creep rate
Power-law
creep
εs
1010
DL

Harper-Dorn
106 creep 5
1

1
1
102
10–7 10–6 10–4 10–2
σ/G
274
occupies the intermediate region of the stress. At a stress of
r [ 10%3 G; the creep rate starts to increase more rapidly
with applied stress and the measured creep rates are higher
than that predicted by (7.48). This is the power law break
down region, where the creep rate is mathematically
described by hyperbolic sine function as shown by (7.29) or
by an exponential relation as shown by (7.36). According to
Weertman (1957), the onset of exponential creep at high
stress levels is related to accelerated diffusion, which occurs
due to an excess vacancy concentration caused by disloca-
tion–dislocation interactions.
At stresses lower than r ¼ 5 ' 10%6 G; but at high
homologous temperatures and for large grain sizes, the
steady-state creep rate for a dislocation creep mechanism is
found to be proportional to the applied stress, i.e. the stress
exponent, n0 ¼ 1: This was first noted in aluminium by
Harper and Dorn (Harper and Dorn 1957; Harper et al. 1958)
and is called Harper–Dorn creep. They observed that the
rates of this linear viscous creep were much higher than
those possible by diffusional creep. Harper–Dorn creep is
believed to be due to climb-controlled creep under condi-
tions where the dislocation density is independent of stress,
i.e. does not change with stress and remains constant at a low
value of about 108/m2. The Harper–Dorn creep rate is given
by the following relationship, which is obtained by substi-
tuting the inverse grain-size exponent p0 ¼ 0; diffusion
coefficient D ¼ DL and the stress exponent n0 ¼ 1 in (7.46):
DL Gb ! r "
e_ HD ¼ BHD ð7:50Þ
kT G indicated by solid arrow lines, whereas the dashed arrow
where experimental value of BHD for aluminium is
5 ' 10−11 (Harper et al. 1958). Equation (7.50) shows that
the rate of Harper–Dorn creep is directly proportional to
stress. Note that at low stresses and for large grain sizes,
Harper-Dorn creep will dominate when the diffusional creep
is suppressed by a large grain size.
7.6.2 Diffusional Creep
Diffusional creep is favoured and often becomes the domi-
nating mechanism for fine grain sizes at relatively low
stresses where r / 10%4 G: The process of diffusional creep
is controlled by stress-directed diffusion of atoms. A stress
changes the chemical potential of the atoms at the surfaces of
the grains in a polycrystal. When a tensile stress is applied to
grain boundaries, it causes a decrease in energy for creation
of vacancies and thus increases vacancy concentration along
grain boundaries subjected to tension while there is an
increase in energy for formation of vacancies under com-
pression leading to less concentration of vacancies along
compressed grain boundaries. In diffusional creep, this
concentration gradient of vacancies induces a flow of
7 Creep and Stress Rupture
vacancies from grain boundaries experiencing tensile stres-
ses to those which are subjected to compressive stresses.
Simultaneously, there is a corresponding migration of atoms
or ions in the opposite direction. Over a period of time, this
stress-assisted flow of atoms leads to the elongation of grains
and test specimen in the direction of applied tensile stress
and the contraction of grains and test specimen in the
transverse direction resulting in creep. The grain size is
important in diffusional creep because the grain boundaries
serve as sources and sinks for the diffusing vacancies. So, it
is necessary to include grain-size dependence in the rate
equation of diffusional creep. In diffusional creep, vacancy
diffusion can occur either through the grain interiors or
through the grain boundaries. Depending on the path of
diffusion of vacancies, two mechanisms operate in the region
of diffusional creep, and accordingly, there are two types of
diffusional creep:
• Nabarro–Herring creep.
• Coble creep.
7.6.2.1 Nabarro–Herring Creep
In Nabarro–Herring creep (Nabarro 1948; Herring 1950),
diffusion of vacancies and atoms or ions occurs through the
grain interiors since it is the shortest path of diffusion.
Nabarro–Herring creep is favoured at high homologous
temperatures. Figure 7.11 shows the mechanism of
Nabarro–Herring creep, in which stress-directed flow of
vacancies from tensile to compressive grain boundaries is
lines indicate the corresponding reverse flow of atoms or
ions. The Nabarro–Herring creep rate is given by the fol-
lowing relationship, which is obtained by substituting the
inverse grain size exponent p0 ¼ 2; diffusion coefficient D ¼
DL and the stress exponent n0 ¼ 1 in (7.46):
% &
DL Gb b 2 ! r "
e_ NH ¼ BNH ð7:51Þ
kT d G
where BNH , 7 (Hertzberg 1989). Equation (7.51) shows
that the Nabarro–Herring creep rate varies as d%2 ; and is
directly proportional to stress.
7.6.2.2 Coble Creep
Diffusion is very sensitive to temperature; at lower homol-
ogous temperatures, the main diffusion path is via grain
boundaries, because the activation energy for grain boundary
diffusion is significantly lower than that for lattice diffusion
and diffusion is more rapid through the grain boundary than
through the grain body. When diffusion occurs along grain
boundaries, the mechanism is known as Coble creep (Coble
1963). The mechanism of this creep is shown in Fig. 7.12, in
which the solid arrow lines indicate the grain boundary
7.6 Creep Deformation Mechanisms 275

Stress 7.6.3 Grain-Boundary Sliding

The grain-boundary sliding that occurs at sufficiently high

homologous temperatures is important in initiating inter-
Flow of granular fracture (see Sect. 7.9) and this fracture-initiation
atoms or ions
indicates the onset of tertiary creep. For occurrence of
Grain
grain-boundary deformation without formation of cracks at
grain boundaries, other deformation modes must be avail-
able to obtain continuity of strain along the grain boundary.
Grain boundary

One of the processes to accommodate grain-boundary strain

Flow of at elevated temperature is grain-boundary migration, in
vacancies
which the grain boundary moves normal to itself under the
action of shear stress and relieves the stress concentration.
Grain boundary On the other hand, grain-boundary sliding is needed to
prevent the formation of internal cracks or voids during
Grain diffusional creep of polycrystals. Hence, it may be stated that
Flow of grain-boundary sliding does not represent an independent
atoms or ions deformation mechanism. In order to maintain grain conti-
guity during diffusional flow process, the grain-boundary
sliding rate must exactly balance the diffusional creep rate.
This situation is explained in Fig. 7.13. Note that the
stress-directed atomic diffusion from grain boundaries under
Stress
compression to those subjected to tension elongates grains
Fig. 7.11 Mechanism of Nabarro–Herring creep, in which and causes the grain boundaries to separate from one
stress-directed flow of vacancies from tensile to compressive grain another. The separation of grains leads to the formation of
boundaries, is indicated by solid arrow lines, whereas the dashed arrow internal cracks or voids. This can be prevented if the diffu-
lines indicate the corresponding reverse flow of atoms or ions sional flow is accommodated by concurrent displacement of
the grains via their sliding over one another so as to bring
grains together. Diffusional creep and grain-boundary sliding
diffusion of atoms from compressive to tensile grain can therefore be considered to take place sequentially in
boundaries and the corresponding reverse flow of vacancies which diffusional creep leading to grain separation is fol-
is indicated by the dashed arrow lines. Coble creep occurs at lowed by grain-boundary sliding causing to ‘heal’ voids
homologous temperatures lower than and for grain sizes between grains. Hence, one finds that Nabarro–Herring and
smaller than those where Nabarro–Herring creep occurs. The Coble creep models are themselves dependent on
Coble creep rate can be obtained from (7.51), in which DL is grain-boundary sliding. It may be concluded that Nabarro–
replaced by dDgb =d: Herring and Coble diffusional creep mechanisms are ‘iden-
% &% & tical with grain-boundary sliding with diffusional accom-
Dgb Gb d b 2 ! r " modation’ (Raj and Ashby 1971).
e_ Co ¼ BCo
kT d d G If the grain boundary is smooth on atomic level, the
% &% &3 ! " ð7:52Þ
Dgb Gb d b r accommodation by sliding occurs readily and the creep rate
¼ BCo
kT b d G is given by the sum of (7.51) and (7.52). However, grain
boundaries are not so uniform. Let us consider the effect of
where BCo , 50; d is the grain-boundary thickness, and Dgb irregularity of grain boundary on grain-boundary sliding.
is the grain-boundary diffusion coefficient. Equation (7.52) Figure 7.14a shows a sinusoidal form of ‘wavy’ grain
shows that the Coble creep rate is directly proportional to boundary in which perturbation height or amplitude is h and
stress and varies as d %3 ; i.e. it is more sensitive to grain size perturbation wavelength is k: The wavy grain boundaries
than is Nabarro–Herring creep. Since smaller grain size has that are often seen during high-temperature creep are pro-
increased number of grain boundaries, so the Coble creep duced due to grain-boundary migration and inhomogeneous
rate is expected to increase with decreasing grain size. deformation of grain boundary. Grain-boundary sliding,
276 7 Creep and Stress Rupture

Stress

Grain boundary
diffusion of vacancies

Grain boundary
diffusion of atoms

Stress

Fig. 7.12 Mechanism of Coble creep, in which the solid arrow lines indicate the grain boundary diffusion of atoms from compressive to tensile
grain boundaries and the dashed arrow lines indicate the corresponding reverse flow of vacancies

(a) (b) (c)

X X

X
(1) (2) (1) (2)
(1) (2)
Y'
Y Y

(3) Y"
(3) (3)
Z
Z
Z

Fig. 7.13 a Three grains in a hexagonal array before creep deforma- voids. The amount of sliding displacement is expressed quantitatively
tion. b After stress-induced diffusional creep, grains elongate leading to by the distance Y′Y″, which is the offset along the boundary between
grain separation, i.e. void formation between the grains. grains (1) and (3) of the original vertical scribe line XYZ (Evans and
c Grain-boundary sliding brings grains together and removes the Langdon 1976)

(a) (b)
Shear stress Shear stress

Grain I Grain I

h
Flow of Flow of
λ matter matter
Grain II Grain II
Shear stress Shear stress

Fig. 7.14 a Between grains I and II, a sinusoidal form of ‘wavy’ grain grain. b After grain-boundary sliding, the irregularity of the boundary is
boundary, irregularity of which is described by the perturbation height, represented by the dashed lines. The relative displacement is allowed
h, and the perturbation wavelength, k: Shear stress applied to grains by the flow of matter shown by the arrows
promotes relative displacement of one grain with respect to another
7.6 Creep Deformation Mechanisms
i.e. relative displacement of one grain with respect to another
grain necessitates flow of matter by lattice diffusion near the
grain boundary (Nabarro–Herring process), by grain-
boundary diffusion (Coble process), or by both mecha-
nisms. After grain-boundary sliding, the irregularity shape of
the boundary is shown by the broken line in Fig. 7.14b and
the mass transfer is designated by arrows. The mass transfer
occurs by vacancy concentration gradients in the same way
as the diffusional creep occurs. It is to be noted that as the
irregularity of the grain boundary increases, i.e. as the ratio
h=k becomes more, volume of matter displaced per unit
sliding distance must be more.
According to Raj and Ashby (1971), steady-state creep rate
increases rapidly as the ratio k=h is increased. Furthermore,
when the homologous temperature is high and k is large, the
grain-boundary sliding process is controlled by lattice diffu-
sion (Nabarro–Herring mechanism) (Raj and Ashby 1971).
On the other hand, when the homologous temperature is rel-
atively low and k is small, grain-boundary diffusion (Coble
mechanism) occurs. As a result, grain-boundary sliding may
be accommodated by diffusional flow which is found to
depend on both the temperature and the shape of grain
boundary. For an irregular grain boundary, if grain-boundary
sliding is fully accommodated by diffusional flow and inter-
granular voids are not formed, the grain-boundary morphol-
ogy can reduce the creep rate below those predicted by (7.51)
and (7.52) and the net creep rate is the lesser of the diffusional
creep rate or the boundary sliding rate since the processes are
sequential. When the irregularity of the boundary is quite
high, i.e. when the ratio h=k is quite high the grain-boundary
sliding may limit the diffusional flow. If accommodation does
not take place, the grain-boundary sliding leads to formation
of inter granular voids, which are associated with the initiation
of fracture in creep.
7.7 Deformation Mechanism Map
The stress and temperature dependence of each deformation
mechanism are different from another. Hence, the values of
temperature, applied stress and microstructural features such
as grain size will decide the relative contribution of each
deformation process. The stress–temperature conditions
under which different creep mechanisms predominate for a
specific material have been represented by a graphical
method. This graphical approach, known as deformation
mechanism map, has been developed by Ashby and
co-workers (Ashby 1972; Frost and Ashby 1982) based on
the original suggestion by Weertman (1968). These maps are
constructed for specific materials using experimental data to
determine the necessary material properties and constants in
equations that describe each creep mechanism such as (7.47)
277
or (7.48), (7.51) and (7.52). The abscissa of a map is
homologous temperature, T/Tm, where T is the absolute
temperature of deformation and Tm is the absolute melting
point of a specific material and the ordinate is the ratio of the
applied tensile stress r to the shear modulus G of the same
material, i.e. the normalized tensile stress r=G; which is
typically plotted on logarithmic scale. The homologous
temperature scale ranges from the minimum value of 0 to the
maximum value of 1. The normalized tensile stress scale
ranges from r=G ¼ 10%1 to downwards up to a value of
r=G ¼ 10%8 ; (note that the value r ¼ 0:1G is equivalent to
the theoretical strength of a material). These ranges of
temperature and stress cover all possible values of the
variables ever found in practice. The great advantage of the
above normalization is that the maps for materials of the
same crystal class and with similar bonding are reduced to a
single group.
A typical deformation mechanism map is presented
schematically in Fig. 7.15, where grain sizes of material and
strain rate are constant. Fields of several dominant creep
mechanisms are indicated in the map. Each field of the map
represents the range of stress–temperature combinations over
which a particular mechanism is expected to dominate the
creep process. For example, at a constant deformation tem-
perature T2 ; and at successively higher applied stresses
r1 ; r2 ; r3 ; and r4 ; the respective dominant deformation
mechanisms are elastic deformation, Coble creep, disloca-
tion creep and dislocation glide. Similarly, at a constant
applied stress r2 ; and at successively higher deformation
temperatures T1 ; T2 ; and T3 ; the respective dominant defor-
mation mechanisms are elastic deformation, Coble creep and
Nabarro–Herring creep. The boundaries separating each
deformation field represent stress–temperature combinations
at which the respective strain rates from the two deformation
mechanisms are equal and both mechanisms contribute
equally to the overall creep rate of the material. Similarly,
triple points in the deformation map represent a particular
stress–temperature combination where equal strain rates are
produced from three mechanisms and the contributions of all
mechanisms to the overall creep rate of the material are
equal. The deformation field boundaries are obtained by
equating the appropriate constitutive equations, such as
(7.47) or (7.48), (7.51) and (7.52), and solving for stress as a
function of temperature. Note that the field of dislocation
creep has been divided into high- and low-temperature
segments corresponding to dislocation climb controlled by
lattice and dislocation core diffusion. The field of
grain-boundary sliding has not been shown in the map since
there are uncertainties regarding the appropriate constitutive
equation for this mechanism.
The dominant deformation mechanism is that which
provides greatest strain over the timescale of interest.
278 7 Creep and Stress Rupture

Theoretical strength
10–1

σ4
Dislocation glide

L.T. creep H.T. creep

σ
G
(core diffusion) (lattice
Dislocation diffusion)
Ratio of tensile stress to shear modulus,

creep

σ3
(log scale)

Elastic regime Coble creep

Nabarro–Herring
creep
σ2

σ1

10–8
0 T1 T2 T3 1.0

Homologous temperature, T/Tm

Fig. 7.15 Schematic map of deformation mechanism, where grain sizes of material and strain rate are constant. The dominant deformation mode
is determined by stress–temperature combination

Although elastic deformation is the dominant mechanism at
low temperatures and stresses, but on a geological timescale
diffusional creep could become the dominant mechanism by
producing a greater strain than the time-independent elastic
strain. In some cases, where only plastic deformation is
considered significant, the field of elasticity is eliminated
from the map and the previously occupied elastic deforma-
tion regions in the map are replaced almost all by the
creep-dominated mechanisms.
It is desirable to show the strain rate associated with a
given stress–temperature combination on the deformation
mechanism map, irrespective of the rate-controlling mecha-
nism. Contours of equal strain rate (isostrain rate) can be
developed from the constitutive equation relating strain rate
to temperature and stress and plotted on the deformation
mechanism map. Such a diagram is shown schematically in
Fig. 7.16 for a specific grain size of material, which also
portrays that the Coble creep has replaced the field of elastic
regime shown in Fig. 7.15. The map in Fig. 7.16 shows that
the deformation mechanism is Nabarro–Herring creep at a
strain rate of e_ 2 ; which is obtained at stress r1 and temper-
ature T1 ; and the same strain rate is obtained at stress–tem-
perature combination ðr2 ; T2 Þ; where dislocation glide takes
place. This map allows one to select any two of the three
major variables—stress, temperature and strain rate—and
then establish the third value in addition to the identification
of the dominant deformation mechanism.
In the construction of the deformation mechanism map
discussed so far, the effect of grain size has not been con-
sidered, i.e. a constant grain size has been assumed. With
decreasing grain size, the area occupied by the diffusional
flow mechanisms in a map becomes larger. For example, at a
homologous temperature of 0.5, and a strain rate of 10−9/s a
100 fold decrease in grain size in pure nickel causes the
transition of the creep rate-controlling process from
low-temperature dislocation creep to Coble creep. To show
the effect of grain-size variation, a plot of normalized stress,
r=G; versus grain size, d, on natural logarithmic scale at a
specified temperature and strain rate is given schematically
in Fig. 7.17, which portrays the occurrence of diffusional
and dislocation creep in the simplified map. Creep mecha-
nisms that dominate for various combinations of stress and
grain size can be noticed in Fig. 7.17. The transition
boundary between the Nabarro–Herring and Coble creep is
represented by the vertical line at d ¼ dc in Fig. 7.17, where
dc is the critical grain size at which transition occurs. Note
that the critical grain size is dependent on temperature. The
fact that the importance of diffusional mechanism decreases
with increasing grain size is reflected by the negative slopes
(−3 for Coble creep and −2 for Nabarro–Herring creep) of
7.7 Deformation Mechanism Map 279

Fig. 7.16 Schematic map of Theoretical strength

deformation mechanism for a 10–1
specific grain size of material with
isostrain-rate contours imposed
on the map. It shows that at a Dislocation glide
ε1
strain rate of e_ 2 ; Nabarro–Herring
H. T. creep
creep occurs at stress r1 and
(lattice diffusion)
temperature T1 ; and dislocation
glide takes place at stress– ε2
temperature combination ðr2 ; T2 Þ σ2 ,T2

G
σ
Dislocation
creep
L.T. creep

Ratio of tensile stress to shear modulus,

(core diffusion)
ε1

(log scale)
Nabarro–Herring
Coble creep creep
(grain-boundary diffusion)

ε2

ε1 > ε2
σ1 ,T1

10–8
0 1.0
Homologous temperature, T/Tm

Fig. 7.17 Alternative

representation of a simplified
deformation mechanism map at a
Slope = − 3
G
σ

specified temperature and strain

rate. In this figure, the
Ratio of tensile stress to shear modulus,

predominant creep mechanisms

are distinguished for various Dislocation creep
(natural logarithmic scale)

stress–grain size combinations

Slope = − 2
Coble creep
(grain-boundary
diffusion)
Nabarro−Herring
creep (bulk diffusion)

dc (critical grain size for transition from Coble to N-H creep)

Grain size, d (natural logarithmic scale)

ln r versus ln d at the diffusional boundaries. Hence, resis- directional solidification technique so that virtually all grain
tance to diffusional creep can be improved by increasing boundaries perpendicular and inclined to the tensile stress
grain size or developing an elongated structure through axis are eliminated.
280
7.8 The Stress-Rupture Test
During the stress-rupture test, the tensile specimen is
deformed at constant load and temperature until the speci-
men undergoes fracture. This test differs from the creep test
in some respects, which are:
• The creep test ordinarily avoids the region of tertiary
creep and obviously, the fracture of specimen, whereas
the stress-rupture test is carried out up to the point of
fracture of specimen.
• To fracture the specimen within a reasonable length of
time, higher load is applied leading to higher strain rate
in a stress-rupture test than in a creep test.
• Since structural changes in specimen occur at a shorter
time due to higher stress and strain rate in a stress-rupture
test than in a creep test, the stress-rupture test is usually
conducted up to 1,000 h, while creep test is frequently
carried out for periods that range from 2,000 to 10,000 h.
• Precise determination of strain, particularly the determi-
nation of minimum creep rate is the aim of creep testing,
whereas the main aim of stress-rupture testing is to obtain
the information about the time to cause rupture at a given
engineering stress for a constant temperature.
• The total strain in a creep test often does not exceed
0.5%, while that in a stress-rupture test may be around
50%, for which a simpler strain-measuring device like a
dial gage is sufficient.
An important advantage of the stress-rupture test over the
creep test is the shorter time of testing and this has lead to
the increased use of the stress-rupture test. To obtain
stress-rupture data, tests are carried out on several series of
specimens at different temperatures until specimens are
fractured. In these series, each specimen is subjected to a
different load. Data for a set of specimens ruptured at the
same temperature are plotted with nominal (engineering)
stress versus rupture time on a log-log scale. This kind of
plot can be made for tests carried out at different tempera-
tures. Figure 7.18 shows schematically the variation of
nominal (engineering) stress with rupture time at various
temperatures, in which at each temperature the data are
plotted from a series of specimens tested under different
stress levels. Plot on a log-log scale usually shows a linear
variation for each test temperature. Curves plotted for higher
temperatures show two intersecting straight lines. The most
common cause for this break in the slope of stress-rupture
curve at any constant temperature is the change of fracture
mechanism (see Sect. 7.9) from transcrystalline to inter-
crystalline fracture as conditions of the test change. The
straight line to the left of the break corresponds to higher
stresses or loads and shorter rupture times, where
7 Creep and Stress Rupture
transcrystalline fractures occur, while that to the right of the
break corresponds to lower stresses or loads and longer
rupture times, where intercrystalline fractures occur. It must
be noted that the shift in the fracture mechanism with
decreasing stress does not take place abruptly. Specimens
corresponding to points near the break often show a mixed
mode of fracture—partly transcrystalline and partly inter-
crystalline. Further, it is evident from Fig. 7.18 that as the
test temperature is decreased the break point shifts to higher
rupture time. Ultimately at lower temperatures, no break
point in the slope of stress-rupture curve is observed within
the period of the test duration and the fracture observed is
fully transcrystalline. These indicate that lower temperatures
favour transcrystalline fractures, whereas higher tempera-
tures favour intercrystalline fractures. Finally, it may be
concluded that transcrystalline fractures are favoured by low
temperatures, high stresses and short-time tests, i.e. high
strain rates, while intercrystalline fractures are promoted by
high temperatures, low stresses and long-time tests, i.e. slow
strain rates. Sometimes, stress-rupture fractures show both
transcrystalline and intercrystalline fracture paths. In such
cases, it is usually found that intercrystalline cracks were
initially developed, which reduced the cross-sectional area
and caused an increase in the stress level and this high stress
ultimately resulted in transcrystalline fracture.
An important characteristic of intercrystalline fracture is
that it effectively reduces the rupture life of a metal, as seen
from Fig. 7.19. If the straight line in Fig. 7.19, where tran-
scrystalline fractures occur, is extended to the right of the
break, a relationship between stress and rupture time is
obtained which should be valid if intercrystalline fractures
would not take place. This extended line shows that at any
Transcrystalline fracture
Engineering stress, MPa (log scale)
1000
T1
T2
100
Intercrystalline fracture
T3
Temperature, T1 < T2 < T3
10
0.001 0.01 0.1 1 10 100 1000
Rupture time, hr (log scale)
Fig. 7.18 Schematic plot of stress-rupture diagram at various temper-
atures, in which at each temperature the data are plotted from a series of
specimens tested under different stress levels. Curves plotted for higher
temperatures show break in the slope of curve due to the change from
transcrystalline to intercrystalline fracture, whereas lower temperature
test within the stipulated test period shows only transcrystalline fracture
7.8 The Stress-Rupture Test
Fig. 7.19 Rupture life of a creep
specimen is effectively reduced 1000
by intercrystalline fracturing
Engineering stress, MPa (log scale)
100
10
intercrystalline fractutre
1
0.1
arbitrary stress the rupture time for the actually observed
intercrystalline facture is much shorter than that for the
extended transcrystalline fracture.
Other reasons for the break in the slope of stress-rupture
curve are recrystallization and grain growth, internal oxi-
dation, or other structural changes such as graphitization,
spheroidization or some kind of phase transformation. The
extrapolation of the stress-rupture data to longer time can
result in serious errors if such microstructural instabilities
exist, but they are not detected or known to the designer.
The time span over which a material can sustain the
applied stress without fracture at different temperatures is
found from the stress-rupture test. The rupture life
obtained from stress-rupture test are used in the design of
components designated for short-time elevated temperature
uses, e.g. ‘one-shot’ rocket engine component, where
strain due to creep may be tolerated but fracture must be
avoided.
Apart from noting the rupture time from the test, the
reduction of area at fracture and the elongation (engineering
strain to fracture) are also determined. If the test is conducted
for a suitable duration and the elongation measured as a
function of time is converted to true strain, then from the plot
of true strain versus time the minimum creep rate can be
determined.
281
Constant temperature test
Transcrystalline fracture
Arbitrary stress
Intercrystalline
fracture
Rupture time Rupture time
transcrystalling fractutre
1.0 10 100 1000 10000
Rupture time, hr (log scale)
7.9 Concept of ECT
and Elevated-Temperature Fracture
If polycrystalline metals fail by fractures passing through the
interiors of grains, this mode of fracture is called tran-
scrystalline or transgranular or intragranular fracture.
There is another mode of fracture known as intercrystalline
or intergranular fracture, where fractures run along the grain
boundaries of polycrystalline metals. From the work of
Rosenhain and Ewen (1913), it is known that as the defor-
mation temperature increases, metals undergo a fracture
mechanism transition from transcrystalline to intercrystalline
fracture. Thus, a metal, which at low temperature fails with a
normal transcrystalline fracture, is likely to fail with an
intercrystalline fracture at elevated temperature. The transi-
tion from transcrystalline to intercrystalline fracture is more
abrupt in complex alloys than in metals. At low tempera-
tures, where transcrystalline fracture usually occurs, the
grains themselves are usually weaker than the grain
boundaries and the deformation of polycrystalline metal
occurs essentially by deformation of grains. At low tem-
peratures, intercrystalline fractures may occur in exceptional
cases, where there are some structural irregularities, such as
the presence of a brittle intercrystalline film or a form of
282 7 Creep and Stress Rupture

(a) The ECT is not a fixed one like recrystallization tem-

perature and depends on the strain rate, the applied stress and
Grain boundary purity or composition of the material, etc. Since a change (a
decrease) in strain rate is believed to affect (to decrease) the
grain boundary strength more than the strength of grains,
Grain
decreasing the strain rate decreases the ECT and thus
Strength

increases the tendency for intercrystalline fracture, as evident

from Fig. 7.20b. The elongation and particularly the reduc-
Transgranular tion in area have been found to decrease with decreasing the
fracture
strain rate as the mode of fracture changes from transcrys-
Intergranular fracture
talline to intercrystalline fracture. Similarly, low applied
ECT stress decreases the strain rate and favours intercrystalline
Temperature fracture. Since grain-boundary sliding becomes more
(b) prominent with decreasing stress, a decrease in total elon-
Low strain rate gation or reduction in area is usually found with a decrease
in stress at constant temperature even when the mode of
High strain rate fracture is intercrystalline in all cases. Although the ECT
occurs within a narrow temperature range for commercially
pure metals and alloys, but for high-purity material the ECT
Grain exists over a wide range of temperature, where there is not
Strength

much difference in the strengths of grains and grain

Grain boundaries (Servi and Grant 1951), as shown in Fig. 7.20c,
boundary and in such cases, transcrystalline fracture can be observed
up to rather high temperatures. Vacuum melting eliminates
ECT1 ECT2 trace elements and is found to increase elongation and rup-
Temperature ture life and decrease the tendency for intercrystalline frac-
(c) ture in many alloys.
Under creep conditions, ECT is approximately 0.5 times
the absolute melting point of materials. At approximately
Grain boundary
this temperature, the following deformation features have
Grain been observed:
Strength

Grain • The tensile strength and creep rate of materials with a

Range Pure metal
of ECT
Temperature
Fig. 7.20 a Schematic of equicohesive temperature (ECT), showing
transgranular fracture at temperatures\ECT; and intergranular fracture
at temperatures [ ECT: b Effect of strain rate on ECT. c ECT exists
over a wide range of temperature for high-purity materials
corrosion that weakens the grain boundaries. The fracture is
generally intercrystalline at high temperatures, where the
grain boundaries are weaker than the grains and significant
sliding occurs along grain boundaries. Therefore, there must
be a temperature at which the strengths of grains and grain
boundaries are the same. Jeffries (1919) defined this tem-
perature as the equicohesive temperature (ECT) which is
shown schematically in Fig. 7.20a.
small grain size become equal to those with a large grain
size. Since the grain boundary area per unit volume
decreases with increasing grain size, materials with a
coarse grain size are stronger above the ECT and those
with a fine grain size are stronger below the ECT.
• Grain-boundary sliding takes place.
• Most generally intercrystalline fracture occurs.
• Materials experience a reduction in ductility. As the
temperature is increased from low temperature,
grain-boundary migration becomes more prominent and
the ductility measured by the total elongation or reduc-
tion in area begins to increases up to the temperature
where the change from transcrystalline to intercrystalline
fracture occurs, and thereafter, the ductility is found to
drop.
It is to be noted that intercrystalline fracture and a
reduction in ductility, which generally occurs in the vicinity
of a homologous temperature of 0.5, do not always occur. In
7.9 Concept of ECT and Elevated-Temperature Fracture
Tensile elongation
Intermediate Temperature
ductility minimum
Temperature
Fig. 7.21 Schematic representation of the intermediate temperature
ductility minimum (Rhines and Wray 1961)
very pure metals, intercrystalline fracture may not occur at
all at any temperature even near the melting point. Sup-
pression of intercrystalline fracture is partly due to
grain-boundary migration which prevents or delays inter-
crystalline void formation. For example, only transcrys-
talline fracture is observed for high-purity aluminium up to
its melting point (Servi and Grant 1951; Chang and Grant
1953). Further, very often entire ductility is again recovered
at higher temperatures (Mullendore and Grant 1954; Gem-
mell and Grant 1957) in those cases where there is a
reduction in ductility. If the ductility in terms of tensile
elongation or reduction in area is measured and plotted with
increasing temperature from room temperature, the ductility
is found to increase with a ductility minimum at an inter-
mediate temperature, as seen from the schematic plot of
tensile elongation against temperature in Fig. 7.21. Rhines
and Wray (1961) designated this as the intermediate tem-
perature ductility minimum, which is associated with inter-
crystalline fracture. The elongation minimum shown in the
plot will also be accompanied by a corresponding minimum
in the reduction in area. The ductility minimum for alu-
minium occurs near room temperature but that for most
alloys, especially nickel-based, occurs within hot-working
range. The temperature range of minimum ductility normally
falls just below the recrystallization temperature in a region
where grain-boundary sliding can take place to develop
intercrystalline cracking. When the temperature is increased
beyond the temperature zone of minimum ductility in a
region where recrystallization can happen to a great extent,
the grain-boundary cracks are isolated from the newly
283
recrystallized grains and there is an increase in ductility. One
important microstructural feature of intercrystalline fracture
is that the grains appear equiaxed even after exhibiting some
amount of plastic deformation and total elongation. It indi-
cates that there is dynamic recrystallization. In contrast,
severely elongated grains are often observed in the vicinity
of transcrystalline fracture indicating that no recrystallization
occurs.
The three basic modes of fracture at elevated temperature
are rupture, transcrystalline fracture and intercrystalline
fracture, as illustrated in Fig. 7.22 (Courtney 1990). Rupture
occurs in a completely ductile manner, where the necked
region of material may actually be thinned down to a line or
a point prior to fracture and the reduction in area at fracture
approaches 100%. High-temperature rupture may occur at
high stresses during hot working at high strain rates and is
usually associated with dynamic recovery and recrystalliza-
tion. Since rupture mode of failure is not really predominant
in creep, it will not be further considered.
Depending on the alloy, deformation temperature, applied
stress and strain rate, the mode of fracture during stress
rupture may be either transcrystalline or intercrystalline
fracture. Conditions that cause transcrystalline fracture
or/and intercrystalline fracture in stress rupture have been
narrated in Sect. 7.8. The predominant mode of fracture
during creep is intercrystalline fracture that occurs at lower
applied stress and longer creep times resulting in a low level
of creep strain at fracture, although transcrystalline fracture
can occur during creep when the levels of stress and creep
strain at fracture are fairly high. Intercrystalline fractures
occur with very little macroscopic plastic flow and show
little total elongation often with little necking and macro-
scopically appear to be brittle in nature. On the other hand,
transcrystalline fractures usually show more pronounced
elongation accompanied by necking and are characterized to
be ductile in nature. In transcrystalline fractures, voids
nucleate, usually around inclusions within the grains, and
then grow and coalesce until fracture takes place. The
void-forming process is very similar to that of microvoid
coalescence in room temperature ductile fracture, except that
formation and growth of voids at elevated temperatures are
aided by diffusion. In intercrystalline fractures, the nucle-
ation, growth and subsequent coalescence of voids primarily
occur only on the grain boundaries.
7.9.1 Wedge-Shaped Cracks and Round
or Elliptically Shaped Cavities
Any factor that tends to raise the resistance to shear inside
the grains compared to that at the grain boundaries, and
makes grain-boundary migration more difficult, tends to
develop intercrystalline fracture. In general, strain hardening,
284
Fig. 7.22 Three modes of high (a)
temperature failure: a rupture;
b transcrystalline creep fracture,
in which the coloured circles
represent intragranular voids that
form, grow and coalescence
leading to failure;
c intercrystalline creep fracture, in
which the coloured shaded
regions at grain boundaries are
intercrystalline voids or cracks
that nucleate, grow and
coalescence to some degree
followed by fracture (Courtney
1990)
solid-solution hardening, precipitation hardening, etc., can
make slip inside the grains more difficult and thus increase
the resistance to shear. Grain-boundary migration can also
be greatly restrained by solid-solution and precipitation
hardening.
The nucleation and growth of intercrystalline cracks or
cavities occur at an accelerated rate in the tertiary creep
stage. This process is often called creep cavitation. Metal-
lographically, it has been observed that there are at least two
types of intercrystalline cracking. These are wedge-shaped
cracks, often called ‘w-type’ cracks, and round or elliptically
shaped cavities, known as ‘r-type’ cavities, which may be
polyhedral in shape in the very early stages after nucleation.
Cracks of ‘w-type’ initiate mostly at grain boundary triple
points (edges where three grains meet), where the grain
boundaries are aligned for maximum shear, and propagate
primarily along the grain boundaries which are roughly
normal to the applied stress (Chang and Grant 1956),
although propagation along grain boundaries oblique to the
direction of stressing is not uncommon. They are also
referred to as grain-corner or triple-point cracks. On the
other hand, ‘r-type’ cavities are found to form primarily
along grain boundaries that are aligned normal to the tensile
stress, but their formations are not limited exclusively to
grain boundaries normal to the applied stress. ‘r-type’ cav-
ities grow by the joint action of grain-boundary sliding and
vacancy diffusion. The formation of one type of crack or
cavity does not necessary exclude the formation of the other
type of crack or cavity, rather both types of crack or cavity
may appear simultaneously in the same specimen under
7 Creep and Stress Rupture
(b) (c)
proper conditions. Formation of wedge cracks at the triple
points and also ‘r-type’ cavities along grain boundaries was
seen in coarse-grained Al-20% Zn specimen tested at 260 °C
(Chang and Grant 1956).
Analyses of the fracture problem and/or experimental
investigations have indicated the following:
• Grain-boundary sliding is a necessary prerequisite for
the initiation of both types of crack or cavity. In tests on
coarse-grained Al-20% Zn specimens, Chang and Grant
(1956) found that extensive grain-boundary sliding was
visible at the grain corners where a ‘w-type’ crack had
formed. For a Cu bicrystals strained in creep at
2.1 MN m−2 in temperature range of 923–1173 K,
Intrater and Machlin (1959) found that the number of
‘r-type’ cavities per unit length of grain boundary
increased with the increase in the amount of
grain-boundary sliding. As the temperature is raised, the
number of cavities increases in the same manner as the
grain-boundary sliding increases with increasing tem-
perature. Though some experiments have shown that the
density of cavities at grain boundaries decreases at very
high temperature, but this is because of the occurrence of
grain-boundary migration which leaves behind the cavi-
ties previously formed on the boundaries.
• Very large stress concentrations are required to nucleate
both types of crack or cavity. Analysis (Nix 1983) indi-
cates that excessively high stresses normal to a grain
boundary, e.g. on the order of 1/100 times the elastic
modulus, are required for nucleation of a cavity. If it is
7.9 Concept of ECT and Elevated-Temperature Fracture
assumed, for example, that the work per unit area
required to nucleate an intercrystalline crack is equal to
the energy to create the two new fracture surfaces, then
the normal stress, r; is approximately given by (Garofalo
1965)
2cs
rr0 ¼ 2cs ; or; r¼ ð7:53Þ
r0
where
cs the surface energy per unit area, and
r0 the interatomic distance
For values of cs ¼ 1:5 J m%2 ; and r0 ¼ 2:5 ' 10%10 m;
the theoretical value of normal stress, r; from (7.53) is: r ¼
½ð2 ' 1:5Þ=2:5 ' 10%10 ) N m%2 or Pa ¼ 12 GPa; which is
found to be of the order of 100–1000 times the stresses
found experimentally for the nucleation of cracks at low or
high temperatures. Creep deformation, therefore, must pro-
duce stress concentrations so that it becomes possible to
reach the theoretical strength and initiate cracks. These high
stress concentrations can be created at grain corners, at
particles in sliding grain boundaries and at the junction of
slip bands and grain boundary particles.
• The type of intergranular fracture that will form depends
on the creep temperature and the applied stress level. In
Nimonic 90 tested at different temperatures and stresses, it
was observed (McLean 1957a) that the type of fracture
changed from ‘w-type’ to ‘r-type’ as the temperature was
increased and the stress was decreased. Figure 7.23
(McLean 1957a) schematically shows the formation of
‘w-type’ cracks at moderate creep temperatures under high
stress levels and that of ‘r-type’ cavities at high creep
temperatures under low stresses with the formation of
mixed types of fracture in the transition zone. As high
stress favours ‘w-type’ fracture, it indicates that this type
of crack propagates more rapidly than the ‘r-type’ of crack.
A number of configurations of ‘w-type’ cracks initiated
by grain-boundary sliding at a point of stress concentration
are schematically represented in Fig. 7.24 (Chang and Grant
1956). A mechanism for the formation of wedge-shaped
cracks at grain boundary triple points was proposed by Zener
(1948). In this proposal, it was assumed that grain bound-
aries behave in a viscous manner at sufficiently high tem-
perature and the relative displacement of adjacent grains is
restricted near grain corners. Let mn is the grain boundary,
which is not normal to the applied stress but subjected to
shear stress, as shown in Fig. 7.25. According to Zener,
sliding along the grain-boundary mn relaxes the shear stress
along the boundary and results in a sufficiently high stress
concentration at the grain corner (that is located at the end of
285
w-type
cracks
Stress
Mixed types
fracture
r-type
cavities
Temperature
Fig. 7.23 Types of intercrystalline fracture observed at different
temperatures and stresses, schematically displayed within a band and
the fracture types are separated by the vertical dashed lines (McLean
1957a)
the relaxed boundary) to cause the formation of a microcrack
under an applied tensile stress. Assuming isotropic elastic
behaviour, the stress concentration at the grain corner can be
estimated for relaxation along the boundary mn by treating
the viscous sliding boundary as a crack. Following Inglis
(1913) analysis of stress concentration factor, which has
been discussed in Sect. 9.3 of Chap. 9, Zener estimated the
stress concentration factor and the maximum tensile stress,
rmax ; at the triple point by
sffiffiffiffiffiffi
L
rmax ¼ + s for L . qt ð7:54Þ
2qt
where
s shear stress along grain boundary, say mn,
L length of the sliding boundary and
qt radius of curvature at the tip of the boundary
In the above-mentioned manner, a microcrack can only
nucleate if the stress concentration exceeds the cohesive
strength of the grain boundary. The nucleation of a crack
cannot occur if the stress concentration at a grain corner is
relieved by plastic deformation in the grain ahead of the
sliding grain boundary. Since grain-boundary migration
relieves stress, the opening of a crack at a grain corner can
286 7 Creep and Stress Rupture

by the concentrated stress at the tip of a slip band. The form

A A of expression obtained is:
rffiffiffiffiffiffiffiffiffiffiffiffi
B B (a) 12cs G
smin ¼ ð7:55Þ
C
pL
C
where
smin minimum shear stress along the grain boundary,
cs surface energy per unit area of a crack formed along a
A A
grain boundary,
B B (b) G shear modulus, and L is as defined before.

C C
Round or elliptically shaped cavities are believed to be
due to discontinuities lying on or in the grain boundary. The
nucleation of ‘r-type’ cavities was first observed by Green-
wood et al. (1954) who found small spherical cavities in the
grain boundaries of several metals in early stage of the ter-
B A B A
tiary creep range. Chen and Machlin (1956, 1957) proposed
(c)
a mechanism for the formation of this type of cavities along
the grain boundaries, where the grain boundary is assumed
C C
to have a pre-existing jog that obstructs the normal shear
Fig. 7.24 Schematically showing the formation of w-type cracks in deformation along the grain boundary. Shearing along the
several ways at triple points owing to grain-boundary sliding (Chang grain boundary produces stress concentrations at the jog, as
and Grant 1956) shown in Fig. 7.26a, and as a result, a cavity develops at the
jog, as indicated in Fig. 7.26b. As in the case of ‘w-type’
openings at grain boundary triple points, the formation of
Tensile stress axis ‘r-type’ cavities can also be prevented either by plastic
n deformation in the grains to relieve the stress concentration
or by migration of grain boundary away from the points of
Sliding
boundary
stress concentration. McLean (1957) and Gifkins (1956) also
proposed a mechanism for the formation of ‘r-type’ cavities
Crack by stress concentrations at jogs produced by slip in the grain
Region of stress boundary. The basic difference between the Chen-Machlin
m concentration
mechanism and McLean-Gifkins mechanism is that the
former assumes that jogs are initially present along the grain
boundary while the latter assumes that jogs are created by

(a)
Tensile stress axis Shear deformation
Stress concentration
points
Fig. 7.25 Mechanism for the formation of wedge-shaped cracks at
triple points, as proposed by Zener. Sliding along the grain boundary,
mn, relaxes the shear stress along the boundary and results in a stress Jog in boundary
concentration at the grain corner causing to form a crack under an
Shear deformation
applied tensile stress
(b)
also be prevented if grain boundary migrates away from the Cavity
stressed region prior to the rise of stress concentration to the
level where a crack can nucleate.
Subsequently, McLean (1957a) estimated the minimum
shear stress needed to form a wedge-shaped crack at the
Fig. 7.26 Mechanism for the formation of r-type cavities along the
head of a sliding grain boundary on the basis of the
grain boundaries. a Stress concentrations produced at the jog due to
derivation by Stroh (1954) for the formation of a stable crack shearing along the grain boundary. b Development of a cavity at the jog
7.9 Concept of ECT and Elevated-Temperature Fracture
slip bands penetrating the grain boundary. Further, in the
latter, it was assumed that the stress concentration due to
dislocation pile-up at the grain boundary supplied the high
stress needed to create a cavity. However, subsequently
McLean and Gifkins have shown (Conrad 1961) that low
stresses generally used in creep tests are able to produce
cavities at jogs in the grain boundary, for which a dislocation
pile-up is not required. Experimentally, it has been found
that the cavities along the grain boundary are initially about
1 l (1 lm) apart, which is in agreement with the theoretical
estimates.
The ‘r-type’ cavities can also nucleate at fine
second-phase particles in the grain boundary when the sep-
aration of matrix–particles interface occurs as a result of
grain-boundary sliding. For example, substantial necking
can occur in pure aluminium subjected to creep but the
addition of a small quantity (<0.1%) of iron to form particles
of FeAl3 at the grain boundaries results in intercrystalline
fracture without showing any localized necking. Similarly,
the presence of Cr23C6 or NbC in the grain boundaries of
austenitic steels can remarkably reduce their creep ductility
(Honeycombe 1984).
McLean (1963) has shown that if the diameter of a cavity
is larger than several atomic diameters it will possibly not
vanish. If the cavity becomes spherical due to surface ten-
sion, then to obtain a stable spherical cavity, the condition to
be satisfied must be:
2cs
r[ ð7:56Þ
r
where
r radius of the cavity,
cs surface energy and
r tensile stress at the grain boundary.
Equation (7.56) shows that as the stress is increased the
size of the stable cavity becomes smaller. In the early stages
of cavitation, ‘r-type’ cavities as small as 1 l (1 lm) or less
in diameter have been observed (Gifkins 1959), which is in
agreement with the values obtained from (7.56) if it is
assumed that cs ¼ 1 Jm%2 ; and stress r [ 2 MN m−2. The
number of cavities formed during creep depends on the
purity of the material. It has been shown (Resnick and Seigle
1957) that the impurities in commercial a brass increase the
propensity for formation of cavities, whereas when the same
material is remelted and purified by controlled directional
solidification, the tendency to form cavities was consider-
ably reduced.
After initiation of incipient fractures, their growth and
coalescence are usually considered to be the cause for
complete rupture of a material. The growth of the incipient
287
cracks or cavities, once they have nucleated, can occur
mainly by the following mechanisms:
(1) Advancement of the tip of the crack or cavity due to the
continued operation of the shearing mechanisms which
initiated the incipient fractures.
(2) Condensation of vacancies into the crack or cavity.
(3) A combination of both (1) and (2).
Calculations by McLean (1958) indicate that the growth
of ‘w-type’ cracks occurs essentially by the above mecha-
nism (1), and that the role of vacancy supersaturation is not
significant. This seems to be supported by experimental
evidence.
The ‘r-type’ cavities gradually increase in number and
size with continuing creep in the tertiary stage. The density
and diameter of the cavities grow by the joint action of
grain-boundary sliding and vacancy diffusion and ultimately,
they join together to produce a continuous crack along grain
boundaries leading to total fracture. The rate at which these
cavities grow has been examined in silver (Oliver and Gir-
ifalco 1962) by measuring the diameter of cavity perpen-
dicular to the grain boundary. These results show that the
mean radius, !r ; of the cavity increases linearly with time t at
a temperature T as follows:
!r ¼ uðTÞt þ r0 ð7:57Þ
where in the plot of !r versus t at a temperature T, r0 is the
intercept at time t ¼ 0 and uðTÞ is the slope, which is a
function of test temperature T. The rate of cavity growth,
d!r =dt ¼ uðT Þ; increases with increasing test temperature T.
7.10 Presentation of Engineering Creep
Data
The most important two high-temperature properties used
directly in design for creep are creep strength (also called
creep limit), and creep-rupture strength, often referred to as
stress-rupture strength, or simply rupture strength.
According to ASTM (ASTM E6, sections 49, 50), these are
defined as the maximum stresses that a material can with-
stand for a specified length of time at a given temperature
without undergoing excessive strain, or rupture, respectively.
Alternatively, creep strength can be defined as the highest
stress at a given temperature which produces a minimum
creep rate of a fixed amount, typically in the range of 10−8 to
10−11 s−1. The stress referred to in the above definitions is
usually the initial stress, which will be somewhat smaller
than the final axial stress if tests are carried out under a
constant load. The time involved to determine the creep or
288
rupture strength is the service life of the component, mea-
sured in thousands of hours and sometimes in years.
Creep-rupture strength is based on a rupture life of usually
103, 104 or 105 h (about 11.5 years). The strain allowed for
measuring creep strength is the total strain—the instanta-
neous strain plus the creep strain and measured in per cent.
Whether the amount of strain is excessive or not, that
depends on the application. For example, allowable strain
due to creep in a steam turbine blade may be 0.20% in 105 h
at 815 °C, but in a jet turbine, a very little strain of the order
of 0.10% in 2000 h is allowed because of the close tolerance
involved. On the other hand, 2% strain due to creep in a
pressure vessel may not be excessive and strain as much as
4% in one year may be tolerated in creep of a plastic aerosol
bottle.
7.10.1 Prediction of Creep Strength
There are several ways to determine creep strength. The
simplest way to obtain creep data is to test several specimens
of the same material at the same given temperature, but each
of them under a different stress level. For each specimen, the
length of time required to produce the same allowable strain
is noted. In this test, the temperature and the strain experi-
enced by each specimen remain constant but the stress and
time required for the same amount of deformation will vary
for different specimens kept at a constant temperature. Now,
the stress versus testing time for a given percentage of strain
for a given material at a constant temperature can be plotted,
which is shown schematically in Fig. 7.27.
Tests of this type are usually restricted to 1000 or 2000 h,
although tests are sometimes extended up to 10,000 h. Often
these testing times are shorter than the service lives of
components. Then to obtain the long-time creep properties, it
becomes essential to extrapolate creep data into regions
where data are not available. Obviously, it requires the
extension of the curve in Fig. 7.27 to the required time.
Since the extension of a curve would be easier if it is linear,
Fig. 7.27 Stress versus testing
time for a given percentage of
strain for a given material at a
constant temperature (schematic)
Stress
0 Time, hrs
7 Creep and Stress Rupture
the creep data are plotted in such a way that it will yield a
reasonably straight line. It is found that when the data of
Fig. 7.27 is plotted as log stress versus log time, the
resulting curve will become a nearly straight line. Fig-
ure 7.28 shows schematically a typical family of such curves
for different amounts of total strain for a given material at a
constant temperature. Hence, a curve for a given total
allowable strain is selected in Fig. 7.28 and the stress cor-
responding to a given service life (within the test time) for a
given material at the test temperature is obtained from the
selected curve in Fig. 7.28 or from its extrapolation if the
service life exceeds the testing time. This stress is the
required creep strength of the given material at that tem-
perature. It is to be noted that as the curves are approxi-
mately linear, so the extrapolation should be restricted to
short times. Extrapolation of one log cycle beyond the test
time appears to be a short extrapolation but it actually
extends the time to ten times the maximum test time. The
slope of the nearly linear curve can sometimes change due to
the effects of structural changes in the material and hence,
such long extrapolation can result in serious errors.
Another method of determining creep strength is based on
the creep rate given by (7.10). If (7.10) is assumed to remain
valid, we can get the allowable minimum creep rate as
ðeÞAllowable
e_ s ¼ ð7:58Þ
ðtÞService
where
ðtÞService the service life of a given material and
ðeÞAllowable the total allowable strain for that material at an
expected operating temperature
A curve showing the variation of e_ s with stress can be
obtained from engineering creep curves determined by a
series of creep-time tests at the expected operating temper-
ature. Each creep test is performed at a different stress level
and is continued until the creep curve enters the tertiary
creep stage so that the minimum creep rate can be
Strain and test temperature are constant.
1000
7.10 Presentation of Engineering Creep Data 289

Fig. 7.28 Stress versus testing

time on log-log plot for different
amounts of total strain for a given
ε1
material at a constant temperature
(schematic)
ε3

Stress (logarithmic scale)

ε2

ε4

Constant temperature test;

total strain, ε1 > ε2 > ε3 > ε4

0.1 1 10 100 1000

Testing time, hrs (logarithmic scale)

Fig. 7.29 Family of schematic Constant test temperature;

creep strain–time curves at stress, σ1 > σ2 > σ3 > σ4 > σ5;
various stress levels for a given σ1 σ2
minimum creep rate,
material tested at the same
εs > εs > εs > εs > ε s .
temperature, showing minimum 1 2 3 4 5
creep rates
σ3

εs
Creep strain

1
εs
2

εs
3
σ4

εs
4
σ5
εs
5

Log time

determined precisely. It has been shown (Gill and Goldhoff
1970) that the value of the minimum creep rate depends on
the length of creep testing time. When the minimum creep
rate is determined from the curve obtained by a short-time
creep test, then this value will be higher than the true value,
and thus, the error will be on the conservative side. Fig-
ure 7.29 shows schematically a family of creep strain–time
curves at various stress levels for a given material tested at
the same temperature. The smallest slope of each curve in
Fig. 7.29 is measured which gives the value of the minimum
creep rate, e_ s ; and this can be plotted against the corre-
sponding stress ðrÞ at a constant temperature. From similar
tests carried out at various temperatures, plots of r versus e_ s
at various temperatures can be made. The variation of
minimum creep rate with stress at various temperatures for a
given material is shown schematically in Fig. 7.30 using a
log-log plot in order to obtain linearity in the plot.
To use the plot in Fig. 7.30, first select the curve that
corresponds to the expected operating temperature. Since
ðeÞAllowable and ðtÞService of the given material is known to us,
we can obtain the value of e_ s using (7.58). Now, the stress
corresponding to this value of e_ s can be obtained from the
selected curve in Fig. 7.30 and this stress is the required
creep strength of the given material at that operating tem-
perature. If the time of creep testing used to construct the
curve is shorter than the service life, extrapolation to longer
time will be required, which is based on the linearity of the
second stage of the creep-time curve. For longer time, this
linearity may be seriously affected due to microstructural
instabilities in the material. So, such extrapolations should
290
Fig. 7.30 Variation of minimum
creep rate with stress at various
temperatures for a given material
(schematic)
Stress, MPa (log scale)
be restricted to relatively short times. However, application
of (7.58) to determine e_ s involves some approximation,
because (7.10), on which (7.58) is based, includes neither the
instantaneous strain nor the primary creep, whereas both are
included in ðeÞAllowable since it represents the total strain.
Since it is not possible to know either the instantaneous
strain or the primary creep until the allowable stress is
obtained from the selected curve in Fig. 7.30, it is not pos-
sible to subtract them from ðeÞAllowable : If times of creep
testing are 1000 h or more, errors due to the above
approximation are not significant. Once the allowable stress
is known from Fig. 7.30, the instantaneous strain and the
primary creep can be estimated from the curve of allowable
stress in Fig. 7.29 and can be subtracted from ðeÞAllowable to
obtain the steady-state creep strain, which is appropriate for
(7.58). This strain has to be divided by the service life to
obtain the value of e_ s and the corresponding allowable stress
or creep strength can be obtained from Fig. 7.30. This pro-
cess can be repeated for better accuracy.
7.10.2 Prediction of Creep-Rupture Strength
The manner of determining the creep-rupture strength, i.e.
the stress required to cause rupture after a given time at a
given temperature is almost identical to the first method
explained to find creep strength. As already mentioned in
Sect. 7.8, tests are carried out on a series of specimens up to
the point of fracture at the same given temperature, but each
of them under a different stress level. The rupture time for
each specimen is measured and a plot is made with the
corresponding stress versus rupture time on a log-log scale,
which usually shows an approximately linear variation. The
creep-rupture strength for a given service life at a given
temperature may be determined from such a plot by inter-
polation. Then to obtain the working stress, the determined
7 Creep and Stress Rupture
10000
Temperature, T1 < T2 < T3
1000
T1
T2
100
T3
10
0.00001 0.0001 0.001 0.01 0.1 1 10 100
Minimum creep rate, percent per hour (log scale)
creep-rupture strength is reduced with a suitable factor of
safety. However, if the test time is prolonged, there may be a
break in the slope of stress-rupture curve at any constant
temperature. This break may also appear by increasing the
temperature of testing, as shown in Fig. 7.18. The reasons
for such break have been mentioned in Sect. 7.8. If the time
of testing used to construct the stress-rupture curve is shorter
than the service life, the extrapolation of that curve becomes
necessary. But such extrapolation will introduce serious
errors, if there is a break in the slope of the curve somewhere
between the end of the measured data and the service life of
the material.
To conduct stress-rupture test is cheaper and more suit-
able than to conduct creep test. So, it would be really helpful
if creep strength could be determined from creep-rupture
strength with an accuracy that is sufficient for applications in
design. Monkman and Grant (1956) showed empirically that
when minimum creep rate, e_ s ; is plotted against time to
rupture, tr ; on a log-log scale, it results in a straight line of
the following form:
log tr þ CM%G log e_ s ¼ KM%G ð7:59Þ
where CM%G and KM%G are material constants. Monkman
and Grant found that for a number of aluminium-, copper-,
iron-, titanium- and nickel-based alloys, the values of con-
stants are: 0:77\CM%G \0:93 and 0:48\KM%G \1:3: As
seen from (7.59), tr is inversely proportional to e_ s : If mini-
mum creep rate and rupture time data are collected from tests
on a given material at various temperatures and then plotted,
the resulting curve according to Monkman–Grant relation-
ship would be similar to that shown schematically in
Fig. 7.31. Thus, minimum creep rate required to determine
the creep strength can be estimated from the rupture life
obtained from the stress-rupture test if either the constants of
(7.59) are known for the given material or the experimental
curve similar to that in Fig. 7.31 is available for the given
7.10 Presentation of Engineering Creep Data
Minimum creep rate (log scale)
Rupture time (log scale)
Fig. 7.31 Demonstration of Monkman–Grant relationship from tests
on a given material at various temperatures (schematic)
material. Oppositely, rupture time can also be estimated
from the value of minimum creep rate obtained from the
creep test according to Monkman–Grant relationship. Cor-
relation between the rupture time and the minimum creep
rate strengthens the well-documented view that the cavities
form continuously throughout the process of creep.
7.11 Parameter Methods to Predict
Long-Time Properties
It has already been mentioned that often long-time creep and
stress-rupture data are needed for conditions for which no
experimental data are available. In such situations, the
extrapolation of creep and stress-rupture curves to long times
is required, which has been described in the earlier section,
but this process is not generally acceptable in most cases.
Because the curves can be reliably extrapolated to long times
only when it is surely known that structural changes, which
would cause a change in the slope of the curve, do not take
place in the extrapolated region. Hence, the development of
new methods for prediction of long-time properties becomes
essential. Since 1950, several new methods have been pro-
posed with a common central idea that raising temperature
can accelerate creep. Since structural changes generally take
place within short times by increasing temperatures, so the
curve obtained by short-time test at a temperature higher
than the service temperature can be extrapolated to longer
times corresponding to service lives of components if no
change in the slope of the test curve occurs.
291
In the new methods, therefore, a given material undergoes
total allowable deformation or rupture within a test time
shorter than the time for the same deformation or rupture in
service, by using a test temperature higher than the service
temperature, but the stresses applied during test and service
periods remain the same. The test time required for a given
deformation or rupture at the higher test temperature is then
converted to the corresponding time required for the same
deformation or rupture at the service temperature by means
of time-temperature parameters, as described below. This
new methods are usually called parameter methods. Apart
from predicting long-time creep or rupture behaviour, these
parameters are useful to compare the behaviour of materials
and to assess them relatively. Finally, they can be used to
extrapolate experimental data to the regions where direct
evaluation is generally difficult due to limitations of the test.
More than thirty time-temperature parameters have been
developed (Manson and Ensign 1979; LeMay 1979). The
four popular parameter methods will be discussed below.
The first two parameter methods have been developed on
theoretical grounds based on Arrhenius-type equation gov-
erning creep process and the last two parameter methods are
based on empirical grounds.
Assuming that creep is a process governed by
Arrhenius-type rate equation, as expressed by (7.30), (7.30)
can be integrated to obtain the time required to reach a given
creep strain or the time to rupture at a constant stress for a
given material as follows:
Ze Zt
%Q=RT
de ¼ A1 e dt
0 0
e Q=RT
)t¼ e ¼ heQ=RT ð7:60Þ
A1
where t is the time required to reach a given creep strain or
the time to rupture, e is the corresponding given creep strain
or the strain at rupture, Q, R and T have the same meanings
as in (7.30), Q is assumed to be the same at all temperatures,
and h is related to e and A1 : Since (7.60) is same as (7.40)
proposed by Dorn, so h will be termed as a
temperature-compensated time parameter.
Taking the common logarithm of both sides of (7.60), we
get
Q
log10 t ¼ log10 h þ M ð7:61Þ
RT
where M ¼ log10 e ¼ 0:4343: If h and Q are assumed to be
functions of stress only, then according to (7.61), the plot of
log10 t versus 1/T will be linear for any given stress.
Let us consider a set of stress-rupture data at various
temperatures for a given material, which is schematically
plotted as log stress versus log time to rupture as shown in
292 7 Creep and Stress Rupture

T1

Stress (logrithmic scale) T2

T3

T4

Temperature, T1 < T2 < T3 < T4 < T5

T5

Rupture time (logarithmic scale)

Fig. 7.32 Schematic stress-rupture curves at various test temperatures for a given material, assuming no break in the slopes of the curves

Stress, σ1< σ2 < σ3 < σ4 < σ5

Rupture time,
t1< t2 < t3 < t4 < t5 < t6 σ1 σ2 σ3 σ5
σ4
log10t (t in hours)

0.4343 Q
=
R
Stress

1
t1 (T on absolute scale)
t2 T

t3
Fig. 7.34 Schematic plot of rupture time on logarithmic scale against
t4 reciprocal of absolute test temperature for several different stresses,
showing all the lines in the plot are parallel to each other having a
t5 slope equal to ðMQÞ=R ¼ ð0:4343 QÞ=R; where Q = the activation
energy for the rate-controlling process in creep and R = the universal
t6 molar gas constant. This type of plot was obtained by Orr, Sherby and
Dorn

Temperature
Fig. 7.33 Constant rupture-time curves (schematic)
Fig. 7.32. In this plot, it is assumed that none of the
stress-rupture curves show any break in their slopes. The
data from Fig. 7.32 are then replotted as constant
rupture-time curves (schematic) on coordinates of stress
versus temperature in Fig. 7.33. To the graph of Fig. 7.33,
dashed horizontal lines have been added at different stress
levels. Values of temperature (T) from the intersections of
these dashed lines and the constant rupture-time curves are
then determined. From these data of stresses, rupture times
and temperatures, a family of curves is plotted in Fig. 7.34
on coordinates of log10 t versus 1/T for several different
stresses for that given material, where T is the absolute test
temperature and t is the time to rupture, expressed in hours.
All the curves are nearly linear. For any given straight line,
(7.61) is of the form
y ¼ b þ mx ð7:62aÞ
7.11 Parameter Methods to Predict Long-Time Properties 293

Stress, σ1< σ2 < σ3 < σ4 < σ5 in Fig. 7.35, where all the lines converge at a common point
on the log10t-axis. This evidence indicates that Q varies with
σ1 stress but h does not. So, log10 h is not a function of stress
and is regarded as constant. Let us take log10 h ¼ %C L%M ;
σ2
since the point of convergence on the log10t-axis shows a
σ3 negative value. Considering ðMQÞ=R ¼ ð0:4343 QÞ=R ¼ m;
σ4
σ5 which is a function of stress, r; (7.61) takes the following
form:
% &
log10t (t in hours)

1
log10 t þ CL%M ¼ m ð7:62bÞ
T
+ 20
The value of CL%M can be determined for any material
+ 10
from the average intercept of the lines extrapolated to the
log10t-axis as shown in a plot like Fig. 7.35. Since the slope
m ¼ ð0:4343 QÞ=R; is a function of stress, r; as indicated by
0
1 (T on absolute scale)
Fig. 7.35, the Larson–Miller parameter can be formulated
T from (7.62b) as
– 10
T ðlog10 t þ CL%M Þ ¼ m ¼ function of stress ðrÞ ð7:63aÞ
– 20 CL-M = Larson – Miller constant
where

Fig. 7.35 Schematic plot of rupture time on logarithmic scale against T ðlog10 t þ CL%M Þ ¼ Larson-Miller parameter ¼ PL%M
reciprocal of absolute test temperature for several different stresses, ð7:64aÞ
showing all the lines in the plot converge at a common point on the
log10t-axis as observed by Larson and Miller. This point of conver-
T the absolute temperature of testing in the Kelvin
gence is not a function of stress and is called Larson–Miller constant
or Rankine temperature scale, i.e. respectively in
K ¼ 0 C þ 273 or, 0 R ¼ 0 F þ 460;
where b ¼ log10 h and m ¼ ðMQÞ=R ¼ ð0:4343 QÞ=R; t the time required to reach a given creep strain or the
which mean that h is related to the intercept and Q to the time to rupture in h;
slope of the line. The manner of variation of h and Q with CL%M the Larson–Miller constant in log10 t versus 1/T
stress will therefore determine the characteristics of such a plot. For most alloys, CL%M has been found to vary
family of straight lines shown in Fig. 7.34. There are three between 15 and 30 depending on material. When a
possible variations: specific value is not determined, the most com-
monly used value of CL%M is often assumed to be
1. If h is constant while Q varies with stress, all the lines in 20, because this value has been found to be
the family will converge at a common point on the y- or reasonably true for many materials.
log10t-axis. A family of this type of straight line is When the creep or stress-rupture data are plotted on
illustrated in Fig. 7.35.
coordinates of ln t versus 1/T instead of log10 t versus 1/T,
2. If Q is constant and only h varies with stress, all the lines
the Larson–Miller parameter will take the following form:
in the family will be parallel to each other having a slope
equal to ðMQÞ=R ¼ ð0:4343 QÞ=R; which has already Q
T ðln t þ CL%M1 Þ ¼ slope ¼ function of stress ðrÞ
been shown in Fig. 7.34. R
3. If both h and Q vary with stress, the lines may neither be ð7:63bÞ
parallel nor have a common intercept on the y- or log10t-
axis. where

T ðln t þ CL%M1 Þ ¼ Larson-Miller parameter ¼ PL%M1

7.11.1 Larson–Miller Parameter ð7:64bÞ

The first possibility is the basis of the Larson–Miller CL%M1 ¼ the Larson–Miller constant in ln t versus 1/T
parameter method (Larson and Miller 1952). Larson and plot ¼ CL%M =M ¼ CL%M = log e ¼ CL%M =0:4343: For most
Miller analyzed large amounts of experimental stress-rupture alloys, CL%M1 ranges from about 35 to 69 depending on
data and plotted in accordance with (7.61). The plot is shown material. When input data are limited, it is often assumed
294
Stress (logarithmic scale)
Larson–Miller parameter,
PL-M = T(log10t + CL-M), or, PL-M1 =T(Int + CL-M1)
Fig. 7.36 Schematic master curve for a given material based on the
Larson–Miller parameter, where the most commonly used value of the
Larson–Miller constant is CL%M ¼ 20; or CL%M1 ¼ 46:
that the most commonly used value is CL%M1 ¼ 20=
0:4343 ¼ 46:
After determining the value of CL%M or CL%M1 from
Fig. 7.35, if PL%M or PL%M1 is evaluated according to (7.64)
for a variety of pairs of values of t and T obtained over a
range of stress from Fig. 7.35 and plotted against the cor-
responding observed stresses, a single master curve is
obtained for any given material. The trend of variation of
such a master curve is shown schematically in Fig. 7.36. At
any given stress, PL%M or PL%M1 will have the same value
for an infinite variety of combinations of t and T, varying
from the short times and high temperatures that represent test
conditions to the longer times and lower temperatures that
represent service conditions. Allowable stress for long ser-
vice can therefore be obtained by using the master curve that
has been constructed from test results. This allowable stress
is the predicted creep strength or creep-rupture strength for
long service, where t is either the time for a permissible
creep strain or the time to rupture.
Many high-temperature alloys agree well with the Lar-
son–Miller parameter. If all the master curves of different
high-temperature alloys are plotted on the same graph using
the same scale for PL%M or PL%M1 ; the direct comparisons of
the alloys are possible. The same scale for PL%M or PL%M1 is
possible to use if a single average value of the Larson–Miller
constant is used for those different high temperature alloys.
Often the most commonly used value of the Larson–Miller
constant is CL%M ¼ 20 for PL%M or CL%M1 ¼ 46 for PL%M1 :
If the actual value of the Larson–Miller constant for each
alloy is close to the value used for PL%M or PL%M1 ; such a
graph involving the smaller amount of work may be
accepted for the direct comparisons of different alloys.
However, more accurate results are obtained when the
7 Creep and Stress Rupture
correct value of the Larson–Miller constant is considered for
each alloy.
Since rupture time is inversely proportional to minimum
creep rate, as seen from (7.59), the Larson–Miller parameter
expressed in terms of minimum creep rate, e_ s ; instead of time
to rupture will be
T ðCL%M2 % ln e_ s Þ ¼ PL%M2 ð7:65Þ
7.11.2 Orr–Sherby–Dorn Parameter
The second possibility in the variations of h and Q with
stress mentioned above is the basis of the Orr–Sherby–Dorn
parameter method (Orr et al. 1954). Experimental data
obtained by Orr, Sherby and Dorn indicated that for a given
material, Q remains essentially constant while h varies with
stress. This means that all the lines corresponding to various
stresses in the plot of log10 t versus 1/T will be parallel to
each other having a slope equal to ðMQÞ=R ¼
ð0:4343 QÞ=R; as shown in Fig. 7.34. Let us take
ð0:4343 QÞ=R ¼ CO%S%D ; which is a time-temperature con-
stant based on the linear relationship of log10 t versus 1/T for
a given material and log10 h ¼ #; which is a function of
stress, r: Hence, (7.61) takes the following form:
CO%S%D
log10 t ¼ # þ
T
CO%S%D ð7:66Þ
) log10 t % ¼ intercept #
T
¼ function of stress ðrÞ
where
CO%S%D
log10 t % ¼ Sherby-Dorn parameter ¼ PO%S%D
T
ð7:67Þ
CO%S%D ¼ ð0:4343 QÞ=R ¼ the average slope of a family
of parallel lines for various stresses in the plot of log10 t
versus 1/T and CO%S%D is expressed in K, since Q is
expressed in J mol−1 and R is expressed in J mol−1 K−1. t,
and T have the same meanings as in (7.63a).
Figure 7.37 schematically shows a single master curve
for any given material representing (7.66). To obtain this
master curve, PO%S%D is evaluated according to (7.67) for a
variety of pairs of values of t and T obtained over a range of
stress taking data from Fig. 7.34 and the value of CO%S%D is
determined from the common slope of the lines in Fig. 7.34.
To predict creep strength or creep-rupture strength for long
service life, this master curve can also be used in a way
similar to the Larson–Miller parameter method.
7.11 Parameter Methods to Predict Long-Time Properties 295

(Ta , log10ta)
log10ta Stress, σ1< σ2 < σ3 < σ4 < σ5

log10t (t in hours)
Stress (logarithmic scale)

σ1
σ2
σ3

σ4
σ5
Ta
T (absolute scale)

Fig. 7.38 Schematic plot of rupture time on logarithmic scale against

absolute test temperature for several different stresses, showing all the
CO-S-D lines in the plot converge at a common point, as observed by Manson
Sherby–Dorn parameter, PO-S-D =log10t – and Haferd. The coordinates of the point of intersection of the
T
extrapolated iso-stress lines are ðTa ; log10 ta Þ
Fig. 7.37 Schematic master curve for a given material based on the
Sherby–Dorn parameter, where CO%S%D ¼ ð0:4343 QÞ=R ¼ the aver-
age slope of a family of parallel lines for various stresses in the plot of where
log10t versus 1/T
T % Ta
¼ Manson-Haferd parameter ¼ PM%H
log10 t % log10 ta
7.11.3 Manson–Haferd Parameter ð7:69Þ

An entirely empirical ground is the basis for the develop- t and T have the same meanings as in (7.63a);
ment of Manson–Haferd parameter method (Manson and Ta the temperature coordinate of the converg-
ing point of lines on the graph, expressed in
Haferd 1953). Manson and Haferd observed that lines
plotted on coordinates of log10 t versus 1/T as shown in the Kelvin or Rankine temperature scale;
Fig. 7.34 or Fig. 7.35 are not perfectly linear. These inves- log10 ta the time coordinate of the converging point
of lines on the graph in log10-scale in which
tigators therefore tried to plot test time against test temper-
ature in alternative ways and found that when log10 t is ta is expressed in hour;
plotted against T, the greatest linearity is obtained. Further, SM%H ¼ 1=m reciprocal of the slope of iso-stress lines and
is a function of stress, r
they found that when a family of straight lines are plotted on
coordinates of log10 t versus T for several different stresses Following the procedure mentioned above, the Manson–
for a given material, these lines converge to a common point Haferd master curve can be constructed by evaluating PM%H
on the graph, as shown schematically in Fig. 7.38. Let the according to (7.69) for a variety of pairs of values of t and
coordinates of the point of intersection of the extrapolated T obtained over a range of stress taking data from Fig. 7.38
iso-stress lines on the graph of log10 t versus T are Ta and and determining the values of Ta and log10 ta from Fig. 7.38.
log10 ta and the slope of iso-stress lines is m, which is a Figure 7.39 shows schematically this master curve, which
function of stress, r: The equation of the family of straight can be used to predict creep strength or creep-rupture
lines in Fig. 7.38 then can be represented by strength for long service life. Since the parameter PM%H is
based on a linear relation between log10 t and T for a given
log10 t % log10 ta ¼ mðT % Ta Þ stress, it is also known as the linear parameter.
T % Ta 1 It has been found (Goldhoff 1959) that consistently more
¼ ¼ SM%H ¼ function of stress ðrÞ
log10 t % log10 ta m accurate predictions of long-time properties are obtained by
ð7:68Þ using the Manson–Haferd linear parameter method than by
296 7 Creep and Stress Rupture

Fig. 7.39 Schematic master

curve for a given material based
on the Manson–Haferd parameter,
where Ta and log10 ta are

Stress (logarithmic scale)

respectively temperature (on
absolute scale) and time (in
hours) coordinates of the point of
intersection of the extrapolated
iso-stress lines in the plot of
log10t versus T

T – Ta
Manson–Haferd parameter, PM-H =
log10 t – log10 ta

using the Larson–Miller or Sherby–Dorn parameter method. Stress, σ1< σ2 < σ3 < σ4 < σ5
However, the determination of the exact coordinates of the σ1

converging point of lines on the graph is a problem in the σ2

Manson–Haferd method. In this method, long extrapolations σ3
σ4
of nearly parallel lines representing log10 t versus T are σ5
required to obtain the point of convergence, which makes the
exact location of the point unreliable. This uncertainty cau-
log10t (t in hours)

ses different values for the coordinates of the point to be

decided by different investigators, which in turn produces
somewhat different results for the same material. However, if
a large enough data are available, the error due to the above
cause seems to be little.
1
Tb
0
7.11.4 Goldhoff–Sherby Parameter 1 (T on absolute scale)
T
The approach of these investigators is similar to the Man-
log10tb
son–Haferd method with the difference being that a family of
(1/ Tb , log10tb)
straight lines are plotted on coordinates of log10 t versus 1/
T for several different stresses for a given material instead of
Fig. 7.40 Schematic plot of rupture time on logarithmic scale against
plotting log10 t versus T. It is further found that the con- reciprocal of absolute test temperature for several different stresses,
structed iso-stress lines will converge to a common point, showing all the lines in the plot converge to a common point, as
coordinate of which is designated by ð1=Tb ; log10 tb Þ: The observed by Goldboff and Sherby. The coordinates of the point of
intersection of the extrapolated iso-stress lines are ð1=Tb ; log10 tb Þ
plot is shown schematically in Fig. 7.40. The procedure to
determine Goldhoff–Sherby parameter (Goldhoff and Hahn
1968) is similar to that used for the Manson–Haferd where
parameter. The value of the Goldhoff–Sherby parameter is
the slope of lines at constant stresses on the plot of log10 t log10 t % log10 tb
¼ Goldhoff-Sherby parameter ¼ PG%S
versus 1/T and this slope is a function of stress, r: Hence, the 1=T % 1=Tb
Goldhoff–Sherby parameter is given by ð7:71Þ

log10 t % log10 tb t and T have the same meanings as in (7.63a);

¼ slope of iso-stress lines
1=T % 1=Tb ð7:70Þ 1=Tb the temperature-coordinate of the converging
¼ function of stress ðrÞ point of lines on the plot of log10 t versus 1/T, in
which 1=Tb is expressed in K−1 or °R−1.
7.11 Parameter Methods to Predict Long-Time Properties 297

log10 tb the time-coordinate of the converging point of Consider a tensile test specimen which is subjected to a
lines on the graph in log10-scale in which tb is constant total strain, et ; under an initially applied stress of ri
expressed in hour at an elevated constant temperature where creep can occur.
The total strain et can be considered to be the summation of
the following three components:
7.11.5 Limitations of Parameter Methods
(1) Elastic strain, ee ;
(2) Time-independent plastic strain, ep ; that occurs on
To predict creep properties using any of the parameter
loading;
methods, one must remember the fact that lines yielded by
(3) Time-dependent creep strain, ec :
any of the above methods of plotting time against temper-
ature are not perfectly linear and the complete validity of any
The total strain after loading is therefore given as:
of the parameter methods is questionable. Naturally, the
results given by different parameter methods will be con- et ¼ ee þ ep þ ec ¼ constant ð7:72Þ
tradictory. However, actual errors involved in these param-
eter methods are lesser than those involved in the earlier Differentiating (7.72) with respect to time, and remem-
methods described in Sect. 7.10, where extrapolations to bering that the plastic strain on loading, ep ; is not dependent
long time would be needed. on time and that the total strain, et ¼ constant:
Another limitation of the parameter methods is the
dee dec dee dec
requirement of employing testing temperatures higher than 0¼ þ0þ ; or; ¼% ð7:73Þ
the service temperature of material. If the service tempera- dt dt dt dt
ture is close to a transformation temperature of a given But for a linear elastic material, ee ¼ r=E; where r is the
material, it is not possible to use a testing temperature that instantaneous stress, which is a function of time, and E is the
exceeds the transformation temperature, because structural elastic modulus. Hence,
changes would occur. In such cases, it will not be possible to
obtain parameter values using higher test temperatures that dee 1 dr
¼ ð7:74Þ
would predict creep properties for long service life and for dt E dt
this, extrapolation of the master curve itself would be Substituting (7.74) into (7.73) and then integrating with
required. But such extrapolations are usually believed to be respect to time t, one obtains
not much superior to those of the earlier methods described
in Sect. 7.10, where the lengths of time involved are the Zec Zr
dec 1 dr
same. dt ¼ % dt
dt E dt
ep ri
ri % r
) ec % ep ¼ ð7:75Þ
7.12 Stress Relaxation E
where ep is the time-independent plastic strain at time t ¼ 0;
Stress relaxation is the time-dependent reduction in initially
when relaxation begins, and ri is the initial stress at the same
applied stress in a stressed material which is constrained to a
instant. Equation (7.75) shows that as r decreases ec
certain fixed deformation. When a stressed material is held at
increases. Creep therefore occurs under conditions of
a constant total strain with no dimensional change, it will
decreasing stress.
creep, if the temperature and stress are sufficiently high.
If we assume that the tensile specimen is undergoing
High temperature bolted joints and press-fitted assemblies
steady-state creep at a low stress level, then under condition
are common practical examples where considerable stress
of steady-state creep at the instantaneous stress r at the
relaxation is often found after long periods of time as a result
constant temperature of testing the creep rate of the tensile
of creep. The total strain of a stressed material can only
specimen according to (7.32) will be
remain constant if the elastic strain in the material is trans-
formed into permanent or plastic strain resulting from creep dec
deformation, which is occurring in the material. This trans- ¼ e_ s ¼ A02 rn ð7:76Þ
dt
formation causes a reduction in elastic strain, which in turn,
results in a decrease of the stress as a function of time and where A02 is independent of stress, but dependent on tem-
with it, the creep rate also decreases. Thus, creep at a fixed perature. n is independent of stress and, to some extent,
total strain results in a time-dependent stress relaxation. depends on temperature.
298 7 Creep and Stress Rupture

Substitution of (7.74) and (7.76) into (7.73) gives in stress. Further, the rate at which the stress decreases is
initially rapid but the rate of drop diminishes continually and
1 dr ultimately, the curve flattens because the creep rate decreases
¼ %A02 rn ð7:77Þ
E dt with decreasing stress level. The time required to relieve
Equation (7.77) is the differential equation for the ideal- residual stresses by thermal treatment can also be estimated
ized case of stress relaxation where steady-state creep at a by using these types of curves. Equation (7.80) is derived
low stress level and a fixed total strain, et ; are assumed. basically to point out the principles on which the theory of
Integrating (7.77), we get stress relaxation is based. For accurate predictions a more
Z Z exhaustive method, in which primary creep and the defor-
dr 0 mations of the testing machine and the connected parts are
¼ %A 2 E dt
rn considered, must be applied. Such a procedure includes
ð7:78Þ
1 0 solution by step-by-step numerical integration.
% ¼ %A2 Et þ C
ðn % 1Þrn%1 However, it has been shown (Trouton and Rankine 1904)
for creep of lead under a tensile force at 25 °C that the
where C is the integration constant. At the start of testing,
tensile stress, r; relaxes logarithmically with time, which is
i.e. at time t ¼ 0; the initial stress r ¼ ri : From this condi-
given by
tion, C can be evaluated from (7.78):
r ¼ ri % cr lnð1 þ mr tÞ ð7:81Þ
1
C¼% ð7:79Þ
ðn % 1Þrn%1
i where ri is the initial stress, and cr and mr are
time-independent constants. This relation has been found to
Substitution of the value of C from (7.79) into (7.78)
apply quite well on a-iron, copper, and a-brasses in the
gives the relation between stress and time in stress relaxation
temperature range of 77–358 K (Feltham 1961) and in
as follows:
magnesium and an Al-9.7% Cu alloy at 298 K (Laurent and
1 1 Eudier 1950). The parameter cr is not very sensitive to the
¼ þ A02 Eðn % 1Þt ð7:80Þ initial stress ri ; but it decreases with increasing temperature,
rn%1 rn%1
i
and is very sensitive to composition in the case of brass. On
The stress-relaxation curve, i.e. stress r versus time t, for the other hand, the frequency factor, mr ; is sensitive to ri and
a given material can be plotted from (7.80) if values of A02 ; E, temperature. mr is found to vary between 10 and 30 min−1 in
and n for that material at a given temperature and the initial the work on a-brasses and copper. Logarithmic creep
stress ri are known. Stress–relaxation curves for a given behaviour appears to be valid during stress relaxation, since
material at different temperatures for the same initial stress elastic strain is transformed into plastic creep strain and the
are shown schematically in Fig. 7.41. This figure shows that amount of creep strain involved is small. Substitution of
the stress relaxation is also a function of temperature and that (7.75) into (7.81) gives the time dependence of creep strain
the higher the temperature the higher is the rate of decrease as follows:
cr
ec ¼ ep þ lnð1 þ mr tÞ ð7:82Þ
E
Initial stress Data given by Feltham (1961) for 65/35 a-brass show
at t = 0
that cr is related to c of (7.6), which has also been found to
Temperature, T1 < T2 < T3
be insensitive to the initial stress and this relation is
cr =E , c:
Stress

Tests have been designed to study the stress relaxation

T1
T2
T3
0 Time, t
Fig. 7.41 Schematic stress-relaxation curves for a given material at
various temperatures for the same initial stress, showing the rate of
decrease of stress increases with increasing temperature
behaviour. A hard testing machine should be used to avoid
the deformation of the machine, but even then the effect of
machine stiffness must be considered (Guiu and Pratt 1964).
Depending on the application, the initial stress applied
during loading to deform the specimen to a fixed strain,
which is then held constant, may be below, at or above the
yield stress of material. The specimen may or may not
experience permanent plastic strain but will always undergo
elastic strain on loading.
7.12 Stress Relaxation
7.12.1 Step-Down Creep Test
Step-down creep test at constant extension is a
stress-relaxation test performed in tension. Quantitative
measurement of the amount of relaxation in very long times
from a given stress is the objective of this test. The test is
often used as a convenient means for evaluating materials for
high-temperature bolting service. Since the applied initial
stress is often below the yield stress, great precision and
stability of the testing equipment are required. A mo-
tor-driven lever arm-type creep machine is commonly used
(Loveday and King 1982), which consists of a means of
periodically adjusting the weight to maintain constant
specimen constraint. A typical setup of stress-relaxation test
equipped for step-down tension testing is shown schemati-
cally in Fig. 7.42. This mainly consists of a furnace, a
temperature-compensated extensometer system, an elec-
tronic control module and a data recorder. Its structure has a
precisely balanced lever arm supported on knife edges.
A stress versus time relaxation curve is constructed directly
by using the output from the load cell.
According to ASTM Standard (ASTM E328 2013), it is
required to control strain within 10:0025% and temperature
Lever arm Knife edge
support
Load train
Electronic
Specimen control
module
Furnace,
oven, or
environmental
chamber
Extensometer
Load cell
Motor
drive
Fig. 7.42 Schematic setup of stress-relaxation test equipped for
step-down tension testing
299
within 13 0 C or 10:5%; whichever is greater. The stability
of the furnace temperature is very important because tem-
perature variation can cause thermal expansion or contrac-
tion that will affect the strain. This strain and temperature
control must be maintained over the whole period of test
duration, which may be often several years to relate to actual
service times. Moreover, the loading rate can significantly
affect the stress relaxation.
In this step-down test, the strain is normally maintained
between limits. The common procedure to approximate a
constant extension is illustrated schematically in Fig. 7.43a
(Kuhn and Medlin 2000). When the strain reaches the upper
limit, the stress is reduced by a small amount. This instan-
taneously leads to a proportionate elastic contraction. The
specimen then creeps under the reduced stress until the
limiting strain is again reached, at which time the stress is
again reduced by the same amount, and so on. By successive
reductions of stress, the relation between stress and time is
obtained for the specimen under conditions in which the
total strain fluctuates between the stipulated upper and lower
limits and this stress–time relation is shown schematically in
Fig. 7.43b (Kuhn and Medlin 2000).
7.13 Materials for High-Temperature Use
As mentioned before, many engineering processes are
required to be operated at elevated temperatures where creep
predominates. For example, high temperatures are needed in
cracking stills used in chemical and petroleum industries to
accelerate the reaction rates. Thus, machine parts and
structural components operated at elevated temperatures
must be made of creep-resistant materials. For example,
creep-resistant materials must be used for turbine blades
otherwise creep deformation of the blades during service
may result in seizing of the blades with the turbine casing.
In general, the higher the melting point of materials, the
greater is the creep resistance because creep occurs to a great
extent at a homologous temperature greater than about 0.5,
and at a given temperature, the diffusion coefficient on which
creep rate depends is lower in materials with high melting
point. Since refractory oxides such as MgO and Al2O3
possess high melting points, so they are very suitable for
high-temperature applications. At the same time, since they
are brittle, their uses are limited to applications where only
compressive stresses are experienced. On the other hand,
metals and alloys can be used under more flexible service
conditions. Most creep-resistant alloys contain a base metal
of higher melting point. But apart from the high melting
point, to select a metal for high-temperature use one must
also consider that the metal should have ability to be fabri-
cated into the required shape of the component and its cost
of production and density should be low. For example,
300
Fig. 7.43 Schematic (a)
stress-relaxation curve derived
from step-down test. A C
a Approximation of a constant
extension by step-down test. σ1 σ2
Extension
b Stress–time relation (Kuhn and
Medlin 2000) B D
O Initial
loading
time
tungsten with a high melting point exceeding 3000 °C has
not been widely used because of fabrication difficulty, higher
density and production cost. Iron-based, nickel-based and
cobalt-based heat-resistant alloys (superalloys), in which the
melting points of all the three base metals are moderately
high of the order of around 1500 °C, are commonly used at
temperatures exceeding 540 °C. These superalloys exhibit
the best combination of high strength, superior resistance to
creep and fatigue, good corrosion resistance and thermal
stability, i.e. the ability to operate at high temperatures for
prolonged periods of time. No other metallic material can
provide such combination of elevated temperature strength
and resistance to surface degradation. Further, fibre-
reinforced superalloys are also being used as structural
materials at elevated temperatures. It has been seen that the
service temperatures of fibre-reinforced superalloys may
increase by 175 °C over that of unreinforced superalloys.
Tungsten fibres have been found suitable for reinforcement
in superalloys and tungsten-reinforced superalloys exhibit
superior high-temperature strength and creep resistance
(Petrasek et al. 1986). Fabricability, rupture life and ductility
at fracture of superalloys are considerably improved by
vacuum melting, probably because of the decrease in the
number and size of inclusions.
Metals with lower diffusivities creep to a lesser extent and
have higher creep resistance. Since FCC metals because of
closed-pack structure have lower diffusivities than BCC
metals, creep resistance of FCC structure is usually superior
to BCC structure for metals with the same melting point. An
increase in modulus of elasticity decreases the strain rate and
improves a material’s resistance to dislocation creep. As far
as improved creep resistance is concerned, the role played by
‘diffusivity hardening’ is primary and that by ‘modulus
hardening’ is secondary. Ceramics, which have higher
melting points and moduli of elasticity and lower diffusivity
than metal system, have been used to develop components of
gas turbine engine, but their low ductility and brittle beha-
viour in tension limit their use in such applications.
7 Creep and Stress Rupture
(b)
E G ∆P
∆σ =
σ4 A0 Derived stress
σ3 (etc.) relaxation curve
σi
σ1
F H
σ2
Stress
(not to scale) σ3
σ4
(etc.)
0
Time 0 Time
Thus, a material possessing a high melting point and
modulus of elasticity and low diffusion coefficient is suitable
for high-temperature applications. Further, such materials
must possess a combination of superior creep strength,
thermal fatigue resistance, and oxidation and hot corrosion
resistance. An alloy for creep resistance must be designed to
provide a structure possessing the desired properties, which
involves the proper balance of composition and treatment. It
may not be always possible for the same structure to yield
the maximum strength, ductility and stability under the
service conditions. For those situations where fabricability is
most important or substantial ductility is needed at the
expense of strength, the most appropriate strengthening
method is solid-solution alloying. The best strength will be
achieved for a completely saturated alloy and by additions of
solutes possessing higher valency which produces a strong
decrease in stacking fault energy. Metals with lower stacking
fault energy have greater creep resistance because of having
wider extended partial dislocations which cannot easily
overcome obstacles by cross-slipping or climbing.
Out of aforementioned superalloys, nickel-based super-
alloys have the best creep resistance property. They are used
as turbine blades in engines operating at temperatures as
high as 1290 °C, which is equivalent to a homologous
temperature of 0.9. Tungsten (W), molybdenum (Mo) and
titanium (Ti), the constituent elements of nickel-based
superalloys, act as very effective solid-solution strengthen-
ers. Further, W and Mo assist to reduce the diffusivity of the
alloy. Although increase in solid-solution strengthening is
small with increase of chromium (Cr) content in nickel
(Ni) superalloys, but the overall solid solution strengthening
effect of Cr is large since Cr can be dissolved in the Ni
matrix to a large extent. In many nickel-based superalloys,
submicron-size Ni3 ðAl; XÞðc0 Þ precipitates form within the
nickel solid solution ðcÞ; where X within the c0 phase rep-
resents the constituent elements Ti, niobium (Nb) or tanta-
lum (Ta). If cobalt (Co) is present in the alloy, it assists to
improve the stability of the precipitate, though it gives
7.13 Materials for High-Temperature Use
comparatively small solid-solution strengthening. In these
alloys, dislocation motion through the ordered c0 precipitates
is difficult, which increases creep strength of the alloys at
elevated temperature. It may be particularly noted that c0
phase exhibits threefold to sixfold increase in strength when
the temperature is increased from ambient to 700 °C
(Thornton et al. 1970; Stoloff 1971; Jensen and Tien 1981).
The constituent elements that are introduced as surface
stabilizers in nickel-based superalloys include Cr, aluminium
(Al), Zirconium (Zr), boron (B) and hafnium (Hf). Cr present
in solid solution allows forming Cr2O3, which lowers the
rate of oxidation and hot corrosion. The presence of Al adds
to improved oxidation resistance and resistance to oxide
spalling. Finally, improved hot strength, hot ductility and
rupture life are imparted by addition of B, Zr and Hf (Decker
and Freeman 1961).
The dispersion of carbide particles along grain boundaries
in polycrystalline alloys prevents grain-boundary sliding and
migration and thus provides creep resistance. Carbide
formers such as Cr, W, Mo, vanadium (V), Ti, Nb and Ta
lead to the formation of carbide particles, such as MC, M2C,
M6C, M7C3, M23C6. Out of these, MC carbides, e.g. TiC, are
most stable and Cr23C6 precipitates are formed when Cr
contents are relatively high. Cobalt-based superalloys
acquire their strength from a combination of solid-solution
strengthening and dispersion strengthening caused by car-
bide precipitates. In creep-resistant steels, the carbides can
be precipitated by heat treatment prior to the creep defor-
mation or may be precipitated preferentially at dislocations
during the creep deformation. The thermal stability of these
precipitates, which form in a finely dispersed fashion, is
essential to maintain high strength at elevated temperature
and is thus useful to improve creep resistance. But finely
dispersed small-sized precipitates, which give the greatest
strengthening, are the most unstable.
In many nickel-based superalloys, small amounts of Ti
and/or Al are added that combine with Ni to form fine
precipitates of intermetallic compounds, such as Ni3Ti,
Ni3Al, or Ni3(Al, Ti). In this alloy, the coarsening of the fine
precipitates at elevated temperatures is prevented by main-
taining coherency between the precipitate particles and the
matrix. For example, an interface of a very low energy of the
order of about 0.005 J m−2 (5 erg/cm2) is formed between
the precipitate particles of Ni3 ðAl; TiÞ and the matrix. As the
driving force for coarsening is the reduction in the total
surface energy, the driving force available here is very little,
and thus, the precipitates do not grow and remain stable for
longer time.
In dispersion-hardened alloys, the strengthening phases
are finely dispersed in a metallic matrix as small-sized par-
ticles which are thermally stable because they are practically
insoluble in the matrix. This negligible solubility stabilizes
fine particles by preventing their coarsening because the
301
growth of coarser particles requires the dissolution of finer
particles. For example, in thoria-dispersed nickel
(TD-nickel) which is a dispersion-hardened alloy, the
interparticle spacing of fine particles of thoria is small
enough to hinder effectively the motion of dislocation in the
nickel matrix and maintains the creep strength up to a
homologous temperature of 0.9. Further, the fine dispersions
in dispersion-hardened alloys, such as sintered aluminium
powder (SAP), prevent large-scale grain-boundary migration
and the associated decrease in strength, because the migra-
tion of grain boundary usually reduces the strain hardening
in the crystal leading to marked softening and loss of
strength. The driving force for grain-boundary migration is
the energy of strain hardening present in one of the grains
situated next to the grain boundary before recovery. If the
migration of grain boundary cannot occur, the creep rate is
much slower.
It is to be noted that cold working (plastic deformation)
cannot be used as a strengthening process to improve creep
resistance. Because recrystallization will occur quite readily
at a homologous temperature greater than about 0.5, where
creep predominates and the cold-worked strength will be lost
on recrystallization, as shown in Fig. 10.11 in Chap. 10.
A material with a fine grain size is desirable for better
strength, hardness and toughness in a low-temperature
application, where creep is insignificant. On the other
hand, coarse-grain materials must be used to have better
creep resistance for high-temperature applications, where
diffusional flow-controlled creep dominates. For diffusional
creep, increasing the grain size reduces the creep rate (see
Sect. 7.6.2). As discussed in Sect. 7.5.1, vacancy diffusion is
relatively slow in a coarse-grain material, which results in a
lower creep rate and higher resistance to creep. Further, as
grain-boundary sliding can add to the creep deformation and
reduce the creep resistance, so fine-grain materials are to be
avoided because a fine-grained material has greater
grain-boundary areas per unit volume available for sliding
than a coarse-grained material. Since the nucleation sites for
fracture at high temperatures are grain boundaries, so control
or removal of grain boundaries will restrain fracture and
improve rupture life. Directional solidification (Ver Snyder
and Shank 1970) can be used to control the alignment of
grains in such a way that the grain boundaries are oriented
predominantly parallel to the tensile stress axis. Directional
solidification of a turbine blade (i.e. solidifying the material
sequentially from the bottom to the top of the blade) pro-
duces columnar grains having boundaries oriented predom-
inantly parallel to the longitudinal axis of the blade so that
the bending stresses on the grain boundaries are low. This
minimizes grain-boundary sliding and significantly reduces
formation of cavities at grain junctions leading to delayed
fracture and appreciably greater elongation at fracture.
Grain-boundary sliding is not a problem in a single crystal
302
because grain boundaries have been entirely eliminated.
Even greater improvements in rupture time and ductility can
be obtained by using cast single crystal titanium turbine
blades although the cost is an inhibiting factor here. When
grain sizes in a turbine blade made of a nickel-based
superalloy are increased from 100 lm to 10 mm, which is of
the order of the thickness of the turbine blade, the creep rate
is reduced by approximately 6 orders of magnitude, where
the creep mechanism is predominantly Coble creep that
often occurs under typical blade operating conditions.
7.13.1 Rules to Develop Creep Resistance
From the discussions in the previous section, it is possible to
state a series of general rules, which should be followed in
order to obtain increased creep resistance at elevated tem-
peratures. Some of these rules are:
1. Use Metals with a High Melting Point
The rate of recovery by climbing of edge dislocation is
proportional to the rate of self-diffusion. At a given tem-
perature, since self-diffusion is usually slower for a metal of
higher melting point than for a metal of lower melting point,
so climbing process at a given temperature becomes more
difficult in metals and alloys of high melting point leading to
higher resistance to creep. Recovery by climbing cannot
occur significantly at a homologous temperature below
about 0.5.
2. Use FCC Metals with Low Stacking Fault Energy
Metals with low stacking fault energy have greater creep
resistance, because the perfect dislocations are dissociated
into partial dislocations, for which it is more difficult to
overcome obstacles by cutting through, cross-slipping, or
climbing. The lower the stacking fault energy the higher will
be the separation between partial dislocations, i.e. the width
of dissociated dislocations and the more will be the difficulty
in overcoming the obstacles. Such dissociated dislocations
exist in FCC metals. Further, FCC metals having
close-packed structures than BCC metals result in lower
diffusivities that limit creep deformation. So, creep resis-
tance of FCC metals is usually superior to BCC metals at
equivalent homologous temperatures.
Solute additions to a pure metal can lower the stacking
fault energy. For this purpose, solutes possessing higher
valency are better, because they increase the electron to atom
ratio to a greater extent causing a higher decrease in the
stacking fault energy. Fortunately, the rise of flow stress due
7 Creep and Stress Rupture
to additions of such solutes also tends to be more pronounced
than that due to additions of solutes of lower valency.
3. Use Solid-Solution Hardened Alloy
Solid-solution hardening can increase the strength of the
alloy and thus contribute to higher creep strength. Higher
hardening effect could be achieved if atomic size and
valency of solutes differ considerably from the parent metal,
but unfortunately, these factors are not favourable for
extensive solid solubility and thus limit the formation of
solid solution.
4. Use Structure with Long-Range Order
A further contribution to the creep strength of solid solutions
is provided by long-range ordering in solid solutions,
because the superlattice dislocations group together in pairs
to preserve order across the slip plane. The disorder created
by the first dislocation of a pair is eliminated by the passage
of second dislocation, and thus, extra energy is needed to
move the pair of dislocations if order is to be preserved
across the slip plane. Hence in long-range ordered structure
(superlattice), the pairs of dislocations with domain bound-
aries between them behave in a fashion similar to the
extended dislocations in metals of low stacking fault energy.
5. Use Thermally Stable Precipitates
Formation of thermally stable precipitates is needed to
improve further the creep strength of a solid solution at
elevated temperature. Precipitates block the glide planes and
prevent dislocations from excessive gliding. It is theoreti-
cally estimated that the most effective dispersion of precip-
itates for optimum strength should have an interparticle
spacing of about 10−5 mm, so that it can prevent dislocations
bending around and bypassing the particles. Unfortunately,
such closely dispersed fine precipitates usually coarsen at
higher temperatures resulting in a wider interparticle spac-
ing, which is not an effective barrier to dislocation motion
and results in a decrease in strength properties. The insta-
bility of fine dispersions at elevated temperatures occurs due
to diffusion of elements from the precipitates to the matrix
and this can be minimized in the following ways:
• Choice of precipitating elements which have a slow
diffusion rate and form the most stable precipitating
compounds.
• Use of a dispersed phase which is nearly insoluble in the
matrix, so that the resolution of fine precipitates and the
growth of coarser precipitates are slow.
7.13 Materials for High-Temperature Use 303

• Selection of such a precipitate that there is a close crys- • Considering creep deformation to be viscous flow, we can
tallographic matching, or coherency between the lattices assume principal shear-strain rates are proportional to
of the precipitate and the matrix. principal shear stresses. This gives that the principal true
strain rates are proportional to the applied principal true
6. Use Also Elements Which form Precipitates in Associa- stresses, i.e. e_ 1 / r1 ; e_ 2 / r2 ; and e_ 3 / r3 :
tion with Crystal Defects During Service Time
If C is the constant of proportionality, we can write from
If precipitates form on dislocations or nucleates in associa- the second assumption:
tion with stacking faults, it becomes an important source of
strengthening both at low and high temperatures. It is indi- e_ 1 % e_ 2 ¼ C ðr1 % r2 Þ; ð7:83Þ
cated by some experiments that precipitates which form
e_ 2 % e_ 3 ¼ C ðr2 % r3 Þ; ð7:84Þ
during creep deformation, particularly if they nucleate on
dislocations, are more effective in reducing the creep rate e_ 3 % e_ 1 ¼ C ðr3 % r1 Þ; ð7:85Þ
than precipitates which form prior to creep deformation. For
this, the explanation given (Schoeck 1961) is that atmo- Subtracting (7.85) from (7.83), (7.83) from (7.84) and
spheres of solute atoms around dislocations may not sig- (7.84) from (7.85), we get respectively
nificantly influence their ability to climb but if precipitates
2_e1 % ðe_ 2 þ e_ 3 Þ ¼ C ½2r1 % ðr2 þ r3 Þ) ð7:86Þ
form on dislocations, it may be possible to prevent climbing
of dislocation. If precipitation occurs at grain boundaries, it 2_e2 % ðe_ 3 þ e_ 1 Þ ¼ C ½2r2 % ðr3 þ r1 Þ) ð7:87Þ
reduces grain-boundary sliding and thus produces high creep
strength but often at the expense of creep ductility, because 2_e3 % ðe_ 1 þ e_ 2 Þ ¼ C ½2r3 % ðr1 þ r2 Þ) ð7:88Þ
in many cases, the precipitates cause early cavity formation
and premature intercrystalline failure. If grain-boundary Now from the first assumption, substituting e_ 2 þ e_ 3 ¼
precipitates form an interface with the matrix of a very low %_e1 into (7.86), e_ 3 þ e_ 1 ¼ %_e2 into (7.87), and e_ 1 þ e_ 2 ¼ %_e3
energy, the probability of intergranular cracking is likely to into (7.88), we obtain respectively
decrease. # $
1
3_e1 ¼ 2C r1 % ðr2 þ r3 Þ or;
2
7. Use Materials with Large Grain Size # $ ð7:89Þ
2 1
e_ 1 ¼ C r1 % ðr2 þ r3 Þ
Creep resistance at elevated temperature can be improved by 3 2
increasing grain size or developing an elongated structure # $
1
through directional solidification technique so that virtually 3_e2 ¼ 2C r2 % ðr3 þ r1 Þ or;
all grain boundaries perpendicular and inclined to the tensile 2
# $ ð7:90Þ
stress axis are eliminated. For example, directionally solid- 2 1
e_ 2 ¼ C r2 % ðr3 þ r1 Þ
ified superalloys are used as creep-resistant materials. 3 2
# $
1
3_e3 ¼ 2C r3 % ðr1 þ r2 Þ or;
7.14 Creep Under Multiaxial Stresses 2
# $ ð7:91Þ
2 1
e_ 3 ¼ C r3 % ðr1 þ r2 Þ
In the absence of metallurgical changes, the following basic 3 2
simplifying assumptions of plasticity theory that hold rea-
For engineering applications, let us consider the stress
sonably well for multiaxial stress conditions during
dependence of steady-state creep rate expressed by (7.32), in
steady-state creep are as follows:
which for combined stress conditions e_ s and r must be
• Considering the constant volume deformation process for substituted by the significant strain rate !e_ and the significant
a metal, which is essentially incompressible, it has been stress r
!: Thus, (7.32) can be written as
shown that the summation of true strains in three prin-
!n
!e_ ¼ A02 r ð7:92Þ
cipal directions is zero, i.e. e1 þ e2 þ e3 ¼ 0; [see (1.21)].
This leads to the assumption that the summation of true By substituting e_ 1 ; e_ 2 ; e_ 3 ; from (7.89), (7.90) and (7.91) in
strain rates in three principal directions will also be zero, the significant strain rate relation obtained from (1.77a), the
i.e. e_ 1 þ e_ 2 þ e_ 3 ¼ 0: constant C, can be evaluated as follows:
304 7 Creep and Stress Rupture

pffiffi h i1= 7.15 Indentation Creep

2 2
!e_ ¼ ð_e1 % e_ 2 Þ2 þ ð_e2 % e_ 3 Þ2 þ ð_e3 % e_ 1 Þ2
3 "
pffiffi % & % & In Chap. 3, it has been assumed that the deformation
2 4 2 3r1 3r2 2 4 2 3r2 3r3 2 response of the material subjected to indentation is instan-
¼ C % þ C %
3 9 2 2 9 2 2 taneous, or nearly so, which is the fact for most metals and
% & #1= ceramics when they are indented at room temperature. In
4 2 3r3 3r1 2 2 general, however, the deformation due to indentation can
þ C %
9 2 2 depend on time at or above a homologous temperature of
pffiffi h about 0.5, where time-dependent creep is an important
2
¼ C 2 ðr1 % r2 Þ2 þ C2 ðr2 % r3 Þ2 phenomenon in metals and ceramics and the amount of the
3
time-dependent deformation due to indentation at constant
i1=
2 load or stress increases with increasing temperature. Inden-
þ C 2 ðr3 % r1 Þ2
pffiffi *pffiffi h tation creep can be defined (Mahmudi and Rezaee-Bazzaz
2 2 2 2005) as the time-dependent penetration of a hard indenter
¼ C pffiffi ðr1 % r2 Þ2 þ ðr2 % r3 Þ2
3 2 2 into the material under stress at a constant temperature. The
) possibility to obtain information on creep behaviour using
i1=
2 2
þ ðr3 % r1 Þ long-time hardness or indentation tests have been reported
by several authors (Sundar et al. 2000; Fujiwara and Otsuka
2 2001; Dorner et al. 2003; Mahmudi and Rezaee-Bazzaz
¼ !: ½with the help of(1.76))
Cr
3 2005; Bhakhri and Klassen 2006). The most common
ð7:93Þ method of measuring creep by the indentation technique is to
maintain the applied load at a constant maximum value and
Hence combining (7.92) and (7.93), we can write
measure the change in depth of the indentation as a function
!n 3 0 n%1
3 !e_ 3 A02 r of time. When an indenter is pressed into the test surface of a
C¼ ¼ ¼ A2 r
! ð7:94Þ hot material under a constant load at a constant temperature,
2r! 2 r ! 2
the indenter displacement increases gradually with time due
Substituting for C from (7.94) into (7.89), (7.90) and to creep, following the instantaneous deformation that
(7.91), we get the true significant strain rates, respectively, in occurs just after the application of the load. The
three principal directions: time-dependent indenter displacement is recorded and the
# $ indenter displacement versus indentation time is plotted,
2 3 0 n%1 1
_!e1 ¼ Ar
! r1 % ðr2 þ r3 Þ which shows a typical indentation creep curve obtained at a
32 2 2
# $ ð7:95Þ constant temperature under a constant load. For example, in
0 n%1 1 one study (Fujiwara and Otsuka 2001) a conical diamond tip
¼ A2 r
! r1 % ðr2 þ r3 Þ
2 was pressed into the test surface of hot material in an argon
# $ gas atmosphere at different temperatures above a homolo-
_!e2 ¼ 2 3 A02 r
! n%1 1
r2 % ðr3 þ r1 Þ gous temperature of 0.6 under a constant load using an
32 2 indentation creep tester, and the time-dependent indenter
# $ ð7:96Þ
0 n%1 1 displacements were recorded in real time on a PC. The
¼ A2 r
! r2 % ðr3 þ r1 Þ
2 indenter displacement versus indentation time obtained at a
# $ constant load was plotted at each temperature to generate
2 3 0 n%1 1 indentation creep curves at various temperatures.
!e_ 3 ¼ Ar
! r3 % ðr1 þ r2 Þ
32 2 2 There are various ways to perform the indentation creep
# $ ð7:97Þ
0 n%1 1 tests. One of the ways to characterize and quantify important
¼ A2 r
! r3 % ðr1 þ r2 Þ
2 creep parameters is to use instrumented indentation testing
(IIT) method. The indentation creep test is conducted by
The significant strain rate and the significant stress are applying a constant load to the indenter and monitoring its
useful parameters for correlating steady-state creep data. displacement as a function of time. Figure 7.44a, b shows
When they are plotted on log-log coordinates, a linear typical micro-indentation curves for creep obtained by
relationship is obtained. applying a low load and using a depth-sensing indentation
7.15 Indentation Creep
Fig. 7.44 a Load–depth and, (a)
b depth–time plots for indentation
creep
Pmax
Load, P
h1
Depth, h
technique. Figure 7.44 shows that the test load is applied
over a time period of 0 to say, t1 ; when the depth of
indentation is say, h1 because of yielding. The test load is
then kept constant from the time t1 to say, t2 ; during which
the indentation depth increases from h1 to say, h2 by
creeping. The change in the indentation depth from h1 to h2
is measured and the relative change of the penetration depth
is referred to as the creep of the test material. The creep
value of the indentation test, denoted by CIT ; is represented
as a percentage and is computed from:
h2 % h1
CIT ¼ ' 100 ð7:98Þ
h1
where h1 is the depth of penetration at time t1 ; at which the
test load is reached, and h2 is the depth of penetration at a
later time t2 ; up to which the test load is held constant. Note
that displacement per unit time is not used to express CIT :
The reported creep value includes the relative change of the
penetration depth CIT expressed as percentage, together with
the test conditions. For example, CIT 0:3=15=300 ¼ 3%
means a 3% creep determined by applying a test load of
0.3 N, which was reached after a time of 15 s and thereafter
held constant for a dwell time of 300 s.
The indentation strain rate, e_ i ; i.e. the normalized rate of
indentation displacement (Mayo and Nix 1988; Lucas and
Oliver 1999) can be defined as
dh=h dh=dt h_
e_ i ¼ ¼ ¼ ð7:99Þ
dt h h
where h is the displacement of indenter. The above definition
is appropriate if cone or pyramid indenter (Pollock et al.
1986; Atkins et al. 1966) is used. The mean contact pressure,
pm ; in an indentation test is given by
305
(b)
h2
h1
Depth, h
h2 t1 t2
Time, t
P
pm ¼ ð7:100Þ
Apc
where
P the applied load, and
Apc the projected area of contact under load.
For conventional creep test conducted in uniaxial tension
under low stress level, the temperature and stress depen-
dence of steady-state creep rate, e_ s ; are often described by
(7.35). Noting that the mean contact pressure pm in an
indentation test is equivalent to the stress r of (7.35) and the
indentation strain rate e_ i is equivalent to the steady-state
creep rate e_ s of (7.35), the analogue of (7.35) for an inden-
tation creep test is:
e_ i ¼ A0i pnm e%Q=RT ð7:101Þ
where A0i is a material constant [which has replaced the
constant A′ in (7.35)], n is the stress exponent for creep, Q is
the activation energy for creep, R is the universal molar gas
constant, and T is the test temperature on absolute scale.
It has been found (Atkins et al. 1966; Mayo and Nix
1988; Raman and Berriche 1992; Stone and Yoder 1994;
Poisl et al. 1995; Lucas and Oliver 1999) that creep beha-
viour of some but not all materials are adequately described
by (7.101). When (7.101) is followed, a log-log plot of the
indentation strain rate e_ i against the mean contact pressure
pm produces a straight line with a slope that gives the stress
exponent, n. Interestingly, the construction of such a plot can
often be made from data produced in a single indentation
test. For example, indium, a low melting point metal that
creeps at room temperature was loaded with a Berkovich
indenter at a constant rate of loading to a peak load (Lucas
306
and Oliver 1999). The data were obtained by holding the
maximum load for an extended period of time and moni-
toring the displacement of indenter as a function of time. As
the indenter penetrates due to creep deformation during the
dwell time, the contact area increases resulting in a reduction
of contact pressure which in turn causes a corresponding
decrease in the rate of displacement. In this test, creep data
over several orders of magnitude in e_ i were obtained. From
the test data, an approximate linear plot of indentation strain
rate e_ i against mean contact pressure pm was made. The
stress exponent deduced from the slope of this linear plot
was found to be n ¼ 6; which is very close to the value
derived using conventional creep testing techniques.
The conventional hardness tester (Roumina et al. 2004;
Deming et al. 2007; Bhaduri 2007) can also be used to
produce a constant-load creep curve of a metal at a constant
temperature, from which the steady-state creep rate can be
determined.
7.15.1 Method to Obtain Creep Curve Using
Rockwell Hardness Tester
The aim of using the hardness tester for indentation creep is
not to determine the hardness value of the test piece but to
find the increment of indentation depth as a function of time
under load with a purpose of constructing creep curve. The
method of generating creep curve described below (Bhaduri
2007) is based on the use of the conventional Rockwell
hardness tester, which has been discussed in Sect. 3.8 of
Chap. 3.
For indentation creep test, a steel ball indenter of prefer-
ably larger size is attached to a Rockwell hardness tester to
minimize personal error in measuring the indentation size and
a test piece is maintained at a temperature where creep pre-
dominates, for example, lead specimen can be used at room
temperature. After application of the minor load on the test
piece with the Rockwell hardness tester, when a suitable
major load is applied the large pointer rotates instantaneously
in an anticlockwise direction from its initial set point to a
certain division mark on the dial. The number of divisions
moved by the large pointer from the set point gives a measure
of the precise depth of additional penetration of the indenter
into the surface of the test piece on instantaneous application
of major load. The total depth at this instant corresponds to
the instantaneous strain due to yielding of metal. On holding
the total load at the same level, metal starts to deform by
creeping from that instant which is taken as creep time t ¼ 0:
Hence, the penetration depth of the indenter into the surface
of the specimen will gradually increase at the test temperature
with holding time of the applied constant load that is, with
7 Creep and Stress Rupture
creep time and the large pointer on the Rockwell dial will
rotate gradually with increase of creep time in an anticlock-
wise direction. The number of divisions rotated by the large
pointer, which is related to the increment of indentation depth
under the application of the major load on the test piece, is
noted as a function of creep time. The rate of increase in
indentation depth gradually decreases during the initial per-
iod of creep and reaches an almost constant value after a
certain length of time, say a dwell time of tn ; at which the
creep deformation is halted by withdrawal of the major load.
The dial readings are noted just before and after the with-
drawal of the major load at the end of the creep period, tn ;
while still keeping the minor load applied.
Now without removing the minor load, the major load is
withdrawn after a total creep time of tn ; causing the large
pointer to rotate instantaneously in a clockwise direction from
the final division mark on the dial to a new division mark due
to elastic recovery of metal, because the indentation will
recover elastically by a certain amount depending on the
material and the applied load. The number of divisions moved
by the large pointer from its final position to its new position
is noted, which is used for calculation of the elastic recovery
experienced by the metal. The amount of elastic recovery
occurring after a total dwell time of tn is also applicable to
each of the smaller dwell times that increases from 0 to tn%1 ;
because the applied major load is constant throughout the test
and a single sample of the same metal is used for the test.
Next, the minor load is withdrawn. Elastic recovery of
metal, due to release of minor load being very small, is
neglected. After a total creep time of tn ; when the total
(minor plus major) load is released an elastically recovered
permanent spherical indentation is formed on the surface of
the test piece. For this indentation, the diameters at right
angles are measured by a graduated optical microscope, like
a Brinell microscope, and an arithmetic average of the above
two readings of the measured diameter is noted.
To generate creep data from the above indentation test,
the following steps are required to be followed, preceding
which certain terms related to different lengths of creep times
from 0 to tn ; are defined below:
N.D. the number of divisions moved by the large pointer
from the set point in anticlockwise direction on the
Rockwell dial prior to release of the major load;
hm the depth of indentation due to application of minor
load;
hr the depth recovered elastically due to release of the
major load, which is assumed to be the same for
each creep time and applicable to total load, since
elastic recovery due to release of minor load being
very small is neglected;
7.15 Indentation Creep
ht the total depth of indentation prior to elastic
recovery upon application of the major and minor
loads combined;
h the depth of permanent indentation (after elastic
recovery) upon withdrawal of the applied major load
with the minor load still applied ¼ ht % hr ;
Dht the indentation depth due to major load = the
difference between the total depth of indentation
prior to elastic recovery due to the total load
and the depth of indentation due to the minor
load ¼ ht % hm ;
Dh the depth difference between indentation upon
withdrawal of the applied major load with the minor
load still applied and indentation made by the minor
load ¼ h % hm ¼ ðht % hr Þ % hm ¼ ðht % hm Þ % hr
¼ Dht % hr ;
d the diameter of the elastically recovered permanent
indentation made by the total load.
Hence from the above, we can write
h ¼ ht % hr ¼ Dht þ hm % hr ð7:102Þ
The required calculation steps are:
(1) After a creep time of tn ; if the measured average
diameter of the permanent indentation due to the total
load is dn ; then the total depth of permanent indenta-
tion, hn ; is calculated by using (3.4), which is
h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii
h ¼ D % D2 % d 2 =2; where d = the chordal diameter
of indentation after unloading, and D = the diameter of
spherical indenter.
(2) At a creep time of tn ; if N.D. = N.D.n as found from the
Rockwell dial reading, then ðDht Þn ¼
½0:002 ' N.D.n ) mm; since each division represents
0.002 mm vertical motion of the indenter.
(3) Upon the withdrawal of the major load after a creep
time of tn ; if the number of divisions moved by the
large pointer from the final position to a new position is
N.D.r ; then hr ¼ ð0:002 ' N.D.r Þ mm:
(4) Then at creep time tn ; from the values of ðDht Þn in step
(2) and hr in step (3), we get
Dhn ¼ ðDht Þn % hr mm
¼ ½0:002 ' N.D.n ) % ð0:002 ' N.D.r Þ mm;
(5) From steps (1) and (4), hn and Dhn are known, so at a
creep time of tn ; hm can be calculated from hm ¼
hn % Dhn ; ðsince Dhn ¼ hn % hm Þ: This value of hm is
applicable to each creep time as the applied minor load
on the test piece is constant.
(6) Now from the readings of N.D. noted during test for
creep times increasing from 0 to tn%1 ; the value of Dht
307
in mm corresponding to N.D. for each creep time can
be calculated from ð0:002 ' N.D.Þ:
(7) For creep times increasing from 0 to tn%1 ; the value of
h for each creep time is calculated by means of (7.102).
Values of Dht ; hm and hr can be obtained, respectively,
from steps (6), (5) and (3).
(8) For creep times increasing from 0 to tn%1 ; the value of
d for each creep time is calculated from the corre-
sponding value of h, found in step (7), by the relation
rhffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiiffiffi
obtained from (3.4): d ¼ D2 % ðD % 2 ' hÞ2 :
(9) Since dn is obtained from the measurement of average
diameter of the permanent indentation after the creep
time of tn ; and once other values of d is known for other
creep times increasing from 0 to tn%1 ; from the step (8),
the true strains in creep, e; can easily be calculated for
the corresponding creep times using Tabor relation
given by (3.58) which is e ¼ 0:2ðd=DÞ:
The indentation creep data of the test piece under the
applied total load obtained from the above steps are pre-
sented in Table 7.1 for different lengths of creep time, from
which the creep curve for the test metal at the test temper-
ature under the applied load can be constructed. Generally,
the indentation creep curve will show the first two stages
similar to the creep curve obtained from the conventional
creep test. The first stage of the indentation creep curve will
show an increase in the true strain with time at a decreasing
rate, followed by a steady-state region where the true strain
increase almost linearly at a minimum rate with time. The
slope of the linear part of the creep curve will give the
steady-state creep rate. As fracture of a specimen does not
usually occur in a hardness test, it is not possible to produce
the third stage of the creep curve as normally observed in
constant-load creep test.
The indentation creep test can be particularly advanta-
geous when the material is only available as small test
pieces and/or there are difficulties in shaping or machining
of specimens from materials such as lead alloys. To obtain
creep characteristics of materials using indentation creep
tests, not only small amounts of material are needed, but
specimen preparation is also simple, since only a flat
specimen surface is required. On the other hand, specimens
for standard creep test must have shapes and dimensions
corresponding to standards specified by some organization
such as ASTM. Further, preparation of a large number of
creep specimens may be expensive. Besides, a hardness
tester like Rockwell is relatively inexpensive and its
operation requires relatively little skill and experience in
comparison to use of a creep tester. Thus, the indentation
creep test provides a simpler method of investigating creep
behaviour of a metal. However, a hardness tester cannot
308 7 Creep and Stress Rupture

Table 7.1 Presentation of indentation creep data using Rockwell hardness tester
Creep time, Number of divisions moved by Depth difference Total depth of Permanent indentation True strain
after total large pointer from set point in Dht ¼ ht % hm ; permanent diameter,
# qffiffiffiffiffiffiffiffiffidffiffiffiffiin mm in creep, e
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$
load is anticlockwise direction on dial, in mm, indentation, h, ½¼0:2ðd=DÞ)
applied N.D. ð¼0:002 ' N.D.Þ in ¼ D2 % ðD % 2 ' hÞ2
% mm, &
¼ht % hr ¼
Dht þ hm % hr
(7.102)
0 N.D.0 Dht0 h0 d0 e0
t1 N.D.1 Dht1 h1 d1 e1
t2 N.D.2 Dht2 h2 d2 e2
t3 N.D.3 Dht3 h3 d3 e3
.. .. .. .. .. ..
. . . . . .
.. .. .. .. .. ..
. . . . . .
.. .. .. .. .. ..
. . . . . .
tn−1 N.D.n−1 Dhtn%1 hn−1 dn−1 en%1
tn N.D.n Dhtn hn dn en
[taken from step (measured data)
(1)]

completely substitute a creep tester; it may provide an A

estimate about creep properties of homogeneous and iso- e_ s ¼ expðnarÞ
2n % &
tropic metals, where there is a dearth of conventional creep 1:67 ' 10%8 %6 36 ' 103 %1
machine. ¼ exp 3:5 ' 1:5 ' 10 ' s
23:5 A0
% &
0:189 %1
¼ 1:476 ' 10%9 exp s :
A0
7.16 Solved Problems
Since the allowable steady-state creep rate,
7.16.1. Garofalo empirical relation between steady-state
creep rate ðe_ s Þ and stress ðrÞ at constant temperature is given
e_ s ¼ 10%2 h%1 ¼ 10%2 =3600 s%1 ¼ 2:78 ' 10%6 s%1 :
by e_ s ¼ Aðsinh arÞn and it reduces to exponential depen- % &
dence of stress at high stress level (for values ar [ 1:2) 0:189 %1
) 1:476 ' 10%9 exp s ¼ 2:78 ' 10%6 s%1 ; or;
which is observed by a rod subjected to an axial load of A0
36 kN at a constant temperature of 816 °C. Compute the 0:189 2:78 ' 10%6
initial cross-sectional area of the rod based on an allowable ¼ ln ¼ 7:541:
A0 1:476 ' 10%9
e_ s of 10−2 per hour. Given that, n ¼ 3:5; a ¼ 1:5 '
Hence, the initial cross-sectional area of the rod,
10%6 m2 =N; and A ¼ 1:67 ' 10%8 s%1 :
0:189 2
Solution A0 ¼ m ¼ 0:025063m2
7:541
Given that, n ¼ 3:5; a ¼ 1:5 ' 10%6 m2 =N; and A ¼ 1:67 ' ¼ 25063 mm2 :
10%8 s%1 : Axial load applied to a rod P ¼ 36 kN ¼ 36 '
103 N: Let the initial cross-sectional area of the rod ¼ 7.16.2. A steel bolt clamping two rigid plates together is kept
A0 m2 : So, the applied stress will be r ¼ P=A0 ¼ over a period of 5 years at a constant temperature of 650 °C.
½ð36 ' 103 Þ=A0 ) N=m2 : It is found that the stress ðr in MPaÞ dependence of
Garofalo empirical relation at constant temperature, e_ s ¼ steady-state creep rate ðe_ s in s%1 Þ for this steel at 650 °C is
Aðsinh arÞn ; at high stress level (for values ar [ 1:2) given by e_ s ¼ constant ðrÞ5 : Test of the bolt steel at this
reduces to exponential dependence of stress as shown by temperature indicates that e_ s ¼ 7 ' 10%9 s%1 at a stress of
(7.34), which is 41 MPa. If Young’s modulus of the steel at 650 °C is
7.16 Solved Problems 309

124 GPa and the stress in the bolt must not drop below (a) Larson–Miller parameter, where the value of Larson–
3 MPa during the 5 years, determine the initial stress to Miller constant is 17.
which the bolt must be tightened. (b) Sherby–Dorn parameter, where the value of activation
energy for creep is 350 kJ/mol.
Solution (c) Manson–Haferd parameter, where the coordinates of the
intersection point of the extrapolated lines on the graph of
Given that e_ s ¼ constant ðrÞ5 ; at 650 °C. Further, it is indi- log10t versus T are Ta ¼ 172 K; and log10 ta ¼ 20:
cated that when the stress is r ¼ 41 MPa; the steady-state
creep rate is e_ s ¼ 7 ' 10%9 s%1 ; therefore
Solution
%9
e_ s 7 ' 10
Constant, say; A02 ¼ ¼ MPa%5 s%1 Given that the temperature of stress-rupture testing is TT ¼
r5 ð41Þ5 650 0 C ¼ ð650 þ 273Þ K ¼ 923 K; the time of rupture dur-
¼ 6:04197 ' 10%17 MPa%5 s%1 ing test is tT ¼ 103 h; and the service temperature is TS ¼
560 0 C ¼ ð560 þ 273ÞK ¼ 833 K: Let the rupture life at
Since it is given that the dependence of steady-state creep
service is tS h; which is to be determined. The stress level for
rate ðe_ s Þ on stress ðrÞ is governed by power relation, so the
the test and the service conditions remains constant at
relation between stress and time in stress relaxation will be
250 MPa.
given by (7.80), which is:

1 1 (a) From (7.63a), the Larson–Miller parameter is: PL%M ¼

¼ þ A02 Eðn % 1Þt T ðlog10 t þ CL%M Þ ¼ constant at constant stress level, in
rn%1 rn%1
i
which CL%M ¼ Larson–Miller constant ¼ 17; (given); where
where T = temperature in K; and t = time in h. Due to the same
stress level, we can equate the test and the service conditions
r the stress remaining after 5 years ¼ 3 MPa;
by the Larson–Miller parameter as follows:
n the power index of stress ðrÞ in the relation between
steady-state creep rate ðe_ s Þ and stress ðrÞ ¼ 5; TT ðlog10 tT þ 17Þ ¼ TS ðlog10 tS þ 17Þ;
ri the initial stress in MPa, which is to be determined; ' (
A02 the constant in the relation between steady-state creep Hence; 923 log10 103 þ 17 ¼ 833ðlog10 tS þ 17Þ; or;
rate ðe_ s Þ and stress ðrÞ ¼ 6:04197 ' 10%17 MPa%5 s%1 ; 833ðlog10 tS þ 17Þ ¼ 18460;
E Young’s modulus of the steel at 650 °C
¼ 124 ' 103 MPa; 18;460
Or, log10 tS ¼ % 17 ¼ 5:1608;
t the time in seconds 833
¼ ð5 ' 365:25 ' 24 ' 3600Þ s ¼ 157:788 ' 106 s; ) tS ¼ 144:8 ' 103 h:
Hence, substituting the above values into (7.80), we get
(b) Given that the value of activation energy for creep is
1 1 ' ( ' (
¼ % 6:04197 ' 10%17 ' 124 ' 103 Q ¼ 350 ' 103 J=mol:
r5%1
i
5%1
ð 3Þ
' ( From (7.66), the Sherby–Dorn parameter is: PO%S%D ¼
' ð5 % 1Þ ' 157:788 ' 106
log10 t % ðCO%S%D =T Þ ¼ constant at constant stress level,
¼ 7:617 ' 10%3 MPa%4 : where CO%S%D ¼ 0:4343ðQ=RÞ; in which R = molar gas
constant ¼ 8:314 J mol%1 K%1 : Therefore, the value of
1
Or; r4i ¼ ¼ 131:285 MPa4 ; CO%S%D will be:
7:617 ' 10%3
350 ' 103
1
) ri ¼ ð131:285Þ4 MPa ¼ 3:385 MPa: CO%S%D ¼ 0:4343 ' ¼ 18:283 ' 103 K:
8:314
Due to the same stress level, the test and the service
7.16.3. A ferrous alloy shows a rupture life of 103 h when conditions can be equated by the Sherby–Dorn parameter as
tested in a stress-rupture test at a temperature of 650 °C follows:
under a stress level of 250 MPa. Calculate the time to rup-
ture of the alloy subjected to the same stress level during CO%S%D CO%S%D
log10 tT % ¼ log10 tS % ;
service at an operating temperature of 560 °C according to TT TS
each of the following time–temperature parameter methods:
310 7 Creep and Stress Rupture

18;283 18;283 Creep time, under application Number of divisions moved by

Hence; log10 103 % ¼ log10 tS % ; or;
923 833 of total load of 30 kg (min) large pointer, from set point in
log10 tS % 21:948 ¼ %16:808; anticlockwise direction on dial,
N.D.

Or, log10 tS ¼ %16:808 þ 21:948 ¼ 5:14; 5 174

7 200
) tS ¼ 138 ' 103 h:
11 240
15 260
(c) From (7.68), the Manson–Haferd parameter is: PM%H ¼
20 279
ðT % Ta Þ=log10 t % log10 ta ¼ constant at constant stress
level, in which it is given that Ta ¼ 172 K; and log10 ta ¼ 20: 25 297
35 332
Due to the same stress level, we can equate the test and 45 368
the service conditions by the Manson–Haferd parameter as
follows:
Solution
log10 tT % log10 ta log10 tS % log10 ta
¼ ; From (3.4), the total depth of permanent indentation after
T T % Ta TS % Ta
45 min of creep time is:
log10 103 % 20 log10 tS % 20
Hence; ¼ ; h qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi i h pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffii
923 % 172 833 % 172 2
log10 tS % 20 D% D2 % d45 5 % 52 % 3:552
or; ¼ %22:636 ' 10%3 ; h45 ¼ ¼ mm
661 2 2
¼ 0:7395 mm
Or, log10 tS ¼ %22:636 ' 10%3 ' 661 þ 20 ¼ 5:038;
ð7:103Þ
) tS ¼ 109 ' 103 h:
At 45 min of creep time, from the given N.D.45 ¼ 368;
7.16.4. A Rockwell superficial hardness tester attached with we get the difference between the total depth of indentation
a spherical steel ball indenter (a Brinell indenter) of diameter prior to elastic recovery due to the total load and the depth of
D ¼ 5 mm is used to indent a lead specimen at 30 °C by indentation due to the minor load:
applying a total load of 30 kg. After a dwell time of 45 min,
Dht45 ¼ ht45 % hm ¼ N.D.45 ' 0:002
when the major load of 27 kg is withdrawn the number of
divisions moved by the large pointer in the clockwise ¼ 368 ' 0:002 mm
direction is 15, and after the release of total load of 30 kg, ¼ 0:736 mm:
the diameter of permanent indentation formed on lead is
measured to be 3.55 mm by means of an optical microscope. (This is the indentation depth due to major load only.)
Neglecting very small elastic recovery upon withdrawal of Elastically recovered depth of indentation on release of
the minor load, compute the creep strains (only plastic part major load,
of creep strains) for the corresponding creep times, using hr ¼ N.D.r ' 0:002
Tabor relation given by (3.58), and draw the creep curve for
¼ ð15 ' 0:002Þ mm ð7:104Þ
lead. Also draw steady-state creep curve and determine the
steady-state creep rate from this curve. The following ¼ 0:03 mm
experimental data are provided: At 45 min of creep time, the depth difference between
indentation upon withdrawal of the applied major load with
Creep time, under application Number of divisions moved by
the minor load still applied and indentation made by the
of total load of 30 kg (min) large pointer, from set point in
anticlockwise direction on dial, minor load is:
N.D.
Dh45 ¼ Dht45 % hr
0 85
¼ ð0:736 % 0:03Þ mm
1 112
¼ 0:706 mm:
2 126
3 145 Indentation depth due to minor load (neglecting very
(continued) small elastic recovery upon withdrawal of the minor load) is:
7.16 Solved Problems 311

Table 7.2 Indentation creep data

Creep time, Number of divisions moved by Depth difference Total depth of Permanent indentation True strain
after total large pointer from set point in Dht ¼ ht % hm ; permanent diameter,
# qffiffiffiffiffiffiffiffiffid, in mm in creep, e,
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$
load is anticlockwise direction on dial, in mm, indentation, h, in ½¼0:2ðd=DÞ)
applied (min) N.D. ð¼0:002 ' N:D:Þ mm, ¼ D2 % ðD % 2 ' hÞ2
% &
¼ht % hr ¼
Dht þ hm % hr
[hr from (7.104)
and hm from
(7.105)]
0 85 0.17 0.1735 1.8302 0.07321
1 112 0.224 0.2275 2.084 0.08336
2 126 0.252 0.2555 2.202 0.08808
3 145 0.29 0.2935 2.3506 0.09402
5 174 0.348 0.3515 2.5565 0.10226
7 200 0.4 0.4035 2.7237 0.10895
11 240 0.48 0.4835 2.9555 0.11822
15 260 0.52 0.5235 3.0617 0.12247
20 279 0.558 0.5615 3.1574 0.12629
25 297 0.594 0.5975 3.2438 0.12975
35 332 0.664 0.6675 3.4011 0.13605
45 368 0.736 0.7395 3.55 (measured data) 0.142
[from (7.103)]

hm ¼ h45 % Dh45 7.Ex.2. A round bar is found to creep at a fixed steady-state

¼ ð0:7395 % 0:706Þ mm ð7:105Þ
¼ 0:0335 mm
The indentation creep data of lead at 30 °C under a total
load of 30 kg are presented in Table 7.2 for different lengths
of creep time.
Figure 7.45 shows the creep curve for lead at 30 °C
under a load of 30 kg, for which the data have been taken
from Table 7.2.
Creep time and true strain data in the region of
steady-state creep of lead metal are taken from Table 7.2
and presented separately in Table 7.3.
From the data of Table 7.3, creep strain versus creep time
in the region of steady-state creep is plotted in Fig. 7.46. It is
found from Fig. 7.46, that steady-state creep rate
¼ 6:4596 ' 10%4 min%1 ¼ 1:0766 ' 10%5 s%1 .
creep rate of 10%5 h%1 over a period of 104 h under a con-
stant load of 2 kN. The bar has an initial length of 400 mm
and initial diameter of 20 mm. Assuming that the volume
remains constant, compute the following after a steady-state
creep period of 103 h:
(a) The final length of the bar.
(b) The engineering and true strains.
(c) The engineering and true stresses.
7.Ex.3. Determine the activation energy for creep in J=mol
from the following data, which were obtained in creep test of
steel at a constant stress of 110 MPa:
Temperature Steady-state creep rate
480 °C 7:22 ' 10%9 s%1
650 °C 2:36 ' 10%4 s%1

Exercise
7.Ex.1. The initial clearance between the ends of 200 mm
long blades and the housing of a steam turbine is 0.08 mm.
During operation, the blades extend elastically which is
calculated to be 0.02 mm. If it is desired to maintain a final
minimum clearance of 0.03 mm, what is the maximum per
cent creep that can be allowed in the blades?
7.Ex.4. Derive the relation between stress and time in stress
relaxation, when the exponential relation, as proposed by
Garofalo and given by (7.34), governs the stress dependence
of steady-state creep rate.
7.Ex.5. A rod, whose creep properties are given below, is
subjected to an axial load of 35 kN at 800 °C. Determine the
312 7 Creep and Stress Rupture

Fig. 7.45 Creep curve for lead 0.16

at 303 K under a constant load of
30 kg = (30 ' 9.81)
N = 294.3 N
0.14

0.12

True Strain in Creep

0.10

0.08

Primary Creep Steady State Creep

0.06

0.04
0 5 10 15 20 25 30 35 40 45
Time, in Minute

Table 7.3 Steady-state creep Steady-state creep time after total load of 30 kg is applied, in min True strain in steady-state creep, e,
data taken from Table 7.2 ½¼0:2ðd=DÞ)
15 0.12247
20 0.12629
25 0.12975
35 0.13605
45 0.142

initial cross-sectional area of the rod based on an allowable Dwell time Number of divisions moved by the large pointer
creep rate of 1% per 104 h. Assume that the dependence of (min)
minimum creep rate ðe_ s Þ on stress ðrÞ is governed by 30 50 in anticlockwise direction under the application
exponential relation. of total load of 60 kg
60 70 in anticlockwise direction under the application
r (MPa) e_ s at 800 °C (s−1) of total load of 60 kg
70 2 ' 10%10 60 20 in clockwise direction, when the major load of
50 kg is withdrawn
100 7 ' 10%9

7.Ex.6. A specimen of an isotropic metal is loaded in a
Rockwell hardness tester using 1/8 in. diameter steel ball
indenter at a homologous temperature greater than 0.5.
Compute the creep strain (only plastic part of creep strain)
for a dwell time of 30 min, using Tabor relation given by
(3.58), from the following data:
After the dwell time of 60 min when the total load of
60 kg is released, the diameter of permanent indentation
formed on that metal is measured to be 1.2 mm by means of
an optical microscope. Neglect very small elastic recovery
that occurs upon withdrawal of the minor load.
7.16 Solved Problems
Fig. 7.46 Steady-state creep 0.145
curve of lead at 303 K under a
constant load of 30 kg, showing
linear relationship between true
strain and creep time
0.140
True Strain in Steady State Creep
0.135
0.130
0.125
0.120
15
7.Ex.7. A steel bolt clamping two rigid plates at 537 °C is
initially tightened to a stress of 69 MPa and the stress
' (
ðr in MPaÞ dependence of steady-state creep rate e_ s in h%1
for that steel at 537 °C is given by e_ s ¼ ð1:33 ' 10%12 Þ + r3 :
If Young’s modulus of the steel at 537 °C is 134 GPa, what
will be the stress remaining after one year has elapsed?
7.Ex.8. The rupture time of a material is found to be 104 h at
a service temperature of 540 °C and the corresponding
Larson–Miller test condition on the same material shows a
rupture life of 13 h at a test temperature of 650 °C, where
both service and test conditions are performed under the
same stress level of 150 MPa. Compute the activation
energy for creep in kJ=mol; corresponding to that stress
level.
7.Ex.9. If stress-rupture test at 650 °C under a stress of
200 MPa shows a rupture life of 15 h for an alloy, what will
be the time to rupture of the same alloy subjected to the same
stress level at a service temperature of 500 °C, based on
Larson–Miller (L–M) parameter, assuming the L–M
parameter constant to be 42.5?
7.Ex.10. The stress-rupture test on Cr–Mo–V-based steel at
650 °C under a stress level of 100 MPa shows a rupture life
of 20 h. If it is desired to have a service life of 104 h for the
alloy subjected to the same stress level, calculate the
313
Y=m*X+C
Parameter Value
m 6.45964E-4
C 0.11322
20 25 30 35 40 45
Steady State Creep Time, in Minute
maximum service temperature below which the alloy must
be held according to each of the following time–temperature
parameter methods:
(a) Larson–Miller parameter, where the value of Larson–
Miller constant is 22.
(b) Sherby–Dorn parameter, where the value of activation
energy for creep is 460 kJ=mol:
(c) Manson–Haferd parameter, where the coordinates of the
intersection point of the extrapolated lines on the graph of
log10 t versus T are Ta ¼ 311 K; and log10 ta ¼ 18:
7.Ex.11. A metal with melting point of 1100 °C creeps
above a homologous temperature of 0.5. Assume that it
undergoes climb–glide creep exhibiting power law relation
with the most common value of stress exponent. The acti-
vation energy for lattice self-diffusion is 200 kJ=mol; which
is assumed to be independent of stress and temperature
above the homologous temperature of 0.5. Steady-state creep
rate is found to be 10%8 s%1 at a homologous temperature of
0.6, when the applied stress is 10 MPa. Determine the
steady-state creep rate for the following:
(a) When the stress level is increased to 20 MPa at the same
homologous temperature of 0.6.
(b) When the homologous temperature is increased to 0.7 at
the same stress level of 10 MPa.
314 7 Creep and Stress Rupture

7.Ex.12. Indicate the correct or most appropriate answer(s) Answer to Exercise Problems
from the following multiple choices:
7.Ex.1. 0.015%.
(a) In Nabarro-Herring creep, the main deformation mech- 7.Ex.2. (a) 404.02 mm; (b) 1.005% and 1%; (c) 6.366 and
anism is: 6.43 MPa.
(A) Cross-slip of dislocation; 7.Ex.3. 353.33 kJ mol−1.
(B) Dislocation climb; 7.Ex.4. expð%brÞ ¼ expð%bri Þ þ A002 bEt.
(C) Stress-assisted lattice diffusion; 7.Ex.5. 480.8 mm2.
(D) Stress-assisted grain-boundary diffusion. 7.Ex.6. 6.17%.
7.Ex.7. 17.323 MPa.
(b) To obtain increased creep resistance above half of 7.Ex.8. 376.9 kJ mol−1.
homologous temperature, the stacking fault energy of a FCC 7.Ex.9. 96822.5 h.
metal and its grain size should be respectively 7.Ex.10. (a) 554 °C; (b) 563 °C; (c) 551 °C.
7.Ex.11. (a) 3:2 ' 10%7 s%1 ; (b) 6:48 ' 10%7 s%1 :
(A) high and coarse; (B) low and coarse; 7.Ex.12. (a) (C) Stress-assisted lattice diffusion. (b) (B) low
(C) high and fine; (D) low and fine. and coarse. (c) (C) d−1. (d) (D) stress-assisted grain-
(c) In many alloys, at high temperature, the steady-state boundary diffusion. (e) (A) high and rapid. (f) (A) moder-
creep rate is found to vary as ate and higher. (g) (D) balance between strain hardening and
recovery. (h) (A) diffusional creep; (B) climb; (D) diffusion
(A) d; (B) d2; (C) d−1; (D) d−2; by vacancy mechanism.
where d is the grain size of the alloys.

(d) In Coble creep, the main deformation mechanism is References

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 Fatigue
8

Chapter Objectives

• Fatigue fracture and its characteristic appearance.

• Various types of fluctuating stress cycle and its components.
• Standard fatigue test and S–N diagram. Fatigue properties, and reason for existence
of fatigue limit.
• Statistical nature of fatigue and estimation of anticipated fatigue life by means of
standard statistical procedure.
• Fatigue crack initiation through persistent slip bands, such as slip-band extrusions
and slip-band intrusions.
• Fatigue crack growth: Stage I and Stage II. Crack growth rate and ‘Paris’ law.
• Cumulative fatigue damage with definitions of overstressing, understressing and
coaxing.
• Methods of presenting S–N data, where mean stress is not zero. Design criteria for
mean stress effects: Gerber relation, Goodman relation or Goodman diagram to
prevent fatigue failure, and Soderberg relation to prevent yielding.
• Effects of stress concentration, specimen size, metallurgical variables, frequency of
stress cycling, corrosive environment, low and high temperature on fatigue and
thermal fatigue.
• Effects of specimen surface, such as its roughness, properties and residual stress on
fatigue. Surface treatments beneficial to fatigue and metallurgical processes detri-
mental to fatigue.
• Cyclic strain-controlled fatigue, describing cyclic strain hardening and cyclic strain
softening, and their dependency on material’s stacking fault energy.
• Low-cycle fatigue and Coffin–Manson relation. Total fatigue strain–life equation,
and its plot approaching towards the plastic strain–life curve at large total strain
amplitudes and the elastic strain–life curve at low total strain amplitudes.
• Creep–fatigue interaction, where suggested important design approaches are:
cumulative damage rule, modification of Goodman law, frequency-modified fatigue
relation and strain-range partitioning method.
• Increasing amplitude tests, such as step test and Prot test.
• Problems and solutions.

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A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_8
318
8.1 Fatigue Failure
Most structural assemblies are subjected to fluctuating or
repetitive stresses of sufficient magnitude for sufficient
number of times, although the maximum value of this
applied fluctuating stress may be considerably less than the
static tensile strength of the material. Such condition of
dynamic loading produces a permanent damage to the
material that leads to failure after a considerable period of
service. This progressive failure of the material at a stress
much lower than that required to cause fracture on a single
application of load is called a fatigue failure. Hence, fatigue
can be defined as the phenomenon leading to a progressive
fracture under fluctuating or repeated stresses having a
maximum value less than the static tensile strength of the
material. However, a fatigue failure can take place even
when the maximum stress in a fluctuating stress cycle is well
below the static tensile yield strength of the material. Fatigue
is encountered in a large number of components, such as
aircraft wings, springs, rubber tires, rotating and recipro-
cating parts in vehicles, turbines, pumps, compressors and
all other machines, which are subjected to vibration or
repeated loading during service. It has been estimated that
80–90% of all mechanical failures in service are due to
fatigue. It is to be noted that for fatigue failure to occur, the
maximum stress of a time-varying applied stress cycle must
be a tensile stress, i.e. if the maximum stress of the applied
stress cycle is compressive in nature, fatigue failure would
not occur.
A fatigue fracture occurs all of a sudden without an
appreciable amount of gross plastic deformation during
service life and appears to be brittle. A fatigue fracture can
usually be identified by the characteristic appearance of
distinct fracture surface markings. A fatigue failure is initi-
ated from a minute crack. Most cracks originate at the point
of stress concentration caused by geometrical discontinu-
ities, such as notches, sharp corners, fillets, holes, screw
threads and keyways, or at the point of stress concentration
arising from surface roughness and metallurgical stress
raisers like blowholes or porosity, inclusions and decarbur-
ization. In a fluctuating stress cycle, when the applied cyclic
stress reaches the maximum value in tension this minute
crack opens up, and when the applied stress diminishes to
the minimum value this crack tends to close down. This
creates a rubbing action on the surface along which the crack
propagates through the section up to a limiting distance.
Hence, this rubbing region of the fracture surface becomes
smooth and flat indicating the absence of gross plastic
deformation and resembling macroscopically to brittle frac-
ture. When the crack becomes sufficiently long so that the
remaining cross-section of the member is no longer capable
of carrying the applied load, the member fails in a ductile
8 Fatigue
manner creating a rough dull fibrous region. The growth of
the crack captures a large part of the total life of the speci-
men prior to its failure due to fatigue. It is to be noted that
the critical (limiting) crack length at which fracture occurs
increases with decreasing stress levels. On a macroscopic
scale, the fracture surface consisting of a rough dull fibrous
region and a flat smooth region lies usually at right angles to
the applied principal tensile stress.
In many cases, particularly when the member fails after a
long period of time, the visible examination of smooth
region of the fracture surface will often reveal a series of
concentric ring of non-uniform colour, which is known in
the literature as ‘beach markings’ and/or ‘clamshell mark-
ings’. The centre of curvature of these curved markings is
the point of initiation of the fracture from which theses
marks progress inward. The distances between these mark-
ings correspond to different periods of crack growth and do
not represent individual load excursions, i.e. they are not a
measure of crack extension per fatigue cycle. Rather grow-
ing crack advances only microscopic distances on each cycle
and the spacing between consecutive ‘beach’ marks corre-
sponds to thousands or even tens of thousands of fatigue
cycles. For example, crack extension occurs during the
working period of an aircraft or a machine and crack growth
stops during the non-operational period of that aircraft or
machine, and during these alternate crack growth and dor-
mant periods, areas on the fracture surface are corroded
and/or oxidized by varying amounts. This results in the
formation of a series of concentric ring of non-uniform
colour (beach marks) on the fracture surface. The flat smooth
region with characteristic ‘beach’ markings corresponds to
the slow fatigue crack growth while the rough dull fibrous
section is the fast-fracture region. A rough measure of the
magnitude of material’s tensile strength and/or the maximum
applied cyclic stress may be obtained from the relative areas
of the slow- and fast-fracture regions. For example, the
fast-fracture region increases with the maximum applied
cyclic stress at a given tensile strength, and the region cor-
responding to the slow crack growth increases with the
material’s tensile strength for a constant maximum applied
cyclic stress.
Often microcracks form on separate planes, and subse-
quently, they link to create a vertical step on the fracture
surface. This junction surface between adjacent crack origins
is called ratchet line. So, in addition to the set of horizontal
beach markings, a second set of vertical ratchet line mark-
ings may be observed on the fracture surface. Once the
initial cracks originated at adjacent regions have joined
together, the ratchet line disappears. Hence, the neighbour-
ing areas where cracks had originated separately are con-
nected by the ratchet lines. In general, the greater the applied
stress and/or the severity of a design-imposed stress
8.1 Fatigue Failure 319

In fatigue, a fluctuating stress cycle is composed of two

components, a steady or mean stress, rm , and an alternating
or variable stress or stress amplitude, ra . Prior to proceeding
for discussion on the general types of fluctuating stresses that
can cause fatigue, let us first define the terms and symbols
associated with a fluctuating stress cycle:

Low applied stress and High applied stress and • Maximum stress, rmax , is the highest algebraic value of
low stress concentration low stress concentration stress in a cycle.
• Minimum stress, rmin , is the lowest algebraic value of
stress in a cycle.
• Mean or steady stress, rm , is the algebraic mean of the
maximum and minimum stresses in a cycle. The oscil-
lating stress is superimposed on it.
rmax þ rmin
rm ¼ ð8:1Þ
2
Low applied stress and High applied stress and • Stress amplitude or alternating stress, ra , is the ampli-
high stress concentration high stress concentration tude of superimposed oscillating stress and given by
one-half of the algebraic difference between the maxi-
Fig. 8.1 Diagram (Wulpi 1966) showing several patterns of typical
fatigue fracture surface appearance for low and high levels of applied mum and minimum stresses in a cycle.
stress and stress concentration
rmax & rmin
ra ¼ ð8:2Þ
2
concentration, as in the case of a fillet of smaller radius, the
• Range of stress, rr , is the algebraic difference between
more will be the number of crack nucleation sites and
the maximum and minimum stresses in a cycle.
associated ratchet lines. Diagram in Fig. 8.1 (Wulpi 1966)
shows several patterns of typical fracture surface appearance rr ¼ rmax & rmin ¼ 2ra ð8:3Þ
in fatigue for low and high levels of applied stress and stress
concentration. Any one of these patterns may be exhibited • Stress ratio, R, is the ratio of the minimum to the max-
on the fracture surface depending on the magnitude of imum stress in a cycle.
applied stress and the number of crack nucleation sites. If rmin
possible, the stress concentration must be avoided and the R¼ ð8:4Þ
rmax
level of stress applied on the component should be main-
tained to a minimum. In fact, only one crack nucleation site • Amplitude ratio, A, is the ratio of the stress amplitude to
finally causes total fatigue failure in most services. The size the mean stress in a cycle.
of this fatigue crack at the point of final failure is related to ra rmax & rmin 1 & R
the fracture toughness of the material and the applied stress A¼ ¼ ¼ ð8:5Þ
rm rmax þ rmin 1 þ R
level (which becomes fracture stress at the point of fracture)
through (9.65), given in Chap. 9.

Hence, the maximum and minimum stress can be

8.2 Stress Cycles
Since majority of the fatigue failures occurs without an
appreciable amount of gross plastic deformation during
service life, so the difference between the original and the
instantaneous cross-sectional area is insignificant and the
engineering stress, S !, the true stress, r. Hence, fatigue
stresses will be described by the term r subsequently in this
chapter, although initial cross-sectional areas of the members
are mostly used to determine the stresses.
expressed in terms of the mean stress and the alternating
stress as follows:
rmax ¼ rm þ ra ð8:6Þ
rmin ¼ rm & ra ð8:7Þ
Typical time-varying fluctuating stress cycles in fatigue
are illustrated in Fig. 8.2. It may be noted that the tensile
stress will be considered as positive and the compressive
stress as negative. The simplest type of repeated stress cycle
320 8 Fatigue

Fig. 8.2 Typical time-varying (a) –σ (b) –σ

fluctuating stress cycles in Stress ratio, R = σ min = – 1 Range of stress ratio, R : – 1 < σ min < 0
max max
fatigue. a Completely reversed
stress cycle, where jrmax j ¼
σmax σmax
jrmin j ¼ jra j and rm ¼ 0. b Partly σm
σa σa
reversed tension–compression σr

Stress

Stress
type of stress cycle, where 0 σm
jrmax j [ jrmin j and rm [ 0. σr
Time 0
c Pulsating stress between rmax σmin σmin Time
and rmin ¼ 0, where
rm ¼ ra ¼ rmax =2. d Tension–
tension type pulsating stress
cycle, where all stresses are (c) –σ 0 (d) σ
Stress ratio, R = σ min = σ =0 Range of stress ratio, R : 0 < σ min < +1
positive. e Irregular or random max max max
stress cycle
σmax
σa
σmax σm

Stress
σmin σr
σa
σm
Stress

σr σmin

0 0
Time Time

(e)
Tension +
Stress

0
Time
– Compression

is a completely reversed stress cycle or a purely alternating
stress cycle of sinusoidal form like that shown in Fig. 8.2a,
where the mean stress rm ¼ 0; jrmax j ¼ jrmin j ¼ jra j, and
R ¼ rmin =rmax ¼ &rmax =rmax ¼ &1. This is an ideal con-
dition which is produced by an R.R. Moore rotating-beam
fatigue testing machine. In service, a rotating axle operating
at constant speed without overloads approaches this condi-
tion where the bending stresses vary in a completely reversed
stress cycle pattern. Fatigue testing machines, specimens and
their preparation, test procedure and technique are described
from page 6 to 65 in the reference (ASTM STP 1949).
If a cantilever flexure beam, as shown in Fig. 8.3a,
undergoes same amount of deformation alternatively on
either side of its equilibrium configuration, the variation of
flexural stress will be like that shown in Fig. 8.2a. If, how-
ever, the same beam carries an additional load or mass, say at
its free end, as shown Fig. 8.3b, and is deformed alternatively
from its equilibrium configuration without overload to
downward direction, then the variation of flexural stress in the
top fibre of the beam with overload will be like that shown in
Fig. 8.2c. Here, the mean stress is no longer zero but has a
positive value resulting from the constant load of additional
mass. This mean stress is given by rm ¼ ra ¼ rmax =2. Fig-
ure 8.2c shows a repeated stress cycle varying from a max-
imum tensile stress rmax to a minimum stress, rmin ¼ 0,
having R ¼ 0. Figure 8.2d shows a tension–tension type of
repeated stress cycle, where the maximum, the minimum, the
mean and the alternating—all stresses—are positive, i.e.
tensile, and R lies between 0 and 1. Figure 8.2b shows a
partly reversed tension–compression type of stress cycle,
where the maximum stress is tensile and the minimum stress
is compressive but jrmax j [ jrmin j. This gives a mean stress
rm [ 0, i.e. tensile with R lying between −1 and 0.
The above-mentioned stress variations of sinusoidal form
are found to occur in many rotating and reciprocating
machine parts. However, there are many examples where
fatigue loading may involve complicated stress cycle in
which the variation of stress is far from regular. Figure 8.2e
8.2 Stress Cycles
(a)
Cantilever beam
Crank
Fig. 8.3 a A cantilever beam oscillating with equal displacement
alternatively on either side of its equilibrium configuration. b A
cantilever beam carrying an additional load or mass at its free end is
shows this kind of an irregular or random stress cycle which
may be encountered in an aircraft wing subjected to periodic
unpredictable overloads due to storm. The random stress
variation may also occur in machines operating intermittently
due to occurrence of natural vibrations of variable amplitudes
during starting and stopping. This kind of irregular stress
cycle must be reduced to a simpler form in order to use in
design for fatigue. The usual procedure is to split the actual
stress cycle into many sets of simple sinusoidal variations. In
each set, the number of oscillations should be the same as that
of actual oscillations with nearly the same stress amplitude
and mean stress. In this manner, the actual complicated
loading spectrum is transformed into an equivalent simplified
spectrum of sinusoidal form which can be used in analysis.
The nature of stress variations is usually designated by
either of the following two ways:
(1) A statement of the numerical value of the maximum
stress, rmax , together with the stress ratio, R.
(2) A statement of the numerical value of the mean stress,
rm , together with the stress amplitude, ra .
The kind of stresses in a fatigue stress cycle may be
tension, compression or shear, which may be caused by
axial, flexural, shearing or torsional loading or by combi-
nations of them. So for complete definition of a stress con-
dition, the kind of stress must also be stated in addition to
designating the degree of stress variation.
Three basic factors that are related to the stress cycle are
essential for fatigue failure to occur. These are:
(1) A sufficiently high value of the maximum tensile stress,
rmax , in the applied stress cycle,
(2) A high stress amplitude, ra , in the applied stress cycle,
and
(3) A sufficiently large number of oscillations in the
applied stress cycle.
321
(b)
Crank
Mass
Cantilever beam
oscillating alternatively between its equilibrium configuration without
overload and downward bent configuration
In addition to the above factors, fatigue failure is influ-
enced by many other variables, such as stress concentration,
residual stresses, overstressing, temperature, corrosion and
metallurgical structure. The relationship between each of
these factors and fatigue will be discussed subsequently.
8.3 Standard Fatigue Test
Many different kinds of fatigue testing machines developed
so far (the ASTM Manual on Fatigue Testing refers to more
than thirty) may be classified with respect to the type of
applied load and the way of its application. The basic types
of loading used in the laboratory fatigue tests are rotating
bending, reversed-flexure bending, tension–tension or ten-
sion–compression type of axial loading (push–pull type of
loading), torsion and combinations of them. Specimens are
loaded by applying either a constant maximum load or
moment or a constant maximum displacement or strain. In
constant-load machines, although the specimen is subjected
to a fixed cycle of loading throughout the experiment, its
deflection usually increases as it becomes weaker. In
constant-displacement machines, a fixed alternating deflec-
tion is imposed on the specimen and the resulting stress may
change as fatigue progresses. When fatigue tests are con-
ducted with a fixed cycle of load or stress limits, it is called a
stress-controlled fatigue. It is a high-cycle fatigue (often
simply termed as fatigue) because fatigue failure takes place
at high numbers of stress cycles, usually more than 104
cycles. When fatigue tests are conducted with a fixed cycle
of elastic plus plastic strain limits, it is called a
strain-controlled fatigue or a low-cycle fatigue because
fatigue failure takes place when the number of cycles nec-
essary to cause fatigue failure, N\103 cycles. Since
majority of the fatigue failures in service occurs at N [ 104
cycles, the fatigue in the high-cycle region (stress-controlled
fatigue) has received an engineering importance and our
322
present discussion is restricted to this. The cyclic
strain-controlled or low-cycle fatigue will be considered
subsequently in Sect. 8.16.
One of the earliest investigations of stress-controlled
cyclic loading effects on fatigue life was conducted by
Wöhler (1860), who studied the fatigue failure of the wheel
axles of the railway cars. Wöhler designed the first ‘rotating
bending’ fatigue tester to determine the fatigue strength of
the railway axles under alternating stress condition.
Among different types of fatigue testing machines/
methods used to analyse the fatigue properties of materials,
rotating bending is the most widely used standard method of
testing, which is used exclusively for applying constant-stress
amplitude with condition of zero mean stress. The most
popular standard rotating bending machine is the R.R. Moore
rotating-beam fatigue testing machine. Its popularity is due
to its simplicity of operation, inexpensiveness and the fact
that it produces a commonly observed condition of stress.
Schematic diagram of this machine is presented in Fig. 8.4,
and a diagram of rotating-beam fatigue test specimen in the
form of a simple beam used for this machine is shown in
Fig. 8.5 (Richards 1961). The cross-section of specimen used
for this machine must always be circular so that its section
modulus remains constant as it rotates. Fatigue specimens
must have very smooth surfaces and be carefully prepared to
avoid stress concentrations and tensile residual stresses.
Between both grip ends of the specimen, a reduced section is
formed by using a constant curvature from end to end without
the necessity of using any fillet so that undesirable stress
concentrations are avoided. The diameter of the specimen at
the centre of the reduced section will be the minimum at
which the specimen is supposed to fracture. Both ends of the
specimen are rigidly held between the ends of two shafts, and
thus, the specimen becomes part of a long beam which is
subjected to pure bending. The specimen is loaded through
two ball bearings on the shaft extensions (equidistant from
the centre of the span) so that it can rotate freely around its
Fig. 8.4 Schematic diagram of
R.R. Moore rotating-beam fatigue Specimen
testing machine
Ball bearing
Shaft
Roller support
8 Fatigue
axis. Equal loads on these two bearings are applied by means
of deadweights so that the specimen between the loaded
bearings is subjected to a uniform bending moment and
bending takes place in a vertical plane. To apply cycles of
stress, a motor directly connected to one of the shaft exten-
sions rotates the specimen at speeds varying from 3000 to
10,000 rpm and the rotation continues until the specimen
fractures. Since the topmost fibres of the specimen are always
in compression while the bottom fibres are in tension, it is
obvious that a complete cycle of reversed stress of sinusoidal
form with zero mean stress is produced at each point on the
surface of the specimen during each revolution. A counter is
provided with this machine for recording the number of
revolution, i.e., stress cycles applied. There is a switch or
some device that disengages the counter and stops the testing
machine automatically when the specimen breaks. This
machine loaded with a simply supported beam specimen can
be used to produce either unnotched or notched test data. For
unnotched test data, the specimen has to be smooth, whereas
for notched test data, a circumferential notch is introduced in
the gage section of specimen to create stress concentration.
However, the limitations of the rotating bending machine are
that the test data cannot be used in applications where mean
stresses are not zero and the necessity to use a specimen of
circular cross-section.
Instead of a simply supported beam specimen as descri-
bed above, a cantilever round specimen, for which the
loading condition is shown in Fig. 8.6, can also be used by
one variant of the rotating bending machine, which has been
shown schematically in Fig. 8.6b. A gravity load is applied
to the free end of the cantilever specimen while it is rotating.
In this case, bending moment is not uniform rather increases
linearly with increasing distance from the point of applied
load along the gage length of the specimen. If the gage
length of the specimen is of uniform cross-section as shown
in Fig. 8.6, then the bending moment and thereby the
bending stress will be the maximum at the base of the fillet at
Shutoff switch
Flexible coupling
Motor
Revolution
Shaft counter
Roller support
W
8.3 Standard Fatigue Test
Fig. 8.5 Specimen for R.R.
Moore rotating-beam fatigue test
(Richards 1961)
0.25 mm
M6 x 1
Tap
4.75 mm 9.5
mm
Diameter, D – 5 to 10 mm, selected on the basis of ultimate strength of material.
Radius, R – 90 to 250 mm.
Fig. 8.6 a Rotating bending of a (a)
cantilever round specimen loaded
at its free end. b Cantilever-type
specimen loaded in rotating
bending fatigue testing machine
the end of the gage section where fatigue failure will take
place. In fact, this produces a notched fatigue test since the
test results will strongly depend on the geometry of fillet. For
an unnotched test data, the specimen is tapered to obtain the
condition of constant bending stress along the gage length of
the specimen. Rotating bending fatigue test with cantilever
specimen also represents conditions of zero mean stress just
like test with simple beam.
Reversed bending fatigue testing machine with fixed
displacement can be used to overcome the above-mentioned
limitations of rotating bending machine. A schematic dia-
gram of reversed bending fatigue testing machine is shown
in Fig. 8.7. This machine can test either a cantilever or a
simply supported beam specimen with a variety of shapes
instead of only circular section as required by rotating
bending machine. This machine can test flat and square bars
and sheet metals. In this machine, an arm is attached to the
specimen, which is mounted as a stationary beam. A crank
or eccentric drives the arm and produces a constant alter-
nating deflection. A variety of alternating and static loads
can be provided by adjusting the arm length.
The above modes of loading may be suitable when a
component is subjected to rotating or reversed loads. How-
ever, it is often more appropriate to use the axially loaded
specimen for applications involving direct loading, where
steady stress is not zero, rather an important variable. For
example, in aircraft wing, fluctuating stresses are
323
90 mm
19 12 mm
mm
D
4.75 mm R
Taper – 52 mm/m
(b)
Main bearing
Test piece
Motor
Flexible coupling Load bearing W
W
superimposed on both tensile mean stress acting on the
lower wing skin and compressive mean stress acting on the
upper wing skin. The specimen in the axial loading (push–
pull) type fatigue tester is held at two ends and subjected to
pure axial loading of tension–tension or tension–compres-
sion type in which the load varies cyclically between two
extreme (maximum and minimum) values. The configura-
tion of such axial loading is shown in Fig. 8.8.
8.4 The S–N Diagram and Fatigue Properties
The engineering (stress-controlled) fatigue data are pre-
sented by means of S–N diagram, also known as ‘Wöhler’
diagram, which is a plot of stress S against the number of
stress cycles necessary to cause fatigue failure, N, for high
numbers of cycles, usually more than 104 cycles. In S–N
plot, all parts of the range, except for high values of N, show
considerable curvature because with decrease of applied
stress S, N increases slowly at first and then more and more
rapidly. But if a log scale is used for N, the first part of the
curve often becomes nearly linear and so, N is almost always
plotted on a logarithmic scale. The data for S–N diagram can
be obtained from the standard rotating bending fatigue tests
at constant-stress amplitude, described in Sect. 8.3, and
typical S–N curves for ferrous and non-ferrous metals
obtained from such tests are shown schematically in
324 8 Fatigue

Crank Motor To determine an S–N curve, a group of fatigue specimens

Built-in end
Connecting rod
Specimen
Fig. 8.7 Schematic diagram of a reversed bending fatigue testing
machine with constant displacement
Fig. 8.8 Configuration of tension–tension or tension–compression
type axial loading
Fig. 8.9. In these tests, since the stress cycles are completely
reversed, i.e. the mean stress is zero, so the value of stress
S that is plotted can be rmax ; ra , or rmin , because
jrmax j ¼ jra j ¼ jrmin j. The S–N diagram for cases where the
mean stress rm 6¼ 0 will be considered in Sect. 8.7.
is tested at different stress levels and at each of the several
stress levels the loaded specimen is rotated until it fractures.
After completion of each test at the point of failure, both the
applied stress level, S, and the number of cycles (revolu-
tions) necessary to cause fatigue fracture, N, are noted and
this (N, S) represents a point on the S–N curve. Several tests
at different stress levels from high stress values to very low
ones with corresponding cycles to fracture will create several
test points for the construction of an S–N curve. Usually, the
first fatigue specimen is tested at a high stress level of the
order of about two-thirds the static tensile strength of the
material, where failure is expected to take place at a rela-
tively low value of N. But the applied stress levels should
not be so high that fatigue failures occur at N\103 cycles,
because application of higher stresses produces gross plastic
deformation that makes the interpretation difficult in terms of
stress. When the number of cycles to failure, N [ 104
cycles, the stresses, on a macroscopic scale, are usually
elastic, but plastic deformation of metals occurs in a highly
localized way. However, the test stress is progressively
lowered from high value for each successive specimen until
the number of cycles applied to the specimen reaches at least
107 cycles. For certain metals and alloys, such as iron and
titanium alloys, the specimen does not fracture at or after the
specified 107 number of cycles and in such cases, the S–N
curve becomes asymptotic to the horizontal line, as shown in
Fig. 8.9. The stress corresponding to this horizontal
asymptote is called the fatigue limit or endurance limit of a
metal, designated as re , and at stresses lower than re , the
specimen can endure an infinite number of cycles without
failure. Hence, fatigue limit or endurance limit can be

Fig. 8.9 Typical schematic S–N

curves for ferrous and non-ferrous
metals
Stress, S (= σmax or σa)

Iron and titanium alloys

Fatigue limit

Copper, aluminium, and magnesium alloys

105 106 107 108

Number of cycles to failure, N (logarithmic scale)
8.4 The S–N Diagram and Fatigue Properties
defined as the maximum stress below which a material can
presumably endure an infinite number of stress cycles
without failure. This indicates that the number of cycles is no
longer a factor at stresses below re , where no fatigue dam-
age is expected to take place. Usually, the fatigue limit is far
below the yield strength of the material.
Most non-ferrous metals and alloys, such as copper,
aluminium and magnesium alloys, often do not have a true
fatigue limit, because the S–N curve of such materials never
becomes horizontal, as shown in Fig. 8.9. Rather the S–N
curve slopes gradually downward as the applied stress is
decreased causing the number of cycles to increase. So, the
material showing a continually decreasing S–N curve has no
apparent lower stress limit below which the material can be
considered to be completely ‘safe’. For such materials, the
test is continued beyond 107 cycles and usually terminated
when N reaches about 108 or 5 ' 108 cycles, which requires
at least 5 weeks of test running time at the usual cycling
rates. For such materials, the endurance limit is defined as
the maximum stress which the material can withstand
repeatedly for 108 or 5 ' 108 number of stress cycles
without failure. For example, the maximum stress sustained
without failure corresponding to 5 ' 108 number of stress
cycles is the endurance limits for aluminium and magnesium
alloys, while that corresponding to 108 number of stress
cycles is the endurance limits for copper- and nickel-based
alloys (ASTM STP 1958).
The S–N curve for a given material depends on the type
of test used to determine it. According to experimental
evidence, the S–N curve for a given material produced by the
test data is:
• The highest for the reversed-flexure bending test.
• The next highest for the rotating bending test.
• The lowest for the push–pull type test.
Hence, test data of the push–pull type produce the most
conservative fatigue design and that of the rotating bending
test gives the next conservative fatigue design. So, while
using S–N curve to design the machine parts, one must be
aware of the type of test data that is used to construct the
curve.
Fatigue life, N, is the number of cycles required to cause
fatigue failure of a material for a stated condition, e.g. given
rmax and rm , or given rm and ra . It is the basic fatigue
property since it is the only one which can be measured
directly from experimental observation. We shall see shortly
that this experimentally measured fatigue life for a given
condition is a property of the individual specimen and may
not be representative of the property of the material from
which the specimen is made. On the S–N curve, fatigue
properties like fatigue strength, rn , and fatigue limit or
325
endurance limit, re , are determined. Fatigue strength is
defined as the maximum stress which a material can with-
stand repeatedly for a specified number of cycles
ðsay; N cyclesÞ without failure. It is very useful in design.
A highly desirable design criterion is the fatigue limit, which
is a special case of fatigue strength, because it may be
defined as the limiting value of fatigue strength as the
number of cycles, N, becomes very large (ASTM STP
1958). Obviously, fatigue strength and fatigue limit are not
directly measurable from experimental observation, because
the applied stress must always be decided prior to the start of
the test and it would be impossible to preselect a stress for
each specimen such that it would either fail at just specified
number of cycles ðsay; N cyclesÞ, or have an infinite fatigue
life. As a result, the fatigue strength and the fatigue limit
have to be determined by interpolation from the S–N curve.
However, when either the fatigue strength or the fatigue limit
is mentioned for a material, it will be assumed that the stress
is completely reversed within each cycle unless otherwise
stated. If the stress cycle is not completely reversed, the
value of the minimum stress, mean stress or the stress ratio
must be specified.
8.4.1 Reason for Existence of Fatigue Limit
Some materials, especially iron and titanium alloys, possess
a horizontal ‘knee’ in the S–N curve, the stress corre-
sponding to which is the fatigue limit. It has been shown
(Levy and Sinclair 1955; Lipsitt and Horne 1957; Lipsitt and
Wang 1961; Levy and Kanitkar 1961) that the existence of a
fatigue limit depends on the presence of interstitial elements
in those materials. Figure 8.10 schematically illustrates the
steps in the development of a fatigue limit. Curve A is the
continuously decreasing S–N curve for a pure metal where
N increases with decreasing stress. When a solute element is
added to form solid solution, the yield strength is raised and
the initiation of a slip band becomes more difficult. This
solid solution strengthening results in the shift of the S–N
curve of the solid solution to curve B, which is located above
and to the right side of curve A. If suitable amount of
interstitial elements is present in the solid solution alloy,
there will be additional strengthening of the alloy due to
strain ageing from interstitials. Since strain ageing is not
strongly dependent on the applied stress, the fatigue damage
caused by the applied stress and the localized strengthening
due to strain ageing will balance each other at a certain
limiting stress which results in the fatigue limit. The fatigue
limit is shown in curve C, which is located above and to the
right side of curve B. Either raised temperature during fati-
gue or increased amount of interstitial elements in the alloy
will enhance the phenomenon of strain ageing. This
326
D
Stress
C
B probability of survival are drawn on the same plot. A family
A of curves of this type is known as a P–S–N diagram. In this
log N
Fig. 8.10 Schematically illustrating the mechanism in the develop-
ment of a fatigue limit. Curve A is for a pure metal. Curve B is due to
solid solution strengthening effect by addition of solute element to
A. Curve C shows fatigue limit that arises due to balance between
fatigue damage and strengthening due to strain ageing from interstitials.
Curve D shows raised fatigue limit due to enhanced strain ageing
enhanced strain ageing is shown by the curve D, where the
fatigue limit is elevated and the horizontal ‘knee’ starts at a
lower number of stress cycles compared to curve C. A
well-defined fatigue limit exists in quenched and tempered
steels, which generally do not show strain ageing in the
tension test. This fatigue limit results probably from local-
ized strain ageing at the root of the fatigue crack.
8.5 Statistical Nature of Fatigue
Since S–N curves represent the fatigue behaviour of only
laboratory specimens, the fatigue properties of a part in
service may vary considerably from the laboratory results.
The existence of scatter in data is very common in fatigue
tests. When identical several specimens are tested in fatigue
at the same stress level, their fatigue lives are generally not
the same, but may vary or scatter to a great extent, often as
much as one log cycle between the minimum and maximum
values. Hence, the fatigue life for p per cent survival, Np , is
considered for design purpose, where p refers to the proba-
bility factor and Np represents the fatigue life up to which
p per cent of the specimens tested at the same stress level is
expected to survive; for example, N90 is the fatigue life up to
which the probability of survival of the specimens is 90%
and the probability of failure is 10%. The fatigue life for
50% survival, N50 , is known as the median fatigue life. It is
estimated by the middle value of the observed fatigue lives
of the specimens tested at the same stress level when they are
arranged in order of magnitude. If there is an even number of
the observed fatigue lives of the specimens, the average of
the two middle values is considered as the median. It is often
convenient to deal with the median fatigue life in the study
8 Fatigue
of the variation of fatigue life with stress and other factors.
Hence, the fatigue data should be expressed as a
three-dimensional surface to represent a relationship
between stress (S), number of cycles to failure (N) and
probability of survival (P). The method of presenting this in
a two-dimensional plot is shown in Fig. 8.11. This figure
shows a diagram of stress versus number of cycles to failure
with schematic illustration of a distribution of fatigue life at
constant stress, based on which the curves of constant
diagram, the solid line is the median S–N curve (50% sur-
vival) and the dashed lines are S–N curves for p per cent
survival. For example, at stress r1 , 99% of the specimens
would be expected to survive at N1 cycles, 50% at N2 cycles
and 1% at N3 cycles. Figure 8.11 indicates that the scatter in
fatigue life decreases with increasing stress level. It is
believed that the period of crack initiation prior to its
propagation is much shorter at higher stress levels resulting
in a smaller scatter. The scatter in the test data may originate
from various sources. These include alignment of the test
machine, preparation of the specimen surface, variations in
testing environments and a number of metallurgical vari-
ables. With respect to the testing machine, rotating bending
machines produce the least amount of scatter since
misalignment is less critical than axially loaded machines.
At a given stress level, the anticipated fatigue life for a
desired per cent of survival under completely reversed stress
cycle may be estimated by means of standard statistical
procedure. For a given alternating stress-cyclic life data
population, if N is the mean value of the range of fatigue
lives of the specimens tested at a given stress level, and s is
the value of the associated standard deviation, then using
standard statistical procedure it can be written
Pi¼n
i¼1 Ni
N¼ ð8:8Þ
n
"P ! "2 #12
i¼n
i¼1 Ni & N
s¼ ð8:9Þ
n&1
where
Ni the value of fatigue life of one specimen (the ith
specimen) tested at a given stress level; and
n the number of specimens tested at the same stress level
With the above statistical parameters, the confidence
limits of the probability of survival may be determined. If
the specimens are subjected to purely alternating stress
cycles, the fatigue life anticipated with a desired confidence
level of c% that at least p% of the specimens will survive at
any given stress level may be given by (Forrest 1962):
8.5 Statistical Nature of Fatigue 327

Fig. 8.11 Schematic P–S–N Median S – N curve

curves to represent fatigue data on
a probability basis

σ1

P = 0.01

Stress
P = 0.01
P = 0.10
P = 0.90 P = 0.50

P = 0.99 P = 0.99
Median fatigue limit

N1 N2 N3
Number of cycles to failure, N (log scale)

Anticipated cyclic life ðc; pÞ ¼ N & qs
where q ¼ f (confidence level, c%; probability of survival,
p%; and the number of specimens used to determine N
and s).
Assuming normal distribution, values of q for S–N data
are provided in Table 8.1 (ASTM STP 1963). The value of
q increases with any one of the followings:
• An increase in the confidence level;
• An increase in the probability of survival;
• A decrease in n, i.e. the number of specimens tested at
the same stress level.
With the aid of (8.10) and Table 8.1, the P–S–N diagram
consisting of a family of curves representing the probability
of survival is possible to develop, which may be used for
decision-making in engineering design. Generally, a higher
confidence level of survival is selected for more important
components. This increases the value of q. In such cases, the
design or operating stresses must be reduced, especially if
few test data are available for determining the anticipated
ð8:10Þ fatigue lives, because the anticipated fatigue lives decrease
with increasing values of q.
Similar to fatigue life, fatigue strength and fatigue limit
can also be defined by a distribution, and like fatigue life, the
fatigue strength or fatigue limit is a statistical quantity. If
fatigue strength and fatigue limit are determined from the
median S–N curve, they are, respectively, called the median
fatigue strength at N cycles and the median fatigue limit. The
median fatigue strength at N cycles is the stress at which
50% of the specimens would survive N cycles, and the
median fatigue limit is the stress at which 50% of the
specimens would have an infinite fatigue life. It will often be
more desirable to use the fatigue strength for p per cent
survival at N cycles or the fatigue limit for p per cent sur-
vival, which may be found by interpolation from the S–N
curve for p per cent survival.
To establish the necessary distribution of fatigue lives,
each group of fatigue specimens tested at each stress level
for construction of an S–N curve should consist of at least 10
specimens. In general, at least six to eight stress levels are
required to determine the S–N curve including the fatigue
limit. Since the scatter in the test results increases with

Table 8.1 Values of q for S–N data assuming normal distribution (ASTM STP 1963)
c 0.75 0.90 0.95 0.75 0.90 0.95 0.75 0.90 0.95 0.75 0.90 0.95
n p ¼ 90% p ¼ 95% p ¼ 99% p ¼ 99:9%
6 1.860 2.494 3.006 2.336 3.091 3.707 3.243 4.242 5.062 4.273 5.556 6.612
10 1.671 2.065 2.355 2.103 2.568 2.911 2.927 3.532 3.981 3.858 4.629 5.203
15 1.577 1.866 2.068 1.991 2.329 2.566 2.776 3.212 3.520 3.661 4.215 4.607
20 1.528 1.765 1.926 1.933 2.208 2.396 2.697 3.052 3.295 3.561 4.009 4.319
25 1.496 1.702 1.838 1.895 2.132 2.292 2.647 2.952 3.158 3.497 3.882 4.143
328
decreasing stress level, more specimens are required to be
tested at the low stress levels and fewer at the high stress
levels to maintain an approximate equal degree of precision.
The total number of specimens required for determination of
the S–N curve varies from 60 to 80 or more.
Several attempts have been made to express S–N curves
by mathematical equations. One of the most useful equations
formulated on the basis of statistical theory was suggested by
Weibull (1949), in which it was assumed that the S–N curve
is a hyperbola. This equation is:
ðr & re Þm N ¼ k ðfor r [ re Þ ð8:11Þ
where m and k are material constants, r and N are the
variables and re is the fatigue limit. If we take logarithms of
both sides of (8.11), it gives a linear relation between
logðr & re Þ and log N, as indicated by the following form:
m logðr & re Þ ¼ log k & log N ð8:12Þ
8.6 Fatigue Crack Nucleation and Growth
Fatigue process starting from crack nucleation to fracture can
be divided into the following stages:
• Crack initiation, which occurs at the early stage of fati-
gue. Crack initiates at heterogeneous nucleation sites
which are pre-existing flaws or generated during the
cyclic straining process.
• Stage I crack growth, also called slip-band crack growth,
where the initial crack grows along slip planes, i.e. planes
of high shear stress.
• Stage II crack growth, also known as crack growth on
planes of high tensile stress, where a well-defined crack
propagates in a direction normal to the maximum applied
tensile stress.
• Ultimate ductile failure, which takes place when the
crack becomes sufficiently long so that the remaining
cross-section can no longer sustain the applied load.
The fraction of the total fatigue life that will be shared by
each of the above stages depends on the material and the test
conditions. Generally, a larger fraction of total fatigue life is
involved with the Stage II crack growth in high-stress
low-cycle fatigue than in low-stress high-cycle fatigue, while
the largest part of long-life fatigue consists of Stage I crack
growth. Stage I crack growth may not occur at all in case of
high tensile stress, for example, in case of fatigue of sharply
notched materials.
8 Fatigue
Crack Initiation
It is well established that the formation of a fatigue crack can
occur prior to consumption of 10% of the total fatigue life.
Fatigue cracks usually initiate at free external surfaces,
commonly at geometrical notches or discontinuities, but
rarely at internal surfaces if the metal contains an interface,
such as case–core interface created during surface-hardening
treatments like carburizing and nitriding, or defects such as
voids and cracked second-phase particles.
Gough (1933) has shown that a metal subjected to fatigue
deforms by slip on the same atomic planes and in the same
crystallographic directions as in unidirectional loading. But
slip in unidirectional deformation is usually widespread
throughout all the grains, whereas in fatigue, slip lines are
exhibited in some grains and there is no evidence of slip in
other grains. In fatigue, the first few thousands of stress cycles
generally form slip lines and a systematic build-up of fine slip
lines, which correspond to the movements of the order of
1 nm instead of steps of 100–1000 nm as observed for static
slip bands, results in cyclic slip bands. Additional slip bands
are produced by successive stress cycle, but the number of
slip bands produced is not directly proportional to the number
of stress cycles. In a number of metals, the increase in visible
slip is found to reach a saturation limit in a short time. If the
deformed surface of specimen is electropolished by inter-
rupting the fatigue test, some of these cyclic slip bands will
persist and remain visible while the rest will be removed by
polishing. These persistent slip bands (PSBs) have been
observed to form after the specimen has undergone only 5%
of the total fatigue life. The extent of plastic strain within the
PSB can reach up to 100 times of that in the surrounding
material. PSBs are sources of fatigue cracks, because the
application of small tensile strains opens them up into wide
cracks. Once fatigue cracks are formed, they tend to grow
initially along slip planes, but subsequently propagate in a
direction normal to the maximum applied tensile stress. The
propagation of fatigue crack is normally transcrystalline.
The fine structure of a slip band as obtainable by an
electron microscope is shown schematically in Fig. 8.12,
which illustrates the mechanism of formation of fatigue crack
based on Wood’s concept (Wood 1955). Under similarly
applied stress conditions, the slip in a slip band is analogous
to the movement of playing cards in a pack. Figure 8.12a
shows that slip caused by static deformation would produce
a contour similar to a staircase at the surface of a metal. In
contrast, the back-and-forth movements of fine slip in a slip
band of fatigue deformation lead to the formation of ridges,
called slip-band extrusions (see Fig. 8.12b), and grooves or
notches, called slip-band intrusions (see Fig. 8.12c), at the
8.6 Fatigue Crack Nucleation and Growth
(a) (b)
Fig. 8.12 Mechanism of formation of fatigue crack at the surface of a
metal, based on Wood’s concept. a Slip in static deformation produces
a contour similar to a staircase. b Cyclic deformation leads to the
surface. The notch, thus produced, will act as a stress raiser
with a notch root radius of atomic dimension and may ini-
tiate a fatigue crack. The formation of slip-band extrusions
and intrusions seems to be unique to fatigue deformation.
Metallographically, it has been shown (Wood 1959) that the
initiation of fatigue cracks occurs at extrusions and intru-
sions. Hence, the above mechanism for a fatigue crack ini-
tiation agrees well with the facts that fatigue cracks start at
surfaces and that they have been found to initiate at
slip-band extrusions and intrusions.
Stage I Crack Growth
After initiation, fatigue crack propagates initially along slip
planes, i.e. parallel to the persistent slip bands at approxi-
mately 45° to the applied principal tensile stress axis. The
rate of Stage I crack growth is normally very low, on the
order of nm per cycle. A practically featureless fracture
surface is produced during Stage I. In a polycrystalline
metal, the Stage I crack may spread over a few grain
diameters before the crack enters Stage II.
Stage II Crack Growth
When the Stage I crack attains a critical length that is suf-
ficient for the stress field at the crack tip to become domi-
nant, the crack propagation changes from Stage I to Stage II.
The critical size of Stage I crack is determined by mechan-
ical properties of material and the applied stress level and
state. A Stage II crack propagates in a direction normal to the
applied principal tensile stress direction, and the
crack-propagation rate is related closely to the range of
stress, rr , in each cycle; the greater the rr , the greater is the
rate of crack extension. The crack-propagation rate in
Stage II is on the order of microns per cycle, i.e. much higher
than Stage I crack growth rate of nm per cycle. Further in
contrast to Stage I crack growth, crack propagation in
Stage II often produces a pattern of ripples or fatigue stri-
ations. The spacing between these striations represents the
crack growth per stress/strain cycle. These striations marks
are not visible to the naked eye, and Fig. 8.13 shows an
329
(c)
formation of slip-band extrusion (ridge at surface). c Cyclic deforma-
tion leads to the formation of surface groove or notch called slip-band
intrusion
image of fatigue striations obtained by examining the fatigue
fracture surface with a scanning electron microscope.
Although the presence of striations indicates that the failure
is due to fatigue, their absence does not mean that the fatigue
failure has not occurred.
Stage II fatigue crack propagation proceeds by an unin-
terrupted process of crack sharpening followed by plastic
blunting, as illustrated schematically in Fig. 8.14 (Laird
1967). Figure 8.14a shows a sharp-tip crack with charac-
teristic striation spacing, x, at the start of stress cycle when
stress is zero. As the tensile stress is applied and increased,
the crack is opened up and the stress concentration at the
double notch of the crack tip causes plastic deformation at
45° to the plane of the crack (Fig. 8.14b). With increasing
tensile stress (Fig. 8.14c), the crack grows in length by
plastic shearing preceded by its widening to the maximum
extent. At the same time, plastic deformation blunts the
crack tip. On reversing the stress to compression
6.98 mm from notch tip
Fig. 8.13 Fatigue striations in Fe-3 wt% Si alloy (Courtesy Prof.
R. Mitra, IIT Kharagpur). Crack propagation direction is shown with an
arrow
330
x
(a)
(b)
(c)
Fig. 8.14 Schematic mechanism of growth of Stage II fatigue crack
by a process of crack sharpening followed by plastic blunting.
a Sharp-tip fatigue crack with characteristic striation spacing, x. b Open-
ing up of the crack with increasing tensile stress. c Blunting of the
(Fig. 8.14d), the slip direction at the crack tip is reversed.
The compressive stress forces the crack to close, removes
blunting and resharpens the crack tip. Note that the stress
cycle produces an increase in the crack length, which is
equal to the characteristic distance x. The above process is
then repeated as shown in Fig. 8.14e, f. It is clear from this
model that for the advancement of crack, stress reversal is
necessary because it removes the blunting and resharpens the
crack tip by altering its shape. It is clear, too, that the
characteristic striation spacing, x, will increase with the
range of alternating stress.
However, ultimately failure occurs in a ductile manner
when the fatigue crack becomes sufficiently long so that the
remaining cross-section is no longer capable of carrying the
applied load.
8.6.1 Fatigue Crack Growth Rate
If Stage II crack growth rates are measured, then the mea-
sured values can be used for engineering design. For
example, if we know the Stage II crack growth rate and the
fracture toughness (see Chap. 9) of the material, the number
of Stage II cycles prior to catastrophic fatigue fracture, i.e.
the approximate service life under specific loading condi-
tions and service environment, can be estimated. Thus for
materials, for which the Stage II crack growth occupies a
major portion of their fatigue lives, the number of fatigue
cycles endured by them prior to their failures, i.e. their
service lives, can be approximated. For example, such
materials are those which contain pre-existing surface cracks
or flaws, where the necessity of nucleating a fatigue crack is
eliminated and the applied tensile stress is raised due to
8 Fatigue
(d)
(e)
(f)
crack-tip by plastic deformation. d Removal of blunting and
re-sharpening of the crack tip on reversal of stress. e and f Repetition
of the process (Laird 1967)
stress concentration, or those which are subjected to
low-cycle fatigue.
A precracked specimen of the type used for plane-strain
fracture toughness testing (see Chap. 9) is sufficient for the
measurement of Stage II crack growth rate, which is com-
monly performed in laboratory. A fixed stress (or sometimes,
strain) amplitude at a specified stress ratio or mean stress is
usually applied to the specimen, and the crack length incre-
ment is measured in a variety of ways, such as directly with
an optical microscope or by electrical resistivity measure-
ment across the cracked specimen, accompanied by a suitable
calibration procedure. The measured crack length is recorded
and plotted as a function of the number of cycles. Figure 8.15
shows such a plot of crack length, a, versus the number of
fatigue cycles, N, where the crack grows from an initial size,
ai , to a critical size, ac , corresponding to the number of
fatigue cycles to failure, Nf . The crack growth rate, da=dN,
which is determined from the slope of the a & N curve, is
found to increase continuously with the number of cycles, as
seen from the figure. In other words, we can say that the
crack growth rate is initially slow, but increases with
increasing crack length. It is to be noted that for a fixed stress
range, the crack growth rate increases with increase in the
stress ratio, R.
The linear elastic fracture mechanics (LEFM) approach
involving the elastic stress intensity factor, K, described in
Chap. 9, can be applied to fatigue crack growth even in
low-strength, high-ductility material, because fatigue crack
growth needs very low values of K and the sizes of plastic
zone at the crack tip are quite small. It is possible to estimate
the safe lifetime in fatigue from the correlation existing
between the elastic stress intensity factor, K, and the crack
growth rate or the amount of crack extension per stress
8.6 Fatigue Crack Nucleation and Growth 331

Fatigue life
ac Region I Region II Region III
ac

No propagation of fatigue cracks

Rapid or unstable crack growth

Crack length, a

Stable crack growth

ai da

Crack growth rate da / dN (log scale)

dN

ai
p
0 Nf
Number of fatigue cycles, N

Fig. 8.15 Schematic plot of crack length, a, versus the number of

fatigue cycles, N, showing the increase of crack growth rate, da=dN,
da
with increasing N from 0 to the number of cycles to failure, Nf , or with = A (∆K)p
increasing a from an initial crack length, ai , to a critical crack size, ac dN
for linear portion

cycle, da=dN. Figure 8.16 shows an idealized curve of

da=dN versus DK on log-log scale, where DK is the range of
stress intensity factor. DK can be defined and expressed in ∆Kth
terms of the stress range, Dr, with the help of (9.48) as
Stress intensity factor range ∆K (log scale)
follows:
pffiffiffiffiffi pffiffiffiffiffi pffiffiffiffiffi Fig. 8.16 Schematic curve of fatigue crack propagation in
DK ¼ Kmax & Kmin ¼ Yrmax pa & Yrmin pa ¼ Yrr pa non-aggressive surrounding
ð8:13Þ

where the parameter Y depends on the types of loading and
the geometry of crack and specimen configuration (see
Chap. 9). Since the crack is closed during compression
loading, so if rmin is a compressive stress, the stress intensity
factor in compression, Kmin , will be taken as zero.
The curve in Fig. 8.16 having a sigmoidal shape can be
divided distinctly into three regions. In Region I, crack
growth rates are very low of the order of 0.25 nm per cycle
or less corresponding to low DK values. Region I is bounded
by a threshold value DKth , which is at the lower end of DK
range, where the crack growth rate approaches zero. Below
DKth , there is no observable fatigue crack growth (Ritchie
1979). DKth typically lies between 5 and 10% of critical
stress intensities.
In Region II, the crack growth rate is stable and there is a
linear relationship between logðda=dNÞ and logðDKÞ, which
can be represented by the following power law equation:
da
¼ AðDKÞp
dN
Equation (8.14) is often referred to as ‘Paris law’ (Paris
and Erdogan 1963), in which A and p are constant param-
eters and are related to material variables, stress ratio,
temperature, frequency of cycling and environment. Usually
for metals, p is in the range of 2–6 depending on the mag-
nitude of DK (Grosskreutz 1971) and a compromise value of
p over the entire range of da=dN, suggested by Paris, is
p ¼ 4. The material parameters A and p must be determined
experimentally from crack growth rate measurements. The
value of A can be obtained by extending the linear part of the
pffiffiffiffi
curve in Fig. 8.16 to DK ¼ 1 MPa m, and p can be found
from the slope of the curve in Fig. 8.16.
When DK is very high, Kmax approaches the fracture
toughness of the material and we get a region of accelerated
crack growth, which is designated as Region III in Fig. 8.16.
Substitution of DK from (8.13) into the Paris law given
by (8.14), applicable during Stage II or linear crack growth
region, results in:
da ! pffiffiffiffiffi"p
¼ A Yrr pa ¼ AY p ðrr Þp ðpaÞp=2 ð8:15Þ
dN
ð8:14Þ When fracture toughness of a material is known under
relevant loading conditions, the fatigue crack growth life of
the material can be determined by rearranging and inte-
grating (8.15) between the limits of initial crack size ai and
critical crack size, ac , at which fracture occurs. The value of
332 8 Fatigue

critical size, ac , can be obtained by substituting where

a ¼ ac ; ra ¼ rmax , which is the applied maximum tensile
stress, and K ¼ Kc , the fracture toughness of the material, in Kc the fracture toughness of the material that depends on
(9.48), specimen thickness;
R stress ratio ¼ rmin =rmax ¼ Kmin =Kmax
$ %2
1 Kc Note that even if a structural member contains a crack
ac ¼ ð8:16Þ
p Yrmax which can be detected using several non-destructive tech-
niques, its use can be continued in service, provided that the
If Nf is the fatigue life of material, i.e. the number of
crack is periodically inspected. The damage-tolerance design
fatigue cycles required to cause fatigue fracture, then we get
approach is based on this philosophy.
from (8.15),

ZNf Zac
da 8.7 Effect of Mean Stress
dN ¼
AY p ðrr Þp ðpaÞp=2
0 ai
Our discussions on fatigue have been so far limited to the
Zac conditions of purely alternating stress cycles, where the
1 da mean stress rm ¼ 0. However, the stress condition in many
) Nf ¼ ð8:17Þ
AY p ðrr Þp pp=2 ap=2 cases in practice often comprises an alternating stress and a
ai
superimposed tensile or compressive mean stress, which will
where it has been assumed that Y is independent of crack be now discussed.
length, which may be true for a few geometries. For other An S–N diagram can be constructed in several ways for a
geometries, a suitable average value of Y, say Y, may be situation where the mean stress rm 6¼ 0. The two most
used to replace Y in (8.17). It has also been assumed that rr , common methods of presenting S–N data for a given mate-
i.e. ðrmax & rmin Þ; is constant and taken outside the integral. rial are:
If p 6¼ 2, integration of (8.17) yields
(1) To plot the maximum stress, rmax , versus log N (log of
1&ðp=2Þ 1&ðp=2Þ
ai & ac cycles to failure) for a constant value of the stress ratio
Nf ¼ ð8:18Þ
½ðp=2Þ & 1)AY p ðrr Þp pp=2 R ¼ rmin =rmax . This gives a single S–N curve, each
point of which must have the same value of R. To obtain
Equation (8.18) is the appropriate solution of the Paris different points on the same S–N curve, a series of stress
equation when p 6¼ 2, and Y 6¼ f ðaÞ. Considering the more cycles with different maximum stresses is applied, and
general case where Y ¼ f ðaÞ, (8.17) must be written as: for each case of change in the maximum stress, the
Zac minimum stress is adjusted so that it becomes a constant
1 da fraction of the maximum stress. In the similar fashion,
Nf ¼ ð8:19Þ
Aðrr Þp pp=2 Y p ap=2 several such S–N curves for the same material at dif-
ai
ferent values of R can be determined, which are
This integration is generally solved using numerical schematically plotted in Fig. 8.17a. The S–N curve for
techniques. As mentioned earlier, increasing the stress ratio, completely reversed stress cycle is the curve plotted at
R, increases the crack growth rate in all segments of the R ¼ &1. Note that as R becomes more positive, which
sigmoidal curve in Fig. 8.16, but the effect of increasing R is corresponds to the increase in the mean stress, the S–N
more pronounced in Regions I and III, i.e. at low and high curve for the same material shows greater allowable
values of DK, than in Region II. Since the Parris equation maximum stress at a specified number of cycles or
does not include the influence of R, so the expression greater fatigue limit or shows greater fatigue life for a
developed by Foreman and his associates (Forman et al. given rmax level.
1967), in which the sensitivity of the Stage II crack growth (2) To plot the alternating stress, ra against log N (log of
rate to the stress ratio has been considered, is given below: cycles to failure) at a constant value of the mean stress
rm , which gives a single S–N curve having the same
da AðDKÞp value of mean stress at each point. Several such S–N
¼ ð8:20Þ
dN ð1 & RÞKc & DK curves for the same material at different values of rm
have been schematically plotted in Fig. 8.17b. Note that
8.7 Effect of Mean Stress 333

Fig. 8.17 Two most common (a) (b)

methods of presenting S–N data
for a given material, when the
mean stress rm 6¼ 0. a Schematic σm > σm > σm > σm
1 2 3 4
S–N curves for different values of σm
4
stress ratio, R. b Schematic S–N
curves for different values of R4 ( 0 < R4< + 1) σm 3

Maximum stress, σmax

mean stress, rm , showing the

Alternating stress, σa
effect of stress amplitude, ra , and σm
R3 = 0 2
mean stress, rm , on fatigue life, N
R2 ( –1< R2< 0) σm
1
R1 = –1

105 106 107 105 106 107

Number of cycles to failure, N (log scale) Number of cycles to failure, N (log scale)

Fig. 8.18 Haig-Soderberg Invalid region of

diagram (Soderberg 1930) Gerber parabola
showing combined effect of σe or σn
Gerber parabola
alternating and mean stress
components on fatigue by means Goodman line
of Gerber parabola, Goodman and

Alternating
Soderberg lines

stress, σa
Experimental
findings
Soderberg line

0 Yield stress, S0 Su (UTS)

Mean stress, σ m

Compressive region Tensile region

as the algebraic value of rm increases, the allowable
alternating stress at a specified number of cycles or the
fatigue limit decreases or the fatigue life decreases for a
given ra level.
Other ways of presenting S–N data are to plot rmax
against log N at constant rm and rmax against log N at con-
stant minimum stress, rmin .
To account for the effect of mean stress on fatigue life,
empirical relations showing the variation of mean stress with
alternating stress have been developed for design purposes,
the graphical representation of which is displayed schemat-
ically in Fig. 8.18. This figure is often called the
Haig-Soderberg diagram (Soderberg 1930). In this diagram,
the alternating stress, ra , is plotted against the mean stress,
rm . This figure is obtained for alternating bending or axial
stresses with tensile or compressive mean stress or alter-
nating torsion with tensile mean stress. On the abscissa, i.e.
on the rm -axis, the ultimate tensile strength, Su , of the
material is the boundary of the plot, i.e. considered to be the
end of the curve, because the material is expected to break at
rm ¼ Su , when there is no alternating stress, i.e. ra ¼ 0. The
diagram in Fig. 8.18 shows Goodman line, Gerber parabola
and Soderberg line, which are discussed below.
Goodman suggested a straight line starting from the ordinate
at the point of the fatigue strength at a specified number of cycles,
say N cycles, or fatigue limit for the condition of mean stress,
rm ¼ 0, and ending at the point of the UTS, Su , on the abscissa.
This line is referred to as Goodman line. If a point corre-
sponding to the value of applied mean stress and alternating
stress, i.e. ðrm ; ra Þ; lies within the safe region bounded by the
Goodman line and the two axes, then fatigue failure would not
be expected to occur according to Goodman law. Let,
ra fatigue strength at a specified number of cycles, say
N cycles, or fatigue limit for infinite life, in terms of
stress amplitude, where rm 6¼ 0;
rm mean stress;
rn fatigue strength at a specified number of cycles, say
N cycles, in terms of stress amplitude, where rm ¼ 0; or
re fatigue limit for infinite life, in terms of stress
amplitude, where rm ¼ 0; and
Su ultimate tensile strength, obtained from uniaxial ten-
sion test.
334
Now, the equation of the Goodman line joining the
coordinate points of ð0; rn Þ or ð0; re Þ and ðSu ; 0Þ is called
Goodman relation, which is given by
ra & rn ðor; re Þ rm & 0
¼ ; or;
rn ðor; re Þ & 0 0 & Su
rm
ra & rn ðor; re Þ ¼ &rn ðor; re Þ ;
Su
$ %
rm
) Goodman relation : ra ¼ rn ðor; re Þ 1 & ð8:21Þ
Su
Another empirical relation proposed by Gerber, known as
Gerber relation, represents graphically a parabolic curve
whose vertex is at the coordinate point of ð0; rn Þ or ð0; re Þ on
the ordinate and passing through the coordinate point of
ðSu ; 0Þ on the abscissa. If a point corresponding to the value
of applied mean stress and alternating stress, i.e. ðrm ; ra Þ; lies
within the safe region bounded by the Gerber parabola and
the two axes, then fatigue failure would not occur according
to Gerber law. Experimental data for ductile metals generally
lie closer to the Gerber parabola. One flaw of the Gerber
parabola is that it is not valid on the left side of the ordinate,
i.e. the ra -axis, where the mean stress is compressive (neg-
ative) because the drop in parabola reduces the allowable
total value of alternating stress and mean stress with increase
in the compressive mean stress, but it has been found in
practice that a compressive mean stress has a beneficial effect
on fatigue life. This beneficial effect can be easily visualized
by extending the Goodman line to the left side of the ordinate,
which shows an increase in the allowable total value of
alternating stress and mean stress with increasing the com-
pressive mean stress. The equation of Gerber parabola gives
the Gerber relation, which is derived below:
ðrm & 0Þ2 ¼ &4a½ra & rn ðor; re Þ) ð8:22Þ
where a represents the distance between the vertex and the
focus of the parabola and negative sign is given to indicate
that it is a down facing parabola. Since the parabola passes
through the point ðSu ; 0Þ, so by substituting it for ðrm ; ra Þ
into (8.22), a can be evaluated as follows:
S2u
S2u ¼ &4a½0 & rn ðor; re Þ); ) 4a ¼ ; gram. Hence, the Goodman diagram is a plot showing the
rn ðor; re Þ
Substitution for 4a into (8.22) yields
S2u
r2m ¼ & ½ra & rn ðor; re Þ); or;
rn ðor; re Þ
r2
ra & rn ðor; re Þ ¼ &rn ðor; re Þ m2 ;
Su
8 Fatigue
" $ %2 #
rm
) Gerber relation: ra ¼ rn ðor; re Þ 1 & ð8:23Þ
Su
To define completely both Goodman and Gerber relations,
two mechanical properties of material are required—the
ultimate tensile strength, Su , and the fatigue strength, rn , at a
specified number of cycles or fatigue limit, re , for a com-
pletely reversed stress cycle. Since most of the experimental
data lie between the Goodman line and Gerber parabola, the
Goodman relation represents a more conservative design
criterion for mean stress effects. Although the Gerber relation
is economical, the Goodman relation is generally preferred in
engineering design because fatigue test data shows a lot of
scatter, as discussed earlier, and the test data for notched
specimens lie closer to the Goodman line.
So far, we are discussing the prevention of fatigue failure.
Sometimes, it is required to prevent yielding of the material
in the cyclic loading condition where the mean stress is not
zero, and in such cases, the point corresponding to the value
of applied mean stress and alternating stress, i.e. ðrm ; ra Þ;
must lie within the safe region bounded by the Soderberg
line and the two axes. Since the Soderberg line is based on
the yield strength, S0 , rather than the ultimate tensile
strength, Su , we get the Soderberg relation by substituting S0
for Su in (8.21), derived from Goodman line, as follows:
$ %
rm
) Soderberg relation: ra ¼ rn ðor; re Þ 1 & ð8:24Þ
S0
where
S0 yield strength.
Soderberg relation is completely defined when two
mechanical properties of material, S0 and rn ðor; re Þ, are
known. Soderberg line or relation is also termed as ‘peak
stress’ criterion.
An alternative graphical representation showing the mean
stress effects on fatigue life is the Goodman diagram
(Goodman 1899), as shown in Fig. 8.19, which is often used
in engineering design. The maximum stress range,
rmax & rmin , which can be withstood without failure is
plotted against the mean stress, rm , in the Goodman dia-
variation of the maximum allowable stress range,
rmax & rmin , with the mean stress, rm . Figure 8.19 shows
that the maximum allowable stress range is different for each
value of the mean stress and decreases with increasing the
tensile mean stress. Ultimately, the maximum allowable
stress range reduces to zero when the mean stress reaches the
value of the ultimate tensile strength, Su , of the material.
On the other hand, the available data (Ransom 1954a) for
8.7 Effect of Mean Stress 335

Fig. 8.19 Goodman diagram Compression Tension

(Goodman 1899)
UTS, Su
Yield stress, S0
σmax

Tension
σe or σn σa
σr

σmin

Range of stress
45°
0 Mean stress, σm
Locus of mean stress

Data of completely reversed

Compression
σe or σn stress cycle are plotted here

fatigue test of steel in axial loading indicate that the maxi-
mum allowable stress range increases with increasing the
compressive mean stress up to the compressive yield stress
beyond which the existence of test data is limited. This
agrees well with the fact that the compressive residual stress
has a beneficial effect on fatigue life. The Goodman diagram
shown in Fig. 8.19 has been constructed without carrying
out the actual experiment. In lieu of the actual test data, an
approximate Goodman diagram may be obtained, the
method of which is described below.
• For a completely reversed stress cycle, either the fatigue
strength at any given number of cycles, ðsay; N cyclesÞ,
rn , or the fatigue limit, re , of a given material is recorded
from the S–N diagram or noted from the literature.
• On the vertical axis of the diagram, where the mean stress
is zero, the value corresponding to either rn or re is
marked as points at two places equidistant from the ori-
gin—one in the tensile (positive) side and another in the
compressive (negative) side. The point in tension side
represents the maximum stress, rmax , and the point in
compression side is the minimum stress, rmin , for a
purely alternating stress cycle.
• The ultimate tensile strength, Su , of the material is
recorded from the static uniaxial tensile test or noted
from the literature.
• In the tensile part of the plot, two boundary lines—one
from the horizontal and another from the vertical axes—
are drawn at a distance equal to the value of Su from the
origin. These boundary lines are shown as dotted lines in
Fig. 8.19. The intersection of these boundary lines gives
the point, Su .
• Now, two straight lines are drawn—one from the rmax
point lying on the ordinate, where rm ¼ 0, to the Su point
and another from the rmin point lying on the ordinate,
where rm ¼ 0 , to the Su point. The former one (the upper
curve) shows the variation of rmax with the mean stress,
rm , and the latter (the lower curve) is the variation of rmin
with rm .
• Further, the linear curves of rmax and rmin are extended
as dotted lines to the left side of the origin, where the
mean stress is compressive, i.e. rm \0.
The experimental curves showing the variation of the
maximum allowable stress range with the mean stress are not
strictly linear. In fact, these straight lines shown in Fig. 8.19
are curves, and the experimental data usually lie somewhat
above and below the linear lines of rmax and rmin ; respec-
tively. Thus, the Goodman diagram shown in Fig. 8.19 is a
completely safe region and represents a conservative design
criterion for mean stress effects.
8.8 Stress Fluctuation and Cumulative
Fatigue Damage
8.8.1 Overstressing, Understressing
and Coaxing
Overstressing is a process where a virgin specimen is sub-
jected to a stress above the fatigue limit for some number of
cycles less than that required to cause failure, and subse-
quently, the specimen is subjected to another stress level
until it fractures. Experiments (Dieter et al. 1954) showed
that overstressing causes a greater reduction in fatigue life. If
a virgin specimen is subjected to a stress below the fatigue
limit for a large number of cycles so that it remains unbroken
and if subsequently, it is subjected to a higher stress level,
336
the specimen is said to have been understressed. Either the
fatigue life or the fatigue limit of understressed specimens is
often higher than that expected for virgin specimens. The
localized strain hardening at sites of possible crack initiation
is considered to be the reason for the improvements in
fatigue properties resulting from understressing. A special
case of understressing is coaxing, which may result in a
fatigue limit as much as 50% greater than the virgin fatigue
limit. Coaxing is a procedure where a virgin specimen is
subjected to a stress below the fatigue limit for a large
number of cycles without failure and then the stress is raised
in small increments after subjecting the specimen for a large
number of cycles at each stress level, causing the fatigue
limit to increase to a great extent. An investigation (Sinclair
1952) showed that the strong coaxing effect is directly cor-
related with the ability of the material to undergo strain
ageing. The strengthening due to localized strain ageing at
the tip of the crack is believed to be the reason for the
improvement in fatigue properties from strong coaxing. For
example, ingot iron and mild steel show great improvement
in fatigue properties due to strong coaxing effect while there
is little improvement in fatigue properties from coaxing in
heat-treated low-alloy steel, brass and aluminium alloys.
8.8.2 Cumulative Fatigue Damage
So far, we have discussed the generation of fatigue data
resulting from constant amplitude, constant frequency tests,
but these results cannot be really used in many practical
applications. Many components are subjected to a range of
frequencies, stress amplitudes and mean stress levels. When
a material is subjected to series of overstress cycles, there
will be accumulation of fatigue damage at each step of the
overstress level. When the fatigue damage occurring at each
step is added, the cumulative effect of the total fatigue
damage is obtained. This is referred to as the ‘cumulative
fatigue damage’. At this stage, understanding of the fatigue
damage of a component subjected to a variable load history
is essential, which will be discussed qualitatively because of
limited quantitative information.
It is well established that fatigue cracks are formed during
the first few cycles of loading, but the progress of fatigue
damage, related to the propagation of cracks, depends on the
order in which the stress levels are applied to a specimen or a
component. Experiments (Sines and Waisman 1959) on
propagation of fatigue cracks at various constant-stress levels
were performed until fracture takes place. Cracks are found
to be fine at low stress levels and coarse at high stress levels.
In this experiment, the crack length at each stress level was
measured as a function of the number of cycles. It was
observed that with decreasing stress levels, the critical crack
length at which fracture occurs and the number of cycles
8 Fatigue
required to reach this critical length both increase. Thus, the
speeds at which cracks propagate depend on the applied
stress levels. Hence, the propagation of a coarse crack ini-
tiated by a previous high stress will tend to slow down under
a subsequent low stress, while the propagation of a fine
crack formed by a previous low stress might be very rapid
under a subsequent high stress. Further, the growth of a
crack under subsequent lower or higher stresses may be
affected by the localized strain hardening at the tip of the
crack. All these variations tend to average out if the stress
levels are applied in random order, which is found in many
loading spectra. It is the basis on which the linear cumulative
fatigue damage theory has been developed.
The linear cumulative fatigue damage theory proposed by
Palmgren (1924) and Miner (1945) is the most widely used
due to its simplicity and often referred to as the Palmgren–
Miner cumulative fatigue damage theory or simply called
Miner’s rule. This theory, based on the constant amplitude
test data, predicts the life of a component subjected to a
variable load history. According to this theory, each series of
overstress cycles produces a certain fraction of the total
fatigue damage, and when these fractions add up to unity,
failure will take place. The fraction of the total fatigue
damage caused by one series of overstress cycles at a par-
ticular stress level is given by the ratio of the number of
overstress cycles actually endured at that stress level to the
virgin fatigue life at the same stress level. This ratio is called
cycle ratio, say, C. If n1 ; n2 ; n3 ; . . .nk represent the number of
overstress cycles actually endured, respectively, at the stress
levels of r1 ; r2 ; r3 ; . . .rk and N1 ; N2 ; N3 ; . . .Nk are the
respective virgin fatigue life at the same overstress levels,
then the respective cycle ratios are:
C1 ¼ n1 =N1 ; C2 ¼ n2 =N2 ; C3 ¼ n3 =N3 ; . . .Ck ¼ nk =Nk :
This theory says that when the summation of these cycle
ratios at different overstress levels adds up to unity, fatigue
failure will occur, which can be expressed mathematically as
Pi¼k
i¼1 Ci ¼ 1, i.e.
i¼k
X
n1 n2 n3 nk ni
þ þ þ *** þ ¼ 1; or; ¼1
N1 N2 N3 Nk Ni
i¼1
ð8:25Þ
where
ri ith stress level,
ni number of cycles applied at ri ,
Ni virgin fatigue life at ri and the value of Ni can be
obtained from the S–N diagram,
k number of stress levels in the block loading spectrum.
Considering only two stress levels for simplicity, the
linear cumulative fatigue damage theory has been illustrated
8.8 Stress Fluctuation and Cumulative Fatigue Damage
Fig. 8.20 Schematic S–N σmax
diagram, illustrating graphically
the linear cumulative fatigue
damage theory for loading at two
stress levels
A B
σ1
log n1
F C
σ2
log(N2 – n2)
103
graphically in the S–N curve of Fig. 8.20. Suppose, at stress
level r1 , where the virgin fatigue life is N1 cycles, a speci-
men is subjected to n1 cycles that start from point A and
continue up to point B in Fig. 8.20. Now, the stress level is
changed to r2 , where the virgin fatigue life is N2 cycles, and
then additional n2 cycles are applied to the same specimen
for failure to occur. According to (8.25),
n1 n2 n1 n2 N 2 & n2
þ ¼ 1; or; ¼1& ¼ ð8:26Þ
N1 N2 N1 N2 N2
The ratio ðN2 & n2 Þ=N2 represents the fraction of fatigue
life N2 that was consumed during the first loading cycle at
stress r1 . It is known as the damage ratio. Equation (8.26)
indicates that the fraction of fatigue life consumed during the
first loading cycle is equal to the cycle ratio at stress r1 , i.e.
equal to C1 ¼ n1 =N1 , which can be applied to any subse-
quent loading cycle regardless of the stress used. Since in the
S–N curve, N is plotted on a logarithmic scale, it follows
from Fig. 8.20 that the distance BE ¼ log N1 & log n1 ¼
logðN1 =n1 Þ. But according to (8.26),
logðN1 =n1 Þ ¼ log½N2 =ðN2 & n2 Þ)
ð8:27Þ
¼ log N2 & logðN2 & n2 Þ ¼ BE
At the stress level r2 , let us assume the distance FC on
the log scale in Fig. 8.20 represents the amount of the fati-
gue life N2 , which was consumed during the first loading
cycle at stress r1 . Since the remaining life at stress r2 is n2
cycles, so the amount consumed was N2 & n2 ; hence
FC ¼ logðN2 & n2 Þ. From Fig. 8.20 and (8.27), it can be
seen that the distance
CD ¼ log N2 & logðN2 & n2 Þ ¼ logðN1 =n1 Þ ¼ BE ð8:28Þ
337
S – N curve
log N1
E
log(N1/n1)
log N2
D
N2
log
N2 – n2
log N
104 105 106 107 108 109
From (8.28), it is clear that whenever the stress is chan-
ged, the line that represents the process on the diagram is
always drawn parallel to the S–N curve.
A major limitation of the Palmgren–Miner cumulative
fatigue damage theory given by (8.25) is that it is indepen-
dent of the order in which the block loads are applied to the
specimens or components, i.e. the sequence of loading does
not affect the rule. But in reality, the amount of damage
accumulated depends on the order of the loading and varies
nonlinearly with the number of cycles applied at each stress
level. For example, if a high stress level followed by a low
stress level (i.e. where r1 [ r2 ) is applied to unnotched
P
specimens, test data generally indicate that ðni =Ni Þ\1,
i.e. overall fatigue life is less than that predicted by (8.25),
and in such cases, the Miner’s rule is non-conservative.
Consequently, nonlinear cumulative fatigue damage models
have grown (Halford 1997). Bennett (1946) has shown that
increasing cycle ratio at high stress level results in a greater
reduction in the fatigue limit or the cyclic life at lower stress
level. The reason may be that since at high stress levels, the
propagation of crack starts at a shorter time, the fatigue
damage during the initial cycles at lower stress level will be
more than normally expected because of truncation of the
crack initiation process by the high stress level. On the other
hand, when r1 \r2 , i.e. a low stress level is followed by a
P
high stress level, then ðni =Ni Þ [ 1, for some alloys. Such
understressing causes the fatigue limit of certain materials
like iron and titanium alloys that have ability to undergo
strain ageing to increase somewhat because of coaxing
effects. When stress levels are frequently changed with
application of stresses for a few cycles at a time, it has been
P
experimentally observed that ðni =Ni Þ tends to give values
closer to 1. Thus with random loading spectra, (8.25) is
expected to produce good results at several stress levels.
338 8 Fatigue

Another limitation of this theory is that the amount of
damage accumulation is independent of stress amplitude or
stress level. To ensure conservative predictions with this
theory, it is suggested that the values of virgin fatigue life at
each stress level should be taken from the S–N curve for a
high percentage of survival or from the lowest S–N curve
where the initial stress amplitude, ra ¼ re , at the start when
n ¼ 0, and rR is the stress amplitude at rupture when the
rupture of specimen finally takes place at n ¼ nR . Since re ; k
and a are constants, (8.33) after integration gives
" # rR
ðra & re Þm þ 1 mþ1

available, e.g. the lower boundary of a scattered band.
When the stress amplitude varies continuously with the
number of cycles rather than in steps, the summation sign in
(8.25) may be replaced by an integral sign, which then
becomes
ZnR
dn
¼1 ð8:29Þ
N
0 Prot (1948) developed a method of fatigue testing in 1948
nR the number of stress cycles at which rupture takes
place.
For the condition of constant mean stress, if fatigue life,
N, is a known function of the stress amplitude, ra , which is
again a known function of n, then the (8.29) can be solved.
For example, assume that a specimen is subjected to a
completely reversed stress cycle, where the mean stress
rm ¼ 0, in which the stress amplitude starts from the
endurance limit, re , of the material and increases with each
cycle by a constant amount, say a. Hence, the stress
amplitude as defined above will be given by the following
equation:
¼ ka; or; ðrR & re Þ ¼ kaðm þ 1Þ
mþ1
re
1 1
) rR ¼ re þ ½kðm þ 1Þ)m þ 1 am þ 1 ¼ re þ k0 ai ð8:34Þ
where k0 ¼ ½kðm þ 1Þ)1=ðm þ 1Þ , and i ¼ 1=ðm þ 1Þ. The value
of exponent i for ferrous metals has been observed to range
from 0.3 to 0.7.
using increasing rather than constant-stress amplitudes. He
obtained an equation similar to (8.34) but the main differ-
ence is that in his equation, the value of the exponent
i ¼ 0:5, because he assumed a simple hyperbolic relation for
S–N curve with m ¼ 1. The form of Prot equation that
corresponds to (8.34) is:
pffiffi
rR ¼ re þ k0 a ð8:35Þ
Investigations (Corten et al. 1954) have shown that the
experimental data are better accommodated by the more
general equation, (8.34), than by the Prot equation, (8.35),
and so, (8.34) is more reliable than (8.35).

ra ¼ re þ an ð8:30Þ
8.9 Stress Concentration Effect
where
The majority of fatigue failures taking place in service life are
n is the number of stress cycles applied to the specimen,
due to the effects of stress concentration. The stress concen-
and
tration can arise from any sharp change in the cross-section or
a is the increase in stress amplitude per cycle.
other geometrical discontinuities such as fillets, notches,
Since re and a are constants, holes, screw threads and keyways, etc. and also from surface
roughness and structural irregularities such as inclusions,
dra blowholes or porosity and decarburization. Since stress
) dn ¼ ð8:31Þ
a concentration is an important factor responsible for the
Let us further assume that the S–N curve is of hyperbolic majority of fatigue failures, it should be kept to a minimum
form, which is mathematically represented by (8.11) level as far as possible. Most of the parts require some change
according to Weibull, i.e. in the cross-section, but careful design can minimize or avoid
stress concentrations. For example, if a sharp corner is used at
k a change in section, the stress concentration developed will be
ðra & re Þm N ¼ k; or; N¼ ð8:32Þ
ð ra & r e Þ m the maximum, as indicated by the crowding of the elastic
lines of force at the sharp corner in Fig. 8.21a, but the stress
Substitution of the values of dn from (8.31) and N from
concentration will be reduced to a smaller level if a filet is
(8.32) into (8.29) gives
introduced as shown in Fig. 8.21b. The higher the radius of
ZrR the fillet, the lower is the stress concentration. If grooves or
ðra & re Þm dra holes are introduced in the vicinity of the fillet, they will help
¼1 ð8:33Þ
ka to distribute the stress more evenly, as indicated by the elastic
re
8.9 Stress Concentration Effect
(a) (b)
Elastic lines of force
Fig. 8.21 Methods of reducing stress concentrations at a change in
section. a Crowding of the elastic lines of force at the sharp corner
causing to develop stress concentration. b Reduction of stress
lines of force in Fig. 8.21c, d, and thus cause further reduction
in the stress concentration.
As a first approximation, the severity of a particular stress
concentration might be quantitatively evaluated by using
theoretical or elastic stress concentration factor, Kt , which
is defined as the ratio of the maximum stress at the tip of the
discontinuity to the applied nominal stress, usually com-
puted using the minimum cross-section. The stress concen-
tration factor has been discussed in Sect. 9.3 of Chap. 9.
Assuming elastic behaviour, the fatigue strength, r0n , at
N cycles or the fatigue limit, r0e , for a component having
geometrical discontinuity, would be expected to reduce by a
factor equal to Kt , developed due to that discontinuity. If rn
is the fatigue strength at N cycles or re is the fatigue limit
determined from the S–N diagram for a component free from
geometrical discontinuity, then for purely elastic situation:
rn re
r0n ¼ or r0e ¼ ð8:36aÞ
Kt Kt
For example, for an infinitely wide plate having a small
circular hole, Kt ¼ 3, according to (9.11), and if the fatigue
limit of this plate in smooth, i.e. hole-free condition is
450 MPa, then the fatigue limit of this plate in the presence of
this above circular hole would be ð450=3Þ MPa ¼ 70 MPa.
In reality, the decrease in the fatigue strength at N cycles or
the fatigue limit is less than that predicted by the magnitude
of Kt , because localized yielding at the root of the disconti-
nuity occurs in fatigue. Yielding blunts the tip of the dis-
continuity and increases the root radius and reduces the notch
root stress. Due to this, stress concentrations are reduced
somewhat from their elastic values. The actual effectiveness
of the stress concentration in reducing the fatigue limit or
fatigue strength is expressed by the fatigue strength reduction
factor, Kf , also known as fatigue notch factor. This factor is
defined as the ratio of the fatigue strength at a specified
339
(c) (d)
concentration by introducing a filet. Placement of grooves (c) or holes
(d) in the vicinity of the fillet distributes the elastic lines of force more
evenly, causing further reduction in the stress concentration
number of cycles, say N cycles, rn , or the fatigue limit, re , of
a member with no stress concentration to the fatigue strength
at N cycles, r0n , or the fatigue limit, r0e , of the same member
with the specified stress concentration, i.e.
rn re
Kf ¼ or ð8:36bÞ
r0n r0e
The value of r0n or r0e is generally determined by testing a
specimen containing usually a ‘V’-notch or a circular notch
with a purely alternating stress cycle, because Kf has been
defined assuming a completely reversed stress cycle, in
which the mean stress rm ¼ 0. In other types of fatigue
loading, no standard definition for Kf has been framed.
When rm 6¼ 0, for design purposes in ductile materials, the
factor Kf should be applied only to the stress amplitude
component and not to the mean stress component, whereas
for brittle materials, Kf should also be applied to the mean
stress component. Note that the value of experimentally
determined Kf is usually less than that of Kt . Variables that
are found to affect the values of Kf and notched fatigue
strength are:
• Type, strength and previous treatment of the material;
• Geometry of the discontinuity, i.e. size, shape, type and
severity (root radius) of the discontinuity;
• The type of loading;
• The magnitude of cyclic stress;
• The number of cycles endured.
So, while giving a value for Kf , all these variables should
be mentioned.
Figure 8.22 shows schematically the variation of Kf and
Kt with notch root radius, qt , which is a measure of the
severity of the discontinuity. When the value of qt is very
large, both Kf and Kt are quite low and approach the value of
340
Stress concentration factor, Kt
Kf and Kt (same scale)
Fatigue notch factor, Kf
1.0
0
Notch tip radius, ρt
Fig. 8.22 Schematic variation of fatigue strength reduction factor, Kf ,
and elastic stress concentration factor, Kt , with notch root radius, qt
one, where the notch effect tends to disappear. As the value
of qt decreases that means as the severity or the sharpness of
the notch increases, Kt continuously increases, and when
qt ! 0; Kt reaches a large value. On the other hand, with
decreasing qt ; Kf increases more slowly than Kt until it
attains a maximum value at certain low radius and thereafter
decreases and reaches the value of 1 at qt ¼ 0. The critical
notch radius for maximum Kf is probably related to the grain
size of the material, but the exact value of critical radius and
the exact variations of Kf at smaller radii are not fully
known. Therefore, notches with smaller radii, i.e. very sharp
notches, should not be assumed to be safe in fatigue. At low
values of notch radius, it has been noted in some cases that
the value of Kt is as high as two or three times that of Kf . It
indicates that as Kt increases, susceptibility to fatigue dam-
age, measured by Kf , becomes less severe, i.e. the ratio of
Kf =Kt decreases. It is expected that with increasing Kt ,
fatigue cracks would initiate more readily but might not
always grow to cause fracture. Hence, ‘non-propagating
cracks’ found at stress concentrations beyond some critical
value may be the reason for the above discrepancies between
Kt and Kf .
The effect of stress concentration in fatigue can be con-
veniently studied by fatigue notch sensitivity index, q, which
is defined as
Kf & 1
q¼ ð8:37aÞ
Kt & 1
where 0 + q + 1. Equation (8.37a) represents the ratio of
effectiveness of notch in fatigue to that in a purely elastic
situation. From (8.37a), we see that if Kf ¼ 1, i.e. the notch is
8 Fatigue
fully ineffective and does not cause any reduction in the
fatigue strength, then the notch sensitivity, q ¼ 0, while if
Kf ¼ Kt , i.e. the notch exerts its full theoretical effect, then the
notch sensitivity, q ¼ 1. From (8.37a), the fatigue notch factor
can be described in terms of the material notch sensitivity as:
Kf ¼ 1 þ qðKt & 1Þ ð8:37bÞ
where usually 1 + Kf + Kt . However, q for a given material
is found to vary with the type and root radius ðqt Þ or severity
of notch, the type of loading and the specimen size, and so it
is not a true material constant. The variation of fatigue notch
sensitivity index, q, with the notch root radius, qt , for
materials of different tensile strength, Su , is illustrated
schematically in Fig. 8.23. All curves in Fig. 8.23 start from
the origin, i.e. at qt ¼ 0; q ¼ 0, because at qt ¼ 0; Kf ¼ 1.
The notch sensitivity, q, increases markedly with increasing
qt and approaches unity for large values of qt , as Kf is
almost equal to Kt . From Fig. 8.23, it is further seen that the
notch sensitivity, q, increases with increasing tensile
strength, Su . Since materials of high strength normally pos-
sess a little intrinsic plastic deformation capacity, so the
capacity for notch-tip blunting to increase the notch-tip
radius and thereby to reduce the stress concentration effect is
limited for high-strength materials. Hence, increasing tensile
strength or hardness of a material can lower its fatigue
performance in certain circumstances.
An empirical expression for Kf in terms of qt developed
by Neuber (1946) is:
Kt & 1
Kf ¼ 1 þ pffiffiffiffiffiffiffiffiffiffiffiffi ð8:38aÞ
1 þ q0N =qt
where
qt contour radius at the tip of the notch,
q0N a material constant representing characteristic length,
known as Neuber constant. Its value varies not only
with the type of material but also with its tensile
strength, Su , and heat treatment. The unit of q0N is the
same as that of qt .
Combining (8.37a) and (8.38a), an equation for q relating
with qt can be obtained as follows:
Kf & 1 1
q¼ ¼ pffiffiffi0ffiffiffiffiffiffiffiffiffi ð8:38bÞ
Kt & 1 1 þ qN =qt
It has been found that the value of q0N increases as the
type of material is changed from a stronger and harder
material like steel to a softer and ductile material like alu-
minium alloy. Further, for the same material, the value of q0N
is found to increase with decreasing the strength level, for
example, an aluminium alloy with tensile strength Su ¼
600 MPa has a value of Neuber constant, q0N ¼ 0:4 mm,
8.9 Stress Concentration Effect
Fig. 8.23 Schematic variation of
fatigue notch sensitivity index, q,
with notch root radius, qt , for
materials of different tensile
strength, Su
Notch-sensitivity index, q
while that with Su ¼ 150 MPa has q0N ¼ 2 mm. For large
notches with large values of qt ; Kf approaches Kt , as seen
from (8.38a) and the value of q is almost equal to one, as
seen from (8.38b). For sharp notches with small values of
qt ; Kf , Kt (8.38a) and the value of q is very low (8.38b)
for soft ductile metals with high values of q0N , although for
stronger metals having low values of q0N , both Kf and q are
higher. In general, hard metals are usually more notch sen-
sitive than softer metals.
A somewhat similar empirical formula relating q with qt
developed by Peterson (1974) is:
1 Kf & 1
q¼ ¼ ð8:39Þ
1 þ ðq0P =qt Þ Kt & 1
where q0P is another material characteristic length and will be
designated as Peterson constant. For aluminium alloys, q0P is
estimated to be 0.635 mm, whereas an empirical relationship
between the tensile strength Su and q0P is found to exist for
steels as follows (Web Site 1):
$ %1:8
2070
q0P ¼ 0:0254
Su
where the unit of Su is MPa and that of q0P is mm.
The fatigue strength r0n or the fatigue limit r0e of the
notched component can be determined from (8.36b) by
taking the unnotched fatigue strength rn or the unnotched
fatigue limit re from S–N diagram, provided Kf is known for
the given conditions. Finally, a suitable factor of safety is
applied to r0n or r0e to determine the design stress. In the
absence of data, the semilogarithmic plot for S–N curve of
the notched material may approximately be made by draw-
ing a straight line from the ultimate tensile strength at a life
341
1.0
Su
1
Su
2
Su3
Tensile strength, Su > Su > Su
1 2 3
0
0
Notch root radius, ρt
of one cycle to the unnotched endurance limit re divided by
Kf at 107 cycles for ferrous metals or at 108 cycles for
non-ferrous metals.
8.10 Size Effect
It has been found in most cases that fatigue strengths of
small-diameter specimens tested in the laboratory usually
show greater values than those of large-diameter parts used
in service. The phenomenon of the size dependency of the
test results is called the size effect, and it is one of the most
important problems encountered in fatigue applications.
Since the size of the test bar controls the fatigue strength, it
would be erroneous to predict the fatigue performance of
large-diameter parts in service from the laboratory test
results on small-diameter specimens. Large parts in service
often fail due to stress concentrations. Fatigue strengths of
service parts of large diameter are difficult to determine
precisely from geometrically similar laboratory specimens of
large diameter because it is usually impossible to duplicate
ð8:40Þ the same stress concentration, residual stress and metallur-
gical structure throughout the cross-section of prepared
laboratory specimens as those present in service parts. Fur-
ther, the usual capacities of fatigue testing machines are
limited for conducting experiments with large-diameter
specimens.
When the diameter of a fatigue specimen is increased,
there is an increase in the volume or surface area of the
specimen. Since the weak points that cause fatigue failures
are usually at the surface, some investigator assumes that the
increase in surface area is responsible for the decrease in
fatigue strength or fatigue limit for larger sized parts.
342
Further, more important is that for smooth or notched
specimens loaded in bending or torsion or for axially loaded
notched specimens, an increase in diameter usually decrea-
ses the stress gradient and increases the volume of material
which is subjected to high stress levels. It has been strongly
confirmed that the size effect is related to the stress gradient
existing in the specimen.
When either smooth or notched specimens are subjected
to bending or torsion, it is more commonly observed that
fatigue strengths and fatigue limits decrease with increasing
diameter of the specimens. This size effect is also observed
when notched specimens are subjected to axial tension–
compression loading, but no size effect is noted in axial
loading of smooth specimens (Phillips and Heywood 1951).
In the above all cases, where a size effect is noted, a stress
gradient exists in the specimen. Let us compare the case of
bending and axial loading of unnotched specimen of same
cross-section. In bending, the smaller the diameter of the test
piece, the higher is the stress gradient and the smaller is the
volume of material enduring high stress levels. Conversely,
no stress gradient exists in axially loaded smooth specimen
and the entire cross-section. i.e. a larger volume of material
in the same size of specimen is subjected equally to high
stress levels. As a result, a higher value of fatigue strength is
observed in bending than in axial loading. From a statistical
point of view, the larger the highly stressed volume of
material, the greater is the probability of finding a weak point
or an imperfection that would cause failure at a lower stress.
Let us consider an estimation of the specimen size effect
in fatigue testing, as given by Findley (1972).
Large-diameter specimens having shallow stress gradients
show lower fatigue strengths. This fact leads us to assume
that fatigue crack will initiate when cyclic slip develops over
a certain critical depth from the outer surface of the speci-
men requiring a minimum value of stress, say r0 , then slip
can occur only in the outer fibres of the specimen, where the
applied stress, say r, is greater than the minimum stress r0 .
In bending, the applied stress, r, at the outer fibre of the
specimen of circular cross-section is [see (4.14)]:
MB r
r¼ ð8:41Þ
I
where
r flexural stress developed at the outer fibre of the
specimen,
MB bending moment applied to the specimen,
I moment of inertia of the cross-sectional area about its
neutral axis,
r distance from the neutral axis to the outermost fibre of
the specimen, i.e. radius of circular specimen.
8 Fatigue
Let us assume that the critical distance from the outer
surface of the specimen is Dr, where the flexural stress r
decreases to the minimum stress r0 , so that
MB
r0 ¼ ðr & DrÞ ð8:42Þ
I
Dividing (8.41) by (8.42), we get
r r 1 r0
¼ ¼ or r¼ ð8:43Þ
r0 r & Dr 1 & ðDr=rÞ 1 & ðDr=rÞ
In case of axially loaded smooth specimen, as the entire
cross-section is stressed equally, i.e. r ¼ r0 , so no size effect
is expected as seen from (8.43). However according to (8.43),
a size effect is expected to exist in small-sized specimens that
possess a large stress gradient, i.e. in smooth or notched small
specimens loaded in bending or torsion or in axially loaded
notched small specimens. In these cases, since r [ r0 , so the
fatigue strengths are greater. Finally, it is evident from (8.43)
that the size effect vanishes for large-sized specimens since
r - Dr, i.e. ðDr=rÞ is negligible, which makes r0 to approach
r. The existence of stress gradient seems to be more rational
criterion of size effect than the change in surface area due to
the change in diameter of specimen.
8.11 Surface Effects and Surface Treatments
Fatigue cracks almost always are nucleated at the surface of
a component. Some of the factors responsible for initiation
of most fatigue failure at the surface are:
• Surface is the source for the development of many stress
concentrations, such as surface scratches, machining
marks, dents and fillets, etc.
• The surface roughness caused by corrosive attack and
oxidation also acts as stress raiser.
• For bending and torsion types of loading, the maximum
stress develops at the surface.
• The formation of surface discontinuities, such as intru-
sions and extrusions, caused by cyclic slip leads to the
formation of actual fatigue cracks.
Since fatigue properties are very sensitive to surface
conditions, great changes in property are possible to achieve
by certain surface treatments that would locally modify the
surface of fatigue specimen or component. A number of
surface treatments that have been developed may be divided
into three broad categories:
• Mechanical treatments, such as shot peening, surface
cold rolling, grinding and polishing;
8.11 Surface Effects and Surface Treatments
• Thermal treatments, such as flame- and
induction-hardening heat treatments, heat softening and
thermal contraction techniques; and
• Surface coatings, such as case carburizing, nitriding and
electroplating.
Again, the surface treatments mainly produce changes in
the
• Stress concentrations at the surface or surface roughness;
• Tensile as well as fatigue strength of the surface metal;
• Residual stress condition of the surface.
The above changes coupled with the surface treatments
will now be discussed in the following sections.
8.11.1 Surface Roughness and Treatment
As the surface is a potential source of weakness, the con-
dition of surface is very important. A rough surface can act
as a strong stress raiser and reduce the fatigue strength by as
much as 15–20%. The type of surface preparation greatly
affects the fatigue life and fatigue strength of the member.
For example, the median fatigue life of a ground and pol-
ished specimen with a better surface finish may be around 9–
10 times greater than that of a lathe-formed specimen having
a poor surface finish. The surfaces of all fatigue specimens
and members must therefore be carefully prepared by slow
grinding and polishing operations which will eliminate
coarse scratches and damaged surfaces without introduction
of any new residual stresses. Specimens and members are
smoothly polished in such a way that the finely formed
scratches acting as stress raisers are oriented parallel with the
direction of the applied principal tensile stress. Because
specimens with such orientation of fine polishing scratches
show the best properties in fatigue test. Such carefully pol-
ished specimens are known as ‘par bars’, which are usually
used as fatigue test pieces in laboratory. The stress con-
centration produced by surface irregularities or roughness is
relaxed by plastic flow which can be carried out by cold
working the specimen.
8.11.2 Surface Properties and Treatment
Fatigue strength of a material is normally dependent on its
tensile strength, i.e. higher the tensile strength, higher is the
fatigue strength. Hence, anything that increases or decreases
the tensile strength of the surface material will also,
respectively, increase or decrease the fatigue strength at the
surface. Since fatigue failure depends so much on the surface
343
condition that any changes in the fatigue strength of the
surface material will greatly alter the fatigue performance of
the material.
Case hardening by either carburizing or nitriding of steel
parts considerably improves their fatigue strengths due to the
formation of harder and stronger surfaces. Steel parts to be
carburized are usually heated at 850–950 °C for about
8–15 h in a carbonaceous atmosphere to form a harder
carbide-rich layer of about 0.8–2.5 mm deep from the sur-
face, while in nitriding, usually alloy steel parts are heated
between 500 and 650 °C for a period of about 10–40 h in an
anhydrous ammonia atmosphere where nitrogen reacts with
the nitride-forming elements within the alloy steel to form a
harder nitrided layer of about 0.5 mm deep from the surface.
In both cases, the tensile strength as well as the fatigue
strength increases within the carburized case and the nitrided
case. The extent of strengthening depends on the depth of
the case hardening and the diameter or thickness of the part.
Similar to carburizing and nitriding, flame- and
induction-hardening heat treatments of steel parts may also
improve their fatigue strengths. In these heat treatments, the
surface of steel parts is preferentially heated into the
austenite-phase region so that only thin layers at the surface
are transformed to homogeneous austenite phase and the
core regions remain untransformed. Thereafter, steel parts
are quenched rapidly from the austenite-phase field so that
austenite present at those thin surface layers is transformed
into hard, untempered martensite phase. Since the hardness
and tensile strength of this martensitic layer are increased
noticeably, the fatigue strength is also improved. To heat a
steel part, flame of oxy-hydrogen or oxy-acetylene torch is
usually used in flame hardening, whereas in induction
hardening, a high-frequency alternating current passing
through a water-cooled copper induction coil that surrounds
the part to be treated is generally used. The depth of the
hardened (martensitic) zone for a given steel part in flame
hardening depends on the flame intensity, heating time or
speed of flame travel and in induction hardening on the
frequency of alternating current.
Each of these above treatments—carburizing, nitriding,
flame hardening and induction hardening—not only
improves fatigue strength by forming higher strength mate-
rial on the surface but also develops a favourable compres-
sive residual stress in the hardened surface layer which is
beneficial to fatigue properties. The beneficial effect of
compressive residual stresses developed in surface layer has
been discussed in the next section.
One of the most widely used mechanical treatment for
improvement of fatigue properties involves the use of shot
peening. In this technique, fine steel or cast iron shots (balls)
ranging from about 0.18–4.45 mm in diameter are projected
against the surface to be treated at high velocities (perhaps
344
60–61 m s−1) (Sines and Waisman 1959). Another important
mechanical treatment used commercially is the cold rolling
of surface of parts with contoured rollers. The
above-mentioned both mechanical treatments cause some
increases in the tensile strength and also in the fatigue
strength of the material at and near the surface due to strain
hardening that results from plastic deformation of surface
materials during these processes. Particularly in low-strength
alloys having high work-hardening capacity, strain harden-
ing of surface materials contributes to a higher fatigue
strength associated with the higher tensile strength. The
aforementioned beneficial effect caused by either shot
peening or surface cold rolling is of secondary importance,
and the primary beneficial effect of either of these processes
is to develop favourable compressive residual stress in the
surface layer, which is discussed in the next section.
8.11.3 Surface Residual Stress and Treatment
The most effective manner of improving fatigue properties is
probably to produce a favourable compressive residual stress
pattern at the surface. Residual stresses can be considered as
locked-in stresses present in a component which experiences
no external force. Residual stresses arise when there are
non-uniform volume changes in the material from the sur-
face to the centre, which might occur due to thermal gradient
or non-uniform plastic deformation from the surface to the
centre, or due to localized-phase transformation, or any other
reasons. If the volume of the surface material is higher than
the rest of the material, then the surface materials tend to
stretch the interior materials having lower volumes and thus
induce tensile residual stresses in the inner regions, while the
inner regions produce compressive residual stresses in the
surface layers to balance the stresses over the cross-section
of the part. The higher volume in the surface material may
occur due to more thermal expansion at the surface having
higher temperature than the interior during rapid heating
particularly for thicker sections, or due to plastic deforma-
tion in tension at the surface (the centre is elastically
deformed), or due to some phase transformation only at the
surface, e.g. austenite to martensite transformation in steel
during rapid cooling. Similarly, if the volume of the surface
material is less than the rest of the material, then the surface
materials experience tensile residual stresses and the interior
materials compressive residual stresses. This may happen
due to more thermal contraction at the surface having lower
temperature than the interior during fast cooling particularly
for thicker sections, or due to plastic deformation in com-
pression at the surface (the centre is elastically deformed), or
due to some phase transformation only at the surface, e.g.
austenitization of plain carbon steel while heating it. Note
that when a compressive residual stress developed in the
8 Fatigue
surface layer is added to an externally applied tensile stress
on that surface, the surface of the part, from which most
fatigue cracks initiate, is subjected to a lower value of tensile
stress and thus the probability of fatigue failure at that sur-
face of the part is reduced. Hence, compressive residual
stresses existing in the surface layers of the part are con-
sidered to be beneficial for fatigue, while surface tensile
residual stresses are detrimental to fatigue performance.
Let us consider a beam whose surface has been treated
with shot peening and then subjected to bending fatigue. The
linear distribution of externally applied elastic bending
stresses in the beam without any residual stress is shown in
Fig. 8.24a. Figure 8.24b shows a typical distribution of only
residual stress pattern, as expected to be produced by shot
peening of the beam. The condition of the material at and
near the surface undergoes a number of changes by the
action of shot peening (Sherrett 1966). The foremost
important contribution of shot peening is the development of
a thin layer of compressive residual stress, whose depth of
penetration from the surface is about one-quarter to one-half
of the shot diameter. Since the shot peening increases the
volume of the surface layers by plastic deformation process,
the elastic materials surrounding the surface layers force the
permanently deformed peened regions back towards their
(a) σmax Tension
MB MB
Compression σmax
(b) σR
σR
(c) σmax + σR
MB MB
σmax + σR
Fig. 8.24 a Linear distribution of externally applied elastic bending
stresses in a beam without any residual stress. b A typical distribution
of only residual stress pattern, as expected to be produced by shot
peening of the beam. c Schematic distribution of stresses in the beam
due to algebraic summation of externally applied elastic bending
stresses and the residual stresses
8.11 Surface Effects and Surface Treatments
initial dimensions, and thus, compressive residual stresses
are induced in the peening regions which must be balanced
by tensile residual stresses over the interior of the
cross-section. The magnitude of the maximum compressive
residual stress can reach about one-half of the yield strength
of material depending on the hardness, type and diameter of
shot, velocity and pressure of shot stream, and duration of
the peening process. As a result, higher strength alloys are
benefitted more than the weaker ones by the peening pro-
cess. The distribution of stresses in the beam resulting from
algebraic summation of externally applied elastic bending
stresses and the residual stresses produced by shot peening
process is shown in Fig. 8.24c. Note that the maximum
tensile stress at the surface of the beam, which is the most
damaging part of the applied stress range, is reduced by an
amount equal to the magnitude of the surface compressive
residual stress. The peak tensile stress shifts to the boundary
between peened- and unpeened-region in the interior of the
beam. The value of this peak tensile stress depends on the
distribution of residual stress as well as on the applied stress
gradient. Hence, the fatigue crack initiation site shifts from
the surface of the beam to the region of the peak tensile
stress, i.e. peened–unpeened boundary region. Note that shot
peening process roughens the surface by producing small
‘dimples’, which would act as countless stress raisers and
have a harmful effect on fatigue life. So to be on the safe
side, the shot-peened surface of the component is carefully
polished to reduce surface roughness and to achieve addi-
tional improvement in fatigue properties. Shot peening is
particularly applied to mass-produced components of quite
small size. Shot peening can be used on almost any surface
except an inner surface and is therefore a versatile process.
The main contribution of shot peening and surface cold
rolling in the improvement of fatigue properties is to develop
a favourable compressive residual stress in the surface layer,
but the compressive residual stress produced by surface cold
rolling can penetrate deeper than that produced by shot
peening. Moreover, surface cold rolling does not roughen
the surface of the part. It is particularly applied to large parts
possessing surfaces of rotation, such as bearing surface of
railroad axles, threaded steel bolts and fillets of crankshafts.
Similar to shot peening, subsurface initiation of fatigue crack
is possible in a surface-rolled component. It is important to
note that excessive shot peening or surface rolling may
damage the surface and the improvement in fatigue prop-
erties may not result from these mechanical treatments.
Hence, it is required to establish the proper conditions of
producing the optimum distribution of residual stresses.
Introduction of carbon in carburizing, or nitrogen in ni-
triding, causes volumetric expansion in carbide-rich or
nitrided surface layers. The interior regions of carburized or
nitrided parts tend to resist this expansion and produce
favourable compressive residual stresses in the hardened
345
surface regions, which improve fatigue properties. Similarly,
in flame- and induction-hardening heat treatments of steel, or
when shallow-hardening steel is drastically quenched, the
austenite to martensite-phase transformation in the surface
layers of the treated part involves an expansion in volume.
The untransformed interior regions restrain this expansion
and develop favourable residual compressive stresses in the
hardened surface layers, which contribute to the improve-
ment in fatigue properties. Similar to shot peening, the
fatigue crack initiation site shifts from the surface of the
component to the case–core boundary region in carburizing,
nitriding, flame- and induction-hardening treatments,
because (1) the peak tensile stress is displaced to the case–
core boundary, and (2) the intrinsic strength of the core is
substantially lower than that associated with the case
material.
The role of compressive residual stress in improving
fatigue performance is more effective for cases where a high
stress gradient is present in a fatigue component than cases
where no stress gradient exists. A steep stress gradient exists
in smooth or notched fatigue components loaded in bending
or torsion or in axially loaded notched fatigue components.
So, these components undergoing any of the treatments,
such as carburizing, nitriding or shot peening, which pro-
duce surface residual compressive stresses show greater
improvement in fatigue properties than axially loaded
smooth fatigue components that have also undergone the
same treatment. However, thermal activation or plastic
deformation may change the residual stress distributions.
Application of high stresses in the low-cycle fatigue region
or periods of overloading in the fatigue cycle may cause
plastic deformation, which in turn leads to rapid fading of
residual stress. So, the influence of residual stresses on the
fatigue properties is little at high applied stress levels,
whereas surface compressive residual stress is highly bene-
ficial in the high-cycle portion of the fatigue life associated
with lower stress levels, particularly near the fatigue limit.
Other methods of introducing surface compressive
residual stresses include heat softening and thermal con-
traction techniques. Heat softening is applied to rubber tire
treads. When the tread is bent, tensile stress is developed at
its outer convex surface. Now, steam jets are applied to heat
the outer convex surface, as shown at B in Fig. 8.25. As the
surface is softened by heat, it flows and the tensile stress is
relieved. When the tread is released, the stresses in the inner
surface spring it back from the bent configuration to its
original size and shape, as shown at A in Fig. 8.25. The outer
surface of the rubber tire is now subjected to a favourable
compressive residual stresses, which make the rubber tire
less susceptible to fatigue. In thermal contraction technique,
the material is first heated to produce a uniform expansion
throughout its cross-section and then the surface is cooled
rapidly than the interior. The surface contracts and produces
346
A
Original unbent rubber tire treads
E cross-section, produces poor fatigue strength, because
A
T this treatment results in an unfavourable tensile residual
M
S
B
Tire treads subjected to
bending force
Fig. 8.25 Compressive residual stress developed by application of
heat softening on rubber tire treads (Courtesy Prof. K. Biswas, IIT
Kharagpur)
a compressive stress in the warm interior, which is softer and
thus easily yields to maintain equilibrium over the whole
cross-section. After the surface has cooled, the interior cools
and contracts. This contraction introduces a favourable
compressive residual stress in the surface. This technique is
used to form tempered glass.
8.11.4 Metallurgical Processes Detrimental
to Fatigue
There are some metallurgical processes that cause a large
decrease in fatigue properties. Some of these processes are:
• Application of a soft coating to a stronger metal or alloy,
because this reduces tensile as well as fatigue strength of
the surface material. For example, when a sheet made of
stronger age-hardenable aluminium alloy is coated with
soft aluminium, its fatigue strength is reduced.
• Decarburization of the surface of steel during a heat
treatment, which can seriously degrade hardness, tensile
strength and fatigue resistance of the steel. Decarbur-
ization causes loss of carbon from surface layers of steel
and thus results in a loss of the intrinsic alloy strength at
the surface since carbon is the main strengthening agent
in steel. Further, the higher carbon interior regions
restrain the volumetric contraction in carbon-depleted
surface layers and develop unfavourable tensile residual
stress field at the surface, which is detrimental to fatigue
performance.
8 Fatigue
• Electroplating of the surface of steel. Nickel and chro-
mium plating of steel produce surface tensile residual
stresses and impair the fatigue resistance of steel, while
softer cadmium, zinc, lead or tin plating has little effect
on the fatigue strength of steel.
• Quenching of deep-hardening steel, where the steel part
may be hardened up to its centre, i.e. the transformation
of austenite to martensite occurs throughout the
stress field at the surface, which may persist at
low-tempering temperatures.
• Decreasing the frequency of alternating current during
induction hardening of steel, which may lead to austen-
itization of the whole cross-section of the part instead of
only at the surface layers. Upon quenching, austenite to
martensite transformation occurs throughout the
cross-section, which produces unfavourable tensile
residual stress pattern at the surface and decreases the
fatigue strength.
• Inadequate quenching of steel, which produces local soft
spot having poorer fatigue strength.
• Excessive localized surface heating during severe
grinding of steel, which may result in reversion of the
steel to austenite, and upon quenching, this austenite
transforms into brittle martensite, which deteriorates
fatigue performance.
Hence, fatigue properties of steel may be improved
considerably, if a favourable compressive residual stress
field is introduced at the surface and decarburization of the
steel is avoided. In fact, Harris (1965) showed that when
threaded steel bolts were subjected to surface cold rolling
rather than cutting and decarburization of the steel was
prevented, the fatigue limit of the threaded steel bolts
increased by over 400%.
8.12 Effect of Metallurgical Variables
Some metallurgical factors that affect fatigue properties are
mechanical properties, microstructures and heat treatments.
An overview of these effects is presented in this section. The
effects of some metallurgical variables on fatigue behaviour
are usually measured by testing smooth-polished fatigue
specimens under conditions of purely alternating stress
cycles. Any changes in fatigue performance due to metal-
lurgical factors that are observed by the above test are usu-
ally assumed to take place to about the same extent under
more complicated fatigue conditions, such as notched
specimens loaded under conditions of combined stresses.
Fatigue limit or fatigue strength of a material is often
related to its tensile strength. The ratio of the fatigue limit (for
8.12 Effect of Metallurgical Variables
materials possessing a ‘knee’ in the S–N curve) or the fatigue
strength at 108 cycles (for materials showing a continually
decreasing S–N curve) to the tensile strength is called the
fatigue ratio. In general, the fatigue limit of cast and wrought
steels is estimated to be roughly 50% of the tensile strength of
the material, while the fatigue ratio for several non-ferrous
metals, such as copper, nickel and magnesium alloys, is
approximately 0.35. These approximate values of fatigue ratio
hold only for the restricted conditions where smooth-polished
specimens are tested under zero mean stress conditions at
room temperature. However, it has been found (Forrest 1962)
from rotating bending unnotched fatigue tests (with condi-
tions of zero mean stress) that the fatigue ratio for alloy and
carbon steels can vary between 0.35 and 0.60 and that for
wrought copper alloys can vary between 0.35 and 0.50. The
fatigue ratio for steel in notched conditions will be lower than
that in unnotched conditions and is considered to be around
0.20–0.30.
In general, finer the microstructure of a material, higher is
the strength or hardness and better is the fatigue resistance of
the material. So, normalized steel having fine pearlite gives
better fatigue resistance than the same steel showing coarse
pearlite structure obtained by annealing. By decreasing the
subcritical isothermal transformation temperature, the fatigue
limit of eutectoid steel was found (Gensamer et al. 1942) to
increase in the same manner as observed for its yield strength
and tensile strength. The effect of solid-solution alloying
additions on the tensile properties of iron (Epremian and
Nippes 1948) and aluminium (Riches et al. 1952) is nearly the
same as on their fatigue properties. The relation between the
fatigue limit and the tensile strength would encourage us to
use a material with as high a tensile strength as possible to
achieve the maximum resistance to fatigue, but the problem is
that the environmental sensitivity increases and the fracture
toughness decreases with increase in tensile strength. Note
that various strengthening mechanisms can increase yield
strength of a material but the fatigue limit of the material does
not increase proportionately with its yield strength.
The fatigue properties of metals are found to be more
structure sensitive than their tensile properties. To verify the
above, coarse pearlitic microstructure and spheroidized
microstructure (spheroidite) of the same tensile strength
(Dieter et al. 1955) were produced by heat treating plain
carbon eutectoid steel. When these two structural conditions
of steel having the same tensile strength were compared, the
fatigue limit of pearlitic microstructure was found to be
significantly lower than that of the spheroidized
microstructure due to the higher stress concentration effects
of long and sharp carbide lamellae in pearlite in comparison
to spheroidite consisting of small carbide spheroids with
large radius of curvature. Greater structure sensitivity of
fatigue properties is also seen from the fact that the fatigue
347
ratio for flake-graphite cast iron is 0.42, while that for
nodular cast iron is 0.48. The lower fatigue ratio in the
flake-graphite cast iron is due to the higher notch effects of
long and sharp graphite flakes. On the other hand, if relative
notch sensitivity between the flake-graphite cast iron and the
nodular cast iron is compared (Forrest 1962), the notch
sensitivity, q, associated with an external circumferential
V-notch in the flake-graphite cast iron is 0.06 and that in the
nodular cast iron is 0.25. The reason for the lower notch
sensitivity in the flake-graphite cast iron is that the addition
of an external notch to a large number of internal flaws
already present in the form of graphite flakes creating a
multitude of stress concentrations is less harmful than the
material having less or no internal stress concentrations
arising from structural discontinuity as in the nodular cast
iron. Inclusions present in a material may also have a
harmful effect on unnotched fatigue behaviour. Although
large inclusion contents in a material do not significantly
alter the tensile strength, they act as potential sites for
nucleation of fatigue crack and reduce the fatigue life. So,
the presence of inclusions in the microstructure is not
desirable. If inclusions can be eliminated or reduced by
carefully controlling melting practice, say by vacuum melt-
ing, not only the fatigue life will improve but also the extent
of scatter in the fatigue test results will be reduced. In fact, a
reduction in inclusion content is not only beneficial to fati-
gue performance but also to fracture toughness. On the other
hand, while comparing notched fatigue response between
material with high inclusion contents and material contain-
ing no or little inclusions, the notch sensitivity of the former
will be lower than the latter due to less increase in the stress
concentration effects in the former than in the latter.
It has been observed that the more difficult for disloca-
tions to cross slip the higher is the fatigue resistance. Dis-
locations can easily cross slip around obstacles in materials
with high stacking fault energy. This assists to develop
slip-band formation and thus the initiation and propagation
of fatigue cracks. The fatigue strength is high in materials
with low stacking fault energy because of the difficulty in
cross slip of dislocations.
Generally, room temperature fatigue strength of a mate-
rial increases with decreasing its grain size, because the grain
boundaries act as barriers to the propagation of a fatigue
crack. So, fine-grained inclusion-free alloys are usually
preferred for room temperature fatigue applications. But the
effect of grain size on fatigue life is found to depend on the
stacking fault energy, i.e. slip character of material
(Thompson and Backofen 1971). Tests were carried out at
constant-stress amplitude over a life range of 104–107 cycles
for various grain sizes of alpha brass, copper and aluminium.
The grain size effect was found to be the greatest in the low
stress, long-life region in which slip-band (Stage I) crack
348
growth predominates. Fatigue life was found to be propor-
tional to ðgrain diameterÞ &1=2
in alpha brass, a low stacking
fault energy material, in which cross-slip is difficult, whereas
fatigue lives were found to be insensitive to grain size in
copper and aluminium, materials with high stacking fault
energy in which cross-slip is easy. In high stacking fault
energy materials, easy cross-slip causes dislocation cell
structures to form readily. The cell structure masks the
influence of grain boundaries so that the slip-band crack
growth is not affected by change in grain sizes. On the other
hand, in a low stacking fault energy material, the dislocation
cell structure is absent and the crack growth is restrained
near grain boundaries. When the grain size is increased, the
frequency with which the crack meets grain boundaries
decreases. Consequently, Stage I crack growth occurs more
rapidly resulting in a decreased fatigue life with increasing
grain size.
Since tensile strength and hardness are related, the fatigue
limit in a number of steel may be estimated from the hard-
ness measurement, which requires relatively inexpensive
machine and relatively little skill and experience in com-
parison to use of other machines and procedures. It has been
shown (Metals Handbook 1961) that fatigue limit of several
quenched and tempered steels increases more or less linearly
with Rockwell C hardness up to a hardness level of about RC
40, which is equivalent to a tensile strength of about
1170 MPa. Above this hardness level, the determination of
fatigue limit from the hardness value becomes unreliable due
to considerable scatter in the test results. However,
depending on steel, the fatigue limit of quenched and tem-
pered steels increases with decreasing tempering temperature
up to hardness of RC 45 to RC 55, but at these high hardness
levels, the fatigue properties become extremely sensitive to
surface residual stress fields, inclusion contents and surface
preparation. In general, tempering of martensitic structure in
steel produces the optimum structure for fatigue, as it pro-
vides maximum homogeneity. But at a hardness level above
about RC 40, the fatigue limit of bainitic structure produced
by austempering is superior to that of the tempered
martensitic structure with the same hardness (Borik and
Chapman 1961). The low fatigue limit observed in quenched
and tempered steel is due to the stress concentration effects
of needle-like or rod-shaped thin cementite plates that are
formed by replacing epsilon carbide during the tempering of
martensite usually occurring in the temperature range
between 200 and 400 °C.
Below a hardness level of about RC 40, the fatigue limits
of quenched and tempered low-alloy steels of different
chemical composition are nearly the same when the steels
are tempered to the same hardness level. In case of wrought
products, this generalization holds good for fatigue limits
determined in the longitudinal direction. However, it has
8 Fatigue
been found experimentally (Ransom and Mehl 1952) that the
fatigue limit determined in the transverse direction of steel
forgings may be only 60–70% of that in the longitudinal
direction. It has been confirmed (Ransom 1954b) that
non-metallic inclusions initiate almost all fatigue failures in
specimens tested in the transverse direction. During work-
ing, inclusions are elongated in the longitudinal direction. In
a transverse specimen, since the elongated inclusion stringer
is aligned normal to the applied principal tensile stress, it can
produce quite high stress concentration and thus results in a
low transverse fatigue limit in steels containing inclusion.
When vacuum melting process is used to eliminate almost all
inclusions, the transverse fatigue limit is increased consid-
erably, but anisotropy of the fatigue limit still persists indi-
cating that factors other than inclusions may also be
responsible for the decreased transverse fatigue limit in
steels.
8.13 Frequency of Stress Cycling
Fatigue tests can be performed by applying loading cycles at
a great variety of frequencies. Obviously, fatigue tests at
high frequencies of stress cycling are desirable to obtain test
data as quickly as possible. In general, as the frequency of
stress cycling is increased, the fatigue strength or fatigue life
increases, probably because of the enhanced strain rate
associated with more rapid rate of cycling. For frequency of
stress cycling over a range from about 10–200 Hz, the
increase in fatigue strength is negligibly small at normal
temperatures except for mild steel. However, in materials
with high internal friction or under stresses large enough to
produce plastic strains, considerable heating can occur at the
high frequencies. Then drastic changes in the fatigue
strength may occur with variations in the frequency of stress
cycling.
At high temperatures, the variation of fatigue strength
with the frequency of stress application becomes much more
pronounced. For example, at a temperature of 650 °C, the
fatigue strength of structural steel may be doubled when the
frequency of stress cycling is increased from 3 to 42 Hz. In
normal fatigue tests, the reporting data consist of applied
stress and number of cycles to failure, but in fatigue tests at
high temperatures, the additional information that is to be
included in the report is the total time to failure.
Coffin (1971), Solomon and Coffin (1973) have analysed
the effect of frequency of stress cycling on low-cycle fatigue
life at constant elevated temperature. The frequency depen-
dence of high-temperature fatigue life is illustrated
schematically in Fig. 8.26, drawn on a log-log plot of cycles
to failure versus frequency of cycling. At higher frequencies
of cycling, say m . me in Fig. 8.26, the fatigue life is
8.13 Frequency of Stress Cycling
Temperature = constant
Cycles to failure, N, (log scale)
Vacuum
Air
vm
Frequency of cycling, v, (log scale)
Fig. 8.26 Frequency dependence of high-temperature fatigue life at
constant temperature shown schematically in a plot of cycles to failure
against frequency of cycling on log–log scale
independent of frequency and exhibits the maximum
because air environment does not get sufficient time to
interact and to cause fatigue damage. In such situation, the
mode of fracture is the usual transcrystalline fatigue failure.
In the intermediate range of frequencies, say mm + m\me in
Fig. 8.26, the fatigue life in vacuum is independent of fre-
quency and maintains the maximum, but that in air decreases
with decreasing frequency of cycling because air environ-
ment is capable of causing local grain-boundary oxidation
that can assist significantly to initiate fatigue cracks. In this
region, as the frequency of stress cycling is decreased, the
mechanism of fatigue fracture in air-tested specimens
changes from transcrystalline to intercrystalline. At lower
frequencies, say m\mm in Fig. 8.26, the increased fatigue
damage due to pronounced interaction with the atmosphere
causes the fatigue life to decrease at a faster rate with
decreasing frequency of cycling, although the fatigue lives in
vacuum-tested specimens will be higher than those in
air-tested specimens and the mode of fatigue fracture in both
cases may be intercrystalline.
8.14 Temperature Effect
8.14.1 Low Temperature
As the temperature is decreased below room temperature, the
S–N curve of metals shifts to higher stress levels but its shape
does not alter (Allen and Forrest 1956). This means that the
fatigue strength of metals increases with decreasing temper-
ature below room temperature. At low temperatures, the
fatigue notch sensitivity of steel has been found to increase
349
but no sudden change in fatigue properties has been indicated
at temperatures below the ductile-to-brittle transition tem-
perature. The fatigue behaviour of several FCC metals has
been thoroughly investigated over the temperature range of
293–4.2 K (McCammon and Rosenberg 1957). Test shows
that the fatigue ratio (ratio of fatigue strength to UTS) drops
between 293 and 100 K and then rises again when the tem-
perature drops below 100 K. Hence, the increase of fatigue
strength becomes proportionately greater than that of tensile
strength with decreasing temperature to a very low value.
This indicates that the mechanism of fatigue failure at room
temperature involves vacancy formation and condensation
and the mechanism may change at very low temperatures.
ve
8.14.2 High Temperature
As the temperature is increased above room temperature, the
fatigue strength of metals generally decreases. A diagram of
plastic strain amplitude, Dep =2, versus number of cycles to
failure, N, at a constant frequency of cycling in air, showing
the effect of temperature on fatigue life, is schematically
presented in Fig. 8.27. The effect of frequency of cycling on
fatigue at a constant high temperature has already been
discussed in Sect. 8.13. Figure 8.27 shows that except at
very high strain amplitude that corresponds to low number
of cycles to failure, fatigue life of a material generally
decreases with increasing temperature when frequency of
cycling is constant. Mild steel is an exception, where a
maximum in the fatigue limit is exhibited in the temperature
Frequency of cycling, v = constant
Plastic strain amplitude, ∆εp/2
Low temperature
High temperature
Number of cycles to failure, N
Fig. 8.27 Schematic graph of plastic strain amplitude, Dep =2, against
number of cycles to failure, N, at a constant frequency of cycling in air,
showing the effect of temperature on fatigue life
350
range of around 230–350 °C (503–623 K). A maximum in
the rate of strain ageing in this temperature region is the
cause for the existence of a maximum in the tensile strength
as well as in the fatigue strength of mild steel. In this tem-
perature range, the pinning of dislocations by solute atmo-
sphere, such as carbon and nitrogen atoms, would be the
greatest, whereas at lower temperatures, dislocations would
be free of solute atoms and precipitate. At higher tempera-
tures, the increased diffusivity of carbon and nitrogen atoms
would lead to a greater mobility of dislocations.
Ferrous materials which normally exhibit a well-defined
fatigue limit during testing at room temperature reveal no
fatigue limit when tests are carried out at temperatures above
about 700 K (! 430 °C). Elevated temperatures cause the
fatigue notch sensitivity of material to decrease. The high
local strain rate at the root of the notch results in a more
pronounced strengthening effect at high temperatures.
At high temperatures, creep deformation will become
important, and at temperatures greater than about half of the
melting point in Kelvin, failure occurs mainly due to
creep. At any given high temperature, the amount of creep
which increases with increasing the static component of the
cyclic stress will be added to the effect of fatigue. During
fatigue at elevated temperature, dislocations not only glide
but also climb and form well-defined subgrains as observed
under creep conditions. Grain boundaries also play an
important role in deformation and fracture at high tempera-
tures. At high temperatures and low stress levels, cavities
form preferentially where intense slip bands meet grain
boundaries, and at moderate temperatures and high stress
levels, grain-boundary sliding leads to triple-point cracking
in a manner similar to that occurring in creep. Hence, with
increasing temperature, there will be transition in the mode
of failure from the usual transgranular fatigue failure to the
intergranular creep failure. At elevated temperature, local
grain-boundary oxidation can assist significantly to initiate
cracks (Wells 1979). In general, the fatigue strength of a
material at high temperatures will increase with increasing
its creep strength and vice versa. Microstructures that give
better room temperature fatigue properties may not result in
better creep or stress-rupture properties. For example,
resistance to creep deformation in coarse-grained materials is
more than that in fine-grained materials, while fine grain size
results in a better fatigue strength at room temperature.
Hence, at temperatures where creep predominates, a material
must possess coarse grain size because it provides higher
creep strength and the corresponding better high-temperature
fatigue strength. Treatments which are beneficial to fatigue
at room temperature may not be useful in high-temperature
fatigue. For example, surface compressive residual stresses
may not be effective in reducing fatigue failure at high
temperatures because they may be annealed out with
increasing temperature.
8 Fatigue
8.14.3 Thermal Fatigue
Fatigue failure at high temperature may not only occur under
the stresses originating from mechanical sources but also
from thermal sources. In the absence of mechanical stresses,
fluctuating thermal stresses alone can produce fatigue fail-
ure. If thermal stress of a lower magnitude is repeatedly
applied to cause failure, it is called thermal fatigue. If metals,
such as uranium, having high anisotropic coefficient of
thermal expansion fail under repeated heating and cooling
conditions, it will also be called thermal fatigue. However, if
a single application of thermal stress causes failure, it is
called thermal shock. Thermal stresses develop when the
dimensional changes in a body resulting from a change in
temperature is hindered by some sort of restriction. For
example, if a member having fixed end supports is subjected
to a temperature change of DT, then the thermal strain, e,
developed in the member is e ¼ aDT, and if we assume
linear elasticity, the thermal stress, rT , developed in the
member will be
rT ¼ Ee ¼ EaDT ð8:44Þ
where
E modulus of elasticity and
a linear coefficient of thermal expansion.
High-temperature equipments often undergo failure due
to thermal fatigue. The susceptibility to thermal fatigue
failure seems to be associated with the parameter ðr !n k=EaÞ,
where r!n is the fatigue strength for N number of cycles at the
mean temperature and k is the thermal conductivity of the
material. Higher the value of this parameter, the better is the
resistance to thermal fatigue and vice versa. Austenitic
stainless steel has a low thermal conductivity, k, and a high
linear coefficient of thermal expansion, a, so a low value of
the above parameter makes austenitic stainless steel partic-
ularly sensitive to the thermal fatigue phenomenon. Failure
due to thermal fatigue in this material has been covered
extensively in literature (Coffin 1954).
8.15 Chemical Effects
The simultaneous application of cyclic stress and a corrosive
medium is generally referred to as corrosion fatigue
(McEvily and Staehle 1972; Duquette 1979). The effect of
corrosion fatigue is more disastrous than the individual
effects of cyclic stress and corrosive medium. Chemical
attack without fatigue loading often develops pits on the
metal surfaces, which act as notches during subsequent
fatigue loading, and fatigue strength is reduced due to notch
effects. However, reduction in the fatigue properties
8.15 Chemical Effects
resulting from corrosion fatigue is much greater than that
produced by corrosive attack on the surface followed by
fatigue loading, because the rate of propagation of fatigue
cracks is greatly accelerated by the corrosive attack during
corrosion fatigue. Materials which exhibit a well-defined
fatigue limit during testing in air at normal temperature
reveal no fatigue limit when tested in a corrosive medium.
The effect of loading cycles within a frequency range from
about 10–200 Hz on normal fatigue tests in air at room
temperature is negligible. Whereas when tests are carried out
in a corrosive atmosphere at room temperature, the fatigue
strength increases with increasing frequency of stress
cycling (testing speed) because of the lesser fatigue damage
due to corrosion, since corrosive attack is a time-dependent
phenomenon.
There may be two ways to carry-out the corrosion-fatigue
tests. The usual method of testing is to subject the specimen
continuously to the joint action of chemical attack and
fatigue loading until the specimen fractures. Tests of the
second type are carried out in two stages. In the first stage,
the testing is carried out under the combined action of cor-
rosive attack and cyclic stress up to a certain period without
causing failure, and then, the first-stage test is terminated. In
the second stage, the specimen of first-stage test is subjected
to fatigue loading in air until it fractures. Since the normal
fatigue life of the specimen in air can be obtained from its
S–N curve, the reduction in fatigue life in corrosive atmo-
sphere produced by the first-stage test can be evaluated.
Tests of the second type have contributed to establish the
mechanism of corrosion fatigue (Evans and Simnad 1947).
In corrosion fatigue, the cyclic stress causes localized split-
ting of the surface oxide film and also tends to uproot or
remove any corrosion products whose presence might
otherwise suppress the corrosive attack. Hence, the number
of small pits produced by corrosion fatigue at the surface is
much more than that produced by only corrosive environ-
ment in the absence of fatigue loading. As the tips of the pits
are more anodic than the material beneath them, so corrosion
advances inward from the surface, which is assisted by the
splitting of oxide film due to the action of cyclic stress.
When the sharpness of the pits increases to a high level,
cracking will take place due to the effects of high stress
concentration produced by sharp pits.
The influence of corrosion fatigue has been observed in
fatigue tests performed even in air at room temperature. It
was demonstrated by Haigh and Jones (1930) that coating
the surface with oil to exclude air could produce a tenfold
increase in the fatigue life of lead. Gough and Sopwith
(1935) showed that endurance limits of copper and brass
were higher when tested in vacuum than in air. The bene-
ficial effect of excluding oxygen was also shown by subse-
quent work (Thompson et al. 1956) on copper tested in air
and vacuum. The test showed that the fatigue strength at any
351
specific number of stress cycle or fatigue life at any stress
level was lower in air than in vacuum. It was found that the
rate of crack initiation in air was the same as that in vacuum
but the rate of crack propagation was rapid in air than in
vacuum. It was concluded that oxygen was absorbed on the
crack surfaces, which possibly lowered the surface energy.
Thus, the test confirmed that the fatigue life could be
increased by preventing access of oxygen to the surface.
A separate test showed that the water vapour acted as a
catalyst for reduction of the fatigue strength in air. This
indicates that the relative humidity in the atmosphere may
affect the fatigue properties of materials during testing.
However, some media are more powerful than others in
reducing fatigue properties. For example, the effect of sea
water on the S–N curve of different materials including steel
and light alloys is very large.
To minimize damage due to corrosion fatigue, corrosion
resistance materials rather than materials with higher con-
ventional fatigue strengths are generally selected for appli-
cations. For example, stainless steel, beryllium copper or
bronze having better corrosion resistance property would
probably perform better in service than heat-treated steel
with higher fatigue strength. Materials with higher conven-
tional fatigue strengths can be used if they are protected from
contact with corrosive media by providing fully effective
corrosion resistant metallic or non-metallic coatings, which
must not rupture under the action of cyclic stress. For
example, steel with cadmium or zinc coatings or alclad
aluminium alloys having aluminium coatings can be used
successfully in many corrosion-fatigue applications,
although these coatings may reduce the fatigue strength
when tested in air. The formation of surface compressive
residual stresses tends to close down small pits or minute
crack and restrict easy access to the corrosive medium.
Hence, nitriding is particularly useful to resist corrosion
fatigue and shot peening has been successfully employed
under certain conditions. In closed systems, a corrosion
inhibiter may be added for reduction of the corrosive attack.
At last, it is very important to eliminate stress raisers by
careful design when considering corrosion fatigue.
Fretting is a phenomenon of surface damage related to
wear and corrosion fatigue. It occurs between two surfaces
in contact which undergo slight periodic movement with
respect to each other. The difference between fretting and
wear is that the relative speed of movement of the two
surfaces is much lower in fretting than is usually experienced
in wear. Fretting often occurs on the surface of a shaft with a
press-fitted hub or bearing. A combination of mechanical
and chemical effects causes fretting. Fretting arises from the
removal of metal from the surfaces either by a grinding
action or by alternate welding and tearing away of the
asperities. The removed fragmented particles are usually
associated with oxides and other corrosion products. They
352 8 Fatigue

act as abrasive powder to continue the damaging process. Dr

Finally, fatigue cracks often initiate in the damaged regions. De ¼ ðXD þ BYÞ þ DB ¼ Dee þ Dep ¼ þ Dep ð8:45Þ
E
Although surface-oxidation is not essential for fretting to
occur, the severity of fatigue damage increases many times where
when oxidation takes place. Dee elastic strain range ¼ XD þ BY,
Fretting would not take place if all relative motion could Dep plastic strain range, which is equal to the width of the
be eliminated. Increasing the force normal to the surface to loop at its centre = DB and
stop the relative motion completely increases the fatigue E Young’s modulus.
damage, and so, this method of preventing fretting is not
satisfactory. In many cases, fretting can be eliminated by It is important to note that fatigue damage will occur only
reducing the coefficient of friction between the mating parts when cyclic plastic strains are generated. When nominal
by means of adequate lubrication. The lubricating film must applied stresses are below the yield strength of material,
be maintained for a long period of time and solid lubricants which is usually the case in stress-controlled or high-cycle
such as MoS have been applied successfully. The other fatigue, remember that stress concentrations in such cases
approaches to reduce fretting are the reduction of surface locally raise the applied stresses above the yield strength and
welding and the elimination of oxidizing or corrosive associated strains into the plastic range.
atmosphere from the two surfaces that are in contact with Since plastic deformation is not completely reversible,
each other. structural modifications occurring during cyclic straining
under strain-controlled and cyclic stressing under
stress-controlled conditions can result in changes in the
8.16 Cyclic Strain-Controlled Fatigue shape of the hysteresis loop. It is seen that, in both cases, the
stress–strain behaviour of material changes with continued
Cyclic strain-controlled fatigue occurs when the strain cycling until cyclic stability is reached. Depending on the
amplitude, consisting of some plastic strain component, is initial condition, a metal may undergo cyclic strain harden-
kept constant during fatigue cycles. Strain-controlled cyclic ing, cyclic strain softening, or remain cyclically stable.
loading is observed in reversed bending between fixed dis- Depending on the test conditions and the initial condition of
placements or in thermal cycling, where fluctuations in the
operating temperature cause a component to expand and
contract. Strain-controlled conditions also result where +σ
localized plastic strains are generated at a notch by sub-
∆ε
jecting a notched material to either cyclic stress or
A' A
strain-controlled mode of loading. This plasticity near the
root of notch experiences strain-controlled conditions due to
the constraining effect of the much larger surrounding mass
of essentially elastically deformed material.
σe = ∆σ/2
Figure 8.28 illustrates a stress–strain hysteresis loop ∆σ/2E
under controlled constant-strain cycling in material under-
going elastic and plastic deformation. During initial tensile
loading from point O to A, the stress–strain curve of the –ε
X D O B Y
+ε
material is OA. On unloading to zero stress, the elastic strain
is recovered and the unloading curve follows the path AB. ∆σ
∆σ/2E
When the material is loaded in compression, yielding begins
at a stress lower than that in prior tensile loading and the
compressive stress–strain curve is BC. Releasing the com-
pressive stress from C and reapplying tensile stress, the
stress–strain condition returns to point A along the curve C'
C&D&A. Thus, a hysteresis loop is developed, whose width C
represents the total strain range, De ¼ XY, and height rep- ∆εp ∆εe = ∆σ/E
–σ
resents the stress range, Dr ¼ A0 C 0 . The hysteresis loop
width will depend on the level of cyclic strain, and the area Fig. 8.28 Stress–strain hysteresis loop under controlled
included within the loop is equal to work done or the energy constant-strain cycling in material undergoing elastic and plastic
loss per cycle. The total strain range, De, is given by deformation
8.16 Cyclic Strain-Controlled Fatigue 353

the material, it is not unusual to find all three behaviours in a (a) 1 3 5

εa
given material.

Strain, ε
Cyclic hardening and cyclic softening for 0 Time
stress-controlled and strain-controlled conditions are shown,
respectively, in Figs. 8.29 and 8.30. For the case of – εa
stress-controlled condition, where a stress range between A0 2 4
and C 0 , with reference to Fig. 8.28, is used to conduct the
fatigue test, the plastic strain range which is the width DB of 5
3
the hysteresis loop at its centre shrinks during cyclic hard- (b) 1
ening and expands when cyclic softening occurs. The con- +

Stress, σ
dition arising from cyclic softening under stress control is 0 Time
particularly severe because a continually increasing strain –
range produced by the constant-stress range leads to an early
2
fracture. For the case of strain-controlled condition, where 4
fatigue test is performed within a strain range limits of X and
(c) + 1
Y (see Fig. 8.28), the hysteresis loop expands above A and 3
below C during cyclic hardening and contracts below A and 5
above C during cyclic softening. The changes in the shape of

Stress, σ
0 Time
the hysteresis loop with successive cycles for cyclic strain
hardening and softening under strain-controlled test condi-
tions are illustrated schematically in Fig. 8.31. Under 4
strain-controlled conditions, cyclic hardening leads to an
– 2

increasing peak stress with the number of cycles causing an

Fig. 8.30 Behaviour of cycle-dependent material in a strain-controlled
increase in the area of the hysteresis loop, while cyclic fatigue. a Control condition, where controlled function is strain.
softening results in a decreasing stress level with increasing b Cyclic hardening, where dependent variable is stress. c Cyclic
cycles making the loop smaller. In our discussion, a softening, where dependent variable is stress

(a) symmetrical loading with zero mean stress is assumed. If the

1 3 5
σa mean stress would not be zero during a cyclic strain
Stress, σ

experiment, then as a result of each cycle the specimen

0 Time
would be found to accumulate strains, called ‘cyclic strain-
– σa induced creep’. Due to this, the specimen would be either
2 4 elongated or shortened depending on the sense of the applied
mean stress.
(b) + 1
Generally, the hysteresis loops stabilize after cycling for
3
5 often less than 100 cycles, and the stress amplitude arrives at
a constant value for the imposed strain limits. The stress–
Strain, ε

0 Time strain curve obtained after cyclic stabilization may then be

quite different from that obtained on monotonic static load-
4 ing. The cyclic stress–strain curve is usually constructed by
2
– fitting a curve through the tips of stabilized hysteresis loops
5 from constant-strain amplitude fatigue tests of specimens
3
(c) subjected to various cycles of strain amplitudes. Such a
1
+
cyclic stress–strain curve for a material that cyclically
Strain, ε

0 Time hardens is shown in Fig. 8.32, which also includes mono-

– tonic stress–strain curve for comparison purpose. Under
conditions where hysteresis loops are not stabilized, the
2
4 minimum stress amplitude for softening or the maximum
stress amplitude for hardening is used to determine the cyclic
Fig. 8.29 Behaviour of cycle-dependent material in a stress-controlled stress–strain curve.
fatigue. a Control condition, where controlled function is stress.
In direct analogy with the Hollomon parabolic true-
b Cyclic hardening, where dependent variable is strain. c Cyclic
softening, where dependent variable is strain stress–true-strain relation given by r ¼ K en [see (1.90a)],
354 8 Fatigue

Fig. 8.31 Schematically

(a) (b)
showing the changes in the shape 5
of the hysteresis loop with 1

Stress, σ

Stress, σ
successive cycles under 3
strain-controlled test conditions 3
for materials that a Cyclically 1
strain harden and b Cyclically 5
strain soften

Strain, ε Strain, ε

4
2
2

4
Stress, σ

For most metals, n0 ranges from 0.1 to 0.2. From (8.46), it

is seen that if log Dr versus log Dep is plotted, the cyclic
Cyclic σ – ε curve stress–strain curve can be represented by a single straight
line, but since there may be an appreciable change in the
cyclic deformation response with strain amplitude, it is not
Monotonic unusual to get a slope in the long-life fatigue region different
σ – ε curve from that in the short one. Combining (8.45) and (8.46), we
get the following form of the equation for the cyclic stress–
strain curve:
Strain, ε $ %1=n0
De Dr Dep Dr Dr
¼ þ ¼ þ ð8:47Þ
2 2E 2 2E 2K 0
Several attempts have been made to determine which
materials will cyclically harden and which will soften. It has
been observed (Smith et al. 1963; Manson and Hirschberg
1964) that when Su =½S0 )e0 ¼0:002 [ 1:4, the material is
expected to harden cyclically, but when Su =½S0 )e0 ¼0:002 \1:2,
Fig. 8.32 Schematic curves of monotonic and cyclic stress–strain for cyclic softening is expected to occur, where ½S0 )e0 ¼0:002 and
a material that cyclically hardens. Points on cyclic stress–strain curve Su are, respectively, 0.2% offset yield strength and ultimate
represent tips of stabilized hysteresis loops obtained from tensile strength of material obtained on monotonic static
constant-strain-amplitude fatigue tests of specimens subjected to
various cycles of strain amplitudes
loading. For ratios ½S0 )e0 ¼0:002 to Su between 1.2 and 1.4, a
large change in hardness is not expected. Also, if n [ 0:15,
the material is likely to undergo cyclic hardening, and if
it is possible to mathematically describe the cyclically sta- n\0:15, cyclic softening is likely to occur, where n is the
bilized stress–strain curve by the following power relation: monotonic strain-hardening exponent. Therefore, initially
$ %n0 soft and low-strength materials will generally undergo
Dr 0 Dep cyclic strain hardening and initially hard and strong mate-
¼K ð8:46Þ
2 2 rials will undergo cyclic strain softening.
where The reason for softening or hardening is related to the
dislocation microstructure of the material. For an initially soft
Dr=2 stress amplitude; material, the dislocation density is low initially, but the plastic
K0 cyclic strength coefficient; strain cycling increases the dislocation density rapidly that
Dep =2 plastic strain amplitude; and contributes to significant strain hardening of the material.
n0 cyclic strain-hardening exponent. When a material is initially hard (for example, a highly
8.16 Cyclic Strain-Controlled Fatigue
work-hardened metal having high initial dislocation density),
subsequent cyclic strain causes dislocations to rearrange into
a new configuration that reduces the stress required for plastic
deformation to occur leading to strain softening of the
material. The processes connected with cyclic strain softening
were referred to as the Bauschinger effect (Koo et al. 1967)
(see Sect. 2.5 in Chap. 2) in earlier literature. The cyclic
strain softening tendency, i.e. the Bauschinger effect, exhib-
ited by cold-worked metals is applied for benefit in certain
metal-forming operations. For example, when a
strain-hardened work-piece is passed through roller-leveller
(see Sect. 12.3.2 in Chap. 12), it bends alternatively in
upward and downward directions and experiences alternating
tensile and compressive stresses that induce cyclic strain
softening and improve the ductility of material.
The extent and rate at which softening or hardening
occurs during cyclic straining or stressing depend on several
factors, out of which the most important one is the material’s
stacking fault energy (SFE) that strongly affects the mobility
of dislocations. Recall from Chap. 1 that in materials with
high SFE, cross-slip is easier leading to greater dislocation
mobility, whereas when SFE is low, cross-slip is restricted.
As a result, the extent of cyclic hardening or softening will
be more in materials having higher SFE than lower SFE.
Further, the rate of hardening or softening will be slower in
low SFE materials than in high SFE ones. For example, in a
relatively high SFE metal, initially soft (annealed) specimens
(a)
Monotonic – cold worked
Cyclic
Stress
Monotonic – annealed
Plastic strain amplitude, ∆εp /2
Fig. 8.33 Comparison of monotonic and cyclic stress–strain curves
(schematic) for a high stacking fault energy (SFE) material and b low
SFE material, in two different initial states. The cyclic stress–strain
behaviour of high SFE material in the stabilized condition is
355
cyclically strain harden and initially hard (cold worked)
specimens cyclically strain soften likewise, to such a degree
that the two cyclically stabilized stress–strain curves con-
verge regardless of the initial condition of the material, as
shown in Fig. 8.33a (Feltner and Laird 1967). This material
is said to be ‘history-independent’ in a cyclic stress or strain
environment, because the cyclic stress–strain behaviour of
this material in the stabilized condition is independent of
prior strain history. The dislocation structure developed in a
history-independent material is also independent of initial
strength and initial dislocation structure of the material. On
the other hand, a low SFE material is ‘history-dependent’ in
a cyclic stress or strain environment, and its behaviour is
shown in Fig. 8.33b (Feltner and Laird 1967). In common
with ‘history-independent’ materials, an initially hard
material of this type usually cyclically softens and an ini-
tially soft one cyclically hardens. In contrast to ‘history-
independent’ materials, however, the two ‘final’ cyclically
stabilized stress–strain curves obtained from an initially hard
and an initially soft condition do not converge, and an ini-
tially hard material always remains harder than an initially
soft one. Hence, the ‘final’ cyclically stabilized stress–strain
behaviour of this material is dependent on prior strain his-
tory. Clearly, the restricted cross-slip in a low SFE material
will prevent to develop a common cyclical dislocation
structure from an initially hard and an initially soft condition,
respectively.
(b)
Monotonic – cold worked
Cyclic – cold worked
Cyclic – annealed
Stress
Monotonic – annealed
Plastic strain amplitude, ∆εp /2
independent of prior strain history (i.e. independent of whether it is
initially in annealed or cold-worked condition), whereas cyclical
behaviour of low SFE material is history-dependent (Feltner and Laird
1967)
356 8 Fatigue

Fig. 8.34 Schematic

representation of low-cycle 1 Fatigue ductility coefficient, ε′f ≈ εf

Plastic strain amplitude, ∆εp / 2 (log scale)

fatigue test results by plotting the
plastic strain amplitude, Dep =2,
against the number of strain
reversals to failure, 2N, on log-log 10–1
∆εp
coordinates = ε′f (2 N)c
2

10–2
Fatigue ductility exponent,
c = slope of this line
10–3

10–4
1 101 102 103 104 105 106
Number of strain reversals to failure, 2N (log scale)

8.16.1 Low-Cycle Fatigue Dep

¼ e0f ð2NÞc ð8:48Þ
2
During high-cycle fatigue, where the number of cycles to
failure is very large, usually more than 104 cycles, the where
applied stress at the macroscopic level is such that the Dep plastic strain range and
material grossly undergoes only elastic deformation, Dep =2 plastic strain amplitude.
although fatigue damage involves generation of plastic 2N total number of strain reversals necessary to cause
deformation at the microscopic level, irrespective of the fatigue failure; note that two strain reversals make
natures of macroscopic strain. Conversely, in the low-cycle one strain cycle, i.e. N = number of strain cycles to
fatigue range, the material is typically subjected to plastic failure.
strain at microscopic as well as macroscopic level, and e0f fatigue ductility coefficient, defined by the strain
failure occurs at relatively high stress and low number of intercept at one strain reversal, i.e. at 2N ¼ 1. For
cycles to failure, usually less than 103 cycles. Hence, many metals, e0f can be approximately equated to
application of cyclic plastic strain amplitude is responsible the true fracture strain ef .
for low-cycle fatigue failure. Low-cycle fatigue conditions c fatigue ductility exponent, a material property
are often produced in places where thermal expansion or which varies from −0.5 to −0.7.
contraction of material creates repeated thermal stresses. In
this case, cyclic strain rather than cyclic stress causes fatigue Since the relationship given by (8.48) was first discovered
to occur. Examples of low-cycle fatigue failure include by Coffin (1954) and Manson (1954), it is usually referred to
steam turbines, nuclear pressure vessels and various types of as the Coffin–Manson relation. Fatigue life is expected to
power machinery. increase with an increasing fatigue ductility coefficient e0f
The results of low-cycle fatigue test are usually presented and a decreasing fatigue ductility exponent c. Morrow
by plotting the plastic strain amplitude, Dep =2, against the (1965) has shown that c ¼ &½1=ð1 þ 5n0 Þ), from which it can
number of strain reversals to failure, 2N, on log-log coor- be said that a material with a higher value of cyclic
dinates. The plot of results will be linear as shown in strain-hardening exponent n0 will result in an increased
Fig. 8.34. In comparison to the S–N diagram shown in fatigue life.
Fig. 8.9 displaying test results of stress-controlled or
high-cycle fatigue, one noticeable difference is that the
plastic strain amplitude Dep =2 rather than the stress S is 8.16.2 Strain–Life Equation and Curve
plotted logarithmically rather than linearly in this figure
displaying strain-controlled or low-cycle fatigue test results. Let us now consider how the life of a component or a
An empirical relationship between Dep =2 and 2N for specimen experiencing strain-controlled loading is affected
low-cycle fatigue is best described by Coffin–Manson rela- by cyclically stabilized properties of material. The relation-
tion (Tavernelli and Coffin 1959; Manson and Hirschberg ship between plastic strain amplitude and fatigue life has
1964): been described by (8.48) in the region of low-cycle
8.16 Cyclic Strain-Controlled Fatigue
high-strain fatigue. For the region of high-cycle low-strain
fatigue, where the gross strain at the macroscopic level is
elastic, the stress amplitude and the elastic strain range are
correlated to the number of stress cycles necessary to cause
fatigue fracture through the following equation:
Dr Dee
ra ¼ ¼ E ¼ r0f ð2NÞb ð8:49Þ
2 2
where
ra stress amplitude in an alternating stress cycle and
Dr stress range.
Dee elastic strain range and
Dee =2 elastic strain amplitude.
E Young’s modulus.
N number of stress cycles necessary to cause fatigue
fracture.
2N number of stress reversals necessary to cause
fatigue failure.
r0f fatigue strength coefficient, defined by the stress
intercept at one stress reversal, i.e. at 2N ¼ 1. r0f
can be approximately equated to the uniaxial true
fracture stress rf .
b fatigue strength exponent, which varies from −0.05
to −0.12 for most metals.
Fatigue life is expected to improve with an increasing
fatigue strength coefficient r0f and a decreasing fatigue
strength exponent b. Morrow (1965) has shown that
b ¼ &½n0 =ð1 þ 5n0 Þ), from which it can be said that a
material with a lower value of cyclic strain-hardening
exponent n0 will result in a longer fatigue life for fatigue
controlled by (8.49).
Since the relationship between the strain amplitude and
the number of cycles to failure at the ‘extremes’ of fatigue
behaviour, i.e. in the regions of low-cycle and high-cycle
fatigue, is represented by (8.48) and (8.49), respectively, an
equation for the total strain amplitude over the entire range
of fatigue lives can be obtained by combining those (8.48)
and (8.49). Since from (8.45),
De Dee Dep
¼ þ
2 2 2 ∆εp
De r0f
) ¼ ð2NÞb þ e0f ð2NÞc ð8:50Þ
2 E
The relationship given by (8.50) is schematically plotted
in Fig. 8.35, which shows that the total fatigue strain–life
curve approaches towards the plastic strain–life curve at
large total strain amplitudes and the elastic strain–life curve
at low total strain amplitudes. Figure 8.36 (Landgraf 1970)
shows a comparison of total fatigue strain–life plots for
strong, tough and ductile materials. Strong but not ductile
357
materials give the best performance for high-cycle low-strain
fatigue applications, because nucleation of fatigue cracks is
more difficult in strong materials and absorbs much of
high-cycle fatigue life. On the other hand, ductile but not
strong materials give the best performance for low-cycle
high-strain fatigue applications, because propagation of
cracks is more difficult in ductile materials and most of the
low-cycle fatigue life is occupied by Stage II crack growth.
A tough material having both reasonable strength and duc-
tility is a good compromise when resistance to both
high-cycle and low-cycle fatigue is necessary. The value of
fatigue life, Nt , at which the transition from high cyclic strain
condition to low one occurs, can be obtained from Dee ¼
Dep as follows:
r0f e0f E
ð2Nt Þb ¼ e0f ð2Nt Þc ; or; ð2Nt Þb&c ¼
E r0f
!1=ðb&cÞ
e0f E
) 2Nt ¼ ð8:51Þ
r0f
This transition typically takes place at around 103 cycles
(2 ' 103 reversals), i.e. at Nt ffi 103 cycles, which corre-
sponds to a total strain range of about 0.01 (Landgraf 1970).
ε′f
Slope = –c
Strain amplitude, ∆ε/2 (log scale)
Elastic
σ′f ∆εe ∆εp
+
E ∆εe 2 2
2
Slope = –b
2 Plastic
1 2Nt ! 2 × 103
Stress or strain reversals to failure, 2N (log scale)
Fig. 8.35 Fatigue strain–life curve (schematic) approaching towards
the plastic strain–life curve at large total strain amplitudes and the
elastic strain–life curve at low total strain amplitudes. At low N values
where De ffi Dep , the logarithmic slope is –c and the intercept of the
plastic line is e0f . At high N values where De ffi Dee , the logarithmic
slope is −b (with b < c) and the intercept of the extrapolated elastic
portion of the curve is r0f =E
358 8 Fatigue

Fig. 8.36 Schematic plots

showing comparison of total
fatigue strain–life for strong,
tough and ductile materials
(Landgraf 1970)

∆ε
log
2

∆ε ~ 0.01
Strong

Tough
2Nt ! 2 × 103
Ductile

log 2N

Further, n0 and K 0 , which are defined in (8.46), can be conditions at the same time. This needs to be discussed
correlated with the coefficient and exponent parameters of elaborately because several high-temperature structures, such
(8.48) and (8.49) by substituting the expression for Dr=2 as turbine blades and materials operating in nuclear reactors,
from (8.49) and the expression for Dep =2 from (8.48) into are subjected to fatigue environments and the elevated tem-
(8.46) as follows: perature damage of material is due to an interaction between
h in0 & 'n0 0 both creep and fatigue processes. Creep enhanced by the
r0f ð2NÞb ¼ K 0 e0f ð2NÞc ¼ K 0 e0f ð2NÞcn : fatigue environment or vice versa depends on several factors,
such as cyclic stress/strain amplitude, applied frequency of
& 'n0 0 loading, temperature. The deformation may be considered as
) r0f ¼ K 0 e0f ; and ð2NÞb ¼ ð2NÞcn or
creep accelerated by fatigue, and fracture surfaces exhibit a
b ¼ cn0 ; tendency towards intergranular fracture when
Hence,
• Cyclic stress/strain amplitude is small compared to the
0
n ¼ b=c ð8:52aÞ mean stress/strain, or
• Operating temperature is high or/and applied cyclic fre-
And quency is low.
& 'n0 & 'b=c
K 0 ¼ r0f = e0f ¼ r0f = e0f ð8:52bÞ On the other hand, the deformation may be considered as
fatigue accelerated by creep and fracture surfaces are man-
Equation (8.49) is applicable when the mean stress is ifested by fatigue striations and regions of transgranular
zero, i.e. for purely alternating stress cycle. But when the fracture when
mean stress is present, i.e. is not zero, then (8.49) is cor-
rected by introducing the mean stress term in it: • Cyclic stress/strain amplitude is large compared to the
& ' mean stress/strain, or
ra ¼ r0f & rm ð2NÞb ð8:53Þ • Operating temperature is low or/and applied cyclic fre-
quency is high.
However, after a little number of cycles in
strain-controlled fatigue tests, there will be usually relax- Out of several empirical creep–fatigue correlations so far
ation of mean stresses (Lorenzo and Laird 1984). developed, the important approaches suggested for design
under conditions of creep–fatigue interaction are as follows:

8.17 Creep–Fatigue Interaction (1) Cumulative Damage Rule

In Sect. 8.14.2, it has already been mentioned that a member In this approach, the damage due to fatigue and creep is
subjected to fatigue loading at elevated temperature also considered separately. These independent damages are then
undergoes creep deformation under cyclic stress/strain added to develop the fracture criterion. To account for
8.17 Creep–Fatigue Interaction 359

fatigue damage, Palmgren–Miner cumulative damage rule,

given by (8.25), is considered. One such cumulative damage
rule for creep was proposed by Robinson in 1952 (Courtney 1
Cyclically work-
1990). This rule estimates the time required for creep frac- hardening materials
ture under varying stress conditions. If the time spent at one
stress rl is tl and the fracture time at that stress is ðtf Þl , then

Li
creep fracture will occur when

ne
ar
m
l¼m $ % l=m

od
X t t
∑

el
¼1 ð8:54Þ tf
l
l¼1
tf l
l=1

An estimate for creep–fatigue interaction can be obtained

by adding these fatigue and creep life fraction laws given,
respectively, by (8.25) and (8.54). Hence, the fracture cri-
terion is expressed as:
j¼k & '
X l¼m $ %
X j=1
n t
þ ¼1 ð8:55Þ
j¼1
N j
l¼1
tf l Fig. 8.37 Combined effects of fatigue and creep showing three types
where
n number of fatigue cycles applied at stress/strain
amplitude condition j;
N number of fatigue cycles to failure at stress/strain
amplitude condition j;
t time spent under the applied creep load condition l;
ðtf Þl time needed for creep fracture at the applied creep
load condition l.
A plot of the combined effects of fatigue and creep
showing three types of interaction is shown in Fig. 8.37. If
(8.55) is obeyed, creep–fatigue interaction will be plotted as
a straight line labelled ‘linear model’ as shown in Fig. 8.37.
Other interactions are shown for cyclically softening and
hardening materials. Materials that cyclically soften have
lives less than that predicted by linear model (8.55), and
hence (8.55) is an ‘unsafe’ design criterion for them. On the
other hand, (8.55) is a conservative design rule for cyclically
hardening materials, because their lives are greater than that
predicted by linear model (8.55). The matter of interest is
that creep lives of cyclically hardening materials can be
benefitted by a minor fatigue interaction, which is evident
from Fig. 8.37 by the positive slope of the fracture criterion
P The area bounded by the straight line predicted by (8.56) and
for those materials at small values of j¼k j¼1 ðn=N Þj .
(2) Modification of Goodman Law
In this approach, it is assumed that at any given high tem-
perature, fatigue is caused by the stress amplitude, ra , and
the amount of creep increases with increasing the static
component, rm , of the cyclic stress. Then an approach
similar to the construction of Goodman line (see Sect. 8.7)
Cyclically work-
softening materials
0 j=k
n
1
∑ N j
of interaction. If the combined life fraction rule given by (8.55) is
obeyed, the interaction will be plotted as a straight line labelled ‘linear
model’. Cyclically softening materials have lives less than that
predicted by linear model (8.55) and lives of cyclically hardening
materials are greater than that predicted by linear model (8.55)
with some modification can be considered. The modification
will be to replace ultimate uniaxial tensile strength, Su , by
either creep strength, rcr , for a given allowable creep strain
or creep-rupture strength, rr , in the Goodman relation given
by (8.21). Thus, we get
Goodman (relation for creep-fatigue
) interaction:
rm ð8:56Þ
ra ¼ rn 1 &
rcr ðor; rr Þ
where
rcr creep strength for a given allowable creep strain and
rr creep-rupture strength;
rn limiting fatigue strength at some design designated
number of cycles.
Other terms are defined in connection with (8.21).
The plot of (8.56) is shown in Fig. 8.38. The relationship
given by (8.56) seems to be conservative design criterion.
the two axes is expected to be a safe region as far as creep–
fatigue interaction is concerned.
(3) Frequency-Modified Fatigue Relation
In Sect. 8.13, the effects of frequency of stress cycling and
environment on fatigue life at constant elevated temperature
have been discussed and illustrated in Fig. 8.26. It has been
seen that the effect of environment like air on
360 8 Fatigue

where k is an empirical constant that depends on temperature

and is also sensitive to environment. The value of k for a
Temperature = constant vacuum environment is taken as unity, i.e. fatigue life in
σn
vacuum becomes essentially independent of frequency while
Stress amplitude, σa, causing fatigue

in air, k is less than 1, usually about 0.8, and hence, the

σa σm
number of cycles to failure is reduced at lower frequencies.
+ =1 According to (8.58), a log-log plot of Dep versus Nmk&1 must
σn σcr (or, σr)
be a straight line at a given temperature in a given envi-
ronment, which is often to be the case for low-cycle elevated
temperature fatigue, as shown in Fig. 8.39. This figure
shows that for low-cycle fatigue, temperature has no or little
effect on fatigue life (see also Fig. 8.27), whereas when the
plastic strain range is low, the increase in temperature
reduces the fatigue life in the same environment.

(4) Strain-range Partitioning Method (Manson et al.

σcr or σr 1971a, b)
Mean stress component, σm, causing creep
Any purely alternating inelastic strain cycle can be disinte-
Fig. 8.38 Schematic diagram showing fatigue–creep interaction at a grated into four separate strain-range components, in which
constant temperature two kinds of deformation are taken into account. One is
time-dependent deformation or creep and the other is
time-independent plastic deformation. The former will be
high-temperature fatigue life is detrimental, the degree of designated by the subscript c and the latter by the subscript
which depends on the frequency, m, of the applied fatigue p. The strain-range components are:
cycle. Coffin (1974) introduced a term, known as
frequency-modified fatigue life, which is: • Purely alternating plastic deformation, Depp ;
• Plastic deformation in tension followed by creep in
Nmk&1 ð8:57Þ compression, Depc ;
• Creep in tension followed by plastic deformation in
Similar to Coffin–Manson relationship given by (8.48), compression, Decp ; and
an empirical relationship between frequency-modified fati- • Purely alternating creep, Decc .
gue life given by (8.57) and plastic strain range, Dep , has
been developed, which is: In the above notation, the type of deformation is desig-
! "&c nated by the two-letter subscripts, in which the first one
Dep Nmk&1 ¼ constant ð8:58Þ refers to the tensile portion and the second one to the

1 Temperature, T1 < T2 < T3;

Environment is same (air).

0.1
∆εp

0.01

T3 T2 T1
0.001
0.1 1 10 102 103 104 105
Frequency-modified fatigue life, N vk–1

Fig. 8.39 Schematic log–log plot of plastic strain range, Dep , versus frequency-modified fatigue life, Nmk&1 , for elevated temperature fatigue in a
given environment, showing the reduction in fatigue life with increasing temperature in the same environment when the plastic strain range is low
8.17 Creep–Fatigue Interaction 361

(a) σ (b) Depc . Hence the total inelastic strain range, Dei , is given by:
Dei ¼ Depp þ Decc þ Depc .
σ Each of the strain range components follows a Coffin–
Plastic Manson-type relation, and so, a straight-line relationship is
Creep obtained for each of them, when logarithmically plotted
against number of cycles to failure, N, as shown in Fig. 8.42.
Each of the strain range components constitutes a certain
ε ε
fraction of a given value of total inelastic strain range, Dei .
∆εpp ∆εcp These fractions are:

Depp Depc Decc Decp

Plastic Plastic Fpp ¼ ; Fpc ¼ ; Fcc ¼ ; Fcp ¼ :
Dei Dei Dei Dei
Hence, for the combined creep and fatigue strain cycle,
(c) (d) according to the creep–fatigue interaction damage rule the
σ predicted life, Npred , is given by
σ
Plastic 1 Fpp Fpc Fcc Fcp
¼ þ þ þ ð8:59Þ
Creep Npred Npp Npc Ncc Ncp

ε ε
8.18 Increasing Amplitude Tests
∆εpc ∆εcc
Testing procedures at increasing stress amplitudes are
Creep Creep
developed to save both specimens and time of testing. These
Fig. 8.40 Four kinds of separated strain-range cycles test methods are used for rapid estimation of the fatigue limit
of materials using a less number of specimens in comparison
to conventional means of testing. In increasing amplitude
compressive portion of the cycle. For example, all four kinds tests, each specimen is subjected to stress cycles at
of separated strain-range cycles are shown in Fig. 8.40. increasing levels of stress amplitude until fracture occurs.
Let us consider a purely alternating strain hysteresis cycle Hence, all specimens contribute to the test data and undergo
as shown in Fig. 8.41, in which plastic deformation and fracture. Since each specimen is subjected to stress cycles at
creep portions of the cycle are labelled. In this figure, the more than one stress level, the specimen may experience
total inelastic strain range in the tensile part of the cycle is
Dei ¼ AD, which is equal to the sum of a plastic strain AC
and a creep strain CD. Similarly, the addition of a plastic Stress
strain DB and a creep strain BA constitutes the inelastic Creep
strain range DA in the compression part of the cycle. Out of Plastic flow
the two plastic strain components AC and DB, the smaller
one is the purely alternating segment of plastic strain range,
Depp , i.e. Depp ¼ DB. Similarly, out of the two creep strain
components CD and BA, the smaller one is the purely
alternating segment of creep strain range, Decc , i.e.
Decc ¼ CD. For Fig. 8.41, AC þ CD ¼ DB þ BA, or Strain
A B C D
AC & DB ¼ BA & CD, i.e. the difference between the two
plastic strain components is equal to that between the two
creep strain components, and this difference is either Depc or
Decp . In any hysteresis cycle, only one and not both of Depc
and Decp will exist. If plastic strain component in the tensile
part is greater than that in the compressive part of the cycle,
Creep Plastic flow
Depc will exist, while for greater creep strain component in
the tensile part than in the compressive part of the cycle Decp Fig. 8.41 Purely alternating strain hysteresis cycle (schematic), in
will exist. In Fig. 8.41, the aforementioned difference is which plastic flow and creep portions of the cycle are labelled
362
Total inelastic strain range, ∆εi, (log scale)
∆εpp
∆εpc
∆εcc
∆εcp
Ncp Ncc Npc Npp
Number of cycles to failure, N, (log scale)
Fig. 8.42 Coffin–Manson-type straight-line relationship for each of
the strain range components
coaxing effects and cumulative fatigue damage. Since the
manner of loading in these tests is such as to cause coaxing
effects, these tests are usually restricted to materials which
are not sensitive to coaxing. The values of fatigue limit
produced by these tests may not be in agreement with those
obtained from testing at constant stress for materials which
are strengthened by coaxing at stresses below the fatigue
limit. Since cumulative fatigue damage theory is based on
the application of series of overstress cycles, it can be
assumed that no fatigue damage will take place until the
applied stress level reaches the fatigue limit. So, when
materials that possess definite fatigue limits are tested and
stress cycling is started at a stress lower than the fatigue
limit, cumulative fatigue damage is minimized. For materials
possessing no definite fatigue limits, these tests are occa-
sionally performed to determine long-life fatigue strengths
(ASTM STP 1958). There are mainly two types of test—one
is known as the step test and the other is the Prot test—
which have been discussed in the following sections.
8.18.1 Step Test
In step test, each specimen is subjected to purely alternating
stress cycles at a series of stress levels, in which each applied
level of stress amplitude is higher than the preceding one. In
the test, stress cycling is started at a stress level below the
fatigue limit, at about 70% of the expected fatigue limit. At
the starting stress, the specimen is subjected to a specified
large number of stress cycles, say N, which is usually taken
as 107 or 108 cycles. If the specimen remains unbroken, the
subsequent level of stress amplitude to be applied is
increased by a certain small amount and the specimen is
again subjected to the same number of stress cycles, N, at
8 Fatigue
this new stress level. If the specimen does not break, the
stress is again increased, and in this way, the testing con-
tinues with increasing stress level and maintaining the same
number of stress cycles, N, until the specimen fractures at
stress cycles + N. The fatigue strength of the specimen, for
N stress cycles, rn , is taken as the stress halfway between the
stress amplitude at fracture and the highest stress amplitude
of survival of specimen preceding the fracture stress.
The procedure of ‘step’ testing of a single specimen is
illustrated graphically in Fig. 8.43. Several specimens are
tested in the manner described above to yield several values
of rn . The median fatigue strength for N cycles can then be
obtained from these above results using statistical procedure.
The advantage of step test is that only a few specimens are
required for tests. Their disadvantage is that each specimen
is usually subjected to a specified large number of stress
cycles for several times. This process involves long time
which may make the test unpopular.
8.18.2 Prot Test
In Prot test, developed by Marcel Prot, the stress amplitude
is increased steadily rather than by steps, as used in the step
test. Prot test is faster than step test and thus, less time is
consumed in Prot test. Equation (8.34) developed from
cumulative fatigue damage theory discussed in the preceding
Sect. 8.8.2 is repeated below for convenience.
) rR ¼ re þ k0 ai ð8:34Þ
where k0 and i are unknown material constants; rR is the
rupture stress of test specimen, whose value will be available
from the test; a is the rate of increase of stress amplitude
whose value has to be fixed prior to the start of test; and re is
the fatigue limit of test material, which is to be determined
by the test. So, a and rR are the variables in the test. Several
Estimated fatigue
Failure strength of specimen
tested
Applied stress amplitude
×
Successfully
completed
consecutive
stress cycles
without break
Starting stress Stress increment
103 104 105 106 107 108
Number of stress cycles, N
Fig. 8.43 Schematic representation of ‘step’ testing of a single
specimen
8.18 Increasing Amplitude Tests
different values of each of these variables are required to
compute the fatigue limit of test material, re . So, a number
of specimens are tested at several different values of stress
amplitude increase per cycle. Since the data of all fatigue
tests shows considerable scatter, so it is recommended
(ASTM STP 1958) that a total of 20 specimens must be
tested using at least three rate of increase of stress ampli-
tude, i.e. 3 values of a, say a1 ; a2 ; and a3 .
Any standard fatigue testing machine, such as the R.R.
Moore rotating-beam fatigue testing machine, can be used
for the Prot test, if the deadweights used in this machine are
replaced with some arrangements to increase the load at a
prefixed constant rate. For example, the uniform increase in
the rate of loading can be obtained by replacing deadweights
with a container into which small metal balls or a stream of
water can be poured at a uniform rate.
According to the cumulative fatigue damage theory, an
initial stress amplitude equal in magnitude to the fatigue
limit, re , of the test material should be applied at start of the
test, but since re is not known, the standard procedure is to
apply the starting stress amplitude that equals to about
60–70% of expected value of re . Since it is assumed that the
material is not affected by the stress cycles that are applied at
stresses below the fatigue limit, so re taken as the lower limit
of the integral of (8.33) holds good.
From the experimental data, (8.34) could be easily solved
for re if the value of i was known. For simplicity, let us
consider Prot’s assumption that i ¼ 1=2, and Prot equation,
(8.35), as shown in the preceding Sect. 8.8.2, is repeated
below for convenience.
pffiffi
rR ¼ re þ k0 a ð8:35Þ
Equation (8.35) represents a straight line in a plot of rR
pffiffi
versus a. The intercept of this straight line on the rR -axis
gives the value of the fatigue limit re . The procedure of Prot
method is illustrated in Fig. 8.44. The initially applied stress
amplitude is increased at a constant rate per cycle for each
specimen until the specimen fractures. Let, the rates of
increase of stress amplitude are a1 ; a2 ; and a3 . For each of
the three rates of loading, several specimens are tested until
fracture occurs and the rupture stress for each specimen at
each rate of loading is noted. In Fig. 8.44, the arithmetic
average values of the observed rupture stresses obtained for
each of the three rates of loading have been plotted. Points
rR1 ; rR2 and rR3 , shown in Fig. 8.44, are the average rupture
stresses obtained, respectively, at loading rates of
a1 ; a2 ; and a3 . A straight line is fitted to these points. The
value of fatigue limit, re , is obtained by extrapolating this
pffiffi
straight line to a ¼ 0.
Since the experimental data are better accommodated by
the more general equation (8.34) than by the Prot equation
(8.35), it is better to analyse the experimental data by
363
(√α3, σR3)
Average rupture stress, σR
(√α1, σ R1)
(√α1, σR2)
σe (Endurance limit)
0
Rate of increase of stress amplitude,√α
Fig. 8.44 Prot method showing average rupture stresses,
rR1 ; rR2 ; and rR3 , at three rate of increase of stress amplitude,
a1 ; a2 ; and a3 , where the straight line averaging these three points is
pffiffi
extended to a ¼ 0 to determine the endurance limit, re
considering the value of i to be unknown, although the
solution of (8.34) then becomes more difficult. ASTM rec-
ommended a trial-and-error method to solve (8.34), which
can be written as
logðrR & re Þ ¼ log k0 þ i log a ð8:60Þ
Equation (8.60) shows that if logðrR & re Þ is plotted
against log a, a straight line should be obtained. Since the
slope, i, of this linear line is unknown, the procedure is to select
trial values of re and make a series of trial plots until such a
value of the fatigue limit, re , is selected that the resulting data
points lie on a straight line in the plot. As before, the arithmetic
average values of the observed rupture stresses, rR1 ; rR2 and
rR3 , obtained, respectively, at loading rates of a1 ; a2 ; and a3
are used. The first trial value selected for re should be close to
but slightly lower than the observed lowest average rupture
stress. Using this value of re ; ½log a1 ; logðrR1 & re Þ);,
½log a2 ; logðrR2 & re Þ) and ½log a3 ; logðrR3 & re Þ) are plotted,
respectively, as points A, B and C as in Fig. 8.45. The selected
value of re is substituted in (8.60) to yield three equations
corresponding to points A, B and C. The respective slopes i1 ; i2
and i3 of the lines AB, BC and CA are computed by solving
those three equations and then compared. If the maximum
difference between any two of the three slopes exceeds one or
two per cent, a new trial value of re must be selected and the
procedure is repeated. The selected value of re that causes the
slopes of the lines joining the data points not to differ by more
than one or two per cent from each other is considered as the
required fatigue limit.
The above test method for estimation of fatigue limit is
limited to materials that seem to possess a fatigue limit and
are not sensitive to coaxing. The rate of increase of stress
amplitude and the frequency of stress cycling must both be
364 8 Fatigue

Pmax 0:3
rmax ¼ ¼ MPa; and
A A
B
Pmin 0:1
rmin ¼ ¼& MPa:
A A
C The mean and alternating stresses of the stress cycle will
be, respectively:
log (σR – σe)

A
rmax þ rmin ð0:3=AÞ þ ð&0:1=AÞ 0:1
rm ¼ ¼ ¼ MPa; and
2 2 A
rmax & rmin ð0:3=AÞ & ð&0:1=AÞ 0:2
ra ¼ ¼ ¼ MPa:
2 2 A

The conservative design criterion is Goodman line given

by (8.21), which on substitution of the values of
log α ra ; r106 ; rm ; and Su gives
$ %
Fig. 8.45 Trial plot of logðrR & re Þ against log a, using a selected 0:2 0:1=A 0:1 1:3
trial value of re . Points A, B and C are average results of several tests ¼ 25 1 & ¼ 25 & ; or; ¼ 25;
A 150 6A 6A
conducted, respectively, at each of three rate of increase of stress
amplitude, a1 ; a2 ; and a3 . Since points A, B and C are not close to the
same straight line, a new trial value of re must be selected 1:3 pD2
)A¼ m2 ¼ 8:67 ' 10&3 m2 ¼ 8666:67 mm2 ¼ ;
6 ' 25 4

precisely controlled, because little variations in either may
produce significant scatter in the results. Several precautions
and limitations are specified by ASTM STP (1958).
8.19 Solved Problems
8.19.1. A metallic round bar of uniform cross-section is
subjected to a fluctuating tension–compression axial loading,
in which the load varies from a maximum of 300 kN in
tension to a minimum of 100 kN in compression. Consid-
ering a safety factor of 2, compute the bar diameter that
gives a fatigue life of 106 number of stress cycles based on
the conservative design criterion. The mechanical properties
of the material are:
UTS ¼ 150 MPa; Yield strength ¼ 100 MPa; and
where D is the required diameter of the bar.
rffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
4A 4 ' 8666:67
Hence, D ¼ ¼ mm ¼ 105 mm.
p p
8.19.2. A cantilever cylindrical metallic beam with length
150 mm and diameter 25 mm is subjected to a loading cycle
of PðNÞ ¼ P0 ½1 þ 2 sin 100t) at its free end, where t is the
time and P0 ¼ P at t ¼ 0. Determine the maximum per-
missible value of P and P0 so that the beam
(a) does not undergo yielding and
(b) has an infinite fatigue life on the basis of Gerber
parabola.
The mechanical properties of the metal are:
UTS = 450 MPa; Yield strength = 300 MPa; Fatigue
limit = 150 MPa.

Fatigue strength at 106 number of stress cycles ¼ 50 MPa Solution

Solution
Given that the maximum load is Pmax ¼ 0:3 MN, and the
minimum load is Pmin ¼ &0:1 MN. The UTS of the material
is Su ¼ 150 MPa, and the fatigue strength at 106 number of
stress cycles is rn ¼ r106 ¼ 50 MPa. Considering a safety
factor of 2, r106 ¼ 50=2 ¼ 25 MPa.
Let us assume the cross-sectional area of the round bar is
A m2 . So, the maximum and minimum stresses are,
respectively:
Given that the length of beam is L = 0.15 m, and the
diameter is D = 0.025 m. The fixed end of the cantilever
beam is subjected to a maximum bending moment, which is
MB ¼ PL ¼ P0 ½1 þ 2 sin 100t) ' 0:15 N m, if the units of
P and L are, respectively, N and m. The stress cycle acting
on the surface of the beam at the fixed end is obtained from
(4.14), which is: r ¼ MB =Z, where for a circular beam, the
section modulus is (4.16c):
pD3 pð0:025Þ3 3
Z¼ ¼ m :
32 32
8.19 Solved Problems 365

0:15P0 ½1 þ 2 sin 100t) ' 32 Or,

)r¼ 3
pð0:025Þ ! "
ðCP0 Þ2 þ 2:7 ' 109 CP0 & 2:025 ' 1017 ¼ 0:
¼ ð97784:797ÞP0 ½1 þ 2 sin 100t)
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ C * P0 ½1 þ 2 sin 100t) N=m2 ; &2:7 ' 109 0 ð2:7 ' 109 Þ2 &4ð&2:025 ' 1017 Þ
) CP0 ¼
2
where C ¼ 97784:797 m&2 , and P0 is in N.
¼ 73:025 ' 106 N=m2 ; ðneglecting negative valueÞ:
Since the maximum and minimum values of sin 100t are,
respectively, +1 and −1, therefore the maximum and mini- Hence,
mum values of stress in the stress cycle are, respectively:
1 73:025 ' 106
rmax ¼ CP0 ½1 þ 2) ¼ 3CP0 N=m ; and2 P0 ¼ ' 73:025 ' 106 ¼ N ¼ 746:79 N:
C 97784:797
rmin ¼ CP0 ½1 & 2) ¼ &CP0 N=m2 :
) Pmax ¼ 3P0 ¼ 3 ' 746:79 N ¼ 2240:37 N ¼ 2:24 kN:
Hence, the mean or static stress is:
8.19.3. The loading spectrum on a material at each stress level
rmax þ rmin 3C & C
rm ¼ ¼ P0 ¼ CP0 N=m2 : is defined by the number of cycles occurring in 105 number of
2 2 stress cycles, as tabulated below. The median fatigue life for
And the alternating stress or stress amplitude is: 50% survival at each stress is also provided in the table.
Determine the expected total median fatigue life of the
rmax & rmin 3C þ C material on the basis of the cumulative fatigue damage theory.
ra ¼ ¼ P0 ¼ 2CP0 N=m2 :
2 2
(a) If yielding is not allowed, then the Soderberg relation Stress Frequency of occurrence in 105 Median fatigue
(MPa) number of stress cycles life, N50, cycles
given by (8.24) is applicable. Given that the fatigue limit
65 0.4 ' 104 4.0 ' 104
is re ¼ 150 ' 106 N=m2 , and the yield strength is
S0 ¼ 300 ' 106 N=m2 . Hence, substituting the values of 60 1.6 ' 104 3.2 ' 105
4
ra ; re ; rm and S0 in (8.24), we get 55 3.0 ' 10 1.5 ' 106
$ % 50 5.0 ' 104 2.5 ' 107
6 CP0 CP0
2CP0 ¼ 150 ' 10 1 & 6
¼ 150 ' 106 & ;
300 ' 10 2
Solution
Or, Let N is the expected total median fatigue life of the material
on the basis of the cumulative fatigue damage theory. Sup-
CP0 ð2 þ 0:5Þ ¼ 150 ' 106 ;
pose, n1 ; n2 ; n3 and n4 are, respectively, the numbers of
stress cycles endured at stress levels of 65, 60, 55 and
1 150 ' 106 1 150 ' 106
) P0 ¼ ' ¼ ' N 50 MPa. These numbers of stress cycles can be obtained
C 2:5 97784:797 2:5
¼ 613:59 N: from the given data in terms of fraction of the total median
life N as follows:
Hence,
0:4 ' 104
Pmax ¼ 3P0 ¼ 3 ' 613:59 N ¼ 1840:77 N ¼ 1:84 kN: n1 ¼ N ¼ 0:04 N cycles;
105
1:6 ' 104
(b) Given that UTS, Su ¼ 450 ' 106 N=m2 . For infinite n2 ¼ N ¼ 0:16 N cycles;
fatigue life, considering Gerber parabola given by 105
3:0 ' 104
(8.23), we can write n3 ¼ N ¼ 0:3 N cycles;
105
" $ %2 #
CP0 5:0 ' 104
6
2CP0 ¼ 150 ' 10 1 & n4 ¼ N ¼ 0:5 N cycles:
450 ' 106 105
ðCP0 Þ2 The given virgin fatigue life at each stress level is
¼ 150 ' 106 & : respectively
1350 ' 106
366 8 Fatigue

,* + * +-
N1 ¼ 4:0 ' 104 cycles; N2 ¼ 3:2 ' 105 cycles; log 103 ' ð639:2 & 480Þ = 103 ' ð555:7 & 480Þ
i1 ¼
N3 ¼ 1:5 ' 106 cycles; N4 ¼ 2:5 ' 107 cycles: logð1:43=0:41Þ
logð159:2=75:7Þ
¼ ¼ 0:595:
From (8.25), we can say fatigue failure will occur when logð1:43=0:41Þ
n1 n2 n3 n4
þ þ þ ¼ 1; i.e.; The slope of the line joining the data points of test
N1 N2 N3 N4
number 2 and 3 is obtained by subtracting (8.63) from
(8.62), which is denoted by, say, i2 .
0:04N 0:16N 0:3N 0:5N
þ þ þ ¼ 1; ,* + * +-
4:0 ' 104 3:2 ' 105 1:5 ' 106 2:5 ' 107 log 103 ' ð555:7 & 480Þ = 103 ' ð495:1 & 480Þ
i2 ¼
Or, logð0:41=0:05Þ
Nð1:0 þ 0:5 þ 0:2 þ 0:02Þ ' 10&6 ¼ 1; logð75:7=15:1Þ
¼ ¼ 0:766:
logð0:41=0:05Þ
106
)N¼ cycles ¼ 581; 395 cycles:
1:72 The slope of the line joining the data points of test
number 3 and 1 is obtained by subtracting (8.63) from
8.19.4. Determine analytically the fatigue limit by trial-and- (8.61), which is denoted by, say, i3 .
error from the following data obtained in a Prot fatigue test: ,* + * +-
log 103 ' ð639:2 & 480Þ = 103 ' ð495:1 & 480Þ
i3 ¼
Test Mean rate of increase of Mean rupture stress of logð1:43=0:05Þ
number stress amplitude, kPa/cycle test specimen, MPa
logð159:2=15:1Þ
1 1.43 639.2 ¼ ¼ 0:7024:
logð1:43=0:05Þ
2 0.41 555.7
3 0.05 495.1 The difference between the maximum and the minimum
values of i, i.e. between i2 and i1 , is:
Solution i2 & i1 0:766 & 0:595
' 100 ¼ ' 100 ¼ 28:7%:
As a rule, the first value selected for the fatigue limit, re , i1 0:595
should be close to but slightly lower than the observed lowest
average rupture stress value, i.e. 495.1 MPa. Let us assume
Hence, a new trial is necessary. Skipping intermediate
that re ¼ 480 MPa ¼ 480 ' 103 kPa. Substitution of the trials, let us go directly to the final value of re , which will
given three values of mean rate of increase of stress ampli- result in a maximum difference of i less than 1%.
tude, a, in units of kPa=cycle, given three values of mean
Final Trial: Let us assume that re ¼ 464:7 MPa ¼
rupture stress, rR , in units of kPa and the assumed value of re
464:7 ' 103 kPa and repeat the above process.
(in units of kPa) into (8.60) gives three simultaneous equa-
tions as follows: ! "
log 639:2 ' 103 & 464:7 ' 103 ¼ log k0 þ i logð1:43Þ
! "
log 639:2 ' 103 & 480 ' 103 ¼ log k0 þ i logð1:43Þ ð8:64Þ
ð8:61Þ ! "
log 555:7 ' 103 & 464:7 ' 103 ¼ log k0 þ i logð0:41Þ
! "
log 555:7 ' 103 & 480 ' 10 3
¼ log k0 þ i logð0:41Þ ð8:65Þ
ð8:62Þ ! "
log 495:1 ' 103 & 464:7 ' 103 ¼ log k0 þ i logð0:05Þ
! "
log 495:1 ' 103 & 480 ' 103 ¼ log k0 þ i logð0:05Þ ð8:66Þ
ð8:63Þ Subtracting (8.65) from (8.64),
where i is the slope of the plot of logðrR & re Þ versus log a, ,* + * +-
log 103 ' ð639:2 & 464:7Þ = 103 ' ð555:7 & 464:7Þ
and k0 is the intercept of the plot on the logðrR & re Þ-axis. i1 ¼
logð1:43=0:41Þ
The slope of the line joining the data points of test number 1 logð174:5=91Þ
and 2 is obtained by subtracting (8.62) from (8.61), which is ¼ ¼ 0:521155:
logð1:43=0:41Þ
denoted by, say, i1 .
8.19 Solved Problems 367

Subtracting (8.66) from (8.65), (a) Fatigue strength reduction factor and fatigue notch sen-
,* + * +- sitivity index.
log 103 ' ð555:7 & 464:7Þ = 103 ' ð495:1 & 464:7Þ (b) The effective maximum and minimum stresses of the
i2 ¼
logð0:41=0:05Þ imposed stress cycle.
logð91=30:4Þ (c) Maximum allowed stress amplitude based on the most
¼ ¼ 0:521077:
logð0:41=0:05Þ preferred design criterion. Comment on whether the above
shaft will survive for an infinite fatigue life or not.
Subtracting (8.66) from (8.64), (d) If the above shaft fails to survive for an infinite fatigue
,* + * +- life, determine the minimum UTS of such steel which can
log 103 ' ð639:2 & 464:7Þ = 103 ' ð495:1 & 464:7Þ survive for an infinite fatigue life. All other aforesaid con-
i3 ¼
logð1:43=0:05Þ ditions remain the same.
logð174:5=30:4Þ
¼ ¼ 0:5211065:
logð1:43=0:05Þ
Solution
The difference between the maximum and the minimum Given that the elastic stress concentration factor is
values of i, i.e. between i1 and i2 , is: Kt ¼ 2:55, UTS of the given steel is Su ¼ 550 ' 106 N=m2 ,
i1 & i2 0:521155 & 0:521077 the Neuber’s constant of the steel is q0N ¼ 0:15 ' 10&3 m,
' 100 ¼ ' 100 ¼ 0:015%: the diameter of the shaft is D ¼ 0:015 m and the radius of
i2 0:521077
the hole existing in the shaft is qt ¼ 0:75 ' 10&3 m. Since
Hence, the values of i differing by a maximum of 0.015% the fatigue ratio, which is the ratio of fatigue limit to UTS, is
indicate that the assumed value of re in this trial is the assumed to be 0.5, so the fatigue limit of the steel shaft
correct one. without any stress concentration is:
Thus, the fatigue limit is re ¼ 464:7 MPa.
The value of the intercept, k0 , can be obtained by using re ¼ 0:5 ' Su ¼ 275 ' 106 N=m2 :
the average of the three computed values of slope i, and
substituting the average i value, i.e. !i, into the (8.64), (8.65) (a) From (8.38a), the fatigue strength reduction factor is:
or (8.66): Kt & 1
Kf ¼ 1 þ pffiffiffiffiffiffiffiffiffiffiffiffi
1 þ q0N =qt
!i ¼ i1 þ i2 þ i3 ¼ 0:521155 þ 0:521077 þ 0:5211065 2:55 & 1
3 3 ¼ 1þ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 2:071:
¼ 0:52111: 1 þ ð0:15 ' 10&3 Þ=ð0:75 ' 10&3 Þ

639:2 ' 103 & 464:7 ' 103 From (8.37a), the fatigue notch sensitivity index is:
) k0 ¼ or
ð1:43Þ0:52111 Kf & 1 2:071 & 1
q¼ ¼ ¼ 0:691:
555:7 ' 103 & 464:7 ' 103 Kt & 1 2:55 & 1
or
ð0:41Þ0:52111 (b) Given that the axial static load is Pm ¼ 15 ' 103 N.
495:1 ' 103 & 464:7 ' 103 Hence, the static or mean stress is:
ð0:05Þ0:52111
Pm 4 ' 15 ' 103
¼ 144:8 ' 103 : rm ¼ ¼ N=m2 ¼ 84:88 MN=m2 :
ðpD2 Þ=4 pð0:015Þ2
8.19.5. A cylindrical steel shaft with diameter of 15 mm is
subjected to a completely reversed bending moment of ± Given that the completely reversed bending moment is
30 N m and an axial static load of 15 kN. The steel shaft MB ¼ 030 N m. The stress amplitude, ra , of the imposed
has a transverse hole with diameter of 1.5 mm that produces stress cycle is obtained from the applied bending moment
an elastic stress concentration factor of 2.55. The Neuber’s MB using (4.14), in which the section modulus for a circular
constant of the steel having UTS of 550 MPa is found to be cross-section from (4.16c) is:
0.15 mm. Assume that the fatigue ratio is 0.5 for the shaft ! " ! "
Z ¼ pD3 =32 ¼ p ' 0:0153 =32 m3 :
having no geometrical discontinuity and determine the
following:
368 8 Fatigue

Since steel is a ductile metal, so for the notched condition, Exercise

the factor Kf should be applied only to the stress amplitude
component as shown below: 8.Ex.1. A cylindrical shaft of 12 mm diameter shows an
infinite fatigue life when it is subjected to completely
MB 30 ' 32 reversed bending moment of ±30 N m, beyond which the
ra ¼ Kf ¼ 2:071 ' N=m2
Z p ' 0:0153 shaft fails to survive for an infinite fatigue life. If fatigue
¼ 187:5 MN=m2 :
ratio of the shaft is 0.47, what will be the UTS of the
Hence, the effective maximum and minimum stresses of shaft-material?
the imposed stress cycle are, respectively, given by (8.6) and 8.Ex.2. It is seen from fatigue tests of 10 specimens of the
(8.7) as shown below: same material at a stress level of 215 MPa that they fail after
stress cycles of 19,200, 17,700, 17,600, 17,100, 16,400,
rmax ¼ rm þ ra ¼ 84:88 þ 187:5 ¼ 272:38 MPa ðtensileÞ:
16,300, 16,100, 16,000, 15,900 and 15,400. For this stress
rmin ¼ rm & ra ¼ 84:88 & 187:5 ¼ &102:62 MPa ðcompressiveÞ:
level, compute the cyclic life that provides 95% confidence
ðcÞ that 99.9% of the components would survive (p). Values
(c) For the steel shaft having geometrical discontinuity, its
of q for S–N data assuming normal distribution can be
unnotched fatigue limit, re , will be replaced by its notched
obtained from Table 8.1, where n denotes the number of
fatigue limit, r0e , according to (8.36b):
specimen.
re 275 8.Ex.3. The unnotched fatigue strength of an aluminium
r0e ¼ ¼ MPa:
Kf 2:071 alloy at 106 cycles in a purely alternating stress cycle of 0r
is 200 MPa. A circular shaft of this alloy has a transverse
The most preferred design criterion is Goodman relation
groove with radius of 2 mm that produces a theoretical stress
given by (8.21). Obviously, re in Goodman relation will be
concentration factor of 2.2. If the Neuber’s constant of the
replaced by r0e for the steel shaft having geometrical dis-
alloy is found to be 0.4 mm, calculate the working stress for
continuity, and the modified relation can be used to obtain
the shaft for a fatigue life of 106 cycles under the same stress
the value of the maximum allowed stress amplitude
cycle of 0r, taking a safety factor of 3.
ðra Þallowed , which will give an infinite fatigue life for the
given steel shaft subjected to a static stress of 8.Ex.4. Neuber’s constant of an aluminium alloy is 0.6 mm
rm ¼ 84:88 MPa. and the fatigue ratio for the aluminium alloy without any
$ % $ % crack is given by the typical fatigue ratio value of several
0 rm 275 84:88 non-ferrous metals tested in smooth-polished condition at
ðra Þallowed ¼ re 1 & ¼ 1& MPa
Su 2:071 550 room temperature for a purely alternating stress cycle. What
¼ 112:29 MPa: will be the fatigue ratio for an infinitely wide plate of the
same aluminium alloy having a central through thickness
Since the actual stress amplitude, ra , of the imposed
circular hole of 2 mm diameter (the plane of hole is oriented
stress cycle is greater than the maximum allowed stress
normal to the applied stress axis)?
amplitude, ðra Þallowed , for an infinite fatigue life, the shaft
fails to survive for an infinite fatigue life. 8.Ex.5. An infinitely wide steel plate has a through thickness
elliptical internal crack with a length of 4 mm and a tip
(d) The minimum UTS of such steel which can survive for radius of 0.5 mm, which is oriented normal to the stress axis
an infinite fatigue life can be determined by substituting the applied in the longitudinal direction. If the fatigue ratio of
actual stress amplitude ra of the imposed stress cycle in the steel with the above crack geometry is 0.21 and that in
Goodman relation modified by the replacement of re by r0e smooth condition, i.e. without crack, is 0.49, then calculate
in (8.21). Hence, substitution of ra ¼ 187:5 MPa gives the following:
$ %
0:5 ' Su 84:88 (a) Fatigue notch sensitivity index.
187:5 ¼ 1& ; or,
2:071 Su (b) Peterson constant.
187:5 ' 2:071 (c) UTS of the steel empirically from Peterson constant.
Su & 84:88 ¼ ;
0:5 8.Ex.6. Assume that the variation of alternating component
187:5 ' 2:071 with the static component of the stress cycle is represented
) Su ¼ þ 84:88 MPa ¼ 861:505 MPa: by a parabola whose vertex is at the point of UTS on the axis
0:5
of static stress and passing through the point of endurance
8.19 Solved Problems 369

limit on the axis of alternating stress. A material is subjected Stress Fraction of expected total median Median fatigue
to a stress cycle of rðkPaÞ ¼ 25½1 þ n sin 200t), where t is (MPa) fatigue life of the material life, N50, cycles
the time and n is the multiplication factor. Compute the 180 0.30 3 ' 106
maximum tolerable value of r for an infinite fatigue life 160 0.55 4 ' 107
based on the above design criterion. Compare this computed
value with those derived based on the relations due to
Goodman and Gerber and comment. 8.Ex.11. Suppose, there is a sharp elastic through-thickness
The mechanical properties of the metal are: surface crack with depth 2 mm from one surface in an infi-
nitely wide plate of an alloy, where Y ¼ 1:1. The plate is
UTS ¼ 175 kPa; Yield strength ¼ 125 kPa; subjected to uniaxial fatigue stresses of constant amplitude,
Endurance limit ¼ 75 kPa: in which the stress varies from 150 MPa in tension to
50 MPa in compression. Fracture toughness of the alloy is
8.Ex.7. A steel bar is subjected to a tensile–tensile fluctu- pffiffiffiffi
30 MPa m, and tensile strength is 520 MPa. Neglecting the
ating stress of r to 2r MPa. What will be the highest per-
small influence of mean stress on the crack growth, estimate
missible value of r for an infinite fatigue life based on the
the number of cycles required for fracture of the plate if the
Gerber parabola? The mechanical properties of steel are:
fatigue crack growth rate relation obeyed by the alloy is:
Tensile strength ¼ 900 MPa; Yield strength ¼ 600 MPa; ! pffiffiffiffi"4
da
Fatigue limit ¼ 420 MPa: ðm=cycleÞ ¼ 2 ' 10&37 ðDKÞ4 Pa m :
dN
8.Ex.8. For a completely reversed stress cycle, the following
8.Ex.12. Indicate the correct or most appropriate answer
data were obtained in a Prot fatigue test of a certain metal: from the following multiple choices:
Mean rate of increase of stress Mean rupture stress of test (a) State which of the following respective combinations of
amplitude, kPa/cycle specimen, MPa microstructure and UTS result in the highest fatigue limit for
1.7 730 eutectoid steel:
0.007 490
(A) Spheroidite of 500 MPa;
(B) Spheroidite of 650 MPa;
Using Prot equation, determine the fracture stress of that (C) Pearlite of 500 MPa;
metal when the rate of increase of stress amplitude is (D) Pearlite of 650 MPa
0:22 kPa=cycle.
(b) Fatigue strength of steel is reduced when surface treat-
8.Ex.9. A metallic member is subjected to cyclic ment is:
strain-controlled fatigue with a total strain range 00:005 and
stress range of 0100 MPa. The metal shows a true fracture (A) Flame hardening; (B) Chromium plating;
strain of 40% and an elastic modulus of 200 GPa. Assuming (C) Nitriding; (D) Shot peening.
fatigue ductility exponent to be −0.5, calculate the (c) To make rubber tyre treads less susceptible to fatigue, the
(a) Elastic and plastic strain range. treatment used is:
(b) Number of strain cycles to failure. (A) Shot peening;
8.Ex.10. The loading spectrum on a material at each stress (B) Surface cold rolling;
level is described by saying that a certain fraction of the (C) Thermal contraction;
expected total median fatigue life of the material is loaded (D) Heat softening.
at each stress level, as tabulated below. The median fatigue (d) Out of the followings, the best resistance to thermal
life for 50% survival at each stress is also provided in the fatigue is indicated if the linear thermal coefficient of
table. Determine the expected total median fatigue life of the expansion and the thermal conductivity of an alloy are
material on the basis of the cumulative fatigue damage
theory. (A) both high; (B) respectively high and low;
(C) both low; (D) respectively low and high.
Stress Fraction of expected total median Median fatigue (e) The fatigue resistance of a non-ferrous metal is improved
(MPa) fatigue life of the material life, N50, cycles
by the following technique:
310 0.05 7 ' 104
(A) Carburizing; (B) Nitriding;
225 0.10 6 ' 105
(C) Anodizing; (D) Shot peening.
(continued)
370
(f) The fracture surface morphology of a fatigue fracture
shows:
(A) Dimples; (B) Cleavage; (C) Veins; (D) Striations.
Answer to Exercise Problems
8.Ex.1. 376 MPa.
8.Ex.2. 10,862 stress cycles.
8.Ex.3. 36.4 MPa.
8.Ex.4. 0.1645.
8.Ex.5. (a) 0.443; (b) 0.629 mm; (c) 348 MPa.
8.Ex.6. 94.44 kPa; Goodman: 89.28 kPa; Gerber:
98.47 kPa. The given design criterion is more conservative
than Gerber parabola but less conservative than Goodman
line.
8.Ex.7. 422.8 MPa.
8.Ex.8. 565.8 MPa.
8.Ex.9. (a) Elastic strain range = 10−3; Plastic strain
range = 9 ' 10−3; (b) 3950 cycles.
8.Ex.10. 1,005,325 cycles.
8.Ex.11. 276,652 cycles.
8.Ex.12. (a) (B) Spheroidite of 650 MPa. (b) (B) Chromium
plating.
(c) (D) Heat softening. (d) (D) respectively low and high.
(e) (D) Shot peening. (f) (D) Striations.
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Goodman, J.: Mechanics Applied to Engineering. Longmans, Green &
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2016
 Fracture
9

Chapter Objectives
• Variation of interatomic bonding force (cohesive force) with interatomic spacing.
Evaluation of ideal fracture strength (cohesive strength in an ideally perfect crystal).
• Relation of geometrical discontinuity (flaw) in a body with theoretical (or, elastic)
stress concentration factor and material’s fracture strength.
• Effects of notch on material’s fracture behaviour: ‘notch strengthening’ and ‘notch
weakening’. Distributions of elastic stresses ahead of a notch and of elastic/plastic
stresses during local yielding in the vicinity of a notch in plane stress and plane strain
conditions.
• Characteristic features of fracture process. Fractography describing dimpled fracture
(different shapes of the dimple depending on the state of stress), cleavage fracture,
quasi-cleavage fracture and intergranular fracture.
• Griffith theory of brittle fracture and its applicability.
• Modification of Griffith theory by Orowan relation for brittle metals. Modification by
Irwin approach introducing ‘elastic strain energy release rate’, its significance and
experimental measurement.
• Stress intensity factor and its expressions depending on the types of loading and the
geometry of crack and specimen configurations.
• Different modes of crack surface displacement. Relationship between energy release
rate and stress intensity factor.
• Plastic-zone size at crack tip and effective stress intensity factor due to crack-tip
plasticity in plane stress and strain conditions.
• Fracture toughness: plane stress versus plane strain. Test to determine plane-strain
fracture toughness and design philosophy using it.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 373

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_9
374
9.1 Introduction
Fracture refers to breaking or disintegration of a sold sub-
stance into two or more pieces under application of stress. If
a material becomes unusable for application in service due to
either fracture or excessive distortion or any other reason, it
is called failure. So failure of a material may or may not
involve fracture of the material. Fracture can occur under all
service conditions. Fracture due to mechanical causes is the
subject of our concern and that caused by chemical factors
like corrosive environment or any other reasons are beyond
the scope of the text.
The fracture strength of the material is due to the inter-
atomic bonding force or cohesive force between two adja-
cent atoms or ions. So, let us consider the variation of the
interatomic bonding force or cohesive force, F ðr Þ; between
two adjacent atoms or ions with their centre-to-centre
spacing, r; which is shown schematically in Fig. 9.1. The
curve for the cohesive force between atoms or ions is the
resultant of the curves for the repulsion and attraction forces
between atoms or ions. The equilibrium distance of atoms or
ions separation, r0 ; corresponding to zero value of the
bonding force, is associated with a balance of the forces of
repulsion and attraction between two adjacent atoms or ions.
The relationship between F(r) and r may be expressed
approximately by the following equation:
A B
FðrÞ ¼ M $ N
r r
where A=r M and B=r N represent, respectively, the forces of
attraction and repulsion, and A, B, M and N are constants that
depend on the form of bond. As two atoms or ions approach,
they are drawn together by the attractive force until they reach
equilibrium spacing (spacing in unstrained condition) r0 :
Attractive force
Inter-atomic bonding force, F(r)
r0
(Equilibrium atomic spacing)
0 will be the coefficient of its thermal expansion.
Inter-atomic spacing, r
Repulsive force
Fig. 9.1 Schematic variation of the interatomic bonding force or
cohesive force, F ðr Þ; between two adjacent atoms or ions with their
centre-to-centre spacing, r:
9 Fracture
If they continue to approach further making the separation
distance less than r0 ; the repulsive force predominates and
increases more rapidly than the attractive force for dimin-
ishing values of r and tends to push them back to their
equilibrium spacing. It will be easy to visualize the equilib-
rium spacing if one assumes that the two atoms or ions are
connected by a spring whose neutral length is the same as that
of the equilibrium spacing.
As the attractive forces in interatomic bonds are largely
electrostatic, the form of the attractive force ðA=r M Þ is usually
considered to be the same as that for the force between electric
charges, which is inversely proportional to the square of the
spacing as per Coulomb’s law. Therefore, the value of M is
usually taken as 2, but values of N vary from 7 to 10 for
metallic bonds and 10 to 12 for ionic and covalent bonds. The
equilibrium spacing r0 normally varies with the different
bonds from 1 to 4 Å. The equilibrium spacing r0 can be
expressed in terms of the constants in (9.1) as follows:
At r ¼ r0 ; F ðr Þ ¼ 0:
A B B
Therefore, M ¼ N ; or, r0N$M ¼ ;
r0 r0 A
! " 1
B N$M
) r0 ¼ ð9:1aÞ
A
If the atoms or ions are pulled apart from r0 ; i.e. the
interatomic spacing in the unstrained condition, the repulsive
ðN [ M Þ ð9:1Þ
force diminishes much more rapidly than the attractive force
with increase of atomic or ionic separation. As a result, a net
force between atoms or ions is built up that just balances the
applied force, and when the applied force is released, atoms or
ions will return to equilibrium spacing at r0 : When the sep-
aration of the atoms or ions is increased further by application
of higher and higher pulling force, the resultant cohesive force
curve will arrive at its peak point because the repulsive force
becomes negligible, while the decrease of the attractive force
is not so great. To separate the atoms or ions completely, a
force equal to the maximum ordinate of the resultant curve,
A B
F(r) = Fmax ; must be applied. This force, then, corresponds to the
rM rN
cohesive strength, rc ; of the material. Generally, the higher
the cohesive strength of the material, the higher will be the
values of its elastic constant and melting point and the smaller
Fmax
Since the problem of brittle fracture is considered to be
important in the field of engineering applications and most of
the research works have been focussed on this topic, the
engineering aspects of brittle fracture will be mainly consid-
ered in this chapter. Since brittle fractures in tensile loading
involve little or no plasticity, so the change in cross-sectional
area of a member undergoing brittle fracture is negligible; i.e.,
the cross-sectional area is assumed to remain practically
constant. Hence, the engineering stress, S %, the true stress, r;
9.1 Introduction 375

and the stress in this chapter will be designated by the term r, In case of a brittle elastic solid, where Hook’s law is
although initial cross-sectional areas of the members are applicable till the point of its fracture, we can write
mostly used to determine the stresses.
x
r ¼ Ee ¼ E ð9:4Þ
r0
9.2 Theoretical Cohesive Strength where E = modulus of elasticity.
Now, we can eliminate x after equating (9.3) with (9.4)
The magnitude of theoretical cohesive strength (cohesive and get a solution for rc as follows:
strength in an ideally perfect crystal) is many times greater
than the values of fracture strengths commonly observed in 2px x k E
rc ¼E ; or; rc ¼ ð9:5Þ
engineering materials. So it is appropriate to evaluate the k r0 2p r0
theoretical cohesive strength, rc ; and discuss the reason for
If we make a reasonably accurate assumption that
the above discrepancy with the real fracture strength values.
r0 % k=2, then from (9.5)
For this, let us take the cohesive stress versus atomic dis-
placement curve as shown in Fig. 9.2. The theoretical E
rc % ð9:6Þ
cohesive strength can be well approximated if it is assumed p
that the shape of the cohesive stress curve in Fig. 9.2 is
Equation (9.6) shows that the value of theoretical cohe-
represented by a sine curve with a half period of k=2; where
sive strength is likely to be extremely high, which indicates
k is the wave length of the curve. Hence, the shape of the
the probability of having extremely high fracture strength for
curve is approximated by
materials. As an example, the fracture strength of very fine
2px diameter silica fibres % E=4:
r ¼ rc sin ð9:2Þ The value of k can be determined in terms of surface
k
energy cs by considering the energetics of the fracture pro-
where r ¼ the tensile stress applied to pull the atoms apart; cess. All the work expended during fracture of a brittle solid
r0 ¼ the equilibrium interatomic spacing, i.e. the interatomic is utilized to create two new fracture surfaces. The work
spacing in the unstrained condition; and x ¼ r $ r0 ¼ the done per unit area of surface during fracture is the area under
atomic displacement in a lattice, in which r is the interatomic the cohesive stress versus atomic displacement curve in
spacing. When x ¼ k=4; we can see from (9.2) as well from Fig. 9.2, which is given as follows:
Fig. 9.2 that r ¼ rc : For small displacements of atom,
sin x % x and (9.2) reduces to Zk=2 Zk=2
2px
Fracture work per unit area ¼ r dx ¼ rc sin dx
2px k
r ¼ rc ð9:3Þ 0 0
k # $
$ cosð2px=kÞ x¼k=2
¼ rc
2p=k x¼0
# $x¼0
Cohesive stress, σ

rc k 2px
¼ cos
2p k x¼k=2

σc
rc k
r0 ¼ ½1 $ ð$1Þ'
2p
0 r rc k
(Inter-atomic spacing)
¼
λ p
2 ð9:7Þ
x=0
But all this work given by (9.7) is equal to the energy
required to form the two new fracture surfaces in a unit area.
Atomic displacement, x = r – r0 If cs ¼ surface energy per unit area of fracture surface, then

rc k 2pcs
Fig. 9.2 Schematic curve of cohesive stress versus atomic ¼ 2cs ; or, k ¼ ð9:8Þ
p rc
displacement
376 9 Fracture

Substituting for k from (9.8) into (9.5), we get near the discontinuity will be higher than the average stress in
the body, which will be found to exist at a distance away from
2pcs E cs E the discontinuity. At the tip of the discontinuity, a stress
rc ¼ ; or, r2c ¼ ;
rc 2pr0 r0 concentration is observed that is indicated by the crowding of
rffiffiffiffiffiffiffi the elastic lines of force at the crack tip, as shown in Fig. 9.3.
Ecs
) rc ¼ ð9:9Þ Thus, a geometrical discontinuity in a body acts as a stress
r0 raiser. Stress concentration can also arise from structural
We have approximated and expressed the shape of the irregularities or metallurgical stress raisers such as inclusions,
cohesive stress–displacement curve by a simple sine wave, but graphite flakes in cast iron, blowholes or porosity, and
use of more complicated expressions for the shape of the curve decarburization. The stress concentration is usually expressed
shows that rc varies from E=4 to E=15: A convenient choice by a factor known as theoretical stress concentration factor
for the value of theoretical cohesive strength is to take E=10: or elastic stress concentration factor, which is normally
For the purpose of illustration, the following example is cited. denoted by Kt ; and defined as follows:

Example: For silica fibre, if E = 97.1 GPa, cs ¼ 1 J/m2 and maximum stress at the tip of discontinuity
Kt ¼
r0 ¼ 1.6 Å, then the theoretical cohesive strength or ideal applied nominal stress based on the net cross-sectional area
fracture strength of silica fibre from (9.9) will be given by rmax
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼
97:1 ( 109 ( 1 E E ra
rc ¼ Pa ¼ 24:635 GPa ¼ % :
1:6 ( 10$10 3:94 4 ð9:10Þ
Very fine diameter silica fibre is probably the only
material which shows the ideal fracture strength % E=4: This applied nominal stress (or engineering stress) ra is
Some materials like tiny defect-free metallic whiskers usually calculated on the basis of the net cross-sectional area
approach the theoretical value of fracture strength, for of a specimen without taking into account the effect of
example the approximate ratio of modulus of elasticity to geometric discontinuities such as cracks, notches, holes,
fracture strength for iron whisker is 23, for silicon whisker is grooves, fillets and normally determined from the applied
26 and for alumina whisker is 33. Patenting of 1 wt% C steel load divided by the initial cross-sectional area at the notch,
with a heavy deformation above 95% to form thin wire can although some workers calculate this stress based on the
produce the highest value of real UTS obtainable in indus- gross cross-sectional area of a specimen, i.e. the entire area
trial product which is about 4.5 GPa. This strength is
roughly E=44:5; where E for steel is 200.1 GPa, but fracture
strengths of high-strength steels in exceptional cases exceed Stress, σ
2 GPa. The observed fracture strengths of engineering
materials are normally 10–1000 times lower than the values
of their theoretical cohesive strengths, i.e. ideal fracture
strengths. From the above findings, it is concluded that the
flaws or cracks present in engineering materials make their
fracture strengths many times lower than the theoretical
values. The above defects may be introduced during the
manufacturing process of the material, which may include
shrinkage cavities, porosities, such as pinholes and blow-
holes. Welding and heat treatment may also introduce cracks
2a
or microcracks, e.g. formation of quench cracks. Cracks can
Surface crack
further form from the microstructural constituents like of depth a
inclusions, brittle grain-boundary films and second-phase
particles on application of stress above certain level.

t )
ss
ne
h ick
9.3 Inglis Analysis of Stress Concentration (T
Factor
Stress, σ
Any geometrical discontinuity or defect such as a crack or a
Fig. 9.3 Crowding of the elastic lines of force at the tips of internal
notch or a hole or any flaw in a body causes a non-uniform crack of length 2a and surface crack of length a indicates the presence
distribution of stress in the vicinity of the defect. The stress of stress concentration
9.3 Inglis Analysis of Stress Concentration Factor 377

of cross-section in a region where there is no stress con- Putting the value of b from (9.12) in (9.11), we get
centrator. Values of Kt for simple shapes can be computed ! " ! rffiffiffiffi"
from the theory of elasticity. For complicated geometries, Kt 2a a
rmax ¼ ra 1 þ pffiffiffiffiffiffi ¼ ra 1 þ 2 ð9:13Þ
can be determined from photoelastic measurements. For qt a qt
various standard geometrical discontinuities like holes, not- rffiffiffiffi
a
ches or fillets, values of Kt are available in the literature Since in most cases, a * qt ; i.e. * 1; neglecting 1
qt
(Peterson 1974).
From the idea of stress concentration, Inglis (1913) was from (9.13), we get
able to show how the presence of cracks in a body can result rffiffiffiffi
a
in a reduction of the fracture strength. Figure 9.4 shows a rmax ¼ 2ra ð9:14aÞ
qt
two-dimensional view of a thin and small elliptical hole
resembling a crack in an infinitely wide plate. Assume that rffiffiffiffi
rmax a
the major length of the crack-like elliptical hole is 2a; its Or; Kt ¼ ¼2 ð9:14bÞ
ra qt
minor length is 2b; and the radius of curvature at its tip is qt :
pffiffiffiffiffiffiffiffiffi
Suppose a tensile stress is applied to the plate in a direction So, the term 2 a=qt expresses the effect of crack
normal to the major length of the elliptical hole. By ana- geometry on the local rise of the stress level at the tip of the
lysing the above plate, Inglis showed the equation for the crack and can be used to define the theoretical stress con-
theoretical stress concentration factor, Kt , as follows: centration factor, Kt :
When the applied average tensile stress ra is increased, the
rmax 2a
Kt ¼ ¼ 1þ ð9:11Þ maximum stress at the tip of the crack, rmax ; also increases
ra b
and arrives locally at the value of the theoretical cohesive
where strength, rc , at certain level of the applied stress ra ; although
ra remains at a much lower value than rc : It is proposed that
rmax maximum stress at the ends of the major axis of the when rmax ¼ rc ; the material containing cracks or defects
elliptical crack; will fracture and the applied average tensile stress ra becomes
ra average tensile stress based on the net cross-sectional the fracture strength rf of the material, i.e. ra ¼ rf : Hence,
area applied to the plate in a direction normal to the substituting rmax ¼ rc ; and ra ¼ rf ; in (9.14a), we get
major axis of the elliptical crack;
rffiffiffiffi
a half of the major length of the elliptical crack; a
b half of the minor length of the elliptical crack. rc ¼ 2rf ð9:15Þ
qt
It is known that the radius of curvature, qt ; at the tip of Hence, equating (9.9) and (9.15), we can solve for the
the ellipse is given by fracture strength rf :
b2 pffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffi
qt ¼ ; or; b¼ qt a ð9:12Þ Ecs qt
a rf ¼ ð9:16Þ
4r0 a
Equation (9.16) shows the effect of crack geometry on
Applied tensile stress, σa
the fracture strength of the material. The sharper is the crack,
i.e. the smaller is the crack-tip radius, qt , and the longer is
Maximum stress, Maximum stress,
the crack, i.e. the higher is the value of a; the lower will be
σmax σmax the value of fracture strength, rf , of the material. For the
sharpest possible crack, where qt ¼ r0 (equilibrium inter-
atomic spacing), (9.16) reduces to
σa σa rffiffiffiffiffiffiffi
Ecs
Crack-tip radius, ρ b rf ¼ ð9:17Þ
t 4a
2a
As an example, consider a brittle material having the
sharpest possible crack with length in the micron level. As the
equilibrium spacing r0 normally varies from 1 to 4 Å,
Applied tensile stress, σa assuming half crack length a ¼ 104 ( r0 ; the relation between
fracture strength of that material and its theoretical cohesive
Fig. 9.4 Stress distribution due to elliptical crack in an infinitely wide
plate
strength can be obtained from (9.9) and (9.17) as follows:
378
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffi
rf Ecs r0
¼ 4
( ;
rc 4ð10 ( r0 Þ Ecs
Note that the fracture stress is found to be 200 times
lower than the theoretical cohesive strength. Thus, we see
that the presence of a very small crack can cause a very large
decrease in the stress for fracture.
9.4 Effects of Notch
The effects of notch introduced in a specimen are very
similar to those of crack in the specimen. Three conse-
quences result from the presence of a notch:
(1) Stress concentration, i.e. a rise of stress to a high value
at the notch root;
(2) Set-up of a steep stress gradient from the tip of the
notch towards the centre of specimen;
(3) Creation of a triaxial state of stress field.
The notch introduced in a material has an important
influence on the fracture behaviour of the material. The
presence of notch can strengthen or weaken a material
depending on whether the notched body is capable of
undergoing appreciable amount of plastic deformation or
not. Let us consider a round bar of a ductile material sub-
jected to a tensile load in the elastic level, where a circum-
ferential notch is introduced in the specimen. The smaller
cross-sectional area in the notched section causes to develop
a higher true stress in that section than in the smooth region
of the specimen under a given applied load. With increase of
applied tensile load, the true stress in the notched section
reaches the yield strength level of the ductile material, while
the true stress in the smooth region still remains in the elastic
level. The more highly stressed material in the reduced
section tends to extend plastically in the direction parallel to
the axis of loading, and at the same time, the material at the
notch root seeks to contract laterally because conservation of
volume must be maintained during the plastic deformation
process. But the unnecked regions of the specimen still
experiencing an elastic stress level constrain such lateral
contractions, and in doing so, they induce radial, rr ; and
transverse, rh ; true tensile stresses in the vicinity of the
notch tip. Thus, these induced constraining tensile stresses
along with the true tensile stress applied at the notch root,
say ra ; develop a triaxial state of tensile stress, which acts to
constrain the material from plastically deforming in the
notched region. Consequently, the development of the
plastic constraint in the notched section raises the applied
axial tensile stress ra required to initiate plastic deformation
above the uniaxial flow stress, r0 ; found in a smooth-bar
9 Fracture
tensile test. Upon yielding, this applied stress ra becomes the
rc
or, rf ¼ : yield strength for the notched specimen and will be denoted
200
by r0N : The presence of notch raises the flow curve by the
amount which can be expressed by a plastic constraint factor,
usually denoted by q; and it is defined as follows:
Plastic constraint factor;
flow stress of notched component
q¼ ð9:18Þ
flow stress of smooth component
r0N
¼
r0
The verification of, r0N [ r0 ; has been given below.
From the axial symmetry of the specimen of round
cross-section, it can be written that incremental transverse
true tensile strain ¼ deh ¼ der ¼ incremental radial true
tensile strain. Applying the Levy–Mises equations (1.84b)
and (1.84c), it is shown in Sect. 1.6.2.7 of Chap. 1 by (1.99)
that rh ¼ rr ; for specimen having axial symmetry. With
reference to Von Mises’ yielding criterion given by (1.64),
we can write r1 ¼ r0N ; and r3 ¼ rh ¼ rr ¼ r2 ; in the pre-
sent context.
With the help of Von Mises’ yielding criterion given by
(1.64), the fact that r0N is higher than r0 ; has been proved, as
shown by the following (9.19).
1 h i1=2
r0 ¼ pffiffi ðr0N $ rr Þ2 þ ðrr $ rr Þ2 þ ðrr $ r0N Þ2
2
1 h i1=2
¼ pffiffi 2 ðr0N $ rr Þ2 ;
2
or; r0 ¼ r0N $ rr ;
ð9:19Þ
or; r0N ¼ r0 þ rr ; i:e:; r0 N [ r 0
Equation (9.19) shows that the yield strength found in a
notched-bar tensile test of a substantially ductile material is
greater than the yield strength of a smooth specimen of the
same material. Further, the deeper the notch, the higher is the
constraining tensile stresses rr and rh ; and the more is the
rise of the yield strength of a notched specimen, r0N ; over that
of a smooth specimen, r0 ; of the same material, provided the
material is capable of undergoing appreciable amount of
plastic deformation. Figure 9.5a shows the elevation of flow
curve in a ductile material produced by the plastic constraint
resulting from a triaxial tensile stress field developed at the
notch root. On the other hand, in materials with a little
intrinsic plastic deformation capacity, the stress concentra-
tion at the root of the notch causes a local rise of stress to such
a high level that it reaches the critical value for fracture before
the material would undergo general plastic yielding, and thus,
notches weaken these brittle materials. Figure 9.5b shows
that the introduction of a sharp notch induces premature
brittle failure for a material with a limited intrinsic plastic
9.4 Effects of Notch
Fig. 9.5 Schematic diagram (a)
showing effect of notch on flow
curve. a Elevation of flow curve
due to the presence of notch in
ductile materials. b Premature Deep notch
failure due to introduction of
notch in brittle materials Shallow notch
Stress, σ
Strain, ε
deformation capacity. Further, with the increase of notch
depth in a brittle material, the magnitude of elastic stress
concentration factor Kt increases, which causes to decrease
the applied stress required for the fracture of material. But in
a ductile material, plastic deformation at the root of the notch
blunts the notch tip causing to increase the notch-tip radius
and thereby decreases the magnitude of stress concentration
factor Kt to a low level. Thus, the triaxial stress field produced
in the presence of a notch results in ‘notch strengthening’ in a
material with appreciable ductility, while ‘notch weakening’
occurs in a material prone to brittle fracture. The above
effects of notch can be observed by performing a series of
notch tensile tests on brittle and ductile metals. For example,
the brittle metal may be a high-strength steel hardened to
form martensite in an untempered condition, which will
notch weaken, and this weakening effect will increase with
increasing the depth of notch in the specimen. On the other
hand, a low-carbon steel or aluminium alloy may be con-
sidered as an example of the ductile metal, which will not
only notch strengthen, but this strengthening effect will also
increase with increasing the depth of notch in the specimen.
Two factors must be remembered in relation to the notch
strengthening effect, which are as follows:
(1) The load required for fracture of a notched component
showing notch strengthening is lower than that of an
unnotched component, when the gross cross-sectional
area is considered.
(2) Whatever is the sharpness and depth of the notch, there
is a limit to the magnitude of the plastic constraint
factor q that has been defined by (9.18). Orowan (1945)
has shown that the value of the plastic constraint factor
exhibited by a material cannot exceed 2.57, in contrast
to the elastic stress concentration factor Kt that can
exceed a value of 10 with increasing the depth and
sharpness of the notch.
379
(b)
Smooth bar
Smooth bar
Stress, σ
Notched bar
~ 0.2 ~ 0.05
Strain, ε
The distribution of stresses near a notch, which is a stress
concentrator, will now be discussed. The presence of a notch
in a plate can change the state of stress from plane stress to
plane strain condition with increase of thickness of the plate;
i.e., a notch will produce a biaxial state of stress in a thin
plate in contrast to a triaxial state of stress in a thick plate.
Suppose a plate with a through-thickness edge notch is
loaded with a tensile stress less than the elastic limit acting in
the longitudinal direction of the plate, say y-direction. The
longitudinally developed stress in the plate will be denoted
by ry : In analogy with the earlier discussion on the round bar
in this section, there will be development of the constraining
tensile stresses at the notch root acting in the two lateral
directions of the plate—one in the width direction of the
plate, say x-direction, and another in the thickness direction
of the plate, say z-direction. Suppose the laterally induced
stress in the x-direction (along width of the plate) is rx ; and
that in the z-direction (along thickness of the plate) is rz ;
which replace, respectively, the radial, rr ; and the trans-
verse, rh ; stresses considered for the round bar. Since no
stress can exist normal to a free surface, the value of
through-thickness stress rz must be zero at both free surfaces
of the plate but may rise rapidly with movement inside the
plate from both free surfaces along the notch root and reach
a comparatively high value at the mid-thickness plane. If the
plate is thin, the stress cannot rise significantly in the
thickness direction and so the through-thickness stress rz can
be ignored, which can be expressed as
rz % 0 ð9:20Þ
Equation (9.20) shows that a biaxial stress condition
consisting of stresses ry and rx ; exists at the tip of notch in a
thin plate; i.e., a plane stress condition is developed if the
thickness of a notched or cracked plate is small relative to
the notch or crack depth. On the other hand, in a notched or
cracked thick plate the stress rz can increase substantially,
380
Fig. 9.6 Schematic distribution (a)
of through-thickness stress rz
(along thickness direction z) at the
notch root, where x ¼ 0; in (a) a
thin sheet under plane-stress
condition and (b) a thick plate
under plane-strain condition
σz
which along with stresses ry and rx ; develop a triaxial state
of tensile stress at the root of notch or crack and severely
limit straining in the z-direction so that ez ¼ 0: Thus, for a
plate of thickness large enough in comparison with the notch
or crack depth, a condition of plane strain will be created,
where the through-thickness stress according to (1.85) is
given by
& '
rz ¼ m ry þ rx ð9:21Þ
where m ¼ Poisson’s ratio. The peak value of rz strongly
depends on the thickness of plate, and the thicker the plate,
the higher is the peak value of rz : But the values of ry and rx
are almost independent of the thickness of plate; they
decrease by less than 10% as the plate thickness decreases.
The distribution of the stress rz through the plate thickness,
i.e. with z at the notch root, where x ¼ 0; is shown in
Fig. 9.6, for both conditions of plane stress and plane strain.
It is to be noted that the longitudinal elastic tensile stress ry
will reach to a peak value at the root of the notch due to the
effect of stress concentration. This peak value will gradually
decrease with increasing distance in the x-direction and will
arrive at the value of the average applied body stress at a
distance away from the notch. The development of a lateral
elastic tensile stress rx due to the application of the longitu-
dinal elastic tensile stress ry in a notched plate can be
understood physically by imagining a series of small tensile
elements: a; b; c; . . .; p; q; . . .; etc., starting from the notch tip
and arranged along the x-axis as shown in Fig. 9.7a. The
average longitudinal stress r !y ðaÞ acting on element a is
appreciably larger than r !y ðbÞ acting on element b, so the
longitudinal tensile strain ey ðaÞ would be higher than ey ðbÞ; if
each tensile element were able to deform freely. However, in
free deformation, there would also be lateral contractions due
to Poisson’s ratio, such as ex ðaÞ; ex ðbÞ; . . ., associated with
longitudinal tensile strain ey ðaÞ; ey ðbÞ; . . .; etc. If the tensile
9 Fracture
(b)
y
x
z
v (σ x + σ y)
σz σz σz
elements were free from restraints in the x-direction, it can be
shown that in plane stress, ex ¼ $m ey [from (1.35)], and in
plane strain, ex ¼ $½m=ð1 $ mÞ' ey [from (1.39)]. Since
ey ðaÞ [ ey ðbÞ [ ey ðcÞ; . . .; etc., due to rapid decrease in the
longitudinal tensile stress ry in going away from the notch tip,
it would then follow that ex ðaÞ [ ex ðbÞ [ ex ðcÞ; . . .; etc., and
the a=b; b=c; . . .; etc., interfaces would pull apart. Hence, in
order to maintain the continuity of elements ‘a’ and ‘b’, ‘b’
and ‘c’, etc., a tensile stress rx must be present across each
interface of the tensile elements. Since at the free surface of
the notch ðx ¼ 0Þ lateral contraction of the tensile element ‘a’
can occur without any restraint from the empty notch, so
rx ¼ 0 at x ¼ 0: Since the value of ry is large near the notch
root, the lateral stress rx ; required to maintain continuity, rises
steeply with increasing distance x from the notch tip, attains a
maximum value and then decreases slowly to a low value at
large values of x, where the longitudinal strains acting on
adjacent elements (e.g. ‘p’ and ‘q’) become nearly identical,
because the distribution of ry flattens out at distances remote
from the notch. The distributions of biaxial elastic stresses
& '
ry þ rx in a thin plate, i.e. in plane stress condition and
& '
triaxial elastic stresses ry þ rx þ rz in a thick plate, i.e. in
plane strain condition from the notch root at x ¼ 0; with
increasing distance in the x-direction, i.e. along the width of
the plate, are shown, respectively, in Fig. 9.7a, b.
Let us now consider plastic deformation at stress con-
centrators. In an elastically stressed notched piece, high
stresses generated near the notch may locally exceed the
yield strength of material to form a small plastic zone or
‘enclave’. The distribution of stresses within this plastic zone
is very much dependent on whether the deformation is tak-
ing place in plane strain or in plane stress.
In plane stress (obtained by loading a thin notched
specimen), the through-thickness principal tensile stress rz is
the smallest stress and equal to zero. Here, yielding takes
9.4 Effects of Notch
Fig. 9.7 Schematic distribution (a)
Stress
of elastic stresses ahead of a notch
(a) in a thin plate (plane stress
condition) and (b) in a thick plate
(plane strain condition)
y σ y (a)
σ y (b)
σ y (c)
σy
σx
0 0
abc
place on planes at 45° to the y- and z-axes. From Tresca
criterion of yielding given by (1.68a), we know that
r1 $ r2 ¼ r0 ; where r1 ¼ ry (longitudinal principal tensile
stress) and r2 ¼ rz (through-thickness principal tensile
stress) in the present context. Hence, the longitudinal tensile
stress throughout the plastic zone, according to Tresca cri-
terion, is ry $ rz ð¼ 0Þ ¼ ry ¼ r0 ; where r0 is the uniaxial
yield stress. Thus, the maximum stress in the plastic zone is
equal to the uniaxial yield strength of material, as shown in
Fig. 9.8a.
In plane strain (obtained by loading a thick notched
specimen), the distribution of stresses changes remarkably.
The smallest lateral principal tensile stress is now r2 ¼ rx ;
and yielding occurs in the yx plane. Within the plastically
yielded zone, the value of ry ; according to Tresca criterion,
is given by ry $ rx ¼ r0 ; or ry ¼ r0 þ rx ; and that of rz is
& '
given by rz ¼ ry þ rx =2; which is obtained from (9.21)
by substituting m ¼ 1=2 for the constant volume plastic
deformation process.
Yielding in plane strain starts at the notch root, i.e. at
x ¼ 0; where ry ¼ r0 ; because rx ¼ 0, at the free surface of
notch, i.e. at x = 0. During local yielding, ry drops from its
high value in the elastic condition [see Fig. 9.7b] to the
value of uniaxial flow stress r0 at the notch root. Therefore,
the onset of plastic deformation at the notch root relieves the
high elastic longitudinal stress and restricts the peak longi-
tudinal stress to the yield strength of the material. According
to (9.21), the value of the through-thickness stress rz at the
notch root, i.e. at x ¼ 0; is rz ¼ mry ¼ ry =2 ¼ r0 =2; since
ry ¼ r0 and rx ¼ 0 at x ¼ 0; and m ¼ 1=2: However, just
below the notch in the x-direction (along width of the plate),
ry required for yielding is higher than the smooth-bar uni-
axial tensile flow stress r0 ; because ry ¼ r0 þ rx ; and rx
381
(b)
Stress
y
y
z
σy
x
σz
σx
x x
pq
rises steeply just ahead of the notch. Within the plastic
enclave at x [ 0; the rate of rise of the lateral stress, rx ; is
higher than that for the elastic situation. This may be
understood from the following consideration of the defor-
mation of tensile elements lying along x-axis as in Fig. 9.7a.
Once yielding initiates, the first tensile element ‘a’ at the
notch tip [see Fig. 9.7a] deforms plastically at constant vol-
ume with the plastic value of Poisson’s ratio m ¼ 1=2 instead
of the most common elastic value of m ¼ 1=3: Therefore, the
lateral strain ex becomes greater for the plastic deformation
than for the elastic deformation. For example, in elastic
deformation for m ¼ 1=3; ex ¼ $½m=ð1 $ mÞ' ey ¼ $ey =2, and
in plastic deformation, ex ¼ $ey ; since m ¼ 1=2: Therefore, a
greater value of rx has to be applied for maintaining cohesion
at interfaces of the tensile elements. Thus, the steep rise of rx
within the plastic zone in turn also increases ry and rz . The
peak value of rx is now found at the elastic–plastic interface.
It is important to note that ry and rz have their maximum
values at the notch root at x ¼ 0 for the elastic deformation,
but on yielding, the peak values of ry and rz occur at some
distance beneath the notch, i.e. at the elastic–plastic interface,
where the value of rx is the maximum.
Figure 9.8b shows a sketch of the distribution of all three
principal stresses in plane strain condition from the notch
root at x ¼ 0; with increasing distance in the x-direction, i.e.
along the width of the plate during local yielding in the
vicinity of the notch. At x [ 0; all the three stresses increase
sharply, reach the maximum values at the interface of the
plastic zone ahead of the notch tip and the rest elastic region
of the plate and then fall gradually with increasing the dis-
tance x. With increasing stress, the movement of the plastic
zone occurs inwards until at some point, the entire zone
beneath the notch deforms plastically.
382 9 Fracture

(a) intercrystalline). When a crack travels through the grains, it

y y
is called a transgranular fracture, whereas if a crack propa-
gates along the grain boundaries, it will produce an inter-
z
granular fracture. A brief comparison between a ductile and
x a brittle fracture is given below.
σ0
(1) Tearing of a ductile material occurs slowly with a slow
σy rate of crack propagation, and the crack does not usually
x=0 x extend unless the applied stress is increased. Conversely,
in a brittle material, once the crack is initiated, it con-
Plastic zone tinues to grow very rapidly without warning and without
ry
the requirement of increase in stress; i.e., the length of an
initiated crack increases in magnitude leading to brittle
fracture at constant stress.
(2) Often, an appreciable amount of energy is expended to
cause ductile fracture because of a large amount of
y plastic deformation involved in the fracture process,
(b)
while the amount of energy required for a brittle fracture
3 σ0
is very low due to the absence of or very less amount of
plastic deformation.
(3) Ductile fracture is usually a transgranular fracture,
2 σ0 σy whereas brittle fracture shows either transgranular or
intergranular fracture that will depend upon whether the
σz
grain boundaries are stronger or weaker than the grains.
σ0 σx (4) The appearance of fracture surface in a ductile fracture is
generally fibrous, grey and dull, whereas that in a brittle
fracture is normally flat, granular and bright.
x=0 x
Brittle fractures are normally noticed in BCC and HCP
Plastic zone
ry metals usually at low temperatures, ionic and covalently
bonded ceramic materials, glass, ice, but not in FCC metals
unless they are attacked by some special reactive chemical
environment or exposed to factors causing grain-boundary
embrittlement. At times materials exhibit fractures, which
are partially ductile and partially brittle. The demarcation
Fig. 9.8 Schematic distribution of elastic/plastic stresses during local between a brittle and a ductile fracture is arbitrary and
yielding in the vicinity of a notch in (a) plane stress condition (where
depends on the case being examined. For example, nodular
rz ¼ 0) and (b) plane strain condition (where ez ¼ 0)
cast iron is considered as brittle in comparison with mild
steel, but it is ductile in comparison with grey iron having
graphite flakes.
9.5 Characteristic Features of Fracture Many terms have been used from different disciplines to
Process characterize the fracture process. From the metallurgical
point of view, it is convenient to discuss the fracture process
Fractures of engineering materials are broadly classified as of an engineering material in terms of the three following
either ductile or brittle depending on the amount of plastic characteristics: (1) energy to fracture, (2) macroscopic mode
deformation that a material can undergo prior to its fracture. of fracture and (3) microscopic mechanism of fracture that is
A ductile fracture is one that shows a large amount of plastic studied by fractography.
deformation, while a brittle fracture exhibits little or no
plastic deformation. The fracture process consists of crack
initiation and crack propagation. Based on the path of crack 9.5.1 Energy to Fracture
propagation in polycrystalline materials, fractures are clas-
sified as either transgranular, (also known as transcrys- As discussed in Sect. 1.9.5 of Chap. 1, the tensile toughness
talline or intragranular) or intergranular (also called of a material is defined by the mechanical energy absorbed
9.5 Characteristic Features of Fracture Process
during deformation till the point of its fracture. It is mea-
sured by the total area under the engineering tensile stress–
strain curve or more accurately the true tensile stress–strain
curve up to the point of fracture. The equations for engi-
neering and true toughness are repeated, respectively, below
for convenience of reference.
Zef
Energy=volume ¼ Sde ð1:139aÞ
0
Zef
Energy=volume ¼ rde ð1:139bÞ
0
where S and r are engineering and true stresses, respectively,
and ef and ef are engineering and true strains, respectively.
If the energy to break a material calculated by (1.139) is
high, the material is described as tough or possesses high
fracture toughness, and conversely, if the fracture energy is
found to be low from (1.139), the material is said to be
brittle. It is important to mention here that materials are
broadly divided into two categories: ductile and brittle based
on the extent of strain prior to fracture. But depending on the
amount of energy absorbed in fracturing a material, it is
better to classify the material as tough and brittle rather than
ductile and brittle, because even a highly ductile material
with poor strength may not be sometimes suitable for
application as an engineering component due to lower
toughness possessed by this material. This is explained with
reference to the engineering tensile stress–strain curve in
Fig. 1.47. This figure shows that the material C having
optimum level of strength and ductility absorbs high energy,
so it is considered to be a tough material and its fracture
toughness is high. On the contrary, material A is classified as
brittle although its strength is high and the toughness of
material B possessing high ductility is poor.
The toughness of a notched specimen can also be mea-
sured by the notch strength ratio, NSR, evaluated by the
notch tensile test, as discussed in Sect. 1.13 of Chap. 1. NSR
is defined as the tensile strength ratio of notched to unnot-
ched specimen, as given in (1.165). If NSR < 1, then the
notch sensitivity of the material is considerably high and the
material is said to be notch brittle. When the material
exhibits a high value of NSR – say, more than 2 – the
material possesses high toughness and its notch sensitivity
decreases to a minimum.
Further, the notch toughness (also called impact tough-
ness) of a material can be determined from the notched-bar
impact test by noting the energy absorbed in fracturing a
notched bar under a rapid rate of loading over a wide range
of temperature, as discussed in Chap. 6. If the energy
383
Stress Stress
Brittle Tough
Stress Stress
Fig. 9.9 Extent of plastic zone developed (shaded region) at fracture
for brittle and tough materials
absorbed to break the material is very low, it is brittle, while
the high energy absorption reflects that the material is tough.
Whether a material is relatively tough or brittle may also
be judged by noting the amount of plastic zone developed
surrounding the crack tip. When the stress concentration
ahead of a crack tip raises the applied stress at or above the
value of the yield strength of a material, the material sur-
rounding the crack tip will plastically deform and a zone of
plasticity will be created there. This plastic zone will be
embedded within an elastically deformed mass of the
material. The higher the volume of this plastic zone, the
greater is the toughness of the material, because the energy
expended during plastic deformation is much more than that
during elastic deformation. As shown in Fig. 9.9, if the size
of the plastic zone just prior to fracture is little – maximum
2% of the crack length [as shown in (9.59c) in Sect. 9.11] –
the material will have low toughness and will be called
brittle. On the other side, if the plastic zone extends con-
siderably from the crack tip to cover the unbroken ligament
of the material (Fig. 9.9), the fracture energy will be high
and the material will be classified as tough.
9.5.2 Macroscopic Mode of Fracture
The macroscopic fracture path may also inform us about the
toughness level possessed by a component before its fracture.
Macroscopic view of the fracture surface may reveal fully
slant or completely flat or partly slant and partly flat fracture.
384
Particularly in sheet- or plate-type component, the toughness
level can be assessed by the relative proportions of slant and
flat fracture. A given material in thin size usually exhibits a
full slant fracture and possesses a higher value of fracture
toughness, whereas with increasing thickness, the same
material generally results in a complete flat fracture that
corresponds to a lower value of fracture toughness. Similarly,
a mixed mode of fracture, i.e. part slant and part flat fracture,
indicates an intermediate level of toughness, which increases
with increasing the amounts of slant fracture.
9.5.3 Microscopic Mode of Fracture
or Fractography
The examination of the facture surface using microscope to
obtain useful information about the nature of fracture is
normally called fractography. The fractographic work is
conducted recently using the scanning electron microscope
(SEM) while that had been conducted on the transmission
electron microscope (TEM) in the past. The advantages of
SEM over TEM are that the actual fracture surface can be
examined in SEM, while the preparation of a replica of the
fracture surface is required in TEM due to the limited pen-
etrating power of the electrons. The replica technique used
for TEM produces electron images that are reversed with
respect to the actual fracture surface morphology, whereas
such reversal is absent in SEM images. Further, SEM has a
large depth of focus, which is useful to examine rough
fracture surfaces.
The commonly observed four classical microscopic
modes of fracture are (a) microvoid coalescence or MVC,
producing dimpled fracture, (b) cleavage, (c) quasi-cleavage
and (d) intergranular. However, there are other fracture
modes such as fatigue and creep rupture that have been
discussed in their respective chapters.
9.5.3.1 Dimpled Fracture
When a microvoid on the fracture surface appears as a
micron-sized cup-like depression under SEM, it is called a
dimple. This type of fracture surface represents a ductile
fracture occurring in a transgranular manner. The micro-
scopic mechanism observed in dimpled fracture of most
metallic alloys and many engineering plastics is microvoid
coalescence or shortly MVC, which consists of the follow-
ing three stages:
(1) The initial stage is the nucleation of microvoids that
takes place in a material subjected to stress. It has been
experimentally confirmed that plastic deformation can
produce microvoids or microcracks in metals. Some-
times, microporosities produced during casting or
9 Fracture
powder sintering may pre-exist in a material, but these
must not be confused with these mechanically induced
microvoids. Either the interfacial failure between an
inclusion or second-phase particle and the surrounding
matrix or the cracking of particle is mainly responsible
for the nucleation of microvoids. Consequently, the
spacing between neighbouring microvoids is intimately
associated with the interparticle distance. Different sized
microvoids are generally observed in a material con-
taining more than one type of inclusion associated with
more than one size distribution. The criteria for void
nucleation depend on a number of factors that include
stress and strain levels, inclusion size, local deformation
modes and alloy purity (Van Stone et al. 1985).
(2) The second stage is the growth of the microvoids. It has
been seen (Hertzberg 1989) that the most of the energy
required for ductile fracture associated with MVC is
expended during this growth process. The growth
mechanisms involve (a) plastic deformation of the
matrix surrounding the site of nucleation and (b) plastic
deformation enhanced by separation of tiny particles in
the matrix.
(3) The final stage of MVC that produces the ultimate
ductile fracture involves the coalescence of numerous
microvoids into big cracks. Coalescence may occur by
joining together big microvoids with several smaller
microvoids. Frequently, the process of coalescence takes
place when ligaments of the material situated between
adjacent microvoids neck down and eventually fracture,
thereby leading to the linking of adjacent microvoids.
Depending on the state of stress (Beachem 1975), the
shape of the dimple may be equiaxed or elongated. Under
uniaxial tensile loading conditions, the microvoids grow out
in a plane usually normal to the loading axis, which takes
place in the fibrous zone located in central region of the
cup-and-cone fracture, as shown in Fig. 1.62 of Chap. 1.
The above results in the formation of micron-sized spherical
shaped ‘equiaxed dimples’, also known as ‘spherical dim-
ples’, which are found in the fibrous zone of the fracture
surface. Since the process of plastic deformation is involved
during the growth and coalescence of these microvoids, the
total energy required for fracture, i.e. toughness of the
material, is expected to depend on the size of these dimples.
It has been experimentally observed that the energy to
fracture increases as the width and depth of the observed
dimples increase (Birkle et al. 1966; Passoja and Hill 1974).
When shear stresses control the fracture process, the
nucleated microvoids grow and finally coalesce along planes
of maximum shear stress oriented at 45° to the loading axis.
As a result, those voids are elongated and form parabolic
depressions on the fracture surface, which are called
9.5 Characteristic Features of Fracture Process
‘elongated dimples’ or ‘parabolic dimples’. If two matching
fracture surfaces are compared, it will be observed that these
parabolic dimples are elongated in the direction of the
applied shear stress and thus point in opposite directions on
both halves of the fracture surface. Such dimples are
observed in the slant shear lip located in outer zone of the
cup-and-cone fracture.
When the state of stress is one of combined tension and
bending, the material undergoes tearing associated with this
non-uniform stress. The resulting tearing process produces
‘elongated dimples’, also known as ‘tear dimples’. In con-
trast to the parabolic dimples, the tear dimples point in the
same direction on the two matching fracture surfaces. It is to
be noted that the tear dimples point back towards the origin
of crack and help us to view the crack origin. Figure 9.10
presents schematically to illustrate the effect of the state of
stress on the morphology of microvoids.
9.5.3.2 Cleavage Fracture
Cleavage fracture occurs in a transcrystalline manner along
specific low-index (Reed-Hill 1973) crystallographic planes
and is usually associated with low fracture energy and thus
represents brittle fracture. However, brittle fracture may not
be always accompanied by cleavage mode of fracture. For
example, brittle fracture in high-strength aluminium alloys
can occur without cleavage. As a further example, a deeply
notched tensile specimen exhibits little gross plastic defor-
mation, i.e. a brittle behaviour, yet the fracture can occur by
a shear mode, and not by a cleavage mode. It is to be
remembered that a fracture is said to be brittle if the fracture
energy is low or the crack tip plasticity is limited, while
cleavage describes a microscopic fracture mechanism.
Low-strength ferritic steel is a ductile material, but when it is
subjected to some combinations of low temperature, high
strain rate and/or a high triaxial tensile stress field, as created
in the presence of a notch, the steel will produce a brittle
cleavage fracture. In this steel, cleavage is so closely related
to the brittle behaviour that ‘cleavage’ and ‘brittle’ are often
used synonymously in the literature of fracture.
The process of cleavage fracture is made up of three
steps: (1) plastic deformation for the development of dislo-
cation pile-ups, (2) initiation of crack and (3) propagation of
crack. It has been experimentally demonstrated that cracks
responsible for brittle cleavage fracture do not initially exist
in the material but are created by the process of deformation.
The nucleation of microcracks occurs commonly by the
cracking of second-phase particles during deformation, but
the nature of these particles can largely influence the process
of crack initiation. The resistance to cracking increases if
particles are strongly bonded with the matrix or spherical
and fine having radius less than 1 lm. If the dispersed
second-phase particles are easily cut by the dislocations,
then comparatively large pile-up of dislocations will be
385
(a)
σ1
σ2 ≅ σ3
(b)
σ1
σ3
(c)
σ1
σ2 ≠ σ3
Fig. 9.10 Diagrams illustrating the effect of the state of stress on the
morphology of microvoids. a Equiaxed microvoids known as ‘spherical
dimples’ produced by tensile stresses. b Pure shear stresses produce
microvoids, called ‘parabolic dimples’, which are elongated in the
shearing direction; i.e., these voids point in opposite directions on both
halves of the fracture surface. c Tearing process associated with
non-uniform stress produces elongated dimples (known as ‘tear
dimples’) that point back towards crack origin (Beachem 1965), i.e.
point in the same direction on the two matching fracture surfaces
produced, which will cause high stresses, and as a result,
microcracks will be initiated easily. Cleavage cracks may
also be initiated at mechanical twins (Hull 1961, 1963). The
preferred nucleation sites of crack are those where the twins
intersect with each other and with grain boundaries. This
may be observed in BCC metals subjected to low tempera-
tures and high strain rates, where twinning is the preferred
mechanism of plastic deformation.
The characteristic feature of transgranular cleavage frac-
ture surface is that at high magnification, it usually shows
typical flat cleavage steps or facets, whose size is approxi-
mately equal to that of the ferrite grain in steel. Usually,
these cleavage steps exhibit a ‘river pattern’ or ‘river
marking’ of branching cracks, wherein fine steps are
observed to combine progressively into bigger ones. The
‘flow’ direction of the ‘river pattern’ is normally believed to
386
be in the direction of crack propagation. The ‘river patterns’
appear due to the movement of the cleavage crack across the
high-angle grain boundary along a number of parallel but
slightly offset cleavage planes, which form a series of par-
allel plateaus and connecting ledges. The cleavage steps may
also be formed by the intersection of the cleavage crack with
screw dislocations when the cleavage crack crosses a
low-angle twist boundary.
Information achieved from cleavage facets may not be so
useful as far as failure analysis is concerned. However, the
phase responsible for fracture of an alloy may be detected by
observing the shape of the cleavage facet and comparing it
with the morphology of various phases in that alloy. Fur-
thermore, in materials that experience a transition of
microscopic fracture mechanism from MVC to cleavage
fracture, the presence of the cleavage mechanism may be
related to a general set of external variables. For example, in
most mild steel alloys (in which the above transition of
fracture mechanism occurs), the observation of cleavage
indicates that those materials were exposed to some com-
binations of a set of external variables like high strain rate,
low temperature and/or a high triaxial tensile stress field as
produced in the presence of a notch.
9.5.3.3 Quasi-cleavage Fracture
Quasi-cleavage fracture is mainly observed in the fracture of
quenched and tempered steel at low temperature and differs
from cleavage fracture in some aspects. The quasi-cleavage
facets on the fracture surface do not exhibit truly cleavage
Fig. 9.11 Schematically (a)
showing matching of steps in
cleavage and that of ridges in
quasi-cleavage, on two-halves of
a fracture surface
Cleavage step
9 Fracture
planes. Dimples and tear ridges are often observed around
the periphery of the facets on the quasi-cleavage fracture
surface. The size of the quasi-cleavage facet usually matches
with that of prior austenite grain unlike cleavage facet. Most
important is that river lines of quasi-cleavage fracture are
ridges and not steps as in cleavage fracture. On two-halves
of a fracture surface, there is a matching of ridges in
quasi-cleavage in contrast to matching of steps in cleavage,
as shown in Fig. 9.11.
9.5.3.4 Intergranular Fracture
The microscopic fracture mechanism that perhaps can be
most easily identified is the intergranular or intercrystalline
fracture which involves the propagation of crack along the
grain boundary. The three-dimensional shape of the grains is
often revealed by the morphology of the fracture surface.
The intergranular fracture exhibits a much smoother surface
generally without any cleavage steps. This fracture usually
shows little necking and often is associated with little total
elongation of the specimen. The intergranular fracture thus
results in a brittle fracture. The appearance of the fracture
surface predicts that the energy absorbed in an intergranular
brittle fracture is much lower than that in a transgranular
brittle cleavage fracture. The intergranular fracture is caused
by nucleation and coalescence of microvoids at inclusions or
second-phase particles located along the grain boundaries.
Mostly, brittle fractures occur in a transgranular manner, but
there are a variety of situations narrated below, which can
result in the occurrence of the brittle intergranular fractures:
(b)
Quasi-cleavage ridge
9.5 Characteristic Features of Fracture Process
(1) When a brittle phase precipitates or a film of brittle
constituent exists at the grain boundaries, as found in
molybdenum alloys containing oxygen, nitrogen, car-
bon or sensitized austenitic stainless steel.
(2) When the impurity elements segregate at the grain
boundaries causing to lower the surface energy suffi-
ciently. This leads to decohesion between adjacent
grains; for example, the embrittlement is produced by
segregation of embrittling elements like Sb, P, Sn or
As, at the grain boundaries during the temper embrit-
tlement of alloy steels, addition of antimony to copper
and oxygen to iron.
(3) When decohesion between adjacent grains occurs in
association with an aggressive atmosphere like hydro-
gen gas and liquid metals, resulting respectively, in
hydrogen embrittlement and liquid metal embrittlement.
(4) When chemical dissolution along grain boundaries
occurs leading to stress corrosion cracking.
(5) When a material possesses less than five numbers of
independent slip systems, grain-boundary separation
may occur since continuity between adjacent grains
cannot be maintained during plastic deformation.
(6) When there are grain-boundary cracking and cavity
formations at high temperatures associated with
stress-rupture conditions.
(7) During low-cycle fatigue performed at high temperature
in air, there is a transition from transgranular to brittle
intergranular fracture with decrease in frequency of
cycling because of gain-boundary oxidation.
9.6 Griffith Theory of Brittle Fracture
A. Griffith (1920) was the first person to explain the dis-
crepancy between the theoretical cohesive strength and the
observed fracture strength of a brittle material. The theory
proposed by Griffith is applicable only to a perfectly brittle
elastic solid, such as glass. According to him, a brittle
material contains a lot of fine and sharp cracks that can
produce such stress concentration that the local stress level at
the tip of the crack is raised to reach the theoretical cohesive
strength, while the applied tensile stress remains at a much
lower level than the theoretical value. It has been mentioned
earlier in Sect. 9.2 that there are several ways by which
cracks or microcracks are created in a material. So, the
critical step usually is the determination of stress required to
propagate a pre-existing crack or microcrack in a brittle
material to cause its complete fracture and the criterion
proposed by Griffith was based on this. When a pre-existing
crack grows to increase its dimension, the increase in surface
387
area of crack requires an expenditure of energy to overcome
the binding force of atoms; i.e., an increase in surface energy
is required. Since the propagation of a crack must be
accompanied by a reduction in system energy, the increase
in surface energy (as it increases the system energy) acts to
resist crack extension. This may be overcome if the addi-
tional surface energy is supplied by the decrease in elastic
stored strain energy. The elastic stored strain energy is
released as the crack advances, and thus, it acts as a driving
force for crack propagation. This release occurs because the
elastic strain cannot be continuous across the cracked region
and no elastic energy can be stored there. The criterion for
the propagation of a pre-existing crack under an applied
constant tensile stress postulated by Griffith is:
• A pre-existing crack will propagate if the decrease in
elastic stored strain energy is at least equal to the
additional surface energy necessary to form the new
crack surface.
The magnitude of the applied tensile stress required to
just spread a certain sized crack into a brittle fracture can be
determined by using the above Griffith criterion. Consider an
elliptical shaped sharp crack in an infinitely wide thin plate
of thickness t, where the crack runs from the front to the
back face, i.e. along the thickness direction of the plate as
shown in Fig. 9.12, and the plate is considered to be thin for
treating the problem under plane stress condition. The effect
of an internal crack of certain size on the fracture behaviour
is the same as that of a surface crack of length equal to half
of the length of the internal crack. Assume that the length of
the internal crack is 2a while that of the surface crack is a;
both of which are oriented normal to the applied tensile
stress. When the tensile stress ra is applied to the plate in its
longitudinal direction, the crack tends to grow in the width
direction of the plate. Since two surfaces are created when
the crack propagates, the total surface energy term Us is the
product of total surface area, which is 2 2a t for internal
crack or 2 a t for surface crack and the specific surface
energy cs ; whose unit is energy/unit area. So, Us is given by
Us ¼ 4at cs ðfor internal crackÞ
ð9:22Þ
or 2at cs ðfor surface crackÞ
The elastic strain energy per unit volume of the material is
given by the area under the linear elastic stress–strain curve,
i.e. ra e=2; where ra and e are, respectively, the applied
longitudinal stress and the resulting longitudinal strain in the
elastic range. Substituting for in terems of the Young’s
modulus, E; the elastic strain energy per unit volume, ðUE ÞV ;
for a thin plate, i.e. under plane stress condition, becomes
388 9 Fracture

Stress, σ a Stress, σa

πa

2a

πa 2 a
2

Centre line
Crack

Stress, σa
Stress, σ a
Fig. 9.13 Model for approximate calculation of release of strain
energy
Fig. 9.12 Illustration of Griffith criterion, showing that a plate of
thickness t contains an internal crack of length 2a and a surface crack of
length a; both of which are oriented normal to the applied tensile stress ra ! "
1
V ¼4( ( a ( pa ( t ðfor internal crackÞ
2
! "
r2a 1
ðU E ÞV ¼ ð9:23aÞ or 2 ( ( a ( pa ( t ðfor surface crackÞ
2E 2
The surrounding regions of the internal as well as the ¼ p2a2 t ðfor internal crackÞ or pa2 t ðfor surface crackÞ
surface crack are free from stresses where there are no lines ð9:23bÞ
of force as shown in Fig. 9.3, while the remaining regions
continue to experience the applied stress ra : Suppose the When the crack is formed, the released total elastic strain
stress-free (also strain-free) regions above and below the energy UE is obtained by multiplying ðUE ÞV from (9.23a)
internal as well as the surface crack are roughly triangular with V from (9.23b) as follows:
in shape (Knott 1973) with a width of each triangle equal
r2a
to a; as illustrated for an internal crack of semilength a in UE ¼ $ ( p2a2 t ðfor internal crackÞ
2E
Fig. 9.13. In agreement with Griffith accurate method of
r2
calculation for the elastic strain energy release, the height or $ a ( pa2 t ðfor surface crackÞ
of each stress-free triangular region is considered to be pa; 2E
as shown in Fig. 9.13. Since the number of strain-free pr2a a2 t
¼$ ðfor internal crackÞ
triangular regions in internal crack is four and that in E
surface crack is two, so the volume V of this strain-free pr2 a2 t
or $ a ðfor surface crackÞ ð9:24Þ
zone will be 2E
9.6 Griffith Theory of Brittle Fracture 389

A negative sign is used in (9.24) to indicate that total Fig. 9.14, the critical crack sizes for applied tensile stresses
elastic strain energy UE is decreased when the crack grows. ra1 and ra2 are, respectively, a+1 and a+2 ; where a+1 \a+2 ; since
Hence, the total change in the potential energy, DU; due to ra1 [ ra2 : Hence, crack size of a+1 will not propagate at an
the formation of the crack is given by applied tensile stress of ra2 due to increase in DU with crack
extension, whereas crack size of a+2 will propagate sponta-
DU ¼ U $ U0 ¼ Us þ UE neously at an applied tensile stress of ra1 due to decrease in
pr2a a2 t DU with crack extension.
¼ 4atcs $ ðfor internal crackÞ ð9:25Þ
E According to Griffith theory, if the increase in Us is bal-
2 2 anced by the decrease in UE ; the crack will grow under a
pr a t
or 2atcs $ a ðfor surface crackÞ
2E constant applied tensile stress ra ; which then becomes frac-
ture strength rf of the material. Hence, the critical condition
where
for fracture is achieved when an incremental increase in the
U potential energy of the body with crack; crack size causes no change in the total potential energy DU
U0 potential energy of the body without crack. of the system, i.e. when dðDU Þ=da ¼ 0; or dU=da ¼ 0; since
U0 does not vary with the crack length. Applying this con-
The surface energy Us (crack retarding force) varies lin-
dition to (9.25), and remembering that when fracture occurs,
early (9.22), and the elastic strain energy UE (crack driving
the applied stress ra ¼ rf (the fracture strength), we get
force) varies quadratically (9.24) with the crack size
!
a. Hence, at a given stress level, spontaneous propagation of d pa2 tr2f
cracks below a critical size will not occur because Us 4acs t $ ¼ 0 ðfor internal crackÞ; or,
da E
dominates UE leading to an increase in DU (9.25) with crack !
extension. On the other hand, cracks above a critical size d pa2 tr2f
propagate spontaneously as UE [ Us and DU deceases. The 2acs t $ ¼ 0 ðfor surface crackÞ:
da 2E
above can be illustrated with reference to Fig. 9.14 that
shows a plot of DU as a function of a; for two different 2patr2f
Or; 4cs t $ ¼ 0 ðfor internal crackÞ
applied stresses ðra Þ: DU passes through a maximum at a E
critical value of a equal to a+ ; beyond which the crack patr2f
or; 2cs t $ ¼ 0 ðfor surface crackÞ:
propagates under an applied constant tensile stress because E
there is a reduction in the system energy DU: From
Fig. 9.14, it can be seen that the greater the value of ra ; the Since t 6¼ 0;
smaller will be the critical value of a; i.e. a+ : The critical par2f
) 2cs ¼ ðfor internal and surface cracksÞ ð9:26Þ
value a+ can be found by setting dðDU Þ=da ¼ 0: In E
Equation (9.26) represents the equilibrium condition.
From (9.26), we get the fracture strength, rf ; for a thin plate,
σa > σ a
i.e. under plane stress condition (biaxial stress condition) as
1 2
rffiffiffiffiffiffiffiffiffi
2 2Ecs 2Ecs
rf ¼ ; or, rf ¼ ð9:27Þ
σa pa pa
2

∆U2*
Equation (9.27) is applicable to the internal as well as the
∆U σa surface crack in plane stress condition. The equation indi-
1
cates that the fracture strength in a brittle material is inver-
∆U1*
sely proportional to the square root of the size of the
microcrack. Thus, the fracture strength will become double
a1* a
if the crack length is reduced by a factor of four.
*
If we consider a plate which is thick in comparison with
a2
the crack length, then the plate is subjected to plane strain
condition, i.e. a condition of triaxial state of stress where the
strain is suppressed in one direction, say e3 ¼ 0: Under plane
strain condition, we know from (1.39a) that e1 ¼
½ð1 $ m2 Þr1 $ mð1 þ mÞr2 '=E: Since at the free surface of the
Fig. 9.14 Total change in the potential energy, DU; as a function of
crack, lateral contraction can occur without any restraint
the crack semilength, a; for two applied tensile stresses, ra1 and ra2 ;
where ra1 [ ra2 : from the empty crack, so r2 ¼ 0 (see Fig. 9.7). Hence, in
390
plane strain, the tensile strain e1 ¼ e; associated with an
applied tensile stress r1 ¼ ra ; is e ¼ ½ra ð1 $ m2 Þ'=E; where
m ¼ Poisson’s ratio. Therefore, the total elastic strain energy
UE released under plane strain is as follows:
(r e)
a
UE ¼ $ ( p2a2 t
2 mankind. For example, rock drilling will become easier if
r2 ð1 $ m2 Þ
¼$ a ( p2a2 t ðfor internal crackÞ
2E
( r e)
a
Or, UE ¼ $ ( pa2 t
2 its surface energy. The surface energy of copper is 1.8 J/m2
r2 ð1 $ m2 Þ
¼$ a ( pa2 t ðfor surface crackÞ:
2E
pr2a a2 tð1 $ m2 Þ
) UE ¼ $ ðfor internal crackÞ
E ð9:28Þ
pr2 a2 tð1 $ m2 Þ
or $ a ðfor surface crackÞ
2E
In analogy with the earlier derivation for plane stress
condition, the fracture strength for a brittle material under
plane strain condition using (9.28) is given by
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2Ecs
rf ¼
pað1 $ m2 Þ
Equation (9.29) is applicable to the internal as well as the
surface crack in plane strain condition. Since Poisson’s ratio
m is 0.25 for a perfectly isotropic elastic material and close to
0.33 for most materials, the fracture strength for a given
brittle material subjected to plane stress condition given by
(9.27) does not appear to differ greatly from that under plane
strain condition given by (9.29).
It is to be noted that in a given material, surface cracks of
length a are more effective than internal cracks of length 2a:
If grips holding a brittle material do not extend up to the
surface, then surface cracks are ineffective due to the
absence of stresses on the surface and the material shows a
higher strength. In a brittle material having different sizes of
cracks, the longest crack oriented normal to the stress axis is
the most effective and therefore propagates first to produce
fracture, as the applied tensile stress is increased. If one of
the broken pieces from the first test is tested for the second
time, a higher strength is usually observed because of the
elimination of the most effective crack in the first test. Even
after the Griffith condition is satisfied, a crack may not
propagate if the stress concentration at the crack tip is not
sufficient to break the interatomic bonds because the inter-
atomic bonds at the crack tip must be broken for the prop-
agation of the crack and the rupture of bonds would be
possible only if the stress concentration at the crack tip is
equal to the theoretical cohesive strength of the material.
9 Fracture
The application of surface active agents or chemicals may
reduce the surface energy term cs and thus the fracture
strength of a material. Hence, the fracture of a brittle solid is
sensitive to its surface condition, and this sensitiveness is
called the Joffe effect (Joffe 1928). The influence of surface
energy on the fracture strength can be used for the benefit of
surface active agents are used. For ice, its bending fracture
strength in air is about 1 MPa, but this strength decreases to
0.5 MPa when methyl chloride is sprayed on ice to reduce
which is reduced to 1 J/m2 by addition of 0.5% antimony to
copper.
9.6.1 Applicability of Griffith Theory
The fracture strength of a perfectly brittle material like glass
is satisfactorily predicted by the Griffith equation. But the
Griffith relation is not applicable to metals because when the
observed fracture strength of metal like zinc crystal is sub-
stituted in the Griffith equation it results in a critical crack
size of several millimetres, which may exceed the smaller
ð9:29Þ
dimension of the specimen.
Equation (9.16) shows that the crack-tip radius qt is
included in the equation for fracture strength derived from
the stress concentration point of view, while (9.27) and
(9.29) derived from the Griffith theory do not involve qt
term, although the crack is assumed to be very sharp having
a very small crack-tip radius. To evaluate qt in the Griffith
relation, (9.27) is compared with the following (9.30), which
is obtained by rearranging (9.16) as follows:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2Ecs pqt 2Ecs qt
rf ¼ % ð9:30Þ
pa 8r0 pa 3r0
When qt ¼ ð8r0 Þ=p % 3r0 ; (9.30) reduces to the Griffith
equation for plane-stress fracture strength given by (9.27).
When the crack-tip radius becomes infinitely small, i.e.
approaches zero, it will not be reasonable to expect the
fracture strength of the material to approach zero value. So,
when the value of qt decreases below ð8r0 Þ=p % 3r0 ; the
value of fracture strength rf is believed to be not less than
that given by the Griffith equation, which is expected to give
the minimum value for the plane-stress fracture strength of a
brittle material containing the sharpest possible fine crack.
Hence, it can be concluded that in plane stress condition, the
fracture strength for a brittle material is given by the Griffith
(9.27) when qt , ð8r0 Þ=p or aproximately , 3r0 ; while that
is given by the (9.16) derived from the stress concentration
point of view when qt [ ð8r0 Þ=p or aproximately [ 3r0 :
9.6 Griffith Theory of Brittle Fracture
9.6.2 Modification of Griffith Theory
Even when metals fail in a completely brittle manner, some
amount of plastic deformation precedes this brittle fracture.
This has been confirmed from studies of fracture surfaces by
X-ray diffraction (Klier 1951; Chang 1955; Felbeck and
Orowan 1955) and by metallographic studies of fracture.
Even a small amount of plastic deformation occurring at the
tip of crack prior to fracture is expected to blunt the crack tip
and increase the radius qt ; which makes the fracture strength
of a brittle metal greater than that of a perfectly brittle elastic
material. Thus, Griffith equation for the fracture strength is
not valid for brittle metals. One way to get the fracture
strength of a brittle metal is to use (9.16) derived from the
stress concentration point of view. The other way to deter-
mine the fracture strength of a brittle metal is to use the
following (9.31), suggested by Orowan (1950).
9.6.2.1 Orowan Relation
Considering the plastic deformation in the fracture process
of brittle metals, Orowan suggested to modify the Griffith
relation and include the energy of plastic deformation in
(9.27) and (9.29) derived from the Griffith theory, respec-
tively, for plane stress and strain conditions. The Griffith
equations in plane stress and strain conditions modified by
Orowan are given below, respectively, by (9.31a) and
(9.31b).
sffiffiffiffiffiffi&ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi'ffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2E cs þ cp
rf ¼
pa
sffiffiffiffiffiffi&ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi'ffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
2E cs þ cp
rf ¼
pað1 $ m2 Þ
where cp ¼ plastic deformation energy, whose unit is
energy/unit area. The estimation of cp shows a variation
from about 102–103 J/m2, whereas cs varies from about 1–
2 J/m2. Since cp * cs ; i:e: cp =cs * 1; neglecting 1 from
both equations of (9.31), we get
In plane stress condition,
sffiffiffiffiffiffiffiffiffiffi!
ffiffiffiffiffiffiffiffi"
2Ecs cp
rf ¼
pa cs
In plane strain condition,
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
2Ecs
rf ¼
pað1 $ m Þ cs
391
Equations (9.32a) and (9.32b) are simplified forms of
Orowan equation for fracture strength. Now, observing the
similarity between (9.30) and (9.32a) and equating them for
the fracture strength rf , a relation between the crack-tip
radius qt ; and the plastic deformation energy cp ; can be
developed as follows:
rffiffiffiffiffiffi rffiffiffiffi
qt cp
¼ ; or qt / cp ð9:33Þ
3r0 cs
Equation (9.33) shows that the higher the plastic defor-
mation energy cp ; i.e. the higher the amount of plastic
deformation ahead of the crack tip prior to fracture, the more
is the blunting of the crack tip resulting in a higher crack-tip
radius qt : The limitation of Orowan equation is that it is
difficult to measure the plastic deformation energy cp :
9.6.2.2 Irwin Approach
In the equations for fracture, Griffith used the term cs and
& '
Orowan used cs þ cp ; both of which require an increase in
energy; i.e., both are energy sink terms. Instead, Irwin
(1949) and Irwin et al. (1958) considered to use the energy
source term for the fracture strength of a brittle material
which undergoes a small amount of plastic deformation prior
to its fracture. The energy source term is the release of the
elastic strain energy per unit crack surface-area increment,
whose unit is the energy per unit area, i.e. J/m2 or, N/m. This
is called elastic strain energy release rate and denoted by G.
! " This elastic strain energy release rate G is also referred to as
2Ecs cp
¼ 1þ ð9:31aÞ the crack driving force or the crack extension force and easy
pa cs
to measure unlike the term cp : Irwin showed that
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
ffiffiffi In plane stress condition,
2Ecs cp
¼ 1þ ð9:31bÞ par2a
pað1 $ m2 Þ cs G¼ ð9:34aÞ
E
And in plane strain condition,
par2a ð1 $ m2 Þ
G¼ ð9:34bÞ
E
The above equations can be explained in the following
way. According to definition, G can be expressed as G ¼
ffiffiffi rffiffiffiffiffiffiffiffiffi $dUE =dA; where dUE is the change in elastic strain energy
2Ecp which is preceded by a negative sign showing a decrease in
¼ ð9:32aÞ
pa energy and dA is the increment in crack surface area, in which
dA ¼ 2t da for internal crack or dA ¼ t da for surface crack,
t ¼ thickness of specimen having through-thickness crack
ffiffiffiffiffiffiffiffi"
ffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi and da ¼ increment in crack length in the width direction of
cp 2Ecp specimen subjected to loading normal to the crack plane in
2
¼ ð9:32bÞ
pað1 $ m2 Þ the longitudinal direction. Considering the expression for UE
given by (9.24), G in plane stress condition is given by
392 9 Fracture

dUE dUE energy. The necessary additional surface energy is supplied

G¼$ ¼$ ðfor internal crackÞ
dA 2tda by the release of elastic strain energy, $dUE ; and the work
dUE done by the external body force, Pdd (Irwin and Kies 1954).
or, $ ðfor surface crackÞ
tda The work done Pdd consumes some energy and is a positive
pr2 2at par2a energy term, whereas dUE is an energy source term and so it
¼ a ¼ is preceded by a negative sign. Hence, the elastic strain
2tE E
ðin plane stress; for surface and internal cracksÞ: energy release rate for a body of thickness t is expressed by
(9.37)
Similarly, considering the expression for UE given by
(9.28), G in plane strain condition can be obtained, which is dd dUE
G¼P $ ð9:37Þ
same as that given by (9.34b). tda tda
When this crack driving force G reaches a critical value
Figure 9.15a shows that an axial tensile load P is applied
Gc , the crack will extend in an unstable manner leading to
in the elastic range through pins to a test specimen of
fracture of the material and ra becomes rf : So, (9.34)
thickness t having a single notch at its edge. The sharpest
changes to
rffiffiffiffiffiffiffiffi possible crack is introduced in the specimen by fatigue
EGc cycling at the tip of the notch produced by machining. The
In plane stress condition; rf ¼ ð9:35aÞ
pa initial crack length a in the specimen is taken as the sum-
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi mation of the depth of machined notch and the length of
EGc fatigue crack. When the specimen is elastically loaded, the
And in plane strain condition; rf ¼
pað1 $ m2 Þ displacement of this crack (also known as the load dis-
placement), d; is measured with a clip gage placed at the
ð9:35bÞ
mouth of the crack as a function of the load P; and load
Note that a directly measurable term, Gc , is included in P versus displacement d curve is determined for this crack
the Irwin’s fracture stress equation, whereas Orowan’s length a. The amount of stored elastic strain energy UE is the
fracture stress equation includes the term cp ; which is diffi- area under this linear load versus displacement curve and
cult to measure. given by
Equations (9.35) are among the most important relations
in the field of fracture mechanics. The resistance to unstable 1 1 P2
UE ¼ Pd ¼ ð9:38Þ
propagation of crack leading to fracture of a material having 2 2M
pre-existing cracks or discontinuities is called the fracture where
toughness of that material. Hence, the critical value of elastic
strain energy release rate G that makes the crack to propagate M ¼ P=d body stiffness for crack length a:
as a fracture is called the fracture toughness, Gc ; and is When the existing crack grows by an amount da so that
considered as a material parameter. By comparing (9.35a) the crack length becomes a0 ; where a0 ¼ a þ da; the deter-
with (9.31a) or (9.35b) with (9.31b), we obtain mination of the critical elastic strain energy release rate Gc
& ' can be carried out under the following conditions:
G c ¼ 2 cs þ cp ð9:36Þ

(1) Fixed grip condition: In this case, the test specimen is

rigidly gripped so that an increment in crack growth by
9.7 Elastic Strain Energy Release Rate an amount da causes the load to drop from P1 to say
P2 ; with consequent decrease in the body stiffness from
In this section, we will consider the significance of elastic M1 to say M2 ; but there is no displacement of load, i.e.
strain energy release rate G and the experimental measure- d1 ¼ d2 ðsayÞ: In such case, the ratio of load to body
ment of its critical value Gc using single-edge sharply not- stiffness will remain constant, since from Fig. 9.15b
ched test specimen. Let us consider that a tensile load, P;
acting on a precracked body of thickness t produces a load
displacement equal to dd and extends the crack by an
P1 P2
amount da: The extension of crack creates new surface d1 ¼ d2 ¼ ¼ ð9:39Þ
requiring additional energy but decreases the elastic strain M1 M2
9.7 Elastic Strain Energy Release Rate 393

Fig. 9.15 a A test specimen of (a) P (b) P1 P1′ = P1

thickness t with notch at its edge
for determination of crack
extension force G: b Load–crack
displacement behaviour of
cracked specimen for case where M1 P
2
crack length increases by an
amount da: OP2 corresponds to dδ
fixed grip case, while 0P01
corresponds to fixed load P
M2
condition da

δ1 δ 2 (Fixed load)
0 dδ
δ
P δ1 = δ2 (Fixed grip)

P P01 ¼ constant, so d1 ¼ P1 =M1 and d2 ¼ P01 =M2 ¼

Since from (9.39) ¼ constant,
M P1 =M2 : Now, the crack driving force for specimen of
! " thickness t under constant-load condition, i.e. for P ¼
@P 1 @ ð1=M Þ
) þP ¼ 0; constant, can be obtained by substituting UE from (9.38)
@a M @a
ð9:40Þ into (9.37) and considering d ¼ P=M; as follows:
1 @P @ ð1=M Þ
Or, ¼ $P ! "
M @a @a @d @ 1
GP ¼ P $ Pd
Hence, the crack driving force, Gd for specimen of t@a t@a 2
! "
thickness t under fixed grip condition, i.e. for d ¼ constant, 1 @d 1 @ P
can be obtained by substituting @d=@a ¼ 0 into (9.37) and ¼ P ¼ P ð9:43Þ
2t @a 2t @a M
considering (9.38) for UE as follows: 1 @ ð1=M Þ
! " # ! "$ ¼ P2
@UE 1 @ P2 2t @a
Gd ¼ $ ¼$
t@a d 2t @a M d Equations (9.42) and (9.43) show that Gd ¼ GP : There-
# $ ð9:41Þ
1 2P @P 2 @ ð1=M Þ fore, the elastic strain energy release rate is the same for both
¼$ þP
2t M @a @a conditions of fixed grip and constant load; i.e., G is inde-
pendent of the type of load application. Further, it is
By substituting the result of (9.40) into (9.41), we get the
observed from (9.42) and (9.43) that the elastic strain energy
following (9.42) for Gd for specimen with thickness = t:
release rate for a body of unit thickness is a function of load
# $ and the slope of the compliance versus crack length curve.
1 2 @ ð1=M Þ 2 @ ð1=M Þ
Gd ¼ $ $2P þP When the crack grows in an unstable manner leading to
2t @a @a
ð9:42Þ fracture of the material, the critical elastic strain energy
1 2 @ ð1=M Þ
¼ P release rate or the fracture toughness Gc for a body having a
2t @a
thickness = t and that for a body of unit thickness are
where 1=M ¼ compliance of the cracked body ¼ d=P: The respectively, given by
compliance increases with increase of crack length and vice
versa. P2f @ ð1=M Þ
Gc ¼ ð9:44aÞ
2t @a
(2) Constant-load condition: In this case, an increment in
P2f @ ð1=M Þ
crack growth by an amount da results in an increase in d Gc ¼ ð9:44bÞ
2 @a
by an amount dd; say from d1 to d2 ; with consequent
drop in the body stiffness from M1 to M2 (say), as shown where Pf ¼ load at which fracture of the material takes
in Fig. 9.15b. Since the load is kept fixed, i.e. P1 ¼ place.
394 9 Fracture

Equations (9.44) are applicable to brittle materials cap- plate having a through-thickness internal sharp crack is
able of plastic deformation, but the degree of plasticity at the loaded with uniaxial tensile stress ra ; applied normal to the
crack tip prior to the fracture must be very small. plane of the crack, the elastic stress distribution at the crack
For cracked bodies containing cracks of increasing tip in terms of the notation shown in Fig. 9.18 is given by
lengths, with a1 \a2 \a3 \a4 ; and so on, the load–dis- the following (9.45):
placement plot can be made experimentally in a manner rffiffiffiffi # ! "$
similar to that described above. For fixed grip case, i.e. for a h h 3h
ry ¼ ra cos 1 þ sin sin ð9:45aÞ
fixed displacement of load d; with increasing the crack length 2r 2 2 2
the loads will drop that will make P1 [ P2 [ P3 [ P4 ; and rffiffiffiffi # ! "$
so on, as shown in Fig. 9.16a. Similarly, for constant-load a h h 3h
rx ¼ ra cos 1 $ sin sin ð9:45bÞ
case where P1 ¼ constant, with increasing the crack length 2r 2 2 2
the load displacements d will increase, which will make rffiffiffiffi # $
d1 \d2 \d3 \d4 ; and so on, as shown in Fig. 9.16b. The a h h 3h
sxy ¼ ra sin cos cos ð9:45cÞ
slope of the linear plot for load versus displacement is the 2r 2 2 2
stiffness of the body, and this stiffness decreases with
where
increasing the crack length for fixed grip as well as fixed load
conditions, which means M1 [ M2 [ M3 [ M4 ; and so on ra applied stress calculated on the basis of the gross
for both cases. Now, measure these slopes of these linear cross-sectional area of a specimen without taking into
plots for various crack sizes and plot the reciprocal of stiff- account the effect of crack, i.e.
ness, i.e. compliance versus crack length curve. Since spec-
imen compliance 1=M ¼ d=P; the variation of the values of applied load P
ra ¼ ¼ ;
1=M as a function of the crack length a takes the form given ðwidth ( thicknessÞ of specimen w ( t
in Fig. 9.16c. Once the compliance as a function of crack
length has been established for a given specimen configura- ry normal stress acting in the y-direction;
tion, the critical elastic strain energy release rate or the rx normal stress acting in the x-direction;
fracture toughness Gc of the specimen can be determined sxy shear stress lying on a plane normal to the x-direction
from (9.44) by noting the load at fracture Pf ; provided the and acting in the y-direction;
degree of plasticity at the tip of crack is kept to a minimum. a half of the length of an internal crack;
r arbitrary radial distance from the crack tip; and
h arbitrary angle of orientation ahead of the crack.
9.8 Stress Intensity Factor The crack-tip stresses given by (9.45) are valid if
a [ r [ qt ; where qt is the crack-tip radius. For any distance
Fracture mechanics is concerned with the study of the directly ahead of the crack tip, i.e. at an orientation angle of
fracture of flawed components that may be based on a stress h ¼ 0; (9.45) are reduced to
analysis of the elastic stress distribution near a crack tip
rffiffiffiffi
located in a linear elastic body using the concepts of elastic a
theory. Although fracture mechanics can mainly be divided ry ¼ rx ¼ ra and sxy ¼ 0
2r
into three parts—(1) linear elastic fracture mechanics or
LEFM, (2) elastic–plastic fracture mechanics or EPFM From (9.45), Irwin pointed out that the stress fields in the
pffiffi
(3) gross yielding fracture mechanics or GYFM, discussions vicinity of a crack depend on ðra ( aÞ: He defined this
in the text will be limited to LEFM and consideration of the stress field parameter as the stress intensity factor K: For a
rest two divisions is beyond the scope of the text. Generally, sharp elastic through-thickness small central crack of length
LEFM approach works well for high-strength materials, i.e. 2a in an infinitely wide plate loaded with uniaxial tension, K
for materials whose yield strength [ E=150: where E is the is given by
modulus of elasticity, but LEFM is less universally appli- pffiffiffiffiffi
K ¼ ra pa ð9:46Þ
cable for low-strength structural materials.
Irwin modified the Airy stress function approach used by Note that the dimension of K is the unit of stress multi-
Westergaard (1939) and published solutions (Irwin 1958) for pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffi
plied by the unit of length i.e. Pa m; or N m$3=2 : Using
stress distribution at the crack tip for three major modes of K defined by (9.46), the crack-tip stresses from (9.45) can be
loading, as shown in Fig. 9.17. If an infinitely wide thin rewritten in terms of K as
9.8 Stress Intensity Factor 395

Fig. 9.16 Method of (a)

establishing compliance versus
crack length relation for a given
specimen configuration. Effect of Crack length, a1 < a2 < a3 < a4
crack length on load–crack P1
displacement behaviour: a fixed
grip case and b fixed load case.
c Compliance as a function of
(c)
crack length P2
a1 M1

M2
P P3

a2
M3 1
P4
a3
M
M4
a4

0 δ 1 = Constant a1 a2 a3 a4
δ a

Fixed grip Compliance–crack length curve

(b)
Crack length, a1 < a2 < a3 < a4
a1 a2 a3 a4
P1

M1

M2
P

M3

M4

0 δ1 δ2 δ3 δ4
δ
Fixed load

Fig. 9.17 Different types of y y

crack surface displacement, y
associated with three major
modes of loading
x x
x

z z z

Mode I Mode II Mode III

396 9 Fracture

Stress, σ a (i) Y ¼ 1; for a sharp elastic through-thickness small

central crack of length 2a in an infinitely wide plate
σy loaded with uniaxial tension.
(ii) Y ¼ 1:1; for a sharp elastic through-thickness small
surface crack with depth a from surface in an infi-
τ xy
y nitely wide plate loaded with uniaxial tension.
σx σx rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
w pa
τ (iii) Y ¼ tan ; for a centrally located
yx pa w
r through-thickness crack of length 2a in a plate of
σz
ρt θ σy width w loaded with uniaxial tension, where w ¼ 6a:
x
2a
2
(iv) Y ¼ ; for an embedded circular flaw of radius a or a
p
z semicircular surface flaw of radius a in an infinitely
w wide plate loaded with uniaxial tension.
t
2
(v) Y ¼ ð1:12Þ2 ; if semicircular surface flaw of radius
p
Fig. 9.18 Distribution of elastic stresses in the vicinity of the tip of a crack a lies along two free surfaces in an infinitely wide
plate loaded with uniaxial tension.
! "
K h h 3h (vi) The empirical expression proposed by Feddersen
ry ¼ pffiffiffiffiffiffiffi cos 1 þ sin sin ð9:47aÞ rffiffiffiffiffiffiffiffiffiffiffiffi
2pr 2 2 2 pa
(1967) reveals that Y ¼ sec ; for a partial
! " w
K h h 3h through-thickness crack in a plate of width w loaded
rx ¼ pffiffiffiffiffiffiffi cos 1 $ sin sin ð9:47bÞ
2pr 2 2 2 with uniaxial tension, where a is the depth of pene-
! " tration of the crack through the component wall
K h h 3h thickness t and width w ¼ 2t:
sxy ¼ pffiffiffiffiffiffiffi sin cos cos ð9:47cÞ
2pr 2 2 2
At this point, it is worthy to mention that information
It is clear from (9.47) that these local stresses at the root of
provided by the stress intensity factor K is more than that by
the crack could rise to excessively high levels as r approaches
the stress concentration factor, Kt : Because Kt contains only
zero, but this high rise does not happen because of the onset
the geometrical variables related to crack, i.e. the crack
of plastic deformation at the crack tip, as discussed in
length and the crack-tip radius, whereas K includes both the
Sect. 9.4. The stress distribution around any crack or flaw can
stress level and the crack geometry having distinct appear-
be conveniently described by the stress intensity factor K: If
ance of the crack length with assumption of very sharp
the values of K are identical for different cracks or flaws of
crack-tip radius.
various geometry, then the magnitudes of the stress field
around each of the cracks or flaws are exactly alike. Irwin
showed that K is a function of applied stress and crack length,
9.8.1 Different Crack Surface Displacements
where the functionality depends on the manner of load
application and configurations of cracked components. Many
Figure 9.17 shows that there are different types of crack
such functions for various configurations of cracked com-
surface displacement, which are associated with three major
ponents and different types of loading have been determined
modes of loading. They are as follows:
with the theory of elasticity and can be obtained from the
literatures of fracture mechanics (Paris and Sih 1965; Tada
(1) Mode I or crack opening mode or tensile mode, where a
et al. 1973; Sih 1973; Murakami 1987). However, there may
pffiffi tensile stress is applied in a direction perpendicular to
be situations where K / ð1= aÞ or K is independent of a,
the surfaces of the crack so that the crack faces move
and these have also been reported in these literatures.
directly apart. This type of loading is experienced by the
Generally, the stress intensity factor is expressed by
majority of engineering cracked components and that’s
pffiffiffiffiffi why it is the usual mode for fracture toughness testing.
K ¼ Yra pa ð9:48Þ
(2) Mode II or sliding or forward shear or in-plane shear
where Y is a parameter that depends on the types of loading mode, where a shear stress is applied in a direction per-
and the geometry of crack and specimen configurations. For pendicular to the leading edge of the crack but in the
example, the different values of Y are given below (Irwin surface of the crack, and as a result, the crack faces slide
et al. 1967; Tada et al. 1973; Dieter 1988; Hertzberg 1989). over one another in a direction normal to the leading edge
9.8 Stress Intensity Factor
of the crack. This type of loading is observed less fre-
quently and its importance in the field of engineering is
little, although a mixed Mode I–II loading may be found.
(3) Mode III or tearing or parallel shear or antiplane shear
mode, where a shear stress is applied in a direction
parallel to the leading edge of the crack so that the crack
faces move relative to one another in a direction parallel
to the leading edge of the crack. This type of loading
involves pure shear and is observed in a notched round
bar loaded in torsion.
9.8.2 Relationship Between Energy Release Rate
and Stress Intensity Factor
In dealing with fracture mechanics, the stress intensity factor
K is preferred to the elastic strain energy release rate G
because analytical determination of K is more flexible,
although G has a more direct physical significance to the
process of fracture. We can relate these two parameters as
follows:
From (9.34a) and (9.46),
pffiffiffiffiffiffi pffiffiffiffiffi
EG ¼ ra pa ¼ K;
ð9:49aÞ
) In plane stress condition, K 2 ¼ GE
From (9.34b) and (9.46),
rffiffiffiffiffiffiffiffiffiffiffiffi
EG pffiffiffiffiffi
¼ ra pa ¼ K;
1 $ m2
) In plane strain condition;
9.8.3 Fracture Toughness
Once we know the stress intensity factor K for a particular
configuration of cracked component under a definite type of
loading, the maximum value of K required to cause fracture
of this component is then possible to determine. The fracture
toughness of the material is defined as the critical value of
stress intensity factor, which makes the crack propagate to
fracture. The fracture toughness is denoted by Kc in the
literature. We may say the relation between stress and
strength is analogous to that between the stress intensity
factor and fracture toughness, which is explained below.
Levels of stress experienced by a member vary with the
values of the applied load and the cross-sectional area of the
member, but the stress required for permanent plastic
deformation or for fracture has a unique value for a given
material and is, respectively, called the yield strength or
fracture strength. Similarly, the magnitudes of the stress
intensity factor K at the crack tip depend on the values of the
397
applied load and the length of crack in the component, but
the unique value of the stress intensity factor required to
cause fracture is called the critical stress intensity factor or
fracture toughness Kc : Therefore, from the above analogy, it
may be said that stress is to strength as the stress intensity
factor is to fracture toughness. A critical value of the stress
intensity factor determined for the Mode I type of loading
under a plane strain state of stress is designated as KIc and
known as plane-strain fracture toughness. The plane-strain
fracture toughness KIc is a measure of the inherent resistance
of the material to brittle fracture, i.e. unstable rapid fracture
in the presence of a crack-like defect. It is a basic material
property just like the yield strength of material.
From Chap. 1, we already know that the tensile beha-
viour of a material depends on the temperature and strain
rate of testing. Since the values of plane-strain fracture
toughness KIc drop often sharply with increase in the
strength of a material (Hertzberg 1989) and the strength of a
material usually increases as the deformation temperature is
decreased or the strain rate is increased, it is expected that
the values of plane-strain fracture toughness KIc for a given
material may decrease with decreasing test temperature and
increasing strain rate. This occurs particularly for structural
steel (Hertzberg 1989). Further, KIc for a given alloy
strongly depends on a number of metallurgical variables,
such as melting practice, heat treatment, texture, inclusions,
impurities. Experimental determination of KIc is performed
by tests usually conducted at room temperature at low strain
rates of approximately 10$ 5 s$1 : Studies are now being
ð9:49bÞ
GE conducted to establish an acceptable standard for dynamic
K2 ¼ KIc level, called KId ; at strain rates of about 10 s−1, which
ð 1 $ m2 Þ
corresponds to impact loading conditions.
9.9 Plastic Zone at Crack Tip
Whenever the stresses given by (9.47) exceed the yield
strength of the material, the material will yield and a zone of
plasticity will be developed at the crack tip. This is illus-
trated in Fig. 9.19. To obtain an estimate of the size of this
plastic zone, let us consider the elastic stresses that exist at
any distance directly ahead of the crack tip. The elastic stress
in the loading direction, i.e. in the y-direction at an orien-
tation angle of h ¼ 0, is given by
K
ry ¼ pffiffiffiffiffiffiffi ð9:50Þ
2pr
Since the elastic stress ry increases with decreasing r; as
shown in (9.50), the elastic stress ry given by (9.50) will
exceed the yield strength r0 at some distance r from the
crack tip. Let us assume that at a distance r\rp from the
crack tip, ry [ r0 ; and at the elastic–plastic boundary, i.e. at
398 9 Fracture

1 Kc2
rp c ¼ ð9:53aÞ
2p r20
K
σy σ y =
2πr & ' 1 KIc2
rpc ¼ ð9:53bÞ
P:Strain 6p r20
Modified stress
σ0
distribution
elastic + plastic
9.9.1 Effective Stress Intensity Factor

As a result of crack-tip plasticity, the stiffness of body

r initial crack length a plus the radius of the plastic zone.
rp
Fig. 9.19 Size estimation of plastic zone at the crack tip. ‘Effective’
crack length is shown to be initial crack length plus the radius of the
plastic zone, rp
r ¼ rp ; the elastic stress is truncated at the value of yield
strength making ry ¼ r0 ; as shown in Fig. 9.19. As a first
approximation, if the distance rp is assumed to be the size of
the plastic zone, then
K 1 K2
r0 ¼ pffiffiffiffiffiffiffiffiffi ; or; rp ¼
2prp 2p r20
However, the diameter of plastic zone must be larger than
rp given by (9.51). The shaded region in Fig. 9.19, where
ry [ r0 ; represents the load-carrying capability of the
material that must be compensated for by increasing the size
of the plastic zone. More detailed analysis shows that the
diameter of plastic zone in plane stress condition is 2rp :
Hence, the radius, rp ; of plastic zone in plane stress con-
dition is given by (9.51).
Since the triaxial stress field in plane strain condition
restricts the extent of plastic deformation, the size of plastic
zone is suppressed and becomes smaller than that given by
(9.51). Estimation (McClintock and Irwin 1965) shows that
the radius of plastic zone in plane strain condition is
& ' 1 K2
rp P:Strain ¼
6p r20
becomes lower compared to the strictly elastic situation.
Hence, the presence of the plastic zone makes the material
behave as if the crack were longer than its actual size. Irwin
(1958) proposed that the effective crack length is the actual
Hence, the effective crack length will increase the applied
stress intensity factor K; which may be termed as effective
stress intensity factor and denoted by Keff : Now, on substi-
tuting Keff for K into (9.51), the effective crack length, aeff ;
in plane stress condition will be given by
2
1 Keff
aeff ¼ a þ rp ¼ a þ ð9:54Þ
2p r20
Similarly, using (9.52), the effective crack length,
ðaeff ÞP:Strain ; in plane strain condition is given by
& 2 '
& ' 1 Keff P:Strain
ðaeff ÞP:Strain ¼ a þ rp P:Strain ¼ a þ ð9:55Þ
ð9:51Þ 6p r20
Since the plastic-zone size is a function of the effective
stress intensity factor and the effective stress intensity factor
is a function of the effective crack length that involves the
plastic-zone size, the value of the effective stress intensity
factor must be determined by an iterative process. For a
sharp elastic through-thickness small central crack of length
2a in an infinitely wide plate loaded with uniaxial tension,
where the stress intensity factor K is defined by (9.46),
iteration is not necessary and the effective stress intensity
factor may be determined directly in plane stress condition
using (9.54) and in plane strain condition using (9.55), as
shown below.
In plane stress, the effective stress intensity factor is:
sffiffiffi!
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
ffiffiffi
2
pffiffiffiffiffiffiffiffiffi 1 Keff
Keff ¼ ra paeff ¼ ra p a þ ;
ð9:52Þ 2p r20

When a material fractures under plane stress or plane 2 r2 K 2

Or; Keff ¼ r2a pa þ a eff ;
strain condition, the respective critical radius of plastic zone 2 r20
& ' " ! " #
rpc or rpc P:Strain at fracture can be obtained on substituting the 2 1 ra 2
Or; Keff 1 $ ¼ r2a pa
fracture toughness Kc or the plane-strain fracture toughness 2 r0
KIc for K, respectively, into (9.51) or (9.52), as given below:
9.9 Plastic Zone at Crack Tip 399

pffiffiffiffiffi causing plane stress condition to predominate and the

ra pa K
) Keff ¼" ! "2 #1=2 ¼ " ! "2 #1=2 ð9:56Þ maximum value of fracture toughness is exhibited by the
1 ra 1 ra material. It is to be noted that if the thickness of specimen is
1$ 1$
2 r0 2 r0 further decreased below the value of t1 ; as shown in
Fig. 9.20, the fracture toughness would gradually decrease
Similarly, in plane strain condition, the effective stress instead of increase because less volume of material would be
intensity factor is: available in a thinner specimen for absorption of energy in
pffiffiffiffiffi the process of plastic deformation. Conversely, when the
ra pa K
ðKeff ÞP:Strain ¼ " ! "2 #1=2 ¼ " ! "2 #1=2 thickness of specimen is increased above t1 , the fracture
1 ra 1 ra toughness starts to drop sharply due to increase of plastic
1$ 1$
6 r0 6 r0 constraint. When the specimen becomes sufficiently thick,
say thickness t ¼ t2 ; the plastic constraint reaches the max-
ð9:57Þ
imum level leading to the development of an absolute plane
The above (9.56) and (9.57) show that the effective stress strain state of stress with a high degree of triaxiality at the
intensity factor is always greater than the applied K; but the crack tip and the fracture toughness drops to a value that
difference between them increases with the ratio of the may be one-third or less than that of the plane stress value.
applied stress ra to the yield strength r0 of the material. This plane-strain fracture toughness KIc does not drop fur-
Under low applied stress conditions or for high-yield-strength ther with increasing thickness of specimen, i.e. reaches the
materials, this difference will be very small; i.e., the effective lowest limit of saturation with respect to the thickness
stress intensity factor will be a little higher than the applied K; increase of specimen and thus provides the conservative
and this occurs when the ratio of plastic-zone size to crack values of toughness of engineering materials in any appli-
length is very small. So, when the size of the plastic zone is cation. It means that the value of KIc determined in the
very small relative to the actual crack length, the plasticity laboratory for a given material with a specimen having the
correction to the stress intensity factor is generally neglected minimum thickness of t2 ; as shown in Fig. 9.20, must be the
in practice. On the other hand, under high applied stress same for an engineering component of the same material
conditions or for low-yield-strength materials, the effective with a thickness greater than t2 : So, the basic difference
stress intensity factor will be considerably greater than the between Kc and KIc lies in the fact that Kc is dependent on
applied level of stress intensity factor. This happens when the both specimen thickness and metallurgical variables, while
ratio of the size of plastic zone to the actual crack length KIc is independent of specimen thickness and depends only
becomes appreciably large, and in such cases, the applied on metallurgical variables, such as inclusions, impurities,
stress intensity factor requires the plastic-zone correction. melting practice, heat treatment, texture. The fracture

9.10 Fracture Toughness: Plane Stress

Versus Plane Strain

The state of stress operating at the crack tip decides the size
of the plastic zone, as discussed in the previous section. As
shown by (9.51) and (9.52), the radius of the plastic zone in
thin specimen subjected to plane stress condition is three Kc
times larger than that in thick specimen experiencing plane
strain condition. Because when the thickness of specimen is
large in a direction parallel to the crack front, a large
through-thickness stress is induced that limits the plastic
deformation in that direction. Since the fracture toughness of
the material increases with the extent of plasticity prior to KIc
fracture, i.e. with the size of the plastic zone at the crack tip
and since the plastic-zone size increases with the decrease in
the thickness of specimen, it follows that the fracture t2 t1
toughness Kc increases with the decrease in the thickness t of 1
specimen, as shown in Fig. 9.20. Suppose when the thick- t

ness of specimen is t ¼ t1 ; the intensity of the constraining Fig. 9.20 Variation in fracture toughness, Kc ; with thickness, t, of
stresses acting at the crack tip reaches the minimum level specimen
400
Mixed-mode
fracture
Fracture stress
Plane-strain fracture
Thickness, t
Fig. 9.21 Effect of specimen thickness, t, on fracture stress
toughness also changes with external variables like tem-
perature and strain rate, and KIc is usually observed to
decrease with decrease in temperature and increase in strain
rate. Since KIc is a basic material property just like the yield
strength of material, so the best way for comparison of
different materials with varying thickness with respect to
their inherent fracture toughness levels is to compare their
KIc values. Once KIc is determined for a particular material,
it is possible to compute the fracture strength of that material
for a given flaw size. Figure 9.21 shows the effect of the
specimen thickness t on the measured fracture stress.
Since the effects of the state of stress on fracture toughness
are influenced by the ratio of the plastic-zone size or radius rp
to the specimen thickness t, it is useful to consider the tran-
sition in the state of stress in terms of rp =t; where rp is cal-
culated arbitrarily with the relation for plane stress condition
as given by (9.51). Figure 9.22 shows a variation of fracture
toughness Kc with rp =t; instead of only 1=t; as shown in
Fig. 9.20. It is observed from experience that a state of plane
stress exists and fracture toughness Kc is high when
& '
rp =t - 1, and on the other side, a condition of plane strain
will be present at the crack tip resulting in the lowest value of
& '
fracture toughness, i.e. KIc ; if rp =t \ð1=10Þ (Hertzberg
1989). Since at any given level of stress intensity factor rp /
& '
1=r20 [see (9.51)], so the increase of the yield strength r0 by
a factor of two using some treatment will reduce the
plastic-zone size rp by a factor of four, which in turn will
cause the sample thickness t required for the development of
a plane-strain condition to reduce by the same factor of four,
assuming that KIc has not been changed by that treatment.
Similarly, the sample thickness required to achieve a state of
plane stress will depend on the yield strength of the material.
Hence, it is clear that a state of plane strain can exist even in a
very thin piece of a high-yield-strength material, whereas an
absolute plane-stress condition may never develop in a very
thick piece of a low-yield-strength material.
Again, the transition in the macroscopic mode of fracture
from slant to flat or flat to slant depends on the state of stress
9 Fracture
100
Mixed mode
Plane strain Plane stress
Kc
% Flat fracture
KIc
0
0.1 1.0
rp /t
Fig. 9.22 Effect of ratio of plastic-zone size to specimen thickness on
fracture toughness and macroscopic appearance of fracture surface.
Plane-stress condition is associated with maximum toughness and slant
fracture, whereas plane-strain condition is associated with minimum
toughness and flat fracture
prevailing at the crack tip. When the state of plane stress
associated with the maximum toughness exists at rp - t;
fracture often occurs on those planes having maximum
resolved shear stress, i.e. along planes oriented at an angle of
45° to the axis of applied stress, and thus, slant fracture
appears on the fracture surface. When ðt=10Þ , rp \t; the
state of stress is neither a full plane stress nor an absolute
plane strain condition, and this mixed state of stress having
partially plane stress and partially plane strain conditions
associated with the intermediate toughness produces a mixed
mode of fracture on the fracture surface, which shows a flat
fracture with 45° shear lips. The relative proportion of flat
and slant fracture depends on the fracture toughness of the
material, and as the toughness decreases, the proportion of
flat fracture increases. When the plane strain condition
associated with the minimum toughness is developed at
rp \ðt=10Þ; fracture tends to occur in a plane containing the
maximum net section stress, i.e. in a plane oriented at an
angle of 90° to the axis of applied stress, and thus, flat
fracture appears on the fracture surface.
9.11 Plane-Strain Fracture Toughness ðKIc Þ
Testing
An important material property in fracture prevention is the
plane-strain fracture toughness, ðKIc Þ. This property charac-
terizes the resistance of a material to fracture under a neutral
environment in the presence of a sharp crack under the
maximum plastic constraint in the tensile mode of loading,
such that a triaxial state of tensile stress producing a plane
strain condition is developed near the crack front and the
crack-tip plastic-zone size is small compared to the crack
9.11 Plane-Strain Fracture Toughness …
size, specimen thickness and ligament ahead of the crack.
The ðKIc Þ value represents the lowest limiting value of frac-
ture toughness, and this value may be used to get a relation
between the fracture strength and flaw size for a component
subjected to the above-mentioned severe tensile constraint in
service. The value of KIc determined for a particular thickness
of specimen of a given material may or may not be valid
because a valid KIc value is obtained only when a specimen
thicker than the previous one does not produce a toughness
value lower than the previous one for any given material.
From the examination of the fracture toughness of various
high-strength materials, Brown and Srawley (1966) found
empirically that both specimen thickness t and crack length
a must be greater than a certain minimum value to achieve a
plane strain condition and a valid KIc measurement. This
critical minimum value is given by the following (9.58a) and
(9.58b):
! "2
KIc
Thickness of specimen; t - 2:5
r0
! "2
KIc
And crack length; a - 2:5
r0
where r0 ¼ 0.2% offset yield strength of the material in the
environment and at the temperature and strain rate used in
the test.
The form of (9.53b) is the same as that of (9.58a) or
(9.58b), because the ratio ðKIc =r0 Þ2 is common to all of
these equations. This suggests that the size of plastic zone is
related to the minimum specimen thickness and crack length.
Substitution for ðKIc =r0 Þ2 from (9.53b) into (9.58a) and
(9.58b) gives the condition for the development of a state of
plane strain in terms of critical plane-strain–plastic-zone
& '
radius rpc P:Strain at fracture, which is shown by the fol-
lowing (9.59a), (9.59b) and (9.59c):
& '
t and a - 2:5 ( 6p rpc P:Strain ;
& ' h & ' i 2 , w=t , 4: It is recommended that
Or, t and a - 47:124 rpc P:Strain % 50 rpc P:Strain
& '
) Thickness of specimen; t - 50 rpc P:Strain
; • Similarly, the crack length a should be nominally equal
& '
Or, rpc P:Strain , 2% of t
& '
And crack length; a - 50 rpc P:Strain ;
& '
Or; rpc P:Strain , 2% of a
Equation (9.59c) shows that for the development of plane
strain condition at the crack tip, the critical radius of the
plastic zone at fracture must not exceed 2% of the crack
length. As mentioned earlier in Sect. 9.9.1, under such
401
condition the effective stress intensity factor would be a little
higher than the applied K; and the plastic-zone correction to
the stress intensity factor would be unnecessary.
The plane-strain fracture toughness ðKIc Þ is determined in
the laboratory by using test methods standardized by the
ASTM Standard (ASTM E399 2009). This standard is rec-
ommended for precise details. A summary of the most
important features of the test is given in this section. The test
procedure described in this section can only be applied to
materials with limited ductility, since the method of analysis
is based on linear elastic fracture mechanics. High-strength
steel, aluminium and titanium alloy are typical examples of
such materials.
Various types of specimen have been proposed to deter-
mine KIc : The types of specimen recommended by the
ASTM for the plane-strain fracture toughness testing are as
follows:
• A single-edge notched plain-sided compact tension
ð9:58aÞ
specimen, which is pin loaded with uniaxial tension.
• A single-edge notched plain-sided bend specimen loaded
by three-point bending.
ð9:58bÞ
• A single-edge notched disk-shaped compact specimen
loaded in tension.
• A single-edge notched arc-shaped specimen loaded in
tension.
• A single-edge notched arc-shaped specimen loaded in
bending.
9.11.1 Specimen Size, Configurations,
and Preparation
If a is the crack length (total length of machined notch plus
fatigue crack), t is the thickness, and w is the width of the
test specimen, then the proportions of the specimen are such
that a is nominally between 0:45w and 0:55w; and for bend
specimen, 1 , w=t , 4, whereas for tension specimen,
ð9:59aÞ • The width w is nominally two times the thickness t; i.e.
w=t ¼ 2:
ð9:59bÞ
to one-half the width w; i.e. a ¼ w=2:
From the recommended dimensional relationship, it is
ð9:59cÞ clear that the specimen ligament size ðw $ aÞ ¼ a (the crack
size). Hence, from (9.58b), it can be seen that the specimen
ligament size ðw $ aÞ must not be less than 2:5ðKIc =r0 Þ2 for
a valid KIc measurement.
The above first two types of specimens, i.e. a single-edge
notched plain-sided compact tension specimen and a
402 9 Fracture

single-edge notched plain-sided bend specimen, are the most P

common specimen configurations and shown, respectively,
in Figs. 9.23 and 9.24. According to ASTM Standard, side t
grooving for the above compact tension and bend specimens a=t
is allowed as an alternative to plain-sided specimens. The w w = 2t
s = 8t
schematic diagram of cross-section of side groove configu- a
ration is shown in Fig. 9.25. If tN is the minimum thickness
of specimen between the roots of the side grooves, the total
s
thickness reduction will be in such a way that tN - 0:75t: It
is recommended to make thickness reduction 10% per side 2.1 w 2.1 w
so that tN ¼ 0:8t: The side groove can have any included (Minimum) (Minimum)
angle less than 90° and a root radius of 0:5 . 0:2 mm: The
location of the root of side groove should be along the Fig. 9.24 A single-edge notched bend specimen for KIc testing,
loaded by three-point bending
specimen centreline. Side grooves are made to increase the
level of constraint in comparison with recommended
plain-sided specimen. A more uniform state of stress is
developed along the crack front, and the development of
shear lip is inhibited due to the increased constraint. As a
result, a side-grooved specimen is expected to give a lower Radius 0.5 ± 0.2 mm
value of KIc than a plain-sided specimen, particularly when
the specimens are thin or exhibit Type I load–displacement
curve as shown in Fig. 9.26. For materials where structural
situations are such that plasticity is more highly constrained ≤ 90°
by the geometry of crack front such as the case for a corner tN
or surface crack or by structural details such as notches,
keyways, radii, it may be better to represent fracture
toughness by the value of KIc obtained from a side-grooved tN ≥ 0.75t
specimen. For materials with structural situations where no
constraint is imposed on surface plasticity and shear lip
development such as through crack in the region of uniform t
thickness, it may be better to represent fracture toughness by
Fig. 9.25 Schematic diagram of cross-section of side-grooved
the value of KIc obtained from a plain-sided specimen. specimen
The initial selection of a thickness of specimen, from
which a valid KIc value will be determined, is often based on
an estimated value of KIc of the material and may be found
A Pmax A Pmax A

P P5 = PQ PQ Pmax = PQ

1.25 w P5 P5
Diameter
0.25w

t
Load, P

0.275 w a a=t
w = 2t
0.275 w w

Type I Type II Type III

Diameter 0.25w O O O
P
Displacement, δ

Fig. 9.23 A single-edge notched compact tension specimen for KIc

Fig. 9.26 Three major types of typical load–crack displacement
testing, loaded with uniaxial tension
curves, obtained during KIc testing
9.11 Plane-Strain Fracture Toughness …
from (9.58a). An alternative way is to use the ratio of yield
strength r0 to elastic modulus E of the material for the initial
selection of thickness of a specimen which is provided in the
following Table 9.1, based on ASTM Standard E 399.
When it has been established that the minimum values of
t recommended in the preceding Table 9.1 are substantially
higher than 2:5ðKIc =r0 Þ2 ; then a correspondingly lower
values of t can be used. On the other hand, if the form of the
available material makes it impossible to obtain a specimen
thickness t greater than 2:5ðKIc =r0 Þ2 ; then it is not possible
to carry out a valid KIc test.
After the initial selection and preparation of a specimen, a
straight through-thickness slot terminating in V-notch with
an included angle less than 90° and root radius of 0.08 mm
or less is machined on the surface of the specimen in such a
way so that the width of notch will be minimum 1.6 mm but
less than one-tenth of the width of specimen. There are also
other kinds of starter notches, like slot ending in drilled hole
and chevron notch. The crack starter notch must be normal
to the specimen surface and to the intended direction of the
crack propagation. Afterwards, a sharpest crack is produced
at the root of notch by subjecting the specimen to low-cycle
fatigue in high-strain mode – typically of the order of 1000
fatigue cycles with a strain of around 0.03. For side-grooved
specimens, it is recommended that side-grooving operation
follows the fatigue precracking to produce nearly straight
fatigue precrack fronts. The initial crack length a in the
specimen is taken as the summation of the depth of
machined notch and the length of fatigue crack. Cycling for
fatigue precracking is continued until the following
requirements are satisfied.
• The initial crack length a; i.e. total length of machined
notch plus fatigue crack, is nominally equal to thickness
t and is between 0:45w and 0:55w:
Table 9.1 Guideline for selection of a specimen size from the ratio of
yield strength to elastic modulus for a valid KIc test (ASTM E399 2009)
Yield strength r0 Minimum recommended
¼
Elastic modulus E specimen thickness t (mm)
0.0050 to less than 0.0057 76
0.0057 to less than 0.0062 64
0.0062 to less than 0.0065 51
0.0065 to less than 0.0068 44
0.0068 to less than 0.0071 38
0.0071 to less than 0.0075 32
0.0075 to less than 0.0080 25
0.0080 to less than 0.0085 19
0.0085 to less than 0.0100 13
0.0100 or greater 6.4
403
• The length of the fatigue crack for the straight
through-thickness notch must be at least 2.5% of the
width w or 1.3 mm, whichever is larger.
9.11.2 Test, Interpretation of Result
and Calculation of ðKIc Þ
During the test, when the load P is applied to the specimen,
the relative displacement across the open end of the notch at
the specimen edge proportional to the displacement of crack,
d; is measured with a clip gage placed at the mouth of the
notch. The testing machine used to determine KIc must be
able to provide for a continuous autographic record of load
P versus crack displacement d curve. The typical load–crack
displacement curves, i.e. P versus d curves obtained during
KIc testing of different materials, are of three major types, as
shown in Fig. 9.26. Type I load–displacement curve shows
the increase of load with displacement till the point of
maximum load Pmax required for fracture and represents the
behaviour of a relatively less brittle material in which the
crack propagates at a relatively slow rate without any indi-
cation of the onset of unstable fracture. Type II P versus d
curve exhibits a sharp drop of load at certain point of dis-
placement followed by a rise of load with further displace-
ment till the point of maximum load Pmax required for
fracture. The sharp drop of load occurs due to sudden
unstable rapid propagation of crack, while the rise of load
arises from a slow rate of crack propagation. This type of
curve is obtained for materials of intermediate brittle nature.
Type III P versus d curve exhibits a sharp load drop at the
point of maximum load Pmax where the crack propagates in
an unstable rapid manner to cause complete fracture of
material. This type of curve is characteristic of the most
brittle ‘elastic material’.
In order to establish that a valid KIc value has been
determined, it is necessary first to calculate a conditional
value of fracture toughness denoted by KQ ; which requires a
graphical construction on the load–displacement test record.
As per ASTM Standard E 399-09, the following procedures
are adopted for this graphical construction and the evaluation
of KQ :
• Draw a secant line OP5 ; as shown in Fig. 9.26, from the
origin of the curve on the load P versus displacement d
test record with a slope that is 5% less than the tangent
OA to the initial part of the curve, i.e. ðP=dÞ5 ¼
0:95ðP=dÞ0 ; where ðP=dÞ5 ¼ slope of secant line OP5 ;
and ðP=dÞ0 ¼ slope of tangent OA: For compact tension
and three-point bend specimens, a 5% reduction in slope
is roughly equal to a 2% increment in the effective crack
404 9 Fracture

length of the specimen, which reflects a minimal crack For plane-sided three-point bend specimen:
extension and plastic-zone correction (Brown and
Srawley 1966). P5 is defined as the load where the secant PQ s ( a )
KQ ¼ f ð9:62aÞ
line OP5 intersects with the original curve on the test tw3=2 w
record. For side-grooved three-point bend specimen:
• To calculate KQ ; it is required to determine a load PQ that (a)
is defined as follows: PQ s
KQ ¼ pffiffiffiffiffi 3=2 f ð9:62bÞ
ttN w w
(i) If the load at every point on the record which precedes
where:
P5 is less than P5 ; then PQ ¼ P5 ; as seen in Type I
rffiffiffi # )* ( ) +$
curve of Fig. 9.26. ( )( ( )
*3 a 1:99 $ a 1 $ a 2:15 $ 3:93 a þ 2:7 a 2 +
(a)
(ii) If, however, there is a highest load preceding P5 which f ¼
w w
!
w
"
w w
exceeds it, then this highest recorded load is PQ ; as w 2a ( a )3=2
2 1þ 1$
w w
seen in Types II and III curves of Fig. 9.26.
ð9:63Þ
• Calculate the ratio Pmax =PQ ; where Pmax is the maximum
For the above equations from (9.60) to (9.63), definitions
recorded load that the specimen is able to withstand. If of different terms are:
ðPmax =PQ Þ [ 1:10; then the test performed is not a valid
KIc test because KQ may not bear any relation with KIc : In PQ load in N,
such case, a thicker specimen with dimensions at least t specimen thickness in m,
1.5 times the dimensions of the previous specimen, for tN minimum specimen thickness between the roots of the
which ðPmax =PQ Þ [ 1:10; is prepared for further testing, side grooves (Fig. 9.25) in m,
or the user is referred to Test Method E1820 (ASTM) on w specimen depth (Fig. 9.24) or dimension in width
elastic–plastic fracture toughness. If ðPmax =PQ Þ , 1:10; direction (Fig. 9.23) in m,
then proceed to compute KQ according to the following a crack length in m, measured after fracture and
(9.60) and (9.61) for a compact tension specimen and s span (Fig. 9.24) in m
(9.62) and (9.63) for a three-point bend specimen. The
crack length a used in the following equations is mea-
sured after the fracture of specimen. The following • Next assuming KQ ¼ KIc , calculate the factor
equations, adopted from ASTM Standard (ASTM E399 2:5ðKIc =r0 Þ2 : As per (9.58), if the quantity 2:5ðKIc =r0 Þ2
2009), are established on the basis of elastic stress is less than or equal to both the thickness t and crack
analysis of specimens. length a of specimen or the specimen ligament size, w $
a; then KQ ¼ KIc ; and the test is valid. Otherwise, the test
pffiffiffiffi
KQ is expressed in units of Pa m in the following (9.60) is not a valid KIc test and a thicker and/or more deeply
and (9.62): cracked specimen must be used for further testing in
For plane-sided compact tension specimen: order to determine a valid KIc value. The thickness of
new specimen can be estimated by using the computed
PQ ( a ) value of KQ through (9.58a). If the fracture toughness KIc
KQ ¼ pffiffiffi f ð9:60aÞ
t w w of a material is properly determined, it must be inde-
For side-grooved compact tension specimen: pendent of crack geometry, specimen configuration or
loading system.
PQ (a)
KQ ¼ pffiffiffiffiffi pffiffiffi f ð9:60bÞ
ttN w w

where: 9.11.3 Kc from KIc

2( * ( a ) 4 +3
a) (a) ( a )2 ( a )3
(a) 2þ 0:886 þ 4:64 $ 13:32 þ 14:72 $5:6 Sometimes, the materials are available in gages thinner that
6 w w w w w 7
f ¼6 ( 7
w 4 a )3=2 5 those required for valid KIc measurement. Consideration of
1$
w
KIc values to determine the maximum allowable flaw size
ð9:61Þ a or the maximum allowable operating stress ra would be
9.11 Plane-Strain Fracture Toughness … 405

inappropriate for such thin materials, where plane strain crack that can easily be detected and repaired is allowed by
conditions would not prevail. For such cases, it is required to the designer, the maximum allowable stress, i.e. the oper-
pffiffiffiffiffi
know Kc values. Irwin (Irwin et al. 1967) has shown an ating stress ra , will be fixed and must be less than KIc = pa
empirical relation to obtain an estimate of Kc from the KIc according to (9.66).
value determined in the region near plane strain, as given
below: Example II
vffi2ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi3
ffiffiffi
u
u ( ! " )2 If a certain aluminium alloy is selected by the designer for
2
u 1 KIc application in the wing skin of an aircraft, then KIc is fixed.
Kc ¼ KIc t41 þ 1:4 5 ð9:64Þ
t r0 In addition, the operating stress ra has been kept at a high
level to maximize the payload capacity. After fixing KIc and
ra ; the maximum allowable flaw size a must be less than
pffiffiffi 2
ðKIc = pra Þ according to (9.66). Usually, the allowable
9.12 Design Philosophy with Fracture flaw size a is kept to a very low level, which is often
Toughness undetectable with NDT (non-destructive testing) techniques.
The fracture condition of a component in service will be Note that this above limit of the allowable flaw size must
controlled by the interaction of the plane-strain fracture also be applied to the diameter of any rivet hole present in
toughness KIc of the component with the operating stress ra the component, which is explained by one case history, as
and size of crack a present in the component. Once a certain follows, related to the above example of the wing skin of an
material is selected for application in service, then the KIc aircraft. In this case, a certain aluminium alloy was used in
value is fixed. Now, during service, if the operating stress ra the wing skin of an aircraft, where a fatigue crack propa-
reaches the value of the fracture propagation stress rf for a gated from a rivet hole in one of the wing plates and
certain flaw size a; the applied stress intensity factor K is exceeded the maximum allowable flaw size defined by
increased to KIc value of the material. For example, the (9.66), resulting in fracture. In fact, the diameter of the rivet
condition of fracture for an infinitely wide cracked plate can hole was bigger than the maximum allowable flaw size that
be obtained from (9.46) and given by could be endured by the selected material under the applied
pffiffiffiffiffi stress. If the diameter of the rivet hole would be fixed
KIc ¼ rf pa ð9:65Þ beforehand as the maximum allowable flaw size, the fracture
could have been prevented by reducing the operating stres-
Mostly, all design against fracture is based on maintain-
ses and/or by selecting a material tougher than this alu-
ing the operating stress ra at a lower level than the fracture
minium alloy for the wing plates.
propagation stress rf ; assuming that the component contains
flaws of a certain size. Hence, to have ra \rf for prevention Example III
of fracture, the applied K\KIc ; and this is expressed as
pffiffiffiffiffi The development of a ‘leak-before-break’ condition in a
KIc [ ra pa ð9:66Þ pressure vessel may sometimes prevent the complete fracture
For designing against the fracture of a component, the as explained below. How this condition is developed is
above relation may be applied in one of the various ways. shown in Fig. 9.27. Suppose that a semi-elliptical surface
Once any two variables out of the three variables in (9.66), crack is located at the inner surface of the pressure vessel.
i.e. fracture toughness KIc ; operating stress ra ; and flaw size The crack is of external length 2a and projects from inner
a; are decided by the designer, the third factor is automati- surface into the wall of the vessel with the distance b; as
cally fixed by the (9.66). But the designer must first decide shown in Fig. 9.27. The major plane of the crack is oriented
the most important factor required for design of the com- perpendicular to the direction of the circumferential hoop
ponent so that it can safely operate. The design philosophy is stress produced by the internal pressure. It must be noted that
illustrated with some examples as follows: under the above condition, the growth rate of a
semi-elliptical surface crack in a direction parallel to the
Example I minor axis of the elliptical crack is likely to be more rapid.
If a material that must endure the attacks of a liquid metal So, the crack grows till it assumes a semicircular configu-
environment, such as in some nuclear reactor, is required to ration. Afterwards, the crack continues to expand in a cir-
be selected, the designer must give emphasis on the corro- cular manner till it breaks the outer surface of the wall, and
sion resistance property of the material. Once a suitable thus, a through-thickness crack is created, through which the
corrosion-resistant material is selected, the value of KIc is fluid of the pressure vessel is allowed to escape. At the point
fixed. Further, if the presence of a relatively large stable of breaking through the remaining unbroken ligaments
406 9 Fracture

2b=2t

2a

Fig. 9.27 Diagram showing growth of semi-elliptical surface crack located at the inner surface of a pressure vessel to semicircular configuration.
At leak condition ðb ¼ tÞ; remaining unbroken ligaments (shaded zones) of the pressure vessel break open to create through-thickness crack

(shaded zones in Fig. 9.27), if the through-thickness crack is (a) The sharpest possible crack would be one where the
assumed to remain in a semicircular configuration with a crack-tip radius qt ¼ r0 ; and thus, from given data, qt ¼
radius b; then the vessel wall thickness t ¼ b: Hence, the 0:3 ( 10$9 m: Since qt ¼ r0 ; i.e. qt \ð8r0 Þ=p; so the Griffith
stress intensity factor K from (9.46) can be written as equation (9.27) will be applicable for the determination of
pffiffiffiffiffi pffiffiffiffi the facture strength. The fracture strength of the material
K ¼ ra pb ¼ ra pt ð9:67Þ obtained from (9.27) is:
Now, as long as the applied K\KIc ; complete fracture of rffiffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
the pressure vessel will not occur even though fluid leakage 2Ecs 2 ( ð100 ( 109 Þ ( 1:5
rf ¼ ¼ N=m2
has started. When a crack of length equal to at least twice the pa pð3 ( 10$6 Þ
vessel wall thickness can be allowed, i.e. is stable under the ¼ 178:4 ( 106 Pa
existing stresses, then the ‘leak-before-break’ condition will
¼ 178:4 MPa.
generally prevail.
The theoretical cohesive strength of the material obtained
from (9.9) is:
rffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi9ffiffiffiffiffiffiffiffiffiffi
9.13 Solved Problems Ecs ð100 ( 10 Þ1:5
rc ¼ ¼ N=m2
r0 0:3 ( 10$9
9.13.1. A brittle material has an internal crack of length 6
¼ 22:36 ( 109 Pa
lm, oriented normal to the applied stress. Its equilibrium
atomic spacing is 0.3 nm, specific surface energy is ¼ 22:36 GPa:
1:5 J=m2 ; and modulus of elasticity is 100 GPa. Assume Hence,
plane stress condition.
E 100 ( 109
(a) For the sharpest possible crack, determine its fracture ¼ ¼ 560:54: and
strength and theoretical cohesive strength. Compare its rf 178:4 ( 106
fracture strength with its theoretical cohesive strength in E 100 ( 109
¼ ¼ 4:47;
terms of its elastic modulus. rc 22:36 ( 109
(b) When the crack-tip radius is 1 nm, determine the fracture
E E
strength of the same material. ) rf ¼ ; whereas; rc ¼ :
560:54 4:47
Solution
(b) When the crack-tip radius is qt ¼ 1 ( 10$9 m; (9.16)
$6
Given that the internal crack length is 2a ¼ 6 ( 10 m; i.e. derived from the stress concentration point of view will be
a ¼ 3 ( 10$6 m; the equilibrium atomic spacing is r0 ¼ applicable for the determination of the facture strength,
0:3 ( 10$9 m; the specific surface energy is cs ¼ 1:5 J=m2 ; because ð8r0 Þ=p ¼ ð8 ( 0:3 ( 10$9 Þ=p m ¼ 0:764 (
the modulus of elasticity is E ¼ 100 ( 109 N=m2 : $9
10 m; and so qt [ ð8r0 Þ=p:
9.13 Solved Problems 407

The fracture strength of the material obtained from Yield strength; ðr0 ÞSecond
(9.16) is: sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1 K2
rffiffiffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi9ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$9
ffiffiffiffiffi ¼
2p rp Second
& '
Ecs qt ð100 ( 10 Þ ( 1:5 ( ð1 ( 10 Þ
rf ¼ ¼ N=m2 sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
4r0 a 4 ( ð0:3 ( 10$9 Þ ( ð3 ( 10$6 Þ pa
¼ ra & '
¼ 204 ( 106 Pa 2p rp Second
¼ 204 MPa: sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
& 6
' 0:009
¼ 375 ( 10 ( N/m2
2 ( ð3:5 ( 10$3 Þ
9.13.2. Two infinitely wide plates of steel are heat treated to
produce different yield strengths. Each of the plates has a ¼ 425:21 ( 106 N/m2
central through-thickness flaw of length 18 mm and is sub- ¼ 425:21 MPa:
jected to a tensile stress of 375 MPa normal to the crack
plane. The plastic-zone diameters ahead of the crack tips are (b) The effective stress intensity factors in plane stress
found to be 0.5 mm in one plate and 7 mm in another plate. condition for the first and second plates can be obtained from
Assuming plane stress condition, determine the following (9.56), and the respective values are given below:
for both plates:
pffiffiffiffiffi
ra pa
(a) Yield strength of the material. ðKeff ÞFirst ¼ " * +2 #1=2
(b) Effective stress intensity level at the crack tip. 1 ra
1$
(c) Percentage increase in effective stress intensity level with 2 ðr0 ÞFirst
respect to applied stress intensity level. Comment on the & ' pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
plasticity correction from these derived values. 375 ( 106 ( pð0:009Þ pffiffiffiffi
¼" ! " # 1=2
Pa m
2
1 375 ( 106
Solution 1$
2 1591 ( 106
Equation (9.51) shows that the radius of plastic zone in plane pffiffiffiffi
¼ 63:95 ( 106 Pa m
1 K2 pffiffiffiffi
stress condition is rp ¼ ; where r0 ¼ yield strength of ¼ 63:95 MPa m
2p r20
the material and K ¼ stress intensity factor, which for a sharp pffiffiffiffiffi
ra pa
elastic through-thickness central crack of length 2a in an ðKeff ÞSecond ¼ " * +2 #1=2
infinitely wide plate loaded with uniaxial tension is expressed 1 ra
pffiffiffiffiffi 1$
by (9.48) as K ¼ ra pa; where a ¼ 0:009 m, (given), and 2 ðr0 ÞSecond
ra ¼ applied stress ¼ 375 ( 106 N=m2 ; (given). & ' pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
375 ( 106 ( pð0:009Þ pffiffiffiffi
& ' ¼" ! " #1=2 Pa m
(a) For first plate, where rp First ¼ 0:25 ( 10$3 m, 1 375 ( 106
2
1$
Yield strength; ðr0 ÞFirst 2 425:21 ( 106
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffi
¼ 80:66 ( 106 Pa m
1 K2 pffiffiffiffi
¼ & ' ¼ 80:66 MPa m:
2p rp First
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
pa (c) Since each of the plates is subjected to the same value of
¼ ra & '
2p rp First stress intensity level, so the applied stress intensity level for
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi each of the plates according to (9.48) is:
& 6
' 0:009
¼ 375 ( 10 ( N/m2 pffiffiffiffiffi
2 ( ð0:25 ( 10$3 Þ Kapplied ¼ ra pa
& ' pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffi
¼ 1591 ( 106 N/m2 ¼ 375 ( 106 ( pð0:009Þ Pa m
pffiffiffiffi
¼ 1591 MPa: ¼ 63 ( 106 Pa m
& ' pffiffiffiffi
For second plate, where rp Second ¼ 3:5 ( 10$3 m, ¼ 63 MPa m:
408
Therefore, percentage increases in effective stress inten-
sity level with respect to applied stress intensity level for the
first and second plates are, respectively:
ðKeff ÞFirst $Kapplied
( 100
Kapplied
63:95 $ 63
¼ ( 100 ¼ 1:5%:
63
ðKeff ÞSecond $ Kapplied
( 100
Kapplied
80:66 $ 63
¼ ( 100 ¼ 28%:
63
Comments
The effective stress intensity factor is only 1.5% higher than
the applied K for the first plate having high yield strength
and showing a very small ratio of plastic-zone size to crack
length. On the other hand, for the second plate having low
yield strength and showing an appreciably large ratio of
plastic-zone size to crack length, the effective stress intensity
factor is 28% greater than the applied K; and the increase is
considerably high. So, for the first plate, the plasticity cor-
rection to the stress intensity factor may be neglected, but for
the second plate, the applied stress intensity factor requires
the plastic-zone correction.
9.13.3. The critical elastic strain energy release rate Gc of a
thin mild steel plate in plane stress condition is 40 kJ=m2 ,
and the shear modulus of steel is 76 GPa. Considering
Poisson’s ratio of steel to be 0.33, find the fracture strengths
for the following through-thickness sharp linear cracks ori-
ented normal to the stress axis:
(a) (i) 20 mm length remaining in the centre of the plate and
(ii) 40 mm length remaining at the surface of the plate.
2
(b) When Gc is reduced to 20 kJ=m by increasing the plate
thickness to cause plane strain condition, what will be the
fracture strength for a 20-mm-long through-thickness sharp
linear central crack oriented normal to the stress axis?
Solution
Given that the shear modulus is G ¼ 76 ( 109 Pa; and the
Poisson’s ratio is m ¼ 0:33: From (5.18), we get the modulus
of elasticity:
E ¼ 2Gð1 þ mÞ
& '
¼ 2 ( 76 ( 109 ( ð1 þ 0:33Þ Pa
¼ 202 ( 109 N=m2 :
(a) It is plane stress condition and given that the critical
elastic strain energy release rate is Gc ¼ 40 ( 103 J=m2 :
(i) For centre crack length of 2a ¼ 0:02 m; i.e. for a ¼
0:01 m; the fracture strength in plane stress condition
according to (9.35a) is:
9 Fracture
rffiffiffiffiffiffiffiffi
EGc
rf ¼
pa
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ð202 ( 109 Þ ( ð40 ( 103 Þ
¼ N=m2
pð0:01Þ
¼ 507:14 ( 106 Pa
¼ 507:14 MPa:
(ii) For surface crack length of a ¼ 0:04 m; the fracture
strength in plane stress condition according to (9.35a) is:
rffiffiffiffiffiffiffiffi
EGc
rf ¼
pa
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ð202 ( 109 Þ ( ð40 ( 103 Þ
¼ N/m2
pð0:04Þ
¼ 253:57 ( 106 Pa
¼ 253:57 MPa:
(b) It is plane strain condition and given that the critical
elastic strain energy release rate is Gc ¼ 20 ( 103 J=m2 : For
centre crack length of 2a ¼ 0:02 m; i.e. for a ¼ 0:01 m; the
fracture strength in plane strain condition according to
(9.35b) is:
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
EGc
rf ¼
pað1 $ m2 Þ
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ð202 ( 109 Þ ( ð20 ( 103 Þ
¼ N=m2
pð0:01Þð1 $ 0:332 Þ
¼ 379:88 ( 106 Pa
¼ 379:88 MPa:
Exercise
9.Ex.1. A sheet of glass has a number of surface cracks
varying in length from 2 to 4 lm; oriented normal to the
stress axis. If the Young’s modulus of the glass is 70 GPa
and its fracture strength under plane stress condition is
1=700th of the Young’s modulus, estimate its
(a) Specific surface energy.
(b) Fracture strength under plane strain condition, if Pois-
son’s ratio is 0.25.
9.Ex.2. If a glass sample having an internal crack of length
5 lm, oriented normal to the stress axis, is scratched with a
diamond tool to produce a surface crack of same length
having the same orientation, will the fracture strength under
plane stress condition change? If it changes, by how much
would it increase or decrease? The Young’s modulus of the
glass is 70 GPa, and the specific surface energy is 1 J=m2 :
9.Ex.3. A glass sample having an internal crack of length
4 lm is fractured under plane stress condition by applying a
9.13 Solved Problems 409

tensile stress along an axis inclined at 50° to the crack surface. (a) Which steel sheet will you select under the above con-
If Young’s modulus of the glass is 70 GPa, determine the dition? Justify it mathematically.
value of the applied stress that causes the fracture of the glass, (b) If the maximum flaw size tolerated by the accepted steel
would be allowed for the rejected steel, then what value of
(a) if the specific surface energy is 1 J=m2 :
design stress would be indicated by that rejected steel? How
(b) if the specific surface energy is reduced to 0:5 J=m2 ; due
much increase or decrease would it be than the design stress
to application of some surface active agents.
fixed for the accepted steel?
9.Ex.4. It is found that a crack of 4 mm length, oriented
normal to the stress axis, is present inside a thin steel sample 9.Ex.9. A 3-m-wide thin metal plate has a residual axial
under plane stress condition. If the brittle fracture strength of tensile stress of the order of 250 MPa. The critical crack
the steel at low temperature is 200 MPa, its modulus of extension force of this metal in plane stress condition is
elasticity is 200 GPa and the specific surface energy is known to be 5 kJ=m2 : If the centre of the sheet contains a
1:5 J=m2 ; calculate the plastic work done by the crack as it linear sharp crack oriented normal to the tensile stress axis,
propagates. calculate the critical size of the crack which would rapidly
grow. Shear modulus of the metal ¼ 75 GPa, and Poisson’s
9.Ex.5. For a single-edge notched wide steel specimen of ratio ¼ 0:33:
1 mm thick, the values of specimen compliance ð1=M Þ are
found to be 1:435 ( 10$5 mm N$1 and 1:585 ( 9.Ex.10. An infinitely wide plate of a material has a central
10$5 mm N$1 for crack sizes of 3 and 6 mm at a critical through-thickness flaw of length 15 mm and is subjected to a
load value of 11 kN. Assume that the crack size dependence tensile stress of 300 MPa normal to the crack plane. The
of compliance is linear within the range of specified crack yield strength of the material is 400 MPa. Assuming plane
sizes, and compute the following: stress condition, calculate the following at the tip of the
crack:
(a) Critical elastic strain energy release rate Gc of the steel
specimen. (a) Stress intensity factor.
(b) Fracture stress of the steel specimen in plane stress (b) Plastic-zone size.
condition, if the crack length would be 12 mm. Assume that (c) Effective stress intensity factor and comment upon the
Young’s modulus of the steel is 207 GPa. requirement of plastic-zone correction factor.

9.Ex.6. The stress intensity factor for a centrally located 9.Ex.11. For plane-strain fracture toughness ðKIc Þ testing, a
through-thickness crack of length 2a in a 4340 steel plate wide plate is to be made from a material whose plane-strain
pffiffiffiffi
loaded with uniaxial tension is given by K ¼ fracture toughness value is 40 MPa m and 0.2% offset yield
pffiffiffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi strength is 575 MPa.
ra pa ð6=pÞ tanðp=6Þ: If the applied stress ra ¼
200 MPa and the plane-strain fracture toughness KIc ¼ (a) If the thickness of the plate of the material is 6 mm, will
pffiffiffiffi
46 MPa m; calculate the maximum permissible value of a; this result in a valid KIc measurement? If not, estimate plane
which does not allow the crack to propagate as a brittle stress fracture toughness value ðKc Þ for the 6-mm-thick plate
fracture. from the given value of KIc :
(b) For the given value of KIc ; what would be the minimum
9.Ex.7. The stress intensity factor for a partial
thickness of the plate for a valid KIc measurement?
through-thickness crack in a plate of Ti–6Al–V alloy loaded
pffiffiffiffiffipffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
with uniaxial tension is given by K ¼ ra pa secðpa=2tÞ; 9.Ex.12. Indicate the correct or most appropriate answer
where a is the depth of penetration of the crack through the from the following multiple choices:
component wall thickness t. If a ¼ 6 mm, t ¼ 18 mm, and
pffiffiffiffi (a) The appearance of intergranular fracture suggests that the
the plane-strain fracture toughness KIc ¼ 57 MPa m; what following mechanism is responsible for the fracture:
will be the maximum permissible value of the applied stress
ra ; so that the crack does not propagate as a brittle fracture? (A) Ductile fracture; (B) Brittle cleavage fracture;
(C) Fatigue failure; (D) High-temperature creep failure.
9.Ex.8. The available flaw detection procedure requires that
the critical flaw size must be greater than 2 mm. A design (b) If a uniaxial tensile load is applied in the longitudinal
stress level is fixed at two-thirds of the tensile strength level direction of an infinitely wide plate, the theoretical stress
of the material. Two large steel sheets with the tensile concentration factor for a through-thickness circular hole in
strength values of 1400 and 1700 MPa are available. The the plate will be
values of their plane-strain fracture toughness are, respec-
pffiffiffiffi pffiffiffiffi (A) 1; (B) 2; (C) 3; (D) 4; (E) none of the above.
tively, 70 MPa m and 40 MPa m:
410
(c) For a perfectly brittle material, if the crack length is
increased by a factor of four, the fracture stress will change
by a factor of
(A) 4; (B) 2; (C) ½; (D) ¼.
(d) The fracture surface morphology of a ductile fracture
shows:
(A) Dimples; (B) Cleavage; (C) Striations; (D) Veins.
(e) The fracture surface morphology of a brittle fracture
shows:
(A) Dimples; (B) Cleavage; (C) Veins; (D) Striations.
Answer to Exercise Problems
9.Ex.1. (a) 0.9 J m−2; (b) 103.2 MPa.
9.Ex.2. Decrease by 39.1 MPa.
9.Ex.3. (a) 194.86 MPa; (b) 137.8 MPa.
9.Ex.4. 626.8 J m−2.
9.Ex.5. (a) 30.25 kN m−1; (b) 407.55 MPa.
9.Ex.6. 15.27 mm.
9.Ex.7. 386 MPa.
9.Ex.8. (a) Weaker steel with strength of 1400 MPa is to be
selected, since the maximum flaw size tolerated by it is
3.58 mm that meets the minimum flaw size requirement
(greater than 2 mm), whereas the maximum flaw size tol-
erated by stronger steel with strength of 1700 MPa is
0.79 mm; (b) 533.4 MPa, 399.93 MPa decrease.
9.Ex.9. 10.16 mm.
pffiffiffiffi pffiffiffiffi
9.Ex.10. (a) 46 MPa m; (b): 2.1 mm; (c) 64 MPa m:
Hence, correction is essential, since stress intensity factor
increases by more than 39%.
pffiffiffiffi
9.Ex.11. (a) No; 55:3 MPa m; (b) 12.1 mm.
9.Ex.12. (a) (D) High-temperature creep failure. (b) (C) 3.
(c) (C) 1/2. (d) (A) Dimples. (e) (B) Cleavage.
References
ASTM E399 (editorially corrected in 2010): Standard Test Method for
Linear-Elastic Plane-Strain Fracture Toughness KIc of Metallic
Materials. Designation: E399-09. ASTM International, PA (2009).
doi:https://doi.org/10.1520/E0399-09E02
Beachem, C.D.: Trans. ASME J. Basic Eng. Ser. D 87, 299 (1965)
9 Fracture
Beachem, C.D.: Metall. Trans. 6A, 377–383 (1975)
Birkle, A.J., Wei, R.P., Pellissier, G.E.: Trans. ASM 59, 981 (1966)
Brown, W.F. Jr., Srawley, J.E.: Plane Strain Crack Toughness Testing
of High Strength Metallic Materials. ASTM STP 410 (1966)
Chang, L.C.: J. Mech. Phys. Solids 3, 212–217 (1955)
Dieter, G.E.: Mechanical Metallurgy, 3rd edn, p. 352. McGraw-Hill
Book Company (UK) Limited, London (1988)
Feddersen, C.: ASTM STP 410, 77 (1967)
Felbeck, D.K., Orowan, E.: Welding J. 34, 570s–757s (1955)
Griffith, A.A.: Philos. Trans. R. Soc. London 221A, 163 (1920) (This
article has been republished with additional commentary in 1968.
Trans. ASM 61, 871)
Hertzberg, R.W.: Deformation and Fracture Mechanics of Engineering
Materials, 3rd edn. Wiley, New York, pp. 254, 281–286, 297, 304–
305, 307 (1989)
Hull, D.: Acta Metall. 9, 191 (1961)
Hull, D.: In: Drucker, D.C., Gilman, J.J. (eds.) Fracture in Solids,
pp. 417–453. Interscience Publishers Inc., New York (1963)
Inglis, C.E.: Trans. Inst. Nav. Archit., London 55(pt. I), 219–230 (1913)
Irwin, G.R.: Fracturing of Metals, p. 147. ASM, Cleveland, Ohio (1949)
Irwin, G.R.: Handbuch der Physik, vol. VI, p. 551. Springer, Berlin
(1958)
Irwin, G.R., Kies, J.A.: Weld. J. Res. Suppl. 33, 193s (1954)
Irwin, G.R., Kies, J.A., Smith, H.L.: Proc. ASTM 58, 640–660 (1958)
Irwin, G.R., Krafft, J.M., Paris, P.C., Wells, A.A.: Basic Aspects of
Crack Growth and Fracture. NRL Report 6598, Naval Research
Laboratory, Washington, D.C., 21 Nov 1967, pp. 9–10, 38 (1967)
Joffe, A.F.: The Physics of Crystals. McGraw-Hill Book Company,
New York (1928)
Klier, E.P.: Trans. ASM 43, 935–957 (1951)
Knott, J.F.: Linear elastic fracture mechanics. In: Fundamentals of
Fracture Mechanics. Butterworth & Co (Publishers) Ltd., London,
p. 101 (1973)
McClintock, F.A., Irwin, G.R.: ASTM STP 381, 84 (1965)
Murakami, Y. (ed.): Stress Intensity Factors Handbook. Pergamon
Oxford (1987)
Orowan, E.: Trans. Inst. Eng. Schipbuild, Scot. 89, 165 (1945)
Orowan, E.: Fatigue and Fracture of Metals, p. 139. MIT Press,
Cambridge, MA (1950)
Paris, P.C., Sih, G.C.M.: In: Srawley, J.E., Brown, W.F. (eds.) Fracture
Toughness Testing, ASTM STP No. 381, Philadelphia, PA., p. 30
(1965)
Passoja, D.R., Hill, D.C.: Metall. Trans. 5, 1851 (1974)
Peterson, R.E.: Stress-Concentration Design Factors. Wiley, New York
(1974)
Reed-Hill, R.E.: Fracture. In: Physical Metallurgy Principles, 2nd edn.,
Litton Educational Publishing, Inc., New York, p. 753 (1973)
Sih, G.C.M.: Handbook of Stress Intensity Factors. Lehigh University,
Bethlehem, PA (1973)
Tada, H., Paris, P.C., Irwin, G.R.: The Stress Analysis of Cracks
Handbook. Del Research, Hellertown, PA (1973)
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Westergaard, H.M.: Trans. ASME J. Appl. Mech. 61, 49 (1939)
 Part II
Mechanical Working of Metals and Alloys
 Fundamentals of Mechanical Working
10

Chapter Objectives

• Classification of mechanical forming processes and their main objectives.

• Hot working and cold working, and their comparison. Cold-work-anneal cycle and
temperature limits for hot working. Warm working, its purpose and advantages.
• Temperature change during working of deforming metal, depending on its ideal
plastic deformation, friction at its interface with tools or dies, and heat transfer
between them.
• Effects of strain rate in working processes. Effect of varying pressure and strain rate
on allowable hot working temperature range.
• Friction: Coulomb’s law of sliding friction and factors affecting Coulomb’s coeffi-
cient of sliding friction (COF).
• Shear friction factor and sticking friction. Maximum value of COF under sticking
condition according to Von Mises’ and Tresca yielding criteria. Difference and
advantages of shear friction factor model over Coulomb’s model of friction.
• Evaluations of friction factor and COF by ring-compression test.
• Adverse as well as beneficial effects of friction on mechanical working.
• Material pickup on tools. Functions and characteristics of a lubricant.
• Lubrication mechanism: hydrodynamic or full-fluid or thick-film lubrication,
boundary lubrication, mixed-film lubrication, solid lubricants and melting solids.
• Mechanics of working process: slab method, uniform-deformation energy method,
slip-line field theory, upper- and lower-bound solutions and finite element method.
• Slip-line field theory: slip lines, Hencky’s slip-line equations, stresses and slip lines
at the boundaries of a plastic body, simple state of stress, Hencky’s first theorem,
numerical method of solution, application of slip-line field to static system and steady
motion.
• Upper-bound technique: derivation of its equation, its solutions for indentation of a
semi-infinite slab and for compression.
• Deformation-zone geometry in terms of reduction in area of work-piece for different
deformation processes.
• Anisotropy of mechanical properties: crystallographic texture and mechanical
fibering.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 413

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_10
414
10.1 Classification of Mechanical Forming
Processes
Metals are used only after the desired or useful shapes such
as tubes, rods, sheets are given to them by different manu-
facturing processes, such as
• Casting;
• Compacting of metal powder;
• Joining processes, such as welding;
• Machining; and
• Mechanical working or forming.
Out of the above manufacturing processes, we are con-
cerned with only mechanical working or forming operations.
Mechanical working or forming is the creation of desired
shapes by plastic deformation in which the displacement of
material from one location to another occurs, but the mass of
all solids and practically the volume of non-porous solids
remain constant. Plastic working processes which reduce an
ingot or billet to a semifinished product of simple shape,
such as sheet, plate and bar, are called ‘primary mechanical
working processes’ or ‘processing operation’. Forming
methods, such as wire drawing and tube drawing, and most
sheet metal forming operations like deep drawing, which
work on a part to produce a final finished shape, are called
‘secondary mechanical working processes’ or ‘fabrication’.
10.1.1 Aims of Mechanical Working
Main objectives of working processes are as follows:
• To obtain desired shape and size of the product metal.
Other essential purpose of working is to improve and/or
obtain the mechanical properties (strength, toughness, etc.)
of a product required for a specific application through
• Redistribution of the microstructural constituents in the
parent metal and/or
• Refinement of grain structures in the parent metal and/or
• Imparting strain hardening to the parent metal.
10.1.2 Different Forming Processes
Forming processes can be classified into different categories
in a number of ways. One method of classification is based on
the temperature of working, i.e. whether the process has been
carried out by cold or by hot working. But this method of
classification is not suitable because hot working can be used
mainly for three forming processes which are forging, rolling
10 Fundamentals of Mechanical Working
and extrusion, whereas all forming processes including the
above three can be carried out by cold working. Another
method of classification depends on the flow patterns during
deformation. The whole range of working processes is cov-
ered by two kinds of flow patterns. During the deformation
cycle, the flow pattern will either change continuously or
remain unaltered. Examples of the former are forging,
extrusion, deep drawing and stretch forming. The flow pattern
in rolling is static and that in wire drawing is quasi-static, and
so both processes fall into the latter category. However, this
classification method is not extensively used.
The most important and normally adopted method of
classification is based on the stress generated in the work
metal during deformation. In all working processes, the
initial stress applied to a work-piece by tools or dies used for
the deformation is either uniaxial or biaxial. But during
deformation, the work-piece is subjected to a triaxial stress
field. The reason for this is that as soon as the deformation
starts the flow of metal produces friction between the
work-piece and the tools or dies, and thus, further stresses
are induced to give a triaxial state of stress. Anyone of the
following three kinds of stress systems is originally applied
to the work-piece. These are as follows:
• Uniaxial compressive stress,
• Uniaxial tensile stress,
• Biaxial tensile stresses.
Depending on the above-mentioned applied stress sys-
tem, working processes are divided into the following three
categories:
1. Direct compression processes, where uniaxial compres-
sive stress is applied directly to the work-piece. The
reaction of the work-piece with the dies or tools induces
two more compressive stresses that act on two mutually
perpendicular planes as shown in Fig. 10.1. This category
Induced
Applied compressive stress compressive
stress
Induced Induced
compressive compressive
stress stress
Induced
compressive
stress
Applied compressive stress
Fig. 10.1 Direct compression process
10.1 Classification of Mechanical Forming Processes 415

Hammer

Applied compressive stress Induced

compressive
stress

Dies
Metal Induced Induced
compressive compressive
stress stress

Induced
compressive
stress
Anvil Applied compressive
stress
Forging

Fig. 10.2 Forging process, showing direct compression

Fig. 10.3 Rolling, showing

direct compression Applied compressive stress
Induced
compressive
stress
Induced
compressive Induced
stress compressive
stress
Induced
compressive
Rolling stress Applied compressive
stress

Fig. 10.4 Extrusion process, Induced

showing direct compression Induced compressive stress

Applied Applied
compressive compressive
Ram
stress stress

Induced

Extrusion Induced
compressive stress

includes forging, rolling and extrusion processes where
any element in the deformation zone is subjected to a
triaxial state of compressive stress—one applied and
the other two induced, as shown in Figs. 10.2, 10.3
and 10.4.
2. Indirect compression processes, where uniaxial tensile
stress is applied directly to the work-piece. The reaction
of the work-piece with the dies or tools induces two more
compressive stresses that act on two mutually perpen-
dicular planes as shown in Fig. 10.5. Wire drawing and
deep drawing fall into this category as shown in
Figs. 10.6 and 10.7. Tube drawing and flat-strip drawing
are also included in indirect compression systems of
deformation.
3. Tension processes, where biaxial tensile stresses are
applied directly to the work-piece. The applied stresses
will induce a compressive stress that acts on a mutually
perpendicular plane as shown in Fig. 10.8. The example of
this category is stretch forming. Stretch forming is essen-
tially applied for the production of shapes in sheet metal. In
this process, a metal sheet blank is placed over a form
block and pulled by tensile forces applied to both ends of
416 10 Fundamentals of Mechanical Working

Applied tensile stress the sheet in such a way that the material is wrapped around
the profile of the form block by plastic deformation to
obtain the final shape. It is a cold working process. Out of
all working processes, the least used process is stretch
forming, which will not be considered further.

Induced This last method of classification based on the stress

compressive
stress system has close similarity with the first classification
method based on the working temperature. It may be noted
that the direct compression processes can be carried out by
Induced cold or by hot working, while indirect compression pro-
compressive stress cesses can only be carried out by cold working. This is one
of the reasons for which this last classification method has
Fig. 10.5 Indirect compression process received its importance and wide acceptance.

Fig. 10.6 Wire drawing, Reaction of

showing indirect compression job with die Reaction of
job with die
Back
tension Tensile pull
Applied Applied
tension tension

Conical die Reaction of

Reaction of job with die
Wire drawing job with die

Fig. 10.7 Deep drawing, Punch force Reaction of

showing indirect compression job with tool

Applied
tension

Applied
tension

Reaction of
job with tool

Deep drawing

Fig. 10.8 Stretch forming Applied tension Induced compression

process, showing biaxial tension
Metal

Applied Applied
tension tension

Tensile pull
Tensile Tensile pull Applied tension
pull Former Induced compression
Stretch Forming
10.1 Classification of Mechanical Forming Processes
Deformation force
Heat flow
Tools
Lubrication
Friction system
Undeformed
Deformation Product
Metal
Zone
Friction
Lubrication
system
Heat flow Tools
Deformation force
Fig. 10.9 A simplified view of total deformation processing system
A simplified view of total deformation processing system is
provided in Fig. 10.9. This diagram shows that the work-piece
has been divided into three segments—undeformed metal,
deformation zone and product. The work-piece is in contact
with non-deforming dies or tools, which may undergo elastic
deformation. Heat flows from the hot work-piece to the tools.
Upon loading, the friction force acts along the work-piece–
tool interface which is generally lubricated. Lubrication not
only reduces the friction but also prolongs the tool life by
minimizing the wear of tools, controls surface finish of the
product, cools the work-piece and/or the tools and thermally
insulates the work-piece and the tools.
10.2 Temperature and Strain Rate
On the basis of the working temperature, forming operations
are commonly divided into hot working and cold working.
Hot working is defined as the plastic deformation carried out
under such conditions of temperature and strain rate that
recrystallization occurs as the work-piece is deformed and
the strain hardening caused by the working operation is
relieved instantaneously, whereas cold working is the plastic
deformation under such conditions of temperature and strain
rate that recrystallization does not take place during the
working operation and the strain hardening caused by
deformation is not relieved. Since the effect of the increase in
temperature on the strength and ductility properties of a
material is opposite to that due to increasing strain rate and
both temperature and strain rate can vary during the working
operations, so both parameters are always included in the
definitions of hot or cold working to consider their joint
effects. From the above definitions, it can be stated in a
417
simple manner that the plastic deformation of a material
above its recrystallization temperature is hot working,
whereas that below its recrystallization temperature is cold
working. The temperature at which a heavily cold-worked
material completely recrystallizes in 1 h is called its re-
crystallization temperature, TR, which is roughly estimated
from its melting temperature, TM, measured in Kelvin and
approximately given by TR (in K) ’ (0.4–0.6) ! TM (in K).
Hence, the higher the melting point of metal, the higher is
the recrystallization temperature, provided other factors
affecting TR remains the same. Since lead and tin are
low-melting metals and they recrystallize rapidly at room
temperature after large deformation, so the room temperature
working of these metals constitutes hot working. On the
other hand, working of tungsten (a high-melting metal) at
1100 °C, which is in hot-working range for steel, constitutes
cold working, because TR for tungsten is above 1100 °C.
Dividing line between the hot and cold working opera-
tions is explained below and illustrated in Fig. 10.10, which
is a schematic diagram of hardness versus working tem-
perature showing the effect of strain rate. When a material is
plastically deformed, its hardness tends to increase because
of strain hardening, but as the deformation temperature
increases the rate of strain hardening decreases, and at some
critical temperature, recrystallization takes place, which
makes the material softer. Thus, during plastic deformation
of a material at some critical temperature, two opposing
effects act simultaneously on the material — a hardening
effect due to plastic deformation and a softening effect due to
recrystallization, and the former effect decreases, while the
latter effect increases with increase in temperature. For a
given rate of deformation, there must be some temperature at
which the rate of hardening is exactly equal to that of soft-
ening. Deformation of the material above this temperature is
called hot working, while that below this temperature is
called cold working. When these two opposing effects just
balance, the material can be plastically deformed continu-
ously without causing the deformation load to increase. If
the strain rate is increased, the deformation temperature will
have to be increased to such an extent that the increase in the
hardening rate is balanced by the increase in the softening
rate. Thus, hot working temperature in case of rapid rate of
working, such as hammer forging, is higher than that for
slow rate of working like press forging, as shown Fig. 10.10.
10.2.1 Cold-Work-Anneal Cycle
Crystalline materials in the unstrained condition consist of
equiaxed grains and exhibit isotropic mechanical properties;
i.e., the same properties are exhibited in all directions. When
a single-phase structure having one kind of grains is cold
worked, the randomly oriented equiaxed grains will be
418
Fig. 10.10 Schematic
illustration of the effect of
working temperature on hardness
with variation in the rate of
working
Hardness
Unworked
deformed and preferably oriented in the direction of flow of
material and produce elongated grains that will result in
anisotropic or directional mechanical properties; i.e., prop-
erties will vary with the direction of testing. At very high
amount of cold working, the grains will be so elongated that
the structure appears fibrous. Further, cold working produces
an increase in the dislocation density; for example, a heavily
cold-worked metal contains about 1010 number of disloca-
tions per mm2, while in fully annealed condition it contains
about 104–106 dislocations per mm2. The duplex structure
consisting of a soft and ductile phase and a hard and brittle
phase behaves in a similar manner on cold working except
that the grains of hard and brittle phase will tend to break
into fragments. These fragmented grains will appear as
stringers, which will be preferably oriented in the direction
of flow of material, i.e. in the longitudinal direction. The
mechanical properties of a duplex structure will tend to
exhibit more anisotropy than those of a single-phase struc-
ture. As a result of cold working, the ductility of a material
drops to a very low value, whereas the hardness, UTS and
yield strength all increase to a maximum value, which is
practically found to be about 2.5–3 times the values of those
in the annealed (softest) condition. The notched-bar Charpy
or Izod impact toughness rises with cold working up to a
maximum and then gradually falls (Harris 1983).
If a material is continuously subjected to excessive cold
working, it will break before it acquires the desired shape
and dimension. So, to achieve the required shape and size of
the final product without any crack, cold working operations
are normally interrupted and carried out repeatedly in several
steps, with introduction of intermittent recrystallization
annealing treatments applied for several times between steps
10 Fundamentals of Mechanical Working
Rapid rate of working
Slow rate of
working
Cold Hot Cold Hot
worked worked worked worked
Working temperature
of cold working. This sequence of repeated cold working
and annealing is frequently called the cold-work-anneal
cycle. The changes in mechanical properties and
microstructure involved in this cycle are schematically
illustrated in Fig. 10.11 (Smith 1969), in which the three
stages of annealing, viz. recovery, recrystallization and
grain growth, are shown to occur progressively with
increase of annealing temperature, assuming specific con-
stant annealing time at each temperature. It is to be noted
that the driving forces for both recovery and recrystallization
are the release of stored strain energy, which resulted from
dislocation interaction leading to a higher state of internal
stress during the process of cold work, whereas the driving
force for grain growth is the decrease in surface energy since
grain-boundary area per unit volume decreases with an
increase in grain size.
The recrystallization annealing treatment, also known as
process annealing or process and recrystallization
annealing treatment, consists in heating a cold-worked
material above its recrystallization temperature, TR, holding
for proper time (generally 1 h for 1 in. thickness or diam-
eter of the work-piece) and then cooling by any desired
rate. It is important to mention here that a minimum per-
centage of prior cold work, known as the critical amount of
cold work, of the order of around 5–7% for most materials,
is necessary for recrystallization to occur on heating. The
purpose of the recrystallization annealing treatment is to
soften the cold-worked material and restore the ductility so
that the work-piece can be further cold worked without
formation of any crack. This heat treatment does not cause
any phase change but is associated with the microstructural
change that involves the formation of new strain-free
10.2 Temperature and Strain Rate 419

Recovery Grain growth

Recrystallization

Hardness

Strength
Grain size -- Ductility
Strength -- Hardness

New
grains

Ductility

(Specified constant time

at each temperature)
Old grains

Amount of cold work Temperature

Original Cold - worked Cold - worked Initial More Complete partial Complete
structure and recovered recrystal- recrystal- recrystal- grain grain
lization lization lization growth growth

Fig. 10.11 Schematic representation of the cold-work-anneal cycle illustrating the effects on mechanical properties and microstructure (Smith
1969)

randomly oriented equiaxed grains by replacement of the
previous strain-hardened preferably oriented elongated
grains with a high density of crystal imperfections produced
by prior cold working operation. The end result of this
treatment is a restoration of ductile microstructure with a
low dislocation density of the order of 104–106 dislocations
per mm2, which is again capable of undergoing significant
cold deformation.
Although the requirement for intermediate annealing
increases the cost of cold forming, especially for reactive
materials which need inert environment or vacuum for
annealing, at the same time suitable adjustment of the
cold-work-anneal cycle can produce a part with any desired
degree of strain hardening, which cannot be achieved by hot
working operations. If the finished product is desired to be in
the softened condition, the final operation must be recrys-
tallization annealing that will follow the last cold working
step required to provide the desired size and shape. In this
case, the aim will be to obtain fine recrystallized grains in
order to have good toughness; otherwise, the toughness will
decrease if the finished product is heated to the grain growth
stage. Therefore, the recrystallized grain size, dR, obtained
by annealing treatment is very important in determining the
mechanical properties of the material. Further, if the grains
after cold working and annealing are too coarse, the surface
finish of the metal on machining will be rough and an ‘or-
ange peel’ effect in which the surface appearance of the part
resembles to that of an orange will be exhibited after
pressing. The final temperature in the annealing furnace is an
important factor in industry. This temperature must be as
low as possible, while ensuring complete recrystallization in
adequate time. In industry, the annealing temperature of the
metal is considered as roughly three fourths of the melting
point measured in Kelvin, for example 450 °C for alu-
minium and 800 °C for copper (Harris 1983).
It is to be noted that the faster the nucleation rate and the
slower the growth rate of grains, the finer is the recrystallized
grain size dR, and hence, the fineness of recrystallized grain
size dR depends on the following factors.
(1) As the degree of prior deformation increases, nucleation
is favoured and the recrystallized grain size dR becomes
finer. Because increasing degree of prior deformation
will result in an increase in the number of high stress- or
high energy-points acting as the nucleation sites, from
which greater number of grains will be recrystallized.
420
(2) As the time at any temperature above the recrystal-
lization temperature increases, grain growth is favoured
and dR increases.
(3) As the annealing temperature above the recrystalliza-
tion temperature increases, grain growth is favoured and
dR increases.
(4) The faster the rate of heating to the annealing temper-
ature, the finer is the recrystallized grain size dR because
the shorter time of heating will lead to the formation of
more nuclei and restrict the growth of grains resulting in
a fine-grained product.
(5) The greater the amount and the finer the distribution of
insoluble impurities, the finer is the recrystallized grain
size dR because insoluble impurities not only act as
centres of heterogeneous nucleation and increase the
nucleation rate, but also pin the grain boundaries and
act as barriers to the growth of grains.
(6) As the rate of cooling from the annealing temperature
decreases, grain growth is favoured and dR increases.
(7) The finer the initial grain size of the material, the finer
is the recrystallized grain size dR, provided other factors
remain the same because more grain-boundary areas per
unit volume in an initially fine-grained material act as
centres of heterogeneous nucleation and increase the
nucleation rate resulting in a fine-grained product.
However, if it is desired to obtain a final product having
strength more than that in the fully annealed condition, then
the final operation must be a cold working step following the
last recrystallization annealing treatment. The degree of cold
reduction required to impart to the work-piece depends on the
extent of the desired strength — the higher the percentage of
cold reduction, the higher is the strength. However, the
cold-worked material must be finally subjected to stress relief
annealing or stress-relieving treatment to remove residual
stresses, which may otherwise cause stress corrosion cracking
or produce distortion in the cold-worked member. The stress
relief annealing or stress relieving treatment consists in
heating a cold-worked material below its recrystallization
temperature, TR, holding long enough to reduce residual
stresses by recovery process and then cooling slowly enough
to minimize the development of new residual stresses. Since
the mechanical properties of the material are essentially
unchanged during this treatment, a cold-worked material after
stress-relieving treatment will maintain the strengthening
produced by cold working without the harmful effects of
residual stresses present in the as-deformed condition. The
above procedure of recrystallization annealing followed by
final cold working and subsequent stress relieving treatment
is successfully applied to develop a certain combination of
strength and ductility in the final product, which might be
possible to achieve if a fully cold-worked material is partially
softened by recrystallization annealing. But this latter
10 Fundamentals of Mechanical Working
procedure of cold working followed by annealing is not
advisable because the recrystallization process progresses
relatively fast and is quite sensitive to slight temperature
variations in the furnace and thus difficult to control.
10.2.2 Temperature Limits for Hot Working
In practice, the equipment used to carry out the deformation
process decides the strain rate to be imparted to the
work-piece, but for given equipment the strain rates become
fixed, whereas the deformation temperature can be changed
or regulated as per desire. Since the higher the deformation
temperature, the lower the flow stress at a given strain rate
and the higher is the maximum amount of deformation
possible under a given load; therefore, it is advantageous to
deform the work-piece at as high a temperature as possible.
Hence, the upper limit for hot working should be the solidus
temperature of the work-piece. Generally, the maximum
temperature for hot working is limited to 50 °C below the
temperature at which either melting of the lowest melting
constituent in the material or excessive oxidation at the grain
boundary takes place. Incipient melting of a lower melting
constituent, often present only in minute amounts, that is
segregated at grain boundaries forms a grain-boundary film
of the lower melting constituent. When the material is
stressed or deformed, only a very small amount of this
intergranular film causes the material to break apart by
separation along grain boundaries rather than to deform and
results in a scrapped product. Such a condition is called hot
shortness or burning. Since brittleness developed by hot
shortness or burning hinders hot-working operations, the
upper limit for hot working is generally 50 °C below the
melting point. Sometimes, the upper temperature limit for
hot working is maintained below the temperature at which
the material undergoes allotropic or other phase transfor-
mation producing allotrope or phase of higher flow stress
than the parent one.
Since hot working is the deformation followed by
instantaneous recrystallization, the lower temperature limit
for hot working of a material is the lowest temperature at
which the rate of recrystallization is rapid enough to remove
instantly the effects of deformation on structure and prop-
erties of the material. Since time is required for recrystal-
lization and the effects of working are instantaneous, so in
practice the indication of deformation remains at the end of
hot working processes unless the processes are slow enough
to permit full recrystallization. However, the lower temper-
ature limit for hot working, TL, is related to the recrystal-
lization temperature, TR, of the individual material, and
neither TR nor TL is a fixed temperature in the sense of a
melting temperature; rather, both of them depend in the
similar manner mainly on the following variables. The
10.2 Temperature and Strain Rate 421

influence of individual factor on TR and TL has been dis- finishing working temperature is lowered to the point, which
cussed below, assuming that other factors do not change. is usually just above the minimum hot working temperature
so that during cooling from this finishing temperature there
(1) The greater the amount of deformation, the more the will be negligible grain growth. In the last pass, a large
stored strain energy and the less is the thermal energy or amount of deformation is imparted to the work-piece so that
temperature required to cause recrystallization, and a product with recrystallized fine grain sizes, which is usu-
thus, the more will be the decrease in TR and TL. ally desired, can be achieved.
(2) Increasing the duration at temperature of hot working
decreases TR and TL, because recrystallization is a time-
and temperature-dependent phenomenon. However,
10.2.3 Hot Working Versus Cold Working
increasing hot working temperature by 10 °C is
approximately equivalent to doubling the hot working
When the hot working operation is compared with the cold
duration, and hence, the temperature is a more impor-
working operation, it can be seen from the following dis-
tant factor than the time.
cussion that each of these operations has some advantages as
(3) The higher the rate of working, i.e. the strain rate, the
well as disadvantages.
more is the increase in TR and TL. It is because of the
necessity of increasing softening rate by recrystalliza-
tion so as to balance the increased rate of strain hard- Advantages of hot working over cold working
ening caused by rapid rate of working. Hot working (HW) Cold working (CW)
(4) The more rapid the cooling rate from the temperature of (1) Energy or power or load (1) Energy or power or load
hot working, the more will be the increase in TR and TL. required for deformation is less, required for deformation is
When the material is cooled rapidly, less time is because flow stress decreases higher, because flow stress is
available for recrystallization to occur, and so it is with increasing temperature and higher at lower temperatures
remains essentially constant and increases with deformation
required to increase the recrystallization temperature. during deformation due to rapid due to strain hardening that is
(5) The finer the initial grain size of the material, the higher elimination of strain hardening not relieved in CW. Due to
the ratio of grain-boundary area to volume and the more by the process of requirement of higher
is the strain hardening for the same degree of defor- recrystallization. Due to deformation load, expensive and
requirement of less deformation more powerful equipments are
mation. This causes an increase in the stored strain load, cheaper and less powerful required for deformation in CW
energy and the decrease in the thermal energy or tem- equipments are required to carry
perature required to cause recrystallization, which out the deformation process
results in the decrease of TR and TL. (2) Much larger deformation (2) Due to strain hardening,
(6) As compositional purity of the material increases, the without cracking is possible to subsequent deformation
achieve, since recrystallization becomes increasingly difficult,
energy required to overcome the rigidity of the distorted
does not allow the deformation and so total possible
lattice decreases, which causes to decrease TR and TL. On resistance to increase with strain deformation is less. Excessive
the other hand, solid solution alloying additions always room temperature working
raise TR and TL, due to increase in the rigidity of the lattice. causes cracking due to
decreased toughness. To
achieve large deformation,
Hot working is generally carried out at temperatures intermittent recrystallization
above 0:6 Tm and at strain rates that vary from 0.5 to annealing is essential
500 s−1. In hot working, usually large strain of the order of (3) Coarse columnar grains of (3) Elongated distorted grains
200–400% is imparted to the work-piece. Several steps or casting and distorted grains with high density of
passes are mostly used to carry out hot working operations. produced by deformation, both dislocations are produced by
are transformed into strain-free CW. Chemical heterogeneity is
To convert a cast ingot into a wrought product, commonly smaller equiaxed recrystallized not reduced due to lower rate of
the first step is to employ hot working processes, such as grains in HW. Further, high diffusivity, and cavities are not
forging, rolling or extrusion at a temperature near the upper temperature of HW reduces eliminated at temperatures of
temperature limit for hot working. During the intermediate chemical inhomogeneities of CW
cast ingot due to rapid rate of
passes, the working temperature is gradually decreased but diffusion and eliminates
kept well above the lower temperature limit for hot working. blowholes and porosities by
This processing at high temperatures is not only economical welding these cavities
due to decrease in the flow stress but also makes larger (4) Mechanical properties are (4) Elongated grains result in a
deformation possible, which is desirable at the initial isotropic due to formation of marked anisotropy in the
breakdown of the ingot. Of course, there will be some grain equiaxed grains mechanical properties; i.e.,
properties vary with the testing
growth subsequent to the recrystallization at these high direction
temperatures, which is not desired. In the last pass, the (continued)
422
Hot working (HW)
(5) Ductility of the product is
usually high. HW improves
toughness over the cast state
due to refinement of grains and
elimination of cavities, the
presence of which might cause
stress concentrations.
Toughness is usually better in a
hot-worked metal which has
fine recrystallized grains
Advantages of cold working over hot working
Hot working (HW)
(1) Good surface finish is
difficult to achieve due to oxide
and scale formation; i.e., HW
usually produces an oxidized
discoloured surface
(2) Dimensional tolerances for
products are greater, because
allowance must be provided for
expansion during heating and
contraction during cooling
(3) Involvement of high
temperature usually causes
surface reaction to occur
between the material and the
atmosphere. HW ordinarily
carried out in air results in
oxidation that causes a
substantial amount of material
loss. In case of steel, surface
decarburization also takes place
and the removal of this
decarburized layer often requires
extensive surface finishing
(4) Severe embrittlement of
reactive metals like Mo, Ti and
W occurs in the presence of
oxygen, and use of inert
atmosphere or protection from
the air by a suitable barrier is
required for their HW
(5) Products are generally soft
and have low strength
(6) As deformation and cooling
rate at the surface are greater
than those at the interior, so the
recrystallized grains at the
surface are finer than those at
the interior. This difference in
the microstructure results in the
Cold working (CW)
(5) Ductility and toughness of
the product are usually low. To
make the product ductile, the
end operation after the CW
operation is over must be
recrystallization annealing
Cold working (CW)
(1) Surface finish is of a high
order; i.e., CW usually produces
a clean and bright surface
(2) Dimensional accuracy of the
product is of a high order
(3) As the working temperature
is usually low, no such surface
reaction or oxidation and
material loss or surface
decarburization of steel takes
place
(4) Reactive metals are not
embrittled by oxygen during
CW, but during annealing of
reactive metals in the
cold-work-anneal cycle,
embrittlement will take place,
and so annealing must be
performed in vacuum or inert
atmosphere
(5) Products have high strength
and hardness. Any desired
degree of strength and ductility
can be achieved by suitably
adjusting the cold-work-anneal
cycle
(6) Cold-worked and annealed
product shows more uniformity
in the microstructure and
mechanical properties over the
cross-section
(continued)
10 Fundamentals of Mechanical Working
Hot working (HW) Cold working (CW)
non-uniformity in mechanical
properties over the cross-
section of the product
(7) A discontinuous yield point (7) No discontinuous yield point
is exhibited by hot-worked is observed in cold-worked
low-carbon steels low-carbon steels
The above comparison clearly indicates that if the
objective is to change the shape of a material as rapidly and
economically as possible, without giving importance to
surface finish, dimensional accuracy and final mechanical
properties, hot working must be used. On the contrary, cold
working is the most suitable if it is desired to have products
with high-strength and hardness, good surface finish,
dimensional accuracy of a high order.
10.2.4 Warm Working
Cold working of most metals is carried out usually at room
temperature. Sometimes, a compromise is made between hot
and cold or room temperature working by working metals at
an intermediate temperature, i.e. by working metals in
warmed condition. This is called warm working, which is
defined as the plastic deformation carried out at temperatures
below the recrystallization temperature of the material but
above (3/10)th of the recrystallization temperature on an
absolute scale. The temperature in warm working should be
low enough to provide sufficient strain hardening for
improvement in mechanical properties, but high enough to
prevent excessive deformation loads and the possibility of
fracture on working. The purpose of warm working is to
combine the advantages of both cold or room temperature
working and hot working into a single operation. The
advantages of warm working are as follows:
1. The extent of possible deformation without fracture in
each step of working is more in warm working than in
room temperature working, and so the number of work-
ing steps required to get the desired shape of the material
will be less in the former than in the latter.
2. Deformation load required in warm working is reduced
compared to that in room temperature working due to
decrease in the flow stress of material with increase in the
working temperature.
3. Energy consumption is less in warm working than that in
room temperature working because the intermittent
annealing is not required in the former.
4. Warm working offers improved dimensional control in
comparison with hot working.
5. Quality of surfaces is better in warm working than that in
hot working.
10.2 Temperature and Strain Rate 423

Warm working at moderate temperatures may be applied The heat absorbed per unit volume, ðHD ÞV ; by the
to wire drawing and sheet metal forming operations to take work-piece is given by
advantages of yield strength reduction and ductility increase
without facing the expenditure and associated problems of ðHD ÞV ¼ q Csp:heat DTD ð10:2Þ
high-temperature heating. Warm working is particularly
where q = the density of the work-piece, Csp:heat = the
suitable to hard heat-resistant alloys that are difficult to cold
specific heat of the work-piece, and DTD = the rise in tem-
work and that contain phases which would soften or melt at
perature due to plastic deformation.
temperatures of hot working. However, warm working can
Since bðUD ÞV ¼ ðHD ÞV ; so from (10.1b) and (10.2) we
be used for medium carbon and nickel–chrome steel
obtain the rise in temperature, DTD ; for a frictionless (ideal)
between 400 and 700 °C, but it is not usually applied to
plastic deformation process under adiabatic condition, in
age-hardening alloys.
which no heat is transferred to the surroundings, as follows:

b!
rm!e
10.2.5 Temperature Change During Working DTD ¼ ð10:3Þ
qCsp:heat

During mechanical working, the temperature of the

deforming material depends on
• The ideal plastic deformation of the work-piece.
• The friction at the interface of the work-piece and the
tool or die.
• The initial temperatures of the work-piece and the tools
or dies and the heat transfer between them.
10.2.5.2 Friction at the Work-Piece–Die Interface
According to Coulomb’s law of friction, friction force F is
given by the product of the friction coefficient and the nor-
mal force at the work-piece/die interface, that is
F ¼ lpA ð10:4Þ
where

10.2.5.1 Ideal Plastic Deformation l the coefficient of friction at the interface of the
The heat generated due to plastic deformation causes the work-piece and the die,
initial temperature of the work-piece to rise during working. p the stress normal to the interface of the work-piece and
The strain energy per unit volume, ðUD ÞV ; consumed in the the die, and
plastic deformation is equal to the area under the flow curve A the surface area at the interface of the work-piece and
of effective stress versus strain up to the effective strain !e; the die.
imparted to the work-piece, as shown below. Work done ðW:D:F Þ by the friction force F is equal to
Z!e W:D:F ¼ F ! displacement
ðU D ÞV ¼ ! d!e ¼ r
r !m!e ð10:1aÞ ð10:5Þ
¼ F ! ðv DtÞ ¼ l p Av Dt
0
where v = the velocity at the interface of the work-piece and
where !e = the effective strain up to which the material is
the die, and Dt = the time interval of consideration.
plastically deformed, and r !m = the average value of effective
This work done ðW:D:F Þ is converted to heat that is
stress, r
!; over the strain range of 0–!e.
absorbed by the work-piece, and the temperature of the
The effective stress and strain are considered to describe
work-piece increases. The heat absorbed, HF ; by the
the flow curve because they are independent of the state of
work-piece is given by
stress. However, only a small fraction of this strain energy
UD is stored in the material as the energy associated with the HF ¼ V q Csp:heat DTF ð10:6Þ
defect structure, mainly dislocations and vacancies, which
may vary from about 5% at low strains to 1 or 2% at high where V = the volume of the work-piece subjected to the
strains. The rest energy is converted to heat that causes to increase in temperature, and DTF = the rise in temperature
rise the initial temperature of the material, which can be due to friction.
obtained from (10.1a) as Since W:D:F ¼ HF ; so from (10.6) and (10.5) we obtain
the rise in temperature, DTF ; due to friction:
bð U D Þ V ¼ b r
!m !e ð10:1bÞ
l p Av Dt
where b = the fraction of strain energy released as heat DTF ¼ ð10:7Þ
V q Csp:heat
%0.98.
 424 10 Fundamentals of Mechanical Working

10.2.5.3 Heat Transfer Between the Work-Piece The rate of heat lost by the plate or cylinder
and the Tools or Dies dT
The temperature usually becomes the maximum at the ¼ 'V q Csp:heat ð10:8Þ
dt
interface of the work-piece and the die, where the heat is
generated by the friction, and thereafter, it drops down The rate of heat transfer to the tools or dies
towards the interior of the work-piece and into the die. ¼ htr:coeff: AðT ' Td Þ ð10:9Þ
Assume that the work-piece is initially at a uniform tem-
where
perature of T0 and cooled during deformation between two
die surfaces, whose initial uniform temperature was Td. If the V the volume of the plate or cylinder,
work-piece is thick, the internal temperature distribution A the surface area of the plate or cylinder that is
within it will vary with time, as shown in Fig. 10.12a. If the exposed to the tools or dies,
work-piece has a thin section and/or a high thermal con- T the instantaneous temperature of the plate or
ductivity, kth:cond: ; then the temperature gradients within the cylinder,
work-piece can be neglected, as shown in Fig. 10.12b, and q the density of the work-piece (plate or cylinder),
the temperature of the work-piece may be considered to be a Csp:heat the specific heat of the work-piece (plate or cylinder).
function of time only. For simplicity, let us consider the
deforming material to be a thin flat plate or cylinder having Now, equating (10.8) with (10.9), we get
high thermal conductivity kth:cond: : For the following analysis dT
to be valid, Newtonian cooling is assumed, in which 'V q Csp:heat ¼ htr:coeff: AðT ' Td Þ;
dt
ðhtr:coeff: LÞ=kth:cond: & 0:1; where
dT htr:coeff: A
htr:coeff: the heat transfer coefficient between the deforming On rearranging, ¼' dt ð10:10Þ
T ' Td V q Csp:heat
material and the tools or dies,
L the ratio of the volume V; of the work-piece to the Initially, at time t = 0, the temperature of the work-piece
surface area A; in contact with the tools or dies T = T0 and after a deformation time of t = tn, assume that the
= V/A and temperature of the work-piece at that instant is T = Tn. So,
kth:cond: the thermal conductivity of the deforming on integrating (10.10) over the time interval from t = 0 to
material. t = tn, we obtain the temperature, Tn, of the work-piece as
follows:
As the uniform initial temperature of the plate or cylinder,
T0, is higher than that of the dies, Td, so the heat will be lost ZTn Ztn
from the plate or cylinder and transferred to the tools or dies. dT htr:coeff: A
¼' dt;
T ' Td V q Csp:heat
T0 0
! "
(a) (b) Tn ' Td htr:coeff: A
T0 Or; ln ¼' tn ;
T0 ' Td V q Csp:heat
T0
! "
Time t = 0 Time t = 0 htr:coeff: A tn
) Tn ¼ Td þ ðT0 ' Td Þ exp ' ð10:11Þ
V q Csp:heat

Since L = V/A, as defined earlier, now substituting A/

V = 1/L, in (10.11), we obtain
Time t = ∞ ! "
htr:coeff: tn
Time t = ∞ Tn ¼ Td þ ðT0 ' Td Þ exp ' ð10:12Þ
Td Td L q Csp:heat

Equation (10.12) is the basic relation for the variation of

x=0 x=L the average temperature of the work-piece (assumed to be a
thin one), which is being cooled during deformation between
(Temperature)

T two die surfaces. However, the parameter L in (10.12)

depends on the geometry of the work-piece and its surface
x area in contact with the tools or dies.
(Thickness of
work-piece from
For example, in case of a thin flat plate or cylinder cooled
its centre) between two flat dies or tools, the two flat surface areas of
Fig. 10.12 Transient temperature distribution during cooling of a a thick the plate or cylinder are exposed to the tools or dies. So, the
plate and b a thin plate
10.2 Temperature and Strain Rate
parameter L, which is the ratio of the volume to those flat
areas of the plate or cylinder, is given by
V ðflat surface areaÞ ! thickness of plate, or, length of cylinder
L¼ ¼ It is seen that increasing strain rate and decreasing tem-
A 2 ! ðflat surface areaÞ
thickness of plate, or, length of cylinder
¼
2
; therefore the deformation load, and so the loads required to
i.e. L is the semithickness of the plate or the semilength of
the cylinder.
Similarly, when the curved surface of a thin cylinder is
cooled during deformation between concave dies or tools,
the curved surface area of the cylinder is exposed to the tools
or dies. So, the parameter, L; which is the ratio of the volume
to that curved surface area of the cylinder will be given by
2
V pðradiusÞ !length radius of cylinder
L¼ ¼ ¼ ;
A 2 p radius ! length 2 where
i.e. L is the semiradius of the cylinder.
Hence, adding the temperature rise due to plastic defor-
mation (10.3) and friction (10.7) with the temperature of the
work-piece due to heat transfer between the work-piece and
the tools or dies (10.12), the final average temperature, T, of
the work-piece at a time t = tn is given by
br!m !e l p Av Dt
T ¼ DTD þ DTF þ Tn ¼ þ work-piece, it is appropriate to define a distance average
q Csp:heat V q Csp:heat
# ! "$ ð10:13Þ
htr:coeff: tn
þ Td þ ðT0 ' Td Þ exp '
L q Csp:heat
10.2.6 Strain-Rate Effects
The principal effects of increasing the strain rate or defor-
mation velocity in the working processes are as follows:
• To increase the flow stress of the work-piece and there-
fore the deformation load.
• To decrease the ductility of the work-piece.
• To increase the temperature of the work-piece because of
adiabatic heating.
• To improve lubrication at the tool–job interface, so long
as the lubricant film can be maintained.
• To cause heating of the fluid lubricant resulting in a
decrease in viscosity which in turn will cause a decrease
in the film thickness due to squeezing out of the lubricant
from the work-piece–tool interface and consequent
increase in the interfacial friction.
• To decrease the coefficient of sliding friction in the
regime of high-speed sliding (Williams and Griffen 1964;
Earles and Powell 1966/67; Kadhim and Earles 1966/67;
Ettles 1986), as discussed in Sect. 10.3.1.1.
425
• To make the deformation possible for many metals that
are difficult to form like titanium and tungsten alloys.
perature increase the flow stress of the work-piece and
carry out deformation can be minimized by choosing their
values. The smaller the deformation load, the less will be the
power required and the smaller and cheaper will be the
equipment required for deformation.
In open-die forging where a cylindrical work-piece is
compressed between two flat dies, the true strain rate, e_ ; is
usually defined as
de dh=h dh=dt v
e_ ¼ ¼ ¼ ¼ ð10:14Þ
dt dt h h
h the instantaneous height of the work-piece,
v the deformation velocity and
dh the reduction in height of the work-piece in the time
interval dt.
Since in many working processes converging dies are
used to deform the work-piece where between the die gap,
h varies with distance x, along the longitudinal axis of the
strain rate !e_ x ; as follows:
ZL
1
!e_ x ¼ e_ dx ð10:15Þ
L
0
where L = the length of deformation zone, i.e. contact length
between the work-piece and the tools.
Evaluation of average strain rate in terms of time is more
acceptable. If the travelling time of the work-piece through
the die is tn, the time average strain rate !e_ t ; is given by
Ztn
1
!e_ t ¼ e_ dt ð10:16Þ
tn
0
Typical values of deformation velocity and strain rate
encountered in different testing and forming operations are
listed in Table 10.1. It must be noted from Table 10.1 that
the crosshead velocity of the standard tensile testing machine
is significantly lower than the deformation velocity of most
commercial forming equipment. These deformation veloci-
ties in the working operations can produce high strain rates,
if deformation is concentrated into a narrow zone. For
example, a strain rate of more than 105 s−1 can be attained
during drawing of a thin wire at a velocity of 40 m s−1.
426
Table 10.1 Typical values of Operation
velocity and strain rate for
different testing and forming Tension test
operations (Dieter 1988) Superplastic forming
Mechanical press
Hydraulic forging press
Hydraulic extrusion press
Charpy impact test
Forging hammer and rolling
Rod drawing
Wire drawing
High energy rate forming
From Table 10.1, it can be seen that the forming opera-
tions at the two extremes of the strain-rate spectrum are high
energy rate forming (HERF) and superplastic forming.
In HERF, as the name suggests, the delivery of deformation
energy occurs at a much rapid rate than in conventional
forming operations. HERF processes are also known as
high-velocity forming processes, because forging, extrusion,
sheet forming, etc., are carried out by these processes with
forming velocities as high as 200 m s−1, in contrast to the
maximum forming velocity of 40 m s−1, as obtainable in the
wire drawing. The energy of these processes is used to
produce high particle velocities unlike the conventional
practice. For many materials, the ductility, measured by
engineering strain to fracture, increases with strain rate
beyond the usual working range until the strain rate reaches
a critical value at which there is a sharp drop of ductility.
HERF processes have been discussed in Chap. 16.
On the other hand, superplastic forming must be per-
formed at temperatures above 0:4 ) Tm ; (where Tm is the
melting point of the superplastic material in Kelvin) and
generally at strain rates below 0.01 s−1. This is the limiting
strain rate above which no superplastic forming can be
performed and below which superplastic forming can be
performed over a range of strain rate. Generally, the material
which undergoes superplastic forming must have a fine grain
size of the order of 1–3 lm which must not be allowed to
increase by recrystallization, although forming temperatures
are sufficient for recrystallization. Mainly for this reason, the
two-phase structure, mostly of eutectic or eutectoid com-
positions, is required for superplastic forming, although
some single-phase metals with very fine grain size also show
superplastic behaviour (Johnson 1970). An important char-
acteristic of a superplastic material is that it has a high value
of strain-rate sensitivity m (0.3 < m < 1.0), due to which the
material exhibits a pronounced resistance to necking and a
high elongation up to 20! or more. The behaviour of
superplastic material is called superplasticity, which has
been discussed in Sect. 1.11.2 of Chap. 1.
Some examples of superplastic alloys are Al–33% Cu,
Zn–22% Al, Fe–25% Cr–6.5% Ni. Processes analogous to
10 Fundamentals of Mechanical Working
Velocity (m s−1) Strain rate (s−1)
6 ! 10−7–6 ! 10−3 10−5–10−1
−7
6 ! 10 –6 ! 10 −4
Less than 10−2
0.06–1.5 0.5–500
0.06–0.30
3 ! 10−3–3.0
3–6 102–104
3–10 102–104
0.15–1.5 5–3 ! 102
10–40 102–4 ! 105
30–200 104–108
glass blowing operation can be used to form these alloys,
and these forming operations are very cheap. The flow stress
required for superplastic forming operation is usually quite
low, of the order of 5–30 MPa. This advantage is useful
during mechanical working operations of superalloys that
are difficult to work and for embossing finer details in sev-
eral applications.
10.2.7 Choice of Allowable Hot Working
Temperature Range
In discussing the choice of allowable hot working temper-
ature range, it is the initial preheat temperature of the
work-piece that is important. The heat of plastic deformation
causes this initial temperature to rise during working, if the
strain rate is high approaching adiabatic deformation con-
dition. On the other hand, the temperature of the work-piece
may drop due to loss of heat to the surroundings, if the strain
rate is low. If the final temperature of the work-piece is too
high, a coarse-grain-sized product having poor strength and
toughness will be obtained or excessively high final tem-
perature may result in hot shortness or burning. If the final
temperature is too low, the result will be a cold-worked
product. Hence, the allowable hot working temperature
range can be explained diagrammatically with the help of
Fig. 10.13, in which ‘work-piece temperature’ as abscissa
and ‘amount of deformation’ as ordinate have been consid-
ered and the effects of other variables controlling working
range, viz. applied pressure and strain rate, have been
included in the diagram.
For a given working pressure and temperature, there will be
an upper limit of deformation that the work-piece can undergo.
This deformation limit is assumed to base on the flow resis-
tance of the work-piece and not on its ductility. Under the same
applied pressure, if the temperature of the work-piece increases
the maximum amount of possible deformation will increase
due to lowering of the flow stress with increasing temperature.
In Fig. 10.13, a given applied pressure has been indicated by a
line AB, below which the deformation is allowed but above
10.2 Temperature and Strain Rate 427

A given applied B
pressure p3 > p2 > p1
D . . .
ε3 > ε 2 > ε1
Increasing
Zone of pressure (p)
Amount of deformation

no deformation Zone of
no deformation Hot

Isothermal
Deformation, percent
Cold short .
ε1 short
p3 .
. ε2 Strain
A given strain rate p2 ε3
rate.
Deformation p1 (ε )
A Ad
zone ia
Solidus ba Solidus
tic
Possible temperature
deformation
Workpiece temperature C
Workpiece temperature
Fig. 10.13 Schematically showing maximum possible hot working
range for a given applied pressure and strain rate Fig. 10.14 Schematic effect of varying pressure and strain rate on the
allowable hot working range

which the deformation is not allowed under that applied
pressure. Apart from pressure, the temperature range allowed
for possible deformation depends also on the strain rate. If
deformation is carried out very slowly and the amount of
deformation is very less so that there is no rise in the temper-
ature of the work-piece, obviously the solidus temperature of
the work-piece is the upper limit on the temperature scale,
although this limiting temperature will decrease somewhat due
to the risk of incipient melting or hot shortness. At a given
strain rate of deformation, the greater the amount of deforma-
tion, the greater is the temperature rise of the work-piece, and
hence, the work-piece temperature will have to be lowered to a
greater extent to maintain its final temperature below the hot
shortness temperature. In Fig. 10.13, a given strain rate has
been represented by a line CD having a negative slope, below
which the deformation is allowed but above which the defor-
mation is not allowed at that strain rate and thus the line CD will
limit the upper temperature of the hot working range. Fig-
ure 10.14 shows schematically the effects of varying pressure
and strain rate on the allowable hot working temperature range,
after the work of Hirst and Ursell (1958). This diagram shows:
• As the applied pressure increases, the maximum amount
of possible deformation or the allowable working range
at a given work-piece temperature and strain rate will
increase, because higher the applied pressure, the more is
the margin above the flow resistance of the material.
• The higher the strain rate, the greater will be the retention
of heat in the work-piece, and hence, the work-piece
temperature will have to be lowered to a greater extent to
maintain its final temperature below the hot shortness
temperature. As the strain rate increases, the flow stress of
the material will increase, which will cause the maximum
amount of possible deformation or the allowable working
range to decrease at a given work-piece temperature and
applied pressure. Thus, when the strain rate becomes the
most rapid leading to adiabatic condition, the maximum
amount of possible deformation at any work-piece tem-
perature for a given applied pressure will be the least.
Hence, we can conclude that increasing strain rate will
decrease the deformation range of a material, whereas
increasing applied pressure will have the opposite effect.
Again, since the temperature of deformation depends on the
strain rate of deformation, so both of them must be con-
trolled jointly in most forming operations.
10.3 Friction
It is well established that whenever two solid surfaces in
contact move relative to each other, a force is developed at
the contact surface to oppose this movement. This resisting
force is commonly called the friction force. The friction
plays an important role in the mechanical working processes,
where the surfaces of work-piece and the deforming tools are
in contact with each other during deformation. The friction
stress, often referred to as frictional resistance, is measured
in force units per unit surface area of contact and denoted by
s, that is directed opposite to the relative motion between the
two solids. Since the surface area of contact is a boundary of
the deformed material, the frictional stress or resistance that
is parallel to the contacting surfaces will be the tangential
shear stress at the boundary of the material. The phe-
nomenon of friction has been much studied (Bowden and
Tabor 1954 and 1964; Bishop 1958; Rooyan and Backofen
1960; Pinkus and Sternlicht 1961; Fukui et al. 1962), but the
knowledge about friction is yet very little for the formulation
of the exact functional relationship between the friction
stress and other variables, upon which the friction depends.
428
These variables include nature of materials, shape of the
specimen, deformation velocity, temperature and humidity
or atmospheric conditions. The understanding of friction
phenomenon requires the study of tribology science, an
interdisciplinary field involving surface chemistry, mechan-
ics and material science. Basic studies of friction have been
mostly carried out under light loads without causing plastic
deformation of the work-piece, such as study of friction
during movement of a shaft in a bearing. Since the
mechanics of friction is an extremely complicated phe-
nomenon, our discussion on friction will be restricted to a
very elementary level. Of the numerous developed mathe-
matical descriptions of friction, the most important ones are
considered in the text.
10.3.1 Coulomb’s Law of Sliding Friction
The fundamental laws of friction, declared first by Amonton
in 1699 and later by Coulomb in 1781, are that during
sliding the tangential frictional force F is directly propor-
tional to the applied normal load P and is independent of the
Fig. 10.15 Surface irregularities
showing asperities and their Areal = a1 + a2 +
contact
Fig. 10.16 Real contact and
adhesion during sliding of solids.
Plastic deformation occurs at the
asperity junctions (Bowden 1957)
Plastic
flow
10 Fundamentals of Mechanical Working
apparent area of contact, A, between a pair of sliding sur-
faces and the magnitude of sliding velocity. Coulomb con-
ducted experiments on dry unlubricated clean surfaces.
The elements of friction theory (Bowden and Tabor 1954
and 1964) are based on the observation that all apparently
flat and smooth material surfaces are in reality not perfectly
smooth when considered on an atomic scale. Real surfaces
contain many irregularities in the form of peaks and valleys,
which are large when viewed on a microscopic scale. The
magnitude of these irregularities may be of the order of
thousands of angstrom units for highly polished surface
finishes and increases with the degree of surface roughness.
When two solid surfaces are placed in contact or one slides
over another under a light load, a real contact between these
surfaces takes place only at a few relatively isolated peak
spots, which are called asperities, as shown in Fig. 10.15.
The summation of the contact areas at all of the asperities is
equal to the real area of contact Areal. At the beginning of
contact, since Areal tends to be very small under light loads,
so the local pressure at the asperities will be sufficiently high
to cause plastic deformation of the ductile materials, such as
metals, at the contact regions, as shown in Fig. 10.16
Asperities
+ an
a1 a2
P
Elastic deformation
F = Areal τ
Plastic flow
10.3 Friction
(Bowden 1957). As the load normal to the contacting sur-
faces is increased, the extent of these asperity contacts will
increase and fresh contacts will be created. In this model,
since the contact surfaces of the materials are dry, high
pressure and plastic deformation at the asperities will cause
cold welding of asperity junctions. The strength of this
welded bond depends on several factors, such as materials in
contact, temperature, cleanliness of the contacting surfaces,
i.e. the presence of a thin oxide film, layers of moisture or
gas molecules. Under increasing load, the number and areas
of the welded junctions will increase and these welded
junction areas, Areal, will carry the entire load between the
two surfaces. It must be noted that in most cases, the real
area of contact Areal is only a small fraction of the apparent
area of contact A between a pair of sliding surfaces and can
be given by
P stress is equivalent to the hardness of a material for a plas-
Areal ¼ or; P ¼ Areal p ð10:17Þ
p tically deformed asperity. According to Von Mises’ yielding
where
P the applied load normal to the contacting surfaces;
p the yield pressure, i.e. the yield stress in compression
of the softer material normal to the contacting
surfaces that causes the plastic deformation of the
softer material and
Areal the real area of contact, which is the sum of the area
of welded junction formed.
The sliding of one surface above the other will be pos-
sible only after the welded asperity junctions begin to shear.
The shearing force F required to tear apart all welded
junctions is
F ¼ Areal s ð10:18Þ
where
F the shearing friction force necessary to tear apart all
welded junctions that acts in a direction parallel to
the contacting surfaces;
Areal the real area of contact, which is independent of the
size of the sliding surfaces; and
s the tangential shear stress at the contacting surfaces
for shearing through the asperities.
On substituting for Areal from (10.17) in (10.18), we
obtain
P s
F¼ s¼P ð10:19Þ
p p
Equation (10.19) indicates that F, like Areal, is directly
proportional to P. Since the coefficient of friction, l, is
defined by the ratio F to P, hence using (10.19), we obtain
429
F Pðs=pÞ s
l¼ ¼ ¼ ð10:20Þ
P P p
where l is called the Coulomb’s coefficient of sliding friction
and the other terms are the same as described in (10.17) and
(10.18). The coefficient of friction (COF), l, is a dimen-
sionless scalar quantity and considered as constant for a
given pair of materials under constant temperature and sur-
face conditions. COF is also said to be independent of
deformation velocity, applied normal load and area of con-
tact. Equation (10.20) shows that l is directly proportional
to s and inversely proportional to p. If two materials of
different hardness slide over one another, the values of s and
p of the softer material have to be considered in (10.20). It
has been seen that for the same value of s, the coefficient of
friction will be lower for the harder material because of its
higher yield pressure p (Green 1955), which being a normal
criterion, generally applied to most of the working processes,
the value of l varies from 0 to 0.577, although this value
varies from 0 to 0.5 according to Tresca yielding criterion,
both of which have been analysed in Sect. 10.3.2.
In practice, the sliding friction may involve additional
effects such as ploughing out softer work-piece by the
asperities of the harder tools and interlocking of the surface
irregularities. Thus, the total sliding friction force FT during
sliding will be equal to the sum of the three components as
follows:
FT ¼ F þ F P þ F I ð10:21Þ
where
FP is the frictional force due to ploughing,
FI is the frictional force due to interlocking of the surface
irregularities, and
F is the shearing friction force necessary to tear apart all
welded junctions.
Since the sliding surfaces are usually well ground and
relatively smooth, the frictional resistance caused by surface
irregularities is practically negligible. The frictional resis-
tance due to ploughing depends on the difference in hardness
of the two sliding surfaces as well as on their smoothness.
When a hard material, such as tools or dies, slides over a soft
one like work-piece, the asperities of the hard material (tools
or dies) will penetrate the soft material (work-piece) to an
appreciable depth below the surface and displace a volume
of material from work-piece proportional to the total length
of sliding and the cross-sectional area of the asperities. This
is known as ploughing. The ploughing force (Goddard and
Wilman 1962) is related to the flow properties of the
work-piece and the size and shape of the asperities.
430
Ploughing is particularly strong if the surface of the hard
material is rough and has asperities of pyramidal shape. But
when dies or tools are smooth and the shape of the asperities
is quite rounded, the friction contribution from ploughing is
negligible. When a soft material slides over a hard one, the
ploughing does not take place, but small fragments of the
soft material adhere to the hard one.
In most cases, interlocking and ploughing are neglected,
and thus, the total friction force will be due to the shearing
friction only, which will be given by
FT ¼ F ¼ Areal s ð10:22Þ
10.3.1.1 Friction in Forming Operations
The friction forces developed between the forming tools and
the work-piece during plastic deformation increase the
resistance to plastic deformation offered by the work-piece,
which in turn will increase the normal pressure required to
deform the work-piece. The friction between the tools and
the work-piece gives rise to tangential shear stresses along
the contact surfaces. The relationship between the tangential
shear stress s, the applied pressure normal to the interface
between the work-piece and the tools, p, and the coefficient
of friction l is generally expressed by Coulomb’s law of
sliding friction as expressed by (10.20), which is repeated
below for convenience.
s interface. Increasing deformation velocity produces an
¼l ð10:20Þ
p
It is assumed in practically all theories of mechanical
working that in the presence of lubricant between the
work-piece and the tools, the (10.20) will be applicable. In
(10.20), the values of s and p of the work-piece have to be
considered, because the tools are harder than the work-piece,
and so the latter undergoes plastic deformation, although the
former may elastically deform.
It was observed by several authors (Chen et al. 2002;
Grzesik and Nieslony 2004; Bonnet et al. 2008; Rech et al.
2009; Klinkova et al. 2011; Spijker et al. 2012) that the
value of l depends upon the work-piece material, the
material used for the dies or tools, the surface roughness of
the work-piece and the dies or tools and the efficiency of the
lubricant, the normal load, the sliding speed, the temperature
of deformation and the relative humidity. For example, the
value of l in working operations may be very low of the
order of 0.01–0.05 under conditions of slow speed and
excellent lubrication with highly polished tool surfaces. The
cold rolling of mild steel with flood lubrication may have a
value of l = 0.05. For cold rolling of most metals, typical
value is l = 0.10, with polished rolls, whereas l = 0.15 is
10 Fundamentals of Mechanical Working
more typical in case of a ground finish roll surface. For cold
drawing and deep drawing of steel, copper and brass using
hardened polished dies and efficient lubricants, the typical
values of l vary from 0.05 to 0.15.
The value of l for hot working is usually higher than that
for room temperature cold working, because oxidation takes
place easily at elevated temperature and roughens the sur-
faces of the work-piece and the tools. It is better to say that
the value of l will depend more on the frictional charac-
teristics of the oxide film formed at elevated temperature
than on the temperature of working. For example, the rolling
of steel at a temperature between 375 and 900 °C shows a
value of l = 0.4, but on rolling the same steel above the
temperature of 1095 °C, a value of l = 0.2 is found. This
drop in the value of l is due to a change in the frictional
characteristics of the oxide film formed at different
temperatures.
It has been observed in the regime of high-speed sliding
that the coefficient of sliding friction (COF) decreases with
the increase of the sliding speed (Williams and Griffen 1964;
Earles and Powell 1966/67; Kadhim and Earles 1966/67;
Ettles 1986) and the statement that COF is independent of
sliding velocity, as in the Coulomb’s law of friction, is found
to be invalid. Some researchers (Kragelsky et al. 1982) say
that the reason of decreasing COF with increasing sliding
speed is the softening of the asperities over the frictional
improved lubrication at the work-piece–tool interface, so
long as the lubricant film can be maintained, and this pres-
ence of lubricant will reduce the interface shear stress, which
in turn will decrease the COF. In high-speed forming oper-
ations, extremely high sliding speed results in lubrication
breakdown between the work-piece and the tools, but at the
same time, it may generate sufficient temperature to melt the
contact surface of the work-piece. This will produce a thin
molten layer of material that will act as a lubricant at the
work-piece–tool interface. This lubricant reduces the inter-
face shear stress, and the COF drops to a low value that will
depend on the thickness and viscosity of the liquid layer.
Several studies (Rooyan and Backofen 1960; Pearsall and
Backofen 1963; Chen et al. 2002; Yasuhisa 2003; Chowd-
hury et al. 2011; Al-Samarai et al. 2012) have shown that the
friction coefficient varies with the normal pressure and it
usually decreases with the increase of applied normal load,
which will be explained in the next section.
It has also been found (Chowdhury et al. 2012) that the
value of friction coefficient decreases with the increase of
relative humidity. The increase of relative humidity may
moisten the contact surface that will cause some lubricating
effect, and hence, the friction force will be reduced.
10.3 Friction
10.3.2 Shear Friction Factor
The foregoing Coulomb’s model of friction is valid for light
normal load when the real area of contact Areal * A, the
apparent area of contact. In such case, the COF is inde-
pendent of applied normal load, which is known as Amon-
ton’s law and is the basis on which Coulomb’s law stands. If
the normal load P is gradually increased, Areal increases and
approaches the apparent area of contact, A. Once the value of
Areal becomes equal to that of A, the frictional shear force
F will not increase further even if the applied normal load
P is increased because the frictional shear stress s, which is
equal to F/A, cannot exceed the yield stress in pure shear, k,
of the deformed work-piece material. When the maximum
value of frictional shear stress smax ¼ k; the material at the
interface of the work-piece will stick to the tool and sub-
surface yielding of the work-piece will take place.
When the normal load is high, the asperities undergo
extensive plastic deformation causing the plastic zones
below each asperity to overlap. Then, due to this plastic
deformation and the accompanying plastic constraint, the
bond strength at the work-piece–tool interface is more than
the shear strength of the material in a subsurface zone, say
s0. Now, considering Areal % A, and thus, F ¼ A s0 ; the
coefficient of friction, l, for subsurface shear can be obtained
from (10.20) as follows:
A s0
l¼ ð10:23Þ
P smax
Since A and s0 are nearly constant, (10.23) shows that as
the normal load P increases the coefficient of friction l
decreases, if bulk plastic deformation is taking place.
However, at high contact pressure levels, the linear rela-
tionship between s and p, as described by (10.20), may not be
valid and the COF becomes meaningless when the value of
(l ! p) exceeds k, which is the maximum value of s. Hence, to
avoid this limitation of Coulomb’s model, some investigators
prefer to consider the following model of shear friction factor.
In this model, it is assumed that the interface shear stress s is
some constant fraction m of the yield stress in pure shear, k, of
the deformed work-piece material, where m is called the in-
terface friction factor. Mathematically, it is expressed as
s ¼ mk ð10:24aÞ
The interface friction factor m is a dimensionless scalar
quantity. The limits for m are 0 & m & 1. When m = 0, it
is a condition of perfect sliding, i.e. a frictionless condition.
When m = 1, it results in the sticking friction, where no
relative motion between the work-piece and the tools takes
place; i.e., movement along the interface is arrested, and
subsequent deformation occurs by subsurface shearing.
Sticking friction often takes place in hot working, where
431
lubrication may be difficult. Sticking may sometimes occur
over the whole contact area of the work-piece, as in hot
rolling, or sticking often occurs over the contact area where
deformation pressure is high. For example, in a hot-forged
work-piece, sticking friction may exist in the interior where
deformation pressure is high, while sliding occurs in the
periphery experiencing low deformation pressure. The
interface friction factor m is also considered as constant for a
given pair of materials under constant temperature and sur-
face conditions and is said to be independent of deformation
velocity.
Von Mises’ yielding criterion is generally applied to most
of the working processes, and according to this criterion,
%pffiffi
since k ¼ r0 3; [see (1.63)], (10.24a) becomes
r0
s ¼ m pffiffi ð10:24bÞ
3
Thus, according to Von Mises’ yielding criterion, the
maximum shear stress that a material can withstand is
%pffiffi
r0 3: Since the maximum frictional shear stress smax ¼ k;
and the interface normal pressure p developed in most
working processes is at least equal to the uniaxial yield
stress, r0, of the material, i.e. pmin = r0, so the maximum
value of Coulomb’s coefficient of sliding friction lmax under
sticking condition according to Von Mises’ yielding criterion
will be
%pffiffi
k r0 3 1
lmax ¼ ¼ ¼ ¼ pffiffi ¼ 0:557 ð10:25Þ
pmin r0 r0 3
According to Tresca yielding criterion, the value of lmax is
smax k r0 =2 1
lmax ¼ ¼ ¼ ¼ ¼ 0:5 ð10:26Þ
pmin r0 r0 2
This value of lmax is convenient to remember and is often
quoted. In this context, it is to be noted that p can exceed r0
and reach a multiple of r0, in many forming processes.
However, lmax under plane strain condition, where pmin ¼
r00 (plane-strain flow stress), give the same value of 0.5
according to both yielding criteria of Von Mises and Tresca
as shown by the following (10.27):
smax k k
ðlmax ÞP:Strain ¼ ¼ ¼ ¼ 0:5 ð10:27Þ
pmin r00 2k
If the frictional shear stress s is plotted as a function of
the normal contact pressure p, the curve obtained will consist
of theoretically two straight lines, as shown in Fig. 10.17. In
this model, s at low pressure is proportional to p showing a
constant coefficient of sliding friction l, given by Coulomb’s
model. However, s equals the yield stress in pure shear, k,
and becomes constant at high interface pressure, p.
432
τ of information on r0 at the desired e_ and T: Of course, l can
τ = k = constant
k
τ
µ = p = constant
p ¼
Fig. 10.17 Hypothetical variation of frictional shear stress with
normal contact pressure
The shear friction factor model basically differs from and
has certain advantages over the Coulomb’s model of fric-
tion. These differences and advantages are as follows:
• The interface frictional shear stress s is independent of
normal contact pressure p in shear friction factor model,
whereas s depends on p in Coulomb’s model of friction.
• The friction factor m is independent of p, but the Cou-
lomb’s COF, l / 1=p; when the maximum frictional
shear stress, smax ¼ k; because k is not affected by p.
• The friction factor model provides easier computational
analysis of working processes by introducing mathe-
matical simplification with the use of m, although Cou-
lomb’s model with the use of l has been mostly applied
in the analysis of working processes. The use of m is
particularly suitable in hot working processes associated
with large deformations, such as extrusion and forging
operations, whereas l is used in cold working processes,
such as wire drawing and cold rolling operations.
10.3.3 Measurement of Friction
The Coulomb’s coefficient of friction l, at any desired strain
rate e_ and temperature T, can be determined from the ana-
lytical relation developed between the average deformation
pressure with Coulomb’s friction, ! pC:F: , and the flow stress,
r0 , of the material. For this, it is required to know the value
of r0 of the test specimen and to measure ! pC:F: of the test
carried out at the above same e and T. For example, in the
_ between the inner and outer diameters. Hence, if the inter-
compression of a flat circular disk of uniform height, if !pC:F:
is measured and r0 is known at the desired e_ and T; then l
can be calculated with (11.90), derived in Chap. 11. The
10 Fundamentals of Mechanical Working
limitation of the above is the possibility of non-availability
be determined without knowing r0 by carrying out two sets
of plane strain compression test (Takahashi and Alexander
1961–62) on flat rectangular plate. If two specimens of the
same material are given same reduction under identical
frictional condition to produce two values of the ratio of the
deformation-zone length, L, to the deformation-zone height,
h; and if the average deformation pressure, !pC:F: ; for each
value of L=h is measured, then l can be evaluated by solving
simultaneously the two sets of the following (10.28), which
has been derived in Chap. 11 (see 11.30).
!pC:F: exp½ðl LÞ=h, ' 1
ð10:28Þ
r00 ðl LÞ=h
where r00 ¼ plane strain deformation resistance, i.e. plane
strain flow stress in compression ¼ 2 k; where k is the yield
stress in pure shear.
The measurement of Coulomb’s coefficient of friction, l;
in rolling has been discussed in Chap. 12.
10.3.3.1 Ring-Compression Test
To evaluate friction factor ‘m’, or Coulomb’s friction coef-
ficient ‘µ’, the ring-compression test suggested by Kunogi
(1954) and Kudo (1955) and developed by Male and
Cockcroft (1964–1965) is widely used particularly for bulk
deformation processes such as forging. In this test, a thin flat
ring of specific dimensions is upset in the axial direction
between flat dies. The resulting changes in dimensions of the
ring depend on the extent of reduction in the thickness
direction and the frictional conditions existing at the inter-
faces between the ring and the dies. The changes in
dimensions of the ring after compression under high and low
interfacial frictional conditions in comparison with the
original ring have been shown schematically in Fig. 10.18. If
the interfacial friction were zero, the ring would deform in
the same manner as a solid disk; i.e., the inner diameter (ID)
would expand radially outward by the same percentage as
the outer diameter (OD) as the height of the ring is reduced.
With increasing friction during compression, the rate of
increase of inner diameter decreases. For compression under
low interfacial friction, the inner diameter increases but is
smaller than the zero-friction case. If the friction exceeds a
critical value depending on a certain reduction in height,
frictional resistance to outward radial flow becomes so
high that some of the ring material flows radially inward
towards the centre, and so there must be a no-slip location
facial friction is higher, the inner diameter actually decreases
during compression, while the outer diameter will increase
as usual.
10.3 Friction 433

OD1
Coefficient 0.40
ID1
of friction, µ = 0.577
80
original ring 0.30
70

ID2
60
high friction 0.20

50
0.15
ID2

Decrease in internal diameter of ring, %

40
low friction 0.12

30 0.10
Fig. 10.18 Ring–compression test. Original ring with outer diameter
of OD1 and inner diameter of ID1 is at the top. The inner diameter ID2 0.09
of the compressed ring is lower than ID1 under high interface friction, 20 0.08
shown in the middle, and higher than ID1 under low interface friction,
shown in the bottom 0.07
10
0.06
0.055
The changes of inner diameter as a function of the 0 0.05
reduction percentage in height of the ring have been pre-
sented as calibration curves for a variety of interfacial fric- -10 0.04
tional conditions. Adopting the initial dimensions of the ring
in the following ratios of measures, outer diameter:inner -20
diameter:height = 6:3:2, Male and Cockcroft (1964–1965) 0.03

established the calibration curves by experimental method to -30

evaluate Coulomb’s friction coefficient ‘µ’ at the interfaces
between the ring and the tools, as shown in Fig. 10.19 and -40
0.02
Lee and Altan (1972) presented the calibration curves for
ring of 6:3:2, obtained by applying the upper-bound method, 0
-50
to evaluate friction factor ‘m’ at the interfaces between the 0 10 20 30 40 50 60 70
ring and the tools, as shown in Fig. 10.20. With the help of Reduction in heoght, %
these calibration curves, the values of ‘µ’ and ‘m’ at the
Fig. 10.19 Friction calibration curves in terms of Coulomb’s coeffi-
interface can be determined by measuring the inner diameter cient of friction, l, for upset ring test with outer diameter, inner diameter
and the change in the height of the compressed ring, as and thickness in a ratio of 6:3:2 (Male and Cockcroft 1964–1965)
explained below:
(5) Calculate the percentage change in the inside diameter
(1) Measure the initial outer diameter ‘OD1’, inner diameter of the deformed ring, i.e.
‘ID1’, height ‘H1’ of the above thin ring and compress ! "
the ring to reduce its height to any desired level. ID1 ' ID2
! 100 ¼ %DID ðsayÞ:
(2) Measure the height ‘H2’ of the deformed ring. ID1
(3) Measure the final inner diameter ‘ID2’ of the deformed
For lower values of ‘µ’ or ‘m’, the ‘ID’ of the ring
ring, or, measure the final outer diameter ‘OD2’, from
increases after deformation, i.e. ID2 [ ID1 , and so %
which calculate the final inner diameter ‘ID2’ of the
∆ID will give a negative value, while for higher values
compressed ring, using the principle of constancy in
of ‘µ’ or ‘m’, the ‘ID’ of the ring decreases after
volume during plastic deformation.
deformation, i.e. ID2 \ ID1 , and so a positive value of
(4) Calculate the percentage reduction in height of the
% ∆ID will be shown.
deformed ring, i.e.
! " (6) Determine the friction factor ‘µ’ or ‘m’, from the cal-
H1 ' H2
! 100 ¼ %DH ðsayÞ: culated values of % ∆ID and % ∆H, with the help of the
H1
434 10 Fundamentals of Mechanical Working

0.5 The disadvantages of the ring test are as follows:

70
1.0
Interface • If machining or processing required to make ring speci-
60 friction
men introduces anisotropy in it, then the shape of ring
factor, m
50
after compression can become oval, in which case an
0.3
average diameter has to be used.
Decrease in internal diameter of ring, %

40 • The test cannot be applied to forming operations that

involve considerable relative motion between the
30 work-piece and the tools under high contact pressures,
such as extrusion operation.
20
0.2
10
0.15
10.3.4 Adverse Effects of Friction
0

-10
-20
-30
0.05
0 10 20 30 40 50 60
Reduction in heoght, %
Fig. 10.20 Friction calibration curve in terms of friction factor, m, for
upset ring test with outer diameter, inner diameter and thickness in a
ratio of 6:3:2 (Lee and Altan 1972)
calibration curves for the upset ring test. Note that for a
given reduction, the higher the algebraic value of %
∆ID, the higher is the value of ‘µ’ or ‘m’.
To measure ‘µ’ or ‘m’ at the contact surfaces between the
work-piece and the tools, the material and surface roughness
of the ring and the compression plates in ring-compression
test must be, respectively, similar to those of the work-piece
and the tools in the working condition. The temperature and
strain rate used in this test must also correspond to those in
the actual working operation.
The advantages of the ring test are as follows:
• To evaluate coefficient of friction ‘µ’, or friction factor
‘m’, it is not necessary to measure the deformation load
or to know the flow stress of the ring specimen or the
work-piece at temperature and strain rate of the test or the
working condition.
• If deformation pressure is measured during compression
of the ring, it is possible to calculate the flow stress (Male
et al. 1973; Douglas and Altan 1973) apart from deter-
mining ‘µ’ or ‘m’.
• The test is simulative and easy to perform and can be
applied to a variety of temperatures and strain rates.
0.1 The greater the friction at the job–tool interface, the more is
the work required to overcome it. Consequently, lubricants
are used in working processes to minimize the friction at the
interface. Influence of friction, which is not desirable in
forming operations, is mainly as follows.
1. The greater the friction force due to increase in the
70 coefficient of friction l, or the interface friction factor m,
the higher is the load required to produce a given
deformation. For an average 40% reduction in area,
friction causes to increase the deformation load by 10% if
the coefficient of friction l % 0:05 and 20% if l %
0:1: It is known that the purpose of lubricants employed
in the working processes is to reduce friction forces,
which in turn result in some other beneficial effects.
2. Frictional stress influences the flow of material and
produces inhomogeneity of deformation, as well as sur-
face cracks and other defects. The frictional drag appre-
ciably retards the flow of the surface layers of the
work-piece even in the presence of a lubricant, while the
flow of the interior remains unhindered. So the fast
moving interior imposes a secondary tensile stress on the
surface that sometimes leads to formation of cracks on
the surface. Changes in friction may completely alter the
general pattern of deformation. For example, unlubri-
cated extrusion having high container-wall friction often
progresses with the formation of a dead zone of stagnant
material. Extrusion with a dead zone usually leaves a
poor surface on the product. Good lubrication producing
low friction can entirely eliminate the formation of dead
zone. This has been discussed in Chap. 13. High friction
at the interface of the dies and the job in open-die forging
may produce barreling in the forgings. This barreling can
introduce secondary circumferential tensile stresses,
which can ultimately restrict the allowable deformation
or develop internal cracks during the upsetting of a
cylindrical or a round work-piece.
10.3 Friction
3. Rough tool surfaces, inadequate lubrication or break-
down of lubrication causing material-to-material contact
between the tools and the work-piece results in high
interfacial friction. Under such circumstances, ‘material
pickup on tools’ occurs, which must be avoided in
working processes. This has been discussed subsequently
in Sect. 10.4.1.
4. An increase in the coefficient of friction (COF) increases
the tool wear, although there is no direct relation between
the COF and the amount of wear. Wear can be defined as
the unintentional gradual removal of solid material from
rubbing surfaces.
5. Tool life can be prolonged both by reduction of interfa-
cial friction and by prevention of material-to-material
contact between the tools and the work-piece.
10.3.5 Beneficial Effects of Friction
Although high friction is undesirable in mechanical working
processes, in some cases, friction between the work-piece
and the deforming tools is deliberately increased to have the
beneficial effects of friction, which are summarized below.
1. Increasing coefficient of friction, l, at the job–die inter-
face increases maximum draft, Dhmax , and maximum
reduction in area, rmax , per pass in rolling according to
the following respective relations given by (12.17b) and
(12.18) in Chap. 12:
f 4R 2 f
Dhmax ¼ 4R sin2 and rmax ¼ sin ;
2 h1 2
where R ¼ the roll radius, f ¼ the angle of friction ¼
tan' 1 l, and h1 ¼ ingoing stock thickness.
' % ( where high friction is desirable.
2. Since ingoing stock thickness h1 ¼ 4R sin2 ðf =2Þ rmax ;
therefore, for the same roll radius R; and for a given
maximum reduction rmax ; a higher coefficient of friction,
l; will permit a thicker work-piece to enter the roll throat.
Hence, the angle of bite in rolling increases with
increasing the coefficient of friction, l:
3. In rolling, if the neutral point does not lie within the arc
of contact of the rolls, the rolls skid instead of deforming
the work-piece, which may occur if the friction is too
low.
4. During the final stage in extrusion, when the deformation
pressure becomes too high, the back end of the work-piece
flows over the face of the pressure pad. The rearward sur-
face of the work-piece thus becomes entrained along the
axis of an extruded product, and even a hollow pipe may
form at the rear end of the product, which is an extrusion
defect. This requires cutting off the defective material with
saw or termination of the extrusion operation at an early
435
stage, which reduces the yield. The lower the friction at the
face of the pressure pad, the easier is the inward flow of the
material and the sooner the extrusion defect begins to form.
This is particularly noticed where a plain graphite dummy
block, having low friction, is used as the pressure pad to
achieve a complete extrusion without a butt (discard) left in
the chamber. This may produce considerably long rear-end
pipe. So to avoid the formation of the rear-end pipe, the
friction is intentionally increased by placing asbestos pads
between the surfaces of the billet and dummy block.
5. In deep drawing of a cup, there must be high friction on
the punch and low friction against the die so that the
onset of necking in the walls of the cup is prevented.
6. In push-bench manufacture of tube on a mandrel, the dies
are lubricated with a graphite material and the mandrel is
kept unlubricated so that a reasonably high friction is
maintained on the mandrel. The higher friction on the
mandrel is advantageous, because part of the drawing
force is carried by the mandrel. In this way, the tensile
stress on the leading end of the finished tube is reduced
and it becomes possible to achieve greater reduction in
area without fracture.
7. In open-die forging, interfacial friction must be sufficient
to prevent the outflow of the work-piece material from
between the tools.
8. In closed-die forging, friction is one of the reasons for
creation of high back pressure in the flash to ensure
filling of all recesses of the die cavity.
9. It is desired to have high friction in many varieties of
tensile grips used in working processes.
The above instances show that the reduction of friction
coefficient to a minimum is not always desirable, but care
must be taken to avoid ‘material pickup on tools’ in cases
10.4 Lubrication
The major function of a lubricant used in working processes
is to prevent or minimize material transference from the
work-piece, then secondly to reduce tool wear and thirdly to
minimize friction. Let us first have a brief introduction on
material transfer.
10.4.1 Material Transfer
The transfer of work-piece material to the tools is called
‘material pickup on tools’ or simply ‘pickup’, which can
limit the range of possible deformation in a pass. The
‘pickup’ occurs due to inadequate lubrication. Transfer of
material may occur in two main ways:
436
• One is primarily associated with rough tool surfaces. If
the lubricant film is depleted at the interface, work-piece
material is forced into crevices in the tool. Subsequent
tangential motion along the tool faces shears off the
projecting soft material and results in tool pickup. This
usually results in a poor surface finish of the product, but
is not disastrous.
• The other type of transfer is adhesive and is much more
serious. If lubrication breaks down under high pressure
or if small-scale or rust particle scours away the protec-
tive surface film on the work-piece, leaving bare material,
the tool and work-piece cold weld together at their bare
contact under high pressure. Subsequent shearing results
in a fragment of material being torn away from the
work-piece and left firmly adhering to the tool. The act of
tearing exposes fresh clean surfaces, which is even more
susceptible to cold welding. Thus, when pickup begins, it
often becomes progressively worse and the tools have to
be reconditioned after terminating the working operation.
The adhesion depends on the nature of material used to
make the tool or die; e.g., steels are much less liable to
pick up on tungsten carbide than on tool steel surface.
The interposition of non-metallic films, such as phos-
phate coating on work-piece, also helps to eliminate or
reduce pickup in the event of lubrication breakdown. If
any adhesion occurs, it may seriously affect the life of the
tools as well as the quality of the product.
10.4.2 Functions and Characteristics
of a Lubricant
Whenever possible, a sufficiently thick film of lubricant that
causes a complete separation between the surfaces of the
work-piece and the tools must be maintained. In the presence
of very thick film of lubricant, the individual crystals of the
material deform freely, in accordance with their crystallo-
graphic orientation, and produce surface with a dull or matte
appearance. Although metallurgical or mechanical properties
of the end product are not affected by this surface appear-
ance, visual inspection of flaws becomes difficult which is
undesirable. On the other hand, at the risk of thinning the
lubricant film close to the breakdown level, surface with a
highly burnished or shiny appearance is produced in cold
working where the surface asperities are flattened by a
smooth-polished tool. However, the functions of an ideal
lubricant in metalworking process are as follows:
1. To reduce deformation load and consumption of power,
that is caused by reduction in friction.
2. To increase the deformation limit prior to fracture; this is
also due to reduction in friction.
10 Fundamentals of Mechanical Working
3. To prevent or minimize material pickup on tools.
4. To reduce tool wear and prolong tool life, caused by
reduction in friction.
5. To obtain desirable surface finish of the final product.
6. To act as thermal insulator for the work-piece and the
tools.
7. To cool the work-piece and/or the tools by dissipating the
heat generated in the working process.
8. To restrict rise in temperature by reducing heat generated
due to friction.
The characteristics of a good metalworking lubricant are
such that it must
• Have capability to function over a wide range of tem-
perature, pressure and speed of deformation.
• Be sufficiently viscous so that it is not squeezed out from
the gap between the tools and the work-piece.
• Possess good spreading and wetting properties so that it
is able to adhere strongly to the surface of the
work-piece. This characteristic may be enhanced by
surfactants (wetting agents that reduce surface tension)
such as fatty acids (Likhtman et al. 1962), capable of
adsorbing rapidly and strongly to the surface of the
work-piece.
• Possess good thermal stability.
• Be non-corrosive to tools and products.
• Have capability to completely burn and produce harmless
residue that causes no staining on subsequent welding or
heat treatment, and which can easily be removed.
• Not produce harmful fumes.
• Be non-toxic, free of fire hazard and inexpensive.
10.4.3 Lubrication Mechanism
Lubrication is effected by several mechanisms; though the
distinctions among them are not clear, it is usual to consider
lubrication under separate headings as follows:
10.4.3.1 Hydrodynamic or Full-Fluid
or Thick-Film Lubrication
In this case, the sliding surfaces are completely separated by
a thick layer of liquid lubricant, so that there is no direct
contact between the surfaces of the work-piece and tools.
The finished product will have a dull or matte surface in the
presence of a very thick film of lubricant, as mentioned
earlier. In ideal case, the liquid film is continuous and the
true area of contact is zero. An ideal thick fluid film is about
ten times greater the surface roughness. For this condition,
the coefficient of friction (COF) becomes very low, ranges
from 0.001 to 0.01 and is determined by the viscosity of the
10.4 Lubrication
lubricant (Clark et al. 1956). In such condition, there is
practically no wear. So, full-fluid lubrication is usually
desired but in practice, maintaining a continuous thick fluid
film becomes frequently impossible. Forming operations
occur often under partial-fluid lubrication condition, in
which the moving surfaces are partly separated by a liquid
lubricant film and partly in direct contact or boundary
lubrication condition, where the lubricant film becomes a
few molecules thick, known as boundary lubricant.
Figure 10.21 shows the variations of COF in the regions of
full-fluid, partial-fluid and boundary lubrication conditions
with changes of the term ðgN Þ=P, where g is the viscosity of
the lubricant, N is the speed of the moving surfaces in rev-
olution per minute, and P is the applied load. This figure
shows that with increasing the values of term ðgN Þ=P, which
corresponds to an increase in viscosity and/or sliding speed
under a constant applied load P, the values of COF decrease
sharply from high to low and then gradually increase after
passing through a minimum. The full-fluid lubrication region
begins at this minimum value and continues with further
increase in ðgN Þ=P, leading to gradual increase of COF. In
hydrodynamic lubrication, sufficient sliding speed is
required to maintain the film thickness greater than the
surface roughness, but at a high speed the fluid is heated
resulting in a decrease in viscosity, which in turn will cause a
decrease of the film thickness and an increase in friction.
Since increased speed lowers the viscosity and thereby
increases friction, so a compromise between speed and vis-
cosity is required. Finely divided lime or some other solids
may be added to fluid lubricants to increase their viscosity.
However, the oil used as thick film usually breaks down due
to excessive loads or vibration or on starting and stopping of
the working machine, which results in a direct contact of the
moving surfaces leading to high friction and adhesion.
In hydrodynamic bearing system, the condition of
full-fluid lubrication exists, but it is somewhat rare in
working processes. However, it may occur by creating a
converging gap between the work-piece and the tools and by
high sliding speed, such as high-speed wire drawing and
rolling operations. For example, the viscous drag exerted on
a lubricant by a wire travelling at high speed may force
appreciable quantities of lubricant into a low-angle die, and
thus, thick fluid film is established. As the normal force
increases or as the viscosity of the fluid and/or sliding speed
decreases, the film thickness is reduced to about three to five
times the surface roughness. This produces some
material-to-material contact resulting in an increase of COF
and wear rate.
10.4.3.2 Boundary Lubrication
Boundary lubricants are generally thin organic films physi-
cally absorbed or chemisorbed on the surface of work-piece.
They are only a few molecules thick, whose dimension is
437
Boundary
lubrication
0.015
Partial fluid
lubrication
0.010
Coefficient of friction
Fluid lubrication
0.005
0
hN/P
Starting or
Normal running
Stopping
Fig. 10.21 Variations of COF in different lubrication regions with
changes of the term ðgN Þ=P; where g is the viscosity of the lubricant,
N is the speed of the moving surfaces, and P is the applied load
similar to that of pits and asperities on the moving surfaces;
even monomolecular layers of some compounds form
boundary lubricants that produce low friction. Although they
form apparently continuous films separating the surfaces but
owing to the thinness, they are of course quickly worn away
and become discontinuous causing asperity contact. Since a
boundary lubricant is a very thin film of lubricant close to
the breakdown level, it will produce a bright surface in the
finished product.
Boundary lubrication operates under the conditions of
low values of ðgN Þ=P; corresponding to high applied load,
low viscosity and slow speed of the moving surfaces. This
condition is characterized by high COF, as shown in
Fig. 10.21, and the viscosity of the lubricating oil no longer
is of primary importance, but rather the nature of rubbing
surface is.
Boundary lubricants are generally obtained by addition of
a relatively small amount of polar organic compounds, such
as liquid or solid fatty acids, which are particularly effective,
to lubricating oil. The polar groups, such as carboxyl, react
with the surface of work-piece to form a solid soapy
monomolecular layer, which is strongly bound to the surface
of work-piece. The resulting film of the reaction products
offers an appreciable resistance to compression but low
resistance to shear, thereby greatly decreasing friction and
wear. However, the shear strength of the film is pressure and
temperature dependent. The COF decreases with increasing
the thickness of boundary film up to 1000 Å, beyond which
the film becomes unstable leading to a rise in friction again.
438
Evidence shows that when a boundary lubricant is solid it
performs the best, but with rise in temperature, friction and
wear increase noticeably at a temperature near to the melting
point of the film because at the melting point there will be
disorientation of the long molecules leading to the break-
down of the boundary film (Bowden and Tabor 1954 and
1964).
Lubricating properties of long-chain solid organic com-
pounds are good, but they adhere less strongly to the surface
of work-piece than the reaction products, because long
hydrocarbon chains are oriented outwards in approximately
normal directions. The reaction of some materials, including
titanium alloys and stainless steel, with boundary lubricants
does not occur easily, and these materials in the presence of
boundary lubricants are observed to be highly susceptible to
material pickup on tools.
10.4.3.3 Mixed-Film Lubrication
Frequently, an excessive heat is generated due to friction
under high pressure resulting in local rise of temperatures at
the surface. One disadvantage of boundary lubricants is that
organic compounds, usually used as boundary lubricants,
decompose at temperatures of 250 °C or less. For this rea-
son, special additives are used to form more durable lubri-
cating films that are capable of withstanding higher
temperatures. These additives are organic compounds hav-
ing certain active groups or radicals, such as chlorine, sul-
phur or phosphorus, which react with the surface of
work-piece to form inorganic films, such as chlorides, sul-
phides or phosphides. But these additives are ineffective on
chemically inert surfaces of metals like silver, titanium and
chromium.
For example, chlorinated organic compounds used for
protection at higher temperatures react to form solid chlo-
rides such as FeCl2 which decomposes at about 350 °C, but
the friction of a chloride film is usually higher than that of a
true boundary film. Such compounds were first developed
for use in gears subjected to high pressures and are usually
referred to as extreme pressure (EP) additives, though their
action is primarily dependent on temperature. Sulphur
compounds used as EP additives form sulphides such as FeS
which decomposes at about 700 °C. Though they are
effective up to higher temperatures, the friction is somewhat
higher still. Since the friction of EP additives is usually
higher than that of a true boundary film, so boundary
lubricants and EP additives are often blended to produce
mixed-film lubrication for obtaining low friction over as
large a temperature range as possible. Most deformation
processes are carried out predominantly with boundary
lubricant or mixed-film lubricant.
10 Fundamentals of Mechanical Working
10.4.3.4 Solid Lubricants
Any solid material of lower shear strength than the
work-piece can in principal be used as a solid lubricant in
working processes. Neglecting ploughing and interlocking,
the total sliding friction was shown to be equal to the
shearing friction force as in (10.22), i.e. FT ¼ F ¼ Areal s;
therefore, to obtain a low friction between two rubbing
surfaces, the real area of contact, Areal, or the tangential shear
stress s, or both, must be small. This implies that a material
of low shear strength and high hardness would be the most
suitable one as lubricant, but such a combination is practi-
cally impossible because materials of high hardness usually
have high shear strength. If, however, a thin film of a soft
metal is deposited on a base of hard material, the frictional
shear strength will be the same as that of the soft metal,
while the hard base will largely offer the resistance to
deformation. In such a case, the contact area Areal will not
practically change, even under high applied loads, and the
friction will be low. With decreasing the film thickness, the
friction will decrease, because the contact area Areal will
decrease, whereas the frictional shear strength will remain
the same. Further, with rise in temperature, the friction of
very thin metallic film decreases steadily because of decrease
in the shearing strength of the film, but there is a very little
decrease in the hardness of the base metal because it has
usually high melting point. But on reaching the melting
point of the metallic film, the friction begins to increase.
Here, the wetting and spreading ability of the metal in the
molten film over the surface of the hard base metal plays an
important role in the changes that occur.
Thin copper coatings have been used in forming opera-
tions, including sinking of steel tubes. If a thin layer of
copper with shear strength k = 150 MPa is deposited on a
work-piece made of steel (base metal) having uniaxial flow
stress of r0 = 750 MPa, then the apparent value of coeffi-
cient of friction l, depending to some extent on the strain
%
hardening, should be about l ¼ ðkÞCu ðr0 ÞSteel ¼ 150=750 ¼
0:2. Soft metal coatings like tin or lead have also been used
in some industrial processes. Cold tube drawing operation is
carried out with coatings of lead, which is not only very soft,
but also very tenacious. If thick films of lead are used,
several heavy passes may be given to work-piece succes-
sively without relubrication.
The most commonly used crystalline solid lubricants that
can easily form sheared layers between the work-piece and
tools are graphite and molybdenum disulphide (MoS2), used
either alone or as a colloidal suspension in oil or resin. Both
of them have lamellar structures that can undergo easy shear.
Shearing aligns the lamellae parallel to the surface in the
direction of motion. The lamellae prevent contact between
10.4 Lubrication
the rubbing surfaces even under high loads, and thus, their
lamellar structures account for their low shear strengths that
result in low friction coefficients. The best performance is
achieved with finer particles on relatively smooth surfaces at
high speeds and large particles on relatively rough surfaces
at low speeds. On the surface of work-piece, they form
continuous layers that offer an appreciable resistance to
compression and exhibit low friction up to high tempera-
tures. Graphite dispersed in tar or grease is useful in hot
working of steel.
Other useful solid lubricants include talc, polyethylene,
polytetrafluoroethylene (Teflon), calcium fluoride, cerium
fluoride, boron nitride and tungsten disulphide. Solid poly-
mers, solid waxes, solid soaps such as sodium- and calcium
stearate are widely used in cold working. Phosphate coating
are often applied to the work-piece to serve as a base for
retention of lubricant.
10.4.3.5 Melting Solids
Lubrication is carried out by a thin film of liquid generated
by melting a solid lubricant in contact with a hot work-piece.
For example, during extrusion at about 1000 °C, a pad of
compacted glass powder is placed at the face of the die in
front of the nose of a hot billet. Further, glass powder is used
to coat the billet surface in contact with the container for
lubrication and thermal insulation. During extrusion, the hot
billet progressively softens the glass pad and a molten film
of glass acting as a lubricant passes uniformly through the
die orifice, providing low friction, good surface finish and
greatly improved die life (Sejournet and Delcroix 1955).
Other melting solid lubricants include ice (Wallace 1960)
and many inorganic compounds that can be applied at
suitable temperatures. For example, a blend of polyethylene
and wax produces good lubrication (Rogers and Rowe 1963)
at a temperature of about 100–150 °C.
10.5 Mechanics of Working Process
The working processes are analytically studied to determine
mainly the forces required to produce a given deformation of
the work-piece and also to predict reduction per pass or the
maximum possible amount of deformation without causing
the fracture to initiate. Such calculations are used to solve
the problems of selecting or designing and modernization of
the equipment to do a particular job. Calculations based on
the theory of working process can also solve the problems of
intensification of deformation, development and improve-
ment of plastic working techniques. Due to the quite com-
plex nature of deformations and forces generally involved in
439
mechanical forming operations, usually the following sim-
plifying assumptions are made to obtain an easy solution of
the analysis:
• The work-piece is assumed to be a plastic-rigid solid; i.e.,
elastic strain is neglected and only the plastic strain is
considered. This assumption is quite logical in the sense
that the extent of plastic strain involved in the forming
operations is quite large compared to the elastic strain.
• Because of large plastic strain involved in the forming
operations, the strain is expressed in terms of true or
natural strain, e, and stress in terms of true stress r.
Constancy in volume is also maintained during plastic
deformation in working processes. From (1.21), the
constant–volume relationship in terms of principal true
strain is expressed by
e1 þ e2 þ e3 ¼ 0 ð10:29Þ
• Strain hardening is often neglected; i.e., the flow stress is
assumed to be constant, which approaches the conditions
existing in the hot-working operations or for metals in a
highly cold-worked state. But in cases of cold working,
where strain hardening is present and flow stress varies
with strain, the above assumption will yield erroneous
results. When the metal is deformed from an initial strain
value of e1 to a final strain value of e2 ; a better approach
is to select the mean flow stress r !0 ; given by the fol-
lowing (10.30), which can be used in the calculations of
forming load.
Ze2
1
r
!0 ¼ r0 de ð10:30Þ
e2 ' e1
e1
Equation (10.30) is explained in Fig. 10.22, which is
obviously better to select than to consider the flow stress at a
mean value of true strain, i.e. at !e ¼ ðe1 þ e2 Þ=2. For
example, to obtain the average flow stress r !0 , the expression
for r from either (1.90a) or (1.90d) may be put in place of r0
in (10.30). However, the following expression has been
proposed (Shaw 1982) for the flow stress at large strains
where e [ 1:
r0 ¼ Kð1 ' nÞ þ K n e ð10:31Þ
where K and n are the same parameters as in (1.90a).
• The work-piece is considered to be homogeneous and
isotropic, practically in all analyses.
• In most analyses, Von Mises’ yielding criterion is applied.
440 10 Fundamentals of Mechanical Working

e2 surface of contact, which has been considered for the slab

s0 de
analysis.
e1
• All the stresses that act normal to the elemental slice
considered in this method are assumed to be principal
stresses.
• Frictional effects do not change the directions of principal
stresses or produce internal distortion.

s0 s0
In mechanical working operations, since compressive
stresses play an important role, so they are considered as
positive stresses and tensile stresses as negative, while the
reverse is true in the theory of plasticity, such as in any
mechanical testing operation. Similarly, compressive strains
e1 e2 will be considered as positive and tensile strains as negative
e in metalworking operations. The method of slab analysis has
Fig. 10.22 Diagrammatical illustration of mean flow stress been mainly considered in the text and applied to each and
every field of the working operations, wherever the defor-
mation stresses or loads have been determined.
There are various methods of analysis, the names of
which are arranged below in order of increasing complexity
and ability to predict fine detail: 10.5.2 Uniform-Deformation Energy Method

1. The slab method, Let us consider a simple case, where friction at the job–tool
2. Uniform-deformation energy method, interface and the influence of transverse stresses, i.e. plastic
3. Slip-line field theory, constraint, are neglected. Further, it is assumed that the
4. Upper- and lower-bound solutions, deformation is uniform or homogeneous; i.e., there is no
5. Finite element method. internal redundant deformation. That means we only con-
sider the case of energy required for ideal work of plastic
deformation. If the increment in length of the work-piece is
dL, under an applied load of P, the increment of work will be
10.5.1 Slab Method dðW:D:Þ ¼ P dL ¼ r
!0 A dL

The slab method of analysis is also known as free-body where r

!0 is the average flow stress, and A is the instanta-
equilibrium approach. In this method, it is assumed that the neous cross-sectional area of the work-piece. The increment
material deforms homogeneously in the deformation zone. of work per unit volume V will be
Homogeneous deformation means plane sections remain
plane during deformation; i.e., square elements of the defor- dðW:D:Þ r!0 A dL
¼ !0 de
¼r
mation zone deform uniformly into rectangular elements. In V A L
the 1920s, von Kármán, Hencky, Siebel and later on Sachs If L1 is the initial length before deformation and L2 is the
(Hoffman and Sachs 1953) developed the slab method, which length after deformation of the work-piece, the plastic
was the earliest approach of analysis based on the equilibrium deformation energy per unit volume will be given by
of forces acting on an infinitely thin slab of material. The
solution by this method is essentially the same to that used in W
Z :D: Ze
dðW:D:Þ W:D:
the field of mechanics, where free-body equilibrium approach UD ¼ ¼ ¼r
!0 de
V V
is considered. The slab method is helpful to estimate the role 0 0
of friction on the deformation load. The important assump- ð10:32Þ
ZL2
tions in this method are as follows: dL L2
¼r
!0 !0 ln
¼r
L L1
L1
• The deformation is uniform or homogeneous; i.e., there
is no internal redundant deformation. Now, let us take an example of drawing of a cylindrical
• Normal and tangential shear stresses are assumed to be wire, whose initial cross-sectional area A1 is drawn down to
constant within an infinitely small element of area on the area A2, causing an increase in length from L1 to L2. From
10.5 Mechanics of Working Process 441

the constancy of volume, V, during plastic deformation, one they do not contribute directly to the changes in external
can write, form of the worked product. The corresponding amount of
extra or wasted work is called the redundant deformation or
L2 A1 work. Thus, we can say that the redundant deformation is
V ¼ A1 L1 ¼ A2 L2 ; or, ¼ ð10:33Þ
L1 A2 involved in bending the metal fibres in one way and then
And the reduction in cross-sectional area of the wire will back to the initial flow direction. Since the constraint for the
be metal to flow will be influenced by the friction at the job–
tool interface, the redundant deformation will depend upon
A1 ' A 2 A2 A1 1 the coefficient of friction. It must be noted that the redundant
r¼ ¼ 1 ' ; or; ¼ ð10:34Þ
A1 A1 A2 1 ' r shearing increases the strain hardening, and the effect is
additive, so that a number of light passes required to obtain a
Now, the total work done under the applied load P is
given overall reduction of area will harden the stock
L2 appreciably higher than one or two heavy passes required for
!0 ln
W:D: ¼ P L2 ¼ V UD ¼ A2 L2 r
L1 the same reduction.
Hence, the total deformation work per unit volume UT
[From (10.32) and ∵ V = A2L2]. will be the summation of UD, UF and UR, which means
Hence, from (10.33) and (10.34):
UT ¼ UD þ UF þ UR ð10:36Þ
A1
Deformation load, P ¼ A2 r
!0 ln
A2 Hence, the efficiency of a working process is expressed as
ð10:35aÞ
1
!0 ln
¼ A2 r ideal work UD
1'r g¼ ¼ ð10:37Þ
total work UT
P A1
) Deformation stress r¼ !0 ln
¼r Depending on the particular working process, die
A2 A2
ð10:35bÞ geometry, frictional conditions and other process parameters,
1
!0 ln
¼r values of efficiency vary widely; for example, typical values
1'r
of η are 75–95% for rolling and 30–60% for extrusion. The
Equations (10.35a) are the simple work formula for load less efficiency in extrusion is due to more expenditure of
and stress in an ideal homogeneous deformation without energy for internal redundant deformation involved in
considering the contribution due to friction. extrusion, i.e. due to higher value of UR, in extrusion.
Equation (10.32) gives the work per unit volume required
for ideal plastic deformation UD, which is substantially less
than the total deformation work per unit volume in an actual 10.5.3 Slip-Line Field Theory
working process. Because in deriving (10.32), we have
neglected the work per unit volume required to overcome the Slip-line method is widely employed to determine stresses in
friction at the job–tool interface UF and the internal redun- a plane-strain deformation inside the body and on the contact
dant deformation or work per unit volume UR. Redundant surface of the deformation zone. Slip-line field theory for
deformation is the work required or energy expended for plane strain can particularly be applied to calculate the
internal shear distortion in the work-piece caused by overall forming loads when inhomogeneous plastic defor-
non-uniform plastic deformation which does not contribute mation is involved, as in the case of extrusion and drawing
to the change in the external dimension or shape of the operations, where slab method cannot estimate the working
worked product. The amount of redundant deformation loads correctly. Slip-line field analysis is based on the fol-
depends on friction and the geometry of the die or the lowing assumptions:
working process. Let us explain the redundant deformation
taking an example of wire drawing, in which an element of • The material is considered to be isotropic and
the wire near the periphery moves initially towards the die in homogeneous.
an axial direction, but on entering the die it is forced to move • The material is considered as rigid-ideal plastic body;
with an inward radial velocity component due to constraint i.e., elastic strain as well as strain hardening is neglected.
offered by the shape of the die. This is accomplished by • At the interface between the dies or tools and the
shearing deformation within the wire. As the wire passes work-piece, the shear stresses are constant; usually, either
through the exit from the die, the element is sheared back frictionless condition or sticking friction prevails.
again, to advance once again in a direction parallel to the • Deformation under plane strain (two-dimensional strain)
axis. Both these shear processes consume energy, though condition is only considered, because an exact
442 10 Fundamentals of Mechanical Working

three-dimensional solution of the problem often becomes r1 þ r2

too difficult. r3 ¼ ¼ rm ð10:40cÞ
2
• Effects of strain rate and temperature are ignored.
For a non-strain-hardening material, k is constant every-
where, but rm may vary from point to point inside the metal.
Slip-line field theory is based on the fact that any general
A complete stress solution can be found for the metal if it is
state of stress under plane strain (a triaxial state of stress)
possible to determine the magnitude of rm at each point
condition consists of two components: (1) the hydrostatic
inside the metal and the direction of k at that point. The slip
component of stress or mean stress, rm, which does not
lines, to be discussed subsequently, show the direction of
affect yielding, and (2) the yield stress in pure shear, k. This
k at any point, while the changes in the magnitude of rm can
is shown in Fig. 10.23 and explained below, considering a
be deduced from the angular rotation of the slip line between
triaxial state of tensile principal stresses, r1, r2 and r3, in
one point and another in the slip field.
which r1 > r3 > r2.
In order to calculate stress with the help of slip-line fields,
From (1.85), since the principal stress in the direction ‘3’
let us now find the equations for stresses on a physical body in
under plane strain condition is given by r3 ¼ ðr1 þ r2 Þ=2;
the xy coordinate system in terms of rm and k. Figure 10.24a
so from (1.59), the hydrostatic component of stress or mean
shows the state of stress on a physical body, which is repre-
stress (considered as tensile) in plane strain is:
sented by Mohr’s circle given in Fig. 10.24b. Note that
r1 þ r2 þ ðr1 þ r2 Þ=2 r1 þ r2 according to convention, if a shear stress has a clockwise
rm ¼ ¼ ð10:38Þ sense of rotation about any point in the physical element, it is
3 2
considered to be positive and plotted above the horizontal axis
From (1.86a) or (1.88b), we know that of the Mohr’s circle. From the Mohr’s circle diagram, the
r 1 ' r2 stresses can be expressed as
r1 ' r2 ¼ 2k; or; ¼k ð10:39Þ
2
rx ¼ rm þ k cos 2h ð10:41aÞ
where k is the yield stress in pure shear. Therefore, from
(10.38) and (10.39), ry ¼ rm ' k cos 2h ð10:41bÞ

r1 þ r2 þ r1 ' r2 r1 þ r2 r1 ' r2 rz ¼ r3 ¼ rm ð10:41cÞ

r1 ¼ ¼ þ ¼ rm þ k
2 2 2
ð10:40aÞ sxy ¼ syx ¼ k sin 2h ð10:41dÞ

r1 þ r2 ' ðr1 ' r2 Þ r1 þ r2 r1 ' r2 where h is an arbitrary angle of inclination of r1 with the x-
r2 ¼ ¼ ' ¼ rm ' k axis on the physical element, as shown in Fig. 10.24c, and
2 2 2
ð10:40bÞ 2h is the angle between rx and r1 on Mohr’s circle.

10.5.3.1 Slip Lines

A slip line is the line, straight or curved, which is tangential at
sm
every point to the plane of maximum shear stress, i.e. a line of
maximum shear stress, and is therefore oriented at 45° to the
sm s 1 + s2
sm = = s3 axes of principal stresses. Hence, there are two orthogonal
2 families of slip lines called a-lines and b-lines, as shown in
s ! s2
k= 1 Fig. 10.25. Along the tangents to the directions of slip lines,
2
shear strain is a maximum and linear strain is zero. These slip
k k lines have no relationship with the microscopic slip lines
observed on the surface of plastically deformed crystals. For
sm sm
identification of slip lines, the convention is that an a-line is
k
45° to the right (i.e. lies at 45° in the clockwise direction) from
k
the first principal direction ‘1’, along which the algebraically
highest principal stress r1 acts, and a b-line departs to the left,
i.e. in the counterclockwise direction from the direction of the
algebraically highest principal stress r1 by the same angle. In
sm
other words, the direction of the algebraically largest principal
sm stress (most tensile), i.e. r1, passes through the first and third
quadrants formed by a right-handed a'b coordinate system
Fig. 10.23 State of stress under plane strain condition as illustrated in Fig. 10.25.
10.5 Mechanics of Working Process 443

Fig. 10.24 a State of stress on a (a) σy

physical body. b Mohr’s circle for σx > σy
(a), where rm is shown as tensile.
c Angular relationship between τyx = τxy
the directions of principle stresses
and x- and y-axes σx

(b)
σy

τ
+ τxy τ max = k
k
(c)
σ σ+

y-axis
O 2θ
−τxy σ2 θ
σ2
σ1
σx
θ
σ1 x-axis
σ1
σz = σ3 = σm σ2

If the angle of inclination of the tangent to an a-line s1

measured in an anticlockwise direction from the x-axis is
y
denoted by /; then the slopes of slip lines of a- and
b-families are, respectively
b-line
k
dy k
¼ tan /; for a'lines; a-line
dx
dy 45°
and ¼ ' cot /; for b'lines:
dx 45°

If h is an arbitrary angle of inclination of the first prin-

s2
cipal direction ‘1’, (along which r1 acts) measured in an
anticlockwise direction from the x-axis, it is evident from
Fig. 10.25 that
k
p k
h¼ þ/ ð10:42Þ
4
Hence, from (10.42) and (10.41), we get q
f
rx ¼ rm ' k sin 2/ ð10:43aÞ x

ry ¼ rm þ k sin 2/ ð10:43bÞ Fig. 10.25 a- and b-lines tangential to the plane of maximum shear
stress are shown for a curvilinear element
rz ¼ r2 ¼ rm ð10:43cÞ

sxy ¼ syx ¼ k cos 2u ð10:43dÞ Suppose the point P in a body stressed under plane strain
condition is circumscribed symmetrically with a rectangle
whose lengths of sides are @x and @y; as shown in Fig. 10.26.
10.5.3.2 Hencky’s Slip-Line Equations Stresses acting under plane strain condition on the faces of
Hencky’s slip-line equations are developed from equations of the rectangular element are also shown in this figure. The
force equilibrium in plane strain, which is derived below. rates of change of stress components with increase in x, when
444 10 Fundamentals of Mechanical Working

%
y is kept constant, are @rx =@x; and @sxy @x: Similar @rm @/
% % For a-lines, ' 2k ¼ 0;
expressions for direction y are @sxy @y and @ry @y: @a @a ð10:46aÞ
Equilibrium of forces in the x-direction gives @
Or, ðrm ' 2kuÞ ¼ 0
) ! " * ) ! " * @a
1 @rx 1 @sxy
rx þ @x @y þ sxy þ @y @x @rm @/
2 @x 2 @y For b-lines, þ 2k ¼ 0; or,
) ! " * ) ! " * @b @b
1 @rx 1 @sxy ð10:46bÞ
¼ rx ' @x @y þ sxy ' @y @x @
2 @x 2 @y ðr m þ 2 k u Þ ¼ 0
@b
@rx @sxy Thus, from (10.46), the variation of hydrostatic stress rm
) þ ¼0 ð10:44aÞ
@x @y with change in direction of the slip lines is given by the
Hencky’s slip-line equations as follows:
Similarly, equilibrium of forces in the y-direction gives
rm
@ry @sxy ' / ¼ constant ¼ nðsayÞ; for an a-line ð10:47aÞ
þ ¼0 ð10:44bÞ 2k
@y @x
rm
Hence, from (10.43) and (10.44), we get þ / ¼ constant ¼ gðsayÞ; for a b-line ð10:47bÞ
2k
@ @
ðrm ' k sin 2/Þ þ ðk cos 2uÞ ¼ 0;
@x @y
@ @ 10.5.3.3 Stresses and Slip Lines
And; ðrm þ k sin 2/Þ þ ðk cos 2uÞ ¼ 0: at the Boundaries of a Plastic Body
@y @x

@rm @/ @/ (1) Free Surface

) ' 2 k cos 2/ ' 2 k sin 2/ ¼0 ð10:45aÞ
@x @x @y
The plastic zone sometimes extends to the free surface
@rm @/ @/
And; þ 2 k cos 2/ ' 2 k sin 2/ ¼0 beyond the confines of the tool. There can be no tangential
@y @y @x shear stress at a free surface. Thus, one of the principal
ð10:45bÞ planes is parallel to the free surface. Hence, slip lines must
In Fig. 10.25, if the coordinate axes, x and y, are chosen meet a free surface at 45°. It is to be noted that there are two
to coincide with the tangents to the slip lines, then / = 0, possible configurations, as shown in Fig. 10.27.
and therefore, cos 2u ¼ 1 and sin 2 u ¼ 0: Hence, (10.45) In Fig. 10.27a, r1 = 0, so from (10.40a):
reduces to rm þ k ¼ 0; or; rm ¼ 'k:
* From (10.40b),
y 1 ∂σ y
σy + ∂y
2 ∂y r2 ¼ rm ' k; ) r2 ¼ '2k:
1 ∂ τ xy
τ xy + ∂y
2 ∂y In Fig. 10.27b, r2 = 0, so from (10.40b):
1 ∂ τ xy
τ xy + ∂x
1 ∂σ x 2 ∂x
σx _ ∂x rm ' k ¼ 0; or; rm ¼ k:
2 ∂x P ( x, y) 1 ∂σ x
∂y σx + ∂x
2 ∂x * From (10.40a),
1 ∂ τ xy ∂x
τ xy _ ∂x
2 ∂x
1 ∂ τ xy
r1 ¼ rm þ k; ) r1 ¼ 2k:
τ xy ∂y
2 ∂y
(2) Frictionless Interface
1 ∂σ y
σy ∂y
2 ∂y There can be no resultant shear parallel to a smooth or
x
frictionless interface, so slip lines must meet a frictionless
interface at 45°.
Fig. 10.26 Stresses acting on an elemental unit cube under plane
strain condition
10.5 Mechanics of Working Process 445

Fig. 10.27 Slip lines meeting a (a) s1 = 0 (b) s2 = 0

free surface
s2 s2 s1 s1

s1 s2

b a
b
a

(3) Axis of Symmetry 10.5.3.4 Simple State of Stress

In case of a simple state of stress, one family of slip lines
The centre-line of a symmetrical work-piece can have no (say, a-lines) consists of straight lines; curves orthogonal to
resultant shear component along it, so the slip lines must the latter form the other family (b-family in this case). This
make an angle of 45° with an axis of symmetry (centre-line). is shown in Fig. 10.29.
Using (10.47a), along the a-lines, one can write
(4) Perfectly Rough Interface
ðrm ÞA ðr m ÞB
' /A ¼ ' /B
If the friction is very high, the condition of sticking friction 2k 2k
prevails. There is no interfacial movement; the material will ðrm ÞC
¼ ' /C ¼ constant ¼ n1 ðsayÞ
yield beneath the interface, when the tangential shear stress 2k
reaches the value k, its yield stress in pure shear. Hence, ðrm ÞA 'ðrm ÞB
sxy ¼ k is independent of the normal stress. Consequently, ) ¼ /A ' /B ð10:48Þ
2k
one slip line meets the interface tangentially, i.e. at angle of
0° and the other normally, i.e. at angle of 90°, as shown in Using (10.47b), along the b-lines, one can write
Fig. 10.28.
ðrm ÞA ðrm ÞD ðrm ÞG
Hence, we can conclude þ /A ¼ þ /D ¼
2k 2k 2k
ðrm ÞJ
• The slip lines, i.e. a- and b-lines, must meet a free surface þ /G ¼ þ /J ¼ constant ¼ g1 ðsayÞ
at 45°, because the stress normal to this surface is a 2k
principal stress.
• The slip lines must meet a frictionless interface at 45°.
• The slip lines must meet an axis of symmetry at 45°.
• The slip lines meet rough surfaces having condition of C
sticking friction at 0° and 90°.
B

p A
F
τ xy = k
E
D

G H I
α -lines

J
K
L

Fig. 10.28 Slip lines meeting a rough interface leading to the β -lines
condition of sticking friction. p is the axial compressive stress; i.e.,
axial pressure, sx y , is the tangential shear stress, and k is the yield stress
in pure shear, where sx y ¼ k Fig. 10.29 Simple state of stress
446 10 Fundamentals of Mechanical Working

ðrm ÞB ðrm ÞE ðrm ÞH

þ /B ¼ þ /E ¼
2k 2k 2k
ðrm ÞK
þ /H ¼ þ /K ¼ constant ¼ g2 ðsayÞ β -family
2k
ðrm ÞA 'ðrm ÞB
) g1 ' g2 ¼ þ ð/A ' /B Þ ð10:49Þ
2k
x
Substituting (10.48) into (10.49) and noting that for a
straight a-line, /A ¼ /B ;

g1 ' g2 ¼ 2ð/A ' /B Þ ¼ 0; ) g1 ¼ g2 : α -family

Similarly, it can be shown that

g1 ¼ g2 ¼ g3 ¼ g4 ¼ ) ) ) ð10:50Þ
Hence, the parameter η is constant over the whole field, Fig. 10.30 Uniform state of stress showing net of straight lines
where the state of stress is simple and a-family is a family of
straight lines. At the centre O, the stresses are discontinuous. Therefore, it
Similarly, if the b-family is a family of straight lines, the is a singular point of a given stress field.
parameter n is constant over the whole field, where the state In our example (Fig. 10.31), where the a-lines are
of stress is simple, i.e. straight, the parameter η is constant, say η = η0. But
n1 ¼ n2 ¼ n3 ¼ n4 ¼ ) ) ) ð10:51Þ rm rm
þ / ¼ g0 or; ¼ g0 ' /
2k 2k
) rm ¼ 2kðg0 ' /Þ ð10:52cÞ
(1) Uniform State of Stress
Hence, the normal stresses on radial and circumferential
A special case of the simple state of stress is a uniform state planes are linear function of /, the angle between the x-axis
of stress; in such regions, the slip-line network is formed by and the a-line.
two orthogonal families of parallel straight lines, and
therefore, the parameters n and η are constant. Let us con- 10.5.3.5 Hencky’s First Theorem
sider any point, x, in the slip-line field (Fig. 10.30), where Hencky’s first theorem states that if we pass from one slip
the state of stress is uniform. Then, line to another of the same family along any slip line of the
other family, the hydrostatic stress, rm, and the angle, /, (the
ðrm Þx
' /x ¼ constant ¼ n ðsayÞ; and
2k
ðrm Þx O
þ /x ¼ constant ¼ g ðsayÞ
2k
) ðrm Þx ¼ k ðn þ g Þ ¼ constant ð10:52aÞ

ð g ' nÞ σm σm
And, /x ¼ ¼ constant ð10:52bÞ
2
Since n and η are constant over the whole field, the hy-
σm
drostatic stress, rm ; is also constant over the whole field, as
shown by (10.52a). β -lines
σm

(2) Centred Fan-Type Field α -lines

An important case of a simple state of stress is a slip-line

field of the centred fan type, formed by a bunch of straight
lines and concentric circular arcs, as shown in Fig. 10.31. Fig. 10.31 Centred fan-type field
10.5 Mechanics of Working Process 447

angle between the x-axis and the a-line) change by a con- ðrm ÞA ðrm ÞD
stant amount. Referring to Fig. 10.32, along the a-lines, the þ /A ¼ þ /D
2k 2k
theorem can be mathematically stated as follows: ðrm ÞG
¼ þ /G ¼ constant ¼ g1 ðsayÞ
2k
ðrm ÞB 'ðrm ÞA ¼ ðrm ÞE 'ðrm ÞD ¼ ðrm ÞH 'ðrm ÞG ð10:53aÞ
ðrm ÞB ðrm ÞE
And; /B ' /A ¼ /E ' /D ¼ /H ' /G ð10:53bÞ þ /B ¼ þ /E
2k 2k
Similarly, along the b-lines, the theorem states mathe- ðrm ÞH
¼ þ /H ¼ constant ¼ g2 ðsayÞ
matically that 2k

ðrm ÞD 'ðrm ÞA ¼ ðrm ÞE 'ðrm ÞB ¼ ðrm ÞF 'ðrm ÞC ð10:54aÞ ðrm ÞC ðrm ÞF

þ /C ¼ þ /F
2k 2k
And; /D ' /A ¼ /E ' /B ¼ /F ' /C ð10:54bÞ ðrm ÞI
¼ þ /I ¼ constant ¼ g3 ðsayÞ
2k
g1 ' n1
Proof ) ðrm ÞA ¼ kðn1 þ g1 Þ; and /A ¼ :
2
ðrm ÞA ðr m ÞB
' /A ¼ ' /B g2 ' n1
2k 2k ðrm ÞB ¼ kðn1 þ g2 Þ; and /B ¼ :
2
ðrm ÞC
¼ ' /C ¼ constant ¼ n1 ðsayÞ
2k g1 ' n2
ðrm ÞD ¼ kðn2 þ g1 Þ; and /D ¼ :
2
ðrm ÞD ðrm ÞE
' /D ¼ ' /E
2k 2k g2 ' n2
ðr m ÞF ðrm ÞE ¼ kðn2 þ g2 Þ; and /E ¼ :
¼ ' /F ¼ constant ¼ n2 ðsayÞ 2
2k
g2 ' n3
ðrm ÞG ðrm ÞH ¼ kðn3 þ g2 Þ; and /H ¼ :
ðrm ÞH 2
' /G ¼ ' /H
2k 2k
ðrm ÞI g1 ' n3
¼ ' /I ¼ constant ¼ n3 ðsayÞ ðrm ÞG ¼ kðn3 þ g1 Þ; and /G ¼ :
2k 2

) ðrm ÞB 'ðrm ÞA ¼ kðg2 ' g1 Þ;

g ' g1
and /B ' /A ¼ 2 :
2

ðrm ÞE 'ðrm ÞD ¼ kðg2 ' g1 Þ;

ξ1
g ' g1
η and /E ' /D ¼ 2 :
3 2
C
η2 ðrm ÞH 'ðrm ÞG ¼ kðg2 ' g1 Þ;
B g ' g1
η1
and /H ' /G ¼ 2 :
2
A
ξ2 ) ðrm ÞB 'ðrm ÞA ¼ ðrm ÞE 'ðrm ÞD
F ¼ ðrm ÞH 'ðrm ÞG ;
E and /B ' /A ¼ /E ' /D ¼ /H ' /G :
D

Along the b-lines, (10.54) can also be similarly proved.

10.5.3.6 Numerical Method of Solution

G
H ξ3 A slip-line field consists of a- and b-lines intersecting at
I
points called the nodal points. Any nodal point can be
Fig. 10.32 Drawing to illustrate Hencky’s first theorem assigned the coordinates ð0; 0Þ: The coordinates of any other
448 10 Fundamentals of Mechanical Working

point may be denoted by (m, n), m increasing along an a-line
and n increasing along a b-line, as shown in Fig. 10.33. By
Hencky’s first theorem,
ðrm Þm;n 'ðrm Þm'1;n ¼ ðrm Þm;n'1 'ðrm Þm'1;n'1
10.5.3.7 Application of Slip-Line Field to Static
System
Let us consider plane-strain indentation with flat frictionless
platens for cases of various heights of work-piece with
respect to the breadth of platen.

Or; ðrm Þm;n ¼ ðrm Þm'1;n þ ðrm Þm;n'1 'ðrm Þm'1;n'1 Case I: Strip Height Equal to Platen Breadth
ð10:55aÞ Features are as follows:

And, /m;n ' /m'1;n ¼ /m;n'1 ' /m'1;n'1 • The slip lines meet a frictionless interface at 45°.
• The field is symmetrical about the centre-line.
Or, /m;n ¼ /m'1;n þ /m;n'1 ' /m'1;n'1 ð10:55bÞ
• The centre-line of the strip is therefore an axis of sym-
Again, metry and can have no resultant shear component along
it, so the slip lines meet the centre-line also at 45°.
dy=dx ¼ tan /; along an a-line; and
dy=dx ¼ ' cot /; along a b-line: It can be seen that in this particular case, the diagonals are
the slip lines, so the uniform stress field shown in Fig. 10.34
Replacing these differential equations by difference fulfils the boundary conditions. It must be noted that the
equations, we get construction of a slip-line field involves the separation of
! " rigid and plastic regions. For example, in Fig. 10.34, the
+ , /m;n þ /m '1;n
ym;n ' ym'1;n ¼ xm;n ' xm'1;n tan regions I and III are plastic and the regions II and IV are rigid.
2 Let us consider a point on the boundary slip-line BD.
ð10:56aÞ Since here the slip lines are at 45° to the horizontal, the
principal stresses r1 and r2 are horizontal and vertical.
And, Since here r1 = 0 so from (10.40a), rm þ k ¼ 0; or;
! "
+ , /m;n þ /m;n'1 rm ¼ 'k:
ym;n ' ym;n'1 ¼ ' xm;n ' xm;n'1 cot
2 ) From (10.40b),
ð10:56bÞ
r2 ¼ rm ' k ¼ '2k:
The above (10.56) is used to determine xm;n and ym;n :
p
) The indentation pressure; p ¼ 'r2 ¼ 2k; or; ¼ 1:
2k

p
b

A 45° 45° B
(2,0)
I σ2
(1,0) σ1 = 0
σ1
σ2

(0,0) (2,1)
(1,1) h II IV
α -lines
(0,1)

III
D C
(0,2)
(1,2)
(2,2)

p
β -lines
Fig. 10.34 Slip-line field for plane-strain indentation showing sepa-
Fig. 10.33 Coordinates of nodal points (intersecting points of a- and ration of plastic regions, I and III, and rigid regions, II and IV, for a
b-lines) strip whose height, h, is equal to platen breadth, b
10.5 Mechanics of Working Process 449

Case II: Platen Breadth an Integral Multiple of Strip y-axis

Height
With reference to Fig. 10.35, here also ðp=2 kÞ ¼ 1: p b/2

Case III: Strip Height Greater than Platen Breadth

x-axis
With reference to Fig. 10.36, for different nodal points, the 45º
values of angle / are shown below: σ2 15º

p p
/0;0 ¼ ' ; /1;0 ¼ ' ; (0,0)
4 6
p p
/0;1 ¼ ' ; /1;1 ¼ ' :
3 4 (0,1) (1,0)
β -line (1,1) α -line
If p is the indentation pressure, then at the point of
indentation, r2 ¼ 'p: 45º 45º
Now, from (10.40b),

rm ' k ¼ 'p; or; rm ¼ k ' p; h/2

rm 1 p
Or, ¼ ' :
2k 2 2k
ðrm Þ0;0 1 p
) ¼ ' :
2k 2 2k
Using (10.47a), along the a-line, p

ðrm Þ1;0 ðrm Þ0;0

' /1;0 ¼ ' /0;0 ; Fig. 10.36 Slip-line field for plane-strain indentation for a strip whose
2k 2k height h is greater than the breadth b of platen

ðrm Þ1;0 1 p p p
) ¼ ' þ ' ðrm Þ1;1 1 p p p p
2k 2 2k 4 6 ) ¼ ' þ ' þ
1 p p 2k 2 2k 12 6 4
¼ ' þ : 1 p p
2 2k 12 ¼ ' þ :
2 2k 6
Using (10.47b), along the b-line,
Now, from (10.43a),
ðrm Þ1;1 ðrm Þ1;0
þ /1;1 ¼ þ /1;0 ; ðrx Þ1;0 ¼ ðrm Þ1;0 ' k sin 2/1;0 ;
2k 2k
ðrx Þ1;0 1 p p 1 - p.
Or, ¼ ' þ ' sin 2 '
2k 2 2k 12 2 6
b = 3h 1 p 1 -p. p
¼ þ þ sin '
2 12 2pffiffi 3 2k
p
1 p 3 p
¼ þ þ ' ;
2 12 4 2k
ðrx Þ1;0 p
h ) ¼ 1:1948 ' ð10:57aÞ
2k 2k
ðrx Þ1;1 1 p p 1 + ,
Similarly, ¼ ' þ ' sin 2 /1;1
2k 2 2k 6 2
1 p 1 - p. p
p ¼ þ þ sin 2 ! '
2 6 2 4 2k
1 p 1 p p p
¼ þ þ ' ¼ 1þ '
Fig. 10.35 Slip-line field for plane-strain indentation for a strip whose 2 6 2 2k 6 2k
height h is one-third of the breadth b of platen
450 10 Fundamentals of Mechanical Working

! "
ðrx Þ1;1 p bp
) ¼ 1:5236 ' ð10:57bÞ Or, 0:8032 ! ¼ 1:1948 ! 0:6124 b þ 1:3592
2k 2k 2k
! 0:1908 b;
Along the a-line, we can write from (10.56a),
! " p
+ , /1;1 þ /0;1 ) ¼ 1:2339:
y1;1 ' y0;1 ¼ x1;1 ' x0;1 tan ð10:57cÞ 2k
2
Proceeding in this way, it can be shown that
If b = the breadth of the platen, then the coordinates of
the nodal points are
h 1.0 1.6064 2.4461 3.6613 5.4773 8.2540
b
b p 1.0 1.2339 1.4554 1.7239 2.0742 2.5074
(i) x0;0 ¼ 0; and y0;0 ¼ ' ¼ '0:5 b:
2 2k

b b
(ii) x1;0 ¼ ' pffiffi cos 60- Case IV: Single Punch Indentation of a Thick
2 2
b b 1 (semi-infinite) Block (h/b ~ ∞)
¼ ' pffiffi ¼ 0:1464 b; and
2 22 When the block is very thick, the zones of plastic deformation
pffiffi do not extend completely across the block, and the problem
b b 3
-
y1;0 ¼ ' pffiffi sin 60 ¼ ' pffiffi ¼ '0:6124 b: becomes essentially that of single-sided indentation by one
2 2 2 punch. This may be considered with reference to Fig. 10.37,
which shows the slip-line field proposed by Hill (1950).
(iii) x0;1 ¼ 'x1;0 ¼ '0:1464 b;
and y0;1 ¼ y1;0 ¼ '0:6124 b: (a) Construction of the Slip-Line Field:
(iv) x1;1 ¼ 0; hence, we get the value of y1;1 from (10.57c)
Since the interface between the punch and the block is
1 - p p. assumed to be frictionless, the slip lines must meet the
y1;1 þ 0:6124 b ¼ ð0:1464 bÞ tan ' '
2 ! 4" 3 interface at 45°. If all plastic deformation were restricted to a
7p triangular region beneath the punch–block interface AB, it
¼ ð'0:1464 bÞ tan ;
24 would not be possible for the metal to move physically,
because it is fully constrained beneath and laterally by the
) y1;1 ¼ ð'0:1464 bÞ ! 1:3032 ' 0:6124 b ¼ '0:8032 b: surrounding rigid (elastic) material. Hence, it can only flow
upwards at the sides of the punch, which suggests that the
Again, the height h of the strip is: h ¼ 2 ! y1;1 ¼
plastic zone must be extended along the free surface to AI and
2 ! 0:8032 b ¼ 1:6064 b;
BD. The slip lines must also meet this free surface at 45°.
As proposed by Hill (1950), the region beneath the
h indenter is divided into two parts. Metal from the zone OBF
Or; ¼ 1:6064:
b flows along the slip lines within OFED to the free surface at
Z0 the right, while that from the zone OAG flows to the left.
Each of the two plastic regions beneath the indenter consists
Now; rx dy ¼0
of two uniform stress fields, sandwiching a centred fan-type
'h2
field. For example, the centred fan-type field BEF is sand-
wiched between the uniform stress fields OBF and BDE.
1n o+ ,
Or; ðrx Þ1;0 y1;0 þ ðrx Þ1;0 þ ðrx Þ1;1 y1;1 ' y1;0 ¼ 0;
2 (b) Stress Determination from the Slip-Line Field
) *
ðrx Þ1;0 1 ðrx Þ1;0 ðrx Þ1;1 + , To determine the stresses from the slip-line field, let us
Or; y1;0 þ þ y1;1 ' y1;0 ¼ 0;
2k 2 2k 2k consider a point D on the free surface BD. Since there can be
no stress normal to this surface in this region, so at point D,
- p. 1n p ðr1 ÞD ¼ 0: But from (10.40a),
Or, 1:1948 ' ! ð'0:6124 bÞ þ 1:1948 '
2ko 2 2k
p ðr1 ÞD ¼ ðrm ÞD þ k;
þ 1:5236 ' ! ð'0:8032 b þ 0:6124 bÞ ¼ 0;
2k ) ðrm ÞD ¼ 'k:
10.5 Mechanics of Working Process 451

Fig. 10.37 Slip-line field, p

suggested by Hill, for indentation
of a very thick block by a single
flat punch σ1 = 0

A O J B K D
45º 45º σ2 σ2
I 45º

σ1 = 0

H G y F E
α -line

β -line
x

Since the slip line from D to E lies in the clockwise between the surface of the indenter and the indentation, pm,
direction from the direction of the algebraically highest which is same as the Meyer hardness, is often estimated as
principal stress r1, so it is an a'line, and thus, OFED will three times the yield strength or flow stress r0 of the material
be an a'line. Since slip lines must meet a frictionless according to (10.59).
interface at 45°, so for the OFED a'line, at point O, /O ¼
p p
10.5.3.8 Application of Slip-Line Field to Steady
' ; and at point D, /D ¼ þ : Motion
4 4
Along the OFED a-lines; one can write from (10.47a) In many forming processes, the system is not static; rather,
the metal flow rapidly attains a steady state which continues
ðrm ÞO ðrm ÞD ðrm ÞO p 'k p throughout the operation. For these, it is essential to verify
' /O ¼ ' /D ; or, þ ¼ ' ; that the chosen slip-line field conforms to the requirements
2k 2k 2k 4 2k 4
of steady velocity—here lies the significance of velocity in
ðr m ÞO 1 p slip-line field evaluation. Application of slip-line field to
) ¼ ' ' ; or, ðrm ÞO ¼ 'kð1 þ pÞ:
2k 2 2 steady motion under frictionless condition has been dis-
cussed with respect to extrusion in Chap. 13 and strip
Again, from (10.40b), we get
drawing in Chap. 14, because both of the forming operations
ðr2 ÞO ¼ ðrm ÞO 'k; involve inhomogeneous deformation to a greater extent. The
- p. drawback of slip-line field is that it is valid only for
Or, ðr2 ÞO ¼ 'kð2 þ pÞ ¼ '2k 1 þ : plane-strain condition, and many forming operations like
2
extrusion and wire drawing do not occur under plane-strain
If p is the punch pressure required to indent the block, conditions.
then at the point of indentation, say at point O, ðr2 ÞO ¼ 'p:

p ðr2 ÞO p 10.5.4 Upper-Bound Technique

) ¼' ¼ 1 þ % 2:57 ð10:58Þ
2k 2k 2
According to Von Mises’ yielding criterion, since k ¼ The slip-line field method has been unable to produce the
%pffiffi exact solution for deformation loads in many plastic forming
r0 3 (1.63),
operations. Johnson and his co-workers have developed
- p. 2r0 - p. alternative methods which can estimate the loads approxi-
) p ¼ 2k 1 þ ¼ pffiffi 1 þ ¼ 2:97r0 ’ 3r0 mately (Johnson and Kudo 1962; Avitzur 1968). These
2 3 2
methods are ‘upper- and lower-bound techniques’, in which
ð10:59Þ
the solution by the upper-bound technique overestimates and
This (10.59) shows that yield pressure required for the that by the lower-bound method underestimates the required
indentation of a semi-infinite (thick) block with a slim punch deformation load. The real load will lie between these upper
is about three times the compressive stress required for the and lower bounds. It has been shown that values of load
yielding of a cylindrical block under frictionless condition. determined from kinematically admissible velocity field,
Since the above plane strain indentation is analogous to a where a velocity vector diagram called the hodograph must
two-dimensional hardness test, so the mean pressure be satisfied, are upper bounds. In this, no attention is paid to
452
satisfy the stress equilibrium conditions at any point in the
deforming body. On the other hand, values of load deter-
mined from statically admissible stress field are lower
bounds, in which no attempt is made to satisfy the velocity
conditions at any point in the deforming body. If the yielding
criterion is not violated and the equilibrium equations and
the stress boundary conditions are satisfied by the assumed
stress field, then it is statically admissible stress field. It may
be noted that, of two kinematically possible solutions, the
one which leads to the smaller limiting load is more
acceptable, while, of two statically possible solutions, the
one which leads to the larger limiting load is more accept-
able. Generally, it is required to estimate loads that can
perform certain forming operations rather than loads which
cannot. Since the upper-bound solution predicts the defor-
mation load greater than the exact value, it is more important
in forming operations than the lower-bound technique, and
so this section will deal with the ‘upper-bound analysis’
only. Further, upper-bound solutions usually involve rather
simple graphical solutions which are much easier than the
solutions of slip-line field theory, whereas the lower bound
may involve considerable algebraic and trigonometric
manipulations, which may not be advantageous over the use
of slip-line field.
The upper-bound theorem was formulated by Prager and
Hodge (1951). The upper-bound analysis is based on the
assumption of an internal flow field that will produce the
shape change. The upper-bound theorem provides an esti-
mate of the external load required to deform a body that will
be equal to or greater than the correct load. According to
this theorem, this external load can be calculated by
equating the rate of work due to external load with the rate
of internal energy consumption caused by the internal flow
field. For consistency, the flow field can be checked with the
hodograph. The upper-bound analysis involves the follow-
ing simplifying assumptions:
• The material is considered to be isotropic, homogeneous
and incompressible; i.e. the volume during plastic
deformation remains constant.
• Strain hardening is neglected.
• At the interface between the dies or tools and the
work-piece, either frictionless condition or sticking fric-
tion prevails.
• The deformation occurs by rigid-body movements of
triangular elements, where all of the material in a given
element moves with the same velocity.
• Usually, plane strain (two-dimensional strain) conditions
are only considered, where deformation takes place by
shear on a few discrete planes and elsewhere the material
is rigid.
10 Fundamentals of Mechanical Working
10.5.4.1 Derivation of Upper-Bound Equation
Let us now consider a simple derivation of the upper-bound
equation (Johnson and Mellor 1973) along with a discussion of
the hodograph. For estimation of the external load required to
deform a body, it is required to find the rate at which energy is
consumed by the internal flow field. To calculate internal
energy consumption on shear plane, consider an element of
rigid material, ABCD of unit thickness, moving to the left with
unit velocity v1, as shown in Fig. 10.38. When the undeformed
element ABCD lying right of the shear plane X'X 0 passes
through the interface X'X 0 ; it is forced to change direction
and velocity. Hence, ABCD is deformed to a new shape A′B′C
′D′, which is constrained to flow with a new velocity v2 at an
angle a to the direction of v1. However, AD and A′D′ remain
parallel to the shear plane X'X 0 : The velocity changes
caused by the deformation of the element are represented by a
velocity vector diagram, called a hodograph, which is shown
in Fig. 10.39. The original unit velocity v1 and the changed
velocity v2 can be resolved into components perpendicular to
the shear plane X'X 0 ; say vp1 and vp2 ; and components
parallel or tangential to X'X 0 ; say vt1 and vt2 : Since the
volume of material entering and leaving the interface X'X 0
per unit time must be equal, the normal components vp1 and
vp2 will be the same, i.e. vp1 ¼ vp2 ¼ vp (say), which is
shown in the hodograph, in Fig. 10.39. The vector difference
between v1 and v2 is called the velocity discontinuity along
the shear plane X'X 0 , and in the hodograph, it has been
denoted by the vector v.12 ; which must be parallel to the line
of shear, X'X 0 : The velocity discontinuity along the surface
X'X 0 produces shear within the deformed material, which in
turn gives rise to shear stress. The maximum resistance to
shear that a material can develop is the shearing yield stress
represented by k.
X
v1
A B
α
Deformed
B' S
v2 A' D C
C' Undeformed
D'
X'
Fig. 10.38 Deformation of an element at shear plane, showing change
in direction and velocity
10.5 Mechanics of Working Process 453

%
X Fig. 10.40b shows that from similar triangles v1 v.12 ¼
%
CD=CC 0 ; or 1 v.12 ¼ CD=CC 0 ; since v1 ¼ 1: Therefore,

dðW:D:Þ
¼ k S v.12 ð10:60Þ
dt

vp = vp1 = vp2
vt1
vt2
v1 = 1 α
v*12
v2
X'
Fig. 10.39 Hodograph for Fig. 10.38
The internal energy expended; i.e., the work done
required for changing the shape of the element from ABCD
to A′B′C′D′ will now be considered (see Fig. 10.40). If X'X 0
is a straight line and the length of the line crossing the
discontinuity surface X'X 0 is denoted by S, then the internal
energy expended in deforming the element is the work done,
W:D: ¼ ½k Sð1Þ, CC 0 ; where k is the maximum shear stress in
plane-strain deformation and the factor of unity comes from
the assumption of unit thickness of the element. So, the rate
of internal energy consumption along the shear discontinu-
ity, i.e. the rate at which the work is performed, will be
dðW:D:Þ=dt ¼ ½ðkSÞCC0 ,=t; where t is the time for DC to
%
cross X'X 0 ; i.e. t ¼ DC; and dðW:D:Þ=dt ¼ ½ðkSÞCC 0 , DC:
Comparison of the triangle C0 CD with the hodograph in
For an upper-bound velocity field having more than one
shear discontinuity, (10.60) can be written as
i i
dðW:D:Þ X X
¼ k Si v.i ¼ k Si v.i ð10:61Þ
dt 1 1
Since the work hardening is neglected, hence k is constant
and taken outside the summation sign in (10.61).
Most of the deformation fields for upper-bound solutions
have a number of rigid blocks of polygons, where all of the
material inside a given polygon moves with the same velocity.
10.5.4.2 Upper-Bound Solution for Indentation
of a Semi-infinite Slab
Let us consider plane-strain frictionless indentation of a semi-
infinite slab with a flat indenter. Because of symmetry, let us
consider only the flow field to the right of the centre point O in
Fig. 10.41, which shows an upper-bound field for plane-strain
frictionless indentation and the corresponding hodograph for
the right-hand part of the field. In Fig. 10.41a, the whole zone
OACDBO flows plastically, whereas the metal outside the
triangles, i.e. below OACD, is rigid. As the indenter moves
downward with the assumed velocity v0 = 1, all particles in
the region ‘1’ (i.e. in the triangle OAB) under the indenter will
move vertically downward with the velocity of the indenter,
v0 = 1, but are constrained to slide parallel to the rigid
boundary OA on which shear occurs. Hence, a horizontal
velocity component represented by vOB (Fig. 10.41b) is pro-
duced. As the particles cross the boundary BA, their velocities
are changed again by shear parallel to AB and they are com-
pelled to move parallel to AC. The velocity triangle for this
region BAC is thus represented by the original velocity v1 ¼
v.OA to the left of BA, the change in velocity v.AB parallel to AB
and the absolute velocity parallel to AC, which is thus equal to

B'
(a) (b)
A'
A B

C'
C'
v2
D' α α v*12
α
D C D C v1

Fig. 10.40 a Superimposition of a distorted element on the undeformed one at interface X'X 0 : b Similar triangles between the distortion of the
element and the velocities
454 10 Fundamentals of Mechanical Working

Fig. 10.41 a An upper-bound (a) (b)

field for plane-strain frictionless
indentation. b Hodograph for the
right-hand part of the field shown
in (a) v3 = v*CD v*CB

p
60º
v2 = v*AC
b/2 v0 = 1
60º

B D v1 = v*OA v*AB
O
v0
1 3
2
60º 60º
60º
vOB
A C

v2 ¼ v.AC : Further, when the particles cross the boundary BC, 10.5.4.3 Upper-Bound Solution for Compression
their velocities are changed by shear parallel to CB, and hence, Let us consider plane-strain frictionless compression of a
a shear velocity v.CB is added. In the triangle BCD, the final work-piece with smooth platens. If b is the breadth of the
absolute velocity parallel to CD is consequently given by compression platen and h is the height of the work-piece,
v3 ¼ v.CD : then let us consider the case where b/h = 2.5. An
Since all the triangles in the hodograph are equilateral upper-bound field for plane-strain frictionless compression
having 60° angles, so from the hodograph, the velocity and the corresponding hodograph are shown in Fig. 10.42.
discontinuities, The flat compression platens move with velocity, v0 = 1.
Materials shear along the discontinuity lines AO, BO, CO
v.OA ¼ v.AB ¼ v.AC ¼ v.CB ¼ v.CD and DO, whose lengths are
v0 1 2
¼ ¼ ¼ pffiffi : AO ¼ BO ¼ CO ¼ DO ¼ b=ð2 cos hÞ;
sin 60- sin 60- 3
Again, the lengths of discontinuity lines are: where h is the angle made by the above discontinuity lines
OA ¼ AB ¼ AC ¼ CB ¼ CD ¼ b=2; where b is the with the horizontal flat surfaces of the compression plates.
breadth of the flat indenter. The velocity discontinuities along these lines are
Hence, the rate at which internal energy is consumed on v.AO ¼ v.BO ¼ v.CO ¼ v.DO ¼ v0 =sin h:
the right-hand part of the field is
Hence, the rate of internal energy consumption along the
dðW:D:Þ X '+ , + ,
¼k Sv. ¼ k OA ) v.OA þ AB ) v.AB shear discontinuity is
dt+ , + , + ,( dðW:D:Þ X '+ , + ,
þ AC ) v.AC þ CB ) v.CB þ CD ) v.CD ¼k S v. ¼ k AO ) v.AO þ BO ) v.BO
#! " ! " $ dt
b 2 5kb + , + ,(
¼ 5k pffiffi ¼ pffiffi ð10:62Þ þ CO ) v.CO þ DO ) v.DO
2 3 3 #! "- $
b v0 . 4 k b v0
¼ 4k ¼ ð10:64Þ
If p is the pressure required to cause indentation, then the 2 cos h sin h sin 2h
rate at which external work is performed on the right-hand
part of the field is If p is the pressure required for compression, then the rate
at which external work is performed by the movement of
dðW:D:Þ b b pb compression platens is
¼ p ðv0 Þ ¼ p ð1Þ ¼ ð10:63Þ
dt 2 2 2
dðW:D:Þ
Equating (10.62) with (10.63) for dW/dt, we obtain ¼ 2p b v0 ð10:65Þ
dt
pb 5kb p 5 where the factor of 2 comes from the fact that the work-piece
¼ pffiffi ; or, ¼ pffiffi ¼ 2:89:
2 3 2k 3 is being compressed by the pressure p from both sides with
10.5 Mechanics of Working Process 455

Fig. 10.42 a An upper-bound v3 = v0

field for plane-strain compression. (a) (b)
b Hodograph corresponding to
(a)
p
v*OD v*OB
v0 = 1 A C v4 v2
θ θ
1 v*OA v*OC
h 4 O 2
3
v0 = 1 D b B
p
v1 = v0

the compression platens. Equating (10.64) with (10.65) for Substituting the value of sin 2h in (10.66), we get
dðW:D:Þ=dt; we obtain
p 1 n2 þ ðb=hÞ2
¼ ¼ ð10:69Þ
4 k b v0 2k sin 2h 2nðb=hÞ
2 p b v0 ¼
sin 2h
Since b/h = 2.5, when the value of n = 1, we get from
p 1 (10.69)
) ¼ ð10:66Þ
2k sin 2h p 1 þ ð2:5Þ2 7:25
¼ ¼ ¼ 1:45 ð10:70Þ
2k 2ð2:5Þ 5
Since
As expected, (10.70) and (10.67) yield the same value of
h 1
tan h ¼ ¼ ; p=2 k:
b 2:5
Substituting the value of n = 2, 3, 4, 5 in (10.69), we get,
2 tan h 2=2:5 5 p
) sin 2h ¼ ¼ ¼ : respectively, the following values of :
1 þ tan2 h 1 þ ð1=6:25Þ 7:25 2k
2
From (10.66), we get, p 4 þ ð2:5Þ 10:25
When n = 2, ¼ ¼ ¼ 1:025:
2k 2 ! 2 ! 2:5 10
p 7:25 p 9 þ ð2:5Þ2 15:25
¼ ¼ 1:45 ð10:67Þ When n = 3, ¼ ¼ ¼ 1:067:
2k 5 2k 2 ! 3 ! 2:5 15
Let the breadth of the compression platen b be divided p 16 þ ð2:5Þ2 22:25
into n divisions (see Fig. 10.43) so that we obtain a better When n = 4, ¼ ¼ ¼ 1:1125:
2k 2 ! 4 ! 2:5 20
solution for the pressure p, when values of b/h are large. In
such case, according to (10.64), we can write p 25 þ ð2:5Þ2 31:25
When n = 5, ¼ ¼ ¼ 1:25:
2k 2 ! 5 ! 2:5 25
dðW:D:Þ ' + ,(
¼ k 4n AO ) v.AO
dt #! "- $
b v0 . 4 k b v0
¼ 4n k ¼ ð10:68Þ p
2 n cos h sin h sin 2h
v0 = 1
Since the end result of (10.68) is identical to that of A C
(10.64), so (10.66) is also applicable in the above case, θ
where the platen breadth b has been divided into n divisions. O h
h=2 nh
Hence, tan h ¼ ¼ ; D v0 = 1 B
b=ð2nÞ b
b
2 tan h ð2nhÞ=b 2nhb p
) sin 2h ¼ 2
¼ 2
¼ 2
1 þ tan h 1 þ ½ðnhÞ=b, b þ n2 h2
2nðb=hÞ Fig. 10.43 An upper-bound field for plane-strain compression when
¼ :
ðb=hÞ2 þ n2 the breadth of the compression platen b is divided into n divisions for
large values of b/h
456 10 Fundamentals of Mechanical Working

If there is a friction, the lowest value among the solutions working operations and the initiation of defects, without
must have an odd number of triangles, because the middle using experimental data, can be made quickly and reliably
triangle does not slide. Hence, we consider the value of p/2k, using FEM method. For the concept of FEM, the reader is
p referred to literatures (Segerlind 1976; Zienkiewicz 1977;
where n = 3. So, the answer will be ¼ 1:067:
2k Heubner and Thornton 1982).

10.5.5 Finite Element Method 10.6 Deformation-Zone Geometry

Finite element analysis is a very powerful method to The geometry of deformation zone of a conical converging
determine the distributions of stress, strain and displacement die strongly affects the redundant deformation, the frictional
in plane stress, plane strain and axisymmetric conditions for work and thereby the working load. The deformation-zone
both steady-state and non-steady-state deformation prob- geometry also affects the properties of the product, such as
lems, which are too complex to analyse by strictly analytical its homogeneity, porosity, residual stress patterns and
methods. Since about 1960, finite element method cracking tendency. The deformation-zone geometry is
(FEM) has been applied extensively to solve complex
defined by the ratio of the mean thickness or height, !
h, or the
problems of stress and strain involving equations of alge-
mean diameter, Dm, of the work-piece to the contact length,
braic ones. To provide good accuracy with FEM method, the
Lc, between the die and the work-piece in the deformation
deformation zone in a body is divided into a network of very
zone. This ratio is designated by the parameter, D, which, for
small elements, interconnected at a finite number of nodal
the simple case of parallel sided (non-converging) dies, is:
points. Next, a set of simultaneous force–displacement
equations are developed and need to be solved, for which a !h Dm
digital computer is essential. From the solution of these D¼ or; D ¼ ð10:71Þ
Lc Lc
equations, complete distributions of stress, strain and dis-
placement are calculated. As applied to problems in metal- For different deformation processes, the expression for
working plasticity, the method relates the stresses acting on the contact length, Lc, will vary, but the mean thickness or
the faces of an element to the incremental displacement height, !h, or diameter, Dm, of the work-piece will be given
produced. A limitation to calculations is that linear rela- by the same expression:
tionships such as Hooke’s law for elastic deformation and
the Levy–Mises equations for plastic deformation need to be !h ¼ h1 þ h2 or; Dm ¼ D1 þ D2 ð10:72Þ
2 2
assumed. Nonlinear strain-hardening and anisotropic prop-
erties of the job material in only some optimized forms as where h1 = thickness or height of ingoing stock, D1 = diam-
well as frictional conditions at the die–job interfaces can be eter of ingoing stock, and h2 = thickness or height of outgoing
incorporated in this technique. To apply this technique, product, D2 = diameter of outgoing product. For different
inputs, such as the stress–strain behaviour of the job material deformation processes, where material flows through a con-
as a function of temperature and strain rate, heat transfer and verging channel, the parameter, D, in terms of the reduction in
fictional characteristics of the job and the die or tool, are area r of the work-piece has been shown below:
required.
Early applications of FEM to problems of plasticity dealt (a) Plane-Strain Extrusion or Drawing of Strip:
with elastic–plastic solutions. Since in these problems, the
use of very small strain increments with elastic calculation The contact length, Lc, is given by
made at each increment is required, a very large amount of
computer storage is needed. FEM was practically applied to ðh1 ' h2 Þ=2 h1 ' h2
¼ sin a; or; Lc ¼ ð10:73aÞ
metalworking analysis by Kobayashi (Lee and Kobayashi Lc 2 sin a
1971; Kobayashi and Shah 1978) using a matrix method. In
where a = the approach semi-angle of the conical die in
this method, rigid plastic behaviour is assumed ignoring
radians. If w is the width of the strip, which remains constant
elastic strains in comparison with larger plastic strains, and
and maintains the plane strain condition, then the reduction
therefore, the use of relatively large increments of strain can
in area, r, of the strip is
be made, which reduces the requirements of computer con-
siderably. Determination of the temperature distribution wðh1 ' h2 Þ h2
throughout the work-piece, investigation of the influence of r¼ ; or; ¼1'r ð10:74Þ
wh1 h1
die geometry on defect formation and die fill and prediction
of microstructural changes in the job material during hot
10.6 Deformation-Zone Geometry 457

With the help of (10.72), (10.73a) and (10.74), the D (d) Flat Rolling:
parameter in terms of r will be
Roll gap is like a converging channel. The reduction in area,
!
h h1 þ h2 1 þ ðh2 =h1 Þ 2'r
D¼ ¼ sin a ¼ sin a ¼ sin a r, is given by (10.74), because the width, w, of the stock
L c h1 ' h2 1 ' ðh2 =h1 Þ r remains constant in most cases and thus maintains the plane
ð10:75Þ strain condition in rolling. The contact length, Lc, in rolling
is nearly equal to the projected length of the arc of contact,
(b) Axisymmetric Extrusion or Drawing of Rod or Wire: L, known as the length of the deformation zone. L is given
by (12.11b) in Chap. 12, which is given below in terms of r,
As D1 or D2 is the diameter of rod or wire, so the reduction using (10.74)
in area, r, is given by pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffi
L ¼ Rðh1 ' h2 Þ ¼ Rh1 ½1 ' ðh2 =h1 Þ, ¼ Rh1 r
' + 2 ,(%
p D1 ' D22 4 D2 pffiffiffiffiffiffiffiffiffiffi ð10:81Þ
r¼ + 2 ,% ; or; ¼ 1'r ð10:76Þ
pD1 4 D1
Considering Lc = L, and with the help of (10.72), (10.74)
For the round section, the contact length, Lc, is given by and (10.81), the D parameter in terms of r will be

ðD1 ' D2 Þ=2 D1 ' D2 !h !h h1 þ h2 1 þ ðh2 =h1 Þ 2'r

¼ sin a; or; Lc ¼ ð10:73bÞ D¼ ¼ ¼ pffiffiffiffiffiffiffiffiffi ¼ + pffiffiffiffiffiffiffiffiffi ,% ¼ + pffiffiffiffiffi,%pffiffiffiffi
Lc 2 sin a Lc L 2 Rh1 r 2 Rh1 r h1 2 Rr h1
rffiffiffiffiffiffi
2 ' r h1
With the help of (10.72), (10.73b) and (10.76), the D ¼
parameter in terms of r will be: 2 Rr
ð10:82Þ
Dm D1 þ D2 1 þ ðD2 =D1 Þ
D¼ ¼ sin a ¼ sin a It has been shown (Backofen 1972) that for the friction-
Lc D1 ' D2 1 ' ðD2 =D1 Þ
pffiffiffiffiffiffiffiffiffiffi + pffiffiffiffiffiffiffiffiffiffi ,2 less plane-strain indentation of a rigid-ideal plastic material,
1þ 1 ' r 1þ 1 'r the greater the value of D, the higher is the die pressure
¼ pffiffiffiffiffiffiffiffiffiffi sin a ¼ sin a
1' 1'r r required for yielding. Since the contact area between the
ð10:77Þ work-piece and the die increases with decreasing D, so the
lower the value of D, the greater is the effect of friction at the
interface between the work-piece and the tool. Internal
(c) Tube Drawing Over a Moving Cylindrical Mandrel:
cracks, such as centre burst or chevron cracks in drawn or
extruded rods, develop as a result of ‘secondary tensile
As h1 or h2 refers to the thickness of wall of the tube, the
stresses’ which typically occur with greater values of D and
contact length, Lc, is given by
because of low friction at the tool–work-piece interface.
h1 ' h2 h1 ' h2
¼ sin a; or; Lc ¼ ð10:78Þ
Lc sin a
10.7 Anisotropy of Mechanical Properties
If Dm is the mean diameter of the tube, which remains
constant maintaining the plane strain condition, then the It is frequently observed that the mechanical properties of
reduction in area, r, of the strip is worked or wrought product are different for different ori-
pDm ðh1 ' h2 Þ h2 entations of the test specimen. The variation of properties
r¼ ; or, ¼1'r ð10:79Þ with orientation of the body is called anisotropy. For
pDm h1 h1
example, high anisotropy of strength properties is exhibited
With the help of (10.72), (10.78) and (10.79), the D by a single crystal. Generally, there are two types of ani-
parameter in terms of r will be sotropy—(a) crystallographic texture and (b) mechanical
fibering.
!
h h 1 þ h2 1 þ ðh2 =h1 Þ
D¼ ¼ sin a ¼ sin a When a material undergoes severe deformation, such as
Lc 2ðh1 ' h2 Þ 2½1 ' ðh2 =h1 Þ, in rolling or wire drawing, a preferred orientation or crys-
2'r sin a h ri
¼ sin a ¼ 1' ð10:80Þ tallographic texture may develop, in which certain crystal-
2r r 2 lographic planes or directions may align themselves in a
458
preferred manner with respect to the direction of greatest
deformation. A strong crystallographic texture may lead to
anisotropy in mechanical properties. This may result in an
uneven response of the material during forming processes.
The development of anisotropy in polycrystalline material
due to texture affects mostly the yield strength and to a lesser
extent the tensile strength. The strength properties in the
longitudinal (main) direction of working will be higher or
lower than those in the transverse direction depending on the
type of texture. The effect of texture on anisotropy is the
maximum in formed sheets which have been severely
worked. A practical example of texture induced by rolling
operation is the formation of ‘ears’ or non-uniform defor-
mation in cups deep-drawn from rolled stocks. Recrystal-
lization reduces the strain energy incorporated due to prior
deformation and changes the initial deformation texture to
recrystallization texture or annealing texture, but a different
type of anisotropy still prevails due to the changes in the
crystallographic orientation caused by recrystallization or
annealing.
Mechanical fibering, on the other hand, is produced when
structural discontinuities such as inclusions, cavities, segre-
gation and second-phase constituents are oriented parallel to
the longitudinal (main) direction of mechanical working,
which is the direction of maximum strain. Inclusions or
second-phase particles which are initially spheroidal in
shape will be deformed into an ellipsoidal shape parallel to
the longitudinal working direction, if they are softer and
more ductile than the matrix. If they are harder and stronger
than the matrix, they will remain mainly undeformed, while
brittle inclusions or particles after deformation will be bro-
ken into fragments which will be aligned in the longitudinal
working direction. The preferred alignment of second-phase
particles, inclusions, cavities during cold working and hot-
working and the preferred fragmentation of grains during
cold working give rise to the fibre structure or flow lines,
which can be viewed at low magnification after etching the
worked product. The existence of a fibre structure is the
characteristic of wrought products, especially of all forgings,
and is not considered to be a defect of wrought product.
Cast, machined or powder metallurgy products will never
show flow lines or fibre structure. The occurrence and
severity of fibering depends on many factors, such as the
amount of working or reduction given to the work-piece,
composition and the extent of different structural disconti-
nuities (inclusions, segregation, etc.). An important conse-
quence of mechanical fibering is the development of
directional properties. Generally, the tensile ductility mea-
sured by reduction of area, fatigue properties and impact
properties will be the highest in the longitudinal or working
(fibre) direction, the lowest in the direction of minimum
dimension of the product, known as the short-transverse
direction, and intermediate in the long-transverse direction,
10 Fundamentals of Mechanical Working
which is normal to both the longitudinal (fibre) and
short-transverse directions. It has been observed that
vacuum-melted steels of a given composition generally show
less anisotropy and result in higher values of transverse
reduction of area than conventionally killed, air-melted
steels of the same composition because the latter have higher
non-metallic inclusion contents and these inclusions are one
of the sources that are responsible for higher anisotropy and
lower transverse ductility. However, grain flow can be used
to make a product with superior performance if the maxi-
mum tensile stress in the component during service acts in
the direction of grain flow. The resistance to initiation and
propagation of crack is the maximum in the direction normal
to the grain flow because grain boundaries and elongated
inclusions act to reduce the sharpness of advancing crack
and this blunting process decreases the stress concentration
ahead of the crack tip. On the other hand, the crack propa-
gation is enhanced by the grain flow if the direction of
applied tensile stress is normal to the fibre.
Transverse properties of greater values are required in such
applications, like pressure vessels and gun tubes, which are
subjected to high internal pressures because the highest
principal stress acts in the circumferential direction, which
will be normal to the longitudinal working direction of these
tubes or cylinders. Figure 10.44 (Wells and Mehl 1949)
shows schematically the variation of the maximum and
minimum values of reduction of area with the angle between
the longitudinal forging direction and the tensile specimen
axis for steel. Both the maximum and minimum values of
reduction of area for different orientations of specimen are
shown in this figure, because highly scattered data are usually
obtained in measurements of transverse reduction of area.
Figure 10.45 (Wells and Mehl 1949) shows schematically the
variation of the longitudinal and transverse reduction of area
with forging ratio, which is defined as the ratio of
cross-sectional area of the initial work-piece before forging to
that of the finished forged product. To obtain an optimum
balance between the longitudinal and transverse ductility, it is
often necessary to maintain a forging ratio of 2 to 3:1, which
means the limiting amount of deformation ranges from 50 to
roughly 70% reduction in cross-sectional area.
10.8 Solved Problems
10.8.1. A cylindrical work-piece with a height of 30 mm,
initially at a temperature of 600 °C, is compressed under
frictionless condition for 15 s with flat dies, preheated to a
temperature of 250 °C, under an average effective true stress of
250 MPa resulting in an effective true strain of 1.0. Calculate
the final temperature of the cylindrical work-piece in °C,
assuming 95% of the deformation work is converted into heat.
The properties of the material of the cylinder are as follows:
10.8 Solved Problems 459

Longitudinal Transverse

Longitudinal
Reduction of area, %

Max

Reduction of area, %
Min

0 20 40 60 80
Angle, degree

Fig. 10.44 Schematic variation of the maximum and minimum values

Tr
a
ve

ns
of reduction of area with the angle between the longitudinal forging rse
direction and the tensile specimen axis for steel (Wells and Mehl 1949)

Density = 2880 kg m−3, specific heat = 1000 J kg−1

−1
K , heat transfer coefficient between the work-piece mate- 1:1 3:1 5:1 7:1
rial and the dies = 500 W m−2 K−1 and thermal Forging ration
conductivity = 78 W m−1 K−1.
Fig. 10.45 Schematic variation of the longitudinal and transverse
Solution reduction of area with forging ratio (Wells and Mehl 1949)

Given that for the work-piece, the density is q = 2880 kg

m−3, the specific heat is Csp.heat = 1000 J kg−1 K−1; the heat Hence, our assumption is quite reasonable, and (10.12) is
transfer coefficient between the work-piece material and the applicable. Given that the initial temperature of the cylin-
dies is htr.coeff. = 500 W m−2 K−1; and the thermal conduc- drical work-piece is T0 ¼ ð600 þ 273Þ K ¼ 873 K, the initial
tivity is kth.cond. = 78 W m−1 K−1 Semiheight of the cylin- temperature of the dies is Td = (250 + 273) K = 523 K, and
drical work-piece is L = 0.03 m/2 = 0.015 m. the deformation time is tn = 15 s. By applying (10.12), we
obtain the temperature, Tn, of the work-piece as follows:
Since the work-piece is subjected to an average effective ! "
% htr:coeff: tn
true stress, r!m ¼ 250 ! 106 N m2 ; resulting in an effective Tn ¼ Td þ ðT0 ' Td Þ exp '
true strain, !e ¼ 1:0; in which the fraction of the deformation L q Csp:heat
! "
work converted into heat is b = 0.95, so the rise in tem- 500 ! 15
¼ 523 þ ð873 ' 523Þ exp ' K
perature for a frictionless (ideal) plastic deformation process 0:015 ! 2880 ! 1000
according to (10.3) is: ¼ ð523 þ 350 ! 0:8406Þ K ¼ 817:2 K ¼ 544:2 - C:
+ ,
b!
rm!e 0:95 ! 250 ! 106 ! 1:0
DTD ¼ ¼ K Hence, addition of ∆TD with Tn will give the final tem-
q Csp:heat 2880 ! 1000 perature, T, of the work-piece after a deformation time of
¼ 82:5 K ¼ 82:5 - C: tn = 15 s:

Equation (10.12) can be used to determine the tempera- T ¼ DTD þ Tn ¼ 82:5 - C þ 544:2 - C ¼ 626:7 - C:
ture of the work-piece due to heat transfer between the
work-piece and the dies, if Newtonian cooling is assumed, in 10.8.2. Two rectangular specimens of the same material are
which ðhtr:coeff: LÞ=kth:cond: & 0:1; Let us check the validity of given identical reduction of 20% in height in plane strain
our assumption: compression tests using flat dies in identical frictional condi-
tions where the width of the specimen remains constant. The
htr:coeff: L 500 ! 0:015 respective initial length and height of one specimen are 100
¼ ¼ 0:096\0:1:
kth:cond: 78 and 50 mm that requires an average deformation pressure of
460 10 Fundamentals of Mechanical Working

200 MPa for reduction and those of another specimen are 200 Since the deformation has not been carried out under
and 50 mm that requires an average deformation pressure of frictionless condition, so the coefficient of friction at the
400 MPa for reduction. Estimate the coefficient of friction, l, specimen–die interface will be:
at the specimen–die interface.
l ¼ 0:35:
Solution
After 20% reduction in height, the height of the first speci- 10.8.3. In the ring-compression test used for measuring
men is: Coulomb’s coefficient of friction l, and interface friction
h1 ¼ ð1 ' 0:2Þ ! 50 mm ¼ 40 mm: factor m, the ring specimen with outer diameter of 150 mm
is reduced in height by 40%. Find the values of l and m for
From the constancy in volume, the length of the first the above upset ring test using the calibration curves given,
specimen after reduction will be respectively, in Figs. 10.19 and 10.20:

100 ! 50
L1 ¼ ¼ 125 mm: (a) If the outer diameter of the deformed ring is 179.4 mm.
40 (b) If the outer diameter of the deformed ring is 185.94 mm.
Similarly, after 20% reduction in height, the height of the
second specimen is: Solution
h2 ¼ ð1 ' 0:2Þ ! 50 ¼ 40 mm: If the initial outer diameter of the ring is OD1 = 150 mm,
then the initial inner diameter the above ring will be ID1 ¼
Hence, the length of the second specimen after reduction
ð3 ! 150Þ=6 mm ¼ 75 mm, and its initial height will be
will be
H1 ¼ ð2 ! 150Þ=6 mm ¼ 50 mm, since the calibration
200 ! 50 curves in Figs. 10.19 and 10.20 are based on the dimensions
L2 ¼ ¼ 250 mm: OD:ID:H in the ratio 6:3:2. Given that the height reduction,
40
i.e. DH ¼ ðH1 ' H2 Þ=H1 ¼ 0:4; or the height of the
Since the average deformation pressure for the first
deformed ring is:
specimen, !p1 ¼ 200 MPa, and that for the second specimen,
!p2 ¼ 400 MPa, from (10.28), one can write H2 ¼ ð1 ' 0:4ÞH1 ¼ 30 mm:
%
p2 r00 ½expfðl L2 Þ=h2 g ' 1,=fðl L2 Þ=h2 g
!
% ¼
p1 r00 ½expfðl L1 Þ=h1 g ' 1,=fðl L1 Þ=h1 g
! (a) Given that the final outer diameter of the deformed
ring is OD2 = 179.4 mm. From the principle of constancy in
exp½ðl L2 Þ=h2 , ' 1 h2 L1
¼ ! volume during plastic deformation, we can calculate the final
exp½ðl L1 Þ=h1 , ' 1 h1 L2
inner diameter ‘ID2’ of the compressed ring:
where r00 is the plane-strain deformation resistance of the p+ , p+ ,
material for both specimens. Volume ¼ 1502 ' 752 50 ¼ 179:42 ' ID22 30:
4 4
400 exp½ð250 lÞ=40, ' 1 40 ! 125 pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) ¼ ! ; ) ID2 ¼ 179:42 ' 28125 mm ¼ 63:7 mm:
200 exp½ð125 lÞ=40, ' 1 40 ! 250
The percentage change in the inside diameter of the
expð6:25 lÞ ' 1 400 ! 40 ! 250 deformed ring is:
Or, ¼ ¼ 4;
expð3:125 lÞ ' 1 200 ! 40 ! 125 ! "
ID1 ' ID2 75 ' 63:7
DID% ¼ ! 100 ¼ ! 100 ¼ 15%:
Or, expð6:25 lÞ ' 1 ¼ 4 expð3:125 lÞ ' 4; ID1 75
+ ,2 + ,
Or, e3:125 l '4 e3:125 l þ 3 ¼ 0; Since there is a decrease in the internal diameter of the
ring after deformation, so the percentage change in the inside
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
diameter gives a positive value.
'ð'4Þ / ð'4Þ2 'ð4 ! 1 ! 3Þ
) e3:125 l ¼ ¼ 3 or 1: At DH% ¼ 40%; and DID% ¼ 15%; the value of Cou-
2!1 lomb’s coefficient of friction from Fig. 10.19 is found to be
ln 3 ln 1 in between the curve for l = 0.12 and that for l = 0.15;
)l ¼ or ¼ 0:35 or 0:
3:125 3:125
10.8 Solved Problems
hence, we can take an average value, which will be
l = 0.135.
And the value of interface friction factor from Fig. 10.20
is found to be m = 0.5.
(b) Given that the final outer diameter of the deformed ring is
OD2 = 185.94 mm. From the principle of constancy in
volume during plastic deformation:
p+
Volume ¼ 1502 ' 752 50 ¼ 185:942 ' ID22 30:
4 4
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) ID2 ¼ 185:942 ' 28125 mm ¼ 80:3 mm:
The percentage change in the inside diameter of the
deformed ring is:
! "
ID1 ' ID2
DID% ¼ ! 100 ¼
ID1
Since there is an increase in the internal diameter of the
ring after deformation, so the percentage change in the inside
diameter gives a negative value.
At D H % ¼ 40%; and DID% ¼ '7%; the value of Cou-
lomb’s coefficient of friction from Fig. 10.19 is found to be in
between the curve for l = 0.04 and that for l = 0.03; hence,
we can take an average value, which will be l = 0.035.
And the value of interface friction factor from Fig. 10.20
is found to be m = 0.15.
Exercise
10.Ex.1. If a circular disc having a uniaxial flow stress of
500 MPa is deformed using solid lubricant having a uniaxial
flow stress of 86.61 MPa, what will be the maximum coef-
ficient of friction according to Von Mises’ yielding criterion?
10.Ex.2. If a 35-mm-thin flat plate initially at a temperature
of 800 °C is hot worked for 1 min with dies, preheated to a
temperature of 300 °C, calculate the final temperature of the
plate in °C, due to only heat transfer between the thin plate
and the dies (without consideration of temperature rise due
to plastic deformation and friction). The properties of the
material of the plate are as follows:
Density = 3000 kg m−3, specific heat = 1000 J kg−1
−1
K , heat transfer coefficient between the plate material and
the dies = 400 W m−2 K−1 and thermal conductivity
= 90 W m−1 K−1.
10.Ex.3. Plastic deformation is carried out quickly at room
temperature on aluminium (Al) and titanium (Ti) to produce
an effective true strain of 0.9, for which the average effective
461
true stresses required are 180 MPa for Al and 360 MPa for
Ti. Compare the temperature rise caused by only ideal
plastic deformation between Al and Ti, assuming 95% of the
deformation work is converted into heat. Given that the
density of Al is 2700 kg m−3 and that of Ti is 4500 kg m−3
and the specific heat of Al is 900 J kg−1 K−1 and that of Ti
is 520 J kg−1 K−1.
10.Ex.4. In a ring-compression test, a specimen of 15 mm in
, p+ ,
height with outside diameter (OD) 45 mm and inside
diameter (ID) 22.5 mm is reduced in height by 50%. In
which of the following two cases the interface friction factor
will be higher? Justify your answer mathematically consid-
ering identical reduction in height:
(a) OD after deformation = 57 mm,
(b) OD after deformation = 61 mm.
75 ' 80:3
! 100 ¼ '7%:
75 10.Ex.5. A material has been predeformed by hot working
up to a true strain e ¼ 0:4: It is required to further hot work
the material from the true strain of 0.4–1.9. Determine the
mean flow stress in that strain range if the flow stress r0
follows the relation:
(a) r0 ðMPaÞ ¼ 100ð1 þ eÞ:
(b) r0 ðMPaÞ ¼ 100 þ 317 e0:54 :
(c) Comment on the answers obtained from (a) and (b) with
respect to the flow stress obtained at a mean value of true
strain.
10.Ex.6. A round bar of 50 mm diameter is reduced to 40
and 30 mm in two steps using proper dies. If the flow stress
r0 follows the relation: r0 ðMPaÞ ¼ 600 e0:2 ; determine the
following:
(a) Mean flow stress.
(b) Work done per unit volume for ideal plastic deformation.
10.Ex.7. Indicate the correct or most appropriate answer
from the following multiple choices:
(a) Full-fluid film lubrication occurs in wire drawing if the
sliding velocity of the wire and fluid viscosity
(A) both increase;
(B) increases and decreases, respectively;
(C) decreases and increases, respectively;
(D) both decrease.
(b) Classification of metal forming processes into hot and
cold working is based on the following parameter:
(A) equicohesive temperature;
(B) recrystallization temperature;
(C) transformation temperature;
(D) solidus temperature.
462
(c) When a solder wire is bent back and forth at room
temperature, it does not strain-harden, because of
(A) immobilization of the dislocations during the bending
process;
(B) preferred orientation of the grains;
(C) preferential growth of grains in the direction of
deformation;
(D) the recrystallization temperature being below the room
temperature.
Answer to Exercise Problems
10.Ex.1. 0.1.
10.Ex.2. 616.5 °C.
10.Ex.3. 63.33 K for Al and 131.43 K for Ti.
10.Ex.4. (a) Change in ID after reduction is +35.5%;
(b) change in ID after reduction is −16%. Interface friction
factor for (a) is higher, since % change in ID of deformed
ring is algebraically higher for (a) than for (b).
10.Ex.5. (a) 215 MPa. (b) 435.28 MPa. (c) For (a), both are
same, because the stress–strain relation is linear. For (b),
flow stress at a mean value of true strain is 441.85 MPa,
which is greater. It is more appropriate to work with the
mean flow stress than the flow stress at a mean value of true
strain.
10.Ex.6. (a) 502 MPa; (b) 513 MJ m−3.
10.Ex.7. (a) (A) both increase. (b) (B) Recrystallization
temperature. (c) (D) The recrystallization temperature being
below the room temperature.
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Yasuhisa, : Wear 254, 965–973 (2003)
Zienkiewicz, O.: The Finite Element Method, 3rd edn. McGraw-Hill,
New York (1977)
 Forging
11

Chapter Objectives

• Classification of forging processes and different types of forging operations.

• Forging equipments, describing gravity drop hammer, power drop or steam hammer,
mechanical forging press and hydraulic forging press.
• Open-die forging, coefficient of spread and its relation with bite ratio, ‘spread law’
with definitions of spread ratio and squeeze ratio.
• Closed-die forging or impression-die forging with discussion on some die design
factors, such as flash and flash land ratio, draft angles, corner and fillet radii and
location of parting line.
• Material loss due to scale formation, discard, croppings, slug waste, during forging.
• Plane strain forging of uniformly thick rectangular plate: distributions of pressure
and longitudinal stress, average pressure and total load under conditions of Coulomb
sliding friction, sticking friction and mixed sticking–sliding friction.
• Plane strain forging of strip with inclined dies: die pressure and strip thickness at
neutral plane and its location.
• Forging of flat circular disk: distributions of pressure and longitudinal stress, average
pressure and total load under conditions of Coulomb sliding friction, sticking friction
and mixed sticking–sliding friction.
• Forging of circular disk by conical pointed dies: die pressure and condition for
complete elimination of barrelling of the work-piece.
• Forging defects and fibre structure.
• Problems and solutions.

impact blows are imparted to the work-piece by

11.1 Classification of Forging Processes
Forging is probably the oldest method of forming processes
and was known even during prehistoric days when the
desired shapes were made manually from a hot work-piece
by using hand-held tools and hammers. Example is the smith
forging operation of ancient days, which would involve the
manual application of impact force for deformation by the
blacksmith by means of a hammer. Nowadays, the repeated
power-driven hammers. Instead of impact blows, forging can
also be performed by the application of a slow-speed
squeezing (compressive) force by means of hydraulic or
electrically powered mechanical devices.
Forging is the deformation of material between two dies
for obtaining a desired configuration by hammering or
pressing that involves, respectively, rapid or slow applica-
tion of compressive stress. So depending on the rate of load
application, there are two major classes of equipments,

© Springer Nature Singapore Pte Ltd. 2018 465

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_11
466
which are competent to manufacture components ranging
from a small size like a bolt to a massive size, such as a
turbine rotor or an entire aeroplane wing. Hence, forging
operations can be divided into two major classes depending
on equipments used.
(1) Impact forging, or hammer forging, or drop forging: It
is the process that uses a forging hammer or drop
hammer, which delivers rapid impact blows to the
surface of the material, and deformation occurs over a
very short period. To achieve the desired size and shape
of the product, usually repeated blows are required.
With impact forging, the pressure is at the maximum
intensity when the hammer touches the material and it
decreases rapidly in intensity as the energy of the blow
is absorbed in deforming the material. Therefore,
impact forging results in deformation primarily in the
surface layers of the work-pieces, which is a disad-
vantage for this equipment. Hence, the impact forging
is not applied to a large work-piece because it will
result in an inhomogeneous structure and a
non-uniform distribution of mechanical properties from
the outside layers to the centre. For example, impact
forging of a large cast ingot at high temperature will
show a hot-worked structure at the outside surfaces but
the interior will be still as cast. The application of
impact forging is therefore limited to comparatively
small work-pieces.
(2) Press forging: It is the process based on forging press,
which instead of repeated blows, subjects the material
to a slow-speed squeeze force causing material to yield
and results in a deeper penetration of deformed zone. In
this process, the operation is completed in one stroke
and the alignment of both halves of the die is less
problematic than in drop forging. Hence, parts pro-
duced by this process have greater dimensional accu-
racy than drop forging, although a press is usually
expensive than a hammer. In press forging, the pressure
gradually increases as the material is being deformed
and the pressure reaches to the maximum value just
prior to the release of the pressure. Since the effect of
the applied stress penetrates totally up to the centre of
the work-piece in press forging, the final product shows
a complete homogeneous structure and uniform
mechanical properties throughout the cross-section.
Since a high quality object with close dimensional
tolerance is produced by a much slower process using
much larger and costlier equipment, press forged
components are more expensive than impact forged
articles.
11 Forging
Most forging operations are carried out hot, although
certain materials may be cold forged. The choice of tem-
perature is decided by such factors as—(a) ease and
cheapness of deformation; (b) required mechanical proper-
ties; and (c) surface finish. The last two factors are vital.
Over 90% of the forging processes are hot. The reason for
limited application of cold forging process is the higher
consumption of power, the excessive wear of dies and the
smaller amount of possible deformation. One example of
cold forging is the coining operation, where finer details are
embossed in cold condition on the surface of a metal piece.
There are two broad categories of forging processes, both of
which are carried out in hot condition as well as in cold
condition:
(1) Open-die forging: In this process, the work-piece is
deformed between two flat dies or dies of very simple
shape that do not restrict the flow of material during the
compression of the part. The process is used
(i) mostly
(a) for simple-shaped large objects, or
(b) when the number of parts produced is small;
and
(ii) often to preshape the work-piece for closed-die
forging.
(2) Closed-die forging, or impression-die forging: In
closed-die forging, the deformation of work-piece is
carried out to obtain the desired configuration by
squeezing the workpiece between carefully machined
matching two die blocks or two die halves carrying the
impressions of the desired final shape. The closed
cavity formed by the dies restricts the flow of material
during the compression process causing the work-piece
to deform under high pressure and thus produces pre-
cision forging of desired geometric shape with dimen-
sions closer to those of the desired final product. This
close dimensional tolerance saves the cost of machin-
ing the forged product. This process is normally used to
forge smaller parts.
11.2 Types of Forging Operations
(1) Upsetting Operation
It is an example of the simplest forging operation in which a
work-piece (usually cylindrical in shape) is compressed
between two flat dies in order to reduce its height with a
view to increasing its transversal dimensions. The
11.2 Types of Forging Operations 467

compression test is a small-scale prototype of this process.

With the advancement of dies, the material attempts to flow
outwards but there is less flow at the end surfaces of the Step
work-piece in contact with the dies because of interfacial (1)
friction forces than at the mid-height plane. The uninter-
rupted outward flow of material at the mid-height plane leads
to lateral expansion of the central portion of the upset
cylinder, resulting in a barrelled profile, as shown in
HEADING TOOL GRIPPING DIE
Fig. 2.13. Forging machines for upsetting operations are
known as ‘upsetters’ or ‘headers’, which are usually hori-
zontal mechanical presses. These are used for forging of
symmetrical shapes from round bar stocks, such as bolts,
Step
rivets and gear blanks. Upsetting is commonly used to per- (2)
form a localized forging operation, i.e. when a portion of the
work-piece needs to be forged, for example the forging of
bolt head at one end of a rod. The formation of a bolt
head by hot forging process is shown schematically in
Fig. 11.1.
For localized upsetting operations, one end of the
work-piece is clamped or gripped with a die and longitudinal
compression of the other free end of the work-piece is car-
ried out with a movable ram openly or within a die cavity. Step
Localized upsetting operations may be of two types, as (3)
shown in Fig. 11.2.

• Open upsetting and

• Closed upsetting.
As upsetting involves longitudinal compression of the
work-piece, so to prevent buckling of the unsupported
length, l, to be forged, the following rules are observed.
• In an open upsetting, l ! 3 d; where d is the diameter of
the work-piece.
• If l [ 3 d; a closed upsetting operation should be per-
formed with an inner diameter of the die, D ! 1:5 d
• If during closed upsetting, l extends beyond the die
cavity by an amount l1 ; then l1 ! d:
(2) Edging Operation
Edging operation is shown in Fig. 11.3. It is often applied to
preshape the work-piece for closed-die forging operation. In
edging operation, the end of work-piece material is inserted
into the longitudinal gap of dies having concave or semi-
circular deforming faces and deformed there. This operation
is used to gather material at the end of the work-pieces by
shaping their edges. In this operation, the material flows
freely in the lateral directions to fill up the cavity of the
Fig. 11.1 Diagram illustrating the formation of a bolt head by a hot
forging process
edging dies but the horizontal (longitudinal) flow of the
material is prevented by the dies. So by this operation,
cross-sectional area of the work-piece in its longitudinal
direction is increased at certain places and reduced at others
by distribution of material.
(3) Fullering Operation
Fullering operation is mostly used as an earlier step to pre-
shape the work-piece for closed-die forging operation. This
operation involves the reduction in the cross-sectional area
of a portion of the work-piece that may undergo slight
elongation. The material flows in the outward directions and
away from the centre of the fullering dies to both sides, as
shown in Fig. 11.4. In fullering operation, the material is
distributed away from an area in contrast to the gathering of
material into a localized area that occurs in edging operation.
Example of fullering operation is the forging of a connecting
rod for an internal combustion engine.
468 11 Forging

Fig. 11.2 Upsetting operation Die l

Ram
Job gripped
tightly Job

d d
D

l
Clamp

Ram

Head forged Head forged

(a) Closed upsetting. (b) Open upsetting.

l1

D ≤ 1.5 d d

(c) Condition on unsupported length.

Force

Flow of
Die material Die

(a) Before edging (b) After edging

Fig. 11.3 Edging operation

Force
(4) Cogging or Drawing Down or Drawing Out
Operation
Fig. 11.4 Fullering operation

Cogging operation is usually an open-die forging operation,

in which flat or slightly convex shaped dies are used to
reduce the cross-sectional area of a large work-piece with
simultaneous increase in the length, without causing any
change in the shape of the cross-section. Cogging operation
is shown in Fig. 11.5. The component is deformed in a series
of steps because the work-piece is larger than the size of the
die. After each reduction, the work-piece is moved forward
so that the unreduced segment of the work piece can be
deformed by the dies. The thickness of the work-piece is
reduced from one end to another in a stepwise sequence, and
the length of deformation zone at any point of time will be a
small fraction of the work-piece. The completion of the
11.2 Types of Forging Operations 469

1. 2. DIE 3.

DIE DIE
FORCE BITE FORCE

WORK WORK WORK

FORCE FORCE
WORK IS MOVED
DIE FORWARD DIE

DIE

Fig. 11.5 Cogging operation

forging work-piece may require several passes. The length
of deformation zone at any instant is called the bite. The
thickness of the work-piece can be reduced to a greater
extent if the width of the bite is decreased. The main
advantage of cogging operation is that smaller machinery
requiring less power can be employed for deformation of a
large work-piece. Formation of a desired component may
require a series of forging processes, in which cogging
operation often may be just one forging process. Sometimes
cogging operation may directly form products such as metal
fences.
(5) Swaging Operation
Swaging is carried out to reduce the diameter of the
work-piece, having circular cross-sectional area, with con-
current increase in length with concave dies that will result
in a product of smaller diameter. This operation is generally
used to reduce the diameters of rods and tubes as well as for
tapering their ends. Impact forging equipment is used for
rotary swaging operation, also known as radial forging,
where repeated blows are obtained on the work-piece by the
reciprocating radial movement of usually two or four con-
cave dies, as shown in Fig. 11.6.
(6) Roll Forging Operation
This operation is performed with a pair of rolls having
semicircular matching grooves over half of the circumfer-
ence of each of the rolls that are held by two parallel shafts,
as shown in Fig. 11.7. This operation is used to reduce the
diameters of rods and tubes as well as for tapering their ends.
The heated work-piece is placed at the maximum gap
between the grooves of the two grooved rolls. After a half
Roll

Forged
shape
Workpiece

Roll

Fig. 11.6 Principle of rotary swaging Fig. 11.7 Principle of roll forging
470
Punch
Coined
workpiece
Die
Fig. 11.8 Coining operation
revolution of the rolls, the work-piece is rolled out. The
work-piece is then put in another pair of grooved rolls
having the smaller groove, and the forging operation is
continued until the desired dimension is achieved. In roll
forging, matching grooves on rolls may have various shapes.
Basically the final product, such as tapered leaf springs and
knives, may also be made by this process using specially
designed rolls. This process can also be used as a prelimi-
nary forming operation prior to other forging and forming
operations, such as in producing crank shafts and various
components used in automobile industries.
(7) Coining Operation
Coining is usually a closed-die forging operation performed
with hammers in a cold state with or without the formation
of flash. Figure 11.8 illustrates the flashless closed-die
coining process. In this process, a flat and thin work-piece
can made to vary in the thickness because of lateral con-
straints. As the name indicates, this process is largely applied
to make coins but can also be used to produce similar other
articles that require a well-defined impression of the die
surface. In order to produce fine details of a coin or other
articles, the forming pressure required can be as large as five
to six times the flow stress of the metal. Moreover, use of
lubricants cannot be allowed in this operation, because
reproduction of fine details of the die surface is prevented
due to the entrapment of lubricants in die cavities. Since this
process gives the desired dimensional accuracy (sizing) and
an improved surface finish of the products, so to achieve
these, coining may also be used in association with other
forging processes.
11.3 Forging Equipments
Different types of machines are available to perform a
forging operation, but selection of a specific forging machine
depends on many factors. These factors are the size,
11 Forging
geometry and strength of the work-piece, the temperature of
forging operation, the desired dimensional accuracy and
mechanical properties of the forged product, the amount or
number of parts to be produced, time of production, cost of
the machine and manufacturing process, etc.
Classification of forging equipments is based on the
principle of their operations (Altan et al. 1973; Tool and
Manufacturing Engineers Handbook 1984). Depending on
the methods of transfer of energy or force from the machine
to the work-piece, forging equipments are broadly classified
into the following two categories:
• Drop forging hammer and
• Forging press.
In both forging equipments, the lower face of a movable
ram carries an upper die containing one part of the impres-
sion that shapes the forging and a lower die containing the
remainder of the impression is keyed into an anvil cap,
which is tightly fixed in place on a stationary anvil. The
work-piece rests on the lower die and is deformed by the
upper die during the downstroke of the ram, as shown in
Figs. 11.9, 11.10, 11.11 and 11.12. Thus, both equipments
deliver the energy or force to the work-piece through the
forging die, although they differ in many respects.
11.3.1 Drop Forging Hammer
The term drop forging is used for such forging processes
where a hammer or ram along with the upper die drops in a
linear path from a certain height towards the lower die
placed on the anvil. When the two dies meet, the falling
weight strikes the work-piece resting on the lower die, and
the kinetic energy of the hammer is rapidly transferred to the
work-piece. This supplies the load to forge and form the
part. Although a great amount of energy is absorbed by the
work-piece on impact, substantial amount of energy is
transferred to the ground and to the machine. The weight of
ram is used to rate (Lyman 1970; Halter 1983) the forging
hammers. However, since the deformation of material occurs
at the expense of kinetic energy of the falling weight, the
forging hammers or drop hammers are classified as energy-
restricted machines. During a deformation stroke when the
die faces contact each other, the plastic deformation of the
work-piece or the elastic deformation of the dies or tools and
the machine continues until the total kinetic energy is con-
sumed. Hence, it is more appropriate to rate these machines
in terms of energy delivered.
Drop forging hammer is the least expensive and the most
versatile type of forging equipment to carry out a forming
operation and good for mass production of complex shapes.
Hammers are primarily used for hot forging; for coining;
11.3 Forging Equipments 471

Down
Roll

Cylinder

Piston

Up

Board
Ram

Ram

Upper moving die Job

Job
Lower fixed die

Anvil Anvil

(a) Board Drop Hammer (b) Power Drop Hammer

Fig. 11.9 Schematic diagrams of drop forging hammer

(a) (b) (c)

Direction of
shaft rotation Drive shaft
Direction of
Motion of Motion of crank
shaft rotation
ram and ram and
upper die upper die
Drive shaft Connecting
Drive shaft crank rod
crank

Connecting Connecting
rod rod

Upper RAM
(moving) Upper
die (moving) RAM Upper RAM Linear
Job Job die guide
Lower die
fixed die Linear Lower Lower
Linear Job
guide fixed die die
guide

BASE
BASE BASE

Fig. 11.10 Crank press. a Ram and upper die are at the top position motion of the ram and upper die begins to deform the job. c Ram and
and move towards the job when force is applied to the ram through the upper die are at their bottom positions resulting in the closure of the
connecting rod. b Continuous pressure exerted by the downward mould that completes the forging operation
472 11 Forging

and, to a limited extent, for sheet metal forming of parts

Friction disk
manufactured in small quantities—for example, in the
Flywheel air-craft/air-frame industries. A hammer can strike the sur-
face of material between 60 and 190 impact blows per
Drive shaft minute depending on the size and capacity of the machine.
(reversible) The weight of a ram or hammer may vary from few hundred
to several thousand kilograms and that of the anvil is com-
monly 15–20 times or may be as high as 30 times the weight
Screw of the hammer because a heavy base is required to absorb the
tremendous impact blow of the hammer. The forging ham-
mer produces a high forging load most economically and
Ram contacts with the job under pressure for the shortest dura-
tion, which reduces the heat transfer from the hot work-piece
to the colder dies. The contact time generally ranges from 1
Dies Work piece to 10 ms. However, the dimensional accuracy of the
hammer-forged product is inferior to that obtainable in
presses. Drop forging hammer can function only under the
influence of gravity or in addition to the gravity, its power
can be increased by additional sources of force. Depending
Anvil on the above, the following two basic types of forging
hammers are used:

• Gravity drop hammer and

Fig. 11.11 Screw press • Power drop hammer or steam hammer.

(a) (b) (c)

Fluid Cylinder Fluid Cylinder Fluid Cylinder

Fluid out Fluid in Fluid in

Fluid in Fluid out Fluid out

Piston Piston Piston
Upper RAM
(moving) RAM
die Upper
Upper RAM Linear
die
Lower Linear Linear die guide
fixed guide Lower guide
Lower Job
die die Job die

BASE BASE BASE

Fig. 11.12 Hydraulic press. a A higher pressure of the fluid below the than the fluid below it causes the piston along with the ram and the
piston than the fluid above it causes the piston along with the ram and upper die to move downwards. c The fluid pressure delivered through
the upper die to rise. b A higher pressure of the fluid above the piston the apparatus closes the mould and forms the part
11.3 Forging Equipments
11.3.1.1 Gravity Drop Hammer
The term gravity drop forging implies that the force of
gravity is the only force employed by the hammer for its
drop from the required height and thus to acquire the energy
to forge the work-piece. The speed ranges of gravity drop
hammer vary from 3.6 to 4.8 m/s (Semiatin 2005). Board
drop hammer is one kind of drop forging machine dependent
only on gravity, where a hardwood board is attached to the
ram. This equipment is shown in Fig. 11.9a. There are two
friction rolls that grip the board. When the rolls rotate the
friction forces between the board and rolls can raise the
board, ram and upper die attached to the ram. Initially before
proceeding for a blow to the surface of a material, the
hammer or ram assembly is raised to the required height.
Then the rolls are pulled apart and the board is released that
causes the forging hammer to drop under the gravitational
force to produce the blow energy. Ram and upper die strike
the work-piece resting on the lower die and the kinetic
energy of the hammer is rapidly transferred to the
work-piece. During a working blow, the kinetic energy
transforms into deformation energy, which can develop
considerable force required to forge and form the
part. However, immediately after striking the surface of
work-piece, the board is again raised by the rolls for the next
blow and in this manner, repeated blows are continued as
long as the desired size and shape of the product are
achieved.
When the hammer is at rest prior to its drop, the potential
energy is equal to product of the weight of the hammer and
the height of fall, which is again equal to the kinetic energy
of the hammer at the start of deformation of the work-piece.
Hence, the total energy supplied by the blow is equal to the
kinetic energy or the potential energy and is given by
1 m
UGravity Drop Hammer ¼ mv2 ¼ mgH ð11:1aÞ
2 usually called mass of ram;
where
m total mass of the board, ram and upper die, usually
called mass of ram;
v velocity of the ram at the start of deformation of the
work-piece;
g acceleration due to gravity;
H fall height of the ram.
Belt drop hammer is another kind of drop forging
machine whose function is similar to that of the board drop
hammer, except that a belt is used instead of a board. In this
machine, two rolls grip the belt that is attached to the ram at
one end and to a wall at another end. The rolls raise the ram
and upper die through the belt to the required height, where
the rolls hold the hammer but make the belt slack. When the
upper roller moves away, the belt is released that causes the
473
forging hammer to drop under the force of gravity to pro-
duce the blow energy. Other gravity drop hammers include
chain drop hammer, where the ram is connected to a chain,
and air-, steam- or oil-lift drop hammer, where the ram is
connected to a piston, which is lifted by applying upward
force through air, steam or oil.
11.3.1.2 Power Drop Hammer or Steam Hammer
This equipment is shown in Fig. 11.9b. The principle behind
the power drop hammer is similar to that of the board hammer
except that in the former, the hammer is powered most
commonly by compressed air, steam or hydraulic pressure
and thus, the power hammer provides greater forging
capacity than the board hammer. In addition to the gravita-
tional influence, the pressure of compressed air, steam or
hydraulic oil accelerates the ram on the downstroke and thus
increases the energy of blow in power hammer. Steam,
hydraulic oil or air also serves to raise the ram on the
upstroke. In this machine, the upper end of the ram is attached
to a piston that moves up and down within a cylinder. There
are one slide valve at the upper end and another slide valve at
the lower end of the cylinder, both of which are controlled by
the operator with lever. Steam, hydraulic oil or air is admitted
to the cylinder through the upper slide valve for downstroke
of the ram and through the lower slide valve for upward
movement of the ram. The power drop hammer can operate
with either single stroke or repeated blows of the ram and die
on the work-piece. In a power drop hammer, the total energy
supplied by the blow is given by
1
UPower Drop Hammer ¼ mv2 þ pAH ¼ ðmg þ pAÞH ð11:2Þ
2
where
total mass of the piston, ram and upper die,
p air, hydraulic oil or steam pressure acting on
the ram piston on down stroke;
A cross-sectional area of the ram piston;
v; g; and H have the usual meanings, as mentioned with
(11.1a).
Power drop hammers are rated by the weight of the
striking mass excluding the upper die, which may range
from 450 to 31,750 kg (Semiatin 2005). A steel anvil block
weighing 453,600 kg or more is required for a hammer rated
at 22,700 kg. The capacity of available hammers ranges
from about 5 to 310 kN, and the weights of forgings pro-
duced by this equipment may vary from a few kg to several
tonnes. The speed ranges of power drop hammers vary from
3 to 9 m/s (Semiatin 2005). The advantage of the power
hammer over the board hammer is that the blow energy in
the power hammer can be regulated by varying the air or
474
steam pressure, whereas in the board hammer the falling
weight and height of drop are fixed. Power hammer is pre-
ferred to board hammer for closed-die forging operation.
In power drop hammer, the transmission of kinetic energy
of the ram in the anvil block and foundation is as much as
15–25% and may rise up to 80% in finishing blows, where
the actual deformation per stroke is comparatively slight.
Due to the transmitted energy, a large stress is imposed on
the anvil block and may even break the anvil. The trans-
mitted energy also develops damaging shocks and vibrations
in the foundation and surrounding grounds. To avoid or
minimize this, it is necessary to use shock-absorbing mate-
rials, such as iron felt or timber, in the anvil block founda-
tions, which adds substantially to the cost of the foundation.
To minimize the loss of substantial energy in the anvil block
and foundation, counter blow hammer machine is used, in
which two opposed rams move from top and bottom sides.
Steam, hot air or cold air is used to accelerate the upper ram
downward while a steel band (for smaller capacities) or a
hydraulic coupling system (for larger capacities) is used to
accelerate the lower ram upward at the same time. The lower
ram including the die assembly is about 10% heavier than
the upper ram. Both the rams strike the work-piece at the
same time so that practically, all of the energy is absorbed by
the job and very little energy is lost through vibration in the
foundation and environment. Therefore, the foundation
required for a counter blow hammer will be smaller than that
for an anvil hammer of comparable capacity. Horizontal
counter blow hammers are also available in which two
opposed die-carrying rams move horizontally by compressed
air. The speed ranges of counter blow hammers vary from
4.5 to 9 m/s (Semiatin 2005). When both rams in coun-
terblow hammers have approximately the same weight, the
total energy supplied by the blow is equal to double of that
by the gravity drop hammer and hence, given by:
! "
1 2 #v $2 mv2
T path normal to the direction of gravitational force, though
UCounter Blow Hammer ¼ 2 & mv ¼ m & ¼ T
2 2 4 the working principles for both types of press are the same.
ð11:1bÞ
where
m the mass of ram;
v velocity of one ram; and
vT the actual velocity of the blow of the two rams ¼ 2v:
It must be noted that during a working stroke, the total
nominal energy, say UT ; of a hammer is not fully utilized for
deformation, because a small amount of energy is lost to the
environment in the form of vibration and noise. The ratio of
useful energy available for deformation, say UA ; to UT is
called the blow efficiency, g; of hammers, i.e. g ¼ UA =UT : g
11 Forging
of hammers varies from 0.8 to 0.9 for soft blows, i.e. for
small load and large displacement, and from 0.2 to 0.5 for
hard blows, i.e. for high load and small displacement
(Semiatin 1988).
11.3.2 Forging Press
In this, the capability of the machine to perform the forging
operation depends on the length of the press stroke or the
available maximum load capacity. Presses are rated on the
basis of the load developed at the end of stroke. The press
deforms the work-piece with a slow-speed squeeze force and
produces components in a single closing of die, while
component is produced by repeated impact blows on the
work-piece in drop forging. Hence, a much better dimen-
sional accuracy of the forged product can be achieved in
press forging than in drop forging. The press also provides
deeper forging penetration resulting in more homogeneous
properties of the forged product. However, initial cost of a
press is much higher than that of a hammer and large pro-
duction runs are required to justify the expensive press.
Presses vary in size and in the extent of force that they can
produce. Depending on the methods of force delivery system
employed to deform the work-piece, the following two basic
types of forging presses are available.
• Mechanical press and
• Hydraulic press.
These press machines are not only used for forging
operations but they are also used in metal extrusion and
sheet metal forming and in the production of plastic parts.
The diagram shows that the force applied by the press to the
work-piece acts vertically downwards, but in the presses
used for extrusion, the force is applied horizontally, i.e. in a
Selection of a press type primarily depends on the type of the
manufacturing process to be performed. For example, the
general requirements of a press for forging, extrusion,
impact extrusion or sheet metal forming are all different.
Other important factors in selecting a press include the press
capacity and the length of press stroke over which the force
is delivered. Again, the required press capacity is decided by
the size of the work-piece and the type of operation and the
stroke length is related to the type of operation.
11.3.2.1 Mechanical Press
Mechanical presses include a wide range of different
machine types. Mechanical presses are stroke-restricted
11.3 Forging Equipments
machines since their capability to perform the forging
operation is determined by the length of the press stroke and
the available load at various locations of the stroke. The
energy in a mechanical press is obtained from the rotational
energy of a motor. Mechanical presses are usually not used
for extrusion because it often requires a more uniform force
over a larger distance. Apart from forging, mechanical
presses are commonly used in sheet metal forming and may
often be used for impact extrusion, where the requirement is
a rapid and quickly repeatable application of force over a
shorter distance.
Most mechanical presses function by using an eccentric
crank that transforms the rotary motion into reciprocating
linear motion of the press slide to perform the pressing
action. This type of equipment is called crank press, which
is shown in Fig. 11.10. A drive shaft is attached with a crank
link used in the press, which rotates with the drive shaft and
linked to a connecting rod by a rotary joint. This connecting
rod is further connected to a ram by a rotary joint. During the
rotational motion of drive shaft crank, the connecting rod
swings back and forth that causes the ram operating in a
slider joint to travel in a linear path in both directions.
During the downward movement of the ram, the upper die
attached to it compresses the work-piece resting on the lower
die and this compressive force forms the desired part.
The force in the crank press varies in both magnitude and
speed of application throughout the length of the press stroke.
This press is the most suitable for forgings of low profile,
because the stroke length of ram in this press is shorter than
that in a hydraulic press or hammer. Less bulky dies can be
used, and die life is longer with a press than with a hammer
because the press squeezes the work-piece slowly unlike the
rapid impact blow of the hammer. These presses can give up
to 50 strokes per minute. They are slower than the forging
hammers but are generally faster than hydraulic presses or
screw presses (actually, the screw press may also be classified
as a mechanical press). Mechanical presses have load
capacities ranging from about 2.2 to 142.3 MN (250–
16,000 tonnes) and the pressing speeds varying from 0.06 to
1.5 m/s (Semiatin 2005). Next to the forging hammer, the
most extensively used machine for closed-die forging oper-
ation is the mechanical press. The production rate of a
mechanical press is similar to that of a hammer, but both
preliminary and finishing steps of a forging operation may
not be possible to carry out in the same mechanical press
because each blow of the same press exerts equal force.
Mechanical presses may also be screw-driven, called
screw presses where the rotational energy of a motor is used
to turn a large screw. In a screw press, the ram is attached by
a rotational joint to a spindle, which is actually a large screw.
A reversible drive shaft by using a friction disk produces a
rotary motion to a flywheel, which is connected to the
spindle, as shown in Fig. 11.11. The rotational motion of the
475
flywheel is converted into linear motion by multiple threads
on the spindle and thus, the screw pushes the ram in a linear
path. Screw presses are largely applied in Europe for both
cold and hot closed-die forging. These presses are classified
as energy-restricted machines because their capability to
perform the forging operation is determined by the energy
available in the flywheel of the press. Screw presses are
similar to hydraulic presses in that they can produce a force
of uniform magnitude over a large stroke length and are
relatively slow-speed machine requiring a longer contact
time with the work-piece. Screw presses have load capacities
ranging from 1.3 to 280 MN (150–31,500 tonnes) and the
pressing speeds varying from 0.5 to 1.2 m/s (Semiatin
2005).
During the stroke of a mechanical press, the total energy
supplied is given by
1 % & 1 # p $2 % 2 2 &
UMechanical Press ¼ I x21 'x22 ¼ I n1 'n2 ð11:3Þ
2 2 30
where
I moment of inertia of the flywheel;
x1 initial angular velocity, in rad s−1;
x2 angular velocity after deformation, in rad s−1;
n1 initial speed of flywheel, in rpm;
n2 speed of flywheel after deformation, in rpm.
Depending on the mode of transforming the rotational
motion of a motor to the linear motion of the ram, other
types of mechanical presses are also available, such as rack
and pinion press, eccentric press and knuckle joint press. In
the rack and pinion press, a pinion, which is a rotating round
gear, attached to the drive shaft transfers the rotational
energy of motor through a rack (which may be considered as
a round gear of infinite radius) to provide force for the
desired linear motion of the ram. The eccentric press uses a
motor-driven eccentric round shaft that may completely
rotate within a connecting rod attached to the ram. With the
rotation of motor, the overall centre of the shaft changes
causing the shaft to change position and thus provides
motion to the connecting rod that moves the ram linearly in a
slider joint. The knuckle joint press uses a powerful linkage
design, through which a completely rotating drive shaft
crank transforms the rotational energy of a motor to a single
dimension translational energy.
11.3.2.2 Hydraulic Press
Hydraulic presses are the most powerful class of presses.
They are load-restricted machines because their capability to
perform the forging operation depends on the available
maximum load capacity of the press. Hydraulic presses use
hydraulic pressure or fluid pressure and a piston to generate
the deformation load. The load supplied for deformation will
be equal to the product of the fluid pressure and the
476
cross-sectional area of piston head. Water, certain types of
emulsion, or mineral oil may be used as the working fluid.
The fluid pressure can be increased or decreased by means of
pumps and valves to move the piston downwards or upwards
in a chamber or cylinder. The functioning of the hydraulic
press depends on difference in the fluid pressure between
above and below the piston. For the piston to rise, the fluid
pressure below the piston must be higher than that above the
piston. So during the upstroke of piston, the pump inserts the
fluid through the bottom channel into the cylinder below the
piston to increase the pressure under the piston and simul-
taneously takes the fluid out of the cylinder through the top
channel to decrease the pressure above the piston. In the next
step, the downward movement of the piston is required to
deform the work-piece, which necessitates a higher pressure
of the fluid above the piston than the fluid below it. So
during the downstroke of piston, the pump takes the fluid out
of the cylinder through the bottom channel to decrease the
pressure under the piston and simultaneously inserts the fluid
through the top channel into the cylinder to increase the
pressure above the piston. The upper die is attached below
the ram, which forms the lower part of piston. During the
downstroke of piston, the ram through the upper die com-
presses the work-piece that rests on the lower die placed
above a base or an anvil and this compressive force forms
the desired part. The hydraulic press is shown in Fig. 11.12.
This press can control and even vary ram velocity during
the stroke by changing the fluid pressure. An important
characteristic of the hydraulic press is that it can produce the
maximum press load at any point over the entire stroke
length of the ram. This character makes the press perfectly
suitable for forging operations where extrusion flow, i.e.
flow parallel to the direction of die motion takes place. Such
a press is very commonly used for extrusion operations, but
a horizontal hydraulic press is often employed. Hydraulic
presses have load capacities ranging from about 2.2 to
623 MN (250–70,000 tonnes) and the pressing speeds
varying from 0.03 to 0.8 m/s (Semiatin 2005). The largest
forgings are always produced by large hydraulic presses.
The above-mentioned important characteristic, flexibility of
operation and greater capacity of a hydraulic press are its
advantages over a mechanical press. The hydraulic press
operates at a constant speed, but it is a relatively slow-speed
machine, which involves a longer contact time with the job.
This may result in heat loss from the job during hot working
and die deterioration causing the die life to decrease. On the
other hand, a hydraulic press produces forgings of close
dimensional tolerance resulting from its slow squeezing
action. However, the initial cost of a hydraulic press is
higher than that of a mechanical press of equal capacity.
Factors for converting between the capacity of presses and
hammers are available (Lyman 1970). Some hydraulic
presses may be as large as buildings causing accommodation
11 Forging
problem. Thus, the disadvantages of a hydraulic press
include its slow speed with consequent cooling of the job
and shorter die life, its cost and vastness.
11.4 Open-Die Forging
Open-die forging is employed widely for cogging operation
where the cross-sectional area of usually large work-piece of
relatively simple shape is reduced between flat dies or dies of
very simple shape by slow squeezing action in a large
hydraulic press or by repeated blows in a power hammer. In
open-die forging, shape of forged product is manipulated
manually. Figure 11.13 shows the cogging operation in
open-die forging, where the work-piece moves gradually to
the right after deformation, and the shaded area on the
work-piece indicates the region of the material ready for
forging in contact with the upper die. The thickness of the
work-piece is reduced from one end to another in a stepwise
sequence because the tool is usually shorter in length than
the work-piece and the length of deformation zone at any
point of time will be a small fraction of the work-piece. The
completion of the forging work may require several passes.
The reduction in thickness of the work-piece is accompanied
by elongation in the longitudinal direction and spreading in
the lateral directions. Relative amounts of elongation and
spread will depend upon the ratio of the length of defor-
mation zone at any instant to the predeformed initial width
of the work-piece, called the bite ratio b=w1 : Since the
deformation involved is large, so the true strains are used to
express the spread and elongation, which may be defined
(Tomlinson and Stringer 1959) as follows:
Coefficient of spread,
width increase lnðw2 =w1 Þ
SCoeff: ¼ ¼ ð11:4Þ
thickness reduction lnðh1 =h2 Þ
b
w2
h2
w1
h1
Die
b
Fig. 11.13 Cogging operation in open-die forging. Contact between
job and upper die will occur at the place shown by shaded area
11.4 Open-Die Forging 477

where w1 and w2 are, respectively, the predeformed initial Often (11.4) is expressed in terms of the ‘spread law’, as
and post-forged final widths of the work-piece; h1 and h2 are, shown by the following (11.10). Let us define spread ratio
respectively, its predeformed initial and post-reduced final and squeeze ratio as follows:
thicknesses.
Spread ratio ¼ w2 =w1 ¼ b; ðsayÞ;
During compressive deformation, there will be barrelling
of the work-piece, which makes the measurement of the final and squeeze ratio ¼ h2 =h1 ¼ c; ðsayÞ:
width w2 and thus the width natural strain difficult and Equation (11.4) can be written in terms of b and c as
unreliable, but the increase in length and reduction in follows:
thickness can be measured precisely. Therefore, change in
the magnitude of width can be obtained in terms of length SCoeff: lnðh1 =h2 Þ ¼ lnðw2 =w1 Þ;
increase and thickness reduction from the constancy of ! "SCoeff:
1
volume relationship, which is given by Or; ln ¼ ln b
c
! "SCoeff:
h2 w2 l2 1
h1 w1 l1 ¼ h2 w2 l2 ; or; ¼1 ð11:5Þ )b¼ ð11:10Þ
h1 w1 l1 c
where l1 and l2 are, respectively, the preforged initial and Ship propeller shafts, pressure vessels, gun tubes and
post-deformed final lengths of the work-piece. Taking nat- rings are the examples of components that are made in
ural logarithm to both the sides of equality sign in (11.5), we open-die forging. Since large sections are frequently used in
get open-die forging, care must be taken so that a homogeneous
! " ! " ! " deformation zone penetrates up to the centre of the
h2 w2 l2
ln þ ln þ ln ¼ 0; work-piece. To minimize inhomogeneous deformation, a
h1 w1 l1 minimum bite ratio of 1/3 is recommended. Further for a
! " ! " ! "
w2 h1 l2 given geometry of tooling, a critical deformation may pro-
Or; ln ¼ ln ' ln ð11:6Þ
w1 h2 l1 duce surface laps (forging defect) at the step that separates
the deformed from the undeformed segment of the
Hence from (11.4) and (11.6), we can write the coefficient
work-piece, because only that portion of the surface under
of spread in terms of length increase and thickness reduction
the bite is being forged at any instant. To avoid formation of
as follows:
laps, Wistreich and Shutt (1959) recommended that the
lnðh1 =h2 Þ ' lnðl2 =l1 Þ lnðl2 =l1 Þ reciprocal of squeeze ratio, i.e. h1 =h2 must not exceed 1.3.
SCoeff: ¼ ¼1' ð11:7Þ
lnðh1 =h2 Þ lnðh1 =h2 Þ
From (11.7), we can define the coefficient of elongation as 11.5 Closed-Die or Impression-Die Forging
follows:
Carefully machined matching two die blocks or two die
Coefficient of elongation ¼ 1 ' SCoeff:
halves carrying the impressions of the desired final shape are
length increase
¼ used in closed-die forging for production of precision forg-
thickness reduction
lnðl2 =l1 Þ ings with dimensions closer to those of the desired final
¼ ð11:8Þ product. Mass or large-lot production of parts is generally
lnðh1 =h2 Þ
required to justify the expensive dies. When the two die halves
Clearly, if SCoeff: ¼ 1; then there would be no elongation are assembled, it will form one or several internal cavities,
at all and the reduction in thickness would all appear as called die impressions and forging may be performed in either
spread, while if SCoeff: ¼ 0; there would be no spread at all single- or multiple-impression dies. The single-impression
and all of the reduction in thickness would appear as only dies are suitable for forgings of simple shapes, while multiple-
elongation. impression dies containing preliminary impression in addition
From the examination of Tomlinson and Stringer (1959), to the finish impression are used for forgings of irregular or
it was found that the value of SCoeff: depended mainly on the complex shape; sometimes the preliminary and finish
bite ratio b=w1 and the relation between coefficient of spread impression are made in two or more separate dies. The process
and bite ratio in cogging operation was given by is called closed-die forging because closing of the dies com-
! " ! "2 pletes the deformation. The work-piece after forging will
b b acquire the geometric dimensions of the die cavity provided
SCoeff: ¼ 0:14 þ 0:36 ' 0:054 ð11:9Þ
w1 w1 the cavity is completely filled during the process.
478
In closed-die forging, the work-piece is usually preshaped
by placing first into the fullering impression and then into
edging impression, so that material is distributed in the
correct places for subsequent forging. Now if required, the
stock undergoes some other processing operation, e.g.
bending is required for a connecting rod. The preformed
stock is then placed in the cavity of the semifinished
impression, called the blocking impression, where the stock
is rough-forged to close to the final shape. Blocking opera-
tion usually causes the greatest change in the shape of the
forging and thus reduces the wear of the finishing impres-
sion. Finally, the forging is transferred to the finishing
impression, where the final shape and dimensions are
imparted to the forged product. The blocking cavity and the
finishing cavity are usually machined into the same die
block, in which fullering and edging impressions are often
placed on the edges. For complex final shapes of the forged
products, more than one preshaping or blocking operation is
necessary to achieve a steady flow of material that will cause
a gradual change in shape and size.
It is very important to fill the die cavity completely, for
which excess material is required in the work-piece. Thus, the
volume of the initial work-piece is somewhat greater than that
of the die cavity because it is very difficult to put just the right
amount of material in the right places during closed-die
operation. When the dies come together for the finishing step,
the excess material flows out of the finishing die cavity as a
thin ribbon of material called flash or fin. Actually, a flash is
waste material appearing at the parting line around the
perimeter of the forged product and increases forging load by
five to ten time, as seen from Fig. 11.14 that shows a plot of
forging load versus forging stroke (die advance). The weight
Die cavity
completely filled
Forging complete
Flash begins
to form
Forging lood
Dies contact
workpiece
Forging storke
Fig. 11.14 Typical curve of forging load versus stroke (die advance)
for closed-die forging
11 Forging
of flash may be a small fraction of the total weight for forgings
of simple shapes but may exceed the weight of the actual
forgings for those of complex shapes. The formation of a very
wide flash is not desired because it increases the forging
pressure. Therefore to limit the width of flash, a ridge, known
as a flash gutter, is usually provided as shown in Fig. 11.15.
Actually, flash consists of two parts: the flash at the land and
that in the gutter. The portion of the flash adjacent to the part is
the flash land, which is generally constructed as two parallel
surfaces, and the flash portion outside the land is gutter.
However, in the final step of a closed-die forging, a trimming
die is used to remove the flash formed in the forged product
obtained from the die of finishing impression. Figure 11.16
shows the steps involved in a closed-die forging operation.
Because of the flash, instead of the name closed-die forging, a
better name to describe the process would be impression-die
forging. As an example, the forging sequence for a connecting
rod with impression die has been shown in Fig. 11.17.
It is possible to carry out flashless closed-die forging
operation by constraining the entire work-piece within the
closed-die cavity in such a way that no material can flow out
of the cavity to form the flash during the compression of the
part. But then the filling of the die cavity requires too close
control of the raw stock, and that is usually more expensive.
The volume of the initial stock in flashless closed die must
be equal to or slightly greater that of the finished part. The
die cavity will not be filled-up completely if the raw material
is less than the required amount while too much amount of
material will cause a dangerous build up of forging pressure
because of restriction of material flow within the closed
cavity. Too much pressure within the die cavity can damage
the die and machinery. In view of the above, the closed-die
forging with a flash is more widely employed in spite of the
Upper die
Flash
gutter
Forging
Flash
Lower die
Fig. 11.15 Flash and flash gutter shown in the sectional view of
closed-die forging
11.5 Closed-Die or Impression-Die Forging
Billet Preshaped
Fig. 11.16 Steps involved in a closed-die forging operation
Fig. 11.17 Sequence of
impression-die forging for a
connecting rod
Initial forging stock
Fullering
loss of material in the trimmed off flash. Depending on the
size of the forging, flash material losses may vary between 5
and 15%, which may increase up to 30% for tall, narrow
forgings and for blades (Sabroff et al. 1964).
Materials selected for die must have certain properties,
such as good hardenability, resistance to wear, toughness,
resistance to plastic deformation, resistance to thermal and
mechanical fatigue (Semiatin 1988). Die materials include
hot work tool steels (AISI H series) and some alloy steels,
such as AISI 4300 or 4100 series. Some dies are cast but
more are forged, sunk and then heat-treated to develop
hardness lower than the maximum value but with sufficient
toughness in order to achieve shock resistance property.
In closed-die forging, the basic requirements of a forging
stock material are:
• Strength or flow stress of the material must be low so that
die pressure does not exceed capabilities of practical die
materials.
• Forgeability of the material must allow the required
amount of deformation without failure. With increase in
temperature, the forgeability generally increases, but at
the same time, grain growth also takes place, which
decreases forgeability in some alloy systems. In other
alloys, forgeability is largely influenced by the charac-
teristics of second phase constituents.
In order of increasing forging difficulty, forging materials
may be arranged as follows:
479
Rough-forge Finishing die Trimming die
Finishing
Blocking
Bending
Edging
aluminium alloys, magnesium alloys, copper alloys, car-
bon and low-alloy steels, martensitic stainless steels,
maraging steels, austenitic stainless steels, nickel alloys,
semi-austenitic PH stainless steels, titanium alloys, iron-base
superalloys, cobalt-base superalloys, niobium alloys, tanta-
lum alloys, molybdenum alloys, nickel-base superalloys,
tungsten alloys.
Chilling of the workpiece by the colder dies is a problem
when closed-die forging operations are carried out by con-
ventional hot forging processes. To get rid of this problem,
closed-die forging operations are carried out by either
isothermal forging process or hot-die forging process in
which die temperatures are appreciably higher than those
used in conventional hot forging processes. These processing
techniques are primarily applied to manufacture air-frame
structures and jet-engine components made of titanium and
nickel-base alloys, which are difficult to forge. Superalloys
and refractory metals are used as die materials when dies are
heated above 650 °C. In isothermal forging process, the dies
are maintained at the same temperature as the forging stock.
Hence, the die chill is eliminated completely and the stock is
maintained at a constant temperature. In this, forging can be
performed at extremely slow strain rates, thus providing the
advantage of low-strain-rate sensitivity of flow stress of
certain alloys. This process can produce net shape forgings
that can readily be used without machining, or near-net shape
parts that require minimal machining. The disadvantage is
that the choice of die materials and lubricants are limited due
to the use of hot dies. In hot-die forging process, the die
480 11 Forging

temperatures are lower than those in isothermal forging, but Forging pressure
higher than those in conventional hot forging. Typical die
temperatures are 110–225 °C lower than the stock tempera-
ture. Compared to conventional hot forging, this process
obviously reduces the die chill and produces near-net shape Web
parts. Therefore, both isothermal and hot-die forging pro-
cesses are referred to as near-net shape forging processes. Parting line
The advantage of hot-die forging process over isothermal PL L
forging process is that the lowering of die temperature allows
wider selection of die materials.
However, it is to be noted that there are two basic types of Rib
material flow:

• Upsetting, where flow is perpendicular to the direction of

Fig. 11.18 Webs perpendicular to the direction of forging pressure
die motion, and and ribs parallel
• Extrusion, where flow is parallel to the direction of die
motion. It is obvious that upsetting flow is relatively
easy, while extrusion flow is much more difficult.

However, both types of flow of material can occur

simultaneously. Ideally, finishing step should have upsetting
flow towards the die cavity without additional shear at the
die–stock interface because friction, forging load and die
wear will be minimized during this type of flow.
As far as the size and weight of parts involved in the
impression-die forging are concerned, components produced Fig. 11.19 Metal flow in webs and ribs
by this forging are of limited size, the weights of which
range from a few decagrams to several tons. Products that
than 50%, and flash loss is three times greater, in the forging
are successfully forged in closed dies weigh as much as
of a rib than in the forging of a web. Even to fill a rib
25,400 kg, although more than 70% of the closed-die forged
becomes more difficult if it is displaced from the centre of
products weigh 0.9 kg or less.
the forging, as shown in Fig. 11.19. In general, the rib height
Within the overall size and weight limitations, the basic
should not exceed eight times the rib width (Sabroff et al.
factor that determines the difficulty of forging a given con-
1964). The degree of difficulty in impression-die forging is
figuration is the surface-to-volume ratio of the part. If a part
observed to be more for shapes with one dimension sub-
has the lowest surface-to-volume ratio, such as Spherical and
stantially bigger than the other two, which form roughly
block-like shapes, it is the easiest to forge because the slow
70% of impression-die forgings.
rate of cooling of the part does not cause the flow stress of the
The success of a closed-die forging operation depends
material and thereby the forging load to increase rapidly. The
considerably on the design of the die because die is the one of
more a part differs from these simple shapes—with thin, long
the most critical components of the closed-die forging opera-
sections, holes and recesses, ribs and projections—the higher
tion. The aims of die design are to achieve easy flow of
its surface-to-volume ratio and its forging difficulty.
material, reduction of forging load and power requirement,
Thin section of the part that is parallel to the direction of
reduction of die wear and breakage, elimination of forging
forging pressure is called a rib and that perpendicular to the
defects, etc. Some die design factors for impression-die forging
direction of forging pressure is called a web. These are
that involves controlling of flash land ratio, providing proper
shown in Fig. 11.18. Rib and web, both are more difficult to
draft angles and adequate enough corner and fillet radii, and
forge than thicker sections, because the material in them
selecting location of good parting line are discussed below.
cools rapidly, building up high resistance to deformation.
However, a vertical rib is even more difficult to form than a
horizontal web since a web is formed by upsetting flow of 11.5.1 Flash
material under the direct application of compressive force,
whereas a rib is formed by extrusion flow of material when The formation of flash is an important part in the production
the upsetting flow of material is hindered by the formation of by impression-die forging. The process of flash formation
a thin flash. As a result, die life is usually decreased by more with single-impression dies is illustrated in Fig. 11.20.
11.5 Closed-Die or Impression-Die Forging
(a)
HAMMER
top die
Flash gutter
bottom die
ANVIL
(c)
HAMMER
top die
bottom die
ANVIL
Fig. 11.20 Schematically illustrating the process of flash formation
with single-impression dies. a A work-piece is placed in a stationary
bottom half die. b With approach of the top half die, the work-piece is
compressed until its enlarged sides touch the side walls of the die
In this, the work-piece of a simple shape, say with a rect-
angular cross-section, is placed in a stationary bottom half
die. As the top half die approaches, the rectangular
cross-section is compressed until its enlarged sides touch the
side walls of the die impression. At this point, excess
material begins to flow laterally and form the flash between
the two die faces and this flash is gradually thinned with
further advancement of the top half die. Thus, the dies are
only closed by virtue of flash formation, leading to
three-dimensional control of the flow of material. In this
sense, the flash becomes effectively part of the die.
At the stage of initiation of flash formation, the whole cavity
will not be completely filled for intricate shapes. Thin flash
formed with further die approach cools gradually, and a high
481
(b)
HAMMER
top die
bottom die
ANVIL
(d) (e)
impression. c Formation and thinning of flash between the two die faces
with further advancement of the top half die. d Forged part joined with
flash. e Forged part after trimming of flash
enough stress is built up in the flash to force the material into
the more intricate details of the cavities, which successfully
completes the process. Thus, flash serves mainly two purposes:
(1) Formation of flash ensures that excess material is present
in the work-piece for complete filling of the die cavity.
Further, flash provides a passage for escape of the excess
material from the die cavity and assists to avoid cracking
of die that might happen due to build up of high die
pressure resulting from excess material in the die cavity.
(2) Before the flash opens up into a gutter, it must proceed
through a narrow passage, called flash land. During the
flow of material through the flash land, the material
experiences friction and this friction resists further flow
482
of material out of the die cavity. In addition, the thin flash
cools rapidly and the drop of temperature increases its
flow resistance. We can recall from Chap. 2 that flow
resistance during compression of a thin section is more
than that of a thick section. Thus, friction, drop of tem-
perature and thinness of flash—all factors increase
resistance to deformation of material in the flash area,
which in turn causes to build up a very high pressure
inside the bulk of the work-piece. This high pressure
forces the material to flow into the die impressions
hitherto unfilled so that, at the end of the stroke, all
impressions including the most intricate details in the die
cavity are completely filled with the work-piece material.
The thinner the flash the greater is the cooling rate, and
the higher is the flow resistance and the die pressure in the
flash area. Similarly, the wider the flash land the more is the
frictional resistance to deformation and the higher will be the
die pressure in the flash area. Although thinner flash and
wider flash land can ensure complete filling of the die cavity
by increasing the forging pressure even under unfavourable
conditions, such forced filling of the die is undesirable
because of short die life and high power requirements.
Hence, the pressure within the forging die cavity and form-
filling capacity are often controlled by varying the land
width to thickness ratio of the flash, called the ‘flash land
ratio’. Dies must be designed in such a way that minimum
flash is used to do the job, for which the following guide
lines are provided.
• The flash thickness is usually maintained at 3% of the
maximum thickness of forging.
• An enough large flash gutter (a cavity in the die halves for
the excess material), which must be thicker than the flash,
is usually provided so that the gutter does not become
pressurized or fill up with excess material. In such cases,
the flash material is allowed to flow into the gutter and the
flash is reduced in thickness only over a part of its width,
i.e. the formation of a wide flash is prevented. This
reduces the pressure exerted on the die faces by pre-
venting unnecessary increase of forging load. However,
there are commonly used four gutter designs, which are
parallel, conventional, tapered open and tapered closed
(Semiatin 1988). Choice of gutter design generally
depends on the properties of the forging material, the type
of forging equipment used, the overall pressures exerted
in the die cavity and the forging temperature.
• In designing the flash, its width and thickness are so
adjusted that the extrusion flow through the narrow
opening of flash becomes more difficult than the filling of
all recesses in the die cavity; but at the same time,
excessively high forging pressure must not be created so
as to cause wear and breakage of the die. The value of
11 Forging
flash land ratio depends on the material being forged, the
weight of the forging, the complexity of the forged part
and the forging equipment used. The flash land ratio
varies from 2:1 to 5:1 (Semiatin 1988). Lower ratios are
used in presses, whereas higher ratios are used in ham-
mers. It has been seen from experiments that die-filling
capacity increases with increasing flash land ratio up to
a value of about five above which the improvement is
very small, whereas extremely high die pressure causes
severe die wear resulting in a shorter die life.
• The flash represents a loss of material. To minimize this
loss, a narrowing flash has been used. Since the tapered
designs of flash provide considerably more constraint to
metal flow than do parallel designs of flash (Sabroff et al.
1964) and thus generate extremely high pressures, which
aid very efficiently in filling the die. Although the tapered
flash designs reduce flash-metal losses, the requirement
of greater forging pressure imposes greater stresses on
forging dies. A tapered flash design is generally used
when the material savings justify the use of larger forging
equipment required for applying greater forging pressure.
Hence, to a certain extent, the choice of such flash design
becomes a matter of economics.
Finally, the designer has to consider that the volume of
raw stock must be equal to the volume of finished part plus
the volume of flash.
11.5.2 Draft
The amount of taper provided on all internal and external side
surfaces of the forging and on projections to facilitate its easy
removal from the dies is called draft. The corresponding taper
on the internal and external side walls of the die impression is
also called draft. Almost all forgings require draft and the
larger the draft angle, the easier will be the removal of forged
products from the dies. Easier to forge materials, such as
aluminium and magnesium alloys, generally require less draft
angles than difficult to forge materials, such as steel, nickel
and titanium alloys. However, there is an effort to minimize
draft, because in most cases, it represents consumption of
extra material without contributing anything to the mechani-
cal utility of the forged product. Forging designs with zero
draft angles require dies with special knockouts. For example,
hydraulic and mechanical presses, where knockout arrange-
ments can readily be used, can produce forgings with zero
draft angles. On the other hand, forgings with zero draft angles
are seldom produced on drop hammers because there is a risk
of die breakage if knockout equipment is used in drop hammer
forging (Sabroff et al. 1964).
During cooling of a forging part within the die, the exte-
rior surfaces of the part shrink away from the walls of die
11.5 Closed-Die or Impression-Die Forging
Inside Outside
draft draft
Fig. 11.21 Draft angles showing outside draft angle is smaller than
the inside one
cavities, while the interior surfaces of the part shrink onto
bosses in the die. Therefore, interior draft angles will usually
be larger than exterior draft angles, as shown in Fig. 11.21.
The values of draft angle may vary from 3° to 15° that depend
on many factors. The deeper the die cavity, the greater the
draft angle required to ensure smooth release of the forging.
The exterior draft angles normally vary from 3° to 7° and the
interior draft angles range from 5° to 10° (Semiatin 1988).
11.5.3 Radii
Small radii at the fillets and corners are undesirable for
many reasons. They may cause
• Difficulty in the flow of material during forging and the
formation of vacancies or/and forging defects, like laps
or cold shuts;
• Decrease of die life by increasing die wear;
• Development of stress concentration within the die cavity
and fracture of material near the corners.
(a) (b)
Fig. 11.22 Sharp edges leading to forging defects. Flow of metal is shown by arrow symbols as the metal is gradually compressed from a to
b and b to c
483
During filling of the die cavity, the material of work-piece
flows and changes directions that will depend upon the
geometry of the forged product. If the parts have fillet turns
or corners of larger radii, the material will follow smoothly
and completely the contours of the die around the fillets or
corners without creating any vacancies or forging defects.
On the other hand, sharp fillets or corners may not allow the
material to follow completely the path of fillets or corners,
leading to the formation of voids or/and forging defects like
laps or cold shuts (Sabroff et al. 1964), as shown in
Fig. 11.22. Good design for successful impression-die
forging operation must provide fillet and corner radii as
large as possible to allow for easy flow of material, to reduce
die wear and to avoid fracture at the corners. It is to be noted
that in a forging sequence all concave radii on the perform
forging should be greater than the radii on the final forged
part.
For forgings of stainless steels, titanium and high-
temperature alloys, the absolute minimum fillet radius of
parts is generally 6.35 mm (0.25 inch). If the fillets are at the
base of tall ribs and bosses, their radii have to be increased
because the die cavity at the base of tall section experiences
greater difficulty of filling. Except for very small forgings,
the absolute minimums for comer radii are usually about half
the minimums for fillet radii (Sabroff et al. 1964). Thus, the
minimum comer radius of bosses and other edges is usually
3.175 mm (0.125 inch) for the stainless steels, titanium and
high-temperature alloys, while for aluminium forgings of
comparable shape and size, a smaller comer radius of
1.5875 mm (0.0625 inch), which is one-half of the above
value, would be used. For the end of a rib, it is preferred to
have a radius that will make the end a full semicircle, i.e. the
radius at the end of a rib must be equal to half of the
end-thickness of that rib.
(c)
Forging defect
484
(a)
PARTING LINE AND
FORGING PLANE
(c) COUNTER LOCK
(e)
Fig. 11.23 Straight and broken parting lines
11.5.4 Parting Line
The parting line is the line along the surface of a forging
where the dies meet as well as the flash is formed. The plane
that includes the principal die face and is normal to the
direction of die motion is called the parting plane or the
forging plane. The parting line lying on the forging plane
forms a straight parting line. However, the parting line does
not always remain on the forging plane. If any part of the
parting line is inclined to the forging plane, a broken parting
line is formed. Straight and broken parting lines are shown in
Fig. 11.23. Sometimes the shape of forging part is such that
it is more economical or even essential to make a broken
parting line. For closed-die forging of a certain shape, the
first step in the die design is to establish the shape and
location of the parting line (Sabroff et al. 1964). Depending
on the geometry of the final component, the parting line may
be straight or broken, by which other design factors such as
die design and construction, grain flow, and trimming pro-
cedure are influenced. The locations of the parting line vary,
depending on the type of forging equipment employed and,
to some extent, on the forging metal.
Fig. 11.24 Straight parting line in symmetrical section
11 Forging
(b)
PARTING LINE FORGING PLANE
(d)
Some general rules for location of parting line are as
follows:
(1) The location of parting line in most forgings is gener-
ally at the largest cross-section of the forging part
(Semiatin 1988), because it is easier to spread metal by
upsetting flow than extrusion flow into deep die
impressions, which requires greater force.
(2) For simple, symmetrical, shallow sections, a straight
parting line is usually selected that lies on the forging
plane, i.e. situated at the centre (mid-height) of the sec-
tion, as shown in Fig. 11.24. To make dies simpler and
cheaper, keep the parting line in one plane, if possible.
(3) When it is more economical or even essential to make a
broken parting line, the inclined part of the broken
parting line produces horizontal components of the
forging force, which attempt to shift the die halves
sideways, as shown in Fig. 11.23b, c. These horizontal
forces are automatically balanced out in symmetrical
parts, such as shown in Fig. 11.23b, but in forging of
asymmetrical sections requiring a broken parting line,
the side thrust must be minimized or eliminated by
adopting any of the following means:
11.5 Closed-Die or Impression-Die Forging
• Side thrusts trying to displace the die halves must be
restrained by expensive counterlocks built into the die
blocks, as shown in Fig. 11.23c.
• Figure 11.23d shows that the position of the part in the
die has been tilted to balance out forces. The parting line
tilting can sometimes eliminate the need for counter-
locks, but at the expense of a very complex parting line
and increased die-making costs.
• Often the most economical solution to balance the side
forces without tilting the parting line can be achieved by
placing two identical forgings in a mirror image position
as shown in Fig. 11.23e.
(4) During making of rib and web type forgings with deep
ribs, the preferred location of parting line is generally
near the top of the rib formed in the upper die as shown
in Fig. 11.25, where restriction of lateral flow aids
filling of the narrow rib. Further, this assists to avoid
the formation of folds (forging defect) caused by
material ‘sucking through’ into the flash land if the
placement of parting line is too low. The use of
excessive die lubricant can also produce this type of
defect.
(5) Since metal flows partly towards the parting line during
forging, improper positioning of the parting line causes
to rupture the grain flow patterns of the material
(Semiatin 1988) and may also create unfilled section
(Fig. 11.26). The plane formed at the break point of the
grain flow patterns is the weakest plane, which will
easily fracture during service under a stress acting
normal to it. Hence, the parting line of the forging dies
must be so located that there is the minimum disruption
to the grain flow lines. To create such a situation, for
example, in a forging having a vertical wall adjacent to a
bottom web section, a parting line on the outer side of
the wall should be located either at the top of the wall or
adjacent to the web section and near the bottom of the
Fig. 11.25 a Preferred parting (a)
line position in rib and web type
forgings. b Restriction of lateral
flow aids rib filling
485
wall. If the parting line is located at any point below the
top of the wall but above the centre of the bottom web
the grain flow may be disrupted leading to defects in the
forging (Semiatin 1988). In the forging of channel
section, Fig. 11.26c shows the position of parting line at
the bottom of the web, which is the most economical as
all of the impression is in one die and is also less
detrimental than the parting line shown in Fig. 11.26a,
b, but the preferred location of parting line is at the ends
of the ribs as shown in Fig. 11.26d, because it results in
smooth and good grain flow patterns.
Figure 11.27 illustrates a variety of simple shapes
showing bad and good parting line locations. The reasons for
the good locations of parting line are (Sabroff et al. 1964):
Case 1: The preferred choice avoids deep die impressions in
either die that might otherwise increase the forging difficulty
and develop die wear and breakage. For this reason, the
longest dimension of a ribbed component is generally placed
in the plane of forging rather than normal to the plane.
Case 2: The preferred choice is the central location of the
parting line, which requires less material to match drafts at
edges. Thus, reduction of draft saves material.
Case 3: The preferred choice avoids side thrust which would
cause the dies to shift sideways.
Case 4: The preferred location of the parting line produces
the most desirable uninterrupted grain flow pattern.
11.5.5 Design Steps
The design of a part to be produced by closed-die forging
requires the following forecast:
• Volume and weight of the stock to be forged.
• Number of preform forging steps and their arrangements.
(b)
Parting line
486 11 Forging

(a) (b)
Grain structure
Metal is ruptured at May have
flow lines the parting line unfilled section

Parting line

(c) (d)

Metal
flow lines

Metal
flow lines

Most economical as all of the Parting at the ends of the ribs

impression is in one die results in good grain structure

Fig. 11.26 Parting line location and its influence on the grain flow patterns that cause forging defects. c The most economical parting line
patterns in the forging of channel section. a, b Show improper that is less detrimental than (a) and (b). d The preferred location of
positioning of the parting line resulting in rupture of the grain flow parting line resulting in smooth and good grain flow patterns

Parting line Parting line

Bad Good Bad Good

Avoid deep die impressions Centre location reduces draft
Case 1 Case 2

Parting line
Parting line

Bad Good Bad Good

Keep parting line in one plane if possible high parting line on dished part
gives uninterrupted grain flow
Case 3 Case 4

Fig. 11.27 Simple shapes showing bad and good parting line locations with specific reasons
11.5 Closed-Die or Impression-Die Forging
• Sizes of flash in preforming and finishing dies.
• Requirements of load and energy for each forging step.
First and third of the above requirements have been dis-
cussed by Altan and Henning (1972). The most difficult as
well as critical step in forging design is the design of preform
forging. Minimum flash loss, complete die fill, and
defect-free forging are ensured by correct preform design.
Some general considerations regarding forging design have
been dealt in literatures (Lange 1958, Altan et al. 1983). The
reader is also referred to Akgerman et al. (1973), where
some guidelines used in designing preforming dies have
been discussed.
In conclusion, we can summarize the steps to be followed
while planning to design the forging die. These steps are:
(1) First step in die design is to decide the final shape of the
forging with due consideration to machining and
shrinkage allowances, draft angles, fillet and corner
radii, any web or rib dimensions and the position of the
parting line. In hot forging, shrinkage allowance must
be included in the dimensions of die to compensate for
the contraction that occurs on cooling of the product.
(2) The next step in die design is to calculate for the design
of flash and gutter.
(3) Before actually starting the die design, decide the se-
quence of steps before reaching the final finishing
impression and design the product with its accurate
dimensioning for each of these technological steps,
which are fullering, edging, some other processing
operations if required, blocking and finally finishing.
(4) Next step is to select the die material and die block
sizes.
(5) The next job is to locate the positions of the impres-
sions for each of the above technological steps on the
die block. The normal practice is to keep the finishing
impressions more or less in the middle of the die block.
(6) The last step is to arrange for locking of the dies, if
necessary.
11.6 Material Loss During Forging
(Kamenshchikov et al. 1964)
The initial work-piece material in forging may be an ingot or a
rolled stock of various cross-sections and lengths. Generally,
light forgings are made from rolled stocks, while ingots are
considered for heavy forgings. Since most of the forging
operations are carried out at high temperature, so obviously,
there will be loss of material due to formation of scale during
heating. Apart from scale loss, there are various forms of
material losses. If forgings are made from ingots, there will be
loss of material due to discard from the head as well as bottom
487
of the ingot. Further, material is lost due to croppings, which
involve the trimming scrap formed at the end of forging oper-
ation. If holes are required in forgings, there will be waste of
material when punching holes in forgings. This waste is known
as slug. Croppings include both trimming scrap as well as slug,
and this is unavoidable loss or waste during forging operation.
Considering the above-mentioned all losses, the initial weight
or volume of work-piece is determined from the following
formula on the basis of the weight or volume of the forging:
In case of forging from an ingot,
WIN ¼ WFORG: þ WH:DISC: þ WB:DISC: þ WSC: þ WCROP:
ð11:11aÞ
Or, VIN ¼ VFORG: þ VH:DISC: þ VB:DISC: þ VSC: þ VCROP:
ð11:11bÞ
In case of forging from a rolled stock,
WIN ¼ WFORG: þ WSC: þ WCROP: ð11:12aÞ
Or, VIN ¼ VFORG: þ VSC: þ VCROP: ð11:12bÞ
where WIN or VIN is, respectively, the initial weight or vol-
ume of the work-piece that may be an ingot or a rolled stock;
WFORG: or VFORG: is, respectively, the weight or volume
of the forging;
WH:DISC: or VH:DISC: is, respectively, the weight or volume
of the ingot head discard;
WB:DISC: or VB:DISC: is, respectively, the weight or volume
of the ingot bottom discard;
WSC: or VSC: is, respectively, the weight or volume of the
scale loss;
WCROP: or VCROP: is, respectively, the weight or volume
of the croppings that include trimming scrap and slug, if any.
The weight or volume of ingot head discard is usually
considered as 20% (ranges from 14 to 30%) of the weight or
volume of the ingot, and that for ingot bottom discard is
usually taken as 5% (ranges from 5 to 10%). Scale loss is
generally taken as 2% (varies from 2 to 3%) of the weight or
volume of the ingot or rolled stock for each full heating and
generally considered as 1.75% (varies from 1.5 to 2%) for
each subsequent extra heating. The weight of the trimming
scrap, i.e. the croppings excluding slug depends upon the
complexity of the forged product and the processing method
employed; for forgings of simple shape, such as shafts or
discs, it ranges from 5 to 8 or 10%, but it increases with the
complexity of the forgings and for certain intricate forged
products it may reach 30% of the forged product. The volume
of the croppings excluding slug from each end of cylindrical
forging sections of diameter ‘D’ has been estimated to be
0.21 & D3, in case of press forging, and 0.23 & D3, in case
of hammer forging, whereas that from each end of rectan-
gular forging sections of width ‘W’ and height ‘H’ has been
488
estimated to be 0.28 & W2H, in case of press forging, and
0.30 & W2H, in case of hammer forging. The volume of the
slug, VSLUG, is calculated from the following relation:
VSLUG = cross-sectional area of hole
full height of forging in which the hole is punched
& between a pair of parallel overhanging platens and the
3 stresses acting at any instant on this plate under plane strain
ð11:13Þ
The weight or volume of the selected ingot or rolled stock
should approximate as nearly as possible to the calculated or
required weight or volume of the initial work-piece, which is
to be forged; the selected one may be more but never less
than the calculated one.
The degree of working is commonly evaluated by forging
reduction ratio or factor, called the forging ratio, which is
defined as the ratio of cross-sectional area of the initial
work-piece before forging to that of the finished forged
product. This ratio should be at least 3–5 for ingots and from
1.1 to 1.5 for rolled stocks.
11.7 Plane Strain Forging of Flat
Rectangular Plate
An empirical approach is mainly required for the prediction
of forging load and pressure in closed-die forgings and in
problems of metal flow associated with the filling of a
complex die shape, which deserve much more detailed study
than they have received up to this time. The conditions of
impact deformation are also difficult to analyse. These will
not be considered in this text. Attention will be limited to the
Fig. 11.28 Stresses acting on
a rectangular plate of uniform
thickness forged in plane strain
[ (σx + dσx ) ]
h σx
dx
x= a
Fixed platen
11 Forging
prediction of working stresses and/or loads in the
steady-state open-die press forgings of simple-shaped
work-pieces with simple platens.
Figure 11.28 shows a typical open-die forging of a thin
wide rectangular plate of uniform thickness compressed
condition. Suppose, the plate has a thickness of h; an infi-
nitely large width of w and a length of deformation zone,
L ¼ 2a: The width of the plate is normal to the plane of
paper, and the thickness of the plate is less as compared with
its other dimensions. On this thin plate, the flat platens exert a
normal forging pressure p. The plate is symmetrical about a
vertical centre-plane which is called the neutral plane or
neutral surface of the plate, because the material is stationary
at this plane. The material flows longitudinally outward in
both horizontal directions from the neutral plane when the
plate is being forged vertically with the platens. Therefore,
the neutral plane is the origin of the initiation of plastic flow
and considered as the origin of the coordinate system, shown
by x ¼ 0 in the diagram, where x is the horizontal axis in the
longitudinal direction of the plate that increases towards the
right side of the neutral plane. Outward longitudinal flow of
the material perpendicular to the applied normal forging
pressure p; during the process of its compression leads to
tangential shearing frictional stresses s at the platen-job
contact surfaces. Hence, the friction stresses opposing the
outward longitudinal flow will always act longitudinally
towards the centre of the plate. As the material is free to flow
in both directions from its neutral plane, the friction stress s
opposing the flow will change its direction in both sides of
the neutral plane. However, the presence of frictional shear
P
Moving platen
L = 2a
p p
τ τ
(− σ x ) x dx
Work
σ x + dσ x piece
x
τ τ
x=a
p p
Neutral plane
x=0
x→
P
11.7 Plane Strain Forging of Flat Rectangular Plate
stress s leads to horizontal stress rx in the longitudinal
direction of the plate. The stress rx is zero at both edges and
builds up to a peak value at the centre of the plate. To make
the analysis simpler, the following assumptions are made:
(i) Material being forged is assumed to be isotropic and
homogeneous.
(ii) Homogeneous deformation is assumed, i.e. plane
vertical section before forging remains plane during
and after forging and hence, internal redundant work
is neglected.
(iii) Elastic strain is neglected because plastic deforma-
tion involved in forging is quite large compared to
insignificant elastic deformation.
(iv) Since the plate is infinitely wide, i.e. its width is
much more than its length of deformation zone, the
plate is reduced in thickness and extended in length
but the width of the plate remains constant during
deformation and thus, a condition of plane strain
exists. Plane strain compression is also possible if the
width of the platens is more than that of the plate.
(v) As forging is a hot working operation, so it is quite
logical to assume that there is no strain hardening of
the work-piece, i.e. the plane-strain flow stress or
deformation resistance r00 of the material being forged
is assumed to remain constant. Otherwise, an average
value of plane-strain flow stress will be assumed, it is
important to remember that in hot forging the flow
stress will depend very much upon the strain rate used.
(vi) The plate is thin enough to assume that the normal
pressure, p, remains constant through the thickness.
(vii) The horizontal longitudinal stress rx is constant
across the cross-section of the plate and is a principal
stress since no shear stress act on this cross-section
along the vertical direction.
(viii) The applied normal forging pressure p is also
assumed to be a principal stress, although this
assumption is not really correct, because the shear
stresses s act on the planes on which the normal
pressure p is acting.
(ix) There is no barrelling of the edges of the work-piece.
The barrelling can be eliminated if the width of the
platens is more than that of the plate
(x) The maximum value of the forging load is attained at
the end of the operation.
Let us consider the state of stresses on a vertical slab
element of width dx inside the plate at an arbitrary distance x
from the centre line of the plate, which is taken as the origin,
x ¼ 0 ; of the coordinate system. The value of x may be
positive or negative depending on whether the slab element
is to the right side or left side of the centre line (neutral
plane) of the plate. According to free-body equilibrium
489
approach, the horizontal longitudinal stress on one side the
vertical slab element at an arbitrary positive distance x from
the origin x ¼ 0; is rx ; which changes to rx þ drx on another
side of this element situated at a positive distance x þ dx
from the origin x ¼ 0: Figure 11.28 shows that these lon-
gitudinal stresses along with the normal pressure p and
frictional shear stress s are acting on this vertical slab ele-
ment. Now taking the horizontal equilibrium of forces acting
on this vertical slab element on the right side of the centre
line, we get
rx hw ' ðrx þ drx Þhw ' 2sdxw ¼ 0 ð11:14Þ
Similarly, horizontal equilibrium of forces acting on this
vertical slab element on the left side of the centre line gives
rx hw ' ðrx þ drx Þhw þ 2sdxw ¼ 0 ð11:15Þ
Equations (11.14) and (11.15) can be simplified and
combined as follows:
hdrx ( 2sdx ¼ 0 ð11:16Þ
In (11.16), the upper positive sign ‘+’ refers to the
right-hand portion and the lower negative sign ‘−’ to the
left-hand portion of the centre line of plate. The applied
normal forging pressure p and the horizontal longitudinal
stress rx ; which are considered as principal stresses, are
shown as compressive stresses in Fig. 11.28. If we consider
the compressive stresses to be positive, then r1 ¼ p and
r2 ¼ rx in Von Mises’ yielding criterion for plane strain
condition, given by (1.88b). Hence, the yielding criterion
can be written as
p ' rx ¼ r00 ð11:17Þ
where
r00 ¼ compressive flow stress in plane strain condition
# pffiffi $
¼ 2= 3 & compressive uniaxial flow stress in
homogeneous strain condition
# pffiffi $
¼ 2= 3 r0 :
Since r00 ¼ constant, from (11.17), we get drx ¼ dp; and
on substituting this into (11.16), we get a relationship
between p and rx as follows:
hdp ( 2sdx ¼ 0
dp 2s
Or; ¼) ð11:18Þ
dx h
In (11.18), the upper negative sign ‘−’ refers to the
right-hand portion and the lower positive sign ‘+’ to the
left-hand portion of the centre line of plate.
490 11 Forging

11.7.1 Coulomb Sliding Friction thickness L=h of the deformation zone increase, the resis-
tance to compressive deformation increases rapidly. Now we
Let us consider that low frictional condition exists at the can obtain the horizontal longitudinal stress for Coulomb’s
contact surface between the forging dies and the plate, where sliding friction, ðrx ÞC:F ; from (11.17) and (11.22) as
Coulomb’s law of sliding friction holds good. So, the tan- * ( ) +
gential shearing frictional stress s is related to the applied 0 0 2l
ðrx ÞC:F: ¼ pC:F: ' r0 ¼ r0 exp ða ' j xjÞ ' 1
normal forging pressure p by Coulomb’s law of sliding h
friction as s ¼ lp; where l is the coefficient of friction and is ð11:24Þ
assumed to be the same at all points on the surface of con-
tact. Now (11.18) becomes Equations (11.22) and (11.24) show that the distribution
of normal deformation pressure as well as horizontal longi-
dp l tudinal stress is symmetrical about the central line and rises
¼ )2 dx ð11:19Þ
p h to a maximum at the centre of the plate, which is the location
of the neutral plane. This characteristic rise in normal
Integrating both sides of (11.19), we get deformation pressure with distance is often called a friction
2l hill. From (11.22) and (11.24), the normal deformation
ln p ¼ ) x þ C1 ð11:20Þ pressure pC:F: and the horizontal longitudinal stress ðrx ÞC:F:
h
are plotted over the total deformation-zone length 2a of the
where C1 is the integration constant, which can be evalu- plate, as illustrated in Fig. 11.29.
ated from the following boundary condition. Since at outer The minimum values of pC:F: and ðrx ÞC:F: at the edges of
free both surfaces of the plate, the horizontal longitudinal the plate, where jxj ¼ a; are, respectively, obtained from
stress rx is zero, i.e. at x ¼ (a; rx ¼ 0; so from (11.17) (11.22) and (11.24) as
p ¼ r00 : Therefore, from (11.20) ( )
2l 2l 2l
ln r00 ¼ ' a þ C1 ; or C1 ¼ ln r00 þ a: ðpC:F: ÞMinimum ¼ r00 exp ða ' aÞ ¼ r00 ð11:25Þ
h h h
, -
Substituting the value of C1 into (11.20), we get ðrx ÞC:F: Minimum
¼ ðpC:F: ÞMinimum 'r00 ¼ 0 ð11:26Þ
2l 2l p 2l On the other hand, the maximum values of pC:F: and
ln p ¼ ) x þ ln r00 þ a; or, ln ¼ ða ) xÞ;
h h r00 h ðrx ÞC:F at the centre-plane, i.e. at the neutral plane of the
plate, where x ¼ 0; are, respectively, given by
Therefore, normal forging pressure for Coulomb’s sliding
! " ! "
friction is: 0 2la 0 lL
( ) ðpC:F: ÞMaximum ¼ r0 exp ¼ r0 exp ð11:27Þ
2l h h
pC:F: ¼ r00 exp ða ) xÞ ð11:21Þ
h
In (11.21), the upper negative sign ‘−’ indicates the right
side of the centre line of plate, where x is measured in the
positive x-direction and the value of x is positive, whereas p
C.F σ
the lower positive sign, ‘+’ refers to the left side of the centre 0
line, where x is measured in the negative x-direction and the ( σx ) C.F
2 µa
value of x is negative. Thus, for an absolute value of the σ 0 exp
h
distance x; measured from the centre line of plate, (11.21)
can be written as
( )
0 2l
pC:F: ¼ r0 exp ða ' j x j Þ ð11:22Þ 0
h
Equation (11.22) can be conveniently written in the fol-
lowing way: a a
( ! ")
lL 2j x j Neutral plane
pC:F: ¼ r00 exp 1' ð11:23Þ
h L
Fig. 11.29 Friction hill showing distribution of normal deformation
pressure pC:F: and longitudinal stress ðrx ÞC:F: with Coulomb’s sliding
where L ¼ 2 a ¼ the length of the deformation zone. The friction over the total length 2a of a rectangular plate forged in plane
above (11.23) shows that as the ratio of the length to strain
11.7 Plane Strain Forging of Flat Rectangular Plate 491

* ! " + factor m; i.e. s ¼ m k; as shown in (10.24). Sometimes

, - 0 2la
ðrx ÞC:F: Maximum ¼ r0 exp '1 lubricant films of soft materials such as a polymer or lead are
* ! h" + applied. In such case, the shear stress at the interface will be
0 lL
¼ r0 exp '1 ð11:28Þ constant and given by s ¼ m k; where m is the ratio of the
h
shear strength of the lubricant film to that of the work-piece.
If the value of l is low, then it is possible to simplify Hence, substitution of s ¼ m k into (11.18) gives
(11.22) by using the expansion expðyÞ ¼ 1 þ y þ y2 =2! þ
2mk 2r0 m m
y2 =3! þ * * * : Hence, exp½f2lða ' jxjÞ=hg, - 1 þ f2lða ' j xjÞ=hg; dp ¼ ) dx ¼ ) pffiffi dx ¼ )r00 dx ð11:32Þ
and (11.22) becomes h 3h h
* + pffiffi
2l where k ¼ r0 = 3 ¼ r00 =2; according to Von Mises’ yield-
pC:F: ¼ r00 1 þ ða ' j xjÞ ð11:29Þ ing criterion.
h
In (11.32), the upper negative sign ‘−’ refers to the
Since (11.29) describes a straight line, so the curved sides right-hand portion and the lower positive sign ‘+’ to the
of the friction hill plotted according to (11.22) will be left-hand portion of the centre line of plate. Integrating both
replaced by straight line when plotted according to (11.29). sides of (11.32), we get
m
11.7.1.1 Average Pressure and Total Load p ¼ )r00 x þ C2 ð11:33Þ
The mean height of the friction hill is nothing but the h
average deformation pressure required for forging, which is where C2 is the integration constant. It is evaluated from the
obtained from (11.22) as follows: boundary condition that at x ¼ (a; rx ¼ 0; and so from
Mean forging pressure due to Coulomb’s sliding friction, (11.17), p ¼ r00 : Therefore, from (11.33)
Ra
pC:F 2wdx m r00 m a
!pC:F: ¼ 0R a r00 ¼ 'r00 a þ C2 ; or C2 ¼ r00 þ :
0 2wdx h h
( )
Ra 0 2l
2w 0 r0 exp ða ' j xjÞ dx Substituting the value of C2 into (11.33), the normal
h deformation pressure considering friction factor is given by
¼ Ra
2w 0 dx
* ( ) ! "+ * +
2l 2l a m m m ða ) x Þ
0
r0 exp ða ' j xjÞ = ' pF:F: ¼ )r00 x þ r00 þ r00 a ¼ r00 1 þ
h h 0
h h h
¼
a ð11:34Þ
exp½ð2laÞ=h, ' 1 exp½ðlLÞ=h, ' 1
¼ r00 ¼ r00 ð11:30Þ For an absolute value of the distance x; measured from
ð2laÞ=h ðlLÞ=h
the centre line of plate, (11.34) can be written as
Now the total forging load for Coulomb’s sliding friction, * +
PC:F: ; can be found from the product of the mean forging 0 mða ' j xjÞ
pF:F: ¼ r0 1 þ ð11:35Þ
pressure and the area at the die–job interface. h

) PC:F: ¼mean forgingpressure&area atthedie'job interface Now the horizontal longitudinal stress considering fric-
tion factor, ðrx ÞF:F: ; is obtained from (11.17) and (11.35) as
pC:F: ½ð2aÞw,
¼!
exp½ð2laÞ=h,'1 mða ' j xjÞ
¼r00 w ðrx ÞF:F: ¼ pF:F: ' r00 ¼ r00 ð11:36Þ
l=h h
0
* ! " +
r hw lL The minimum values of pF:F: and ðrx ÞF:F: at the edges of
¼ 0 exp '1 ð11:31Þ
l h the plate, where j xj ¼ a; are, respectively, given by
ðpF:F: ÞMinimum ¼ r00 and ½ðrx ÞF:F: ,Minimum ¼ 0; which are
same as those shown under Coulomb’s sliding friction. The
maximum values of pF:F: and ðrx ÞF:F at the centre, i.e. at the
11.7.2 Sliding with Shear Friction Factor
neutral plane of the plate, where x ¼ 0; are, respectively,
and Sticking Friction
given by
h * +
Let us consider the case of sliding where the interface 0 mai 0 mL
shearing frictional stress s is described by the shear friction ðpF:F: ÞMaximum ¼ r0 1 þ ¼ r0 1 þ ð11:37Þ
h 2h
492 11 Forging

h * +
, - ma mL % & 0 ai 0 L
ðrx ÞF:F: Maximum
¼ r00 ¼ r00 ð11:38Þ pSticking Maximum
¼ r0 1 þ ¼ r0 1 þ ð11:41Þ
h 2h h 2h
Sliding friction can exist at the die–work-piece interface h i a L
till the shear stress s at the interface does not exceed the ðrx ÞSticking ¼ r00 ¼ r00 ð11:42Þ
Maximum h 2h
shearing yield stress k of the work-piece. But when the
friction is high, which is usually found in hot forging, and
this above limit is reached, then sticking friction occurs at 11.7.2.1 Average Pressure and Total Load
the interface and the interface shearing frictional stress is Considering friction factor, the average forging pressure,
given by s ¼ k; i.e. the shear friction factor m ¼ 1; in cases !pF:F: ; is obtained from (11.35) as follows:
of sticking friction. Assume that the sticking friction regime Ra
pF:F: 2wdx
extends over the whole interface. Hence, substitution of m ¼ !pF:F: ¼ 0 R a
1; into (11.35) and (11.36) gives, respectively, the normal 0 2wdx
* +
deformation pressure, pSticking ; and horizontal longitudinal Ra 0 mða ' j xjÞ
2w 0 r0 1 þ dx
stress, ðrx ÞSticking ; for conditions of sticking friction, which h
¼ Ra
are: 2w 0 dx
* +a
* + ma m x2
a ' j xj 0
r0 x þ x'
pSticking ¼ r00 1 þ ð11:39Þ h h 2 0
h ¼
a * +
h mai mL
a ' j xj 0
¼ r0 1 þ ¼ r00 1 þ ð11:43Þ
ðrx ÞSticking ¼ r00 ð11:40Þ 2h 4h
h
Equations (11.39) and (11.40) show that the distributions Now the total forging load considering friction factor,
of normal deformation pressure and horizontal longitudinal PF:F: ; can similarly be found from the product of the mean
stress are not only symmetrical about the central line but also forging pressure and the area at the die–job interface.
linear with distance from the centre line of the plate (the * +
location of the neutral plane), as illustrated in the friction hill mL
) PF:F: ¼ !pF:F: ½ð2aÞw, ¼ r00 Lw 1 þ ð11:44Þ
diagram of Fig. 11.30. 4h
The minimum values of pSticking and ðrx ÞSticking at the Equation (11.44) can be used to calculate the forging load
edges of the plate, where jxj ¼ a; are, respectively, equal to if the value of shear friction factor m at the interface is
r00 and 0; which are same as those shown above. The max- available.
imum values of pSticking and ðrx ÞSticking at the centre, i.e. at Hence for conditions of sticking friction, the average
the neutral plane of the plate, where x ¼ 0; are, respectively, forging pressure, !pSticking ; and the total forging load, PSticking ;
given by can be obtained by substituting m ¼ 1; into (11.43) and
(11.44), which are:
h * +
0 ai 0 L
pSticking !pSticking ¼ r0 1 þ ¼ r0 1 þ ð11:45Þ
2h 4h
σ '0 * +
(σ x )Sticking L
) PSticking ¼ !pSticking ½ð2aÞw, ¼ r00 Lw 1þ ð11:46Þ
4h
a
σ '0 1 +
a h
σ '0
h
σ '0 11.7.3 Mixed Sticking–Sliding Friction
0
Often a condition exists where sticking friction occurs at the
a a central region of the work-piece and sliding friction occurs at
the outer regions of the work-piece with coefficient of sliding
Neutral plane friction l ¼ constant. This occurs when the friction is
somewhat lower than that required to cause sticking friction
Fig. 11.30 Friction hill showing linear distribution of normal defor- over the entire interface. Since the normal forging pressure p
mation pressure pSticking and longitudinal stress ðrx ÞSticking under
sticking frictional condition over the total length 2a of a rectangular
is the minimum at the edges and increases towards the centre
plate forged in plane strain of the work-piece, the magnitude of the frictional stress lp
11.7 Plane Strain Forging of Flat Rectangular Plate 493

will also increase inwards from the outer periphery of the Fig. 11.31. This friction hill diagram shows that on each side
work-piece. But at a certain distance away from the edge of the neutral plane from x ¼ a to x [ xS ; the sliding pressure
towards the centre of the work-piece, if the frictional stress is lower than the pressure that would be required for sticking
lp reaches a value equal to the shearing yield stress k of the and so, sliding friction prevails there, whereas on each side of
work-piece, then the frictional stress cannot increase further. the neutral plane from x\xS to x ¼ 0; the sticking pressure is
Under such condition, the central zone of the work-piece lower than the pressure that would be required for sliding and
will be controlled by the sticking friction condition. So, the hence, full sticking friction occurs there. Only at the distance
equilibrium equation (11.18) is expressed with the following of x ¼ (xS from the neutral plane, the sliding pressure is
% &
conditions: equal to the sticking pressure, i.e. ðpC:F: Þx ¼ xS ¼ pSticking x ¼ xS .
dp 2s Normal forging pressure for Coulomb sliding friction given
¼) by (11.22) is repeated below, which is valid from x ¼ a to
dx h
x ¼ xS for mixed sticking–sliding frictional conditions:
where s ¼ lp if lp\k; and s ¼ k if lp . k: ( )
Suppose, xS is the distance measured on each side from 2l
ðpC:F: Þa to xS ¼ r00 exp ða ' j xjÞ ð11:22Þ
the neutral plane, i.e. centreline ðx ¼ 0Þ of the work-piece, at h
which the transition from sticking to sliding occurs. Hence,
Now let us find the solution for the sticking zone. For the
frictional condition at the die–job interface will be such that
sticking zone, the substitution of (11.47b) into (11.18) gives
Coulomb’s sliding friction prevails from x ¼ a to x ¼ xS ;
and full sticking friction occurs from x ¼ xS to x ¼ 0 on % & 2k 2r0 r0
each side of the centreline. This can be expressed mathe- dpSticking 0 to xS
¼) dx ¼ ) pffiffi dx ¼ ) 0 dx ð11:48Þ
h 3h h
matically as follows: pffiffi
where k ¼ r0 = 3 ¼ r00 =2; according to Von Mises’ yield-
For xS ! x ! a; s ¼ lp ð11:47aÞ ing criterion.
In (11.48), the upper negative sign ‘−’ refers to the
For 0 ! x ! xS ; s ¼ k ð11:47bÞ
right-hand portion and the lower positive sign ‘+’ to the
For the sliding zone, substitution of (11.47a) into (11.18) left-hand portion of the centre line of plate.
and then integration will ultimately result in the solution Integrating both sides of (11.48), we get
same as that of (11.22), because the boundary condition for % & x
evaluation of the integration constant is the same. Only the pSticking 0 to xS
¼ )r00 þ C3 ð11:49Þ
h
validity range of (11.22) is different, which varies from x ¼ a
to x ¼ xS ; instead of x ¼ a to x ¼ 0: The variations of the where C3 is the integration constant, which can be evaluated
normal forging pressures for conditions of Coulomb’s sliding from the boundary condition of the sticking zone that
and full sticking are drawn in the same plot over the total extends from x ¼ 0 to x ¼ xS on each side of the neutral
deformation-zone length 2 a of the plate as shown in plane. At the point j xj ¼ xS ;

Fig. 11.31 Friction hill showing

x=0 h 1
distributions of normal forging Psticking
pressures, pC:F: and pSticking ,
xs =a In
2µ 2µ
respectively, for conditions of Neutral plane
Coulomb’s sliding and full
sticking, resulting in mixed PC.F.
sticking–sliding frictional
conditions over the total length
2 a of a rectangular plate in plane
strain
a
σ '0
σ '0
1+
2µa
σ '0 exp h
h 2µ
σ'0

0
a a

2 xs
494 11 Forging

h% i * ! "+
r00 r00 & 1 1
sx¼xS ¼ lðpC:F: Þx¼xS ¼ k ¼ ; or ðpC:F: Þx¼xS ¼ pSticking ¼ r00 1 ' ln
2 2l 0 to xS Minimum 2 & 0:5 2 & 0:5
ð11:50Þ ¼ r00
Again since at the distance x ¼ (xS ; ðpC:F: Þx¼xS ¼ ð11:56Þ
ðpSticking Þx¼xS ; then substitution of (11.50) into (11.49) gives h% & i * ! " +
1 1 a
the value of C3 ; this is: pSticking 0 to xS Maximum
¼ r00 1 ' ln þ
2 & 0:5 2 & 0:5 h
h ai
r00 xS 0
¼ r0 1 þ
C3 ¼ þ r00 ð11:51Þ h
2l h
ð11:57Þ
Substituting the value of C3 from (11.51) into (11.49), we
These minimum and maximum values given by (11.56)
get the normal forging pressure for sticking friction condi-
and (11.57) are shown in Fig. 11.31.
tion from x ¼ 0 to x ¼ xS as
* +
% & 0 1 ðx S ) x Þ 11.7.3.1 Average Pressure and Total Load
pSticking 0 to xS ¼ r0 þ ð11:52Þ For Coulomb’s sliding friction from x ¼ a to x ¼ xS on each
2l h
side of the neutral plane, the average normal forging pres-
For an absolute value of the distance x; measured on each sure, ð!pC:F: Þa to xS ; is obtained from (11.22) as follows:
side from the centre line of plate, (11.52) can be written as
Ra
% &
* + x ðpC:F: Þa to xS 2wdx
0 1 ðxS ' j xjÞ ð!pC:F: Þa to xS ¼ S R a
pSticking 0 to xS ¼ r0 þ ð11:53Þ xS 2wdx
2l h ( )
Ra 0 2l
Again, substitution of (11.50) into (11.22) for ðpC:F: Þx¼xS 2w xS r0 exp ða ' j xjÞ dx
h
at jxj ¼ xS ; gives a solution for the location of the boundary ¼ Ra
2w xS dx
between slipping and sticking friction, which is derived 0
*! " ( )+a
below: r0 h 2l
¼ ' exp ða ' j x j Þ
a ' xS 2l h xS
( )
r00 2l 2l 1 exp ½ f 2lð a ' x Þ g=h , ' 1
¼ r00 exp ða ' xS Þ ; or ða ' xS Þ ¼ ln ; ¼ r00
S
2l h h 2l f2lða ' xS Þg=h
h 1
) xS ¼ a ' ln ð11:58Þ
2l 2l
ð11:54Þ Substituting the value of xS ; from (11.54) into (11.58),
we get
Substituting the value of xS , from (11.54) into (11.53), we
get r00 ½ð1=2lÞ ' 1,
ð!pC:F: Þa to xS ¼ ð11:59Þ
* + lnð1=2lÞ
% & 1 a 1 1 j xj
pSticking 0 to xS ¼r00 þ ' ln ' For sticking friction from x ¼ 0 to x ¼ xS on each side of
2l h 2l 2l h
* ! " + ð11:55Þ the neutral plane, the average normal forging pressure,
1 1 a ' j xj
¼r00 1 ' ln þ ð!pSticking Þ0 to xS ; is obtained from (11.53) as follows:
2l 2l h
R xS % &
We can obtain the minimum and maximum values of % & 2w 0 pSticking 0 to xS dx
!pSticking 0 to xS ¼ Rx
ðpSticking Þ0 to xS from (11.55) when Coulomb coefficient of 2w 0 S dx
Z ! "
sliding friction l reaches a maximum value under r0 xS 1 xS j xj
plane-strain sticking frictional condition, where the mini- ¼ 0 þ ' dx
xS 0 2l h h
mum value of interface normal pressure is considered as * +x
r00 x x xS x2 S
pmin ¼ r00 . This maximum value of l is ðlmax ÞP:Strain ¼ 0:5 ¼ þ '
xS 2l h 2h 0
[see (10.27)]. Hence, substitution of jxj ¼ a and x ¼ 0 into 0
! "
(11.55) gives, respectively, the minimum and maximum r 1 xS
¼ 0 þ ð11:60Þ
values of ðpSticking Þ0 to xS as 2 l h
11.7 Plane Strain Forging of Flat Rectangular Plate 495

Substituting the value of xS ; from (11.54) into (11.60), • If xS ! 0; the Coulomb’s sliding friction exists over the
we get entire interface of the rectangular plate with deformation-
! " zone length 2a and the dies, i.e. from x ¼ 0 (centre line)
% & r0 1 a 1 1 to x ¼ a (outer edge) on each side of the neutral plane. In
pSticking 0 to xS ¼ 0
! þ ' ln
2 l h 2l 2l such cases, forging load is to be calculated from (11.31).
* ! " + ð11:61Þ
r0 1 1 1 a • If xS ¼ a; the full sticking friction exists over the entire
¼ 0 1 ' ln þ
2 l 2 2l h interface of the rectangular plate with deformation-zone
length 2a and the dies, i.e. from x ¼ 0 (centre line) to
Now the total forging load, PTotal ; can found from the x ¼ a (outer edge) on each side of the neutral plane. In
summation of the forging load for Coulomb’s sliding fric- such cases, forging load is to be evaluated from (11.46).
tion, ðPC:F: Þa to xS ; over an area from the outer edges of the • If a [ xS [ 0; the mixed sticking–sliding friction condi-
work-piece to the transition boundary of sliding to sticking tions prevail at the interface of the rectangular plate with
on each side of the neutral plane and the forging load for deformation-zone length 2a and the dies, i.e. full sticking
sticking friction ðPSticking Þ0 to xS ; over an area from the neutral friction occurs on each side of the neutral plane from
plane (centre line) of the work-piece to the transition x ¼ 0 (centre line) to x ¼ xS (sticking–sliding boundary)
boundary of sticking to sliding on each side of the neutral and sliding friction exists on each side of the neutral
plane. Therefore, considering mean normal forging pressure plane from x ¼ a (outer edge) to x ¼ xS (sliding–sticking
for sliding ð! pC:F: Þa to xS ; given by (11.58) and that for sticking boundary). In such cases, forging load is to be deter-
pSticking Þ0 to xS ; given by (11.60), we get
ð! mined from (11.63).
% &
PTotal ¼ ðPC:F: Þa to xS þ PSticking 0 to xS However, if the value of shear friction factor m at the
% &
pC:F: Þa to xS &2ða ' xS Þw þ !
¼ ð! pSticking 0 to xS &ð2xS Þw interface is available, it is not required to calculate the value
* ( ) + ! " of xS to determine average pressure, total load, distributions
r0 hw 2lða ' xS Þ 1 xS
¼ 0 exp ' 1 þ r00 xS w þ of pressure and longitudinal stress. Hence, (11.44) can be
l h l h used to calculate the forging load.
ð11:62Þ
If we substitute the value of xS ; from (11.54) into (11.62),
11.8 Plane Strain Forging of Strip
we get
with Inclined Dies
* ! " +
r00 hw 1
PTotal ¼ exp ln '1
l
!
2l
"* ! " +
Press forging under plane strain condition of a thin strip with
h 1 1 1 1 a variation in height from its one end to the other will be
þ r00 w a ' ln 1 ' ln þ
2l 2l l 2 2l h considered here. Forging dies overlap the job but are mutu-
*( ! ") ! "( ! " )+
h 1 h 1 1 1 1 a
0
¼ r0 w '1 þ a ' ln 1 ' ln þ ally inclined at a small angle. Suppose that forging dies are
l 2l 2l 2l l 2 2l h
inclined at angles a1 and a2 to the horizontal plane, as shown
ð11:63Þ in Fig. 11.32. On the strip, the inclined dies exert a pressure p
normal to the die–job interface, which will be called the die
pressure. The vertical plane in the strip, where the material is
11.7.4 Selection of Proper Equation for Forging stationary is called the neutral plane or neutral surface of the
Load work-piece. During forging of the strip with dies, the material
flows outward from the neutral plane in the longitudinal
If the coefficient of friction l at the interface is given for direction, which leads to tangential shearing frictional stres-
plane strain forging of a rectangular plate, then to select ses at the die–job contact surfaces. As the material is free to
proper equations for determinations of average pressure, flow in both directions from its neutral plane, friction stress
total load, distributions of pressure and longitudinal stress, opposing the flow will change its direction in both sides of
the value of xS has to be first evaluated using (11.54) to the neutral plane. However, the presence of frictional shear
know the frictional conditions at the interface. Depending on stress s leads to longitudinal stress rx that acts on the vertical
the value of xS ; there may be three different conditions of face of the work-piece. To make the analysis simpler, the
friction at the die–plate interface, which are as follows: following assumptions are made:
496 11 Forging

Fig. 11.32 Stresses acting on a

thin strip forged in plane strain
with inclined dies and geometry Die
details of die and job

p α1
α1 p
µp
µp

σ x + dσx σx σ x + dσx σx h+dh h

h2 h1 dx
Job x
dx
dx
x
µp x=0
µp
α2 p α2
x=L p

x
Die

Neutral plane

(i) Plane strain condition is assumed, where spread of the strip, which is assumed to be the origin of the coordinate
work-piece is assumed to be negligible, i.e. width w ¼ system, shown by x ¼ 0 in the diagram, where x is the
constant. horizontal axis that increases from the thinnest side to the
(ii) Homogeneous deformation is assumed, i.e. plane thickest side of the strip. Figure 11.32 shows that these
vertical section of the work-piece before forging longitudinal stresses along with the die pressure p and fric-
remains plane during and after forging and hence, tion stress lp are acting on the slab elements.
internal redundant deformation is neglected. Let the vertical pressure exerted by the inclined dies on
(iii) Strain hardening of the work-piece is neglected, i.e. the strip is pv : The vertical pressure pv is assumed to be
the plane strain flow stress or deformation resistance uniform throughout a transverse section and considered as a
r00 of the material being forged is assumed to remain principal stress. Hence, the vertical equilibrium of forces for
constant. the slab elements of the work-piece will be:
(iv) It is assumed that Coulomb’s law of sliding friction For platens inclined at an angle
holds good at the contact surface between the inclined
dx dx
dies and the thin strip. a1 : pv dxw ¼ p cos a1 w ) lp sin a1 w;
cos a1 cos a1
In other words, s ¼ lp; where s is the tangential
frictional stress at the contact surface, l is the coef- Or; pv ¼ p ) lp tan a1 ð11:64aÞ
ficient of friction and p is the die pressure. For platens inclined at an angle
(v) The coefficient of friction, l ; is constant over the
whole surface of contact and assumed to be low. dx dx
a2 : pv dxw ¼ p cos a2 w ) lp sin a2 w;
(vi) The angles of inclination a1 and a2 of the platens with the cos a2 cos a2
horizontal plane are assumed to be less than the angle of Or; pv ¼ p ) lp tan a2
interface friction, i.e. a1 \ tan'1 l and a2 \ tan'1 l:
ð11:64bÞ
(vii) The longitudinal stress rx is constant across the
cross-section of the strip and is a principal stress since where the upper negative sign ‘−’ indicates the thinner side of
no shear stress act on the vertical face of the strip. the neutral plane of the strip and the lower positive sign, ‘+’
is for the thicker side of the neutral plane of the strip. Since l
On both sides of the neutral plane within the thin strip and a1 or a2 are small quantities and l tan a1 / 1; and
being forged, let us consider slab elements of thickness dx l tan a2 / 1, lp tan a1 or lp tan a2 can be neglected, and
and width w ; whose height varies from h to h þ dh; as from (11.64a) or (11.64b), it can be written that pv - p:
shown in Fig. 11.32. According to free-body equilibrium Hence, p can be considered as the principal stress.
approach, the longitudinal stresses are, respectively, Taking equilibrium of forces in the horizontal direction
rx and rx þ drx at an arbitrary distances x and x þ dx; from for the slab element located on the thinner side of the neutral
one extreme side of the strip, say the thinnest side of the plane of the strip, we get:
11.8 Plane Strain Forging of Strip with Inclined Dies 497

dx where
rx hw ' ðrx þ drx Þðh þ dhÞw þ p sin a1 w
cos a1
dx dx r00 ¼ compressive flow stress in plane strain condition
þ p sin a2 w þ lp cos a1 w # pffiffi $
cos a2 cos a1 ¼ 2= 3 & compressive uniaxial flow stress in
dx
þ lp cos a2 w¼0 homogeneous strain condition
cos a2 # pffiffi $
Since the product drx dh is a very small quantity, so it can ¼ 2= 3 r0 :
be neglected. Further cancelling w from each term, we obtain
Since r00 ¼ constant, therefore drx ¼ dp: Now denoting
'rx dh ' hdrx þ pðtan a1 þ tan a2 Þdx þ 2lpdx ¼ 0 ð11:65Þ 2l
¼ B0 ; we get from (11.69) and (11.70b)
ðtan a1 þ tan a2 Þ
Similarly, horizontal equilibrium of forces for the slab % &
p ' r00 dh þ hdp ' pdh ) pB0 dh ¼ 0;
element located on the thicker side of the neutral plane of the % &
strip is given by Or; hdp ¼ r00 dh ( B0 pdh ¼ r00 ( B0 p dh;
Z Z
dp dh
'rx dh ' hdrx þ pðtan a1 þ tan a2 Þdx ' 2lpdx ¼ 0 ð11:66Þ Or; ¼ ;
r00 ( B0 p h
Z Z
Now combining (11.65) and (11.66) horizontal equilib- dp þ dh
Or; ¼ ;
rium of forces for both sides of the neutral plane of the strip r00 þ B0 p þ h
Z Z
is given by dp' dh
and 0 ¼ ;
r0 ' B p0 ' h
rx dh þ hdrx ' pðtan a1 þ tan a2 ( 2lÞdx ¼ 0 ð11:67Þ
If we assume that for the platen with inclination angle of where p þ indicates the forging pressure towards the thinner
a1 , the fraction of the elemental difference in height dh over side of the neutral plane of the strip and p' indicates the
thickness dx of the elemental slab of the strip is ‘y’, then forging pressure towards the thicker side of the neutral plane
yðdh=dxÞ ¼ tan a1 : Similarly, for the platen with inclination of the strip. If C þ and C' are, respectively, the constants of
angle of a2 , the other fraction of the elemental difference in integration for the thinner and the thicker sides, then
height dh over thickness dx is ‘ð1 ' yÞ’, and hence 1 % 0 &
ln r0 þ B0 p þ ¼ ln h þ C þ ;
ð1 ' yÞðdh=dxÞ ¼ tan a2 : Addition of these two fractions B 0

gives the total dh as 1 % &

and ' 0 ln r00 ' B0 p' ¼ ln h þ C ' ;
B
dh ¼ ðtan a1 þ tan a2 Þdx ð11:68Þ ) r00 þ B0 p þ ¼ A þ hB
0
ð11:71aÞ
Substituting the value of dh from (11.68) into (11.67), we 0

obtain And r00 ' B0 p' ¼ A' h'B ð11:71bÞ

2l where A þ ¼ expðB0 C þ Þ; and A' ¼ expð'B0 C' Þ:

rx dh þ hdrx ' pdh ) p dh ¼ 0 ð11:69Þ
ðtan a1 þ tan a2 Þ Let, h1 the thickness of the plate at the extreme thinnest
end and
where the upper negative sign ‘−’ indicates the thinner side
h2 the thickness of the plate at the extreme thickest
of the neutral plane of the strip and the lower positive sign,
end
‘+’ is for the thicker side of the neutral plane of the
strip. The die pressure p and the longitudinal stress rx , which At the free ends of the strip where h ¼ h1 and h ¼ h2 ; the
are considered as principal stresses, are shown as compres- longitudinal stress rx ¼ 0: Therefore, from (11.70a), the die
sive stresses in Fig. 11.32. If we consider the compressive pressure at both ends of the strip will be given by
stresses to be positive, then r1 ¼ p and r2 ¼ rx in Von
p þ ¼ r00 at h ¼ h1 ð11:72aÞ
Mises’ yielding criterion for plane strain condition, given by
(1.88b). Hence, the yielding criterion can be written as And p' ¼ r00 at h ¼ h2 ð11:72bÞ
p ' rx ¼ r00 ð11:70aÞ Applying, respectively, the above boundary conditions
given by (11.72a) and (11.72b) into (11.71a) and (11.71b),
Or, rx ¼ p ' r00 ð11:70bÞ we get the values of the integration constants A þ and A' ;
which are:
498 11 Forging

r00 ð1 þ B0 Þ
Aþ ¼ ð11:73aÞ 2l
hB1
0
where, B0 ¼ ;
ðtan a1 þ tan a2 Þ
! "B0 ! " B0
r00 ð1 ' B0 Þ hNS h2
And A' ¼ B0 ð11:73bÞ ) ð1 þ B Þ
0
þ ð1 ' B Þ 0
¼ 2;
h'
2 h1 hNS
% 0 &2 0 % 0& 0
Substituting, respectively, the values of A þ and A' from Or; ð1 þ B0 Þ hBNS þ ð1 ' B0 Þðh1 h2 ÞB ¼ 2hB1 hBNS ;
(11.73a) and (11.73b) into (11.71a) and (11.71b), we get % 0 &2 % 0 & 0 0
Or; ð1 þ B0 Þ hBNS ' 2hB1 hBNS þ ð1 ' B0 Þðh1 h2 ÞB ¼ 0;
! " 8 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi9B10
pþ r0 ðB0 þ 1Þ B0 < þ 2hB0 ( 4h2 B0 ' 4ð1 ' B02 Þðh1 h2 ÞB0 =
r00 B0 0 þ 1 ¼ 0 B0 h ; 1 1
r0 h1 ) hNS ¼
! " : 2ð 1 þ B0 Þ ;
p' r0 ðB0 ' 1Þ 'B0
and r00 B0 0 ' 1 ¼ 0 'B0 h ;
r0 h2
pþ hB
0
Considering only positive value, we get
Or; B0 0 þ 1 ¼ ð B0 þ 1Þ B 0 ;
r0 h1 8 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi9B10
' 'B0 <2hB0 þ 4h2B0 ' 4ð1 ' B02 Þðh1 h2 ÞB0 =
p h 1 1
and B0 ' 1 ¼ ðB0 ' 1Þ 'B0 ; ) hNS ¼
r00 h2 : 2ð 1 þ B0 Þ ;
! "B 0
p þ B0 þ 1 h 1 ð11:77Þ
) 0 ¼ ' 0 ð11:74Þ
r0 B0 h1 B
It is to be noted that the peak forging pressure occurs at
! " 0 ! " 0
p ' B0 ' 1 h 2 B 1 1 1 ' B0 h2 B the neutral plane, where h ¼ hNS :
And 0 ¼ þ 0¼ 0' To find the location of the neutral plane, let us assume
r0 B0 h B B B0 h
that it is located at a distance x ¼ xNS ; from the thinnest side
ð11:75Þ
of the strip, where x ¼ 0: Since at x ¼ 0; h ¼ h1 , and at
If L is the deformation-zone length of the strip, then x ¼ xNS ; h ¼ hNS , hence from (11.68), we can write
integration of (11.68), between the limits of x ¼ 0; h ¼ h1
x¼x
Z NS h¼h
Z NS
and x ¼ L; h ¼ h2 ; gives 1
dx ¼ dh
ZL Zh2 ðtan a1 þ tan a2 Þ
1 x¼0 h¼h1
dx ¼ dh
ðtan a1 þ tan a2 Þ hNS ' h1
0 h1 ) xNS ¼ ð11:78Þ
ðtan a1 þ tan a2 Þ
h2 ' h1
)L¼ ð11:76Þ
ðtan a1 þ tan a2 Þ

11.9 Forging of Flat Circular Disk

11.8.1 Strip Thickness at Neutral Plane and Its Consider a circular flat disk of uniform height that is being
Location press forged in axial direction with flat dies. Let the radius of
the circular disk is a and the uniform height is h. The flat
The neutral plane is such a plane of the plate where the dies exert a normal pressure p on the flat surfaces of circular
material is stationary when the strip is being forged with the disk. The uniaxial compressive flow stress or deformation
dies. As the material always flows outward from this neutral resistance of the material of the disk is assumed to be r0 :
plane, the friction acts inward and changes its direction in The vertical centreline of the circular disk defines its neutral
both sides of this plane. To find the location of this neutral axis, where the material is stationary but the material flows
plane, (11.74) is equated to (11.75), i.e. p þ =r00 ¼ p' =r00 : If outward from this neutral line in the radial direction when
the strip thickness h ¼ hNS at the neutral plane, then the disk is being forged with the dies. Outward radial flow of
! " 0 ! " 0 the material during the process of its compression leads to
1 þ B0 hNS B 1 1 1 ' B0 h2 B tangential shearing frictional stresses at the die-disk contact
' ¼ ' ;
B0 h1 B0 B0 B0 hNS surfaces. Therefore, friction stresses opposing the outward
11.9 Forging of Flat Circular Disk 499

radial flow will always act towards the centre of the circular p
disk. The frictional shear stress, s, leads to radial stress, rr ; Neutal
and circumferential stress, rh ; in the material. The stresses axis σθ
rr and rh are zero at the edges and builds up to a peak value
σθ
at the centre of the disk. To simplify our analysis, the fol-
lowing assumptions are made: σr + d σr

σr τ
dθ dθ
(i) Material being forged is assumed to be isotropic and
homogeneous. h
(ii) Homogeneous deformation is assumed, i.e. plane σθ
vertical section before forging remains plane during r dθ
dr 90°–
and after forging and hence, internal redundant work 2
is neglected. σθ
(iii) Elastic strain is neglected because plastic deforma-
tion involved in forging is quite large compared to a
insignificant elastic deformation.
(iv) As forging is a hot working operation, so it is quite Fig. 11.33 Stresses acting on an elemental sector of a forged flat
circular disk
logical to assume that there is no strain hardening of
the work-piece, i.e. the uniaxial compressive flow
stress or deformation resistance r0 of the material ðrr þ drr Þ hðr þ drÞdh ' rr hr dh þ 2s rdh dr
! "
being forged is assumed to remain constant. Other- 1 dh
' 2rh cos 90 ' h dr ¼ 0
wise, an average value of flow stress will be 2
assumed, it is important to remember that in hot Or; rr hr dh þ rr h dr dh þ drr hr dh þ drr h dr dh
forging the flow stress will depend very much upon dh
the strain rate used. ' rr hr dh þ 2sr dh dr ' 2rh sin h dr ¼ 0 ð11:79Þ
2
(v) There is no barrelling of the edges of the work-piece.
(vi) Since the height of the work-piece is small, so it can For very small angle, assuming sinðdh=2Þ - dh=2 and
be assumed that the normal pressure, p, remains neglecting the term drr h dr dh in (11.79) as it is a very small
constant through the height of the work-piece and is quantity, it follows from (11.79):
a principal stress; although this assumption is not
really correct, because the shear stress s acts on the rr hr dh þ rr h dr dh þ drr hr dh
planes on which the normal pressure p is acting. dh
' rr hr dh þ 2sr dh dr ' 2rh h dr ¼ 0 ð11:80Þ
(vii) The radial stress rr and circumferential stress rh are 2
also considered to be principal stresses. If we consider the compressive stresses to be positive, the
(viii) The maximum value of the forging load is attained at normal pressure p exerted by flat dies on the work-piece is a
the end of the operation. positive principal stress and so, p ¼ r1 : Since radial stress rr
and circumferential stress rh are both shown as compressive
Let us consider the state of stresses on a vertical slab in Fig. 11.33, so both of them are positive principal stresses.
element with thickness dr and height h, inside the circular Hence, we can write rr ¼ r2 ; and rh ¼ r3 : From the axial
disk at an arbitrary distance r from the vertical centre line of symmetry of the disk, since change in the circumferential
the disk, which is taken as the origin, r ¼ 0; of the coordi- strain ¼ deh ¼ de3 ¼ de2 ¼ der ¼ change in the radial
nate system. According to free-body equilibrium approach, strain, so according to the Levy–Mises (1.84b) and (1.84c),
the radial stresses are, respectively, rr and rr þ drr at an it yields the following (11.81a).
arbitrary radial distances r and r þ dr; from the centre-line, * + * +
i.e. r ¼ 0: The radial and circumferential stresses along with d!e 1 d!e 1
deh ¼ rh ' ðp þ rr Þ ¼ der ¼ rr ' ðp þ rh Þ
the normal pressure p and friction stress s are acting on the r
! 2 r
! 2
slab element, as shown in Fig. 11.33. The slab element 1 1 3 3
makes an angle dh at the centre of the disk. Or; rh ' rr ¼ rr ' rh ; or; rh ¼ rr ;
2 2 2 2
With reference to Fig. 11.33, equilibrium of forces in the ) Circumferential stress rh ¼ Radial stress rr
radial direction gives
ð11:81aÞ
500 11 Forging

Since rh ¼ rr , from (11.80) we get Therefore, normal forging pressure for Coulomb’s sliding
friction is: ( )
σ r hrdθ + σ r hdrdθ + dσ r hrdθ − σ r hrdθ 2l
pC:F: ¼ r0 exp ða ' r Þ ð11:86Þ
ð11:81bÞ h
+ 2τ rdθ dr − σ r hdrdθ = 0
Therefore, radial or circumferential stress for coulomb’s
As rdh 6¼ 0, so dividing (11.81b) by r dh, we get sliding friction is:
s
hdrr þ 2sdr ¼ 0; or, drr ¼ '2 dr ð11:82Þ ðrr ÞC:F: or ðrh ÞC:F: ¼ pC:F:
* '( r0 ) +
h 2l
¼ r0 exp ða ' r Þ ' 1 ð11:87Þ
The Von Mises’ yield criteria, as shown in (1.64), is: h
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi
ðr1 ' r2 Þ2 þ ðr2 ' r3 Þ2 þ ðr3 ' r1 Þ2 ¼ 2 r0 ; The variations of pC:F: and ðrr ÞC:F: or ðrh ÞC:F: obtained
from (11.86) and (11.87) are plotted over the diameter 2a of
which in the present context becomes the disk as shown in Fig. 11.34. Both stresses build up to a
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi
ðp ' rr Þ2 þ f'ðp ' rr Þg2 ¼ 2 r0 ; maximum at the centre of the disk and the distributions of
stresses are symmetrical about the centreline of the disk. This
where r0 is the uniaxial deformation resistance or flow stress characteristic rise of stresses over the length of contact
in compression. between the material and the die is called friction hill. In this
figure, the vertical centreline of the disk defines the neutral
) p ' rr ¼ r0 ð11:83Þ axis. The diagram of friction hill shows that at the outer
Since r0 ¼ constant, so from (11.83), we get drr ¼ dp: periphery of the disk, where r ¼ a; the minimum values of
Making this substitution into (11.82), we arrive at pC:F: and ðrr ÞC:F: or ðrh ÞC:F: are, respectively, given by
ðpC:F: ÞMinimum ¼ r0 and ½ðrr ÞC:F: ,Minimum ¼ ½ðrh ÞC:F: ,Minimum ¼ 0;
s
dp ¼ '2 dr ð11:84Þ and at the centreline, i.e. at the neutral axis of the disk, where
h
r ¼ 0 ; the maximum values of pC:F: and ðrr ÞC:F: or ðrh ÞC:F:
are, respectively, given by
! " ! "
11.9.1 Coulomb Sliding Friction 2la lD
ðpC:F ÞMaximum ¼ r0 exp ¼ r0 exp ð11:88Þ
h h
Let us consider that low frictional condition exists at the * ! " +
, - , - 2la
contact surface between the forging dies and the circular ðrr ÞC:F: Maximum ¼ ðrh ÞC:F: Maximum ¼ r0 exp '1
h
disk, where Coulomb’s law of sliding friction holds good. * ! " +
lD
So, the tangential shearing frictional stress s is related to the ¼ r0 exp '1
h
applied normal forging pressure p by Coulomb’s law of
sliding friction as s ¼ lp, where l is the coefficient of ð11:89Þ
friction and is assumed to be the same at all points on the where D ¼ 2a ¼ the diameter of the circular disk or defor-
surface of contact. Now putting s ¼ lp in (11.84), we get mation zone.
dp l
¼ '2 dr; Pmax
p h
2l Friction hill
and on integration; ln p ¼ ' r þ C1 ð11:85Þ σ0 PC.F.
h
(σ r ) C.F. or (σ θ )C.F. 2µa
σ 0exp
where C1 is the integration constant, which can be evaluated h
from the following boundary condition
At the outer free surface of the disk, where r ¼ a; rr ¼ 0; σ0
Therefore from (11.83), p ' 0 ¼ r0 ; or p ¼ r0 : 0
2l
Substituting the above into (11.85), ln r0 ¼ ' a þ C1 ;
h r
2l
Or, C1 ¼ ln r0 þ a; a a
h
Substituting the value of C1 into (11.85), we get Neutral plane

2l 2l p 2l Fig. 11.34 Friction hill showing distributions of normal forging

ln p ¼ ' r þ ln r0 þ a; or ln ¼ ða ' r Þ: pressure pC:F: and radial stress ðrr ÞC:F: or circumferential stress ðrh ÞC:F:
h h r0 h with Coulomb friction over the total diameter 2 a of a circular flat disk
11.9 Forging of Flat Circular Disk 501

11.9.1.1 Average Pressure and Total Load Integrating both sides of (11.92), we get
The mean height of the friction hill is the average defor-
mation pressure, !
pC:F: ; which is obtained from (11.86) as 2m
p ¼ 'r0 pffiffi r þ C2 ð11:93Þ
follows: 3h
Mean forging pressure for Coulomb’s sliding friction is:

( )
Ra
Ra 2l
2p r0 exp ða ' r Þ rdr
pC:F: 2pr dr 0 h
pC:F:
! ¼ 0Ra ¼
0 2pr dr a2
2p
. Z ( ) 2 * ( ) + /a
Z Z
2r0 2l d 2l
¼ 2 r exp ða ' rÞ dr ' r exp ða ' rÞ dr dr
a h dr h
. ! " ( ) Z * ! " ( )+0 /a
2r0 h 2l h 2l
¼ 2 r ' exp ða ' r Þ ' 1 ' exp ða ' rÞ dr
a 2l h 2l h
*! " ( ) ! "! " ( )+a 0
2r0 rh 2l h h 2l
¼ 2 ' exp ða ' rÞ ' ' ' exp ða ' rÞ
a 2l h 2l 2l h 0
"! " ( ! " ! " ! ") #
2r0 ah h 2 h 2 2la
¼ 2 ' expð0Þ ' ' expð0Þ ' ' exp
a 2l 2l 2l h
! "2 * ! "+
2r0 h 2la 2la
¼ 2 ' ' 1 þ exp
a 2l h h
! "2 * ! " +
h 2la 2la
)!
pC:F: ¼ 2r0 exp ' '1
2la h h
" #
expfð2laÞ=hg ' fð2laÞ=hg ' 1
¼ 2r0 ð11:90Þ
fð2laÞ=hg2

Hence, the total forging load for Coulomb’s sliding where C2 is the integration constant. It is evaluated from the
friction is: boundary condition that at x ¼ a; rr ¼ 0; and so, from
(11.83) p ¼ r0 : Therefore, from (11.93)
pC:F: pa2
PC:F: ¼ mean pressure & contact area ¼ !
! "2 * ! " + * +
r0 h 2la 2la 2m 2ma
¼ exp ' ' 1 pa2 r0 ¼ 'r0 pffiffi a þ C2 ; or C2 ¼ r0 1 þ pffiffi :
2 la h h 3h 3h
! " * ! " +
pr0 h 2 2la 2la Substituting the value of C2 into (11.93), the normal
¼ exp ' '1
2 l h h deformation pressure considering friction factor is given by
! " * ! " +
pr0 h 2 lD lD 2m 2m
¼ exp ' '1 ð11:91Þ pF:F: ¼ 'r0 pffiffi r þ r0 þ r0 pffiffi a
2 l h h 3h 3h
* +
2mða ' r Þ
¼ r0 1 þ pffiffi ð11:94Þ
3h
11.9.2 Sliding with Shear Friction Factor
Now the radial and circumferential stresses considering
and Sticking Friction
friction factor, i.e. ðrr ÞF:F: and ðrh ÞF:F: ; are obtained from
(11.83) and (11.94) as
Let us consider the case of sliding where the interface
shearing frictional stress s is described by the shear friction ðrr ÞF:F: ¼ðrh ÞF:F: ¼ pF:F: ' r0
factor m; i.e. s ¼ m k; as shown in (10.24). Hence, substi-
2mða ' r Þ
tution of s ¼ m k into (11.84) gives ¼r0 pffiffi ð11:95Þ
3h
2mk 2r0 m
dp ¼ ' dr ¼ ' pffiffi dr ð11:92Þ The minimum values of pF:F: and ðrr ÞF:F: or ðrh ÞF:F: at the
h 3h outer periphery of the disk, where r ¼ a; are, respectively,
pffiffi given by ðpF:F: ÞMinimum ¼ r0 and ½ðrr ÞF:F: ,Minimum ¼
where k ¼ r0 = 3 according to Von Mises’ yielding criterion.
½ðrh ÞF:F: ,Minimum ¼ 0: The maximum values of pF:F: and
502 11 Forging

ðrr ÞF:F: or ðrh ÞF:F: at the centreline, i.e. at the neutral axis of
the disk, where r ¼ 0, are, respectively, given by (σ r )sticking or (σθ ) sticking
σ0 Psticking
* + * +
2ma mD
ðpF:F ÞMaximum ¼ r0 1 þ pffiffi ¼ r0 1 þ pffiffi ð11:96Þ 2a
3h 3h 2a σ0 1 + –
σ0 – √3 h
, - , - √3 h
ðrr ÞF:F: Maximum ¼ ðrh ÞF:F: Maximum σ0
2ma mD ð11:97Þ 0
¼ r0 pffiffi ¼ r0 pffiffi
3h 3h a a

There is a limiting value of the shear stress s at the interface Neutral plane
below which sliding friction can exist at the die–work-piece
interface. When the friction is high making the interfacial Fig. 11.35 Friction hill showing distributions of normal forging
shear stress s to reach its limiting value, then sticking friction pressure pSticking and radial stress ðrr ÞSticking or circumferential stress
ðrh ÞSticking under sticking frictional condition over the total diameter 2 a
occurs at the die–work-piece interface. This limiting value is
pffiffi of a circular flat disk
the shearing yield stress of the work-piece, k ¼ r0 = 3:
Therefore, in cases of sticking friction s ¼ k; i.e. the shear
friction factor m ¼ 1: Assume that the sticking friction regime where D ¼ 2a ¼ the diameter of the deformation zone of
extends over the whole interface. Hence, substitution of m ¼ circular disk.
1 into (11.94) and (11.95) gives, respectively, the normal
forging pressure, pSticking ; and the radial stress, ðrr ÞSticking ; or 11.9.2.1 Average Pressure and Total Load
the circumferential stress,ðrh ÞSticking ; for conditions of stick- Considering friction factor, the average forging pressure,
ing friction, which are: !pF:F: ; is obtained from (11.94) as follows:
* + Ra
2ð a ' r Þ pF:F: 2pr dr
pSticking ¼ r0 1 þ pffiffi ð11:98Þ !pF:F: ¼ 0 R a
3h 0 2pr dr
* +
Ra 2ma 2mr
2ð a ' r Þ 2pr0 0 1 þ pffiffi ' pffiffi r dr
ðrr ÞSticking ¼ ðrh ÞSticking ¼ r0 pffiffi ð11:99Þ 3h 3h
3h ¼ 2
* pa +
Equations (11.98) and (11.99) show that the distributions 2r0 a2 2ma a2 2m a3
¼ 2 þ pffiffi ' pffiffi
of normal forging pressure pSticking and radial stress a 2 3h 2 3h 3
* +
ðrr ÞSticking or circumferential stress ðrh ÞSticking are not only 6ma ' 4ma
¼ r0 1 þ pffiffi
symmetrical about the central line but also linear with dis- 3 3h
* + * +
tance from the centre line of the disk (the location of the 2ma mD
¼ r0 1 þ p ffi ffi ¼ r0 1 þ p ffi ffi ð11:102Þ
neutral axis), as illustrated in the friction hill diagram of 3 3h 3 3h
Fig. 11.35. The diagram of friction hill shows that at the
outer periphery of the disk, where r ¼ a, the minimum Now the total forging load considering friction factor,
values of pSticking and ðrr ÞSticking or ðrh ÞSticking are, respec- PF:F: , can be similarly be found from the product of the mean
forging pressure and the area at the die–job interface.
tively, equal to r0 and 0; which are same as those shown
* +
above and at the centreline, i.e. at the neutral axis of the disk, 2ma
where r ¼ 0, the maximum values of pSticking and ) PF:F: ¼ !pF:F: pa2 ¼ r0 pa2 1 þ pffiffi
3 3h
ðrr ÞSticking or ðrh ÞSticking are, respectively, given by 2
* + ð11:103Þ
r0 pD mD
* + * + ¼ 1þ p ffi ffi
% & 2a D 4 3 3h
pSticking Maximum ¼ r0 1 þ pffiffi ¼ r0 1 þ pffiffi
3h 3h Equation (11.103) can be used to calculate the forging
ð11:100Þ load if the value of shear friction factor m at the interface is
h i h i available.
ðrr ÞSticking ¼ ðrh ÞSticking Hence for conditions of sticking friction, the average
Maximum Maximum
ð11:101Þ forging pressure, !pSticking , and the total forging load, PSticking ,
2a D
¼ r0 pffiffi ¼ r0 pffiffi can be obtained by substituting m ¼ 1 into (11.102) and
3h 3h (11.103), which are:
11.9 Forging of Flat Circular Disk 503

* + * +
2a D p r=0
pSticking ¼ r0 1 þ pffiffi ¼ r0 1 þ pffiffi
! ð11:104Þ Sticking h 1
Neutral plane rs = a – In
3 3h 3 3h 2 µ √─3
* + p
C.F.
2a
pSticking pa2 ¼ r0 pa2 1 þ pffiffi
) PSticking ¼ !
3 3h 2a
2
* + ð11:105Þ σ0 1 + ─
r0 pD D 2 µa σ0
¼ 1 þ pffiffi σ0 exp √3h
─
4 3 3h h √3µ
σ0
0
a a
11.9.3 Mixed Sticking–Sliding Friction 2 rs

Fig. 11.36 Friction hill showing distributions of normal forging

Frequently, a condition exists where sticking occurs at the
pressures, pC:F: and pSticking , respectively, for conditions of Coulomb’s
central region of the work-piece and sliding occurs at the sliding and full sticking, resulting in mixed sticking–sliding frictional
outer regions of the work-piece with coefficient of sliding conditions over the total diameter 2a of a circular flat disk
friction l ¼ constant. This occurs when the friction is
somewhat lower than that required to cause sticking friction
Fig. 11.36. This friction hill diagram shows that around the
over the whole interface. Since the normal forging pressure p
centreline from r ¼ a to r [ rS ; the sliding pressure is lower
is the minimum at the outer free surfaces and increase
than the pressure that would be required for sticking and so,
towards the centre of the work-piece, the magnitude of the
sliding friction prevails there, whereas around the centreline
frictional stress lp will also increase inwards from the outer
from r\rS to r ¼ 0; the sticking pressure is lower than the
periphery of the work-piece. But at a certain distance away
pressure that would be required for sliding and hence, full
from the edge towards the centre of the work-piece, if the
sticking friction occurs there. Only at the distance of r ¼ rS
frictional stress lp reaches a value equal to the shearing
around the neutral axis of the disk, the sliding pressure is
yield stress k of the work-piece, then further increase of the
equal to the sticking pressure, i.e. ðpC:F: Þr ¼ rS ¼ ðpSticking Þr ¼ rS .
frictional stress is not possible. Under such condition, the
Normal forging pressure for Coulomb sliding friction given
central zone of the work-piece will be controlled by the
by (11.86) is repeated below, which is valid from r ¼ a to
sticking friction condition. So, the equilibrium equation
r ¼ rS for mixed sticking–sliding frictional conditions:
(11.84) is expressed with the following conditions: ( )
2l
s ðpC:F: Þa to rS ¼ r0 exp ða ' r Þ ð11:86Þ
dp ¼ '2 dr h
h
where s ¼ lp if lp\k; and s ¼ k if lp . k: Now let us find the solution for the sticking zone. For the
Suppose, rS is the radius measured from the neutral axis, sticking zone, by substituting (11.106b) into (11.84) and then
i.e. centreline ðr ¼ 0Þ of the work-piece, at which the tran- integrating both sides, we get
Z Z Z
sition from sticking to sliding occurs. Hence, frictional con- % & 2k 2r0
dpSticking 0 to rS ¼ ' dr ¼ ' pffiffi dr
dition at the die–job interface will be such that Coulomb’s hZ 3h
sliding friction prevails from r ¼ a to r ¼ rS , and full 2r0
¼ ' pffiffi dr
sticking friction occurs from r ¼ rS to r ¼ 0 around the 3h
centreline. This can be expressed mathematically as follows: pffiffi
where k ¼ r0 = 3; according to Von Mises’ yielding
For rS ! r ! a; s ¼ lp ð11:106aÞ criterion.
For 0 ! r ! rS ; s¼k ð11:106bÞ % & 2r0
) pSticking 0 to rS ¼ ' pffiffi r þ C3 ð11:107Þ
3h
For the sliding zone, substitution of (11.106a) into
(11.84) and then integration will ultimately result in the where C3 is the integration constant, which can be evaluated
solution same as that of (11.86), because the boundary from the boundary condition of the sticking zone that
condition for evaluation of the integration constant is the extends from r ¼ 0 to r ¼ rS around the neutral axis. At the
same. Only the validity range of (11.86) is different, which boundary of r ¼ rS ,
varies from r ¼ a to r ¼ rS ; instead of r ¼ a to r ¼ 0: The r0 r0
variations of the normal forging pressures for conditions of sr¼rS ¼ lðpC:F: Þr¼rS ¼ k¼ pffiffi ; or, ðpC:F: Þr¼rS ¼ pffiffi
3 3l
Coulomb’s sliding and full sticking are drawn in the same
ð11:108Þ
plot over the total diameter 2a (or D) of the disk as shown in
504 11 Forging

Again since at the distance r ¼ rS ; ðpC:F: Þr¼rS ¼ We can obtain the minimum and maximum values of
% & ðpSticking Þ0 to rS from (11.112) when Coulomb coefficient of
pSticking r¼rS ; then substitution of (11.108) into (11.107)
sliding friction l reaches a maximum value under sticking
gives the value of C3 ; this is:
frictional condition, where the minimum value of interface
! "
r0 1 2 normal pressure is considered as pmin ¼ r0 . According to
C3 ¼ pffiffi þ rS ð11:109Þ Von Mises’ yielding criterion, this maximum value of l is
3 l h pffiffi
lmax ¼ 1= 3 [see (10.25)]. Hence, substitution of r ¼ a,
Substituting the value of C3 from (11.109) into (11.107), and r ¼ 0, into (11.112) gives, respectively, the minimum
we get the normal forging pressure for sticking friction and maximum values of ðpSticking Þ0 to rS as
condition from r ¼ 0 to r ¼ rS as
" ( )#
* + h% & i r0 1 1
% & r0 1 2 pSticking ¼ p ffi ffi p ffi ffi 1 ' ln pffi ffi % p ffi ffi &
pSticking 0 to rS ¼ pffiffi þ ðrS ' r Þ ð11:110Þ 0 to rS Minimum
3 1= 3 3 & 1= 3
3 l h
¼ r0
Again, substitution of (11.108) into (11.86) for ðpC:F: Þr¼rS
ð11:113Þ
at r ¼ rS ; gives a solution for the location of the boundary
" ( ) #
between slipping friction and sticking friction, which is h% & i r0 1 1 2a
derived below. pSticking 0 to rS Maximum
¼ pffiffi pffiffi 1 ' ln pffiffi % pffiffi & þ
3 1= 3 3 & 1= 3 h
( ) * +
r0 2l 2a
¼ r0 1 þ pffiffi
pffiffi ¼ r0 exp ða ' rS Þ ; 3h
3l h
ð11:114Þ
2l 1
Or, ða ' rS Þ ¼ ln pffiffi ;
h 3l
h 1 These minimum and maximum values given by (11.113)
) rS ¼ a ' ln pffiffi ð11:111Þ
2l 3l and (11.114) are shown in Fig. 11.36.
Substituting the value of rS ; from (11.111) into (11.110),
we get
11.9.3.1 Average Pressure and Total Load
* +
% & r0 1 2a 1 1 2r For Coulomb’s sliding friction from r ¼ a to r ¼ rS around
pSticking 0 to rS ¼ pffiffi þ ' ln pffiffi '
3 l h l 3l h the centreline of the disk, the average normal forging pres-
* ! " +
r0 1 1 2 ða ' r Þ sure, ð!pC:F: Þa to rS ; is obtained from (11.86) as follows:
¼ pffiffi 1 ' ln pffiffi þ ð11:112Þ
3 l 3l h

( )
Ra Ra 2l
ðpC:F: Þa to rS 2pr dr 2pr0 rS exp ða ' r Þ rdx
rS h
ð!pC:F: Þa to rS ¼ Ra ¼ % &
p a2 ' rS2
2pr dr
rS
. Z ( ) Z * Z ( ) + /a
2r0 2l d 2l
¼ 2 r exp ða ' r Þ dr ' r exp ða ' r Þ dr dr
a ' rS2 h dr h rS
"! " ( ) ! "2 ( )#a
2r0 rh 2l h 2l
¼ 2 ' exp ða ' r Þ ' ' exp ða ' rÞ
a ' rS2 2l h 2l h
rS
*! " ! " ( )
2r0 ah rS h 2l
¼ 2 ' ' ' exp ða ' rS Þ
a ' rS2 2l 2l h
! "2 ! "2 ( )#
h h 2l
' þ exp ða ' rS Þ
2l 2l h
! "2 * ( ) ( )+
2r0 h 2la 2lrS 2l 2l
¼ 2 ' þ exp ð a ' r S Þ ' 1 þ exp ð a ' rS Þ
a ' rS2 2l h h h h
! " 2 *! " ( ) +
r0 h 2lrS 2l 2la
¼ % 2 & þ 1 exp ða ' rS Þ ' '1 ð11:115Þ
2 a ' rS2 l h h h
11.9 Forging of Flat Circular Disk 505

For sticking friction from r ¼ 0 to r ¼ rS around the • If rS ! 0; the Coulomb’s sliding friction exists over the
centreline of the disk, the average normal forging pressure, entire interface of the circular disk of radius a and the
pSticking Þ0 to rS ; is obtained from (11.110) as follows:
ð! dies, i.e. from the centre line, where r ¼ 0; to the outer
R rS % & periphery, where r ¼ a: In such cases, forging load is to
% & 2p 0 pSticking 0 to rS rdr be evaluated from (11.91).
pSticking
! ¼ Rr
0 to rS
2p 0 S rdr • If rS ¼ a; the full sticking friction exists over the entire
* +r interface of the circular disk of radius a and the dies, i.e.
2r0 r 2 2rS r 2 2 r 3 S
¼ pffiffi 2 þ ' from r ¼ 0 (centre line) to r ¼ a (outer periphery). In
3 rS 2l h 2 h3 0
such cases, forging load is to be calculated from
* + * +
2r0 r 2 r 3 2r 3 r0 1 2rS (11.105).
¼ pffiffi 2 S þ S ' S ¼ pffiffi þ
3 rS 2l h 3h 3 l 3h • If a [ rS [ 0; the mixed sticking–sliding friction condi-
ð11:116Þ tions prevail at the interface of the circular disk of radius
a and the dies, i.e. full sticking friction occurs around the
Now the total forging load, PTotal ; can be found from the neutral axis from r ¼ 0 (centre line) to r ¼ rS (sticking–
summation of the forging load for Coulomb’s sliding fric- sliding boundary) and sliding friction exists around the
tion, ðPC:F: Þa to rS ; over an area around the centreline from the neutral axis from r ¼ a (outer periphery) to r ¼ rS
outer periphery of the circular disk to the transition boundary (sliding–sticking boundary). In such cases, forging load
of sliding to sticking and the forging load for sticking fric- is to be determined from (11.117).
tion, ðPSticking Þ0 to rS ; over an area around the centreline from
the neutral axis (centre line) of the disk to the transition However, if the value of shear friction factor m at the
boundary of sticking to sliding. Therefore, considering mean interface is available, it is not required to calculate the value
normal forging pressure for sliding ð! pC:F: Þa to rS given by of rS to determine average pressure, total load, distributions
(11.115) and that for sticking ð! pSticking Þ0 to rS given by of pressure and longitudinal stress. Hence, (11.103) can be
(11.116), we get used to calculate the forging load.
% &
PTotal ¼ ðPC:F: Þa to rS þ PSticking 0 to rS
% & % &
pC:F: Þa to rS &p a2 ' rS2 þ !pSticking 0 to rS &prS2
¼ ð!
11.10 Forging of Circular Disk by Conical
! " *! " ( ) + Pointed Dies
r0 p h 2 2lrS 2l 2la
¼ þ 1 exp ða ' rS Þ ' '1
2 l h h h Let us consider the press forging of a circular disk whose top
* +
r0 prS2 1 2rS and bottom faces are of conical shapes and which has a
þ pffiffi þ
3 l 3h vertical as well as a horizontal plane of symmetry. The
ð11:117Þ circular disk is being press forged in axial (vertical) direction
with conical pointed dies whose top and bottom faces are of
Now we can substitute the value of rS , from (11.111) into conical shapes. The apices of the conical forging dies form
(11.117) to obtain the total forging load, PTotal , for mixed an angle a with the horizontal direction and lie along the
sliding–sticking conditions prevailing at the interface of the vertical centre-line of the dies and of the circular disk, as
dies and the circular disk. shown in Fig. 11.37a. The radius of the circular disk is R0
and the height at its mid-section, i.e. along the vertical
centre-line of the dies is h0 : The height of the disk increases
11.9.4 Selection of Proper Equation for Forging uniformly from its vertical centreline (mid-section) to its
Load periphery. On the disk, the conical pointed dies exert a
pressure p normal to the die–job interface, which will be
If the coefficient of friction l at the interface is given for called the die pressure. The uniaxial flow stress or defor-
forging of a circular disk, then to select proper equations for mation resistance of the material of the disk is assumed to be
determinations of average pressure, total load, distributions r0 : The vertical centreline of the circular disk defines its
of pressure and longitudinal stress, the value of rS has to be neutral axis, where the material is stationary but the material
first evaluated using (11.111) to know the frictional condi- flows outward from this neutral line in the radial direction
tions at the interface. Depending on the value of rS ; there when the disk is being forged with the dies. Outward radial
may be three different conditions of friction at the interface flow of the material during the process of its compression
of the dies and the circular disk, which are as follows: leads to tangential shearing frictional stresses at the die–job
506 11 Forging

σθ
(a) (b) p
F
Neutral
axis σr + dσr
E
Neutral
axis
µp
σr
Conical die P
dθ D
µP C
α
h h0 Job segment h h + dh
h0 R0 σr σr dσr h+dh
r dr
α A
Job B
µP
r dr
Conical die P
R0
r=0 r=0 σθ

σθ
(c) (d) σθ
P
F

E Radial
µp dθ
direction
Slab element
H σr + dσr
G 90º – (dθ /2 )

σr σθ
D
C µp
h
h + dh

A B

P
σθ

Fig. 11.37 a Conical pointed dies and circular disk having conical disk with conical faces showing stresses acting on the slab element.
end faces, along with slab element showing stresses except the c Only slab element with its geometry and stresses acting on it. d Angle
circumferential stress, acting on it. b Segment of the forged circular formed by the circumferential stress rh with the radial direction

contact surfaces. Hence, friction stress opposing the outward
radial flow will always act towards the centre of the circular
disk. The frictional shear stress, s; leads to radial stress, rr ;
and circumferential stress, rh ; in the material. To make the
analysis simpler, the following assumptions are made:
(i) Homogeneous deformation is assumed, i.e., plane
vertical section before forging remains plane during
and after forging and hence, internal redundant
deformation is neglected.
(ii) Strain hardening of the work-piece is neglected, i.e.,
the flow stress or deformation resistance of the
material being forged is assumed to remain constant.
(iii) It is assumed that Coulomb’s law of sliding friction
holds good at the contact surface between the conical
pointed dies and the circular disk. In other words,
s ¼ lp; where s is the tangential frictional shear stress
at the contact surface, l is the coefficient of friction
and p is the die pressure on the work piece normal to
the contact surface.
(iv) The coefficient of friction, l; is constant over the
whole surface of contact and assumed to be low.
(v) The angle a formed by the apices of the dies with the
horizontal direction is assumed to be lower than or
equal to the angle of interface friction, i.e.
a ! tan'1 l:
11.10 Forging of Circular Disk by Conical Pointed Dies 507

(vi) Since the height of the work-piece is small, so it can in (11.119), we get
be assumed that the die pressure p remains constant
through the height of the work-piece σ r rdθ h + σ r drdθ h + σ r rdθ dh + σ r drdθ dh + dσ r rdθ h
(vii) The radial stress rr and circumferential stress rh are + dσ r drdθ h + dσ r rdθ dh + dσ r drdθ dh − σ r rdθ h + 2µ prdθ dr
considered to be the principal stresses. dθ dθ dh
− 2 p tan α rdθ dr − 2σ r drh − 2σ r dr =0
2 2 2
Let us consider a slab element with thickness dr and
height varying from h to h þ dh; within the circular disk As dh 6¼ 0; so dividing the above equation by dh, we get
being forged, as shown in Fig. 11.37a, b. According to rr rdh þ rr drdh þ drr rh þ drr drh þ drr rdh þ drr drdh
free-body equilibrium approach, the radial stresses acting on þ 2lprdr ' 2p tan ardr ' rr dr ðdh=2Þ ¼ 0
the slab element are, respectively, rr and rr þ drr at an
arbitrary radial distances r and r þ dr; from the vertical ð11:120Þ
centre-line of the circular disk, which is taken as r ¼ 0: The The terms rr drdh; drr drh; drr rdh; drr drdh and rr drðdh=2Þ
radial and circumferential stresses along with the die pres- can be neglected from the above (11.120), because they are
sure p and friction stress lp acting on the slab element are the products of very small quantities. So, (11.120) can be
shown in Fig. 11.37b–c. This slab element makes an angle rewritten as
dh at the centre of the disk, as shown in Fig. 11.37b.
Let the vertical pressure exerted by the conical pointed dies rr rdh þ drr rh þ 2lprdr ' 2p tan ardr ¼ 0;
on the circular disk is pv : The vertical pressure pv is assumed As r 6¼ 0; so dividing the above equation by r, we get
to be uniform throughout a transverse section and considered
as a principal stress. Hence, the vertical equilibrium of forces rr dh þ hdrr þ 2lpdr ' 2p tan adr ¼ 0 ð11:121Þ
for the slab element of the work-piece is given by
With reference to Fig. 11.37a,
dr dr
pv r dh dr ¼ p cos ar dh þ lp sin ar dh ; ðh ' h0 Þ=2
cos a cos a ¼ tan a; or; h ¼ h0 þ 2r tan a ð11:122aÞ
Or, pv ¼ p þ lp tan a ð11:118Þ r
Since h0 ¼ constant and for a given (constant) apex cone
Since l and a are small, lp tan a can be neglected and
angle a of the die; differentiating (11.122a), we get
from (11.118), it can be written as pv - p: Hence, p can be
considered as the principal stress. dh ¼ 2 tan adr ð11:122bÞ
Referring to Fig. 11.37b, c, AC ¼ GE ¼ h ¼ an arbitrary
height of disk at any radial distance, r; and BD ¼ FH ¼ Substituting for h and dh from (11.122a) and (11.122b)
h þ dh ¼ an arbitrary height of disk at any radial distance, into (11.121), we get
r þ dr, from the neutral axis of the disk, i.e. r ¼ 0:
With reference to Fig. 11.37b–d, taking equilibrium of rr 2 tan adr þ ðh0 þ 2r tan aÞdrr þ 2lpdr ' 2p tan adr ¼ 0
forces in the radial direction for the slab element: ð11:123Þ

ðrr þ drr Þðarea BDFHÞ ' rr ðarea ACEGÞ Consider the die pressure p as the principal stress r1 , the
þ 2lp cos aðarea CDFE or ABHGÞ radial stress rr as the principal stress r2 ; and the circum-
' 2p sin aðarea CDFE or ABHGÞ ferential stress rh as the principal stress r3 ; where rr ¼ rh ;
! "
1 dh (already shown earlier). All stresses are compressive in
' 2rh cos 90 ' ðarea ABDC or GHFEÞ ¼ 0;
2 nature as shown in Fig. 11.37b–c and consider the com-
Or; ðrr þ drr Þfðr þ drÞdh ðh þ dhÞg pressive stresses to be positive. Then the Von Mises’
! "
dr yielding criterion, as given by (1.64), becomes:
' rr ðrdh hÞ þ 2lp cos a rdh
! " cos a ! " qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi
dr dh h þ h þ dh ðp ' rr Þ2 þ f'ðp ' rr Þg2 ¼ 2 r0 ;
' 2p sin a rdh ' 2rh sin dr ¼0
cos a 2 2
since r2 ¼ rr ¼ rh ¼ r3 :
ð11:119Þ
Or, p ' rr ¼ r0 ð11:124Þ
From the axial symmetry of the disk, since change in the
circumferential strain ¼ deh ¼ de3 ¼ de2 ¼ der ¼ change in where r0 ¼ the uniaxial compressive flow stress of the
the radial strain, so from (11.81a), it can be written that material in homogeneous strain condition. Since
circumferential stress rh ¼ radial stress rr : For very small r0 ¼ constant, so from (11.124), we get drr ¼ dp: Making
angle, assuming sinðdh=2Þ - dh=2 and substituting rh ¼ rr this substitution into (11.123), we get
508 11 Forging

ðp ' r0 Þ2 tan adr þ ðh0 þ 2r tan aÞdp normal to the conical surfaces makes an angle equal to the
þ 2lpdr ' 2p tan adr ¼ 0; angle of friction f with the vertical axis of the circular disk,
Or; ðh0 þ 2r tan aÞdp ¼ 2ðr0 tan a ' lpÞdr; i.e. if a ¼ f ¼ tan'1 l; or l ¼ tan a; then (11.126) reduces to
Z Z
dp dr p=r0 ¼ 1; or; p ¼ r0 ð11:127Þ
) ¼2 ;
r0 tan a ' lp h0 þ 2r tan a
! "
1 1 Equation (11.127) shows that the effect of friction is
Or; ' lnðr0 tan a ' lpÞ ¼ 2 lnðh0 þ 2r tan aÞ þ ln C;
l 2 tan a vanished, and the forging die pressure is equal to the uni-
axial compressive flow stress of the material. This is true for
where ln C ¼ constant of integration. a frictionless ideal homogeneous compressive deformation,
( )'l where the specific die pressure p must be equal to the flow
1 stress of the material since the friction is neglected. In case
Or, lnðr0 tan a ' lpÞ ¼ ln ðh0 þ 2r tan aÞ tan a C ;
of compression of cylindrical work-piece having plane end
l faces with flat dies, the friction force acting inwards resists
Or, r0 tan a ' lp ¼ ðh0 þ 2r tan aÞ'tan a A
the lateral outward flow of material at both ends of
ð11:125Þ work-piece which are in contact with the surfaces of dies and
thus, barrelling is developed in the work-piece because there
where A ¼ C 'l ; and A can be evaluated from the following
will be unhindered lateral expansion at its central portion.
boundary condition:
But if a cylindrical work-piece having conical ends, with
Since at the outer free surface of the disk, i.e. at r ¼
a ¼ f (angle of friction), is compressed with conical
R0 ; rr ¼ 0; so from (11.124), we get p ¼ r0 : Substitution of
pointed dies, the material at both ends of the work-piece will
p ¼ r0 into (11.125) gives the value of A as
be subjected to a simple or homogeneous compression, i.e. a
r0 tan a ' lr0 uniaxial state of compression with no frictional effect. As a
A¼ l ; result, there will be unhindered lateral uniform expansion
'
ðh0 þ 2R0 tan aÞ tan a throughout the height of the work-piece during its com-
pression and barrelling of the work-piece will be completely
Substituting the value of A into (11.125), we get eliminated.

l
' r0 ðtan a ' lÞ
r0 tan a ' lp ¼ ðh0 þ 2r tan aÞ tan a l ;
'
ðh0 þ 2R0 tan aÞ tan a
2 3
( ! "0 ! " )' l
6 r R0 tan a 7;
Or; lp ¼ r0 4tan a ' ðtan a ' lÞ h0 1 þ 2 tan a h0 1 þ 2 tan a 5
h0 h0

! "* + l
p tan a tan a 1 þ 2ðr=h0 Þ tan a ' tan a
) ¼ ' '1 ð11:126aÞ
r0 l l 1 þ 2ðR0 =h0 Þ tan a

If the diameter of the circular disk is D0 ; i.e. D0 ¼ 2R0 ;

then 11.11 Forging Defects
! "* + l Improper forging produces forging defects such as laps,
p tan a tan a 1 þ 2ðR0 =h0 Þ ðr=R0 Þ tan a ' tan a
¼ ' '1 cracks, seams, and improper heating and cooling of the
r0 l l 1 þ 2ðR0 =h0 Þ tan a
forging stocks produce forging defects such as warping
! "* + l
tan a tan a 1 þ ðD0 =h0 Þðr=R0 Þ tan a ' tan a and cracking of components, decarburization of steel
¼ ' '1 caused by contact of the heated steel with the atmosphere.
l l 1 þ ðD0 =h0 Þ tan a
ð11:126bÞ Apart from the development of such defects, forging
defects may also be caused due to poor quality of forging
If the conical contact surfaces between the circular disk stock, the source of which is the defects caused by faulty
and the conical pointed dies are shaped in such a way that the melting practice and ingot defects. Defects resulting from
11.11 Forging Defects
imperfect melting practice such as dirt, slag or impurities
separated from the solid solution in the melting process,
pin holes and blow holes caused by liberation of gasses
during solidification of ingots from molten state, etc., may
lead to forging defects. Further, ingot defects like pipes,
i.e. opening at the centre of the ingot, cracks, scabs or bad
surfaces, segregation, i.e. uneven concentration of elements
contained in the material, etc., may be one of the reasons
for the occurrence of forging defects. Most commonly
observed forging defects resulting from improper forging
and improper heating and cooling of the forging stocks are
described below:
(1) Incomplete forging penetration
When light, rapid hammer blows are used to deform
work-pieces of large cross section, deformation primarily
occurs in the surface layers and does not penetrate up to the
centre. As a result, a large cast ingot after rapid forging by
light hammer at high temperature will show a hot-worked
structure at the outside surfaces but the interior will be still
as cast showing dendritic ingot structure, which has not been
broken down by light rapid hammering. Thus, incomplete
forging penetration, which can readily be detected by
macroetching a cross section of the forging, results in an
inhomogeneous structure and non-uniform distribution of
mechanical properties from the outside layers to the centre.
To minimize incomplete forging penetration, work-pieces of
large cross section are usually forged using a forging press.
(2) Surface cracking
Surface cracking can occur due to high thermal gradients
between surface and centre, or when the surface of the
work-piece is excessively deformed at too low a tempera-
ture. The other reason for surface cracking is hot shortness
that can be produced in nickel and steel by a high sulphur
concentration in the furnace atmosphere.
Fig. 11.38 a Cracking at the (a)
flash. b Internal cracks due to
secondary tensile stresses
509
(3) Flash cracking
Cracking at the flash of closed-die forgings sometimes pro-
duces a surface defect since the crack generally penetrates
from the root of the flash into the body of the forging during
the trimming operation of the flash, as shown in Fig. 11.38a.
This type of cracking becomes more common if the ratio of
the flash thickness to the original thickness of the work-piece
decreases, because the thinner the flash the greater will be the
resistance to deformation and the higher will be the die
pressure in the flash area. Any one of the following measures
may be adopted to avoid the flash cracking.
• Increase the ratio of the flash thickness to the original
thickness of the work-piece.
• Relocate the flash to a less crucial zone of the forging.
• Perform hot trimming of the flash, because higher tem-
perature relieves the stress.
• Apply a stress relief annealing treatment to the forging,
before the flash is cold trimmed off.
(4) Internal cracks
Internal cracks are generally observed in open-die forging,
where high friction at the unlubricated or insufficiently
lubricated interface may produce barrelling in the forgings.
This barrelling can introduce secondary circumferential
tensile stresses, which can develop internal cracks (Semiatin
1984) during open upsetting of a cylindrical or a round
work-piece, as shown in Fig. 11.38b. However, this type of
cracking can be minimized by proper die design. Concave
dies are usually employed in practice in order to minimize
barrelling during open upsetting and the development of
circumferential tensile stresses. To avoid barrelling in
open-die forging, one may also use conical pointed dies
inclined to the horizontal direction with a specific cone angle
equal to the angle of friction, as discussed in Sect. 11.10.
Internal cracking is less likely to occur in closed-die forging
(b)
Flash
510
because the application of lateral compressive stress by the
die wall on the work-piece closes the crack.
(5) Lap, cold shut or fold
A common surface defect observed in closed-die forgings is
cold shut or fold. The term cold shut is often applied in
association with lap. Lap, cold shut or fold appears as a
sharp, elongated surface discontinuity. It is related to flow of
material, which is affected by the workability of the material,
the details of part and die design. A cold shut is produced by
folding over of some excess metal from prior forging steps at
the surface of forging or folding of material back onto its
own surface during its flow in a partly filled-up die cavity.
These folds are forged into the surface of forging but are not
welded completely to form metallurgical bonding with the
surface because of the oxide present between the surfaces.
As the folds do not combine with the surface of forging
smoothly, a boundary layer forms at their intersection, which
is called cold shut or lap. This flaw may result when a
work-piece fails to fill the die cavity during forging, or when
materials with different temperatures flow and meet, or when
the sequence of filling the die progresses improperly. The
above can happen due to any of the following reasons:
• Flow of material around a sharp die corner, as in the case
of a lower rib or an upper rib;
• Reversal in flow direction of material;
• Excessive chilling of the material;
• High friction at the interface between the work-piece and
the dies.
A common thumb rule is to maintain the flow of material
in the same direction. The die corner radius must be as high
as possible to avoid cold shuts. Figure 11.39 shows
schematically the formation of a lap caused by flow of
material around a sharp die corner.
Fig. 11.39 Lap formation in a Curve of natural metal flow
rib–web forging caused by
improper radius in the perform
die
Reverse flow causes fold to from
11 Forging
Sometimes, buckling of thin web during forging forms lap
in the finished part, which may be avoided by increasing the
thickness of web. For a given geometry of tooling in open-die
forging operation, a critical deformation may produce surface
laps at the step that separates the deformed from the unde-
formed segment of the work-piece, because only that portion
of the surface under the bite is being forged at any instant.
Lap is caused by folding a fin to the surface and squeezing it
in—without welding completely. To prevent formation of
laps in open-die forging, the ratio of initial to final thickness
of forgings must not exceed 1.3 (Wistreich and Shutt 1959).
(6) Seams
Seams are elongated surface discontinuity. The crevices in the
surface of the material which have been closed by working
but not welded are seams. Seams can originate from a large
number of sources. They can result from cracks formed by
previous working operation or from a defect in the ingot
surface, such as an oxidized hole. During forging, the hole
cannot weld and is simply elongated producing a crack-like
seam in the surface of work-piece. They can also develop
from trapped gas pockets, a heavy cluster of non-metallic
inclusions, or a deep lap that intersects the surface at a large
angle. They hardly penetrate to the interior of the stock. They
may look like scratches in the forging and are normally so
tightly closed that it is difficult to detect them visually without
some non-destructive inspection techniques such as
magna-flux test. Seams must completely be removed from
forging stocks; otherwise, they may cause further cracking in
hot forging and quench cracking during heat treatment.
(7) Miscellaneous defects
These include underfill, forged-in scale, warping and
cracking. Underfill is caused by the pockets of scale or
lubricant that are formed by accumulation of loose scale or
Reverse flow
Forward flow
Reverse flow
Lap formed
11.11 Forging Defects 511

Fig. 11.40 Flow lines in a 11.12 Solved Problems

forged part

11.12.1. A solid circular flat disk of lead with initial diameter

of 300 mm and thickness of 50 mm is homogeneously press
forged between flat dies to a final thickness of 25 mm. The
average shear yield stress of lead is 4 MPa. Determine the
total load required to complete the forging operation when
the coefficient of friction is: (a) 0.25 and (b) 0.05.

lubricant residue in deep recesses of the die. There are many
reasons for underfill. These include less amount of initial
material in the work piece, insufficient preheat temperature,
insufficient forging pressure, improper sequence of filling the
material in the die and excessive chilling of die. Forged-in
scale on the finished part develops due to incomplete
removal of scale from the work-piece and the die surface.
Non-uniform heating and cooling of forgings, such as faster
cooling of thinner sections than the rest of the forging can
cause the development of thermal stress leading to warping
or cracking of a forged component. Further, crack can
develop due to poor die design, excessive material in the
work piece or improper stress distribution in the part.
Solution
Given that the shearing yield stress of lead is k ¼ 4 MPa ¼
pffiffi
4N=mm2 ; * k ¼ r0 = 3; where r0 is the uniaxial flow stress,
pffiffi pffiffi
then r0 ¼ 3k ¼ 4 3N=mm2 :
It is further given that the initial radius of a circular flat
disk is a0 ¼ 150 mm ; the initial thickness is h0 ¼ 50 mm
and after forging the final thickness is h ¼ 25 mm : Since
the volume remains constant, the final radius of the disk is:
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
pð150Þ2 50
a¼ mm ¼ 212 mm:
25p
(a) Coefficient of friction is l ¼ 0:25:
According to (11.111), the radius of sticking zone measured
from the centre-line of the disk is:

(8) Fibre structure h 1 25 1

rS ¼ a ' ln pffiffi ¼ 212 ' ln pffiffi mm
2l 3l 2 & 0:25 3 & 0:25
Forging deformation produces a certain degree of direc- ¼ 170 mm:
tionality to the microstructure in which structural disconti-
nuities such as inclusions, cavities, segregation and second Since a [ rS [ 0; so the mixed sliding–sticking friction
phase constituents are oriented parallel to the longitudinal condition prevails at the interface of the circular disk of radius
(main) direction of mechanical working, which is the a ¼ 212 mm and the dies, i.e. full sticking friction occurs
direction of maximum strain. This preferred alignment gives around the neutral axis from r ¼ 0 (centre line) to rS ¼
rise to the fibre structure or flow lines, which can be viewed 170 mm (sticking–sliding boundary), from where Coulomb’s
at low magnification after etching the wrought product. Flow sliding friction exists up to a ¼ 212 mm (outer periphery).
lines for a forged part are shown in Fig. 11.40. It is some- Hence, the total forging load according to (11.117) is:
times desirable to determine whether or not a finished part ! " *! " ( ) +
r0 p h 2 2lrS 2l 2la
has been forged, machined or cast into shape, and to note the PTotal ¼ þ 1 exp ða ' rS Þ ' '1
2 l h h h
direction of metal flow, if it was forged. The appearance of * +
flow lines is the characteristic of wrought products, espe- r0 prS2 1 2rS
þ pffiffi þ
cially of all forgings, whereas machined or cast parts do not 3 l 3h
pffiffi ! " *! "
show flow lines. Hence, the fibre structure is not considered p 4 3 25 2 2 & 0:25 & 170
¼ þ1
to be a defect of wrought product. However, as mentioned in 2 0:25 25
( ) +
Sect. 10.7 of Chap. 10, the fibre structure results in lower 2 & 0:25 2 & 0:25 & 212
exp ð212 ' 170Þ ' '1 N
tensile ductility, impact and fatigue properties in the trans- 25 25
verse direction, which is normal to the longitudinal (fibre) pffiffi 2! "
p 4 3ð170Þ 1 2 & 170
direction. To obtain an optimum balance between the lon- þ pffiffi þ N
3 0:25 3 & 25
gitudinal and transverse ductility, it is often necessary to
¼ ð538917:66 þ 3099034:54ÞN ¼ 3637952:2 N
restrict the extent of deformation ranging from 50 to roughly
¼ 3:64 MN:
70% reduction in cross-sectional area.
512 11 Forging

(b) Coefficient of friction is l ¼ 0:05: stant after forging at the value of 200 mm, so the deforma-
tion is plane strain.
According to (11.111), the radius of sticking zone measured The true strain corresponding to the given increase in
from the centre-line of the disk is: length of the plate from 50 mm to 100 mm is:
e1 ¼ lnð100=50Þ ¼ 0:69:
h 1 Hence, the mean flow stress between initial strain of 0
rS ¼ a ' ln pffiffi
2l 3l and strain after deformation, e1 ¼ 0:69; is:
! "
25 1 R e1
¼ 212 ' ln pffiffi mm r0 de
2 & 0:05 3 & 0:05 !0 ¼ R0 e1
r
¼ ð212 ' 611:6Þmm ¼ '399:6 mm: 0 ede
R 0:69
ð70 þ 30e0:33 Þde
Since rS \0; so the Coulomb’s sliding friction exists over ¼ 0 R 0:69 MPa
the entire interface, i.e. from r ¼ 0 (centre line) to the outer 0 ede
periphery of the circular disk, i.e. radius a ¼ 212 mm: 70 & 0:69 30 & ð0:69Þ0:33 þ 1
¼ þ MPa
Hence, the total forging load due to Coulomb’s friction 0:69 0:69 & ð0:33 þ 1Þ
according to (11.91) is: 30
¼ 70 þ ð0:69Þ0:33 MPa
! " * ! " + 1:33
pr0 h 2 2la 2la
PC:F: ¼ exp ' '1 ¼ 89:96 MPa or N/mm2 :
2 l h h
pffiffi ! "2 pffiffi
p 4 3 25 * r00 ¼ ð2!
r0 Þ= 3; where r00 is the mean flow stress in
¼ pffiffi
2 0:05 plane strain condition, then r00 ¼ ð2 & 89:96Þ= 3 N=mm2 ¼
* ! " + 103:87 N=mm2 :
2 & 0:05 & 212 2 & 0:05 & 212
exp ' '1 N
25 25
(a) Coefficient of friction is l ¼ 0:3:
¼ 1324904:89 N
¼ 1:325 MN: According to (11.54), the distance measured on each side
from the neutral surface (centre line) of the plate, at x ¼ 0 ;
up to which sticking friction occurs is:
11.12.2. A plate of copper with an initial size of 20 mm &
50 mm & 200 mm is homogeneously press forged between h 1
xS ¼ a ' ln
flat dies to final dimensions of 10 mm & 100 mm & 200 mm: 2l 2l
The flow curve of copper is described by the Ludwik equation 10 1
¼ 50 ' ln mm ¼ 41:5 mm:
of the form r0 ðMPaÞ ¼ 70 þ 30e0:33 : Determine the total load 2 & 0:3 2 & 0:3
required to complete the forging operation when the coeffi- Since a [ xS [ 0; so the mixed sliding–sticking friction
cient of friction is: ðaÞ 0:3; and ðbÞ 0:5 : condition prevails at the interface of the plate of length 2a ¼
Solution 100 mm and the dies, i.e. full sticking friction occurs on each
side of the neutral surface from x ¼ 0 (centre line) to xS ¼
Given that after the forging operation, the final thickness of 41:5 mm (sticking–sliding boundary), from where Cou-
the plate is h ¼ 10 mm; and the total length of forged area is lomb’s sliding friction exists on each side of the neutral
L ¼ 2a ¼ 100 mm; i.e. the forged semilength is a ¼ surface up to a ¼ 50 mm (outer edge). Hence, the total
50 mm: Since the initial width w of the plate remains con- forging load according to (11.63) is:

*( ! ") ! "( ! " )+

h 1 h 1 1 1 1 a
PTotal ¼ r00 w '1 þ a ' ln 1 ' ln þ
l 2l 2l 2l l 2 2l h
¼ 103:87 & 200
*( ! ") ! "( ! " )+
10 1 10 1 1 1 1 50
& '1 þ 50 ' ln 1 ' ln þ N
0:3 2 & 0:3 2 & 0:3 2 & 0:3 0:3 2 2 & 0:3 10
¼ 6909858:17 N ¼ 6:91 MN:
11.12 Solved Problems 513

(b) Coefficient of friction is l ¼ 0:5: Since the width of the strip does not change after forging,
so the deformation is plane strain. It is further given that the
According to (11.54), the distance measured on each side homogeneous uniaxial average deformation resistance of
1
from the neutral surface (centre line) of the plate, at x ¼ 0; steel is r0 ¼ 250 MPa ¼ 250 N mm2 , and the coefficient of
up to which sticking friction occurs is: friction at the strip–platen interface is l ¼ 0:1 : Hence, the
average deformation resistance of steel in plane strain con-
h 1 10 1 pffiffi , pffiffi - 1
xS ¼ a ' ln ¼ 50 ' ln mm ¼ 50 mm: dition is r00 ¼ 2 r0 = 3 ¼ ð2 & 250Þ= 3 N mm2 : The
2l 2l 2 & 0:5 2 & 0:5
analysis of the problem is based on the assumption that
Since xS ¼ a; the full sticking friction exists over the entire a\ tan'1 l; which is true in the present problem because
interface of the plate of forged length L ¼ 2a ¼ 100 mm and tan'1 l ¼ tan'1 ð0:1Þ ¼ 5:711 :
the dies, i.e. from x ¼ 0 (centre line) to x ¼ a (outer edge) on It is known that the peak forging pressure occurs at the
each side of the neutral surface. Hence, the total forging load neutral plane. According to (11.77), the strip thickness at the
due to sticking friction according to (11.46) is: neutral plane is:
* +
0 L 8 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 9 1
PSticking ¼ r0 Lw 1 þ <2hB þ 4h2B ' 4ð1 ' B2 Þðh1 h2 ÞB =B
4h 1 1
* + hNS ¼
100 : 2ð 1 þ BÞ ;
¼ 103:87 & 100 & 200 & 1 þ N
4 & 10
¼ 7270900 N ¼ 7:3 MN: where B ¼ l cot a ¼ 0:1 & cotð2:861 Þ ¼ 2:

8 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi91
11.12.3. An infinitely wide strip of steel varying in thickness <2 & 202 þ 4 & 202&2 ' 4 & ð1 ' 22 Þð20 & 100Þ2 =2
)hNS ¼ mm
linearly from 20 mm to 100 mm over its length of 800 mm is : 2ð1 þ 2Þ ;
homogeneously press forged between inclined platens.
¼ 36 mm:
Assume that both contact surfaces of the strip are inclined at
the same angle with the horizontal axial plane of symmetry of
the strip and Coulomb’s law of sliding friction holds good at (a) If p þ is the forging pressure towards the thinner side of
the strip–platen interface with a constant coefficient of friction the neutral surface of the strip and p' is the forging pressure
value of 0.1. If the width of the strip remains constant after towards the thicker side of the neutral surface of the strip,
þ
forging and the homogeneous uniaxial average deformation then since at the neutral plane, ppeak ¼ p' peak ; so the peak
þ '
resistance of steel is 250 MPa, compute the following: forging pressure ppeak or ppeak occurring at the neutral plane
can be obtained from either (11.74) or (11.75).
(a) Peak forging pressure at the beginning of the press According to (11.74) at the beginning of the press
forging. forging,
(b) Location at which the peak forging pressure occurs. " ! "B #
þ B þ 1 h NS 1
ppeak ¼ r00 '
B h1 B
Solution " ! " #
2 & 250 2 þ 1 36 2 1
Given that the thickness of the strip at its extreme con- ¼ pffiffi ' N=mm2 ¼ 1258 MPa
3 2 20 2
verging end is h1 ¼ 20 mm; the thickness of the plate at its
extreme diverging end is h2 ¼ 100 mm and the
deformation-zone length of the strip is L ¼ 800 mm: Since Or according to (11.75) at the beginning of the press
both surfaces of the strip are inclined at the same angle with forging,
the horizontal axial plane of symmetry of the strip, so the " ! "B #
semicone angle of both platens, i.e. the angle at which both ' 0 B'1 h2 1
p ¼ r0 þ
platens are inclined with the horizontal central plane of the B hNS B
" ! "2 #
strip will be the same and let us assume this angle to be a: 2 & 250 2 ' 1 100 1
* + * + ¼ pffiffi þ N/mm2
ðh2 ' h1 Þ=2 100 ' 20 2 36 2
Hence, a ¼ tan'1 ¼ tan'1 ¼ 3
L 2 & 800
tan'1 ð0:05Þ ¼ 2:861 ; and tan a ¼ 0:05: ¼ 1258 MPa:
514 11 Forging

(b) Location of the peak forging pressure is the location of (a) The expected maximum pressure, ðpC:F: ÞMaximum ; occurs
the neutral plane, which can be obtained from (11.78) as at the centre-plane, i.e. at the neutral plane of the rectangular
follows: section. Hence, for the maximum flow stress in plane strain
If the required location is at a distance xNS from the condition, r00max , we get from (11.27):
thinnest side of the strip, i.e. where h ¼ h1 ¼ 20 mm ; then ! "
from (11.78), 2la
ðpC:F: ÞMaximum ¼ r00max
exp
h ! "
hNS ' h1 hNS ' h1 36 ' 20 2 & 100 2 & 0:25 & 0:2
xNS ¼ ¼ ¼ mm ¼ pffiffi & exp MN=m2
ðtan a1 þ tan a2 Þ 2 tan a 2 & 0:05 3 0:4 & tan 601
¼ 160 mm; ½since tan a ¼ 0:05,: ¼ 133:4 MPa:

(b) According to (11.54), the distance measured on each side

Hence, the peak forging pressure will occur at a distance from the neutral surface (centre line) of the rectangular
160 mm away from the thinnest side, or ð800 ' 160Þmm ¼ section, at x ¼ 0; up to which sticking friction occurs is:
640 mm away from the thickest side of the strip.
h 1
11.12.4. A 1.2-m-long cylindrical bloom is required to be xS ¼ a ' ln
2l 2l
transformed into hexagonal section with approximately 0:4 & tan 601 1
0.4 m side without changing the length of the bloom in a ¼ 0:2 ' ln m
2 & 0:25 2 & 0:25
forging press. The uniaxial flow stress of the bloom is ini- ¼ 0:2 ' 0:96 m ¼ '0:76 m:
tially 70 MPa but increases to 100 MPa at the end of forging
operation. Assume the following two conditions: Since xS \0; the sliding friction exists over the entire
interface of the rectangular section with side length 2a and
(i) The coefficient of friction is 0.25 due to partial lubrication
the dies, i.e. from x ¼ 0 (centre line) to x ¼ a (outer edge)
of the bloom.
on each side of the neutral surface. Hence, the maximum
(ii) There is sticking friction due to the absence of
total forging load due to Coulomb’s sliding friction
lubrication.
according to (11.31) is:
For the above both conditions do the following:
PC:F:max ¼ mean forging pressure due to maximum flow stress
(a) Calculate the expected maximum pressure. & area at the die-job interface
(b) Evaluate the capacity of the press that would be needed.
exp½ð2laÞ=h, ' 1
¼ r00max ½ð2aÞl,
ð2laÞ=h
Solution
exp½ð2laÞ=h, ' 1
¼ r00max l
It is reasonable to assume that the load required to transform l=h
the cylindrical bloom into hexagonal section is approxi- 2 & 100
mately equal to that necessary to transform the cylindrical ¼ pffiffi & 1:2
3
bloom into rectangular section, whose side after forging is exp½ð2 & 0:25 & 0:2Þ=ð0:4 & tan 601 Þ, ' 1
2a ¼ 0:4m, and thickness is h ¼ 2a tan 601 m ¼ 0:4 & tan 601 m: & MN
0:25=ð0:4 & tan 601 Þ
Since the initial length l of the cylindrical bloom remains
unchanged after forging at the value of 1.2 m, so the forging ¼ 59:6 MN:
is performed under plane strain condition.
It is given that the uniaxial flow stress at the end of When the coefficient of friction is 0.25, the required press
forging operation, i.e. the maximum value of uniaxial flow capacity is: 59.6 MN.
stress of the bloom is r0max ¼ 100 MN=m2 ; so the maximum (ii) When there is sticking friction, then the interface friction
flow stress of the bloom in plane strain condition is: factor is m ¼ 1 :
pffiffi h pffiffi i 1 (a) The expected maximum pressure, ðpSticking ÞMaximum ;
r00max ¼ ð2r0max Þ= 3 ¼ ð2 & 100Þ= 3 MN m2 : occurring at the centre-plane, i.e. at the neutral plane of the
rectangular section, due to the maximum flow stress in plane
(i) The coefficient of friction is l ¼ 0:25: strain condition, r00max , can be obtained from (11.41):
11.12 Solved Problems 515

% & h ai Again, from given values: UA ¼ g & UT ¼ 0:4 & 50 kJ

pSticking Maximum
¼ r00max 1 þ
h* + ¼ 20 kJ ¼ 20 & 103 J
2 & 100 0:2 (a) For a working stroke distance of h ¼ 10 mm ¼ 0:01 m,
¼ pffiffi & 1 þ MN=m2
3 0:4 & tan 601 from (11.128) and given values of UA ; we get
¼ 148:8 MPa:
2Ph
UA ¼ 20 & 103 J ¼
(b) The maximum total forging load due to sticking friction ! "3
2 & 0:01 % &
according to (11.46) is: ¼P ¼ 6:67 & 10'3 P
3
h ai
PStickingmax ¼ r00max 1 þ ½ð2aÞl, 20 & 103
2h )P¼ N ¼ 3 & 106 N ¼ 3 MPa:
2 & 100
*
0:2
+ 6:67 & 10' 3
¼ pffiffi & 1 þ ½0:4 & 1:2, MN
3 2 & ð0:4 & tan 601 Þ
(b) For a working stroke distance of h ¼ 5 mm ¼ 0:005 m,
¼ 63:4 MN:
from (11.128) and given values of UA ; we get
When there is sticking friction, the required press 2Ph
capacity is: 63.4 MN. UA ¼ 20 & 103 J ¼
! "3
If it is required to fulfil both conditions given by (i) and 2 & 0:005 % &
(ii), then the press must have a load capacity of 63.4 MN. ¼P ¼ 3:33 & 10'3 P
3
11.12.5. For a power forging hammer having a total nominal 20 & 103
)P¼ N ¼ 6 & 106 N ¼ 6 MPa
energy of 50 kJ, the forging load P increases from P=3 at the 3:33 & 10'3
start of the stroke to P at the end of the stroke h: If the blow
efficiency is 0.4, compute the total forging load P for a 11.12.6. It is required to make a smooth steel shaft by press
working stroke of forging of the following dimensions: diameter D ¼ 800 mm
(a) 10 mm and (b) 5 mm. and length L ¼ 5 m: The forging will require two heating.
Calculate the weight of an ingot that will be selected as an
Solution initial work-piece for the above forging operation. Assume
that the density of the steel ¼ 7850 kg=m3 :
Given that the total nominal energy is UT ¼ 50 kJ, and the
efficiency of the blow is g ¼ 0:4: Solution
The useful energy available for deformation UA is the
Using (11.11a), we have to calculate the weight of the ingot
area under the load–stroke ðP ' hÞ curve shown in
WIN ; which will be taken as the initial work-piece. From
Fig. 11.41. Therefore,
given data, the followings are obtained:
P=3 þ P 2Ph The weight of the forging,
UA ¼ h¼ ð11:128Þ
2 3 " #
p ð0:8Þ2
WFORG: ¼ & 5 & 7850
4
Load

¼ 19729:202 kg:
P The weight of ingot head discard WH: DISC: ¼ 20% of
initial weight of ingot ¼ 0:2 & WIN :
The weight of ingot bottom discard WB: DISC: ¼ 5% of
initial weight of ingot ¼ 0:05 & WIN :
UA The weight of the scale loss WSC: ¼ 2% of initial weight
of ingot for first full heating +1.75% of initial weight of
P ingot for subsequent extra one heating ¼ 0:0375 & WIN :
3 The weight of the croppings WCROP: includes only the
waste due to trimming scrap, because no hole is required in
forging and so, there is no slug waste. The weight of the
Stroke croppings (excluding slug) only due to trimming scrap from
h
both ends of the said cylindrical press forged steel sections
Fig. 11.41 A load–stroke ðP ' hÞ curve in a hammer blow of diameter 0:8 m is:
516 11 Forging

h i
VIN is the volume of rolled stock, which is used as the initial
WCROP: ¼ 2 & 0:21 & ð0:8Þ3 & 7850 ¼ 1688:064 kg:
work-piece.
Hence, from (11.11a), Hence, from (11.12b),
% VIN ¼ ð11974642:21 þ 0:02 & VIN þ 322013:247Þmm3
WIN ¼ 19729:202 þ 0:2 & WIN þ 0:05 & WIN þ 0:0375
&
&WIN þ 1688:064 kg ¼ ð12296655:46 þ 0:02 & VIN Þ mm3 ;
% &
¼ 21417:266 þ 0:2875 & WIN kg; 12296655:46
) VIN ¼ mm3
21417:266 ð1 ' 0:02Þ
) WIN ¼ % & kg ¼ 30059:32 kg:
¼ 12547607:61 mm3 :
1 ' 0:2875
Therefore, the required length of the rolled stock is
11.12.7. Determine the length of a rolled steel bar of
VIN
cross-sectional area with 200 & 200 mm2 ; from which a gear L¼
cross-sectal area of rolled stock
blank of the following dimensions is to be formed by upset
12547607:61 mm3
forging in one heat. Outside diameter of the gear blank D ¼ ¼ mm
ð200 & 200Þmm2
366 mm; height of the gear blank H ¼ 123 mm and diameter
of hole in the gear blank d ¼ 100 mm. Assume that under the ¼ 313:69 mm:
head of croppings, only waste is due to the formation of hole.
11.12.8. A stepped cylindrical steel shaft with its dimensions
Solution
is shown in Fig. 11.42. This is to be made by hot hammer
Under the head of croppings, the only loss of metal incurred forging after heating twice from a rolled stock long enough
will be the slug when punching the hole in the gear blank for one shaft only. Calculate the weight as well as the length
and so, with the help of (11.13), we get of the rolled stock, if the forging ratio is 1.5. Assume that the
density of the steel ¼ 7850 kg=m3 :
VCROP: ¼ volume of slug; VSLUG
" # Solution
"
pd 2 H pð100Þ2 123 pð300Þ2 pð240Þ2
¼ & ¼ & mm3 The volume of the forging VFORG: ¼ & 800 þ
4 3 4 3 4 4
¼ 322013:247 mm3 : pð130Þ2 pð200Þ2
&170 þ & 150 þ & 160, mm3 ¼ 71256819:17 mm3 :
4 4
The volume of the forging is: The volume of the croppings VCROP: includes only the
waste due to trimming scrap, because no hole is required in
! "
pD2 pd2 forging and so, there is no slug waste. If the shaft is forged
VFORG: ¼ ' H
4 4 from a long rolled stock and then cut off, the cropping losses
"( ) # would be from one end of the rolled stock. As the shaft in the
pð366Þ2 pð100Þ2
¼ ' & 123 mm3 given problem is forged from a rolled stock long enough to
4 4
make one shaft only, the waste will be cropped off from both
¼ 11974642:21 mm3 : ends of the rolled stock. Since the volume of the croppings
excluding slug from one end of cylindrical hammer-forged
The volume of the scale loss VSC: ¼2% of initial volume sections of diameter ‘D’ is 0:23 & D3 ; for the above forging,
of rolled stock for single full heating ¼ 0:02 & VIN ; where the volume of the croppings from the left-hand end is
130 mm

240 mm

300 mm

200 mm

150
mm 160
170 mm
mm 800 mm

Fig. 11.42 A stepped cylindrical steel shaft with its dimensions

11.12 Solved Problems 517

h i
Exercise
0
VCROP: ¼ 0:23 & ð130Þ3 mm3 ¼ 505310 mm3 :
11.Ex.1. A cylindrical billet with length of 2 m and diameter
Similarly, the volume of the croppings from the 0.5 m is forge-reduced longitudinally by 10% using a press.
right-hand end is Allowing 20% for friction over the load for ideal deforma-
h i tion, evaluate the capacity of the press required for such
00
VCROP: ¼ 0:23 & ð200Þ3 mm3 ¼ 1840000 mm3 : forging operation under the following two conditions:
Therefore, the total volume of metal lost as croppings (a) When forging is carried out at a temperature of 1000 °C,
from both ends of forging section is where the average yield stress of the billet is 70 MPa.
(b) When forging is carried out at room temperature, where
0 00
VCROP: ¼ VCROP: þ VCROP: the average yield stress of the billet is 350 MPa.
¼ ð505310 þ 1840000Þ mm3
11.Ex.2. A solid circular flat disk of 200-mm diameter and
¼ 2345310 mm3 : 10-mm thickness is homogeneously press forged between
flat dies to a thickness of 6.4 mm. If a solid foil lubricant,
The volume of the scale loss VSC: ¼ 2% of initial volume
causing a constant interface shear factor of m ¼ 0:3 is used
of rolled stock for first full heating +1.75% of initial volume
and the average uniaxial flow stress of the disk material is
of rolled stock for subsequent extra one heating ¼ 0:0375 &
100 MPa, determine the loads required (a) at the com-
VIN ; where VIN is the volume of rolled stock, which is used
mencement and (b) at the completion of forging.
as the initial work-piece.
Hence, from (11.12b), 11.Ex.3. It is required to press forge solid circular flat disks
from diameter to height ratio of 30–40 by using either a
VIN ¼ ð71256819:17 þ 0:0375 & VIN þ 2345310Þ mm3 viscous lubricant or a solid foil lubricant. The former
¼ ð73602129:17 þ 0:0375 & VIN Þmm3 ; lubricant would produce a coefficient of friction of l ¼ 0:05
73602129:17 while the latter one would give a constant interface shear
) VIN ¼ mm3 factor of m ¼ 0:25: Which lubricant will you select to reduce
ð1 ' 0:0375Þ
the load required to complete the forging operation?
¼ 76469744:59 mm3 :
11.Ex.4. A 400-mm-long and 800-mm-diameter cylindrical
Therefore, the initial weight of the rolled stock is
billet is homogeneously press forged between flat dies to
76469744:59 mm3 3 75% of its original length. Calculate the load required to
WIN ¼ m & 7850 kg=m3 complete the forging operation carried out homogeneously
109
for the following two conditions:
¼ 600:287 kg:
(a) At the room temperature, where resistance of the billet to
Given that the forging ratio
plane-strain deformation is 600 MPa with a friction coeffi-
original cross ' sectional area of the rolled stock before forging cient value of 0.15.
¼
cross ' sectional area of the finished forged shaft (b) At 800 °C, where uniaxial homogeneous flow stress is
ASTOCK 100 MPa, but there is sticking friction.
¼ ¼ 1:5:
ASHAFT
" # 11.Ex.5. A 1.2-m-long and 1.2-m-diameter cylindrical
pð300Þ2 bloom is transformed into a square section of equal area by
) ASTOCK ¼ 1:5 & mm2
4
homogeneous forging in a hydraulic press, while the length
¼ 106028:752 mm2 : of the bloom remains unchanged. Assuming full sticking
frictional condition, calculate the approximate load required
Therefore, the required length of the rolled stock is to complete the forging operation in units of metric ton if the
uniaxial flow stress of the bloom is 50 MPa.
VIN
LSTOCK ¼
ASTOCK 11.Ex.6. A rectangular plate with an initial size of 20 mm &
76469744:59 mm3 30 mm & 500 mm is homogeneously press forged at 900 °C
¼ mm between flat dies to a final size of 15 mm & 40 mm &
106028:752 mm2
¼ 721:217 mm: 500 mm: Assuming a coefficient of friction value of 0.4 at
the interface, determine the following:
518
(a) Location of the boundary between slipping and full
sticking friction from the centreline of the plate at the end of
the forging operation.
(b) Total load required to complete the forging operation, if
the uniaxial average flow stress of the plate material is
80 MPa at 900 °C.
11.Ex.7. In an open-die forging, if the bite ratio is 0.4 and
spread ratio is 1.2, what will be the squeeze ratio?
11.Ex.8. Hot press forging operations are carried out
homogeneously under full sticking frictional condition with
flat dies on the same material of the following shapes.
(a) The height of a flat circular disk is reduced with conse-
quent increase in its diameter without barrelling so that after
forging, its height becomes equal to its average diameter.
(b) An uniformly thick plate of rectangular cross-section is
reduced in plane strain condition to generate a square
cross-section without barrelling.
Which one of the above will need a greater peak forging
pressure and how many times will it be greater than the other?
11.Ex.9. Calculate the minimum possible values of the
coefficient of friction at the die–job interface under full
sticking frictional condition, according to Von Mises’
yielding criterion, for both (a) and (b) of problem 11.Ex.8,
considering the equations developed with the assumptions of
the coefficient of friction to be the same at all points on the
surface of contact.
11.Ex.10. What will be the ratio of maximum coefficient of
friction developed during press forging of a rectangular plate
under plane strain condition to that of a circular disk of the
same material, according to Von Mises’ yielding criterion?
11.Ex.11. Two cylinders of the same material with diameter
to the height ratios of 50 and 10 are homogeneously
open-forged in a press with flat dies. Considering that the
friction factor, m ¼ 0:25; at the die–cylinder interface,
compute the ratio of the average forging pressure required
for the first cylinder to that for the second cylinder.
11.Ex.12. In a power drop hammer, the ram weighs 40 kg
and the diameter of the ram piston is 50 mm. The ram is
accelerated by steam pressure of 500 MPa. If the fall height
of the ram is 250 mm,
(a) what is the total energy supplied to the blow?
(b) what will be the effect of the section thickness of the
work-piece on the forging load, if friction is neglected?
11.Ex.13. A plate of lead with an initial size of 20 mm &
40 mm & 300 mm is homogeneously press forged between
flat dies to final dimensions of 10 mm & 80 mm & 300 mm:
The average shear yield stress of lead is 4 MPa. Determine
11 Forging
the total load required to complete the forging operation
when the friction factor at the die–plate interface is 0.5.
11.Ex.14. Indicate the correct or most appropriate answer
from the following multiple choices:
(a) In closed-die forging, the penetration of flash crack into
the body of forging is more prevalent if
(A) flash is hot trimmed;
(B) forging is stress relieved prior to cold trimming of the
flash;
(C) flash to original metal thickness ratio is increased;
(D) flash to original metal thickness ratio is decreased.
(b) To minimize incomplete forging penetration of a large
cross-section having dendritic ingot structure, the most
suitable kind of forging equipment is
(A) Mechanical Press; (B) Hydraulic Press;
(C) Steam Hammer; (D) Board Hammer.
(c) During upsetting of a cylindrical rod with gripping at its
one end, if the unsupported length of the rod exceeds 3 times
its diameter ðdÞ; the operation performed to prevent buckling
of the rod should be
(A) open upsetting;
(B) closed upsetting with maximum inner die diameter
ðDmax Þ ¼ 1:5 d;
(C) closed upsetting with Dmax ¼ 3 d;
(D) closed upsetting with Dmax ¼ 4:5 d:
(d) To increase form-filling capacity in closed-die forging
using hammers, flash land ratio may be increased up to
certain value above which the improvement is small, but the
die wear becomes severe. The limiting value is about
ðAÞ 3; ðBÞ 5; ðCÞ 7; ðDÞ 9:
(e) In closed-die forging, forging pressure will decrease with
(A) die advance; (B) increase of flash land width;
(C) increase of flash thickness;
(D) decrease of flash thickness.
(f) The type of defects observed in closed-die forging is:
(A) Alligatoring; (B) Flash cracking;
(C) Fir-tree cracking; (D) Earing.
Answer to Exercise Problems
11.Ex.1. (a) 18.32 MN; (b) 91.6 MN.
11.Ex.2. (a) 6.77 MN and (b) 15.98 MPa.
11.Ex.3. Viscous lubricant, because the forging load
required with the solid foil lubricant is 1.33 times greater
than that with the viscous lubricant.
11.12 Solved Problems
11.Ex.4. (a) 408.68 MN; (b) 106.74 MN.
11.Ex.5. 9392 ton.
11.Ex.6. (a) Full sticking friction on each side of the cen-
treline of the plate exists up to 15.816 mm beyond which
sliding friction occurs; (b) 3.03 MN.
11.Ex.7. 0.52.
11.Ex.8. Peak forging pressure for plate is 1.098 times
greater than that for disk.
11.Ex.9. (a) 0.366 and (b) 0.333.
11.Ex.10. 0.866.
11.Ex.11. 2.3.
11.Ex.12. (a) 245.5 kJ. (b) No effect, because the forging
load is independent of the section thickness if friction is
reduced to zero.
11.Ex.13. 384 kN.
11.Ex.14. (a) (D) flash to original metal thickness ratio is
decreased. (b) (B) Hydraulic Press. (c) (B) closed upsetting
with maximum inner die diameter ðDmax Þ ¼ 1:5 d :
(d) (B) 5. (e) (C) increase of flash thickness. (f) (B) Flash
cracking.
References
Akgerman, N., Becker, J.R., Altan, T.: Metallurgia Metal Form. 40,
135–138 (1973)
Altan, T., Boulger, F.W., Becker, J.R., Akgerman, N., Henning, H. J.:
Forging Equipment, Materials, and Practices. Battelle Columbus
Labs., Metals and Ceramics Information Center, Ohio,
Chap. 1 (1973)
Altan, T., Henning, H.J.: Metallurgia Metal Form. 39, 83–88 (1972)
519
Altan, T., Oh, S.I., Gegel, H.L.: Metal Forming. American Society for
Metals, Metals Park, Ohio, Chap. 11 (1983)
Halter, H.W.: Trans. ASME J. Eng. Ind. 105, 270–275 (1983)
Kamenshchikov, G., Koltun, S., Naumov, V., Chernobrovkin, B.:
Forging Practice. Peace Publishers, Moscow, Translated from the
Rassian by Zelokov, L., Chap. VII (1964)
Lange, K.: Closed-Die Forging of Steel (in German). Springer-Verlag
OHG, Berlin (1958)
Lyman, T. (ed.) Forging and Casting, Metals Handbook, 8th edn., vol.
5, pp. 12–13, 14–18. American Society for Metals, Metals Park,
Ohio (1970)
Sabroff, A.M., Boulger, F.W., Henning, H.J., Spretnak, J.W.: Principles
of die-forging design (Chapter 3). In: A Manual on Fundamentals of
Forging Practice, Supplement to Technical Documentary Report
No. ML-TDR-64-95, December, 1964, Manufacturing Technology
Division, Air Force Systems Command, Ohio, Prepared under
Contract No. AF 33(600)-42963 by Battelle Memorial Institute,
Columbus, Ohio (AD No. 460465 in Defence Documentation
Center for Scientific and Technical Information, Virginia), pp. 59–
72 (1964)
Semiatin, S.L. (ed.) Forming and Forging, Metals Handbook, 9th edn.,
(from 1993, renamed as ASM Handbook and converted to
electronic files in 1998), ASM International Handbook Committee,
14: 66, 73–75, 78, (electronic book) (1988)
Semiatin, S.L. (ed.): Metalworking: Bulk Forming, ASM Handbook,
ASM International, Materials Park, Ohio, 14A: 24, 30, 38, 60
(2005)
Semiatin, S.L.: Workability in forging. In: Dieter, G.E. (ed.) Worka-
bility Testing Techniques. American Society for Metals, Metals
Park, Cleveland, Ohio, Chap. 8 (1984)
Tomlinson, A., Stringer, J.D.: Spread and elongation in flat tool
forging. J. Iron Steel Inst Lond. 193, 157–162 (1959)
Tool and Manufacturing Engineers Handbook, 4th edn., vol. II, Society
of Manufacturing Engineers, Dearborn, Mich, pp. 15–18 to 15–40
(1984)
Wistreich, J.G., Shutt, A.: Theoretical analysis of bloom and billet
forging. J. Iron Steel Inst. Lond. 193, 163–176 (1959)
 Rolling
12

Chapter Objectives

• Terminology of rolled product, different methods of rolling and quantities charac-

terizing deformation.
• Classification of rolling mills. Different types of rolling mills, such as cluster mill,
Sendzimir cold-rolling mill and planetary hot-rolling mill, pendulum mill,
contact-bend-stretch mill, universal mill.
• Hot and cold-rolling practice.
• Deformation zone in rolling, angle of bite and artificial methods to increase it, neutral
point (no-slip point) and no-slip angle.
• Ekelund expression for no-slip angle.
• Forward slip, its relation with no-slip angle, its measurement and importance.
• Elastic deformation of rolls: roll flattening and roll deflection.
• Simplified assessment of rolling load and Ekelund equations for loads in cold and hot
rolling.
• Theory of rolling: derivation of differential equation of friction hill.
• Bland and Ford theory of cold rolling: roll pressure with no external tensions and
with back and front tensions, no-slip angle, rolling load and torque, maximum
allowable back tension, estimation of friction coefficient.
• Sims’ theory of hot rolling: roll pressure, no-slip angle, rolling load and torque,
limitations of theory.
• Mean strain rate in flat rolling with sticking friction.
• Lever arm ratio and its estimation from Sims’ theory, torque and mill power.
• Minimum thickness of rolled product.
• Factors controlling rolling process.
• Gauge control by considering mill modulus line and plastic deformation curve for
work-metal and factors affecting outgoing gauge of rolled product.
• Defects in rolled products.
• Fundamentals of roll-pass design: types and shapes of passes, gap and taper of sides
in pass, pass arrangement, pass sequences used in rolling of billets to rods and square
bars.
• Production of seamless pipe and tube by hot rolling using rotary piercing mill, plug
mill, continuous mill, pilger mill and finishing mills, such as reeling, sizing,
stretch-reducing and expanding mills.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 521

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_12
522
12.1 Fundamentals of Rolling
Rolls are solid or grooved cylinders usually made of steel,
cast iron or tungsten carbide. There are three parts of a roll as
shown in Fig. 12.1, namely:
• the roll body or roll barrel or the part on which rolling is
done,
• the roll necks, which turn in the bearings and support the
roll body and
• the drive ends, which refer to the ends of the roll where
the driving force is applied.
The process of a squeezing type of plastic deformation to
reduce the thickness of the metal by passing it between a pair
of work rolls revolving in opposite directions is known as
‘longitudinal rolling’ or simply ‘rolling’. Rolling, first
developed in the late 1500s, is perhaps the most widely used
metal working process because of economy, its rapid rate of
continuous production and maintaining close control of the
final product. Rolling is relatively fast than other methods of
metal working, such as forging, and is able to produce a
variety of desired shapes and sizes from long work-pieces at
a very high speed in a somewhat continuous fashion.
Flat rolling is the most common rolling operation, in
which flat work-pieces of uniform cross-section are usually
rolled. However, grooved rolls are used to produce round
rods, and the wires drawn from rolled rods are used in
fences, cables and elevator ropes. Further, rolling mills have
also been successfully used for rolling of balls and roll
forging operation has been used to reduce the diameters of
rods and tubes as well as for tapering their ends, as discussed
in Chap. 11. More than 90% of all the copper, aluminium
and steel produced are subjected at least one time to rolling
process. Rolled steels are used to make cars, railroad tracks,
(a)
1 2 3 the length and the width of the stock. For example, in the
(b)
Fig. 12.1 Rolls: a smooth and b grooved. 1 Roll body or roll barrel;
2 roll neck; 3 drive end
12 Rolling
and columns and beams in buildings. Rolled titanium and
aluminium alloys are used to make airplane bodies. Rolled
sheet materials are applied in automobiles and, to make
beverage cans, many home appliances, and utensils. Rolled
bars are used as stating material for hot, warm and cold
forging to make many automobile parts.
Depending on the material to be rolled and the application
of the rolled product, rolling can be carried out either hot or
cold. Hot rolling is very widely used because the change in the
shape of the work-piece can be achieved rapidly and eco-
nomically. If it is required to produce good surface finish with
close dimensional tolerance and/or to have improved strength
and hardness caused by strain hardening, cold rolling is car-
ried out. The main objective of conventional rolling, whether
carried out hot or cold, is to reduce the thickness of the stock.
Ordinarily, the width of the stock increases to a little extent, so
that the reduction in the thickness results in the elongation of
the stock in the rolling direction.
On the basis of metal flow during rolling and the geom-
etry of rolled product, rolling of solid sections can be divided
into the following categories:
• Uniform reduction in thickness without any change in
width, where the thickness of the stock is reduced uni-
formly by compression causing the length (in the rolling
direction) to increase, but the width of the stock (trans-
verse to the rolling direction) remains constant. This type
of metal flow where the deformation is zero in one
direction is called plane strain condition, and it occurs in
rolling of sheet, strip or foil. Plane strain in rolling exists
when the width of the deformation zone is 20 times the
length of that zone.
• Uniform reduction in thickness with an increase in width,
where the thickness of the stock is reduced uniformly
causing both the length and the width of the stock to
increase, although the increase in the length is usually
much more than that in the width. The spread of the stock
in the width direction occurs in hot rolling of ingots into
blooms or slabs and in subsequent rolling of stock into
thick plates.
• Non-uniform reduction in thickness with an increase in
width, where the thickness of the stock is reduced
non-uniformly along the width with an increase in both
width direction, metal may flow only towards the edges
of the section, as in the case of rolling of an oval section
in rod rolling or of an airfoil section. Metal flow along
the width may also occur towards the centre.
Thus, the metal flow in rolling occurs in three directions
(in the thickness, width, and rolling directions) except in
strip rolling. However, to avoid the mathematical com-
plexity and simplify the analysis, rolling will be considered
12.1 Fundamentals of Rolling
to occur under plane strain condition assuming that the width
of the stock (transverse to the rolling direction) remains
unchanged because the little change in the width can be
neglected compared to the large change in the length.
12.1.1 Terminology of Rolled Product
Many engineering alloys, such as steels, copper alloys and
aluminium alloys, are often cast into ingots, which are ini-
tially broken down by hot rolling into semifinished products
such as blooms, billets and slabs. These products are further
processed by hot rolling into bar, rod, plate, sheet, pipe, rails,
or structural shapes. Blooms, billets, slabs, plates and struc-
tural shapes are usually hot rolled in order to obtain large
reductions in thickness with moderate working pressures.
Sheet, strip and foil are often produced by cold rolling in order
to maintain close thickness tolerance. Since the 1980s, con-
tinuous casting has been widely used to produce blooms,
billets and slabs by direct casting of molten steel from steel
melting operation into shapes of these semifinished products.
The definitions of the terms used to describe rolled
products are fairly loose, and based on the terminology, they
are traditionally used in the steel metal industry. A bloom is
a product of nearly square cross-section (generally, having
the width equal to its thickness) with an area equal to or
greater than 23225 mm2 (6 by 6 in.) resulting from the first
breakdown of the ingot. A billet is mostly square in cross
section with an area varying from a minimum of about
50 ! 50 mm ð2 ! 2 in:Þ to 127 ! 127 mm ð5 ! 5 in:Þ
resulting from the reduction of the bloom by hot rolling.
However, in non-ferrous terminology, the billet may be any
ingot that has been hot-rolled, hot-forged, or hot-extruded, or
it may be a casting which can suitably be hot worked, for
example an extrusion billet. A slab is an oblong hot-rolled
ingot with a cross-sectional area greater than 10322 mm2
(16 in.2) and a section width of at least twice the section
thickness. Plate, sheet, strip and foil are subsequently formed
by rolling of the semifinished products (blooms, billets and
slabs). The differentiation between plate, sheet or strip and
foil is made by the thickness of the product and that between
sheet and strip is determined by the width of the product.
A plate is a rolled product generally thicker than 6.4 mm
(0.25 in.), whereas sheet and strip are thinner gauge rolled
products with thickness equal to or less than 6.4 mm.
A sheet has a very large width-to-thickness ratio and is
usually wider than 609.6 mm (24 in.), whereas a strip has a
width equal to or less than 609.6 mm. A foil refers to a sheet
or strip metal with a thickness of a few thousandths of an
inch; for example, aluminium foil produced by rolling may
have a thickness of only about 0.025 mm (0.001 in.).
523
12.1.2 Different Methods of Rolling
Depending on the direction of rotation of the rolls with
respect to the direction of motion of the work-piece and the
direction of deformation, the following three methods of
rolling are distinguished, which are illustrated in Fig. 12.2:
1. Longitudinal rolling,
2. Cross rolling,
3. Helical rolling.
The characteristics of the above three methods of rolling
have been compared in the following Table 12.1.
Generally, cylindrical rolls with plane surface are used to
produce a flat product such as sheets or strips. The surface of
the rolls can also be grooved or textured in order to change
profile of the work-piece as well as emboss patterns on it.
Most common among rolling processes is the longitudinal
rolling having the characteristics as mentioned in the
Table 12.1. Hence, attention in the following text will be
limited primarily to the longitudinal rolling and to some
extent to the helical rolling involved in the manufacture of
pipes and tubes.
12.1.3 Quantities Characterizing Deformation
Let us define certain terms related to the deformation of
stock by rolling. For the purpose of illustration, it is simpler
to consider a pair of plain cylindrical rolls, reducing a rect-
angular stock. Suppose, before rolling, the rectangular stock
has a thickness of h1 ; a width of w1 ; a length of l1 ; and a
cross-sectional area of A1 ; and after rolling, a thickness of h2 ;
a width of w2 ; a length of l2 ; and a cross-sectional area of A2 :
The following terms are defined using the above symbols:
Draft experienced by a rectangular stock due to rolling
¼ Dh ¼ h1 % h2 ð12:1aÞ
And relative draft
Dh h1 % h2
¼ ¼ ð12:1bÞ
h1 h1
If the cross-section of the stock is not rectangular, the
draft is determined by
Dh ¼ ðA1 =w1 Þ % ðA2 =w2 Þ ð12:1cÞ
Lateral spread or spread experienced by a stock due to
rolling
¼ Dw ¼ w2 % w1 ð12:2aÞ
524 12 Rolling

(a) (b)

Top roll Top roll

Rolled piece

Rolled piece
Bottom roll

Bottom roll

(c) Top roll

Mandrel

Shell

Bottom roll

Fig. 12.2 a Longitudinal rolling. b Cross rolling. c Helical rolling (Mannesmann mill)

And relative spread Percent reduction in area of a stock due to rolling

A1 % A2
Dw w2 % w1 %r ¼ ! 100 % ð12:4Þ
¼ ¼ ð12:2bÞ A1
w1 w1
The law of constancy of volume states that the volumes of
Percent elongation of a stock due to rolling a metal prior to deformation, V1 ; and after deformation, V2 ;
! " are equal, i.e.
Dl l2 % l1
¼ ! 100 % ¼ ! 100 % ð12:3Þ h2 w2 l2
l1 l1 V1 ¼ V2 ; or; h1 w1 l1 ¼ h2 w2 l2 ; or; ¼ 1;
h1 w1 l1
12.1 Fundamentals of Rolling 525

Table 12.1 Comparison among the characteristics of three methods of rolling

(1) Longitudinal rolling
The axes of the rolls are parallel to each
other
The rolls rotate in the opposite direction
The work-piece or the stock moves in a
direction perpendicular to the plane joining
the roll axes
The height of the stock is reduced, while the
length and breadth of the stock increase; the
former usually much more than the latter, so
a condition of plane strain exists, as shown in
Fig. 12.2a
Rolls are solid cylinders
(2) Cross rolling
The axes of the rolls are parallel to each
other
The rolls turn (or rotate) in the same
direction
The axis of stock is parallel to the axes of the
rolls. The stock is held in place by means of
a special device (force Q) and turns around
its own longitudinal axis in a direction
opposite to the direction of roll rotation
This method is used for making shapes
which represent bodies of revolution, i.e.
shapes having circular cross-section, as
shown in Fig. 12.2b
Rolls are solid cylinders
(3) Helical rolling
The rolls are arranged at an angle with
respect to each other. In Mannesmann mill,
which uses the principle of helical rolling,
the angle between the rolls in the vertical
plane ranges from 5° to 12°
The rolls turn or rotate in the same direction
The rolls impart the work-piece, taken in the
form of a round billet, both rotary and
translatory motion. The round billet rotates
in a direction opposite to the direction of roll
rotation along with axial advancement
This method is used for piercing shells
(roughly shaped pipes) in pipe manufacture,
as shown in Fig. 12.2c
The Mannesmann mill uses barrel-shaped
rolls. The roll barrel consists of two
truncated cones with the larger bases joined
together. The roll barrel can also be of more
complicated shape

where Again, two-high non-reversing mills are of two types:

h2 =h1 ¼ squeeze ratio ð12:5aÞ (a) Two-high pull-over or drag-over mill and
(b) Two-high one-pass mill.
w2 =w1 ¼ spread ratio ð12:5bÞ

l2 =l1 ¼ elongation ratio ð12:5cÞ In a two-high non-reversing drag-over mill, as shown in

Fig. 12.3, after each pass the stock may be returned to the
Since rolling is considered to be a plane strain deforma- entrance of the rolls for re-rolling in the next pass by hand
tion condition having no spread (Dw ¼ 0), i.e. w1 ¼ w2 ¼ w carrying or by means of a platform which can be raised to
ðsay); the spread ratio ¼ 1; and squeeze ratio ¼ 1=elongation pass the work-piece over the top of the rolls. This type of
ratio: mill formerly was used mainly for production of light sheets;
it is still used as merchant mills (bar and rod mills) for
rolling of tool and high alloy steels.
12.2 Classification of Rolling Mills A two-high non-reversing one-pass mill usually consists
of several stands, the arrangement of which may be varied. In
Rolling mills can be conveniently classified with respect to
the number and arrangements of rolls in a stand. Each set of
rolls is called a stand. The three principal types of rolling
mills are two-high, three-high and four-high mills.
The simplest and most common type of rolling mill is the
two-high mill which has two rolls of equal size rotating in
the opposite directions, and the rolls are arranged one above
the other in a stand. A three-high mill has three rolls of equal
size, and a four-high mill has four rolls arranged one above
the other in a stand.
Two-high mills are of two types:

(i) Non-reversing two-high mills and

(ii) Reversing two-high mills. Fig. 12.3 Two-high non-reversing pull-over or drag-over mill
526
Fig. 12.4 Two-high tandem continuous mill
(a)
Stand 1 Stand 2
(b)
Stand 1 Stand 2 Stand 3
Fig. 12.5 a Looping mill. b Cross-country mill
one common arrangement, as shown in Fig. 12.4, the stands
are in tandem, i.e. arranged in a straight line, the axes of the
rolls in one stand being parallel to those in the other. In a
tandem two-high continuous mill, the rolling direction
remains constant. The rolled piece passes through the entire
continuous group of stands successively and is deformed
simultaneously in several stands. Since each stand produces a
different reduction in cross-sectional area of the work-piece,
the velocity at which the work-piece moves at each stand will
be different. The speed of rolls at each stand is synchronized
in such a way that the entry speed of the work-piece into each
successive stand is equal to the exit speed of the work-piece
from the preceding stand. This type of mill is in very common
use for rolling strip, billets, bars, rods, etc. Other arrange-
ments of stand or passes in continuous rolling mills include
those as shown in cross-country mill and looping mill, where
the direction of rolling changes (see Fig. 12.5).
In two-high non-reversing drag-over mills, the time
required to transport the work-piece back to the entry side of
the rolls limits the speed of production and an improvement in
productivity can be achieved from the use of a two-high
12 Rolling
Fig. 12.6 Two-high reversing mill
reversing mill, which is shown in Fig. 12.6. In this mill, the
direction of rotation of the rolls can be reversed, and the rolling
takes place alternately in opposite directions, with work done
on the piece while travelling in each direction. There is usually
a long mill table on either side of a two-high reversing mill.
These long mill tables make it possible to handle heavy pieces
in long lengths. The reversing two-high type of mill occupies
an important position in industry. This type of mill is com-
monly used for rolling of ingots to blooms and slabs.
The improvement in productivity is also achieved from
the use of a three-high mill, as shown in Fig. 12.7, which has
the advantages of both the two-high reversing and
non-reversing drag-over mills. In a three-high mill, the
motor-driven top and bottom rolls rotate in the same direc-
tion and the middle roll rotates by friction in the opposite
direction. This mill has lift tables on both sides of the rolls.
The work-piece is lifted from the bottom pass to return it to
the top pass by lift tables. The adjustment of the roll gap
between passes in this mill is not possible. Therefore, to
achieve different reductions during rolling passes, there must
be grooves or passes cut into the roll body. Three-high mills
are used for rolling of blooms, slabs, sections, etc.
Four-high mills, as shown in Fig. 12.8, are used for
rolling flat materials, such as sheets, strips and plates. They
are used for both hot and cold rolling. In a four-high mill,
large back-up rolls are employed to reinforce the smaller
working rolls. Similar to a tandem two-high continuous mill,
12.2 Classification of Rolling Mills
Fig. 12.7 Three-high mill
TOP BACKING UP ROLL
TOP WORKING ROLL
BOTTOM WORKING ROLL
BOTTOM BACKING UP ROLL
Fig. 12.8 Four-high mill
the four-high mill usually consisting of several stands in
tandem, i.e. arranged in a straight line, known as four-high
continuous mill, is commonly used to increase the produc-
tivity. As discussed before, it is essential to synchronize the
speed of rolls at each stand so that the entry speed of stock
into each stand equals the exit speed of stock from the
preceding stand. While cold rolling with a four-high con-
tinuous mill, an uncoiler (payoff reel) is used to feed the
stock into the roll gap at the first stand and a power-driven
windup reel (coiler) is used for coiling up the final product
leaving the last stand, as illustrated in Fig. 12.9. Other
functions of the uncoiler and a windup reel are to apply,
respectively, a longitudinal tensile stress to the stock in the
backward direction of rolling, known as a back tension, and
that in the forward direction of rolling, known as a front
527
tension. The application of back tension is controlled by
adjusting the speed of the uncoiler by a braking system
relative to the speed of rolls, while the front tension is
controlled by the torque on the windup reel. The advantages
of applying a back tension and a front tension will be dis-
cussed later.
A large decrease in the force and power required for
rolling can be achieved by the use of small-diameter work
rolls. However, because small-diameter work rolls have less
strength and rigidity than large rolls, they deflect due to
roll-separating forces and must be supported by
large-diameter back-up rolls to maintain control over the
dimensions of products. The simplest mill of this type is the
four-high mill.
12.2.1 Cluster Mill
For rolling very thin strip to very close dimensional tolerance,
it is necessary to use work rolls which are so small in diameter
that they can flex in the horizontal plane under the influence
of tangential forces, as well as they can bend under the action
of the major vertical roll load. To support such work rolls
adequately, two backing rolls are provided for each work roll,
with their axes offset before and behind, forming a six-high
mill, often called cluster mill, as shown in Fig. 12.10.
12.2.2 Sendzimir Cold-Rolling Mill (Sendzimir
1956)
Sendzimir cold-rolling mill or, simply, Sendzimir mill (fre-
quently referred to as Z-mill) is a modification of the cluster
mill which is very well adapted to cold-rolling thin sheet or
foil from high-strength alloys. When the diameter of work
rolls is very small, say 10 mm, then the diameter of each of
the two back-up rolls required to support each work roll
cannot be greater than about 20–30 mm, because the
diameter of back-up rolls is geometrically restricted to about
two to three times that of work roll and these small-sized
back-up rolls therefore require further supporting back-up
rolls for themselves. This gives twelve-high Z-mill with
1-2-3 type of roll arrangements. The most commonly used
type of Z-mill includes one more stage, with four relatively
large-diameter rolls to provide the final back-up, and thus
makes roll arrangements of 1-2-3-4 type, which is called
twenty-high Z-mill, as shown in Fig. 12.11. In the 1-2-3-4
arrangement, each work roll is supported throughout its
entire length by two first intermediate rolls (larger in size
than the work roll) that are, in turn, supported by three
second intermediate rolls bigger in size than the first inter-
mediate rolls. The three second intermediate rolls, of which
outer ones are motor driven, transfer the roll-separating
528
Fig. 12.9 Four-high four-stand tan-
dem continuous mill
Stand 1
Uncoiler
Top Backing-up Rolls
Top Working Roll
Bottom Working Roll
Bottom Backing-up Rolls
Fig. 12.10 Six-high cluster mill
forces to a rigid, one piece cast steel housing through four
backing rolls. In Fig. 12.11, A, B, C and D are top
backing-up rolls and E, F, G and H are bottom backing-up
rolls and they are of the largest size. The actual work rolls
are rotated by frictional contact with the first intermediate
rolls, which are, in turn, driven by frictional contact with the
power-driven rolls in the second layer.
Typical diameters of work roll are 6.35 mm (0.25 in.),
28.575 mm (1.125 in.) and 88.9 mm (3.5 in.). The mini-
mum thickness of strip on rolling a strip of width 152.4 mm
(6 in.) by the smallest mill with work roll diameter of
6.35 mm may be 0.00254 mm (0.0001 in.) with a tolerance
of &0:1lm: The minimum thickness of strip on rolling a
strip of width 1.22 m (48 in.) by the work roll diameter of
28.575 mm may be 0.0254 mm (0.001 in.) and that on
rolling a strip of width 5.08 m (200 in.) by the work roll
diameter of 88.9 mm may be 0.0889 mm (0.0035 in.). In
order to reduce the elastic flattening of rolls as far as pos-
sible, the work rolls are usually made from tungsten carbide
which has a much greater elastic modulus than steel. These
mills may be used to cold-roll hard materials, such as tita-
nium alloys, stainless steel and nickel alloys.
12 Rolling
Stand 2 Stand 3 Stand 4
Windup reel
12.2.3 Sendzimir Planetary Hot-Rolling Mill
The Sendzimir planetary hot-rolling mill or, simply, planetary
mill, first patented by Sendzimir in 1948, was developed to
hot reduce a slab to directly coiled strip in a single pass. The
principle of this mill is quite simple, but its detailed theory is
complex (Sparling 1962). The planetary assemblies consist of
two large-diameter back-up rolls surrounded by a large
number of small-diameter planetary work rolls (Giles and
Gutteridge 1973) that are mounted in ‘cages’ at their
extremities. The cages are synchronized by external means so
that when the whole system rotates, each pair of opposed
work rolls passes through the vertical centre line of the mill at
precisely the same time and the axes of the work rolls are
always parallel to the axes of the back-up rolls. The angular
velocity of the cage is somewhat less than half the angular
velocity of the back-up rolls. Commonly, the back-up rolls
rotate at 52 rad s−1 (500 r.p.m.) and the cage rotates at
24 rad s−1 (232 r.p.m.). The cages rotate in the same direction
as the corresponding motor-driven back-up rolls, while the
work rolls rotate by friction in the opposite direction (i.e. the
work rolls turn clockwise when their back-up roll and cage
turn counterclockwise). Mills are built with different ratios
between back-up roll and work roll diameters and with dif-
ferent numbers of work rolls per back-up roll (18, 20, 24, 26
and 30 work rolls per back-up roll have been employed on
different existing mills). Figure 12.12 shows that the number
of work rolls spaced around one back-up roll is twenty. The
common diameter of work rolls is 76.2 mm (3 in.) and that of
back-up rolls is 457.2 mm (18 in.). Since only the back-up
rolls in a planetary mill are directly power-driven and the
work rolls actually rotate against the work-piece, there is no
bite. It then becomes necessary to provide a pair of feed rolls
for forcing the slab into the roll gap of the mill. These produce
compressive force sufficient for suppression of any tensile
force created in the rolling operation and, thus, prevent
cracking. Hence, a planetary mill can successfully roll rela-
tively brittle metals, which are normally not possible to
hot-roll. The speed of operation is controlled by the feed rolls.
The ingoing speed of the work-piece may be about
0.05 m s−1 (10 ft./min), while the exit speed of the rolled
12.2 Classification of Rolling Mills 529

Fig. 12.11 20-high Sendzimir Backing bearing Housing

cold-rolling mill (1–2–3–4
arrangement)

Bearing shaft

B C

A
Driven D
Driven
roll roll

2nd Intermediate roll 1st Intermediate roll

Work roll

Driven Driven
roll roll
H
E

G F

Fig. 12.12 Sendzimir planetary PLANISHING

hot-rolling mill MILL
BACK-UP
ROLLS
FEED
ROLLS

WORK ROLLS

500 R.P.M

232 R.P.M

product may be about 1 m s−1 (200 ft./min) or more. Since The action in planetary mill is more like forging than
very less time is required to complete the whole rolling rolling. As the whole system rotates, small work rolls make
operation on a slab, the chance of scaling of hot work-piece is contact with the unworked portion of the hot slab surface and
very less than that under ordinary rolling conditions. roll down it. As each pair of planetary work rolls breaks
530 12 Rolling

contact with the material after reduction, the next pair of work
rolls contacts the slab and repeats that reduction. The reduc-
tion imparted to the slab by each pair of work rolls is almost
constant. Each pair of work rolls contributes to a small
reduction in cross-sectional area of the slab along its arc of
travel, but the combined effect of all work rolls, i.e. the
summation of a series of small reductions by each pair of rolls,
results in a very large overall reduction in area. For example,
the planetary mill is capable of hot reducing a slab of 50 mm
thick to a strip of 2 mm in a single pass. This corresponds to
96% reduction in area, which is much higher than a maximum
of about 50% reduction in area, per pass as achievable in an
ordinary mill. A pair of planishing rolls may be needed on the
exit side of the mill for improving the surface finish of the
rolled product. Mill of this type can be designed up to two
metres wide. Nowadays, a planetary mill has been directly
coupled to a continuous-casting plant (Sendzimir 1963),
where the speed of feed to the planetary mill has been regu-
lated to match the output of continuous casting.
Generally speaking, the temperature of the strip is higher at
the exit side of the planetary mill than the temperature of the
slab at its entrance, due to the energy of plastic deformation
involved in the heavy reductions (as much as 98%) that the
mill is capable of effecting. This permits rolling of slabs at
lower entering temperatures than in conventional hot-strip mill
practice. Further, as rolling proceeds the appreciable increase
in temperature due to large deformation enables final reduc-
tions to be made on softer metal than the earlier ones, where
cooling and consequent hardening would be difficult to avoid.
By changing the roll speed in relation to the feed, temperature
can reasonably be controlled, since heat from the stock is
abstracted by the cold work rolls in the short time during
which they are in contact with each other at each revolution.
One prominent disadvantage is the formation of back-fin,
which is found to be small when the diameter of work rolls is
at least 75 mm. As the small-diameter work roll first contacts
the hot slab, its forging action displaces some metal back-
wards that may build up into a fin. Feed rolls having slight
corrugations parallel to their axis, for better gripping, may be
used to reduce this defect by forming the depressions in the
slab surface. The depressions provide spaces into which the
metal can deform instead of piling up in a fin.
rolls, one on each side of the work-piece. The work roll
diameter resembles to that of the planetary mill. The work
rolls reciprocate over an arc in contact with the work-piece
and remain in contact with the surface of the work-piece
during complete cycle, as shown in Fig. 12.13. To get this,
the work rolls are mounted freely on radial arms driven by
accurately synchronized cranks, which may speed up to as
much as 188 rad s−1 (1800 r.p.m.). Since the work rolls
move around a fixed radius, a wave is found to develop
across the width of the exit sheet or strip. However, 10–15%
reduction by conventional rolling will cause this wave to
disappear completely.
The work-piece undergoes a large reduction in area,
perhaps 95%, which causes considerable increase in the
speed of the work-piece from entry to exit plane of the
deformation, and this variable speed governs the revolving
speed of the free work rolls. The speed of the ingoing
work-piece is controlled by an auxiliary driven pair of feed
rolls, which must be used to force the work-piece into the
roll gap of the mill, similar to the planetary mill. The
work-piece of any hardness can be reduced to the same
extent by rolling under the same roll load by utilizing the
variation of feed rate, but the rate of production will of
course be different. As in the planetary mill, the rolling
process is fast and there may be large rise in temperature due
to plastic deformation resulting in a lower hardness of the
finished product after a heavy reduction than after a mod-
erate reduction. In comparison with a modern tandem mill,

12.2.4 Pendulum Mill (Saxi 1963)

The pendulum mill is a cold-rolling mill that is capable of

cold reducing a slab into a thin sheet. This mill can cold
reduce a 6.35 mm (0.25 in.) thick slab to a thickness of
0.38 mm (0.015 in.) in a single pass, even in hard metals
such as titanium alloys. The mill may be coupled with
continuous-casting plant for continuous production of thin
strip. The pendulum mill uses only two small-diameter work Fig. 12.13 Schematic view of the pendulum mill
12.2 Classification of Rolling Mills
the low rate of output of the pendulum mill is its main
disadvantage. On the other hand, the capital cost of the
pendulum mill is low and the time required for interpass
annealing is avoided.
12.2.5 Contact-Bend-Stretch Mill (Coffin 1967)
In conventional rolling, when a stock is reduced by the
contact pressure of rolls while at the same time it is stretched
by longitudinal tensile pulls at the entry and exit plane of the
rolls, the operation may be termed as ‘contact-stretch’ roll-
ing. If a rolling process includes plastic bending of the stock
together with the rolling pressure and the longitudinal ten-
sion, it is called ‘contact-bend-stretch’ (C-B-S) rolling pro-
cess. Thus, in C-B-S rolling, invented by L.F. Coffin, the
stock is subjected to simultaneous actions of squeezing,
bending and pulling. This rolling process is applied to
reduce strip and foil. Coffin’s observation is that less rolling
pressure and longitudinal tension are required to make the
strip thinner and longer if plastic bending is combined with
the forces usually applied in a rolling mill.
Figure 12.14 shows one form of C-B-S rolling mill, in
which a floating bend roll of smaller diameter is included in
a four-high mill; i.e., the mill consists of five rollers around
which the strip travels in four loops. The two work rolls
rotate in the same direction, rather than in opposite direc-
tions, as in conventional rolling mills. The two work rolls
serve to back up or support the bend roll, while each of them
is supported by one bigger back-up roll to prevent roll
bending in the rolling direction. The strip coming from an
entry tension reel enters the mill, bends around the top work
roll, is reduced between the top work roll and floating bend
roll, then bends around the floating roll, is again reduced
Back-up
roll
Work
roll
Floating
bend roll Work
roll
Tension
Tension reel
reel
Back-up
roll
Fig. 12.14 Contact-bend-stretch four-high rolling mill
531
between the floating roll and the bottom work roll, then
successively bends around the bottom work roll and around
the back-up roll, and ultimately emerges from the mill for
collection by an exit tension reel. The small bend roll with
strip wrapped around a portion of its circumference is cra-
dled in the gap between two work rolls. The strip is subject
to back tension by the entry tension reel and front tension by
the exit tension reel in order to avoid slipping between the
strip and the two work rolls.
The degree of reduction of the strip is a function of the
pressure or force between each work roll and the bending
roll, the amount of plastic strain produced in bending the
strip over the bending roll, the strip tension and the instan-
taneous yield stress of the strip material. Reduction taking
place at two points of contact between the two work rolls
and the bend roll is determined by a ratio of peripheral
speeds between the work rolls. The reduction is determined
and controlled by utilizing the peripheral speed ratio in place
of setting a rigid roll gap as performed conventionally.
Longitudinal gauge uniformity is preferably maintained by
adjusting the speed ratio. The gap between the two work
rolls decides the relative location of the bend roll, and this
gap is smaller than the diameter of bend roll so that the axes
of the bend roll and work rolls are offset. Smaller the offset
angle, the greater will be the roll-separating force and the
smaller strip tension necessary to maintain the set peripheral
speed ratio.
Some advantages of this rolling process are:
• Larger reductions in thickness per pass are possible.
• Intermediate annealing required is less. Hence, the pro-
cess appears to be advantageous for rolling of especially
those materials that are highly strain hardened, such as
stainless steel.
• Crowning of rolls is not needed because the floating roll
bends and adjusts itself to position.
• Reduction across the width of the strip is constant due to
absence of the roll bending forces which are usually
present in conventional rolling mills.
• Gage control and strip flatness are improved due to
substantial elimination of roll flattening; i.e., more uni-
form strip thickness is achieved.
• It is possible to roll stronger or wider or thinner materials
in this mill than in conventional mills, since deformation
of the strip is easier and the deformation forces involved
are smaller.
• The cost, overall size and weight of this mill are con-
siderably less than those of the conventional rolling mill
of similar capacity.
However, the disadvantage of this mill is that the rate of
production is slower than that with four-high mills.
532
Fig. 12.15 Universal mill
TOP HORIZONTAL ROLL
BOTTOM HORIZONTAL ROLL
12.2.6 Universal Mill
A universal mill, as shown in Fig. 12.15, is a combination of
two rolling mills, one with two large-diameter horizontal
rolls and the other with a pair of vertical rolls used for edge
rolling. Vertical rolls control the width of stock and maintain
the desired width and preserve the edges of stock, while at
the same time horizontal rolls reduce the thickness of stock.
In case of a two-high reversing mill, the work-piece may
be passed to and fro and turned 90° from 10 to 20 times
during intermediate edging passes through edging grooves in
the rolls to preserve the edges of stock and maintain the
desired width. This results in a relatively low rate of pro-
duction. A universal mill may be used to avoid edging
passes and thus increases the rate of production.
There are several other kinds of mills, such as Mannes-
mann mill, plug mill, pilger mill and reeling mill, etc., which
have been discussed in connection with the production of
seamless pipe and tube in Sect. 12.18.1. However, the rolling
mills can also be classified on the basis of the types of prod-
ucts, viz. blooming mill, slabbing mill, plate mill, hot strip
mill, cold strip mill, billet mill, merchant mill, section mill etc.
12.3 Rolling Practice
A cast ingot having coarse-grained, porous and brittle
structure is initially broken down by hot rolling into a
wrought structure, with refinement of grains and improve-
ment of homogeneity, strength and toughness. Since a small
volume of metal at any given time is subjected to the roll
pressure and deformation during rolling, similar to forging
processes but unlike extrusion, hot-rolling equipment of
moderate loading capacity can be used to deform very heavy
ingots. Various sections such as round, hexagon, angle,
channel, I-beam and railroad rails are produced by hot
rolling using grooved rolls. For such conditions, the rolls are
usually designed empirically. The evaluation of working
loads for these complicated conditions will not be attempted
in the following text, but these working loads may be
roughly approximated from the knowledge of theory for flat
rolling of comparable cross-sections.
12 Rolling
VERTICAL ROLL
FOR EDGE ROLLING
Although rolling of solid sections starts with a cast ingot,
metal powders may be directly rolled to produce dense strip
or sheet by the technique known as powder rolling (Stur-
geon and Taylor 1972). In this process, a metal powder is fed
into the gap of a pair of rolls which compact the powder into
a ‘green strip’. Subsequently, the strip is sintered to increase
its density and strength and may be further hot worked
and/or cold worked and heat treated. This process eliminates
the initial breakdown step of the ingot at elevated tempera-
ture practised in conventional rolling of solid sections, with a
corresponding large reduction in capital cost required to be
invested for hot-rolling equipment, and this economical
factor is a major advantage of this process. Other advantages
include the formation of very fine grain size, the mini-
mization of preferred orientation and a minimum level of
contamination in hot rolling.
12.3.1 Hot Rolling
Prior to hot rolling of blooms, billets and slabs, the surface of
the material is usually conditioned (prepared) in order to
maintain a better surface quality of the product. Conditioning
is done by grinding, chipping or burning with an oxygen lance
to eliminate surface defects such as scabs, seams and silvers.
Hot-rolling mill used to breakdown cast ingot into bloom
or slab is called cogging mill, also known as blooming mill
when bloom is produced, or slabbing mill when slab is
produced and it basically acts as primary roughing mill.
These mills are usually two-high reversing mills with
grooved rolls, which are used to control the shape changes
during blooming operation. The roll diameters vary from 0.6
to 1.4 m, and the mills are designated by the diameter of the
rolls, e.g. a 1.2 m blooming mill. Ingot is reduced often to a
small extent during the initial rolling passes. To remove
initially heavy scale from the surface, the ingot is laid on its
edge and rolled. Thereafter, the ingot is turned 90° so that it
lies on flat surface and then rolled to reduce its thickness.
During hot rolling, the width of the ingot spreads appre-
ciably. During intermediate rolling passes, the ingot is turned
90° so that it lies on its edge and then passed through edging
grooves in the rolls to preserve the edges and maintain the
12.3 Rolling Practice
desired width. This operation caused by a two-high reversing
primary mill may occur for 10–20 times and reduces the rate
of production. To improve productivity two-high reversing
mills may be replaced by universal mill. Three-high mill
may also be used for rolling of bloom, slab, sections, etc.
To reduce bloom into a billet by hot rolling, the most
commonly used billet mill is a two-high tandem continuous
mill. Bars and rods are usually hot rolled from billet using
merchant mill. The merchant mill may be two-high tandem
continuous mill, or three-high mill, where both mills must
have grooved rolls. For rolling of tool and high alloy steels,
two-high drag-over mill with grooved rolls may be used as
merchant mill. The cross-section of the billet is reduced in
two directions to produce bars and rods. The billet is reduced
in only one direction in any single pass and so it is rotated
90° on the next pass. Most merchant mills are equipped with
guides for feeding the billet into the roll grooves and
repeaters for reversing the direction of the bar and feeding it
back through the subsequent roll pass. A roughing stand, a
strand stand and a finishing stand are commonly installed for
production of bars and rods.
The plate mill used to produce plates from reheated slab
may be a four-high mill used for hot-rolling. The equipment
for producing strip and sheet from reheated slab is called a
continuous hot-strip mill. In this production process, the
reheated slab is first passed through a scalebreaker mill, then
usually through a four-stand four-high continuous mill for
roughing operation and finally through a six-stand four-high
continuous mill for finishing operation. The width of the
strip is controlled by using vertical edging rolls during
roughing operation, and scale is removed by spraying
high-pressure water jets on the strip. When the strip leaves
the last finishing stand, it is either cut into desired lengths or
collected in a coiler in the form of continuous long lengths.
The planetary hot-rolling mill can also be used to produce
coiled strip from a hot slab.
Seamless tube or pipe is produced by hot rolling using
barrel-shaped rolls, such as Mannesmann mill. For most hot
rolling of non-ferrous alloys, two- and three-high mills are
employed, although four-high continuous mills are used to
hot-roll aluminium alloys. Most non-ferrous alloys because
of their lower flow stress and smaller ingot sizes allow the
use of smaller rolling mills.
12.3.2 Cold Rolling
Sheet, strip and foil are produced by cold rolling, which
provides superior surface finish, better dimensional accuracy
and improved strength and hardness (imparted due to strain
hardening in cold reduction), in comparison with hot-rolled
products. Prior to cold rolling, the starting material is pickled
with acid, treated mechanically such as blasting with water or
533
ground to remove scale from the surface developed during hot
rolling or any other surface defects. Hot-rolled strip, usually
obtained from continuous hot-strip mill, may be used as the
starting material to produce cold-rolled sheet, although cer-
tain copper alloys may be cold-rolled directly from the cast
state. Percentage of rolled products finished by cold rolling is
usually greater for non-ferrous metals than for steel.
For cold rolling of sheets of steel, copper and aluminium
alloys, three to five stands of four-high continuous tandem
mills or single-stand four-high reversing mils are used.
Generally, both types of mill have arrangements to apply
front and back tension to the work-piece. Compared to the
continuous mill, the reversing mill requires a less capital
investment and is more flexible and used often to produce
parts that vary widely in dimensions. The continuous tandem
mill has higher speed, results in lower labour costs and is
preferred to the reversing mill, where large-scale productions
are involved. For example, a five-stand continuous mill can
deliver product at a speed of 30 m s−1.
The total reduction produced by cold rolling will nor-
mally vary from about 50 to 90%. It is desirable to distribute
the total reduction as uniformly as possible over various
passes, except lass pass, with maintaining closeness to the
maximum possible reduction for each pass. The reduction in
the lass pass is generally kept to a minimum to allow better
control of surface finish, gage and flatness of the product.
For developing cold-rolling schedules, one reasonable
method (Oliver and Bowers 1965) is to adjust the reduction
in each stand in such a way that a constant rolling load is
produced.
To improve the productivity, two or more layers of flat
metal are cold rolled together; this type of flat rolling oper-
ation is known as pack rolling. For example, two layers of
aluminium foil are pack rolled, in which one side of each foil
is shiny and another side is matte. The side which is in
contact with the foil surface will have a dull matte finish, and
the side which is in contact with the polished roll surface
looks bright and shiny.
When annealed mild steel is stretched during deep
drawing or sheet forming operation, it undergoes yield-point
elongation, which results in inhomogeneous deformation
and causes surface markings, known as Lüders bands or
stretcher strains, which cannot easily be concealed by
painting. To avoid the formation of such surface irregulari-
ties, the annealed steel sheet is subjected to a small cold
reduction of 0.5–2% in area, called temper rolling or skin
pass. Temper rolling not only results in an improved surface
by eliminating the yield-point elongation but also in an
improved flatness. When a sheet after rolling exits from the
roll gap, it may not be always sufficiently flat. To improve
the flatness of the rolled sheet, other frequently applied
rolling operations are roller levelling and stretcher levelling.
In a roller-levelling machine (roller leveller), a series of
534
(a) Sheet (b)
Levelling rolls
Fig. 12.16 Roller levelling to a flatten sheets and b straighten round rods
(a)
Reciprocating
die plate
Workpiece
Stationary
die plate
Fig. 12.17 Thread rolling with a two flat threaded die plates and b a pair of threaded rolls
small-diameter levelling rolls are arranged in two rows in
such a way that the axes of the rolls in the top and bottom
rows are offset, as shown in Fig. 12.16a. Individual electric
motor is normally used to drive each roll separately. When
the sheet is passed through the set of rollers, it is flexed
alternatively up and down and subjected to alternating ten-
sile and compressive stresses due to its alternate bending in
upward and downward directions. Due to these alternating
stresses, the strain-hardened sheet undergoes cyclic strain
softening (see Sect. 8.16 in Chap. 8) due to the Bauschinger
effect (see Sect. 2.5 in Chap. 2) and the ductility is enhanced
resulting in the flattening of sheet as it comes out of the rolls.
Roller levelling consisting of a different kind of roller
arrangements, as shown in Fig. 12.16b, in which the set of
rolls in the top row are arranged at an angle to those in the
bottom row, is used to straighten the round rod. In the
stretcher leveller, there are two jaws, by which the edges of
the sheet are griped and pulled with application of a pure
tensile force in order to straighten the sheet.
There are special types of cold-rolling processes, such as
thread rolling and roll forming. When some threaded objects,
like screws and bolts, are to be produced in mass scale, the
process of thread rolling, as explained schematically in
Fig. 12.17, is applied. In thread rolling process, round rods or
work-pieces having sufficient ductility are passed between
two flat threaded die plates out of which one is stationary and
another is reciprocating. With each stroke of the reciprocating
die, threads are formed on the round object. One pair of
threaded rolls (cylindrical threaded dies) out of which one is
12 Rolling
Rod
Rollers
Work rest Workpiece
(b) Stationary
cylindrical
Force die
Moving
cylindrical die
stationary and another is rotating may also be used to form
threads on round objects, whose axis is parallel to the axes of
the roller dies and which is held in place by application of
force by means of a rest work-piece or other special device.
Three-roller thread-rolling machine is also available. Roll
forming (also called contour roll forming) is particularly
suitable for production of long irregular-shaped channel
sections. In roll forming with a forming speed generally
below 1.5 m s−1, strip is cold rolled by passing it through a
series of driven rolls, so that it is progressively bent into
complex shapes without causing appreciable change in the
thickness of the work-piece. The thickness of cold-roll-
formed sheet typically varies from about 0.125–20 mm
12.4 Deformation Zone in Rolling
In rolling, only a small part of the stock passes through the roll
gap, which is subject to deformation at any single moment of
time. This part of the stock is termed as the ‘deformation zone’,
as shown in Fig. 12.18. With reference to Fig. 12.18, the plane
XX 0 is called the ‘plane of entry’ and the plane YY 0 is called the
‘plane of exit’. The arcs XY and X 0 Y 0 are called the ‘arcs of
contact’. The angle between the entrance plane, XX 0 ; and the
centre-line of the rolls, OO0 ; is called the ‘angle of contact’.
Hence, the angle of contact is \XOY ¼ \X 0 O0 Y 0 ¼ a:
From Fig. 12.18, OZ ¼ OY % YZ: If R is roll radius, h1 is
the thickness of stock before rolling and h2 the thickness of
rolled product after reduction, then
12.4 Deformation Zone in Rolling 535

But from (12.6a),

cos a ¼ 1 % ðDh=2RÞ ð12:10Þ

From (12.9) and (12.10), it follows that
O " ! " # " #
Dh 2 Dh ðDhÞ2
L2 ¼ R2 1 % 1 % ¼ R2 1 % 1 þ %
2R R 4R2
α R–(∆h/2)
" #
L Z Dh ðDhÞ2 ðDhÞ2
∆h/2 =(h1 - h2)/2
¼ R2 % 2
¼ R Dh %
X R 4R 4
Y
h1 h2 rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffihffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiiffiffi
Y´
X´ )L¼ R Dh % ðDhÞ2 =4
x=0
x
ð12:11aÞ

As Dh is a very small quantity, so ðDhÞ2 =4 may be

D=2R
neglected and the length of the deformation zone, L; may be
O´
approximated as
pffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
L ) R Dh ¼ R ðh1 % h2 Þ ð12:11bÞ

Fig. 12.18 Geometry of deformation zone 12.4.1 Angle of Bite

When the stock first contacts the rolls at the points X and X 0 ;
R % ½ðh1 % h2 Þ=2( ¼ R % ðDh=2Þ ¼ R cos a
the forces exerted by the rolls on the stock at the entry plane
Since OZ ¼ R cos a; OY ¼ R; and YZ ¼ ðh1 % h2 Þ=2: are the radial force, Pr ; and the tangential frictional force, F:
This is shown in Fig. 12.19. The horizontal component of Pr
) Draft; Dh ¼ h1 % h2 ¼ 2 R ð1 % cos aÞ ð12:6aÞ (radial force) acting away from the roll gap tends to reject

Or; Draft;
h # a$i a
Dh ¼ h1 % h2 ¼ 2 R 1 % 1 % 2 sin2 ¼ 4 R sin2 ð12:6bÞ
2 2
rffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Dh h1 % h2
) a ¼ 2 sin %1
¼ 2 sin %1
ð12:7Þ
4R 4R O
Pr sin α
For small angles of contact a; as in cold rolling, where the
α
angle of contact seldom exceeds 8°, it may be assumed that
sin2 a=2 ) ða=2Þ2 ; where a is expressed in radian. Hence, Pr
the draft given by (12.6b) may be approximated as F cos α
X
F Y
Draft; Dh ¼ h1 % h2 ) R a2 ð12:8aÞ Y´
X´
pffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) a ) Dh=R ¼ ðh1 % h2 Þ=R ð12:8bÞ
The projected length of the arc of contact is called the
length of the deformation zone. So the length of the defor-
O´
mation zone, L; can be obtained as follows:

L ¼ XZ ¼ R sin a
ð12:9Þ
) L2 ¼ R2 ð1 % cos2 aÞ

Fig. 12.19 Forces exerted by the rolls on the stock at the entry plane
536 12 Rolling

the metal and prevent it from entering the rolls, while the ) Angle of bite ¼ Angle of friction:
horizontal component of F (friction force) acting towards the
roll gap at the entry plane tends to drag the metal inwards, If the coefficient of friction, l ¼ 0; rolling cannot occur,
i.e. into the rolls. If the front face of the stock at the plane of but as l increases, progressively larger and larger stocks will
entry is located at an angular position a from the line joining be drawn into the roll throat.
the roll centres, the net horizontal force, H; acting on the If Dhmax = maximum possible draft in an unaided rolling
stock in the forward direction of rolling is given by pass, then from (12.6b), (12.16) and (12.14b) we get
amax f
H ¼ F cos a % Pr sin a ð12:12Þ Maximum draft; Dhmax ¼ 4R sin2 ¼ 4R sin2
2 2
When the force, H; is positive, the work-piece moves in tan%1 l
¼ 4R sin2 ð12:17aÞ
the forward direction of rolling and gets rolled. On the other 2
hand, when this force is negative, the stock moves backward A simplified approximate relation for the maximum draft,
and unaided rolling is not possible, since the rolls refuse to pffiffiffiffiffiffiffiffiffi
Dhmax ; can be found, if we consider L ) R Dh from
bite the stock. Therefore, the condition under which the rolls
(12.11b) and neglect Dh=2; as it is very small, in the fol-
can bite the work-piece and unaided rolling is possible is:
lowing derivation. Now, from Fig. 12.18 geometrically we
H + 0; or; F cos a + Pr sin a; ½from ð12:12Þ( can write
) tan a , F=Pr ð12:13aÞ pffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffi
L R Dh Dh
tan a ¼ ) ¼ ; or; Dh ) R tan2 a;
The limiting condition for the unaided entry of the R % Dh=2 R R
work-piece into the throat of the rolls is: ) Maximum draft; Dhmax ) R tan2 amax ¼ R tan2 f ¼ R l2
H ¼ 0; or; F cos a ¼ Pr sin a; ½from ð12:12Þ( ð12:17bÞ
ð12:13bÞ
) tan amax ¼ F=Pr The approximate (12.17b) may be used under low fric-
Usually, it is assumed that Coulomb’s law of sliding tional conditions, but it will be grossly in error for high
friction holds good at the contact surface between the rolls frictional conditions.
and the stock and therefore Hence from (12.17), the conditions to achieve a large
draft in a rolling pass are:
F ¼ lPr ; or; F=Pr ¼ l ð12:14aÞ
• Roll radius, R; must be large, and/or
where l is the coefficient of friction between the rolls and the • Coefficient of friction, l; between the rolls and the stock
stock at the contact arc. must be high.
From (12.13a) and (12.14a),

tan a , l ð12:15aÞ For the same frictional condition, i.e. when l or f is

constant, a larger diameter roll will permit a thicker stock to
It means the work-piece cannot be drawn into the rolls if enter the rolls than will a smaller diameter roll, provided the
the tangent of the contact angle a exceeds the coefficient of thickness of the rolled product is the same in both cases,
friction l: From (12.13b) and (12.14a), the limiting condi- because the draft Dh will be higher for higher diameter
tion for unaided entry of the work-piece into the rolls is: rolls.
Let rmax ¼ the maximum possible reduction of area in an
tan amax ¼ l ð12:15bÞ unaided rolling pass, and w ¼ the width of the stock, which
If f is the angle of friction, then remains constant throughout the rolling process assuming
rolling to be a plane strain deformation. Now considering the
f ¼ tan%1 l or; l ¼ tan f ð12:14bÞ definition of reduction of area, r; given by (12.4), and the
relation given by (12.17a), we get the relation for rmax in
From (12.15a) and (12.14b),
terms of angle of bite as follows:
tan a , tan f or; a,f; ðA1 % A2 Þmax ðh1 % h2 Þmax w
ð12:16Þ rmax ¼ ¼
) amax ¼ f A1 h1 w
D hmax 4R 2 f 4R 2 tan%1 l
where amax is the maximum possible angle of contact in ¼ ¼ sin ¼ sin ð12:18Þ
unaided rolling. amax is called the ‘angle of bite’ or gripping h1 h1 2 h1 2
angle.
12.4 Deformation Zone in Rolling
12.4.1.1 Artificial Methods of Increasing Angle
of Bite
In practice, many roll designers consider the angle of bite in
hot rolling as 22.5° to 24°, without artificial roughening. If
an angle of bite higher than the above is desired, means have
to be found to increase the coefficient of friction l: The
following methods may be used for artificial increase in the
angle of bite:
• By using external pushing forces to augment the friction
force in the direction of rolling so as to effectively
counter the increased ejection force exerted by the rolls
due to the larger angle of bite for a thicker stock.
Sometimes, a stock not being rolled at that instant is used
to push the stock being rolled.
• By applying inertia forces arising from high speed of
stock caused by high-speed roller tables. These forces
tend to augment the friction force in rolling direction.
• By increasing roll roughness, which may be achieved in
various ways by:
1. Using ordinary cast iron rolls that acquire a rough
surface after some amount of wear during rolling.
2. Adding a roughening agent in the zone of deforma-
tion. Sand, iron powder, chalk, etc., are sprinkled on
the roll surface.
3. Ragging of rolls. During ingot breakdown by hot
rolling, where it is desired to achieve a large reduction
in a short time (particularly in cogging mill), the roll
surfaces have deep grooves cut in them parallel to the
roll axis to increase the effective value of l: This is
termed as ‘ragging’ of roll surface. Roll ragging is
frequently applied in order to facilitate the gripping of
stock by the rolls. Apart from deep groove cutting,
other forms of roll surface ragging may be created by
chiselling on roll surface and welding metal at dif-
ferent points on roll surface. Since the poor surface
finish of the rolled product is the limitation of roll
ragging, it is generally applied only in rolling mills
producing semifinished products. In case of roll rag-
ging by welding, since places of welding become
hardened, they are difficult to machine during recon-
ditioning of the rolls. Another method to improve the
gripping of stock by the rolls is ragging of roll surface
by knurling, which has been applied with satisfactory
results on rolls in the blooming mill and on the first
stand of the continuous billet mill. Knurling on the
roll surface is made by forming shallow rectangular
pyramids, which may be either indented into or pro-
jecting out of the roll surface. On roll surface, the
indented pyramids are preferred to the projecting
537
pyramids because the indented pyramids on rolls
produce projecting pyramids on surface of rolled
material, which are subsequently rolled out without
trace in the smooth passes, while the projecting
pyramids on rolls produce indented pyramids on
surface of rolled material, which may cause the traces
of ragging to stay on the finished product. Even after
gradual wearing of the ragged surface, the knurled
surface remains rough and, hence, the roll-gripping of
metal does not become worse. The maximum angle of
bite by ragging of the roll surface with deep grooving
is considered to be 34°, which may be exceeded by
knurling method of roll-ragging. The jamming of
billet in the mills with constant high roll speed and the
jerks in the rolling train may occur with groove-cut
rolls, but they are eliminated if the rolls are knurled.
Other advantages of knurling over groove cutting or
welding on the roll surface include increased roll-life
as knurling strain-hardens the roll surface, and
improved surface quality of the finished product.
12.4.2 Neutral Point
When a stock is undergoing reduction in the rolls, as the
stock moves further into the roll gap, its cross-sectional area
is reduced, so that the velocity of the stock must increase as
it passes between the rolls from velocity v1 at the plane of
entry to velocity v2 at the plane of exit.
Since equal volumes of metal must pass a given point per
unit time, i.e. from the principle of constancy of volume, we
can write
A1 v1 ¼ A2 v2
where A1 is the cross-sectional area of the stock before
rolling and A2 is the cross-sectional area of the product after
reduction by rolling.
* A1 [ A2 ; ) v1 \v2 ;
i.e. the exit velocity v2 must be greater than the entrance
velocity v1 :
Suppose the peripheral velocity (or surface velocity) of
the rolls is vr : It is to be noted that vr ¼ Rx; where R is the
roll radius and x is the angular velocity of rolls expressed in
rad=s: Now, let us consider the following cases:
1. v1 \v2 \vr ; which is shown in Fig. 12.20a. This is the
case of skidding.
2. vr \v1 \v2 ; which is shown in Fig. 12.20b. This cannot
happen in unaided rolling. This can however happen in
drawing.
538 12 Rolling

(a) (b)
Rolls
vr

v2 v2

Metal Metal

Velocity Velocity

v1 v1
Rolls
vr

Entry plane Roll gap Exit plane Entry plane Roll gap Exit plane

x=L x x=0 x=L x x=0

(c)

v2

vr Rolls

Velocity
Metal
v1

N or N´
Entry plane Roll gap Exit plane
x=L x x=0

Fig. 12.20 Peripheral velocity of rolls, vr ; and entry and exit velocities of metal, v1 and v2 ; in roll gap. a v1 \v2 \vr : b vr \v1 \v2 : c v1 \vr \v2

3. v1 \vr \v2 ; which is shown in Fig. 12.20c. Since the
rolls have to grip the stock in unaided rolling, vr cannot
be less than v1 ; nor greater than v2 ; and, in general, vr lies
between v1 and v2
As the velocity of the stock increases progressively from
v1 at the entry plane to v2 at the exit plane, there will be a
point N or N 0 on the arc of contact where the velocity of the
stock equals the velocity of the roll. This point is known as
the ‘neutral point’ or the ‘no-slip point’. So, it is the point on
the arc of contact between the roll and the stock at which
• the surface velocity of the stock equals the peripheral
velocity (or, surface velocity) of the rolls,
• there is no slip and
• the direction of friction force reverses.
The plane NN 0 ; obtained by joining two neutral points N
and N 0 on the arc of contact, is called the ‘neutral plane’, as
shown in Fig. 12.21. The neutral plane, NN 0 ; divides the
deformation zone into two subzones: the ‘entry zone’,
XNN 0 X 0 ; and ‘exit zone’, NYY 0 N 0 :
In the entry zone, the stock velocity is less than the
peripheral velocity of rolls, so this part of the deformation
zone is also called the lagging zone, while in the exit zone
the stock travels faster than the peripheral velocity of the
roll, i.e. it leads the roll, so this part of the zone of defor-
mation is also called the forward slip zone. Hence, in the
entry or lagging zone, the frictional force on stock acts in the
forward direction of rolling so as to draw the stock into the
rolls and in the exit or forward slip zone the direction of
frictional force is reversed so that it acts to oppose the
delivery of rolled product from the rolls.
12.4 Deformation Zone in Rolling 539

h an arbitrary angle formed by a very thin slice of the stock

in the deformed zone with the centreline of the rolls, i.e.
with the exit plane; hence, the angle h may vary from 0
O
at the exit plane YY 0 to a at the entry plane XX 0 :
α ψ dh the angle formed at the roll centre by the thickness of the
infinitely thin slice of the stock in the deformed zone;
X N
a the angle of contact of stock formed by the entry plane
Y XX 0 at the roll-centre O or O0 with the centre-line of the
Y´ rolls, OO0 ;
X´
N´ w the no-slip angle formed by the neutral plane NN 0 at the
ψ roll-centre O or O0 with the centre-line of the rolls, OO0 ;
α
O´ R roll radius;
x 0 at the exit plane; and
x=0
x
x L (projected length of deformation zone) at the entry
plane.
To make the analysis simple, the following assumptions
Fig. 12.21 Neutral points N and N 0 on the arc of contact, neutral plane
NN 0 ; no-slip angle w; angle of contact a; entry zone XNN 0 X 0 ; and exit
are made:
zone NYY 0 N 0
1. The lateral spread is negligible that means the initial
0
The angle between the neutral plane, NN ; and the cen- width of the stock, w; before rolling remains practically
treline of the rolls, OO0 ; is called the ‘no-slip angle’. Hence, at the same value after rolling.
the ‘no-slip angle’ is \NOY ¼ \N 0 O0 Y 0 ¼ w: 2. Elastic deformation of the roll owing to the forces exerted
by the stock on the rolls is negligible, i.e. roll radius R
remains constant.
12.5 Ekelund Expression for No-Slip Angle 3. Coulomb’s law of sliding friction holds good at the
(Ekelund 1933) contact surface between the rolls and the stock. In other
words,
With reference to Fig. 12.22, consider a vertical thin element
of metal located in the deformation zone in the roll gap at an s ¼ lpr ; where; s is the tangential frictional stress;
arbitrary angular position h from the line, OO0 ; joining the l is the coefficient of friction and
roll centres. Let us define different symbols used in the
pr is the radial roll pressure:
derivation of expression for the no-slip angle:
4. The coefficient of friction l; is the same at all points on
the arc of contact.
5. The radial roll pressure pr between the stock and the rolls
is uniform over the whole arc of contact.
O
dθ 6. The algebraic sum of the horizontal components of all the
µ pr forces exerted by the rolls on the stock is zero for
pr θ
steady-state rolling.
X pr
Y
N µ pr In the entry zone, the horizontal component of the forces
exerted by the rolls on the stock in the positive direction of x;
Y’
N’
i.e. in a direction from the exit plane towards the entry plane, is
X’
Za
α ψ
HEntry ¼ 2 pr sin h w R dh % 2 l pr cos h w R dh
O’ w
R
Za
¼ 2w ðpr R sin h % l pr R cos hÞ dh
x=0 w
x
Since there is a reversal in the direction of the tangential
Fig. 12.22 Radial roll pressure pr and tangential friction stress lpr
frictional stress across the neutral plane, in the exit zone,
acting on two vertical slabs—one in the entry zone XNN 0 X 0 and another
in the exit zone NYY 0 N 0 the horizontal component of the forces exerted by the rolls
540 12 Rolling

on the stock in the positive direction of x; i.e. in a direction Therefore, (12.19a) reduces to
from the exit plane towards the entry plane, will be
a a2
Zw No-slip angle; w¼ % ð12:19bÞ
2 4l
HExit ¼ 2 w ðpr R sin h þ l pr R cos hÞ dh
Equations (12.19) are the formulae for no-slip angle,
0
which is only accurate when the draft is small compared to the
The net horizontal force exerted by the rolls on the stock stock thickness, because it is based on the assumption of
in the positive x-direction is: uniform radial roll pressure over the whole arc of contact and
constant coefficient of friction. But the radial roll pressure is
HTotal ¼ HEntry þ HExit
not constant; rather, it increases from the entry plane along the
Za Zw arc of contact to a maximum value at the neutral plane and
Or; HTotal ¼ 2 w pr R sin h dh þ 2 w l pr R cos h dh then decreases towards the exit plane. Further, there is a local
0 0 variation in the coefficient of friction from point to point along
Za
the arc of contact of the roll (Capus and Cockcroft 1961–62).
% 2w l pr R cos h dh
w

Ekelund argues that this net horizontal force, HTotal ; must be 12.6 Forward Slip
equal to zero for steady-state rolling. According to him, if
HTotal [ 0; the stock velocity will be decelerated and if The value by which the velocity of the stock leaving the rolls
HTotal \0; the stock velocity will be accelerated. exceeds their peripheral velocity is known as ‘forward slip’,
Thus, for steady static rolling, HTotal ¼ 0: which figures largely in rolling mill research. Forward slip,
SF ; is determined as the ratio of the difference between the
Za Zw delivery velocity of stock and the peripheral velocity of the
) 2w pr R sin hdh þ 2w lpr R cos hdh rolls to the peripheral velocity of the rolls:
0 0 v2 % vr v2
Za SF ¼ ¼ %1 ð12:20aÞ
vr vr
% 2w lpr R cos hdh ¼ 0
w where
2 8 93 v2 the velocity of the stock leaving the rolls, i.e. the
Za >
<Zw Za >
=
6 7 velocity of the rolled product at the exit plane,
Or; 2 w pr R 4 sin h dh þ l cos h dh % cos h dh 5 ¼ 0
>
: >
; vr the peripheral velocity (or surface velocity) of the rolls
0 0 w
and

As w 6¼ 0; pr 6¼ 0; and R 6¼ 0; therefore; Most often forward slip is expressed in per cent. The
importance of forward slip has been discussed subsequently
½% cos h(a0 þ l ½sin h(w0 %l ½sin h(aw ¼ 0 in Sect. 12.6.3.
Similarly, ‘backward slip’, SB ; is defined as the value by
Or; ð1 % cos aÞ þ l sin w % l ðsin a % sin wÞ ¼ 0 which the peripheral velocity of the rolls exceeds the
velocity of the stock entering the rolls as follows:
a
Or; 2 sin2 þ 2 l sin w % l sin a ¼ 0 vr % v1 v1
2 SB ¼ ¼1% ð12:20bÞ
vr vr
a
Or; 2 l sin w ¼ l sin a % 2 sin2 where
2
v1 the velocity of the stock entering the rolls, i.e. the
sin a sin2 ða=2Þ
) sin w ¼ % ð12:19aÞ velocity of the stock at the entry plane.
2 l
For small angles of contact, i.e. when a is very small and
expressed in radian, then 12.6.1 Relation with No-Slip Angle

a a2 Ekelund derived an expression for forward slip in terms of

sin a ) a; sin2 ) ; sin w ) w; the no-slip angle w: This relationship is based on the fol-
2 4
lowing assumptions:
12.6 Forward Slip 541

• There is negligible or no lateral spread. This assumption spread, i.e. the initial width of the stock before rolling
will not be considered in the initial part of the following remains practically at the same value after rolling, then
derivation.
• Rolls are rigid, and no elastic deformation of the rolls w1 ¼ ww ¼ w2
occurs. Hence, from (12.21e) forward slip can be expressed as:
• Initially plane vertical sections of the stock remain plane
& '
during rolling. 2R
Froward slip; SF ¼ cos w 1 þ ð1 % cos wÞ % 1
h2
Since equal volume of metals must pass a given point per 2R
¼ cos w þ cos w ð1 % cos wÞ % 1
unit time, so it can be written as follows: h2
2R
v1 h1 w1 ¼ vw hw ww ¼ v2 h2 w2 ð12:21aÞ ¼ cos w ð1 % cos wÞ % ð1 % cos wÞ
h2
! "
where 2R
¼ ð1 % cos wÞ cos w % 1
h2
v1 ; h1 ; w1 velocity, height and width, respectively, of the ! "
w 2R
stock at the entry plane; ¼ 2 sin2 cos w % 1
2 h2
vw ; hw ; ww velocity, height and width, respectively, of the
stock at the neutral plane; and ð12:22aÞ
v2 ; h2 ; w2 velocity, height and width, respectively, of the In the cold-rolling process, the angle of contact, a; is
stock at the exit plane. usually small, and as the no-slip angle, w\ða=2Þ, it may be
Since at the neutral point the stock velocity, vw , equals the assumed that sin w ) w and cos w ) 1, when the angle w is
horizontal component of the peripheral velocity (or surface expressed in radian.
velocity) of the rolls, vr ; So, the above (12.22a) may be approximated as
! "2 ! " ! "
vw ¼ vr cos w ð12:21bÞ w 2R w2 2 R
SF ) 2 %1 ¼ %1 ð12:22bÞ
2 h2 2 h2
In analogy with (12.6a), it can be written at the neutral
plane that roll radius; R
Usually; - 1;
height of stock at roll0 s exit plane; h2
hw % h2
R% ¼ R cos w; or; hw % h2 ¼ 2 Rð1 % cos wÞ; 2R
2 i:e:; - 1;
h2
) hw ¼ h2 þ 2 R ð1 % cos wÞ
ð12:21cÞ Therefore, the approximate formula for forward slip turns
out to be
Combining (12.21a), (12.21b) and (12.21c), we can write
w2 2R R 2
v2 h2 w2 ¼ vr cos w fh2 þ 2 R ð1 % cos wÞg ww SF ) ! ¼ w ð12:22cÞ
& ' 2 h2 h2
v2 ww h2 þ 2 R ð1 % cos wÞ
Or; ¼ cos w In practical calculations, this simplified formula, given by
vr w2 h2
& ' (12.22c), provides sufficiently accurate results. However, val-
ww 2R
¼ cos w 1 þ ð1 % cos wÞ ð12:21dÞ ues of forward slip calculated from the relation derived by
w2 h2 Ekelund appear to diverge from the experimental values for
Now from (12.20a) and (12.21d), forward slip can be rolling of thicker stocks. This may be due to the assumption that
expressed as: initially plane vertical sections of the stock remain plane during
rolling, which is relatively less true for thick than for thin stocks.
Froward slip; However, forward slip in rolling depends on the radius of
& '
v2 ww 2R the rolls and the outgoing thickness of the rolled product.
SF ¼ % 1 ¼ cos w 1 þ ð1 % cos wÞ % 1
vr w2 h2 Increasing the roll radius and/or decreasing the outgoing
ð12:21eÞ product thickness results in an increase in forward
slip. Forward slip decreases parallel with the increase of
The forward slip given by (12.21e) takes into consider- lateral spread (deformation). Thus, forward slip depends on
ation the effect of the work-piece width. Inasmuch as the relationship between elongation and spread. When
ww =w2 \1; forward slip decreases with an increase in elongation is increased by decreasing spread, the speed of
spread. If it is assumed that there is negligible or no lateral the stock leaving the rolls is also increased.
542 12 Rolling

12.6.2 Measurement of Forward Slip 12.6.3 Importance of Forward Slip

The forward slip, SF ; is usually measured by using the Forward slip is of vital importance in rolling for finding the
‘impression method’, as shown in Fig. 12.23. A roll is coefficient of friction between the roll surface and the
marked by two indentations spaced a distance ‘lr ’ work-piece being rolled. Forward slip being measured, the
apart. Suppose after rolling the distance between these dents value of the no-slip angle, w; can be determined from the
created by the roll on the rolled product is l2 : Due to forward relationship, shown by (12.22c), i.e. SF ¼ ðR=h2 Þ w2 ; from
slip l2 [ lr ; and the forward slip from (12.20a) is expressed as which we can write
rffiffiffiffiffiffiffiffiffiffi
v2 % vr ðl2 =tÞ % ðlr =tÞ l2 % lr h2 S F
SF ¼ ¼ ¼ ð12:20cÞ w¼ ð12:24Þ
vr lr =t lr R
where The value of w being known, the value of the coefficient
of friction, l; can be calculated from the relation given by
t the time over which the effective rolling is carried out. (12.19b), as shown below:
In hot rolling, where l2 on the stock is generally measured a a2 a2 a a % 2w
after the metal has cooled, account must be taken of the w¼ % ; or; ¼ %w¼ ;
2 4l 4l 2 2
change in the length of stock due to thermal expansion by 4l 2
the following expression: Or; 2 ¼ ;
a a % 2w
l2 ¼ l0 ½1 þ a DT ( ð12:23Þ 2 a2 a2
)l¼ ¼ ð12:25Þ
4 ð a % 2wÞ 2ð a % 2wÞ
where
Forward slip is also important in continuous rolling with
l0 the distance separating dents on a cool stock;
several stands in series to avoid tearing of metal or looping
a the coefficient of thermal expansion;
of metal. If the entry velocity of stock into n th stand, say vn1 ;
DT the temperature difference between the stock after hot
exceeds the exit velocity of the stock from the preceding
rolling and that after it has been cooled for
stand, i.e. ðn % 1Þth stand, say vn%1 n n%1
2 ; i.e. v1 [ v2 ; then
measurement.
there will be development of tension, which will cause
tearing of metal. On the other hand, if the reverse occurs, i.e.
vn1 \vn%1
2 ; then looping of metal will occur. Thus to avoid
vr tearing or looping of metal, forward slip must be properly
controlled and is ordinarily maintained between 3 and 6%.

12.7 Elastic Deformation of Rolls

lr
The reaction of the work-piece on each roll due to applica-
tion of the rolling load is called the roll-separating force,
which has the same value as that of the applied rolling load
v2
but acts in a direction opposite. When the loads introduced
by the roll separation forces are high, roll undergoes two
l2 major types of elastic distortion, which are:

• Elastic flattening of rolls in the regions where they con-

tact the work-piece.
• Elastic bending of rolls along their length, i.e. deflection
of rolls.

12.7.1 Roll Flattening

Under certain rolling conditions, the large pressure exerted by

Fig. 12.23 Measurement of forward slip using ‘impression method’ the stock on the rolls causes elastic flattening of the regions of
12.7 Elastic Deformation of Rolls 543

the rolls in contact with the stock. Due to flattening, the radius Er Young’s modulus of the roll material. Er ¼ 207 GPa
of curvature of the deformed arc of contact is increased from R for steel rolls, Er ¼ 174 GPa for chilled-iron rolls and
to R0 ; or still a higher value of R00 ; and so on. The extent of Er ¼ 100:5 GPa for cast iron rolls.
flattening depends on the magnitude of the reaction stress
Equation (12.26) is known as Hitchcock equations for roll
exerted by the stock on the rolls and the elastic constants of
flattening. The deformed roll radius R0 or R00 cannot be
the rolls. In such cases—accepting the assumption that the
determined directly from (12.26), since P or P0 is, respec-
form of the contact arc remains circular—the method most
tively, a function of R or R0 ; and to calculate a value of R0 or
commonly used to determine R0 or R00 or higher and higher
R00 ; a trial-and-error procedure (Larke 1963) by successive
radii of curvature of deformed rolls is by means of an equation
approximations is required. This deformed roll radius R0 or R00
attributed to Hitchcock (Hitchcock 1935; Underwood 1950).
must be used to calculate rolling loads accurately in all cases.
R0 Cr P
¼ 1þ ð12:26aÞ
R w ð h1 % h2 Þ
12.7.2 Roll Deflection
And
R00 Cr P0 Rolls are restrained at their ends, but their centre portion
¼ 1þ ð12:26bÞ tends to bend or deflect longitudinally as the work-piece
R w ð h1 % h2 Þ
while being rolled tends to separate them. This results in
And so on, where variation of thickness over the width of the stock making the
P the rolling load determined from the original radius, centre thicker than the edges (crown) and leads to loss in
R; of the rolls; shape of the product. Bending of straight cylindrical rolls
P0 the rolling load computed from the increased radius, producing the thicker centre is shown in Fig. 12.24a. To
R0 ; of the flattened rolls; avoid this problem, the rolls are usually ground parallel to
W the width of the stock, which is assumed to remain their axis in such a way that their diameters are slightly
constant considering plane-strain rolling; greater at the centre than at the edges. This curvature on the
h1 ; h2 the thickness of stock, respectively, before and after roll diameter is known as camber, which is usually less than
rolling; 0.5 mm in sheet metal rolling practice. Hence, the rolls
Cr the elastic deformation parameter of the roll having ground convex camber or crown, as shown in
material Fig. 12.24b, are used to correct for roll deflection.
Figure 12.24c shows that rolls with convex camber still bend
( )
16 1 % m2r under the roll-separating force, but the roll profile adjacent to
¼ ð12:27Þ the stock remains straight during rolling which gives a
p Er
product of uniform thickness. One must be careful that rolls
¼ 2:16 ! 10%11 Pa%1 for steel rolls, Cr ¼ 2:57 !
Cr having excess convex camber will result in the greater
10 Pa%1 for chilled-iron rolls, and Cr ¼ 4:45 ! 10%11 Pa%1
%11
reduction of thickness at the centre than at the edges leading
for cast iron rolls. to loss in shape of the product as before.
In (12.27): Formula for calculation of camber is based on the con-
mr Poisson’s ratio of the material of roll. For steel rolls, sideration of the bending of rolls as a thick, short beam
chilled-iron rolls and cast iron rolls, mr ¼ 0:35 (Harris simply supported at the ends. The deflection, dr ; at the centre
1983); of the rolls thus contains two terms due to the bending

(a) (b) (c)

Fig. 12.24 a Bending of straight rolls producing thicker centre. b Rolls having convex camber. c Bending of rolls with convex camber, but
maintaining straight roll gap
544
moment about midpoints of the neck bearings, and to the
shearing forces, and can be expressed as (Rowe 1977)
P l3r P lr
Central deflection of rolls; dr ¼ k B þ kS
Er Ir Gr Ar
ð12:28Þ
where
P roll load or roll-separating force,
lr effective length of each roll,
Er ; G r elastic and shear moduli, respectively, of the roll
material,
Ir second moment of area of the roll cross-section
about a diameter,
Ar cross-sectional area of the roll barrels,
kB ; kS constants, whose values depend on the relative
dimensions of roll and stock. The typical values are
kB . 1:0; and kS . 0:2; for a stock with width lr ;
and kB . 0:5; and kS . 0:1; for a stock with width
lr =2:
The above (12.28) will be strictly valid for one specified
rolling load and width of stock only. In addition, at the
beginning of a run of rolling operation, the roll camber will
usually increase due to more temperature rise in the central
portions which is heated more rapidly than the ends of the
rolls. This is known as thermal camber of rolls and most
important in hot rolling. On the other hand, severity of wear,
which is the maximum at the centre, reduces the roll camber.
To counteract these effects, suitable production planning can
be made; one may start rolling with medium-width stock and
a roll camber less than that required for full-width stock. As
the roll-centre is heated up to develop thermal camber, wider
stock is rolled and the stock width is then reduced again as
the roll-centre undergoes wear. However, thermal camber
can be controlled, particularly in hot rolling, by varying the
amount of coolant (lubricant) flow at different locations on
the rolls along their axial direction, thus minimizing the
uneven temperature distribution.
Attempts to avoid or limit roll deflection by reducing the
rolling load have been made by the use of small work rolls,
as in four-high mills and cluster mills. But even with these
mills, rolls still bend to a certain extent and it is required to
camber the rolls, i.e. to make them convex shaped to
accommodate the roll deflection. However, the disadvantage
of the roll-cambering procedure is that camber corrects for
the deflection of the rolls to produce flat profile for one
specified rolling load and width of stock only. To achieve a
flat surface in cold rolling, the rolling load is maintained to a
constant value by adjusting front and back tension or inter-
stand tension with multi-stand continuous rolling. Different
amounts of roll deflection caused by different loads require
different amounts of cambering or crowning, and it is not
12 Rolling
practical to grind the rolls with each change of stock size.
A better method is to introduce hydraulic jacks onto the
rolling necks which correct for roll deflection by actually
bending the rolls under various rolling conditions. Many
modern sheet mills are successfully using this technique to
control the shape of the product.
12.8 Simplified Assessment of Rolling Load
The rolling load, P; can be determined from the multipli-
cation of specific roll pressure, p; with the area of contact
between the stock and the rolls, i.e. the area of deformation
zone. Again, the area of deformation zone can be considered
to be the product of the length of the deformation zone, L;
and the width of the stock in the roll gap. If we assume
lateral spread to be negligible, i.e. the initial width, w; of the
stock before rolling remains practically at the same value
after rolling, then rolling load can be written as:
pffiffiffiffiffiffiffiffiffi
Rolling load; P ¼ p w L ¼ p w R Dh ð12:29aÞ
where L is given by the approximate (12.11b). For the
moment, if we neglect the friction, the specific roll pressure
p becomes equal to the flow stress of the material. Since no
change in the width of the stock occurs during rolling, the
rolling may be considered to be a plane strain deformation
and the specific roll pressure p will be equal to the plane
strain flow stress, r00 : So, (12.29a) can be rewritten as:
Rolling load under frictionless condition;
pffiffiffiffiffiffiffiffiffi ð12:29bÞ
P ¼ r00 w R Dh
Since the contribution of friction is ignored, (12.29b)
provides a lower limit for the rolling load. Examining a
range of typical rolling passes, Orowan (Rowe 1977) has
suggested the approximate rolling load under condition of
friction, providing an allowance of about 20% for the fric-
tion, i.e. considering p ¼ 1:2 r00 :
Rolling load under frictional condition, after Orowan;
pffiffiffiffiffiffiffiffiffi
P ¼ 1:2 r00 w R Dh
ð12:30Þ
Considering the influence of friction an approximate
expression for the rolling load can be developed using the
analogy between plane-strain flat rolling and forging of
rectangular plate of uniform thickness in plane strain con-
dition, as discussed in Sect. 11.7 of Chap. 11. So, similar to
plane-strain forging, a friction hill is generated in
plane-strain flat rolling, as shown in Fig. 12.25, which
indicates the distribution of roll pressure (Al-Salehi et al.
1973) per unit width of stock along the arc of contact,
12.8 Simplified Assessment of Rolling Load 545

( pffiffi )
!00
r the plane-strain average flow stress ¼ 2= 3 ! uni-
( pffiffi )
Pressure required to axial homogeneous average flow stress ¼ 2= 3 r !0 ;
pffiffiffiffiffiffiffiffiffi
overcome friction L the length of deformation zone in rolling ) R Dh;
l the coefficient of Coulomb’s friction; and
# pffiffiffiffiffiffiffiffiffi $
Roll pressure

Q ¼ ðl LÞ=h! ¼ l R Dh =h! .

Combining (12.29a) and (12.31), we can get rolling load

B for slipping friction as
Homogeneous deformation
pffiffiffiffiffiffiffiffiffi
A Rolling load; P ¼ !p w R Dh
pressure in plane strain *! Q " +
2 e %1 pffiffiffiffiffiffiffiffiffi
¼ pffiffi r
!0 w R Dh ð12:32Þ
3 Q
Entrance Exit
plane plane Equations (12.31) and (12.32) are applicable to the con-
Length of contact ditions where no back and front tensions are applied. But
Fig. 12.25 Friction hill showing distribution of roll pressure in plane
most often back tension at the entry plane and front tension
strain along the arc of contact at the exit plane of the deformation zone are applied to the
stock in cold rolling in order to reduce the rolling load.
Hessenberg’s (Hessenberg and Sims 1951) data show that
i.e. along the projected length of deformation zone. The
the effectiveness in reducing the rolling load by back tension
pressure rises from the entry plane to a maximum value at the
is about twice of that by front tension. Introducing the effects
neutral point and then drops towards the exit plane. Mathe-
of back and front tensions on the mean rolling pressure,
matical treatments on rolling show that the pressure should
Avitzur (1964) wrote that
reach a sharp peak at neutral point, but in fact the pressure
* +! Q "
distribution does not come to a sharp peak at neutral point, 0 1 e %1
indicating that the neutral point is not actually a point on the !p ¼ r !0 % ð2rB þ rF Þ ð12:33Þ
3 Q
roll surface but an area. The total area under this friction hill
curve is the rolling load per unit width of stock. The force where
required for overcoming frictional forces between the unit
rB the back tension at the entry plane of the deformation
width of stock and the roll is represented by the shaded area
zone and
in Fig. 12.25, while ideal force required for deforming the
rF the front tension at the exit plane of the deformation
unit width of stock in frictionless plane-strain homogeneous
zone
rolling is represented by the area under the dashed line AB.
Let us consider that low frictional condition exists at the Considering the effects of back and front tensions, rolling
contact surface between the rolls and the stock, such as in load for slipping friction can be written from (12.33) as
cold rolling, where Coulomb’s law of sliding friction holds follows:
good. The coefficient of friction for cold rolling (Roberts
1968) with lubricants varies from 0.05 to 0.1, whereas that Rolling load;
* +! Q "
for hot rolling ranges from 0.2 up to the sticking condition. pffiffiffiffiffiffiffiffiffi 0 1 e % 1 pffiffiffiffiffiffiffiffiffi
P ¼ !p w RDh ¼ r !0 % ð2rB þ rF Þ w RDh
Then, using the analogy between plane-strain forging and 3 Q
plane-strain rolling, (11.30) may be applied to approximate * +*! Q " +
2 1 e %1 pffiffiffiffiffiffiffiffiffi
the mean rolling pressure, !p; for slipping friction as follows: !0 % ð2rB þ rF Þ
¼ pffiffi r w RDh
3 3 Q
exp½ðl LÞ=!
h( % 1 r!00 ðeQ % 1Þ ð12:34Þ
! !00
p¼r ¼ ð12:31Þ
ðl LÞ=!
h Q The coefficient of friction at elevated temperature may
be 0.2 and above, which is very difficult to estimate prop-
where
erly. But the most common in hot rolling is sticking fric-
!
h the mean thickness of the stock between the entry tional condition at the contact surface between the rolls and
and the exit plane of the deformation zone in rolling the stock. Again using the analogy between plane-strain
¼ ðh1 þ h2 Þ=2; in which h1 ¼ thickness of the stock at forging and plane-strain rolling, (11.45) may be used to
the entry plane and h2 ¼ thickness of the stock at the approximate the mean rolling pressure, !p; for sticking fric-
exit plane; tion as follows:
546 12 Rolling

! " pffiffiffiffiffiffiffiffiffi! both in terms of temperature T; which is measured in °C, and

L 2 RDh
p¼
! !00
r 1 þ ! ¼ pffiffi r
!0 1 þ ð12:35Þ the ‘static’ mean yield stress r!0 in kN=mm2 ; in terms of
4h 3 4! h
viscosity g and weight percentage of carbon, manganese and
Combining (12.29a) and (12.35), we can write for stick- chromium contents of steel. These formulae are:
ing friction
Viscosity, g ¼ 1; 373 % 0:098 T (where T is measured in °C);
pffiffiffiffiffiffiffiffiffi !
pffiffiffiffiffiffiffiffiffi 2 R Dh pffiffiffiffiffiffiffiffiffi Coefficient of friction, l ¼ 0:084 % 0:0004 T (for billet
Rolling load; P¼!
p w R Dh ¼ pffiffi r !0 1þ w R Dh
3 4h ! temperatures T above 700 °C);
‘Static’ mean yield stress, r !0 ¼ 100 g ð1:4 þ C þ Mn þ
ð12:36Þ 2
0:3 CrÞ kN=mm ;

vr ¼ the peripheral velocity of rolls in mm=s: The rest

12.8.1 Ekelund Equation for Rolling Load terms have already been defined in relation to (12.37). It is
(Ekelund 1933) usually desirable to determine the mean value of yield stress
corresponding to the temperature and strain rate prevailing at
To calculate the load for cold rolling, the equation proposed
the time of hot rolling.
by Ekelund based on the analysis of roll stresses is one of the
earliest methods. Including the effects of roll flattening,
Ekelund’s equation for cold rolling is:
" pffiffiffiffiffiffiffiffiffiffiffi # 12.9 Theory of Rolling: Derivation
P 0
pffiffiffiffiffiffiffiffiffiffiffi 1:6 l R0 Dh % 1:2 Dh of Differential Equation of Friction Hill
!0 R Dh 1 þ
¼r 0 ð12:37aÞ
w h1 þ h2
Using the analogy between forging and rolling, equations for
If the stock is subjected to back tension rB and front the values of roll pressure in the deformation zone of rolling
tension rF ; Ekelund’s equation (12.37a) is modified to: were developed in Sect. 12.8. But this was a very simplified
" pffiffiffiffiffiffiffiffiffiffiffi # approach because the fact that the metal moves in rolling
P ( 0 ) pffiffiffiffiffiffiffiffiffiffiffi 1:6 l R0 Dh % 1:2 Dh
!0 % r
¼ r !T R Dh 1 þ 0 ð12:37bÞ unlike forging and is gradually decreased in thickness was
w h1 þ h2
ignored. Derivation of an expression for roll pressure must
take these factors into account. Prior to this derivation, it is
where P ¼ rolling load with or without tension, w ¼ width
required to develop the source equation on which most of the
of stock, r!00 ¼ plane-strain average flow stress, R0 ¼ radius
rolling theories are based.
of elastically flattened rolls, Dh ¼ h1 % h2 ; h1 ¼ thickness of
Almost all the theories of rolling, hot and cold, with the
stock before rolling, h2 ¼ thickness of stock after rolling,
exception of that put forward by Orowan (1943), have at
l ¼ coefficient of friction, r !T ¼ ð2 rB þ rF Þ=3; rB ¼ back
their starting points the ‘differential equation of the friction
tension and rF ¼ front tension.
hill’, as derived by Von Kármán (1925), using free-body
Rolling loads over a wide range of sizes and reductions
equilibrium approach. The derivation of the differential
predicted by (12.37) appear close to the results obtained by
equation is based on the following assumptions:
using more accurate and difficult theories. The Ekelund’s
method can be recommended for general purpose use in
1. Peripheral velocity of the rolls remains constant.
industrial practice particularly when factors such as coeffi-
2. Lateral spread is negligible; i.e., plane strain condition is
cient of friction are not known accurately.
assumed. Therefore, stock width, w; (normal to the plane
Ekelund’s formula to calculate load for hot rolling was
in Fig. 12.26) before rolling remains practically at the
actually first developed, in which the effect of strain rate on
same value after rolling.
the mean yield stress of metal was taken into account. The
3. Plane vertical sections before rolling remain plane during
rest of the equation is the same as for cold rolling, though the
and after rolling; i.e., homogeneous deformation is
coefficient of friction will of course have a higher numerical
assumed and, hence, there is no redundant deformation.
value in hot rolling. Ekelund’s equation for hot rolling is:
4. Elastic deformation of the rolls owing to the forces
( pffiffiffiffiffiffiffiffiffiffiffi) " pffiffiffiffiffiffiffiffiffi #
P 2 vr g Dh=R pffiffiffiffiffiffiffiffiffi 1:6 l R Dh % 1:2 Dh exerted by the stock on the rolls at the contact surface
¼ r
!0 þ R Dh 1 þ between the rolls and the stock is negligible. That means,
w h1 þ h2 h1 þ h2
the radius of the roll, R; does not change during rolling as
ð12:38Þ the elastic flattening of the rolls is neglected.
In (12.38), Ekelund gave empirical formulae for the 5. Coulomb’s law of sliding friction holds good at the contact
‘viscosity’ g of the hot steel, and the coefficient of friction l; surface between the rolls and the stock. In other words,
12.9 Theory of Rolling: Derivation of Differential … 547

measure the local variation in friction coefficient

(a) accurately in rolling, although attempts to measure the
local friction directly have been made (Siebel and Lueg
dθ O
1933a, b). If the coefficient of friction is small, the
ψ
assumption of constant magnitude of l is valid, because it
θ is found that loads predicted theoretically assuming con-
X α
stant l generally agree with the experimental values for
N Y
low coefficient of friction.
Y´
N´ 7. Constant circular arc of contact is maintained and neutral
X´ x=0
x point falls within the arc of contact.
R´

O´ The rolls, the stresses acting on two infinitesimally thin

R
slabs of metal stock, one on each side of the neutral plane, and
the coordinate system are illustrated in Fig. 12.26. The thin
slabs are of infinitesimal thickness, dx; and located at an
arbitrary distance x from the exit plane, YY 0 ; which is taken as
dθ the origin of coordinate system, i.e. x ¼ 0; and x increases
(b)
towards the entry plane, XX 0 : The heights of the two vertical
pr faces that bound the thin slab at x and x þ dx are, respectively,
R
pr h and h þ dh: The cross-section of the work-piece in
dh/2 µ pr Fig. 12.26 is identical with any other cross-section parallel to
µ pr θ it. The longitudinal stresses acting parallel to the x-direction
θ on the two vertical faces of the thin slab are principal stresses
h and are assumed to be distributed uniformly on these faces.
dx dx
dx The longitudinal principal stress at a distance x is rx ; which
becomes rx þ drx at the distance x þ dx; and they are assumed
σx + d σx σx to be compressive in nature. The angle of contact of the stock
σx + d σx σx formed by the entry plane at the roll-centres with the line
joining the roll centres is a: The arbitrary angle formed at the
θ µ pr roll-centres by the thin slab with the line joining the roll
centres is h: Since the angular position h is measured from the
dh/2 µ pr pr
exit plane, so at the exit plane, h ¼ 0; and hence, h varies from
pr
0 at the exit plane to a at the entry plane of the stock. The angle
subtended by the thickness of slab at the centre of rolls is dh:
Entry Zone Exit Zone
At any point of contact between the vertical thin slab and
the roll surface having an area of R dh w; the stresses acting on
the slab due to each roll are the radial roll pressure pr ; and the
Fig. 12.26 a Two elements of strip in the deformation zone, one on
each side of the neutral plane NN 0 ; and geometrical relationship for tangential shearing friction stress s: Hence, the forces acting
those elements. The broken-line profile of roll along the deformation on the slab due to each roll are, respectively, pr R dh w; and
zone shows the elastic flattening of roll under load causing to increase s R dh w; and their horizontal components are, respectively,
the radius from R to R0 : b Stresses acting on those two elemental strips pr sin h R dh; and s cos h R dh w: The longitudinal forces
in the entry as well as in the exit zone
acting on two vertical faces of the slab in the horizontal for-
ward direction of rolling are ðrx þ drx Þðh þ dhÞw % rx h w:
s ¼ l pr ; where, s is the tangential frictional stress, Hence for steady-state rolling, the horizontal equilibrium of
l is the coefficient of friction and forces exerted by the two rolls on the vertical thin slab of the
pr is the radial roll pressure: stock in the entry zone gives

6. The coefficient of friction, l; is constant at all points on ðrx þ drx Þðh þ dhÞw þ 2 s cos h R dh w
the arc of contact. In reality, there is a local variation in the ¼ rx h w þ 2 pr sin h R dh w
coefficient of friction from point to point along the arc of Or; rx h w þ rx w dh þ h w drx
contact of the roll (Capus and Cockcroft 1961–62).
þ w drx dh þ 2 s cos h R dh w
A constant coefficient of friction is forcefully assumed in
all theories of rolling, because it is very difficult to ¼ rx h w þ 2 pr sin h R dh w ð12:39aÞ
548
where
rx the longitudinal stress acting on the face of an
arbitrary height h of the thin slab in the
deformation zone, the face being located at an
arbitrary distance x from the exit plane, which is
assumed to lie at x ¼ 0;
rx þ drx the longitudinal stress acting on the face of an
arbitrary height h þ dh of the same thin slab, the
face being located at an arbitrary distance x þ dx
from the exit plane;
h an arbitrary angular position of the slab from the
line joining the roll centres;
dh the angle subtended by the thickness of slab at
the centre of rolls;
pr the radial roll pressure; s = the tangential
shearing friction stress;
R the roll radius; and w ¼ the width of the stock.
Now, after cancelling the term, rx h w; from both sides of
the equality symbol of (12.39a) and as w 6¼ 0; dividing
(12.39a) by w; we get
rx dh þ h drx þ drx dh þ 2 s cos h R dh ¼ 2 pr sin h R dh
ð12:39bÞ
As the term, drx dh; is a multiplication of two small
quantities, the term drx dh may be neglected and (12.39b)
may be given by
rx dh þ h drx ¼ 2 pr R sin h dh % 2 s R cos h dh;
ð12:40aÞ
Or; dðh rx Þ ¼ 2 R ðpr sin h % s cos hÞ dh
Again, the horizontal equilibrium of forces exerted by the
two rolls on a similar vertical thin slab of the stock in the exit
zone gives an equation similar to (12.39a), but with the
frictional force in the opposite direction as follows:
ðrx þ drx Þðh þ dhÞw ¼ rx hw þ 2pr sin hRdhw
ð12:39cÞ
þ 2s cos hRdhw
After similar simplification, (12.39c) reduces to
dðh rx Þ ¼ 2 R ðpr sin h þ s cos hÞ dh ð12:40bÞ
For the entry and exit zone, respectively, (12.40a) and
(12.40b) are combined together as follows:
dðh rx Þ ¼ 2 R ðpr sin h / s cos hÞ dh ð12:41aÞ
Since s ¼ l pr ; assumed by Von Kármán, (12.41a) can be
written as:
dðh rx Þ ¼ 2 R pr ðsin h / l cos hÞ dh ð12:41bÞ
12 Rolling
Equation (12.41b) is the famous Von Kármán differential
equation of friction hill. In (12.41a) and (12.41b), the upper
negative sign ‘−’ applies for the entry zone and the lower
positive sign ‘+’ applies for the exit zone. The yielding
criterion, assumed by Von Kármán, was
p % rx ¼ r00 ð12:42aÞ
where p is the vertical roll pressure (compressive), rx is the
longitudinal compressive stress, and r00 is the plane-strain
deformation resistance (compressive) of the work-piece
being homogenously deformed under plane strain condition.
Vertical equilibrium of forces exerted by the rolls on the
vertical thin slab of the stock in the entry as well as in the
exit zone gives
p dx w ¼ pr cos h R dh w & s sin h R dh w
ð12:43aÞ
Or; p cos h R dh ¼ pr cos h R dh & s sin h R dh
In (12.43a), the upper positive sign, ‘+’ indicates the entry
zone and the lower negative sign ‘−’ indicates the exit zone.
As cos h R dh 6¼ 0; dividing (12.43a) by cos h R dh; we get
p ¼ pr & s tan h ð12:43bÞ
Since s ¼ l pr ; assumed by Von Kármán, (12.43b) can be
written as:
p ¼ pr ð1 & l tan hÞ ð12:43cÞ
With the help of (12.43c), the yielding criterion given by
(12.42a) will become
pr ð1 & l tan hÞ % rx ¼ r00 ð12:42bÞ
12.10 Bland and Ford Theory of Cold Rolling
Almost all attempts so far made to derive an expression for
radial pressure in cold rolling are based commonly on the
simplifying assumptions, on which the derivation of the Von
Kármán differential equation of friction hill is based. Using
polar coordinates, Orowan (1943) developed the most
accurate theory, but the theory proposed by Bland and Ford
was a far simpler one, which although is a little less accurate
is considered in the following text.
Bland and Ford theory of cold rolling (Bland and Ford
1948) has at its starting point Von Kármán differential
equation of friction hill. Assumptions made by Bland and
Ford in 1948 are:
1. In cold rolling, the angle of contact, a; is usually less than
8°; therefore, when radian is used to express the angles, it
follows that
12.10 Bland and Ford Theory of Cold Rolling 549

( )
sin h ) h; and cos h ¼ 1 % 2 sin2 ðh=2Þ ¼ 1 % h2 =2 stress r00 : Further, the variation in the product h r00 is so
) 1: small that dðh r00 Þ may be considered to approach a negli-
gible quantity, since r00 increases as h decreases. Hence, the
With the above assumption, the Von Kármán differential above third assumption is usually reasonable for
(12.41b) is modified to: strain-hardened metal. But this assumption is not valid when
the rate of strain hardening is relatively high, for example
dðh rx Þ ¼ 2 R pr ðh / lÞ dh ð12:44Þ
during initial deformation stage of the work metal after
In (12.44), the upper negative sign ‘−’ applies for the entry annealing, or when the work metal is subjected to high back
zone and the lower positive sign, ‘+’ applies for the exit tension because it reduces the variation of p=r00 over the arc
zone. of contact, which can be seen in (12.56a). For most rolling
2. Cold rolling occurs under usually low frictional condi- operations, in the second and subsequent deformation passes
tions with the coefficient of friction, l , 0:1: Since both l after annealing, the accuracy of this approximation is satis-
and h are small in cold rolling, so l tan h 0 1; and factory leading to an error of only a few percent.
according to Bland and Ford, ‘l tan h’ is neglected in the Equation (12.46) is the result of modification of the
relationship between p and pr ; given by (12.43c) as original Von Kármán differential equation of friction hill by
well as in the yielding criterion, given by (12.42b). Thus, the first two assumptions. Now, with the third assumption,
(12.43c) is modified to: made by Bland and Ford for cold rolling, (12.46) is further
modified to:
p ) pr ð12:45aÞ
! "
p
Since the radial roll pressure pr is the same as the vertical h r00 d ¼ 2 R p ðh / lÞ dh;
r00
roll pressure p; as shown by (12.45a), the suffix may be ! " ! "
p p
omitted and considered as the principal stress. Hence with Or; h d 0 ¼ 2 R 0 ðh / lÞ dh ð12:47aÞ
the above assumption, the yielding criterion for cold rolling r0 r0
approximated by Bland and Ford, i.e. (12.42b), is modified Let y ¼ p=r00 ; then (12.47a) changes to
to:
dy 2 R ðh / lÞ dh
pr % rx ) p % rx ¼ r00 ð12:45bÞ h dy ¼ 2 R y ðh / lÞ dh; or; ¼
y h
By substituting rx ¼ p % r00 ; from (12.45b), and pr ) p ð12:47bÞ
from (12.45a) into the modified Von Kármán differential
equation (12.44), we get Again,
, ( )- h % h2 ¼ 2 R ð1 % cos hÞ; or; h ¼ h2 þ 4 R sin2 ðh=2Þ ;
d h p % r00 ¼ 2 R p ðh / lÞ dh;
& ! "'
0 p where h2 ¼ the thickness of stock at the exit plane.
Or; d h r0 %1 * The angle of contact, h, is very small in cold rolling and
r00
¼ 2 R p ðh / lÞ dh; sin h ) h; therefore, h ¼ h2 þ 4 Rðh=2Þ2 ¼ h2 þ Rh2 : Substi-
! " ! " tuting for h into (12.47b) and integrating, we get:
p p ( )
) h r0 d 0 % 1 þ 0 % 1 d h r00
0
Z Z
r0 r0 dy 2 R ðh / lÞ dh
¼ 2 R p ð h / lÞ dh ð12:46Þ ¼
y h2 þ R h 2
Z Z
3. In the third assumption, Bland and Ford suggested that 2 R h dh 2 l R dh
,( ) - ( ) ,( ) - ¼ /
p=r00 % 1 d h r00 0 h r00 d p=r00 % 1 and to h2 þ R h2 h2 þ R h2
Z Z
simplify the solution of (12.46), the term 2 R h dh 2lR dh
,( ) - ( ) ¼ 2
/ ( 2 )
p=r00 % 1 d h r00 can be ignored in comparison with h2 þ R h h2 1 þ R h =h2
, ( ) - ( )
the term h r00 d p=r00 % 1 : 2lR
) ln y ¼ ln h2 þ R h2 /
h2
rffiffiffiffi !rffiffiffiffi "
The reason behind such suggestion made by Bland and h2 R
! tan%1 h þ Cc ð12:47cÞ
Ford is that under most circumstances, the variation in the R h2
roll pressure p with angular position in the deformation zone
is much greater than the variation in the plane strain flow where Cc is an integration constant.
550 12 Rolling

Substituting h2 þ Rh2 ¼ h; into (12.47c), we get: is h ¼ h2 : Hence, from (12.49a) and (12.50a), we get at the
rffiffiffiffiffi !rffiffiffiffi " entry plane:
#y$ R R
%1
ln ¼ /2 l tan h þ Cc ; A% %
) A%
h h2 h2 c h1 exp ð%l H1 Þ ¼ y ¼ 1; c ¼ exp ðl H1 Þ=h1
* r ffi ffi ffi ffi ! ffiffiffiffi "
r + ð12:51aÞ
R R
) y ¼ h exp /2 l tan %1
h þ Cc ð12:47dÞ
h2 h2 where
rffiffiffiffi !rffiffiffiffi "
Let R R
%1
rffiffiffiffi H1 ¼ 2 tan a ð12:47fÞ
!rffiffiffiffi " h2 h2
R %1 R
H12 tan h ð12:47eÞ
h2 h2 Since for the exit zone h ¼ 0; so from (12.47e) we get
rffiffiffiffi !rffiffiffiffi "
Hence, we can write from (12.47d): R R
%1
H2 ¼ 2 tan 0 ¼ 0:
y ¼ h exp ð/l H þ Cc Þ ¼ Ac h exp ð/l H Þ ð12:48Þ h2 h2
Hence at the exit plane, we get from (12.49b) and
where Ac ¼ expðCc Þ; is a new integration constant. Now,
(12.50b):
(12.48) can be separated into two equations—one with the
upper negative sign ‘−’ for the entry zone and another with Acþ h2 exp ð þ l H2 Þ ¼ Acþ h2 ¼ y þ ¼ 1; ) Acþ ¼ 1=h2
the lower positive sign ‘+’ for the exit zone, as given below:
ð12:51bÞ
%
For the entry zone: y ¼ A% h exp ð%l H Þ ð12:49aÞ
c Now, substituting the value of A%c from (12.51a) into
(12.49a) and the value of Acþ from (12.51b) into (12.49b),
For the exit zone: y þ ¼ Acþ h exp ð þ l H Þ ð12:49bÞ
we get
The integration constants, A% þ
c and Ac , may be deter-
mined from the given stress conditions at the entry and exit p% exp ðl H1 Þ
For the entry zone: y% ¼ ¼ h exp ð%l H Þ
planes. r00 h1
h
¼ exp fl ðH1 % H Þg
h1
12.10.1 Cold Rolling with no External Tensions ð12:52aÞ

If we assume that there is no back tension or front tension, pþ h

then the longitudinal stresses at the entry and exit planes,
which are free surfaces, must be zero, i.e. rx ¼ 0: As the
plane strain homogenous deformation resistance of the
work-piece, r00 ; increases during cold rolling, it is assumed
that r00 will increase gradually from a value of r001 at the
entry plane, to a higher value of r002 at the exit plane. As
y ¼ p=r00 ; so at the entry plane, y% ¼ p% =r001 ; and at the exit
plane, y þ ¼ p þ =r002 : From the yielding criterion modified
by Bland and Ford for cold rolling [see (12.45b)], it follows
that
At the entry plane:
ð12:50aÞ
p% ¼ r001 þ rx ¼ r001 ; or; y% ¼ p% =r001 ¼ 1
At the exit plane:
p þ ¼ r002 þ rx ¼ r002 ; or; y þ ¼ p þ =r002 ¼ 1
ð12:50bÞ
Let us assume that at the entry plane, where the angle of
contact, h ¼ a; the stock thickness is h ¼ h1 ; and at the exit
plane, where the angle of contact, h ¼ 0; the stock thickness
For the exit zone: yþ ¼ ¼ exp ðl H Þ ð12:52bÞ
r00 h2
Hence from (12.52), y% and y þ may be plotted against
the angular position h in the deformation zone, since H in
(12.52) is a function of h: Again since y ¼ p=r00 ; this graph
provides the variation of roll pressure, p; as a function of
angular position h and is often referred to in rolling as the
friction hill because of its shape, which is shown in
Fig. 12.27. The point at which the curves for y% or p% and
y þ or p þ intersect is considered as the location of neutral
point, whose angular position measured from the exit plane
is given by the no-slip angle, w; and which is shown at
h ¼ w in Fig. 12.27.
The longitudinal stress, rx ; at any angular position h from
the line joining the roll centres can easily be determined
from (12.52), since from (12.45b) we get
rx ¼ p % r00 ; or; rx =r00 ¼ p=r00 % 1 ¼ y % 1 ð12:53Þ
The longitudinal stresses are zero at the entry and the exit
planes, but increases with h; i.e. with distance inwards from
the entry as well as the exit planes due to the frictional
contribution resulting in a longitudinal frictional hill. This
12.10 Bland and Ford Theory of Cold Rolling 551

p+
O
p- α ψ
Roll pressure

X N
σB Y h2
h1 σF
Y´
X´ N´
α ψ
O´

x=0
x
θ=α θ=Ψ θ= 0
Entry plane Angular coordinate θ Exit plane

Fig. 12.27 Friction hill showing schematically the variation of roll Fig. 12.28 Application of back tension, rB ; and front tension, rF ;
pressure p as a function of angular position h and the location of the respectively, at the entry and exit sides of the stock
neutral point, i.e. the no-slip angle w

causes increasing resistance to the expansion of vertical

sections under vertical load. Thus, due to the presence of p% r001 % rB rB
) y% ¼ ¼ ¼ 1 % 0 ¼ y1 ðsay) ð12:54bÞ
longitudinal frictional hill, the rolling load required to pro- r001 r001 r01
duce a given deformation is increased.
At the exit plane: r002 ¼ p þ þ rF ; or, p þ ¼ r002 % rF
ð12:54cÞ
12.10.2 Cold Rolling with Back and Front
Tensions p þ r002 % rF rF
) yþ ¼ 0 ¼ 0 ¼ 1 % 0 ¼ y2 ðsay) ð12:54dÞ
r02 r02 r02
Applications of ‘front tension’ and ‘back tension’ are quite
The integration constants, A% þ
c and Ac ; in (12.49) will
common in cold-rolling operation. In a continuous rolling
now be determined by inserting the boundary conditions for
mill arranged in tandem, where the work-piece is fed
back and front tensions given by (12.54b) and (12.54d).
through several stands, it is usual to maintain an interstand
Hence, from (12.49a) and (12.54b), we get at the entry
tension in the work-piece to keep the work-piece straight and
plane, where h ¼ a; and h ¼ h1 :
also to improve the flatness and uniformity of thickness
across the width of the rolled product. Even single-stand A% %
c h1 exp ð%l H1 Þ ¼ y ¼ y1 ; ð12:55aÞ
mills usually employ uncoiler and windup reel to apply, ) Ac ¼ ðy1 =h1 Þ exp ðl H1 Þ
%

respectively, a back tension and a front tension. The appli-

rffiffiffiffi !rffiffiffiffi "
cation of such longitudinal tensile stress has the further R R rB
where H1 ¼ 2 tan%1 a ; and y1 ¼ 1 % :
advantage of reducing the rolling load, as already mentioned h2 h2 r001
in Sect. 12.8. This reduced rolling load further results in less
wear of the rolls and improvement in roll-life. This reduction Again, from (12.49b) and (12.54d), we get at the exit
of rolling load is evident from (12.56). plane, where h ¼ 0; and h ¼ h2 :
Figure 12.28 shows that tensile stresses are applied on the
work-piece, with a value of rB ; at the entry side of the stock, Acþ h2 exp ð þ l H2 Þ ¼ Acþ h2 ¼ y þ ¼ y2 ;
ð12:55bÞ
known as ‘back tension’ and with a value of rF ; at the exit ) Acþ ¼ y2 =h2
side of the stock, known as ‘front tension’. As the longitu-
dinal stress rx is of compressive nature while the back and where
front tensions are of tensile nature, so at the entry plane, rffiffiffiffi !rffiffiffiffi "
rx ¼ %rB ; and at the exit plane, rx ¼ %rF : From the R %1 R rF
H2 ¼ 2 tan 0 ¼ 0; and y2 ¼ 1 % :
yielding criterion modified by Bland and Ford for cold h2 h2 r002
rolling [see (12.45b)], it follows that
Now, substituting the value of A%c from (12.55a) into
At the entry plane: r001 % %
¼ p þ rB ; or, p ¼ r001 % rB (12.49a) and the value of Acþ from (12.55b) into (12.49b),
ð12:54aÞ we get
552 12 Rolling

p% y1 exp ðl H1 Þ causing the no-slip angle to increase. The maximum possible

For the entry zone: y% ¼ ¼ h exp ð%l H Þ
r0 h1 reduction in height of the work-piece increases with the front
!0 " tension since the pulling force increases while the situation is
rB h
¼ 1% 0 exp fl ðH1 % H Þg reversed with the back tension. With the application of back
r01 h1
and front tensions, the torque and mill power required in
ð12:56aÞ
rolling will also decrease since the rolling load decreases.
For the exit zone:
! "
p þ y2 h rF h 12.10.3 No-Slip Angle in Cold Rolling
yþ ¼ ¼ exp ðl H Þ ¼ 1% 0 exp ðl H Þ
r00 h2 r02 h2
ð12:56bÞ At the neutral point, where the angle of contact, h ¼
wðno-slip angleÞ; the friction hill curves for y% and y þ
For most practical cold-rolling operations, equations intersect, i.e. y þ ¼ y% : If the back and front tensions are
(12.56) yield reasonably accurate results, but rolling loads assumed to be present, then (12.56a) and (12.56b) can be
must be corrected for flattening of rolls by applying equated as follows, after putting the stock thickness at the
(12.26). neutral point, h ¼ hn ; and setting H ¼ Hn ; at h ¼ w:
Figure 12.29 shows the effects of back and front tensions
on the friction hill curve, i.e. on the distribution of roll y2 hn y 1 hn
expðl Hn Þ ¼ expfl ðH1 % Hn Þg;
pressure, p; over the projected length of contact, L; from the h2 h1
plane of entrance, where h ¼ a; to the plane of exit, where y 1 h2
Or; exp ð2 l Hn Þ ¼ expðl H1 Þ;
h ¼ 0: The roll pressure can be reduced by either joint or y h
! 2 "1 ! "
individual application of back tension and front tension, as y 1 h2 y2 h 1
evident from (12.56). Since the application of back and/or Or; 2 l Hn ¼ ln þ l H1 ¼ lH1 % ln
y 2 h1 y1 h 2
front tensions reduces the area under the friction hill curve, ! "
H1 1 y 2 h1
so the rolling load is reduced. Depending on the relative ) Hn ¼ % ln
2 2l y 1 h2
magnitudes of applied back and front tensions, the neutral
point may shift causing the no-slip angle to change. The ð12:57aÞ
application of only back tension not only reduces the rolling From (12.47e):
load but also shifts the neutral point towards the exit plane, rffiffiffiffi !rffiffiffiffi "
thereby reducing the no-slip angle. If the magnitude of only R R
Hn ¼ 2 tan%1 w ; or;
back tension is further increased, then along with the h2 h
rffiffiffiffi ! rffi2ffiffiffi
increase in reduction of the rolling load, the neutral point h2 H n R
will shift further towards the exit plane and ultimately reach tan ¼ w;
R 2 h2
the exit plane at some critical high value of back tension,
where the no-slip angle becomes zero. On the other hand, if Therefore, no-slip angle is
only front tension is applied the rolling load will decrease !
rffiffiffiffi rffiffiffiffi
and the neutral point will shift towards the entry plane, thus h2 h2 Hn
w¼ tan ð12:57bÞ
R R 2

Back tension only where the value of Hn will be given by (12.57a).

σB > σB No strip tension
2 1
σB
1
σB Front tension only
Back and
2
12.10.4 Cold-Rolling Load
front tensions σF
Roll pressure

1
The appropriate values of the vertical roll pressure, p;
σF
2 applied to thin slab of area, w dx; is integrated over the
projected length, L; of deformation zone to find the
σF > σF
2 1 cold-rolling load, P. In this, the areas under the two arms of
θ=α θ= 0 the pressure curves, i.e. the curves for y% or p% and y þ or
Entry plane Angular coordinate θ Exit plane
p þ in the friction hill, are integrated separately.
For practical values of h and l; it has already been shown
Fig. 12.29 Effect of back and front tensions on the distribution of roll in (12.45a) that the vertical roll pressure, p ) pr (the radial
pressure
12.10 Bland and Ford Theory of Cold Rolling 553

Then, Ellis proposed that instead of variable r00 ; a steady

P value, i.e. an average value of plane strain deformation
resistance or flow stress, r!00 ; be used, which is given by:
Ra 0 Ra 0
0R r0 dh r dh
r 0
!0 ¼ a ¼ 0 0 ð12:58cÞ
0 dh
O a
dθ
Thus, it is renamed as ‘Bland, Ford and Ellis’ theory of
p
θ
cold rolling. Hence, if we consider the correction of the
X Y rolling load due to elastic flattening of rolls, where roll
radius increases from R to R0 as given by (12.26a), and Ellis’
Y´ suggestion given by (12.58c), where the mean flow stress,
X´ R
r!00 , remains constant, then (12.58b) is modified to:
dx Cold-rolling load for deformed rolls,
O´
2 3
Zw Za
6 7
P0 ¼ w R 0 r!00 4 y þ dh þ y% dh5 ð12:59Þ
0 w

P
12.10.5 Cold-Rolling Torque
Fig. 12.30 Application of vertical roll pressure p on an elemental
contact length of dx; where dx ¼ R cos h dh The torque required for steady rolling will be the product of
the net circumferential force in the deformation zone and the
distance from the roll axis to the circumference, i.e. the roll
radius, R: It is assumed that elastic flattening of rolls occurs
roll pressure). Now with reference to Fig. 12.30, the
and the roll radius R increases to R0 according to (12.26a). In
cold-rolling load, P; is given by
Fig. 12.31, consider a thin slice of metal located in the entry
ZL Za zone at an arbitrary angular position h from the line joining the
P¼ p w dx ¼ p w R cos h dh ð12:58aÞ roll centres, where the thin slice makes an angle dh at the
centre of rolls. If w is the stock width, the area of contact
0 0
between the rolls and the thin slice is w R0 dh: If pr is the radial
Since h is very small, usually less than 8° in cold rolling,
and expressed in radian, we may assume that cos h ) 1; in
(12.58a). Assuming plane-strain rolling, i.e. the stock width
w ¼ constant, and the roll radius R to be constant over the
whole of the region of contact, the cold-rolling load from O
(12.58a) can be approximated as dθ
µ pr θ
Pr
Za
X Pr
P ) wR p dh Y
N µ pr
0
! "
Za Za N Y
p X
¼ wR r00
dh ¼ w R r00 y dh ψ
r00 α
0 0
2 3
Zw Za O´
6 7
¼ w R 4 r00 y þ dh þ r00 y% dh5 ð12:58bÞ R

0 w

Equation (12.58b) proposed by Bland and Ford method

did not produce good result, because plane strain deforma- Fig. 12.31 Friction stresses, lpr ; exerted by the metal on the rolls in
the entry as well as in the exit zone. Friction force in the entry zone
tion resistance, r00 ; varies from r001 at a contact angle h ¼ a tends to rotate the rolls in the opposite direction while that in the exit
to r002 at a contact angle, h ¼ 0: zone assists to rotate the rolls in the forward direction of rolling
554 12 Rolling

roll pressure and l the coefficient of friction, each roll along integrals) and, therefore, do not give an accurate value of
the arc of contact in the deformation zone experiences a torque. To find the difference between the two integrals in
friction stress of l pr exerted by the metal. The friction force (12.61a) and (12.61b), Ford suggested the following deriva-
on rolls exerted by the thin slice at its contact with rolls in the tion starting from (12.44). If elastic flattening of rolls is con-
deformation zone is l pr w R0 dh: The friction force in the entry sidered and R is replaced by R0 and pr ) p is put in (12.44), we
zone tends to rotate the rolls in the opposite direction, i.e. in get d ðh rx Þ ¼ 2 R0 p ðh / lÞ dh; which is integrated between
the backward direction of rolling while the direction of friction limits considering back and front tensions as shown below:
force is reversed in the exit zone and thus, the friction force in
the exit zone assists to rotate the rolls in the forward direction h ¼ h1
2 0 13
of rolling. In the exit zone, similar thin slab of metal along with rx ¼
Z %rB Za Zw Za
6 B C7
the direction of friction stress of l pr exerted by the metal on dðh rx Þ ¼ 2 R0 4 p h dh þ l @ p dh % p dhA5;
the surface of roll has been shown in Fig. 12.31. Hence, the h ¼ h2 0 0 w
net circumferential force per roll in the deformation zone, rx ¼ %rF
which is required to rotate each roll in the forward direction, is: 2 3
Za Za Zw
%h1 rB þ h2 rF 6 7
Za Zw Or; ¼ p h dh % l 4 p dh % p dh5;
2 R0
l pr w R0 dh % l pr w R0 dh 2 3
0 w 0

w 0 Za Zw Za
2 3 6 7 1
) l4 p dh % p dh5 ¼ p h dh þ ðh1 rB % h2 rF Þ
Za Zw 2 R0
6 7 w 0 0
¼ l w R0 4 pr dh % pr dh5 ð12:60Þ
ð12:62Þ
w 0
With the help of the above (12.62), (12.61a) changes to:
As l; w and R0 ; all remain constant during rolling, so they
are brought outside the integration sign. Although the rolls For a pair of flattened rolls;
elastically deform to a larger radius R0 ; the distance from the Za
surface to the centre of the roll will still be approximately 0
MT ¼ 2 w R R p h dh þ w R ðh1 rB % h2 rF Þ ð12:63Þ
equal to the original radius R; i.e. torque per roll = net cir-
0
cumferential force per roll ! R. According to (12.45a),
considering that the radial roll pressure, pr ) p (the vertical If we use Ford, Ellis and Bland method, then (12.63)
roll pressure), it follows from (12.60) that the torque for each takes the following form:
elastically flattened roll is:
2 3 For a pair of flattened rolls;
Za Zw Za
6 7
l w R R0 4 p dh % p dh5 MT ¼ 2 w R R r 0 0
!0 y h dh þ w R ðh1 rB % h2 rF Þ
w 0 0
ð12:64Þ
If MT ¼ total cold-rolling torque for a pair of rolls, then

For a pair of elastically

2 flattened rolls,
3
Za Zw 12.10.6 Maximum Allowable Back Tension
6 7 ð12:61aÞ
MT ¼ 2 l w R R0 4 p dh % p dh5
w 0
Considering elastic flattening of rolls and replacing R by R0 ;
(12.57b) becomes:
In case of undeformed rolls, R0 in (12.61a) will be rffiffiffiffi rffiffiffiffi !
replaced by R; and hence, total cold-rolling torque for a pair h2 h2 Hn
No-slip angle, w ¼ tan ;
of undeformed rolls is given by R0 R0 2
2 3 ! "
Za Zw H1 1 y 2 h1
6
MT ¼ 2 l w R2 4 p dh % p dh5
7
ð12:61bÞ where Hn ¼ % ln ; as given by (12.57a).
2 2l y 1 h2
w 0 When back tension, rB , is increased, the neutral plane,
NN 0 ; in Fig. 12.28, shifts towards the exit plane YY 0 and if the
Ford pointed out that the above (12.61a) and (12.61b) value of the back tension, rB ; is excessive then the neutral
involve the difference between two nearly equal areas (the two plane NN 0 coincides with the exit plane YY 0 ; which means the
12.10 Bland and Ford Theory of Cold Rolling 555

neutral angle, w ¼ 0: The effect of back tension on the neutral neutral point at the exit plane, but this method of estimating
point and the neutral angle is evident from Fig. 12.29. If l is laborious. From (12.58b), the rolling load per unit width
neutral angle, w ¼ 0; the exit zone vanishes and the whole of the stock can be written as:
deformation zone becomes the entry zone, where the roll Za
velocity is greater than the stock velocity over the whole arc P
¼R p dh ð12:58dÞ
of contact, and as a result, ‘skidding’ occurs. When skidding w
0
occurs, the rolls rotate but the stock does not move forward,
leading to unnecessary loss of energy. Therefore, skidding is When the neutral point lies at the exit plane, the no-slip
to be avoided at all cost, for which the neutral angle w must be angle w ¼ 0; and the frictional force acts only in the entry
positive, i.e. greater than zero. Hence, zone and entirely in one direction. The friction force on rolls
rffiffiffiffi rffiffiffiffi ! exerted by the stock in the entry zone tends to rotate the rolls
h2 h2 Hn in the backward direction of rolling. If MT is the total torque
w [ 0; or; tan [ 0; when Hn [ 0;
R0 R0 2 for a pair of rolls, the torque per roll per unit width of the
! "
H1 1 y2 h1 y2 h1 stock, which is required to rotate the rolls in the forward
i.e.; [ ln ; or; exp ðl H1 Þ [ ;
2 2l y1 h2 y1 h2 direction of rolling, is:
y2 h1
) y1 [ exp ð%l H1 Þ ð12:65Þ MT =2 w ¼ circumferential force per roll per unit width
h2
of stock in the entry zone
2 3
As per Bland, Ford and Ellis, putting r001 ¼ r !00 ; in Za Za
0 0 P
(12.54b) and r02 ¼ r !0 ; in (12.54d), we get y1 ¼ ! R ¼ 4R l p dh5 ! R ¼ l R2 p dh ¼ l R
0 w
1 % rB =! r00 : Hence from (12.65), it
r0 ; and y2 ¼ 1 % rF =! 0 0
follows: ð12:61cÞ
! "
rB rF h1
1% [ 1 % exp ð%l H1 Þ; ) The coefficient of friction is:
!00
r !00 h2
r
! "
rF h1 rB MT
Or; 1 % 1 % 0 exp ð%lH1 Þ [ 0 ; l¼ ð12:67Þ
! 0 h2
r r
!0 2RP
( ) h1
Or, rB \! r00 % r !00 % rF exp ð%l H1 Þ; For actual measurement of l; the stock is subjected to a
h2 back tension, which causes the neutral point to shift towards
* + * +
0 h1 h1 the exit plane and this back tension is increased gradually
Or; rB \! r0 1 % exp ð%l H1 Þ þ exp ð%l H1 Þ rF
h2 h2 until the exit velocity of the stock equals the peripheral
ð12:66aÞ velocity of rolls making the forward slip zero, where the
* + * + neutral plane coincides with the exit plane. At this point, the
h1 h1 torque and the rolling load at constant reduction and roll speed
) ðrB Þmax ¼ r
!00 1 % exp ð%l H1 Þ þ exp ð%l H1 Þ rF
h2 h2 are measured simultaneously to obtain l using (12.67).
ð12:66bÞ
The above (12.66b) gives the formula for the maximum 12.11 Sims’ Theory of Hot Rolling
allowable back tension. It is obvious that the maximum
allowable back tension increases as the applied front tension The derivation given in Sect. 12.10 assumes that the coef-
increases. ficient of friction is low and that the deformation is homo-
Now the question is: ‘can we increase the front tension geneous. Since the coefficient of friction in hot rolling is
indefinitely?’ high, the derivation in Sect. 12.10 leads to errors in calcu-
The applied front tension must not exceed the yield stress lating the hot-rolling load and particularly large errors in the
of the work-piece in tension, so that the work-piece does not prediction of pressure distribution. Experimental finding by
tear under the action of the front tension. Siebel and Lueg (1933b) shows that in hot rolling, the
coefficient of friction is not constant at all points on the arc of
contact and the deformation is not homogeneous. The
12.10.7 Estimation of Friction Coefficient remaining important assumptions considered for hot rolling
(Whitton and Ford 1955) are: plane strain condition, constant circular arc of contact
and negligible elastic deformation of rolls.
It is possible to estimate the coefficient of friction, l; when A number of methods to calculate the hot-rolling load
the rolling reaches the limiting condition having location of have been developed over the years, but Sims’ theory (Sims
556 12 Rolling

1954) is frequently considered in hot rolling to determine the With the above assumptions, (12.68) can be written as
rolling load. Von Kármán differential equation of friction hill follows:
is the starting point of Sims’ theory. Considering flattening ! "
of rolls due to elastic deformation and replacing the roll r0
h drx þ rx dh ¼ 2 R0 pr h / 0 dh ð12:70Þ
radius, R by the radius of curvature of flattened rolls, R0 , Von 2
Karman differential equation, (12.41a) becomes: dðhrx Þ ¼ From (12.69b),
2R0 ð pr sin h / s cos h Þ dh; where the upper negative sign
‘−’ applies for the entry zone and the lower positive sign, ‘+’ dpr % drx ¼ 0; as r00 is constant: ) drx ¼ dpr ð12:71Þ
applies for the exit zone.
In hot rolling, the coefficient of friction is so high that Again as
l pr + r00 =2 ¼ k; where r00 is the plane-strain flow stress or
h ¼ h2 þ R0 h2 ; ) dh ¼ 2 R0 h dh ð12:72Þ
deformation resistance, and k is the shearing yield stress.
Under such circumstances, the stock surface in contact with With the help of (12.71) and (12.72), (12.70) is modified
the rolls sticks to the roll surface, i.e. a condition of sticking as follows:
friction prevails at the interface between the rolls and the
stock. Here, frictional stress, s ¼ r00 =2 ¼ k: In general, as h dpr þ rx 2 R0 h dh ¼ 2 R0 pr h dh / R0 r
!00 dh;
suggested by ‘Orowan’, s ¼ l pr ; if l pr \r00 =2; or s ¼ Or, h dpr ¼ 2 R0 h ðpr % rx Þ dh / R0 r !00 dh ð12:73Þ
r00 =2; if l pr + r00 =2: Thus, assuming sticking frictional
condition in hot rolling: Now, using (12.69b) we get from (12.73):
! " #p $
r0 h dpr ¼ 2 R0 h r00 dh / R0 r00 dh
dðh rx Þ ¼ 2 R0 pr sin h / 0 cos h dh ð12:68Þ * 4 +
2 dpr ð12:74Þ
0 fðp hÞ=2g & 1
) 0 ¼R dh
Orowan, using an analogy between rolling and plastic r0 h
compression of a mass between rough non-parallel plates,
Let pr =r00 ¼ y; since r00 is constant,
for which Nadai (1931) had obtained a solution, suggested
( )
that a modified yielding criterion could be used for rolling as ) d pr =r00 ¼ dpr =r00 ¼ dy ð12:75Þ
shown below:
Using (12.75) and substituting h ¼ h2 þ R0 h2 into
pr % rx ¼ m r00 ð12:69aÞ (12.74), and then integrating we get:
The value of m depends on the ratio l pr =k: When l ¼ 0; Z Z Z
p 2 R0 h dh R0 dh
the value of m of course is unity, but when the value of l is dy ¼ /
4 h2 þ R 0 h2 h2 þ R0 h2
so high that l pr ¼ k; the value of m falls to p=4: Thus, Z 0 Z
p 2 R h dh R0 dh
(12.68) is considered in Sims’ theory with the following ¼ /
yielding criterion applicable to hot-rolling conditions, where 4 h2 þ R0 h2 h2 R0 2
1þ h
the replacement of m by the factor p=4 in (12.69a) is due to h2
p ( )
Orowan: ) y ¼ ln h2 þ R0 h2
4
rffiffiffiffi !rffiffiffiffi0 "
pr % rx ¼ ðp=4Þ r00 ð12:69bÞ R0 R
/ tan%1 h þ Ch ðintegration constant)
h2 h2
where pr is the radial roll pressure (compressive), rx is the
longitudinal compressive stress, and r00 is the deformation
) For entry zone;
resistance (compressive) of the work-piece being homoge- rffiffiffiffi !rffiffiffiffi0 "
nously deformed under plane strain condition. % p R0 %1 R ð12:76aÞ
y ¼ ln h % tan h þ Ch%
The assumptions in Sims’ theory are: 4 h2 h2

1. The plane strain flow stress r00 is constant over the whole And for exit zone;
rffiffiffiffi !rffiffiffiffi0 "
arc of contact. p R0 %1 R ð12:76bÞ
2. Angle of contact, h; is small. y þ ¼ ln h þ tan h þ Chþ
4 h2 h2
) sin h ) h; cos h ) 1; and h ¼ h2 þ R0 h2 : The integration constants, Ch% and Chþ , are to be deter-
mined from the following boundary conditions:
12.11 Sims’ Theory of Hot Rolling 557

Let us assume that at the entry plane, where the angle of 12.11.1 No-Slip Angle in Hot Rolling
contact h ¼ a; the stock thickness is h ¼ h1 ; and at the exit
plane, where the angle of contact, h ¼ 0; the stock thickness At the neutral point, where the angle of contact, h ¼
is h ¼ h2 : Since the longitudinal stresses at the entry and exit w ðno-slip angleÞ; the friction hill curves for y% and y þ
planes, which are free surfaces, must be zero, i.e. rx ¼ 0; so intersect, i.e. y% ¼ y þ : So, (12.79a) and (12.79b) can be
from the hot-rolling yielding criterion due to Orowan [see equated as follows, after putting the stock thickness at the
(12.69b)], it follows that neutral point, h ¼ hn ; and setting H ¼ Hn ; at h ¼ w:
! " rffiffiffiffi0 * !rffiffiffiffi0 " !rffiffiffiffi0 "+
p r00 p% p p p hn R R R
At the entry plane: p%
r ¼ ; ) y% ¼ r0 ¼ ð12:77aÞ þ ln þ tan%1 a % tan%1 w
4 r0 4 4 4 h1 h2 h2 h2
! " rffiffiffiffi0 !rffiffiffiffi0 "
p p hn R R
p r00 pþ p ¼ þ ln þ tan %1
w
At the exit plane: prþ ¼ ; ) y þ ¼ r0 ¼ ð12:77bÞ 4 4 h2 h2 h2
4 r0 4

The value of y% [(12.77a)], h ¼ a; and h ¼ h1 ; are sub- rffiffiffiffi !rffiffiffiffi0 "

R0 %1 R
stituted into (12.76a) and the integration constant for entry )2 tan w
h2 h2
plane, Ch% , is determined as follows: ! " rffiffiffiffi0 !rffiffiffiffi0 "
p h2 R %1 R
rffiffiffiffi !rffiffiffiffi0 " ¼ ln þ tan a ð12:80Þ
p p R0 %1 R 4 h1 h2 h2
¼ ln h1 % tan a þ Ch%
4 4 h2 h2
rffiffiffiffi !rffiffiffiffi0 " For elastically flattened roll radius R0 ; from (12.8b), a ¼
p p R0 %1 R pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) Ch ¼ % ln h1 þ
%
tan a ð12:78aÞ ðh1 % h2 Þ=R0 : Substituting this value of a into (12.80), we
4 4 h2 h2
get
Similarly, the value of y þ [(12.77b)], h ¼ 0; and h ¼ h2 ; rffiffiffiffi !rffiffiffiffi0 "
are substituted into (12.76b) and the integration constant for R0 %1 R
2 tan w
exit plane, Chþ is determined as follows: h2 h2
rffiffiffiffi rffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! ! "
p p p p R0 %1 R0 h 1 % h 2 p h1
¼ tan % ln
¼ ln h2 þ Chþ ; ) Chþ ¼ % ln h2 ð12:78bÞ h2 h2 R0 4 h2
4 4 4 4
!rffiffiffiffi0 "
The value of C % þ R
h from (12.78a) and that of C h from Or; tan%1 w
(12.78b) are substituted, respectively, into (12.76a) and h2
!rffiffiffiffiffiffiffiffiffiffiffiffiffiffi " rffiffiffiffi ! "
(12.76b) to obtain the entry zone (12.79a) and the exit zone 1 %1 h1 % h2 p h2 h1
¼ tan % ln
(12.79b) as follows: 2 h2 8 R0 h2
rffiffiffiffi !rffiffiffiffi0 " rffiffiffiffi * !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
p R0 %1 R h2 1 h1 % h2
%
For entry zone: y ¼ ln h % tan h ) No-slip angle, w ¼ tan tan%1
4 h2 h2 R0 2 h2
rffiffiffiffi !rffiffiffiffi0 " rffiffiffiffi ! "#
p p R0 %1 R p h2 h1
þ % ln h1 þ tan a % ln
4 4 h2 h2 8 R0 h2
! " rffiffiffiffi0 * !rffiffiffiffi0 "
p p h R R
) y% ¼ þ ln þ tan%1 a
4 4 h1 h2 h2
!rffiffiffiffi0 "+ ð12:81Þ
R
% tan%1 h
h2
ð12:79aÞ
rffiffiffiffi !rffiffiffiffi0ffi " 12.11.2 Hot-Rolling Load
þ p R0 %1 R
For exit zone: y ¼ ln h þ tan h
4 h2 h2 Similar to cold rolling, hot-rolling load is also given by
p p (12.58b), but the only difference is that the plane strain flow
þ % ln h2
4 4! " stress r00 in hot rolling is not likely to increase from the entry
p p h
) yþ ¼ þ ln to the exit plane, which occurs in cold rolling due to strain
4 4 h2
rffiffiffiffi !rffiffiffiffi0 " hardening of metal. Hence, assuming r00 to remain constant
R0 %1 R in hot rolling over the whole arc of contact:
þ tan h ð12:79bÞ
h2 h2
558 12 Rolling

Hot rolling load; Remember that for elastically flattened rolls, h ¼

2 3
Za Zw Za h2 þ R0 h2 ; in which h2 and R0 are constants, and that h ¼ h1
Z
P ¼ w R r00
6
y dh ¼ w R r00 4 y þ dh þ
7
y% dh5 p a
at h ¼ a: Now, the term ln h dh of (12.83) is treated
4 0
0 0 w
with integration by parts, as follows:
Now for elastically flattened rolls, from the exit zone *
Za Z Z & Z ' +a
(12.79b): p p d
ln h dh ¼ ln h dh % ln h dh dh
4 4 dh 0
Zw Zw * ! " rffiffiffiffi0 !rffiffiffiffi0 "+ 0
þ p p h R %1 R * Z ! 0 " +a
y dh ¼ þ ln þ tan h dh p 2R h
4 4 h2 h2 h2 ¼ h ln h % h dh
0 0 4 h 0
2 3
Zw Za ! 0 2
"
p p p p4 h2 þ R h % h2
¼ w % w ln h2 þ ln h dh ¼ a ln h1 % 2 dh5
4 4 4 4 h2 þ R 0 h2
0 0
rffiffiffiffi Zw !rffiffiffiffi0 " 2 3
R0 R Za Za
þ tan%1 h dh p4 dh 5
h2 h2 ¼ a ln h1 % 2 dh þ 2 h2
0
4 h2 þ R0 h2
0 0
ð12:82aÞ 2 3
Za
p4 dh 5
And from entry zone (12.79a) for elastically flattened ¼ a ln h1 % 2 a þ 2
4 1 þ ðR0 =h2 Þ h2
rolls: "
0
rffiffiffiffi !rffiffiffiffi0 "#
! " rffiffiffiffi0 !rffiffiffiffi0 "
p h2 %1 R
Za Za *
p p h R R ¼ a ln h1 % 2 a þ 2 tan a
%
y dh ¼ þ ln þ tan%1 a 4 R0 h2
4 4 h1 h2 h2
w w ð12:84aÞ
rffiffiffiffiffi !rffiffiffiffi0 "+
R0 R !rffiffiffiffi0 "
% tan%1 h dh R R
h2 h2 Again, the term tan%1 h dh; of (12.83) is trea-
Za h2
p p p
¼ ða % wÞ % ða % wÞ ln h1 þ ln hdh ted with integration by parts, as follows:
4 4 4
w Z !rffiffiffiffi0 " !rffiffiffiffi0 " Z
rffiffiffiffi !rffiffiffiffi0 " %1 R %1 R
R0
ða % wÞ tan%1
R
a
tan h dh ¼ tan h dh
þ
h2 h2 h2 h2
Z * & ! r ffi ffi ffi ffi "' Z +
rffiffiffiffi Za !rffiffiffiffi0 " d R0
R0 R % tan%1 h dh dh
% tan%1 h dh ð12:82bÞ dh h2
h2 h2 !rffiffiffiffi0 " Z rffiffiffiffi0
w
R R 1
¼ h tan%1 h % h dh
Now, addition of (12.82a) and (12.82b) gives: h2 h2 1 þ ðR0 =h2 Þ h2
!rffiffiffiffi0 " rffiffiffiffi0 Z
%1 R R h dh
Zw Za ¼ h tan h % h2
þ
y dh þ y% dh ¼
p p p
a % w ln h2 % ða % wÞ ln h1
h2 h2 h2 þ R0 h2
4 4 4 !rffiffiffiffi0 " rffiffiffiffi0 Z
0 R R h2 2 R0 h dh
w
rffiffiffiffi !rffiffiffiffi0 " ¼ h tan%1 h %
R0 R h2 h2 2 R 0
h2 þ R0 h2
þ ða % wÞ tan%1 a !rffiffiffiffi0 " rffiffiffiffi
h2 h2 R 1 h2 ( )
Za ¼ h tan%1 h % ln h2 þ R0 h2
p h2 2 R0
þ ln hdh !rffiffiffiffi0 " rffiffiffiffi
4 %1 R 1 h2
0
3 ¼ h tan h % ln h
rffiffiffiffi 2Zw h2 2 R0
!rffiffiffiffi0 " Za !rffiffiffiffi0 "
R4 0 R R 7 ð12:84bÞ
þ tan%1 h dh % tan%1 h dh5
h2 h2 h2
0 w
It is known that at the neutral plane, where the angle of
contact, h ¼ w; (the no-slip angle), the stock thickness is
ð12:83Þ h ¼ hn ; at the entry plane, where h ¼ a; h ¼ h1 ; and at the
exit plane, where h ¼ 0; h ¼ h2 : Considering these, it fol-
lows from (12.84b):
12.11 Sims’ Theory of Hot Rolling 559

2 3 2 3
rffiffiffiffi Zw !rffiffiffiffi0 " Za !rffiffiffiffi0 " rffiffiffiffi Zw !rffiffiffiffi0 " Za !rffiffiffiffi0 "
R6 0 R R 7 R6 0 R R 7
4 tan%1 h dh % tan%1 h dh5 4 tan%1 h dh % tan%1 h dh5
h2 h2 h2 h2 h2 h2
0 w 0 w
*rffiffiffiffi0 !rffiffiffiffi0 " + rffiffiffiffi "rffiffiffiffi rffiffiffiffi & !rffiffiffiffi0ffi "
R %1 R 1 1 R0 R0 h2 1 %1 R
¼ w tan w % ln hn þ ln h2 ¼2 w tan %1
tan tan a
h2 h2 2 2 h2 h2 R 0 2 h2
* r ffi ffi ffi ffi ! ffiffi0 " rffiffiffiffi0
r ffi ffi !rffiffiffiffi0 "
R0 R R R rffiffiffiffi ! ")#
%1 %1 p h2 h1
% a tan a % w tan w
h2 h2 h2 h2 % ln
+ 8 R0 h2
1 1 rffiffiffiffi !rffiffiffiffi0 " pffiffiffiffiffiffiffiffiffi
% ln h1 þ ln hn R0 R h1 h2
2 2 % a tan %1
a þ ln
rffiffiffiffi !rffiffiffiffi0 " rffiffiffiffi0 !rffiffiffiffi0 " h2 h2 hn
R 0 R R R rffiffiffiffi ! rffiffiffiffi " ! "
¼2 w tan%1 w % a tan%1 a R0 R0 p h1
h2 h2 h2 h2 ¼ w tan %1
a % w ln
pffiffiffiffiffiffiffiffiffi h2 h2 4 h2
h1 h2 rffiffiffiffi !rffiffiffiffi0 " pffiffiffiffiffiffiffiffiffi
þ ln R 0 R h1 h2
hn % a tan%1 a þ ln
ð12:84cÞ h2 h2 hn
ð12:84dÞ
where hn ¼ h2 þ R0 w2 : For elastically flattened roll radius
R0 ; we get from (12.8a), h1 % h2 ¼ R0 a2 : Remembering this Hence, with the help of (12.84a) and (12.84d), (12.83) is
and substituting the value of w from (12.81) into (12.84c), modified as follows:
we get
560 12 Rolling

Therefore, from (12.85), we get 12.11.3 Hot-Rolling Torque

Hot-rolling load for elastically deformed rolls,
Ra Similar to cold rolling, the torque required for steady rolling
P0 ¼ w R0 r00 y dh
0
will be the product of the net circumferential force in the
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi " deformation zone and the distance from the roll axis to the
pffiffiffiffi rffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
0 0 h1 % h2 p R0 h2 %1 h1 % h2 circumference, i.e. the roll radius, R: It is assumed that
¼ w r0 R pffiffiffiffiffiffiffiffiffiffiffiffiffi tan elastic flattening of rolls occurs and the roll radius R
R0 2 h 1 % h 2 R0 h2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! " + increases to R0 according to (12.26a). With reference to
R0 hn p Fig. 12.31, the interfacial friction force on rolls exerted by a
% ln pffiffiffiffiffiffiffiffiffi %
h1 % h2 h1 h2 4 thin slice of metal located at an arbitrary angular position h
* p ffi ffi ffi ffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi p h2 h1 % h 2 in the deformation zone and making an angle dh at the centre
¼ w r00 R0 ðh1 % h2 Þ pffiffiffiffiffiffiffiffiffiffiffiffiffi tan%1
2 h1 % h2 h2 of rolls will be s w R0 dh; where s is the tangential shearing
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! " + friction stress and w the stock width. The friction force in the
R 0 hn p
% ln pffiffiffiffiffiffiffiffiffi % entry zone tends to rotate the rolls in the opposite direction,
h1 % h2 h1 h2 4
* rffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi" i.e. in the backward direction of rolling, while the direction
p h2 h1 % h2 of friction force is reversed in the exit zone and thus, the
¼ w r00 L tan%1
2 h1 % h2 h2 friction force in the exit zone assists to rotate the rolls in the
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! " +
R0 hn p forward direction of rolling. Hence, the net circumferential
% ln pffiffiffiffiffiffiffiffiffi % force per roll in the deformation zone, which is required to
h1 % h2 h1 h2 4
rotate each roll in the forward direction, is:
ð12:86aÞ
Za Zw
¼ w r00 L QS ð12:86bÞ 0
s w R dh % s w R0 dh
Mean specific pressure for elastically flattened rolls is: w 0
2 3
rolling load P0 0 Za Zw ð12:88Þ
pm ¼ ¼ 0 r0 6 7
contact area between roll and stock wL ¼ wR 4 dh % dh5
* rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi" 2
p h 2 h 1 % h2 w 0
¼ r00 tan%1
2 h1 % h2 h2 0
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! 0 r0
" + ¼ wR ½ða % wÞ % w(
R0 hn p 2
% ln p ffi ffi ffi ffi ffi ffi ffi ffi
ffi % ¼ r00 QS ð12:87aÞ
h1 % h2 h1 h2 4
Since s ¼ k ¼ r00 =2; and as r00 ; w and R0 ; all remain
where constant during rolling, so they are brought outside the
integration sign. Although the rolls elastically deform to a
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
p h2 %1 h1 % h2 larger radius R0 ; the distance from the surface to the centre of
QS ¼ tan the roll will still be approximately equal to the original
2 rhffiffi1ffiffiffi% h
ffiffiffiffiffiffiffiffi2ffi ! h
"2
R 0 hn p radius R; i.e. torque per roll ¼ net circumferential force
% ln pffiffiffiffiffiffiffiffiffiffi % ð12:87bÞ per roll ! R: If MT is the total hot-rolling torque for a pair of
h1 % h2 h1 h2 4
rolls, it follows from (12.88) that the hot-rolling torque for a
in which hn ¼ h2 þ R0 w2 : pair of elastically flattened rolls is:
In case of undeformed rolls, hot-rolling load, P; mean
specific pressure, pm ; L and QS can be obtained by replacing For a pair *of flattened rolls; +
R0 with R in (12.86) and (12.87). r0
MT ¼ 2 w R0 0 ða % 2 wÞ ! R ¼ w R R0 r00 ða % 2wÞ
On the basis of Sims’ formulae for roll pressure distri- 2
bution, Larke (1963) has computed the values of Q against ð12:89Þ
percentage reduction in area for different ratios of R=h2 ; i.e.
In case of undeformed rolls, R0 of (12.89) will be replaced
roll radius to thickness of outgoing rolled product. The
by R; and, hence, total hot-rolling torque for a pair of
conclusion of Larke is that results obtained by Sims’ func-
undeformed rolls is given by
tion are somewhat more accurate than those obtained from
either (12.38) proposed by Ekelund or a similar correcting MT ¼ w R2 r00 ða % 2wÞ ð12:90Þ
function suggested by Orowan and Pascoe (1946).
12.11 Sims’ Theory of Hot Rolling
12.11.4 Limitations of Sims’ Theory
• Sims’ theory assumes that spread in negligible, i.e. plane
strain condition prevails during rolling. Thus, this theory
is applicable only to hot rolling of wide strips, where
spread is small.
• Sims’ theory assumes sinh ) h; cos h ) 1; etc. In other
words, it assumes a small angle of contact. Thus, Sims’
theory is applicable only to hot rolling of wide strips
where the angle of contact seldom exceeds 15°.
• Sims’ theory also uses the yielding criterion pr % rx ¼
ðp=4Þr00 ; which was proposed by Orowan on the basis of
a study by Nadai on plastic compression of a mass
between rough non-parallel plates. However, Alexander
prefers the use of pr % rx ¼ r00 as yielding criterion.
12.11.5 Mean Strain Rate
Apart from less well-defined frictional condition and inho-
mogeneous deformation in hot rolling, the other difficulty is
that the flow stress of metal in hot rolling depends upon both
temperature and strain rate (speed of rolls) as in other hot
working processes. It must be noted that the strain-rate
sensitivity of the flow stress (see Sect. 1.11.1 in Chap. 1) is
high at elevated temperature (it is negligible at room tem-
perature) and increases with increasing temperature. There-
fore, the flow stress of metal increases with increasing strain
rate or rolling speed at elevated temperature, resulting in the
requirement of a higher specific pressure for rolling. Hence,
in calculating rolling load, one must obtain the flow stress of
the material corresponding to the strain rate prevailing at the
time of hot rolling. Before the flow stress is used to calculate
the hot-rolling load, the strain rate in the actual rolling
process must be calculated.
For equal percentage of reduction, the strain rate of a
thinner work-piece will be much greater than that of a
thicker one. As the metal passes through the deformation
zone, the strain rate varies, being the maximum at the entry
plane and decreasing to zero at the exit plane. If it is desired
to obtain the deformation resistance of metal from the graphs
produced by Alder and Phillips (1954), it is necessary to
calculate a mean strain rate in rolling. Since hot-rolling
processes involve sticking friction, only the equation for
mean strain rate in sticking friction has been given below.
The mean true strain rate, !e_ ; in flat rolling with sticking
friction may be calculated by dividing the strain by the time
required for a stock to undergo this strain in the deformation
zone of rolls. The time over which the effective rolling is
carried out can be approximated from the ratio of projected
561
length of deformation zone, L; to the speed of rolls, vr ; i.e.
L=vr : Hence, the average true strain rate will be:
lnðh1 =h2 Þ vr h1
!e_ ¼ ¼ ln ð12:91Þ
L=vr L h2
where h1 ¼ the thickness of stock before rolling and h2 ¼
the thickness of stock after rolling, and the strain, e ¼
lnðh =h Þ; the projected length of the arc of contact, L ¼
pffiffiffiffi1ffiffiffiffiffiffi2ffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
R ðh1 % h2 Þ; or more accurately, L ¼ R Dh % ðDh2 =4Þ;
and the speed of rolls per second, vr ¼ 2 p R n; in which R ¼
the roll radius and n ¼ revolutions of rolls per second, i.e. n
is expressed in Hz.
12.12 Lever Arm Ratio, Roll Torque and Mill
Power
The work-piece is compressed by each roll with a rolling
load equal to P: Similarly, the work-piece exerts a separating
force on each roll with the same magnitude of rolling load;
i.e., the roll-separating force is also equal in magnitude to P;
but it acts in a direction opposite to that of rolling load. Thus,
the roll-separating force tends to rotate the rolls in a direction
opposite to the forward direction of rolling. Each roll is
therefore subjected to a turning moment ¼ P a; where P ¼
roll-separating force, and a ¼ the perpendicular distance
between the line of joining the roll centre and the line of
action of the resultant roll-separating force, known as the
lever arm (or, moment arm), as shown schematically in
Fig. 12.32. An examination of the distribution of total roll-
ing load over the arc of contact in the typical friction-hill
pressure distribution indicates that the resultant of
roll-separating force acts at a point lying between the point
of entry and the point of exit; i.e., the lever arm a is some
fraction of projected length of arc of contact, L; which is
denoted by k, and this fraction k is called the lever arm ratio.
However, the motor must apply a torque ¼ P a to each roll
to keep it rotating in the forward direction.
Hence; torque for each work roll ¼ P a ¼ P ða=LÞ L ¼ P k L
Since there are two work rolls, the torque (for a pair of
work rolls) is given by
MT ¼ 2 P a ¼ 2 P k L ð12:92Þ
where a ¼ the lever arm, L ¼ projected length of
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
deformation zone¼ R ðh1 % h2 Þ; and the lever arm ratio
k ¼ a=L: A typical value of k is about 0.5 in hot rolling and
about 0.45 for most cold rolling. If the roll radius is
562 12 Rolling

w R R0 r00 ½ða=2Þ % w( R R0 ½ða=2Þ % w(

k¼ ( 0 ) ¼
Torque, MT = 2Pa w r0 L QS L QS ðLÞ2
0
R R ½ða=2Þ % w(
¼
a
Q S R0 ð h 1 % h2 Þ
R
! "* +
R ða=2Þ % w
P ) Lever arm ratio; k ¼ ð12:93bÞ
h1 % h2 QS

h1 h2 where
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
p h2 %1 h 1 % h2
P QS ¼ tan
R 2 h1 % h2 h2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! "
R 0 hn p
a % ln pffiffiffiffiffiffiffiffiffi % ð12:87bÞ
h1 % h2 h1 h2 4
Thus, the lever arm ratio k in hot rolling can be easily
evaluated from (12.93b), if the thicknesses of the incoming
stock h1 ; and outgoing rolled product h2 ; the radii of unde-
Fig. 12.32 Lever arm, 0 a0 ; and roll torque formed rolls R; and elastically flattened rolls R0 are known,
because other parameters in (12.93b) are functions of h1 ; h2 ;
and R or R0 : Once the lever arm ratio k is evaluated by either of
(12.93), the lever arm (or moment arm) a of elastically flat-
increased from R to R0 due to elastic flattening of rolls, P will
tened rolls in hot rolling can easily be calculated from a ¼ k L:
be replaced by P0 and L will be calculated from
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
R0 ð h 1 % h 2 Þ :
12.12.2 Mill Power

12.12.1 Estimation of Lever Arm Ratio
from Sims’ Theory
Based on the work of Sims, the lever arm ratio in hot rolling
can be determined, the calculation of which is straightfor-
ward and given below. Let us consider elastic flattening of
rolls where the radii of rolls have increased from R to R0 :
According to Sims’ theory of hot rolling, the torque for a
pair of elastically flattened work rolls given by (12.89) is
repeated below for convenience:
MT ¼ w R R0 r00 ða % 2wÞ
Equating (12.89) with (12.92) for MT ; considering
replacement of P by P0 in (12.92) for elastically flattened
rolls, we get
2 P0 k L ¼ w R R0 r00 ða % 2wÞ;
w R R0 r00 #a
) Lever arm ratio; k ¼
P0 L
From (12.86b), hot-rolling load for elastically flattened
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rolls is: P0 ¼ w r00 L QS ; where L ¼ R0 ðh1 % h2 Þ: Now,
substituting P0 into (12.93a), we get
Power is usually supplied to a rolling mill by an electric
motor to overcome the mill torque and to drive the mill. The
mill power supplies the energy for the deformation of metal,
to overcome the frictional forces in the bearings and to
accommodate the energy losses in the motor and
transmission.
Figure 12.32 shows that the resultant roll-separating force
P moves along the circumference of a circle equal to 2 p a;
during one revolution of a single roll. So, the work done to
turn a single roll one revolution ¼ 2 p a P ¼ p MT [see
(12.92)], where MT is the torque for a pair of work rolls.
ð12:89Þ Since two work rolls are involved in rolling, hence
For a pair of rolls,
work per revolution ¼ 2 ð2 p a PÞ ¼ 2 p MT J ð12:94Þ
where P is in newtons, a is in metres, and MT are in
newtons-metres, i.e. in Joules. The power is defined as the
$ ð12:93aÞ work done per unit time and expressed in Js%1 ; i.e. in watts
% w
2 (W). If the rolls revolve at n Hz (revolutions per second),
then the power (in watts) required to operate a pair of rolls is
given by
WR ¼ 4 p a P n ¼ 4 p a P ðN=60Þ ¼ 2 p MT ðN=60ÞW
ð12:95Þ
12.12 Lever Arm Ratio, Roll Torque and Mill Power
where the roll speed N is measured in revolutions per min-
ute. Equation (12.95) expresses the power needed to deform
the metal as it travels through the deformation zone of
rolling. In addition, the power is required to overcome the
friction at each of the roll neck bearings, which support the
rolls.
Assuming that each roll is supported by two bearings, the
load carried by each bearing will be equal to P=2; and the
frictional drag caused by each bearing will be lb P=2; where
lb is the coefficient of friction at the bearing. If db is the
bearing diameter (measured in metres), each bearing will
require a torque equal to ðlb P=2Þ ! ðdb =2Þ ¼ lb P db =4:
Since there will be four bearings for a pair of rolls, so the
total torque required will be lb P db N m or J: Hence, the
total power (in watts) required for four bearings is given by
WB ¼ lb P db x ¼ lb P db 2 p n ¼ lb P db ð2 p N=60ÞW
ð12:96Þ
where x ¼ the angular speed of rolls in rad=s: Usually, the
power needed for the roll-neck bearings is small, because the
typical values of the coefficient of friction of well-lubricated
bearings (Underwood 1943) range only from 0.002 to 0.01.
Hence, the total power requirement for two rolls with four
bearings will be
WT ¼ WR þ WB ¼ ðMT þ lb P db Þ ð2 p N=60ÞW ð12:97Þ
The energy losses in the motor and transmission may be
included in the overall power requirement of the mill by
factors representing their efficiencies, gm and gt respectively.
Hence, the overall power requirement of the mill will be
WT 1 2 pN
WM ¼ ¼ ð M T þ lb P d b Þ W ð12:98Þ
gm gt gm gt 60
12.13 Minimum Thickness in Rolling
When a thin hard work-piece is rolled, it is found that it
cannot be reduced below a certain limiting thickness. Further
rolling to bring thickness below the limiting one deforms the
rolls heavily, while that work-piece remains plastically
undeformed. This may happen when the flow stress and the
hardness of the work-piece becomes higher than that of the
rolls, but it is yet to understand why the performance should
be related to the thickness. In fact under perfectly frictionless
condition, rolling could theoretically be continued till an
infinitely thin rolled product is achieved. In such case,
feeding the thin work-piece into the roll throat is of course
necessary because the rolls would have no bite. The friction
causes to increase the longitudinal stress, which in turn
increases the roll pressure (see Sect. 12.10.1)—creating the
563
friction hill and a corresponding increase in rolling load.
Under plane strain condition as the stock width, w; does not
change and if the roll radius, R; and the draft, Dh; are kept
constant, the length of the deformation zone, L; remains
pffiffiffiffiffiffiffiffiffi
constant as L ¼ R Dh; (12.11b), so the contact area ¼ w L;
on which the frictional stress acts will also remain constant.
But as the ingoing stock thickness, h1; is decreased, the
ingoing cross-sectional area of the metal ¼ w h1 ; will
decrease, resulting in an increase in the average longitudinal
stress, which in turn increases the roll pressure and rolling
load. Thus, with reduction in the stock thickness an
increasingly high rolling load is required for a given draft,
which is similar to the requirement of higher deformation
load for metal of greater hardness. So when a particular
thickness of the metal is reached, the rolling load becomes so
high that the rolls will deform more easily than the metal.
Any parameter that causes an increasingly high rolling
load requirement for deformation of metal will limit the
thickness of the ingoing stock. The main factors for
increasing rolling load are increased mean flow stress or
deformation resistance of the work-piece, r !00 ; higher coeffi-
cient of friction, l; larger area of contact between the
work-piece and the rolls and lower elastic modulus of the
rolls, Er ; resulting in more elastic flattening of the rolls that
causes an increased roll radius to R0 , (see Sect. 12.7.1), and a
corresponding increase in the contact area. Again, the area of
contact between the work-piece and the roll increases with
the length of the deformation zone, L; which, in turn,
increases with increase of the roll radius, R; and/or the draft,
pffiffiffiffiffiffiffiffiffi
Dh; as L ¼ R Dh: Obviously, with the reduction of draft
and/or using smaller roll radius and/or with higher elastic
modulus of the roll material, the load is reduced and a
thinner rolled product can be achieved, but below a limiting
thickness no further reduction is possible. In fact, the min-
imum or limiting thickness, hmin ; below which the
work-piece cannot be reduced further, is very nearly pro-
portional to these following parameters:
!00
hmin / Cr l R r ð12:99aÞ
where Cr is the elastic deformation parameter of the rolls, as
given by (12.27). Since Cr is inversely proportional to Er ;
lRr!00
) hmin / ð12:99bÞ
Er
where Er = elastic modulus of the roll material.
For steel rolls, a useful formula (Tong and Sachs 1957) to
estimate the limiting thickness is:
!00 mm
hmin ¼ 0:035 l R r ð12:100Þ
!00 in kN=mm2 :
where R is measured in mm and r
564
Consequently, the following measures may be adopted to
achieve the thinnest possible rolled product:
• The metal to be used as a work-piece should be in an-
nealed condition in order to obtain a low hardness and
thereby a low flow stress or deformation resistance. Thus,
the annealed steel is always preferred to the normalized
steel.
• In order to reduce the rolling load, the interfacial coeffi-
cient of friction should be as low as possible, for which
polished rolls with a good lubricant should be used.
• In order to reduce the length of the deformation zone and
in turn to reduce the rolling load, small-diameter rolls
should be used.
• Use rolls having higher elastic modulus to improve the
resistance to elastic flattening of the rolls themselves,
which will reduce the area of contact between the
work-piece and the rolls and thereby reduce the rolling
load. Thus, the rolls made of tungsten carbide that has a
much higher elastic modulus than steel is preferable to
use in industrial production. Although such rolls are very
expensive, their industrial applications, especially in the
Sendzimir mill (Sect. 12.2), have proved to be worthy.
• Apply front and back tensions to the work-piece in order
to reduce the rolling load and, thus, the roll deformation
for a given pass. But applications of too much tension
may be dangerous when the rolled product is very thin.
• Apart from adoption of all above measures, the rolled
product may also be thinned down by pack rolling or
rolling in pairs. However, it is usually not economical in
production to roll the work-piece long before reaching
the ultimate limit.
12.14 Factors Controlling Rolling
The main variables which control the rolling process are:
1. The plane-strain yield stress or deformation resistance of
the material, r00 ¼ 2 k; where k is the shearing yield stress
of the metal.
2. Roll radius, R:
3. Ingoing thickness of the work-piece, h1 :
4. Reduction of the work-piece, r:
5. Coefficient of friction between the rolls and the
work-piece, l: Usually, l varies from 0.05 to 0.1 for cold
rolling and from 0.2 up to sticking condition for hot
rolling.
6. Width of the work-piece, w:
7. The presence of back tension, rB ; and front tension, rF :
8. Rolling speed.
12 Rolling
1. The plain-strain yield stress or deformation resistance of
metal:
(i) The higher the deformation resistance of the metal,
the higher is the mean specific pressure, rolling
load, rolling torque and mill power required.
(ii) As the mean deformation resistance, r !00 ; of the
metal increases, the limiting thickness ðhmin Þ below
which the work-piece cannot be reduced further
( )
increases, since hmin / l R r !00 =Er ; (12.99b).
2. Roll radius:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
(i) Since angle of contact, a ¼ 2 sin%1 Dh=4 R
(12.7), so for the same draft Dh; the larger the roll
radius R; the smaller is the angle of contact a; and
the easier is the unaided entry of the work-piece
into the roll throat.
(ii) Since maximum draft, Dhmax ¼ 4 R sin2
ðf =2Þ(12.17a), so for the same frictional condition,
the higher the roll radius R, the higher is the
maximum possible draft.
(iii) According to (12.18), since maximum reduction,
. /
rmax ¼ ðh1 % h2 Þmax =h1 ¼ 4R sin2 ðf =2Þ =h1 ; or
.
the incoming stock thickness, h1 ¼ 4 R sin2
ðf =2Þ(=rmax ; therefore for the same frictional
condition and maximum reduction, a
large-diameter roll will permit a thicker
work-piece to enter the rolls than will a
small-diameter roll.
(iv) As the roll radius, R; increases, the limiting
thickness ðhmin Þ below which the work-piece
cannot be reduced further increases, since hmin /
( )
lRr !00 =Er : Hence, thinner gauge sheet can be
produced with small-diameter rolls.
( )
(v) From (12.22c), forward slip, SF ¼ R w2 =h2 ; so
for the same no-slip angle ðwÞ and outgoing
thickness ðh2 Þ of product, forward slip increases
with increase in roll radius, provided no back
tension or front tension is applied because tension
changes the no-slip angle.
(vi) The larger is the roll diameter, the higher is the
mean specific pressure, rolling load, rolling torque
and mill power required.
3. Ingoing thickness of the work-piece:
. /
(i) Since reduction, r ¼ ðh1 % h2 Þ=h1 ¼ 4 R sin2 ða=2Þ =h1 ;
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
) a ¼ 2 sin%1 ðr h1 Þ=4 R: So for the same roll
radius and reduction, the higher the ingoing thick-
ness of the work-piece, h1 ; the larger is the angle of
contact, a; and the more difficult it is for the
work-piece to enter the roll throat in an unaided
rolling process.
12.14 Factors Controlling Rolling
(ii) Since % maximum reduction, % rmax ¼
.,
4 R sin2 ðf =2Þ =h1 ! 100; so the maximum
possible per cent reduction is inversely propor-
tional to the ingoing thickness, h1 ; of the
work-piece. Hence, the larger the ingoing thick-
ness of the work-piece, the smaller is the maxi-
mum possible per cent reduction.
(iii) The lower the ingoing thickness of the work-piece,
the higher is the mean specific pressure, rolling
load, rolling torque and mill power required.
4. Reduction of the work-piece:
(i) Since the angle of contact, a ¼ 2 sin%1
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðr h1 Þ=4 R; so for the same roll radius and
ingoing thickness of the work-piece, the higher the
reduction, r; the greater is the angle of contact, a;
and the more difficult it is for the work-piece to
enter the roll throat in an unaided rolling process.
(ii) If the reduction, r ¼ Dh=h1 ; or the draft, Dh; is
reduced, the load will also be reduced and the
thinner work-piece can be rolled, but a limit is
reached when no reduction at all is possible.
(iii) The greater the reduction, the higher is the mean
specific pressure, rolling load, rolling torque and
mill power required.
5. Friction or coefficient of friction:
(i) Since maximum reduction, rmax ¼ Dhmax =h1 ¼ 4
ðR=h1 Þ sin2 ðf =2Þ; where, f ¼ tan%1 l; so for the
same roll radius and ingoing thickness of the
work-piece, the higher the coefficient of friction l;
the larger is the angle of bite ðamax Þ; [since amax ¼
f (; the maximum draft ðDhmax Þ; and the maximum
possible reduction (rmax ), in a pass.
(ii) Since ingoing
. 2
4 R sin ðf =2Þ=rmax ; therefore, for the same roll
radius, R; and maximum reduction, rmax ; higher
interface friction, l; will permit a thicker
work-piece to enter the roll throat.
(iii) The higher is the coefficient of friction l; the
greater is the mean specific pressure, rolling load,
rolling torque and the mill power required.
(iv) As the coefficient of friction, l; increases, the
limiting thickness ðhmin Þ below which the
work-piece cannot be reduced further increases,
since hmin / ðl R r!0 0 Þ=Er : So to get a thinner
gauge rolled product, cold rolling is adopted,
because the coefficient of friction, l; for cold
rolling is lower than that for hot rolling.
6. Width of the work-piece:
The greater the width of the work-piece, the more is the
contact area between the rolls and the work-piece and so,
the higher is the rolling load, rolling torque and the mill
565
power required. The width of the work-piece does not
- / affect the rolling pressure.
7. Presence of back tension and front tension:
(a) Back tension:
(i) Higher the back tension, the lesser will be the
exit velocity of the work-piece and the exit
zone area. Hence, higher is the back tension
the lower is the no-slip angle, w: Thus, there is
a maximum back tension, known as a critical
back tension for each rolling condition, at
which w ¼ 0; and skidding of rolls occurs.
(ii) As back tension increases, forward slip, SF ;
decreases due to decrease in the no-slip angle,
( )
w; since SF ¼ R w2 =h2 : Critical back ten-
sion, at which w ¼ 0; results in zero forward
slip.
(iii) Higher is the back tension, the lower is the
mean specific pressure, rolling load, rolling
torque and the mill power required, because
from (12.54a), at the entry plane roll pressure
p% ¼ r001 % rB where r001 is the plane-strain
deformation resistance of the work-piece at the
entry plane and rB is the back tension.
(b) Front tension:
(i) Higher the front tension, the greater will be the
exit velocity of the work-piece and the exit
zone area. Hence, higher is the front tension,
the larger is the no-slip angle, w:
(ii) As the front tension increases, the forward
slip, SF ; increases due to increase in the
( )
no-slip angle, w; since SF ¼ R w2 =h2 :
(iii) Higher is the front tension, the lower is the
mean specific pressure, rolling load, rolling
stock thickness, h1 ¼
/ torque and the mill power required, because
from (12.54c), at the exit plane roll pressure
p þ ¼ r002 % rF where r002 is the plane-strain
deformation resistance of the work-piece at the
exit plane and rF is the front tension.
8. Rolling Speed
(i) As the rolling speed increases, the rate of pro-
duction increases.
(ii) As the rolling speed, i.e. the strain rate, increases,
the deformation resistance of the stock increases
during hot rolling, since the strain-rate sensitivity,
m; of flow stress increases with temperature.
Hence, the mean specific pressure, rolling load,
rolling torque and mill power required for rolling
increase when rolling speed increases in hot roll-
ing. On the other hand, the deformation resistance
of work-piece is only slightly affected by the
rolling speed or the strain rate in cold rolling, since
m is insignificant at cold working temperature.
566
Therefore, in cold rolling, rate of production can
be increased by increasing the rolling speed
without affecting the mean specific pressure, roll-
ing load, rolling torque and mill power to any
appreciable extent.
(iii) The thickness of the rolled metal produced on a
cold-rolling mill can be decreased appreciably by
increasing the rolling speed. This is attributable to
the decrease in the coefficient of friction with
increasing the speed of rolling (Sims and Arthur
1952).
12.15 Gauge Control
The outgoing thickness of the rolled product or gauge is an
important factor, which can be controlled by considering the
characteristic elastic and plastic curves for a rolling mill. The
elastic curve arises from the effect of rolling load on the
elastic distortion of the rolling mill and known as mill
modulus graph. The effect of load on the plastic deformation
of the work-piece in the roll gap provides the plastic
deformation curve for the metal, which is essentially what
would be obtained by the solution of rolling load equations
for rolling work-piece of a given initial thickness to various
final thicknesses.
Under the action of roll-separating force, the top of the
mill housing is pushed upwards by the upper roll and the
base is pushed downwards by the lower rolls. Therefore, a
tensile stress, which is obviously below the yield strength of
the cast steel normally used for housing, acts on the housing
and causes an appreciable elastic extension. The extent of
deformation depends upon (a) the roll-separating force,
(b) the height of the housing and the cross-sectional area of
the housing. If the extent of extension is large, the mill is
(a) (b)
Rolling load
Springback
0 g
Rolling Load Thickness
Fig. 12.33 a Mill springback versus rolling load curve. b Mill
modulus line showing the relationship between the outgoing gauges of
the rolled piece and the resulting rolling loads for a constant passive
12 Rolling
said to be soft or springy, while if it is small the mill is said
to be hard or rigid. This extension of housing will obviously
influence the gauge of the rolled product, because the force
imparted by the entry of the stock stretches the mill and
causes the mill gap, which was set prior to feeding the stock
to be rolled, to increase. The setting of the rolls prior to the
entry of the stock is called the passive roll gap, while the
actual gap formed when the stock passes through is called
the active roll gap. The difference between the active and
passive roll gaps is called the mill springback, which is
related to a characteristic of the mill, known as mill modulus.
Mill modulus can be determined in the following way.
A series of different pieces of work-pieces with constant
widths are rolled through a constant passive roll gap (set
prior to the entry of the stock), say g; and these yield dif-
ferent rolling loads, which are measured. Either different
metals or different initial gauges of the same metal can be
used to vary the rolling loads. The thicknesses of different
pieces after rolling are measured to find the outgoing gauges
that correspond to the active roll gaps. If sm denotes the mill
‘springback’, which is the difference between outgoing rol-
led piece thickness, say h2 ; and the roll gap setting, i.e. the
passive roll gap g; then
sm ¼ h2 % g ð12:101Þ
The mill springback increases almost linearly with the
rolling load, say P; as shown in the plot of springback ðsm Þ
versus load ðPÞ in Fig. 12.33a. The slope of this approxi-
mately linear curve, i.e. sm =P; is known as mill modulus. The
mill springback curve will vary slightly with the width of
work-piece being rolled. Since the passive roll gap g remains
constant, so the active roll gap, i.e. the outgoing gauge, h2 ;
increases almost linearly with the rolling load P: Fig-
ure 12.33b shows a typical almost linear plot of the rolling
load P against the outgoing gauge h2 : If this approximately
linear curve is extrapolated back to meet the gauge axis at a
(c)
Rolling load
0 Thickness h1
roll gap g: c Plastic curve showing the relationship between the
outgoing gauges of the stock rolled from an initial thickness, h1 ; and
the necessary rolling loads
12.15 Gauge Control
point where the rolling load P ¼ 0; that point will give the
value of passive roll gap, g: Hence, the equation of the
straight line in Fig. 12.33b, assuming m to be the slope of
the curve, is:
P % 0 ¼ mðh2 % gÞ or; h2 ¼ g þ ð1=mÞ P ð12:102Þ
where 1=m is called the mill modulus.
Therefore, mill modulus is
1 h2 % g s m
¼ ¼ ð12:103Þ
m P P
If the rolling load is expressed in N, and the units of the
active roll gap and the passive roll gap are mm, then the mill
modulus will be expressed in mm=N: The mill modulus is an
important factor required for setting the passive roll gap for a
given pass. This is one of the reasons to determine rolling
load with reasonable accuracy before rolling.
To achieve accurate gauge control for a particular metal
being rolled, it is required to have the plastic deformation
curve for the metal. This curve provides the relationship
between the outgoing thickness h2 of the metal piece, rolled
from an initial thickness h1 ; and the necessary rolling load P:
To obtain such a curve, a series of identical metal pieces of
constant initial thickness, h1 ; is rolled in a mill by reducing
the initial setting of the roll gaps and the necessary rolling
loads that vary in magnitude are measured. Figure 12.33c
shows a typical curve, which is often called the plastic
curve. The reason for the steep rise in the plastic curve for
small values of thickness is the elastic flattening of rolls.
To achieve a system of gauge control, it is required to plot
a graph by combining the mill modulus line given in
Fig. 12.33b and the plastic curve given in Fig. 12.33c. Such
a composite curve for a specific metal rolled in a given mill
is shown in Fig. 12.34. The intersection of the mill modulus
line and the plastic curve determines the actual gauge pro-
duced for a given initial passive roll gap and a given initial
thickness of metal. Hence according to Fig. 12.34, in order
to achieve an outgoing gauge h2 produced by rolling from an
incoming gauge h1 of metal, the passive roll gap must be set
at g; which produces a rolling load, say P1 :
If the incoming gauge of the metal is increased from h1 to
h1a ; the plastic line will be moved to the right side along the
gauge axis to start at h1a and the outgoing gauge of the rolled
metal will be increased to h2a ; for a passive roll gap initially
set at g; as shown in Fig. 12.35. This increase in the out-
going thickness increases the rolling load from P1 to P2 : To
avoid the production of off-gauge metal and maintain the
outgoing gauge at a constant value of h2 ; the passive roll gap
must be closed to a value g1 ; which further increases the
rolling load to P3 :
Factors which decrease the load necessary for rolling of
the metal reduce the outgoing gauge of the rolled product for
567
Rolling load
P1
g h2 h1
Thickness
Fig. 12.34 Combination of mill modulus line and plastic curve. Their
intersection determines the actual thickness, h2 ; of metal produced for a
given initial passive roll gap, g; and a given initial thickness of metal, h1 :
a given setting on a given mill. Thus, softer metal, better
lubrication and the application of back or front tension yield
thinner rolled products, as discussed in Sect. 12.13. Let us
discuss the effect of applied tension, yield stress, friction and
mill stiffness on the outgoing thicknesses of the rolled metal
while maintaining the incoming gauge of metal at the value
of h1 and the passive roll gap at g: If there is an increase in
tension, the plastic curve will move to the left without
changing the incoming gauge of metal from h1 ; as shown in
Fig. 12.36. The outgoing gauge of the rolled metal will be
reduced from h2 to h2b ; and the rolling load will be
decreased from P1 to P4 ; for a passive roll gap initially set at
g: To maintain the outgoing gauge at a constant initial value
of h2 ; instead of the reduced outgoing thickness h2b ; the
passive roll gap would have to be opened to a value g3 ;
which would decrease the rolling load from P4 to P8 : On the
other hand, Fig. 12.36 shows that the plastic curve with the
same incoming gauge value of h1 will be raised if there is an
increase in coefficient of friction, l; which may occur due to
the breakdown of lubrication, or if there is an increase in the
plane strain yield stress, r00 ; which may occur due to the
decrease in temperature. As a result, the thickness of out-
going rolled product will be increased from h2 to h2c ; for a
passive roll gap initially set at g; and the rolling load will be
increased from P1 to P5 : To maintain the outgoing gauge at a
constant initial value of h2 ; instead of the larger outgoing
thickness h2c ; the passive roll gap would have to be closed to
a value g2 ; which would further increase the rolling load
from P5 to P7 : The outgoing gauge of the rolled product is
also influenced by the mill stiffness. A stiffer mill, with
stiffer mill modulus line for a passive roll gap initially set at
g; will provide a less active roll gap and consequently a
thinner final rolled product, h2d ; resulting in an increase in
rolling load from P1 to P6 ; as shown in Fig. 12.36.
568
Rolling Load
P3
P2
P1
g1 g h2 h2 α h1 h1 α
Thickness
Fig. 12.35 Effects of varying ingoing stock thickness and the passive
roll gap on the outgoing rolled-metal thickness
The gauge of a rolled metal can vary across its width or
along its length. Normally, width variation in gauge is
associated with shape control and this has been discussed in
Sect. 12.7.2. Outgoing gauge variation along the length of
rolled metal arises mainly from variations in thickness and
hardness in the ingoing work-piece. Factors that affect the
outgoing gauge also include roll speed and lubricant which
influence the elastic flattening of the rolls, rolls which are not
precisely concentric with their bearings, and changes in
interstand tension, and rolling temperature. To control the
outgoing gauge, in principle, it is possible to use any of the
parameters, which are ingoing stock thickness, passive roll
gap, yield stress, friction, mill stiffness and applied tension.
The most obvious method is to change the passive roll gap,
which is generally applied in rolling heavy gauges. For this,
it is required to continuously measure the outgoing thickness
of the rolled product by online sensors. The most commonly
used sensing devices are the flying micrometre and X-ray or
isotopes. The gauge systems measure the outgoing thickness
by monitoring the amount of radiation transmitted through
the rolled product. The values of outgoing gauges are fed
instantly to a device which adjusts the mill screws and
thereby correct the passive roll gap.
The above method of gauge control is however not so
satisfactory if the incoming work-piece is very thin. As the
incoming work-piece becomes thinner and harder, the plastic
curve becomes progressively steep and the intersection of
the plastic curve and the mill modulus line becomes pro-
gressively less dependent on variation of passive roll gap,
and thus, the outgoing gauges become progressively less
responsive to the adjustment of the mill screws. Since the
rolling load and thereby the roll-separating force increase
12 Rolling
Increase in µ or σ 0́
Stiffer mill
P7
P5
P6
Rolling load
P1
P4 Increase in
P8 tension
g2 g g3 h2d h2b h2 h2c h1
Thickness
Fig. 12.36 Effects of applied tension, yield stress, friction and mill
stiffness on the outgoing thicknesses of the rolled metal
with reduction in the stock thickness, so the active roll gap
will increase and consequently the outgoing rolled product
will be thicker. Correct outgoing gauge can be achieved if
the load on the rolls is reduced to its original value, which
causes the active roll gap to return to its former size. To
achieve this, if horizontal tensile stresses (back tension, front
tension or both) are applied to the work-piece the stress
required to roll the metal, and therefore the rolling load, will
decrease, as explained in Sect. 12.10.2. Resistance strain
gauges are either placed between the screwdowns and the
roll bearings or attached to the mill housing and used to
continuously monitor the rolling load, so that variations in
roll-separating force, and therefore active roll gap, are
instantaneously detected. In response to electrical signals,
corrections are rapidly made by adjusting the tension in the
work-piece through altering the speed of coiling-drum in
single-stand cold-rolling mills. Control of outgoing gauge
through adjustment of the tension in the work-piece is a
more sensitive and rapid technique than control through the
adjustment in the setting of passive roll gap. Additional
advantage of gauge-control by adjusting the tension is that
the correction of outgoing gauge is achieved by reducing
rolling load, whereas in the passive roll gap adjustment
method, the rolling load is increased. The disadvantage of
the former method is that tension cannot be applied to the
work-piece during hot rolling. In continuous cold-rolling
mills, the gauge error detected by radiation following the
first stand is usually feedback to adjust the passive roll gap
setting on the first stand, while gauge control in subsequent
stands is usually achieved by adjustment of the tension in the
work-piece through controlling the relative roll speed in
successive stands.
12.16 Defects in Rolled Products
12.16 Defects in Rolled Products
Flatness and uniform thickness over the width and along the
length are two important aspects of a rolled product. For these,
a perfectly uniform roll gap must be maintained during rolling.
In case of a non-uniform roll gap, the thickness of one edge
will be reduced more than the other edge of the work-piece and
the thinner edge will elongate more since volume and width of
the work-piece remain constant during rolling. This results in
bowing of the rolled product. When rolls elastically bend
under the roll-separating force, there will be lack of flatness in
the stock and wavy edges develop. The deflection of rolls
causing the edges to become thinner than the centre is shown
in Fig. 12.37a. This in turn tends to elongate the edges more
than the centre, but the edges are restrained by the centre
portion from elongating freely since the work-piece is a con-
tinuous body. This results in the development of compressive
stresses in the edges induced by the centre and tensile stresses
in the centre due to the stretching by the edges, as shown in
Fig. 12.37b. The compression of edges in the rolling direction
causes them to buckle; i.e., waviness results in the edges and
the flatness of the rolled product is lost, as shown in
Fig. 12.37c. For relatively thick flat stocks, the residual ten-
sion in the centre caused by the elongated edges could produce
short ‘zipper breaks’ or crack in the centre of the rolled pro-
duct, as shown in Fig. 12.37d. To solve the above problem, the
rolls having ground convex camber (or crown) or the rolling
mill equipped with hydraulic jack can be used, as discussed
earlier in Sect. 12.7.2. If the rolls are over-cambered, it will
cause the centre to become thinner than the edges, as shown in
Fig. 12.38a, and the stress pattern will be reversed; i.e., there
will be development of tension at the edges and compression at
Fig. 12.37 Possible effects of (a)
roll bending. Bent rolls cause
a the edges to become thinner
than the centre; b to develop
residual stresses; c to produce
wavy edges; and d short ‘zipper
breaks’ or crack in the centre
(c)
569
the centre, as shown in Fig. 12.38b. Hence, the centre may
buckle; i.e., a wavy centre may form due to the compressive
stress, as shown in Fig. 12.38c, and edge cracking may
occur due to the tensile stress, as shown in Fig. 12.38d.
Once the rolled product has lost its shape badly, which is
generally considered to occur in the hot-rolling step, it can
never be recovered completely and must be scrapped.
Greatest shape problems occur during rolling of thin
work-piece, probably less than 0.25 mm, because slight
errors in the roll gap profile are magnified with reduction in
thickness and thinner the section lesser is the resistance to
buckling. Minor shape problem may be rectified by applying
roller-levelling or stretcher-levelling operation.
Inhomogeneous deformation in the rolling direction of
the stock can also cause loss of flatness and shape. During
rolling, the width of the stock tends to spread laterally in the
transverse direction, but this is resisted by transverse fric-
tional forces. Since frictional forces are higher towards the
centre of the stock, the lateral spread of the central region
will be much less than that of the edge region. The thickness
reduction in the centre mostly leads to an increase in its
length, while one part of the thickness reduction at the edges
causes the lateral spread and the other part goes into an
increase in the length, resulting in a shorter length at the
edges than in the centre of the work-piece. Due to this, the
ends of the stock may be slightly rounded, as shown in
Fig. 12.39a. To maintain continuity between the centre and
edges, the centre is compressed while the edges are stretched
in tension, which may lead to edge cracking, similar to that
shown in Fig. 12.38d. Under severe conditions, the stress
pattern shown in Fig. 12.39a may cause lengthwise splitting
at the centre of the stock, as shown in Fig. 12.39b.
(b)
(d)
570
Fig. 12.38 Possible effects of
over-cambering of rolls. (a)
Over-cambered rolls cause a the
centre to become thinner than the
edges; b to develop residual
stresses; c to produce wavy
centre; and d edge cracking
(c)
Inhomogeneous deformation in the thickness direction
caused by either light reductions or heavy reductions can also
lead to edge cracking (Polakowski 1949–1950). When a thick
work-piece is lightly reduced so that only its surface is
deformed, then it becomes wider at the surfaces than at the
centre throughout its length, as shown in Fig. 12.40a. The
overhanging edges of surface metal are not compressed
directly in subsequent deformation through the rolls but are
compelled to increase in length by the neighbouring metal
nearer to the centre. This stretching introduces high sec-
ondary tensile stresses at the edges, which causes edge
cracking to occur throughout the length the work-piece
similar to that shown in Fig. 12.38d. This type of edge
deformation (Fig. 12.40a) leading to edge cracks has been
observed (Aleksandrov 1960) to occur during initial break-
down of ingot in hot rolling where the ratio of stock thickness
(a) (b)
Rolling
direction
Fig. 12.39 Defects resulting from lateral spread. The developed
residual stress patterns cause (a) slightly rounded ends and (b) under
severe conditions, lengthwise splitting at the centre
12 Rolling
(b)
(d)
to the projected length of deformation zone exceeds 2. With
heavy reductions, when the deformation zone extends up to
the centre of the stock, the lateral expansion will be more at
the central portion than at the surfaces because of interfacial
friction between the stock and the rolls. This will produce
barrelled edges as shown in Fig. 12.40b. Greater spread in
the centre produces tension at the surfaces, whereas the centre
is left in compression. The secondary tensile stresses devel-
oped at the surfaces due to barrelling readily causes edge
cracking. This stress pattern also extends along the length of
the work-piece, and if there is any defect along the centre line
of the stock, such as piping defect formed in the original cast
ingot, fracture will take place there, as shown in Fig. 12.40c.
This type of fracture is called alligatoring type of fracture,
which is intensified if any bending of the work-piece occurs
due to placement of one roll at a higher or lower position than
the centreline of the roll gap.
Edge cracking can be prevented or minimized by pre-
venting a cumulative development of secondary tensile
stresses caused by the barrelling of edges. To keep the edges
straight, vertical edge rolls are employed commercially, or
the mill is equipped with edge-restraining bars, or the edges
are made straight by machining after each pass. To avoid
excessive cracking in rolling of low-ductility materials, they
are ‘canned’ on all sides with a material having a flow stress
resembling to that of the stock. The canning material not
only restrains the edges of the work-piece but also provides
hydrostatic compression.
Apart from cracks, there may be different kinds of defects
which may be introduced during melting and casting of ingot
or during rolling. Surface defects may result from impurities
and inclusions in the material, such as dirt, rust, scale and
12.16 Defects in Rolled Products
(a) (b)
Fig. 12.40 Defects resulting from inhomogeneous deformation in the
thickness direction. a Greater lateral expansion at the surfaces than at
the centre throughout the length under conditions of light reduction.
b Formation of barrelled edges under conditions of heavy reduction.
roll marks. Incomplete welding of blowholes and pipes
formed during ingot solidification will cause internal
defects, such as fissures. Development of pearlite banding in
steels or non-metallic inclusions in the form of longitudinal
stringers is related to melting and solidification practices. If
these defects lead to laminations, then the strength in the
thickness direction will be reduced drastically. One must be
careful to avoid formation of scratches in cold-rolled fin-
ished products due to guides or defective rolls. The rolling
lubricant must be easy to remove, and it must produce
harmless residue after burning, otherwise there may be dis-
coloration or staining after heat treatment of rolled products.
12.17 Roll Pass Design Fundamentals
A plane surface or cylindrically bodied roll is used (in pairs)
for rolling of strips, sheets and plates, while for other
semifinished and finished products, grooves of suitable
design are turned in the roll bodies. A desired shape
machined into the body of each of the top and bottom rolls is
called a groove. The shape formed when the two grooves of
two (mating) rolls are matched together is called the roll
pass, i.e. two grooves (in two rolls) working jointly form a
roll pass. Passes are located on the same vertical centre line.
Each pass is separated from its neighbour by collars, as
shown in Fig. 12.41. The width of the collars is selected so
as to make the best use of barrel length, but their minimum
width is limited by their strength and also by the design
features associated with the location of the roll fittings.
A roll pass shapes stock at each passing. Several passes of
stock through rolls are required to achieve desired rolled
product. A system of successive passes that ensures the
rolling of adequately shaped sections from given stock is
termed roll pass design. The concept of roll pass design
involves a number of problems, such as the manufacture of a
given section in a minimum number of passings, the
obtaining of a specified surface quality, mechanization of
rolling. These problems are solved in specific application to
571
(c)
Rolling
directon
Rolling
directon
c Alligatoring type of fracture due to the presence of defect along the
centre under conditions of heavy reduction. This defect is intensified
due to bending of the work-piece resulting from improper placement of
one roll
each rolling mill and to sections rolled in it. Details on the
roll pass design are beyond the scope of the text, and
attention will be only focussed on some relevant aspects.
12.17.1 Types and Shapes of Passes
There are different types and shapes of roll passes. The
following types of roll passes are known:
1. Cogging-down or breakdown passes, which are used for
initial cogging and reducing the cross-sectional area of
ingots or billets.
2. Roughing passes, which are used to reduce the
cross-sectional area of the rolled section and impart it the
first shape.
3. Strand pass, which is the last pass but two and used to
prepare shape and size for the next penultimate pass.
4. Leader pass. This is just before the last pass which
imparts the final size and shape to the rolled section.
5. Finishing pass. This is used to produce the final section.
When designing the shape and calculating the dimen-
sions of the finishing passes, corrections are made to take
into account the thermal expansion of the work-piece, the
irregularity of temperature distribution across the rolled
shape section and the pass wear. Individual parts of a roll
pass do not wear evenly because of mainly non-uniform
deformation and cooling. This circumstance should be
taken into consideration when designing the finishing
passes.
Some common shapes of rolling passes are shown in
Fig. 12.42, which are:
• Box pass,
• Square pass,
• Diamond pass,
• Oval pass and
• Round pass.
572
Fig. 12.41 Blooming mill rolls, Groove
showing box passes
Drive
end Roll
neck
The difference between a square pass and a diamond
pass is that a square pass is a square set on the corner with
apex angles varying from 90° 30′ to below 100°, whereas
the diamond pass is a more open version of the square pass
with apex angles from 100° to 130°. Usually, the angles at
the apex of square passes are adopted to be 90° 30′ during
the finishing pass and 93° during the roughing passes. The
reason for having an apex angle more than 90° in a square
pass is explained below. Since the sharp corners of the
diamond are cooled more rapidly than the rest of its section,
the larger (horizontal) diagonal has a greater shrinkage
during cooling. Since the stock from diamond pass is tilted
by 90° before feeding into the square pass, cooler angles of
the diamond pass become the apices of the square pass. The
dimensions of square, with an apex angle of 90°, rolled from
such a diamond will be distorted. To prevent this distortion,
the horizontal diagonal of the square pass is made somewhat
longer by increasing the angle at the apex.
Fig. 12.42 Some common
shapes of rolling passes
(a) Box pass
(d) Oval pass
12 Rolling
Pass Pass Pass
Collars
Roll barrel
Box pass series, as shown in Fig. 12.43, are used most
commonly in blooming mills for cogging of ingots. Also for
rolling of blooms to billets in billet mills, it is usual practice
to commence the reduction with a few box passes, which
helps in descaling of the stock. These series are widely used
for initial working of large and medium sections because of
adequate scaling, possibility to make several passings in the
pass and minimum weakening of rolls by shallow grooves.
However, box passes yield small reduction on the order of
5–15% and it is impossible to obtain geometrically correct
square and rectangular sections with box passes because of
large angle of sides. These difficulties have restricted the
application of the box pass series to larger sections
exceeding 80–100 mm. Tilting of stock through 90° is
required during rolling with the use of this series.
Other shapes of rolling passes are used in roughing pas-
ses, strand pass, leader pass and finishing pass to produce
different kinds of rolled sections. The applications of these
(b) Square pass (c) Diamond pass
(e) Round pass
12.17 Roll Pass Design Fundamentals 573

Fig. 12.43 Roll-down box pass Intital stock Stock turned by 90º after each box pass
series

Reduced stock after Reduced product

first box pass by box pass series

passes will be considered in the rolling of billets to rods or (a) (b)

square bars.
A line which divides the distance between axes (centre

Spass
lines) of a pair of rolls into two equal parts is called the roll
parting line. A roll pass is called closed if the parting line is
outside the pass. If the parting line is within the boundaries
of the pass outline, the pass is referred to as an open pass, as
shown in Fig. 12.44. Roll parting line

Fig. 12.44 Types of passes: a Open and b closed passes

12.17.2 Gap and Taper of Sides in Pass
cross-section like strip around the roll. Passes tend to wear
Under the pressure exerted by the stock, the working gap
out in service and gradually lose their initial shape. This is
between the rolls increases and all the parts of a work stand
remedied by turning of rolls, which reduces the roll diame-
in rolling undergo elastic deformation, which is known as
ter, while the depth and the width of a pass are restored by
‘springing’ of the stand. ‘Springing’ depends upon the
tapering the side walls of the roll pass accordingly. Hence,
design and the size and material of the work stand compo-
the service life of the pass is increased. Therefore, one
nents and is taken into account in the calculation of roll
always tries to increase the side taper wherever possible
gap. In order to prevent the rolls from contacting each other
(Fig. 12.45).
after the exit of the stock, the calculated value of the gap
The greater the side taper (the angle of inclination of the
must exceed the ‘springing’ of the stand adequately. Prac-
side wall), u; the lesser is the reduction in diameter of rolls,
tically, the gap, as shown in Fig. 12.44, is spass ¼
D % D0 ; after they are reconditioned by turning, as shown
0:01 D þ 1mm; where D is the roll diameter.
below with reference to Fig. 12.45:
The side surfaces of the roll passes are made not exactly
upright, but inclined at some angle to the longitudinal axis of b 2b 2b
rolls. The taper of the side walls (taper of sides), as shown in tan u ¼ ¼ ; or; D % D0 ¼
ðD % D Þ=2 D % D0
0 tan u
Fig. 12.45, is expressed either in per cent or as the tangent of ð12:105Þ
the angle of inclination, u; of the pass side wall:
.( ) ( ) / .( ) ( ) / where D ¼ the diameter of original roll, D0 ¼ the diameter
wg max % wg min =2 wg max % wg min of reconditioned roll,
tan u ¼ ¼
hg 2 hg b ¼ the depth to which a pass is worn, and u ¼ the angle
ð12:104Þ of inclination of the side wall.

where ðwg Þmax andðwg Þmin = the maximum and the minimum
width of the groove (Fig. 12.45),
hg = the height of the groove (Fig. 12.45).
The taper of sides insures the correct biting of the
work-piece with respect to the centre line of the pass and
prevents jamming of the work-piece by the side walls, as
well as the danger of collaring of the work-piece of small
12.17.3 Pass Arrangement
A line along which the roll passes are arranged is called the
roll pass line. The line with respect to which the moments of
forces applied to a section being rolled by the top and the
bottom rolls are equal is termed the neutral (zero) line. If the
574
Fig. 12.45 Effect of side taper
of roll pass upon removal of roll
wg max
material in roll turning
wg min
hg
Box pass
neutral line matches with the roll parting line, the straight
delivery of the work-piece is ensured.
An unintentional bending of work-piece may occur due to
non-uniform temperature distribution across the work-piece
section, or an uneven and irregular wear of top and bottom
passes, or incorrect installation of guide arrangements. This
unpredictable bending may cause collaring of the work-piece
of small cross-section like strip around the roll and other
troubles. To prevent such bending of the work-piece upon
leaving the rolls, conditions are specially created under
which the work-piece bends in a definite direction, either
upwards or downwards. This makes it possible to ensure the
normal straight delivery of the work-piece by using a top or
bottom delivery guide. Generally, to create such condition,
the roll pass line is made misaligned with respect to the roll
parting line by rolling with different diameters of the top and
the bottom rolls, as shown in Fig. 12.46. For the given
rotational speed of rolls, the difference in diameters causes
Fig. 12.46 Position of pass line
in case of top pressure
Cp
12 Rolling
ϕ
ϕ
D
b
b
D
D
inequality in the exit speeds of the top and bottom parts of
the work-piece, which thus bends towards the roll of the
smaller diameter. When the diameter of the top roll is greater
than that of the bottom one, the rolling is said to be per-
formed with top pressure, while for the bottom roll of
greater diameter the bottom pressure acts in rolling.
A bottom delivery guide is required to be used for rolling
with top pressure, while a top delivery guide is necessary
when rolling is carried out with bottom pressure. If there is
neither top pressure nor bottom pressure or these are negli-
gible, both the top and the bottom delivery guides are
required. Large cogging mills (blooming and slabbing mills)
intended for heavy stock are provided with bottom pressure
to avoid the striking of the ends of the blooms or slabs
against roller tables. In case of rolling with bottom pressure
in blooming mills, the difference between the diameters of
the bottom and the top rolls, df ¼ Db % Dt ; is usually equal
to 10–12 mm. Rolling in two-high section mills is usually
Top roll line
D/2
Dt
Roll parting line
D
Pass line
D/2
Db
Bottom roll line
12.17 Roll Pass Design Fundamentals
performed with top pressure, and in this case, the difference
between the diameters of the top and the bottom rolls, df ¼
Dt % Db ; is 2–6 mm.
In case of rolling with top pressure the distance between
the roll parting line and the roll pass line with respect to
Fig. 12.46 is:
cp ¼ ðD=2Þ % ðDb =2Þ ð12:106Þ
Again from Fig. 12.46,
Db =2 ¼ D % ðDt =2Þ; or;
Db ¼ 2D % Dt ¼ 2 D % df % Db ; or;
2 D b ¼ 2 D % df ;
( )
) Db ¼ D % df =2 ð12:107Þ
Combining (12.106) and (12.107), we get
( )
D D % df =2 df
cp ¼ % ¼ ð12:108Þ
2 2 4 rolled in by subsequent working to produce surface defects
If there is neither top pressure nor bottom pressure, the
roll pass line would coincide with the roll parting line, i.e.
cp ¼ 0 (see Fig. 12.46). The neutral line of forming passes,
which usually runs through the centre of gravity of the pass
shape, must coincide with the roll pass line. In simple
symmetrical shapes, the neutral line of forming pass coin-
cides with its axis of symmetry. Neither the top nor the
bottom pressure is applied during leader and final passes,
because the difference between the effective roll diameters
may cause to develop additional internal stresses in the
metal.
In three-high mills, the roll passes are often made coupled;
i.e., the groove cut into the middle roll is common for both
the top and bottom passes. Such an arrangement ensures
better use of the roll barrels, especially in cogging stands with
box (rectangular) passes, but its disadvantage is that it has an
increased difference between the effective diameters of the
rolls, thus giving high top or bottom pressure.
12.17.4 Pass Sequences Used in Rolling
of Billets to Rods
Rods are usually rolled from billets, which has been obtained
by rolling ingots or blooms with a few initial box passes. In
the rolling of billets to rods, after the initial box passes, the
common roughing pass sequence applied to billet in mer-
chant mill is oval–square pass sequence or diamond–square
pass sequence followed by oval–round pass sequence. The
different kinds of pass sequence are shown in Figs. 12.47,
12.48 and 12.49.
575
The oval–square pass sequence, as shown in Fig. 12.47,
is primarily a high-reduction pass sequence. For a long time,
this sequence has been widely applied as a system of
breakdown passes with a maximum reduction and a mini-
mum number of passes. An oval pass yields up to about 42%
reduction in the square–oval reduction and a square pass
produces 30% reduction in the oval-square reduction. Thus,
the oval and square passes combined give a maximum
overall square to square reduction in area of 59%. Such
high-reduction pass sequence is suitable for low-carbon
steels in the early passes when the temperature is high.
When an oval stock is rolled in a square pass, it is necessary
to tightly clamp the oval stock inside guides. This has
practically prohibited the rolling of large section in the
sequence. The shortcomings of this sequence are a consid-
erable non-uniformity of square stock throughout the width
of the oval pass. There is non-uniform wear of oval passes
because they undergo intensive wear at points of maximum
reductions on the stock. This results in pittings which are
known as folds. Quality steels and alloys, which require
stringent quality, are particularly sensitive to this defect.
The diamond–square pass sequence, as shown in
Fig. 12.48, is a medium reduction pass sequence. The
square–diamond reduction caused by the diamond pass may
be from 20 to 30%, and the diamond–square reduction
caused by the square pass may be from 18 to 26%. It is often
referred to as an all purpose design as it is suitable as a pass
sequence for a wide range of billet, bar and rod products.
This sequence lends itself to the manufacture of geometri-
cally regular squares and, thus, is widely used for producing
finished square sections. The corners of the square are well
filled with metal with the passes of the sequence, and hence,
there is a possibility for obtaining good intermediate squares.
This sequence provides good stability of stock inside the
pass during rolling. The box pass series, however, provides a
better stability of stock inside the pass. The shortcomings of
this sequence are that their grooves are cut deeper into the
roll bodies (as compared to box passes) and these deep
groove cuts weaken the rolls. Angles of square and diamond
sections form at same points of stock and thus cause a sharp
local temperature drop which may result in cracks. This
precludes the use of the sequence for rolling alloy steel.
Further, there is more intensive wear of the passes of this
sequence due to uneven cooling of the corners of work-piece
and its non-uniform deformation. However, when this
sequence is used as roughing passes, the pass corners are
rounded off and the pass is somewhat widened out to pro-
vide free space for metal spreading. During the roughing
passes, the width of the next pass in this series is usually
taken to be much the same as the height of the preceding
pass, without considering rounded corners.
576
Fig. 12.47 Oval–square pass
series
(a) Billet or square stock
(c) The oval shaped stock
being fed into a square pass
The stock is then turned through 90º
(e) The oval shaped stock
being fed into a square pass
The oval–round pass sequence, as shown in Fig. 12.49, is
a light reduction pass sequence. The general order of
reductions is 20–30% by an oval pass in the round–oval
reduction and 10–20% by a round pass in the oval–round
reduction. Since it is a light reduction sequence, it will
require considerably more passes to achieve a given rod size
from a given billet size. It is therefore frequently used in the
finishing train only. Apart from small reduction caused by
this sequence, its other disadvantage is that the filled ovals
are not stable during rolling in round passes and the
work-piece turns even in tight passes. To ensure the stability
of an oval work-piece in a round pass, the oval is made
underfilled. However, there are several advantages of this
sequence, as given below:
• The smooth shape transition in these passes needs lower
stresses.
• This sequence provides for an increased dimensional
accuracy of round sections.
12 Rolling
No turning
(b) Square stock placed on its flat side
being fed into an oval pass
The stock is then through 90º
Turned through 45º
(d) The square stock being
fed into an oval pass
Turned through 45º
(f) Square product of
smaller cross-section
• The deformation of the round stock is fairly uniform
throughout the width of the oval pass.
• There is a uniform distribution of temperatures across the
section.
• This sequence provides better conditions for preventing
laps and seams and for descaling.
This ensures good quality of the products and makes the
sequence suitable for rolling of high alloy steel and other
alloys. It is widely used in continuous small-section mills.
Let us consider the rolling of billets to rod. The flow
diagram of pass sequences for getting rod from billet is
shown in Fig. 12.50. Since the final product is of round
shape, the ultimate or final pass will of course be a round
pass, but the leader pass must necessarily be an oval pass.
The majority of round products are rolled by the ‘guide–
round’ method in which a suitable oval is held by ‘guides’
with the major axis vertical (in a horizontal stand) and fed
into the finishing round cross-section. The oval itself which
12.17 Roll Pass Design Fundamentals 577

Fig. 12.48 Diamond–square pass

series

The square stock is

turned through 45º

(a) Billet or square stock (b) Square stock placed on its diagonal
being fed into a diamond pass

The stock is then turned through 90º

No turning

(c) The diamond shaped stock (d) The square stock being
being fed into a square pass fed into a diamond pass

The stock is then turned through 90º

Turned through 45º

(e) The diamond shaped stock (f) Square product of

being fed into a square pass smaller cross-section

is called the ‘leader’ may be formed from a square or a
round which in its turn is produced in the ‘strand’ pass.
The methods of getting to this strand pass are varied and
may use box passes followed by diamond–square, oval–
square or oval–round sequence, as shown in Fig. 12.50.
The actual pass sequence used depends on the material
being rolled.
12.17.5 Pass Sequences Used in Rolling
of Billets to Square Bars
The most widely used pass sequences in the form of flow
diagram for rolling of billets to square bars is the one shown
in Fig. 12.51. It consists of a square strand, diamond leader
and square finishing passes. Square bars are usually rolled
578
Fig. 12.49 Oval–round pass
series
No turning
(a) Billet or square stock
(d) The round shaped stock
being fed into an oval pass
The stock is turned through 90º
(f) The round shaped stock
being fed into an oval pass
from billets, which have been obtained by rolling ingots or
blooms with a few initial box passes. These initial box
passes are usually followed by the diamond–square roughing
pass sequence (see Fig. 12.48) as a regular practice for the
rolling of billets to square bars, while an oval–square
roughing pass sequence (see Fig. 12.47) is used for squares
of the smaller sizes.
12.18 Manufacture of Tubes and Pipes
Metallic tubes and pipes may be produced by rolling,
extrusion, welding or a combination of these methods and
mainly classified as welded or seamless based on the tech-
nique of production. Welding produces a seam along the
length of the pipe or tube. The seamless tube or pipe is that
which does not have a welded seam. Seamless tube and pipe
can be produced by using the method of hot extrusion or hot
rolling. The method of hot extrusion to produce tube is
discussed in Chap. 13. Seamless tubes produced by either
hot rolling or hot extrusion may or may not be subjected to
further cold processing. Hot working methods are unable to
manufacture seamless tubes with a diameter of less than
12 Rolling
The stock is
turned
through 90º
(b) Square stock placed on its flat (c) The oval shaped stock
side being fed into an oval pass being fed into a round pass
No turning
The stock is turned through 90º
(e) The oval shaped stock
being fed into a round pass
No turning
No turning
(g) The oval shaped stock (h) Round product
being fed into a round pass desired cross-section
13 mm and with a wall thickness of less than 2 mm,
whereas it is possible for cold processing to produce
seamless tubes and pipes with a diameter ranging from 1 to
150 mm and with a wall thickness as less as 0.1 mm. The
most important method of cold processing of seamless tubes
is tube drawing, which is discussed in Chap. 14. In general,
the production of seamless pipe is more expensive than that
of the welded one. Although welded pipes are cheaper than
seamless ones, but the drawbacks of the welded pipes are
the poor strength and corrosion resistance of seams.
Attempts are made to minimize these shortcomings by cold
rolling.
Welded tubes or pipes are produced by forming a strip
and joining the edges of strip by hot forming, fusion or
electric welding, etc. The starting material may be hot-rolled
sheets or coiled stock. Sheet edges to be joined to form pipe
are descaled and mechanically processed to improve seam
formation. Continuous furnace butt-welding may be used for
water and gas pipes. A coiled strip is uncoiled in a contin-
uous device, then heated in a furnace and finally contour
roll-formed into a pipe in several stands. At the end of
forming, strip edges are forced against each other and
butt-welded, after which the pipe is finished by passing
12.18 Manufacture of Tubes and Pipes 579

Fig. 12.50 Pass sequences for

Billet
getting round rod from billet

A few Box passes

Oval-square Diamond–Square Oval–Square

sequence sequence sequence

Strand Square
pass
Oval–Square Oval–Round
sequence sequence

Diamond–
Square sequence Oval–Round
sequence

Strand Round
pass

Leader Oval pass

Final Round pass

through a reducing rolling mill. Thin-walled pipes with

better quality of weld can be manufactured by electric Billet
welding of edges after hot forming. After forming the pipe in
a continuous hot-rolling mill of 5–12 stands, the edges are
A few Box passes
heated by electric current and welded. After welding, the
pipe may be sized or shaped into a square, an oval, etc., in a
continuous rolling mill and then cut to standard lengths by
saws. To join the longitudinal edges of tubes, high-
frequency resistance welding and high-frequency induction Diamond–Square Oval–Square
welding have also been introduced in recent years to roughing pass roughing pass
sequence sequence
improve the quality of welds for tube diameters less than
25 mm. Edges are heated by stray currents in induction
welding, and only a narrow zone near the edges is heated in
resistance welding at a frequency of 400–500 kHz. Heated
Strand Square pass
edges are then pressed together by rollers to cause welding.
Using high-frequency welders, tube-wall thicknesses as thin
as 0.13 mm and as thick as 19 mm are obtainable. After the
Leader Diamond pass
welding operation, the tube is usually sized and then
straightened. The application of laser welding has also
begun. Powerful carbon dioxide (CO2) lasers have been used Final Square pass
to weld the longitudinal edges of contour roll-formed
stainless steel tube. Fig. 12.51 Pass sequences for getting square bar from billet
580
12.18.1 Production of Seamless Tube and Pipe
by Hot Rolling
The process of rolling to manufacture seamless tube and pipe
are generally more economical than extrusion. Commonly
used starting materials for the production of seamless pipes
and tubes are ingots, continuously cast or rolled billets with
usually round cross-section. Centrifugally cast shells are
rarely used as the starting materials. Large-diameter pipes
are manufactured by employing ingots as starting materials
for hot rolling, whereas continuously cast round starting
material is the most economic for the production of tubes at
the bottom end of the size range. The starting materials are
generally uniformly heated (e.g. temperature variations for
steel must not exceed 25 °C) in rotary hearth furnaces,
because uniform heating is an essential requirement for
obtaining uniform wall thicknesses of tubes. Seamless pipes
are produced in two stages and often finally finished in the
third stage:
• First stage is piercing of heated starting material by hot
rolling, in which usually a Mannesmann mill is used to
produce a hollow shell with larger diameter and wall
thickness than the finished hot-worked tube or pipe.
Piercing can also be performed in a press, which is
considered in Chap. 13.
• The second stage is hot rolling of the hollow shell
(formed by piercing) into a pipe of a given diameter and
wall thickness by means of a plug, a continuous or a
pilger mill. The plug mill process is usually adopted for
manufacture of seamless tubes of medium diameter up to
about 150 mm, whereas the continuous mill process is
commonly used to produce seamless tubes of small
diameter up to about 100 mm. There are light, medium
and heavy pilger mills that are capable to produce
seamless tube by hot rolling in a wide range with respect
to length (from 8 to 50 m), diameter (from 22 to
700 mm), wall thickness (from 2.25 to 13 mm) and also
materials grade. Most pipe–rolling mills are equipped
with heavy pilger mills.
• In the final stage, very often the tubes manufactured by
the plug, continuous or a pilger mill are further hot rolled
in finishing (reeling, sizing, stretch-reducing, expanding)
mills of various designs. It becomes sometimes necessary
to perform rolling with intermediate heating operations.
12.18.1.1 Rotary Piercing
The Mannesmann mill that uses the principle of helical
rolling is widely used as rotary piercing mill. Tubes pro-
duced by rotary piercing rolls in a Mannesmann mill are of
smaller sizes than those produced by piercing in a piercing
press. The shape and arrangement of rolls in Mannesmann
12 Rolling
mill have already been described in Sect. 12.1.2 and shown
in Fig. 12.2c. Figure 12.52 shows that deviation of roll axes
by an angle b from the stock axis provides a tangential
component of roll peripheral speed vy ; which rotates the
stock and an axial component vx ; which causes the axial
advancement of the stock. This kind of rolling is often ter-
med helical. In the rotary piercing operation, when a round
solid billet is pushed to flow over a piercing mandrel at one
end by means of two inclined rollers of the Mannesmann
mill, the billet will alternately squeeze and bulge during
rolling. The amount of inclination and speed of the rollers
determine the feeding rate. The process of piercing is based
on the fact that the simultaneous squeezing and rotating
action of the rolls deforms the round billet to an elliptical
shape under radial compression, and secondary tensile
stresses develop at the centre of the elliptical billet initiating
a crack in the centre. A further rotation of the deformed billet
causes the crack to open up and transform into a cavity
which is finally shaped and sized by the piercing mandrel. If
the piercing mandrel is pressed into the cavity these rolls can
produce a hollow shell, as shown in Fig. 12.2c. The outside
diameter of the piercing mandrel is approximately equal to
the inside diameter of the desired shell. Thus, the inside
diameter of the outgoing shell is controlled by the piercing
mandrel, while the rolls control the outside diameter. The
stand is provided with side rollers or guides to hold the
stock. The force required to pierce a stock of same size is
less in this mill than in hot extrusion press. The piercing mill
may have roll barrel of more complicated shape than the
Mannesmann mill. The Mannesmann mill is extensively
used for the rotary piercing of steel and copper billets.
The Assel elongator (Snee 1956) consists of three conical
driven rolls displaced by 120°, which are set skew with
respect to the mill axis, as shown in Fig. 12.53. This has led
β vx
vr vy
Fig. 12.52 Tangential component of roll peripheral speed, vy ; and an
axial component, vx ; for rolls whose axes deviate by an angle b from
the stock axis
12.18 Manufacture of Tubes and Pipes
Fig. 12.53 a Assel elongating (a)
mill; b roll disposition in
three-roll arrangement
to the development of the three-roll piercing mill, as shown
schematically in Fig. 12.54. This mill offers a higher rate of
yield and produces more concentric pipes with smoother
interior and exterior surfaces than a comparable conven-
tional two-roll Mannesmann mill. However, the success in
the operation of three-roll mills requires the provision for
water cooling the plug bar holding the piercing plug and the
development of higher quality material for the plug itself,
since the axial load on the plug and the bar is much higher in
a three-roll system than in a 2-roll system. In addition to the
problem of tool wear, associated with the magnitude of the
load, the question of the stability of the plug bar in a
three-roll system may also arise.
As the Mannesmann mill does not provide sufficiently
large elongation and reduction of wall thickness, the pierced
hollow thick-walled shell must undergo the following
hot-rolling processes for the production of final hot-worked
pipe of desired shape and size.
12.18.1.2 Plug Mill
The plug mill (Fig. 12.55) that uses the principle of longi-
tudinal rolling is a two-high non-reversing mill with grooved
rolls. The two grooves in two (mating) rolls form a round
pass. A mandrel consisting of a bar with a plug at its end is
introduced into the roll pass. The hollow shell that emerges
from the rotary piecing mill is fed to the round pass over the
Fig. 12.54 Three-roll piercing mill
581
(b)
Roll
Axis·of·rolling
Billet
120º
plug and is transformed by hot-rolling into a longer tube
with definite wall thickness. To produce larger tubes, it is
necessary for the stock to undergo a second operation on the
rotary piercing rolls prior to feeding the shell into the plug
mill. Most pipes are rolled in two passes with the plug mill,
but the first pass provides the maximum draft. However,
three or more rolling passes are given to some metals that are
difficult to deform. For second time rolling of the tube, the
tube is delivered to the entry side of the mill through the
same roll gap by lifting the top roll to avoid further rolling of
the tube during its return. To change the direction of
reduction, the tube is rotated through 90° before the second
roll-pass commences. The shell diameter is somewhat
smaller than the width of the round roll pass because the pass
is made with larger radii at the roll parting line.
12.18.1.3 Continuous Tube Rolling Mill
The continuous tube rolling mill that uses the principle of
longitudinal rolling consists of several stands arranged in
tandem, as shown in Fig. 12.56. Each stand consists of a
two-high non-reversing grooved rolls and the two grooves in
two (mating) rolls form a round pass in each stand which
ensures high dimensional accuracy of the tube. A special
Fig. 12.55 Plug rolling mill
582 12 Rolling

Fig. 12.56 Continuous tube rolling mill

pusher is used to insert a lubricated mandrel into the shell +

that emerges from the rotary piecing mill. The outside
diameter and the wall thickness of the tube are successively
reduced by hot-rolling in the continuous mill while passing
through the roll gap in each consecutive stand. The rolls in
any two adjacent stands are arranged at right angles so that
the direction of reduction of the tube is changed by 90° in
the adjacent stand. Rolling speed in each successive stand
can be increased by means of electric motor so that an
interstand tension sufficient to stretch the pipe between
stands is developed during rolling. This tension not only
reduces the outside diameter of the hot pipe but also its wall
thickness. When no reduction in wall thickness is desired,
rolling is carried out without tension. After rolling, a stripper
is used to withdraw the mandrel from the pipe.

12.18.1.4 Pilger Mill

One of the oldest methods of producing seamless pipes is the
hot rolling of shells in pilger mills that use the principle of
longitudinal rolling. It is a two-high non-reversing mill with
grooved rolls. The pilger rolls constitute a round pass of
variable height and width, i.e. of varying cross-section, as
shown in Fig. 12.57. Moreover, the pass is not completely
round, rather the sides of the pass is somewhat relieved to
accommodate the spreading or bulging of the stock during
rolling.
The shell being rolled on a mandrel is subjected to a
reciprocal motion by means of a special device called feeder,
lying towards the entrance of the working stand, as shown in
Fig. 12.58. The shell is inserted between the rolls at the
moment when the varying cross-section of the pass consti-
tuted by the rotating rolls attains its maximum and the metal
ceases to contact the rolls. During each revolution of the
rolls, the shell is forced to move in a direction opposite to
that of its feed. The forward feed of the shell is made by the
feeder when the roll groove cross-section increases again
forming an idle pass. During each rotation, the rolls deform a
shell section whose length corresponds to that of feed.
During the combined advancing and feeding operation, the
+
Fig. 12.57 Pilger mill rolls
feeder tilts the stock through 90° so that all the surface of the
stock is rolled over at least two times. This eliminates the
slight oval shape of the pipe that may result from spreading.
The mandrel is withdrawn after rolling.
12.18.1.5 Finishing Mills (Reeling, Sizing,
Stretch-Reducing and Expanding Mills)
1. Reeling Mill
The principle of helical rolling is used by a reeling mill,
whose rolls are tilted at an angle of 6° to 7.5° with respect to
the axis of rolling, as shown in Fig. 12.59. The tube
emerging from a plug mill is often rolled in the reeling mill
over a mandrel in order to reduce variations in its wall
12.18 Manufacture of Tubes and Pipes 583

Fig. 12.58 Schematic Variable profile

representation of pilger rolling roll groove Feeding mechanism
process

Shell Piercing mandrel

Variable profile roll groove

usually consists of 5–7 stands arranged in tandem, with each

stand generally equipped with two or three rolls. A three–roll
sizing mill is represented schematically in Fig. 12.60. The
rolls in any two adjacent stands are arranged at right angles
in case of two-roll stands and at 60° in case of three-roll
stands. The round pass formed by the grooved rolls in the
last stand has a true circular shape with the diameter of the
pass exactly corresponding to that of the finished tube,
whereas the round passes have a small taper in the rest of the
stands. While passing through the roll gap from stand to
stand, the diameter of the tube is reduced only to a small
Fig. 12.59 Reeling mill extent, but the wall thickness remains almost unchanged.

thickness and diameter, burnish its inside and outside sur-
faces and eliminate the slight oval shape. The diameter of
the reeling mandrel is usually 1–6 mm larger than the inside
diameter of the tube delivered by the pilger mill. Therefore,
the reeling mill causes the tube diameter to increase some-
what by 3–9% with consequent reduction of 1–6% in the
length.
2. Sizing Mill
A continuous sizing mill using the principle of longitudinal
rolling is often applied to hot-roll the tube or pipe delivered
by a plug, continuous or pilger mill without using a mandrel
in order to achieve the exact final dimensions. The mill
3. Stretch-Reducing Mill
A stretch-reducing mill capable of reducing the tube diam-
eter by as much as 70% is often applied to hot-roll the tube
or pipe delivered by a plug, continuous or pilger mill without
using a mandrel. Basically, the mill operates like the sizing
one, but consists of a much greater number of stands, usually
varying from 9 to 26, with each stand generally equipped
with two, three or four rolls. The three- and four-roll
reducing mills are more compact and provide a better surface
finish than the two-roll mills, but simultaneously they are
more complex and less convenient to adjust. A three-roll
stretch-reducing mill is represented schematically in
Fig. 12.61.

Fig. 12.60 Sizing mill

584
Fig. 12.61 Stretch-reducing mill
In this mill, rolling speed in each successive stand is
increased by means of electric motor so that an interstand
tension sufficient to stretch the pipe between stands is
developed during rolling. This tension not only reduces the
outside diameter of the hot pipe but also its wall thickness.
4. Expanding Mill
An expanding mill, also known as rotary-rolling mill, uses the
principle of helical rolling. This mill consists of a pair of
conical rolls whose axes are inclined to the axis of the pipe
being rolled at angle of 60° in the horizontal plane and of 7.5°
in the vertical plane, as represented schematically in
Fig. 12.62. In operation, the cone-shaped rolls bite and spin
Fig. 12.62 Rotary-rolling mill
12 Rolling
the tube and feed it forward over a large tapered mandrel. This
operation reduces the wall thickness and increases the diam-
eter of the tube while its length does not alter substantially.
12.19 Solved Problems
12.19.1. A pair of rolls is marked by two indentations spaced
at a distance of 75 mm apart. After cold rolling a stock
through that pair of rolls, the distance between the dents on
the outgoing stock is found to be 78 mm. If the thickness of
the stock before the pass is 1.8 mm and that after the pass is
1.2 mm, and the diameter of each roll is 100 mm, determine
the following:
12.19 Solved Problems 585

(a) Coefficient of friction at the roll–stock interface, using tan%1 l

Ekelund’s expression. Dhmax ¼ 4R sin2 ¼
*2 & %1 '+ 2
(b) Maximum possible draft in an unaided rolling pass. tan ð0:127Þ
(c) Percentage of maximum reduction possible by that mill ¼ 4 ! 50 ! sin mm
2
without any spread. ¼ 0:7968 mm:

(c) Since there is no spread, so the width of the stock, w;

Solution
remains constant. Hence from (12.18), the percentage
Two indentations marked on the roll are spaced at a distance of maximum reduction possible by that mill is:
of lr ¼ 75 mm; and after rolling the distance between the
w D hmax 0:7968
dents created by the roll on the outgoing stock is l2 ¼ % rmax ¼ ! 100 ¼ ! 100 ¼ 44:27 %:
78 mm: Since l2 [ lr ; so according to (12.20c) the forward w h1 1:8
slip is:

l2 % lr 78 % 75 12.19.2. Based on the cold-rolling theory of Ford, Ellis and

SF ¼ ¼¼ ¼ 0:04:
lr 75 Bland, calculate the maximum allowable back tension that
Given that the roll radius is R ¼ 50 mm; the thickness of can be applied to a strip from the following data:
the stock before the pass is h1 ¼ 1:8 mm; and that after the Strip thickness before the pass ¼ 2:0 mm; strip thickness
pass is h2 ¼ 1:2 mm: Hence, according to (12.7) the initial after the pass ¼ 1:5 mm;
angle of contact of the stock with roll is Roll diameter ¼ 200 mm; coefficient of friction at the
roll–strip interface ¼ 0:05;
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
h1 % h2 1:8 % 1:2 Plane–strain average deformation resistance of the strip
%1 %1
a ¼ 2 sin ¼ 2 sin rad ¼ 500 MPa;
4R 4 ! 50
¼ 0:109599 rad: Front tension applied to the strip ¼ 100 MPa:

Since it is cold rolling and the angle of contact, a; is Solution

small, so the no-slip angle, w; can be obtained from (12.22b) Given that the roll radius is R ¼ 100 mm; the thickness of the
as follows: strip before the pass is h1 ¼ 2 mm; and that after the pass is
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi h2 ¼ 1:5 mm: The coefficient of friction at the roll–strip
2 SF 2 ! 0:04 interface is l ¼ 0:05; the plane–strain average deformation
w¼ ¼ rad
fð2 RÞ=h2 g % 1 fð2 ! 50Þ=1:2g % 1 resistance is r !00 ¼ 500 MPa¼500 N=mm2 ; and the front
¼ 0:03117146 rad: tension applied to the strip is rF ¼ 100 MPa ¼ 100 N=mm2 :
According to (12.7), the initial angle of contact of the
strip with roll is
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
(a) The coefficient of friction, l; at the roll–stock interface %1 h 1 % h2 %1 2 % 1:5
can be obtained from Ekelund’s expression given by a ¼ 2 sin ¼ 2 sin rad
4R 4 ! 100
(12.19a) as follows: ¼ 0:0707 rad:

sin2 ða=2Þ From (12.47f),

l¼
ðsin a=2Þ % sin w rffiffiffiffi !rffiffiffiffi "
R %1 R
½sinð0:109599=2Þ(2 H1 ¼ 2
h2
tan
h2 "
a
¼ rffiffiffiffiffiffiffi rffiffiffiffiffiffiffi #
½fsinð0:109599Þg=2( % sinð0:03117146Þ
100 100
2:9999 ! 10%3 ¼2! ! tan%1 ð0:0707Þ ¼ 8:549:
¼ ¼ 0:127: 1:5 1:5
23:5234 ! 10%3
(b) According to (12.17a), the maximum possible draft in Hence from (12.66b), the maximum allowable back ten-
an unaided rolling pass is sion that can be applied to the strip is:
586 12 Rolling

* + * +
h1 h1 The following procedure is required to find the value of
!00 1 %
ðrB Þmax ¼ r exp ð%lH1 Þ þ expð%lH1 Þ rF R
a
h2 h2 y dh:
* & '
2 0
¼ 500 ! 1 % ! exp ð%0:05 ! 8:549Þ As it is cold rolling having small angle of contact, (12.8b)
1:5
& ' + can be used to get the initial angle of contact of the strip with
2
þ ! exp ð%0:05 ! 8:549Þ ! 100 N=mm2 roll, which is:
1:5
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ ½500 ! ð1 % 0:86956Þ þ 0:86956 ! 100( MPa h1 % h2 ð1:605 % 1:1325Þ ! 10%3
a¼ ¼
¼ 152:176 MPa: R 0:125
¼ 0:06148 rad:

12.19.3. A 100-mm-wide strip is cold reduced in thickness

From (12.47f),
from 1.605 to 1.1325 mm in one pass on a two-high mill
rffiffiffiffi !rffiffiffiffi "
having steel rolls operating at 150 rpm. The plane-strain R R
average flow stress of the strip is 545 MPa and the roll H1 ¼ 2 tan%1 a
h2 h2
diameter is 250 mm. The strip is subjected to a back tension rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi "rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi #
0:125 %1 0:125
of 100 MPa and a front tension of 180 MPa. The coefficient ¼2! ! tan ð0:06148Þ
1:1325 ! 10%3 1:1325 ! 10%3
of friction at the roll–strip interface is 0.055. Assuming
¼ 12:05:
homogeneous deformation and neglecting elastic compres-
sion and elastic recovery of the strip, determine the fol-
lowing on the basis of Ford, Ellis and Bland theory taking
For the entry zone of rolling, from (12.56a):
elastic flattening of rolls into account, till the new roll radius
does not change more than 1% of the previous one: *! " +
% rB exp ðl H1 Þ
y ¼ 1% 0 h exp ð%l H Þ
r
!0 h1
(a) Rolling load. *! " +
(b) Rolling torque required for each work roll. 100 ! 106 exp ð0:055 ! 12:05Þ
¼ 1%
(c) Lever arm ratio and lever arm or moment arm. 545 ! 106 1:605 ! 10%3
(d) Overall power requirement of the cold-rolling mill, if 987 h
! h exp ð%l H Þ ¼ :
the diameter of roll neck is half of that of the roll. exp ðl H Þ
Assume that the coefficient of friction at the roll neck is
For an arbitrary contact angle of h:
0.01 and the overall efficiency of the power unit is 80%.
* rffiffiffiffi !rffiffiffiffi "+
R R
expðl H Þ ¼ exp 2 l tan%1 h
Solution h2 h2
" rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Given in problem for the strip: 0:125
¼ exp 2 ! 0:055 !
Width is w ¼ 0:1 m; initial thickness is h1 ¼ 1:605 ! 1:1325 ! 10%3
10 m; thickness after rolling is h2 ¼ 1:1325 ! 10%3 m;
%3 rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !#
0:125
plane-strain average flow stress is r !00 ¼ 545 ! 106 N=m2 ; ! tan%1 h
1:1325 ! 10%3
back tension is rB ¼ 100 ! 106 N=m2 ; front tension is rF ¼ . /
180 ! 106 N=m2 ; coefficient of friction at the roll–strip ¼ exp 1:156 ! tan%1 ð10:506 hÞ
interface is l ¼ 0:055; and roll radius is R ¼ 0:125 m . For the exit zone of rolling, from (12.56b):
*! " +
þ rF 1
(a) Cold-rolling load can be obtained from (12.59): y ¼ 1% 0 ! h exp ðl H Þ
r
!0 h2
2 3 *! " +
180 ! 106 103
Zw Za Za ¼ 1% ! h exp ðl H Þ
06 þ % 7 0 545 ! 106 1:1325
P ¼ wRr !0 4 y dh þ y dh5 ¼ w R r !0 y dh
¼ 591:3 h exp ðl H Þ:
0 w 0
12.19 Solved Problems 587

From (12.54b) and (12.54d): The radius of the elastically flattened rolls, R0 ; can be
obtained from Hitchcock relation given by (12.26a), which is:
rB 100 ! 106
y1 ¼ 1 % ¼1% ¼ 0:8165; R0 Cr P
r
!00 545 ! 106 ¼ 1þ
and R w ð h1 % h2 Þ
rF 180 ! 106 where for steel rolls, Cr ¼ 2:16 ! 10%11 Pa%1
y2 ¼ 1 % ¼1% ¼ 0:6697:
r
!00 545 ! 106 Hence,
At the neutral point, where the stock thickness is h ¼ hn ; * +
0 ð2:16 ! 10%11 Þ ! 342845:875
from (12.57a): R ¼ 0:125 ! 1 þ m
0:1 ! ð1:605 % 1:1325Þ ! 10%3
! " ¼ 0:145 m:
H1 1 y2 h1
Hn ¼ % ln
2 2l y1 h2 For elastically flattened rolls with R0 ¼ 0:145 m:
! "
12:05 1 0:6697 ! 1:605 ! 10%3 From (12.8b), the new angle of contact is:
¼ % ln
2 2 ! 0:055 0:8165 ! 1:1325 ! 10%3 rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
h1 % h2 ð1:605 % 1:1325Þ ! 10%3
¼ 4:6568: a¼ ¼
R 0 0:145
Hence, according to (12.57b), the no-slip angle is: ¼ 0:057084 rad:
rffiffiffiffi rffiffiffiffi !
From (12.47f),
h2 h2 H n
w¼ tan rffiffiffiffi !rffiffiffiffi0 "
R R 2 R0 R
%1
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ! H1 ¼ 2 tan a
1:1325 ! 10%3 1:1325 ! 10%3 4:6568 h2 h2
¼ tan rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
0:125 0:125 2 0:145
¼2!
¼ 0:021447 rad: 1:1325 ! 10%3
"rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi #
%1 0:145
According to (12.8a), the stock thickness at an arbitrary ! tan ð0:057084Þ
1:1325 ! 10%3
contact angle of h is:
¼ 12:98:
h ¼ h2 þ R h2 ¼ 1:1325 ! 10%3 þ 0:125 h2 m:
From (12.56a), for the entry zone of rolling with H1 ¼
To get arbitrarily the angular coordinate h; let us divide 12:98 is:
from the exit plane of rolling, where h ¼ 0; to the neutral *! " +
plane of rolling, where h ¼ w ¼ 0:021447 rad; into three rB exp ðl H1 Þ
y% ¼ 1% 0 h exp ð%l H Þ
nearly equal angles and from the neutral plane to the entry r!0 h1
*! " +
plane of rolling, where h ¼ a ¼ 0:06148 rad; into six nearly 100 ! 106 exp ð0:055 ! 12:98Þ
¼ 1%
equal angles, which are shown in the Table 12.2: 545 ! 106 1:605 ! 10%3
Hence, by summing up the values of !y Dh from h ¼ 0 to 1038:8 h
h ¼ a ¼ 0:06148 rad from Table 12.2, we get ! h exp ð%l H Þ ¼ :
exp ðl H Þ
Za X
h¼a With R0 ¼ 0:145 m; for an arbitrary contact angle of h:
y dh ¼ !y Dh ¼ 0:050326:
* rffiffiffiffi0 !rffiffiffiffi0 "+
0
h¼0 R %1 R
expðlH Þ ¼ exp 2l tan h
h2 h2
Therefore, cold-rolling load of the strip is: " rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
0:145
Za ¼ exp 2 ! 0:055 !
1:1325 ! 10%3
P¼ !00
wRr y dh rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !#
0:145
. ( )
0
/ ! tan%1 h
¼ 0:1 ! 0:125 ! 545 ! 106 ! 0:050326 N 1:1325 ! 10%3
. /
¼ 342845:875 N: ¼ exp 1:245 ! tan%1 ð11:315 hÞ
 588

Table 12.2 Intermediate steps to calculate rolling load for original radius of roll
Line No. Column No. 1 2 3 4 5 6 7 8 9 10
1 Angular coordinate, h; (radian) 0 0.0072 0.0143 0.021447 0.02813 0.0348 0.04148 0.04815 0.05483 0.06148
(N.P.)
2 h ¼ 1:1325 ! 10%3 þ 0:125 h2 ðmÞ 1.1325 1.139 1.1581 1.19 1.2314 1.2839 1.3476 1.4223 1.5083 1.605
!10%3 !10%3 !10%3 !10%3 !10%3 !10%3 !10%3 !10%3 !10%3 !10%3
3 expðl H Þ ¼ exp ½1:156 tan%1 ð10:506 hÞ( 1.0 1.0912 1.1881 1.292 1.394 1.4996 1.6082 1.7184 1.8297 1.9405
4 y þ
¼ 591:3 h exp ðl H Þ 0.6696 0.7349 0.8136 0.9091 − − − − − −
5 987 h − − − 0.9091 0.8719 0.845 0.8271 0.8169 0.8136 0.8163
y% ¼
exp ðl H Þ
6 y 0.6696 0.7349 0.8136 0.9091 0.8719 0.845 0.8271 0.8169 0.8136 0.8163
7 Consecutive means of values in line 6, !y − 0.7023 0.7742 0.8613 0.8905 0.8585 0.836 0.822 0.8153 0.815
8 Increments in radians, Dh − 0.0072 0.0071 0.007147 0.00668 0.00667 0.00668 0.00667 0.00668 0.00665
9 !y Dh − 0.00506 0.0055 0.006156 0.00595 0.00573 0.00558 0.00548 0.00545 0.00542
12
Rolling
12.19 Solved Problems 589

* +
For the exit zone of rolling from (12.56b): yþ ¼ Cr P0
591:3 h exp ðl H Þ: R00 ¼ R 1 þ
w ðh1 % h2 Þ
As found earlier, y1 ¼ 0:8165; and y2 ¼ 0:6697: * +
ð2:16 ! 10%11 Þ ! 374894:6
With H1 ¼ 12:98; the value of Hn from (12.57a) is: ¼ 0:125 ! 1 þ m
0:1 ! ð1:605 % 1:1325Þ ! 10%3
! "
H1 1 y2 h1 ¼ 0:146 m:
Hn ¼ % ln
2 2l y1 h2
! " Hence, the variation in roll radius is:
12:98 1 0:6697 ! 1:605 ! 10%3 R00 % R0 0:146 % 0:145
¼ % ln ! 100 ¼ ! 100
2 2 ! 0:055 0:8165 ! 1:1325 ! 10%3 R0 0:145
¼ 5:1218: ¼ 0:69 %\1%;
that satisfies the given condition:
Hence with R0 ¼ 0:145 m and Hn ¼ 5:1218; the new So, the cold-rolling load is: P0 ¼ 374894:6 N ¼ 374:9 kN:
no-slip angle from (12.57b) is:
! (b) Cold-rolling torque for each work roll, MT =2; in case of
rffiffiffiffi rffiffiffiffi
h2 h2 H n elastically flattened roll radius R0 ; can be obtained from
w¼ tan (12.64):
R0 R0 2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !
1:1325 ! 10%3 1:1325 ! 10%3 5:1218 Za
¼ tan MT 0 0 wR
0:145 0:145 2 ¼ wRR r !0 y h dh þ ðh1 rB % h2 rF Þ
2 2
0
¼ 0:02035 rad:
Ra
To find the value of 0 yh dh; let us take the data for y and
According to (12.8a), the new stock thickness at an angular coordinate h from Table 12.3 and make another
arbitrary contact angle of h is: Table 12.4 as shown below:
Hence, by summing up the values of y h Dh from h ¼ 0 to
h ¼ h2 þ R0 h2 ¼ 1:1325 ! 10%3 þ 0:145 h2 m: h ¼ a ¼ 0:057084 rad from Table 12.4, we get
To get arbitrarily the angular coordinates h; let us divide Za X
h¼a

from the exit plane of rolling, where h ¼ 0; to the neutral y h dh ¼ y h Dh ¼ 13:7537 ! 10%4 :
h¼0
plane of rolling, where h ¼ w ¼ 0:02035 rad; into two 0
nearly equal angles and from the neutral plane to the entry
Therefore, cold rolling torque for each roll in case of
plane of rolling, where h ¼ a ¼ 0:057084 rad; into four
elastically flattened roll radius R0 is:
nearly equal angles, which are shown in the Table 12.3:
Hence, by summing up the values of !y Dh from h ¼ 0 to Za
MT wR
h ¼ a ¼ 0:057084 rad from Table 12.3, we get ¼ w R R0 r
!00 ðh1 rB % h2 rF Þ
y h dh þ
2 2
0
Za X
h¼a ( )
¼ 0:1 ! 0:125 ! 0:145 ! 545 ! 106
y dh ¼ !y Dh ¼ 0:04744:
0:1 ! 0:125
0
h¼0
! 13:7537 ! 10%4 þ
. 2 /
Therefore, new cold-rolling load of the strip is: ! ð1:605 ! 100 % 1:1325 ! 180Þ ! 103 N m
Za ¼ 1087:67 N m ¼ 1:1 kN m:
0 0
P ¼ wR !00
r y dh
(c) According to (12.11b), the length of the deformation zone
0
. ( ) / for elastically flattened rolls having R0 ¼ 0:145 m is:
6
¼ 0:1 ! 0:145 ! 545 ! 10 ! 0:04744 N pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ 374894:6 N: L ¼ R 0 ð h1 % h2 Þ
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
0 00 ¼ 0:145 ! ½ð1:605 % 1:1325Þ ! 10%3 ( m
With the new load P ; the second new radius R of the
elastically flattened rolls according to (12.26b) is: ¼ 0:00828 m:
590 12 Rolling

Table 12.3 Intermediate steps to calculate rolling load for elastically flattened roll radius
Line No. Column No. 1 2 3 4 5 6 7
1 Angular coordinate, h; (radian) 0 0.01017 0:02035 0.0295 0.0387 0.0479 0:057084
(N.P.)
2 h ¼ 1:1325 ! 10%3 þ 0:145 h2 1.1325 1.1475 1.1925 !10%3 1.2587 1.3497 1.4652 1.605
(m) !10%3 !10%3 !10%3 !10%3 !10%3 !10%3
3 expðl H Þ ¼ exp ½1:245 tan%1 ð11:315 hÞ 1.0 1.1533 1.3255 1.4935 1.6717 1.8559 2.0421
4 y þ ¼ 591:3 h exp ðl H Þ 0.6696 0.7825 0.9346 − − − −
5 1038:8 h − − 0.9346 0.8755 0.8387 0.8201 0.8164
y% ¼
exp ðl H Þ
6 y 0.6696 0.7825 0.9346 0.8755 0.8387 0.8201 0.8164
7 Consecutive means of values in line 6, !y − 0.7261 0.8586 0.9051 0.8571 0.8294 0.8183
8 Increments in radians, Dh − 0.01017 0.01018 0.00915 0.0092 0.0092 0.009184
9 !y Dh − 0.00738 0.00874 0.00828 0.00789 0.00763 0.00752

Table 12.4 Intermediate steps to calculate rolling torque for elastically flattened roll radius
Line No. Column No. 1 2 3 4 5 6 7
1 Angular coordinate, h; (radian) 0 0.01017 0:02035 0.0295 0.0387 0.0479 0:057084
(N.P.)
2 y 0.6696 0.7825 0.9346 0.8755 0.8387 0.8201 0.8164
3. yh 0 0.00796 0.01902 0.02583 0.03246 0.03928 0.0466
4 Consecutive means of values in line 3, 0.00398 0.01349 0.02242 0.02914 0.03587 0.04294
yh
5 Increments in radians, Dh − 0.01017 0.01018 0.00915 0.0092 0.0092 0.009184
6 y h Dh − 4.047 1.373 2.051 2.681 3.3 3.944
!10%5 !10%4 !10%4 !10%4 !10%4 !10%4

Lever arm ratio can be obtained from (12.92) as follows: MT N 150

WR ¼ 4 p ¼ 4 p ! 1087:67 ! W
! " 2 60 60
MT 1 ¼ 34:17 ! 103 W:
k¼
2 P0 L
1087:67 Since the bearing diameter is db ¼ 250=2 mm ¼ 0:125 m;
¼ ¼ 0:35: and the coefficient of friction at the roll neck is lb ¼ 0:01; so
374894:6 ! 0:00828
according to (12.96) the total power required for four bearings is:
Since the lever arm or moment arm is a ¼ k L; so for
L ¼ 0:00828 m; and k ¼ 0:35; the lever arm or moment arm 2pN
WB ¼ lb P0 db
is: 60
2 p ! 150
¼ 0:01 ! 374894:6 ! 0:125 ! W
a ¼ k L ¼ 0:35 ! 0:00828 m ¼ 2:898 ! 10%3 m 60
¼ 2:9 mm: ¼ 7:36 ! 103 W:

Hence, the total power requirement for two rolls with four
(d) Given that the rotating speed of rolls is N ¼ 150 rpm:
bearings will be
Hence, for elastically flattened rolls, the power required to WT ¼ WR þ WB
operate a pair of rolls according to (12.95) is:
¼ ð34:17 þ 7:36Þ ! 103 W ¼ 41:53 kW:
12.19 Solved Problems 591

Since the overall efficiency of the power unit is g ¼ 80 %; (a) From (12.11b), the length of the deformation zone is:
so the overall power requirement of the cold-rolling mill is: pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
L ¼ R ðh1 % h2 Þ ¼ 0:5 ! ð0:025 % 0:015Þ m
WT 41:53 ¼ 0:0707 m:
WM ¼ ¼ kW ¼ 51:9 kW:
g 0:8
From (12.81) the no-slip angle is:
12.19.4. A 500-mm-wide and 25-mm-thick plate of alu- rffiffiffiffi " !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi " rffiffiffiffi ! "#
minium alloy is hot reduced homogeneously by 40% in h2 1 %1 h1 % h2 p h2 h1
w¼ tan tan % ln
thickness in one pass with a pair of steel rolls of diameter 1 m R 2 h2 8 R h2
each. The uniaxial flow stress of the alloy is expressed by
Hollomon stress–strain relation with strength coefficient of According to (12.8a), the plate thickness, hn ; at the
140 MPa and strain-hardening coefficient of 0.2. Assuming neutral plane, where the angle of contact is w; is:
homogeneous deformation and using Sims’ theory, deter-
mine the following considering elastic flattening of rolls into hn ¼ h2 þ R w2
"
!rffiffiffiffiffiffiffiffiffiffiffiffiffiffi " rffiffiffiffi ! "#
account, till the roll radius varies by less than 1%: 1 h 1 % h 2 p h2 h1
¼ h2 þ h2 tan2 tan%1 % ln
2 h2 8 R h2
(a) Rolling load. " rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
(b) Rolling torque for the pair of work rolls. 1 0:025 % 0:015
¼ 0:015 þ 0:015 tan2 tan%1
(c) Lever arm ratio and the lever arm or moment arm; 2 0:015
(d) Overall power requirement of the hot-rolling mill, if the rffiffiffiffiffiffiffiffiffiffiffi ! "#
p 0:015 0:025
rolls rotate at 100 rpm. Assume that the power loss due % ln m ¼ 0:01651 m:
to roll-neck friction is 20% and the overall efficiency of 8 0:5 0:015
the power unit is 80%.
Again for undeformed rolls, QS from (12.87b) is:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
Solution p h2 h1 % h2
%1
QS ¼ tan
Given that the roll radius is R ¼ 0:5 m; and the width of the 2 h 1 % h2 h2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi !pffiffiffiffiffiffiffiffiffi "
plate is w ¼ 0:5 m; which remains constant since rolling is R h1 h2 p
assumed to be plane strain deformation. The initial thickness þ ln %
h1 % h2 hn 4
of the plate is h1 ¼ 0:025 m; and after 40% reduction, the rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
reduced thickness is h2 ¼ 0:025 ! ð1 % 0:4Þ m ¼ 0:015 m: p 0:015 0:025 % 0:015
¼ tan%1
With the given strain-hardening coefficient of n ¼ 0:2; and 2 0:025 % 0:015 0:015
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
strength coefficient of K ¼ 140 MPa ¼ 140 ! 106 Pa; the 0:5 0:025 ! 0:015 p
uniaxial flow stress, r0 ; of the aluminium alloy following þ ln %
0:025 % 0:015 0:01651 4
Hollomon stress–strain relation (1.90a) can be given by r0 ¼
( ) ¼ 1:66:
K en ¼ 140 ! 106 e0:2 Pa; where the true plastic strain e
varies from 0 to e1 ¼ lnðh1 =h2 Þ ¼ lnð0:025=0:015Þ ¼ 0:51: Hence from (12.86b), hot-rolling load is:
Hence the strain average uniaxial flow stress is:
R e1 R e1 P ¼ wr!0 L Q
. 0 (S ) /
0R r0 de K en de ¼ 0:5 ! 117:74 ! 106 ! 0:0707 ! 1:66 N
r
! 0 ¼ e1 ¼ 0 R e1
0 de 0 de ¼ 6:91 ! 106 N:
K 140 ! 106
¼ en1 ¼ ð0:51Þ0:2 Pa The radius of the elastically flattened rolls, R0 ; can be
ðn þ 1Þ 1 þ 0:2
obtained from Hitchcock relation given by (12.26a), which is:
¼ 101:967 ! 106 Pa:
R0 Cr P
So, the strain average plane strain deformation resistance is: ¼ 1þ
R w ð h1 % h2 Þ
# pffiffi $
!00 ¼ 2= 3 r
r !0 ¼117:74 ! 106 Pa: where for steel rolls, Cr ¼ 2:16 ! 10%11 Pa%1
592 12 Rolling

* +
Hence, Cr P0
R00 ¼ R 1 þ
( )+ * w ð h1 % h2 Þ ( )+
ð2:16 ! 10%11 Þ ! 6:91 ! 106 *
0 ð2:16 ! 10%11 Þ ! 7:06 ! 106
R ¼ 0:5 ! 1 þ m ¼ 0:5 ! 1 þ m
0:5 ! ð0:025 % 0:015Þ 0:5 ! ð0:025 % 0:015Þ
¼ 0:5149 m: ¼ 0:5152 m:
For elastically flattened rolls with R0 ¼ 0:5149 m: R00 % R0
Hence, the new length of the deformation zone is: Hence, the variation in roll radius is: ! 100 ¼
R0
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0:5152 % 0:5149
L ¼ R0 ðh1 % h2 Þ ¼ 0:5149 ! ð0:025 % 0:015Þ m ! 100 ¼ 0:058 %\1%; that satisfies the
0:5149
¼ 0:0717 m: given condition.
So, the hot-rolling load is: P0 ¼ 7:06 ! 106 N ¼
The new thickness of plate at the neutral plane is:
7.06 MPa.
* !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
1 %1 2 h1 % h2
hn ¼ h2 þ h2 tan tan (b) For R0 ¼ 0:5149 m; the angle of contact according to
2 h2 (12.7) is:
rffiffiffiffi ! "#
p h2 h1 rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
% ln h1 % h2 0:025 % 0:015
8 R 0 h2 a ¼ 2 sin %1
¼ 2 sin %1
rad
" rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi! 4 R0 4 ! 0:5149
1 %1 0:025 % 0:015 2 ¼ 0:1395 rad:
¼ 0:015 þ 0:015 tan tan
2 0:015
rffiffiffiffiffiffiffiffiffiffiffiffiffi ! "# For R0 ¼ 0:5149 m; the no-slip angle from (12.81) is:
p 0:015 0:025
% ln m ¼ 0:01652 m. rffiffiffiffi *
8 0:5149 0:015 !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi "
h2 1 %1 h1 % h2
w¼ tan tan
For elastically flattened rolls with R0 ¼ 0:5149 m and R 0 2 h2
rffiffiffiffi ! "#
hn ¼ 0:01652 m; the new QS is: p h2 h1
% ln
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi !rffiffiffiffiffiffiffiffiffiffiffiffiffiffi " 8 R0 h2
p h2 h1 % h2 rffiffiffiffiffiffiffiffiffiffiffiffiffi " rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
QS ¼ tan%1 0:015 1 %1 0:025 % 0:015
2
h 1 % h2 h2 ¼ ! tan tan
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi !pffiffiffiffiffiffiffiffiffi " 0:5149 2 0:015
R 0 h1 h2 p
þ ln % rffiffiffiffiffiffiffiffiffiffiffiffiffi ! "#
h1 % h2 hn 4 p 0:015 0:025
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi! % ln rad
p 0:015 0:025 % 0:015 8 0:5149 0:015
¼ tan%1
2 0:025 % 0:015 0:015 ¼ 0:05432 rad.
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
0:5149 0:025 ! 0:015 p Hence, total torque for the pair of work rolls according to
þ ln %
0:025 % 0:015 0:01652 4 (12.89) is:
¼ 1:672:
MT ¼ w R R0 r
!00 ða % 2wÞ
" ( )#
Hence, new hot-rolling load is: 0:5 ! 0:5 ! 0:5149 ! 117:74 ! 106
¼ Nm
!f0:1395 % ð2 ! 0:05432Þg
P0 ¼ w r
!0 L Q
. 0 (S ) /
¼ 0:5 ! 117:74 ! 106 ! 0:0717 ! 1:672 N ¼ 467:72 kN m:
¼ 7:06 ! 106 N:
(c) For elastically flattened rolls, lever arm ratio according
With the new load P0 ; the second new radius R00 of the
to (12.93a) is:
elastically flattened rolls according to (12.26b) is:
12.19 Solved Problems 593

!00 #a
w R R0 r $
Stands Initial thickness Thickness of stock Diameter of
k¼ % w of stock (mm) after rolling (mm) rolls (mm)
P0 L 2 ( )
0:5 ! 0:5 ! 0:5149 ! 117:74 ! 106 A 2 1.5 250
¼
ð7:06 ! 106 Þ ! 0:0717 B 1.5 1.2 200
* +
0:1395
! % 0:05432 ¼ 0:46:
2 Assume that the coefficient of friction at the roll-stock
interface for both the stands is 0.15 and no looping of the
stock occurs between the two stands. If the rolls in the stand
A rotate at 175 rpm, at what rpm would the rolls in the stand
Alternative ways to evaluate k: B rotate? Neglect the change in temperature and the spread
Lever arm ratio can be obtained from (12.93b) as follows: of the stock, if any. Use Ekelund’s expression wherever
! "* + required.
R ða=2Þ % w
k¼ Solution
h1 % h2 QS
! "* +
0:5 ð0:1395=2Þ % 0:05432 Given that for both the stands, the coefficient of friction at
¼ the roll-stock interface is l ¼ 0:15:
0:025 % 0:015 1:672
¼ 0:46 Stand A:
Lever arm ratio for elastically flattened rolls, according to The roll radius is RA ¼ 0:125m; and the peripheral velocity
(12.92) is: of the rolls is:

MT 467:72 ! 103 2 p RA ! 175 2 p ! 0:125 ! 175

k¼ ¼ ¼ 0:46: vAr ¼ ¼ m s%1
2 P0 L 2 ! ð7:06 ! 106 Þ ! 0:0717 60 60
¼ 2:29 m s%1 :
Since the lever arm or moment arm is a ¼ k L; so for
L ¼ 0:0717 m; and k ¼ 0:46; the lever arm or moment arm Initial thickness of stock is hA1 ¼ 0:002 m; and thickness
is: of stock after rolling is hA2 ¼ 0:0015 m: As it is cold rolling
having small angle of contact, the following relations may be
a ¼ k L ¼ 0:46 ! 0:0717 m ¼ 0:03298 m ¼ 32:98 mm:
taken. From (12.8b), the angle of contact of the stock with
the roll is:
(d) Given that the rotating speed of rolls is N ¼ 100 rpm: rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Hence, for elastically flattened rolls, the power required A hA1 % hA2 0:002 % 0:0015
a ¼ ¼ rad ¼ 0:0632 rad:
to operate a pair of rolls according to (12.95) is: R A 0:125

WR ¼ 2 p MT ðN=60Þ The no-slip angle according to (12.19b) is:

( )
¼ 2 p ! 467:72 ! 103 ! ð100=60Þ W 2
aA ð aA Þ 0:0632 ð0:0632Þ2
¼ 4:9 ! 106 W: wA ¼ % ¼ % rad ¼ 0:0249 rad:
2 4l 2 4 ! 0:15
Considering the power loss due to roll-neck friction to be
20%, the total power input will be: WT ¼ 1:2 ! WR ¼ Hence, the forward slip from (12.22c) is:
1:2 ! 4:9 ! 106 W ¼ 5:88 ! 106 W:
Since the overall efficiency of the power unit is g ¼ 80%; RA ( A )2 0:125
SAF ¼ w ¼ ! ð0:0249Þ2 ¼ 0:052:
so the overall power requirement of the hot-rolling mill is: hA2 0:0015
( )
WM ¼ WT =g ¼ 5:88 ! 106 =0:8 ¼ 7:35 ! 106 W If vA2 is the exit velocity of the stock from stand A, then by
¼ 7:35 MW: definition since
( ) ( )
SAF ¼ vA2 =vAr % 1 [see (12.20a)], so vA2 =vAr % 1 ¼ 0:052:

12.19.5. A and B are two consecutive stands in a two-high ) vA2 ¼ ð0:052 þ 1Þ ! vAr ¼ 1:052 ! 2:29 m s%1
tandem continuous cold-rolling mill through which a stock is ¼ 2:41 m s%1 :
rolled. The following data are provided:
594 12 Rolling

Stand B: Solution
The roll radius is RB ¼ 0:1 m: Initial thickness of stock is The roll gap set prior to the entry of the strip is the passive
hB1 ¼ 0:0015 m; and thickness of stock after rolling is hB2 ¼ roll gap g; and the rolled gauge of the strip is h2 :
0:0012 m: As it is cold rolling having small angle of contact,
the following relations may be taken. From (12.8b), the (a) It is given that g ¼ 3:4 mm; and h2 ¼ 3:7 mm; at a
angle of contact is: rolling load of P ¼ 337:5 kN:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi From (12.101), we get the mill ‘springback’:
hB1 % hB2 0:0015 % 0:0012
aB ¼ ¼ rad ¼ 0:0548 rad: sm ¼ h2 % g ¼ ð3:7 % 3:4Þ mm ¼ 0:3 mm:
RB 0:1
The no-slip angle according to (12.19b) is:
From (12.103), we get the mill modulus:
B B 2 2
a ða Þ 0:0548 ð0:0548Þ 1 sm 0:3
wB ¼ % ¼ % rad ¼ 0:0224 rad: ¼ ¼ mm=kN ¼ 0:889 ! 10%3 mm=kN
2 4l 2 4 ! 0:15 m P 337:5
¼ 0:889 lm kN%1 :
Hence, the forward slip from (12.22c) is:
(b) Given that rolling load P ¼ 450 kN; which produces a
RB ( ) 2 0:1 rolled strip of 3.5 mm thickness, i.e. h2 ¼ 3:5 mm: Since
SBF ¼ B wB ¼ ! ð0:0224Þ2 ¼ 0:042:
h2 0:0012 the rolling mill remains the same, the value of mill
modulus will remain unchanged, because it is a charac-
If vB1 is the entry velocity of the stock into stand B and vB2 teristic of the mill. Hence, the roll gap setting prior to the
is the exit velocity of the stock from stand B, then from entry of the strip, i.e. the passive roll gap from (12.102) is:
constancy of volume flow rate we can write:
1 . ( ) /
B B B B g ¼ h2 % P ¼ 3:5 % 0:889 ! 10%3 ! 450 mm
v 1 h1 ¼ v 2 h2 ; m
¼ 3:1 mm:
where vB1 ¼ vA2 ¼ 2:41 m s%1 :

vB1 hB1 2:41 ! 0:0015

) vB2 ¼ ¼ m s%1 ¼ 3:01 m s%1 :
hB2 0:0012 Exercise
( ) ( )
Since SBF ¼ vB2 =vBr % 1; [see (12.20a)], so vB2 =vBr % 1
¼ 0:042: 12.Ex.1. In the hot rolling of a slab, if the radial force
Hence, the peripheral velocity of rolls in stand B is: exerted by the rolls on the slab at the entry plane is 4 kN per
mm width of the slab and the tangential friction force
vB2 3:01 between the rolls and the slab at the entry plane is 1.6 kN per
vBr ¼ ¼ m s%1 ¼ 2:89 m s%1 mm width of the slab, calculate the angle of bite for the
0:042 þ 1 1:042
unaided entry of the slab into the throat of the rolls.
Now the rpm at which the rolls in the stand B would
rotate is: 12.Ex.2. Determine the maximum draft and reduction possi-
ble per pass for a 200-mm-thick work-piece, when the coef-
vBr ! 60 2:89 ! 60 2:89 ! 60 ficients of friction at the interface of rolls and work-piece are:
¼ ¼ rpm ¼ 276 rpm:
2 p RB 2 p RB 2 p ! 0:1
(i) (a) 0.1 during cold rolling on a two-high mill with rolls of
400 mm diameter.
12.17.6. The gauge of a 4.0-mm-thick metal strip after a
single pass in cold rolling shows a thickness of 3.7 mm. The (b) 0.5 during hot rolling on the same mill.
roll gap set prior to the entry of the strip was 3.4 mm and the (ii) If the roll diameter is changed from 400 mm to 1.2 m,
rolling load required was found to be 337.5 kN. Assume that what will be the effect on the maximum draft and reduction
the width of the strip remains constant. per pass for the same work-piece maintaining the same
frictional condition as in (a) and (b)?
(a) Calculate the mill ‘springback’ and mill modulus.
(b) If the rolling load required is 450 kN to produce a 12.Ex.3. If a 30-mm-thick stock is rolled to 20 mm thick-
rolled strip of 3.5 mm thickness from the same metal ness with rolls of 250 mm diameter, what will be the angle
strip with the same rolling mill, what will be the roll between the entry plane of the stock and the centreline of the
gap setting prior to the entry of the strip? rolls and the projected length of deformation zone?
12.19 Solved Problems
12.Ex.4. If forward slip of a cold-rolling mill is 5%, find %
maximum reduction possible by that mill without any spread
using Ekelund’s expression. Given that, roll diameter ¼
250 mm; stock thickness before the roll pass ¼ 5 mm; stock
thickness after the roll pass ¼ 3:5 mm:
12.Ex.5. The thickness of a plate is to be reduced from 60 to
30 mm by multi-pass rolling. The roll radius is 339 mm and
the coefficient of friction is 0.15. Assuming equal draft in
each pass, what would be the minimum number of passes
required for the above reduction?
12.Ex.6. If rolls of 700 mm diameter are operating at
125 rpm, calculate the mean true strain rate under sticking
friction for a 200-mm-thick slab as well as for a
20-mm-thick strip, while both have undergone 25% reduc-
tion in thickness. What do you conclude from the results
obtained?
12.Ex.7. In a planetary hot-rolling mill, each back-up roll
with a diameter of D has 20 numbers of work rolls, each
with a diameter of d and the curvilinear gap between any two
adjacent work rolls is 9.96% of d. Find the ratio of D/d.
12.Ex.8. When a strip of 250 mm width is rolled using steel
rolls with diameter of 250 mm and length of 500 mm, the
roll-separating force is found to be 750 kN. The elastic and
shear moduli of steel rolls are, respectively, 207 and 78 GPa.
Determine the deflection of the rolls at their centre taking
suitable values of the constants from the text.
12.Ex.9. What is the thinnest gauge to which a fully hard
steel sheet with an average flow stress of 800 MPa can be
rolled with steel rolls of diameter 400 mm? Assume that the
coefficient of friction at the job-roll interface is 0.1.
12.Ex.10. A 30-mm-wide 70–30 brass strip is cold reduced
homogeneously in thickness from 2.5 to 1.75 mm in one
pass on a two-high mill having steel rolls. The rolls are
400 mm in diameter and travels at 100 rpm. The uniaxial
flow stress of the alloy is expressed as true stress ðMPaÞ ¼
895 ðtrue strainÞ0:49 : The strip is subjected to a back tension
of 100 MPa and a front tension of 150 MPa. The coefficient
of friction at the roll–strip interface is 0.05. Consider elastic
flattening of rolls into account till the roll radius varies by
less than 1%, and determine the following using the sim-
plified cold-rolling formula analogous to forging formula:
(a) Rolling load.
(b) Cold-rolling torque for each work roll, assuming typical
value of the lever arm ratio.
(c) Power required for this cold-rolling operation, if the
diameter of roll neck is half of that of the roll. Assume that
the coefficient of friction at the roll neck is the same as that at
595
the roll–strip interface and the overall efficiency of the power
unit is 80%.
12.Ex.11. A 1-m-wide and 500-mm-thick slab is hot rolled
in one pass to thickness of 400 mm on a two-high mill with
cast iron rolls of 2 m diameter. The average plane-strain flow
stress of the slab is 500 MPa. Assume full sticking frictional
condition at the roll-slab interface. Consider elastic flattening
of rolls into account till the roll radius varies by less than
1%, and determine the following using the simplified
hot-rolling formula analogous to forging formula:
(a) Rolling load.
(b) Lever arm or moment arm and hot-rolling torque for the
pair of work rolls, assuming typical value of the lever arm
ratio.
12.Ex.12. A 60-mm-thick slab is given the maximum pos-
sible reduction by rolling with rolls of 600 mm diameter
operating at 100 rpm. If the coefficient of Coulomb’s friction
at the roll-slab interface is 0.3, calculate the velocity of the
rolled product at the exit plane under the condition of
maximum draft. Use Ekelund’s expression wherever
required.
12.Ex.13. A 200-mm-wide strip is cold rolled by a two-high
mill in thickness from 2 to 1.5 mm, without any spread. The
rolls are 300 mm in diameter and operate at 100 rpm. If the
rolling load is 1.1 MN, determine the mill power required for
this cold reduction, assuming typical value of lever arm ratio
for cold rolling. Neglect elastic flattening of the rolls for this
reduction, the power needed for the roll-neck bearings and
energy losses in the motor and transmission.
12.Ex.14. A 500-mm-wide plate is homogeneously hot
rolled in thickness from 200 to 150 mm, without any spread
under full sticking frictional condition. The diameter of each
roll is 1 m. Neglecting elastic flattening of the rolls and
using Sims’ theory of hot rolling determine the following:
(a) The no-slip angle.
(b) The lever arm ratio.
12.Ex.15. A strip is cold reduced in thickness from 1.5 to
1.2 mm in one pass on a two-high mill with steel rolls of
100 mm diameter. The resistance of the strip to plane-strain
deformation at the entry plane is 400 MPa, which increases
linearly to 500 MPa at the exit plane. The strip is subjected
to a back tension of 50 MPa and a front tension of 100 MPa.
If the coefficient of friction at the roll–strip interface is 0.05,
determine the rolling load per unit width of the strip, using
Ekelund’s formula, considering elastic flattening of rolls into
account, till the new roll radius does not change more than
1% of the previous one. Assume homogeneous deformation
596
and neglect elastic compression and elastic recovery of the
strip.
12.Ex.16. Indicate the correct or most appropriate answer(s)
from the following multiple choices:
(a) To obtain the thinnest possible strip by cold rolling,
which of the followings should be selected?
(A) Big-diameter rolls made of steel;
(B) Small-diameter rolls made of tungsten carbide;
(C) Big-diameter rolls made of tungsten carbide;
(D) Small-diameter rolls made of steel.
(b) The unaided entry of the stock into the roll throat for a
given initial thickness of the stock becomes difficult if the
roll diameter and the reduction in cross-sectional area
imparted to the stock
(A) both increase;
(B) respectively, increases and decreases;
(C) both decrease;
(D) respectively, decreases and increases.
(c) Increase of back tension in the plane of sheet during its
cold rolling operation causes the no-slip angle and the for-
ward slip to
(A) increase;
(B) increase and decrease, respectively;
(C) decrease and increase, respectively;
(D) decrease.
(d) For the occurrence of ‘bite’ in rolling, the following
condition should be satisfied:
(A) The coefficient of friction should exceed the tangent of
contact angle;
(B) The roll-separating force should reach a maximum
value;
(C) The friction coefficient should be zero;
(D) The contact length should be a minimum.
(e) Select, which of the following respective combinations of
roll diameter and rolling speed will produce thinner gage
sheet by cold-rolling operation:
(A) Large and high; (B) Large and low;
(C) Small and low (D) Small and high.
(f) The unaided entry of the stock into the roll throat for a
given roll diameter becomes easier if the initial thickness of
the stock and reduction imparted to the stock
(A) both increase;
(B), respectively, increases and decreases;
12 Rolling
(C) respectively, decreases and increases;
(D) both decrease.
(g) To manufacture thin sheet or foil of high-strength alloy,
select which one of the following rolling mills is usually
used:
(A) Two-high tandem continuous mill; (B) Z-mill;
(C) Planetary mill; (D) Three-high mill.
(h) To achieve a round product like rod, by rolling, the
‘Leader’ pass must be
(A) a box pass; (B) a square pass; (C) a diamond pass;
(D) an oval pass; (E) a round pass.
(i) For a given diameter of rolls, the minimum thickness up
to which a particular metal can be reduced by cold rolling is
nearly proportional to
(A) Er =l; (B) Er l; (C) 1=ðEr lÞ; (D) l=Er ;
where Er is the elastic modulus of rolls and l is the coeffi-
cient of friction at metal–roll interface.
(j) For rolling of blooms to billets and to help in descaling of
the stock, it is usual practice to commence the reduction with
a few
(A) box passes; (B) square passes;
(C) diamond passes; (D) oval passes.
(k) The type of defects observed in rolling is:
(A) Alligatoring; (B) Flash cracking;
(C) Fir-tree cracking; (D) Earing.
(l) During ingot breakdown by hot rolling, the roll surfaces
usually have grooves cut in them parallel to the roll axis in
order to
(A) decrease the rolling load; (B) increase the angle of bite;
(C) achieve a larger reduction; (D) decrease elastic flattening
of rolls.
Answer to Exercise Problems
12.Ex.1. 21.8°.
12.Ex.2. (i) (a) 2 mm, 1%; (b) 42 mm, 21%.
(ii) (a) 6 mm, 3%; (b) 126.7 mm, 63.3%.
12.Ex.3. 16.26°, 35 mm.
12.Ex.4. 76%.
12.Ex.5. 4.
12.Ex.6. Slab:10.15 s−1; Strip: 31.56 s−1. For equal per-
centage of reduction with the same diameter rolls rotating at
12.19 Solved Problems
the same speed, the mean true strain rate of a thinner
work-piece is much greater than that of a thicker one.
12.Ex.7. 6.
12.Ex.8. 1.191 mm.
12.Ex.9. 0.65 mm.
12.Ex.10. (a) 137.57 kN; (b) 803.5 N m; (c) 39 kW.
12.Ex.11. (a) 194.63 MN; (b) 164.5 mm; 64 MN m.
12.Ex.12. 3.28 m s−1.
12.Ex.13. 89.78 kW.
12.Ex.14. (a) 6.36°; (b) 0.49.
12.Ex.15. 1.54 kN mm−1 or MN m−1.
12.Ex.16. (a) (B) Small-diameter rolls made of tungsten
carbide. (b) (D) respectively decreases and increases. (c) (D)
decrease. (d) (A) The coefficient of friction should exceed
the tangent of contact angle. (e) (D) Small and high. (f) (D)
both decrease. (g) (B) Z-mill. (h) (D) an oval pass. (i) (D)
l=Er : (j) (A) box passes. (k) (A) Alligatoring. (l) (B)
increase the angle of bite; (C) achieve a larger reduction.
References
Alder, J.F., Phillips, V.A.: Inst. Metals 83, 80 (1954)
Aleksandrov, P.A.: In: Samarin, A.M. (ed.) Contemporary Problems of
Metallurgy, pp. 416–422. Consultants Bureau, New York (1960)
Al-Salehi, F.A.R., Firbank, T.C., Lancaster, P.R.: Int. J. Mech. Sci. 15,
693–710 (1973)
Avitzur, B.: An upper bound approach to cold strip rolling. Trans.
ASME, Ser. B. 86, 31–48 (1964)
Bland, D.R., Ford, H.: The calculation of roll force and torque in cold
strip rolling with tensions. Proc. Inst. Mech. Eng. London 159, 144–
153 (1948)
Capus J. M., Cockcroft M. G.: J. Inst. Met., 90, 289–297 (1961–62)
Coffin, L.F.: J. Met. 15, 14–22 (1967)
Ekelund S. (1933) The Analysis of Factors Influencing Rolling Pressure
and Power Consumption in the Hot Rolling of Steel. Steel, Vol. 93,
Nos. 8–14. (Translated from Jernkontorets Ann., Feb., 1927, By B.
Blomquist)
Giles, J.L., Gutteridge, C.: J. Iron Steel Inst. London 211, 9–12 (1973)
Harris, J.N.: Mechanical Working of Metals, p. 123. Pergamon Press,
Oxford (1983)
Hessenberg, W.C.F., Sims, R.B.: The Effect of Tension on Torque and
Roll Force in Cold Strip Rolling. J. Iron Steel Inst. London 168,
155–164 (1951)
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Hitchcock J. H. (1935) Elastic Deformation of Rolls during Cold
Rolling. Roll Neck Bearings, ASME Res. Publ., New York, p. 61
Larke E. C. (1963). The Rolling of Strip, Sheet, and Plate, 2nd edn.,
Chapman and Hall, Ltd., London, pp. 267–273, 346
Nadai A. (1931). Plasticity, McGraw-Hill
Oliver, B.R., Bowers, J.E.: A Simplified Method of Deriving
Cold-Rolling Schedules. J. Inst. Met. 93(7), 218–222 (1965)
Orowan, E.: Proc. Inst. Mech. Eng. 150, 140 (1943)
Orowan E., and Pascoe K. J. (1946) A Simple Method of Calculating
Roll Pressure and Power Consumption in Hot Flat Rolling. Iron and
Steel Inst., Special Report No. 34, p. 124
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Roberts, W.L.: Blast Furn. Steel Plant 56, 382–394 (1968)
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Edward Arnold (Publishers) Ltd., U.K., Indian Reprint by CBS
Publishers & Distributors, New Delhi, India, p. 211, 228
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Engineering 195, 494–495 (1963)
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of Metals, Jamshedpur, Feb., 1963
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53(14), 346–352 (1933a)
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(1933b)
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 Extrusion
13

Chapter Objectives

• Advantages and drawbacks of extrusion.

• Two basic methods of extrusion: direct and indirect, and their comparison.
• Extrusion equipments and dies.
• Metal flow during extrusion.
• Factors influencing extrusion process, such as type of extrusion, extrusion ratio,
extrusion (ram) speed, approach angle of conical die and optimum semicone angle,
friction and lubrication.
• Estimation of extrusion (ram) pressure and load for: open-die, indirect and hydro-
static extrusions, direct extrusions through conical converging die and square die
under conditions of Coulomb’s sliding friction, full sticking friction and mixed
sticking–sliding friction, prevailing, respectively, from the entry plane of conical die
or from that of dead zone in square die to the entry to extrusion chamber.
• Strain rate in extrusion.
• Extrusion defects.
• Impact extrusion: direct (Hooker process) and indirect.
• Hydrostatic extrusion and its basic difference with conventional extrusion. Con-
ventional hydrostatic and differential pressure hydrostatic extrusion. Advantages and
disadvantages of hydrostatic extrusion.
• Seamless tube production by extrusion: using an external long fixed, floating or
piercing type of mandrel, or without using a normal external mandrel (welding-
chamber method). Extrusion of cable sheathing.
• Application of slip-line field to steady-state motion: 50% and 2=3 plane-strain
frictionless extrusion.
• Upper-bound solution for plane-strain frictionless extrusion with an example.
• Problems and solutions.

the harder and stronger metals requires high temperatures and

13.1 Introduction
Extrusion is a relatively new method for fabrication of met-
als. Originally, it was developed in the late 1700s to produce
lead pipe and later to the lead sheathing of cable. Extrusion of
pressures, which must be withstood by suitable die material.
The problems of getting such suitable die material could not
be overcome until well into the twentieth century. Nowadays,
successful extrusion of aluminium, copper, nickel, lead and
their alloys and steels have become possible.

© Springer Nature Singapore Pte Ltd. 2018 599

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_13
600
Extrusion is the working process by which a block of
metal enclosed in a strong container is forced to flow
through a die orifice under high pressure in order to reduce
its cross-section. The die may be round or various other
shapes. The initial material in extrusion is rolled or cast billet
of usually cylindrical shape. After placement of the billet
into a strong metal container, it is compressed by means of a
ram so that it is ejected through the orifice of a die. The
ejected or extruded metal acquires the contour and dimen-
sions of the die orifice. In general, cylindrical bars or hollow
tubes are produced by means of extrusion, but the most
easily extrudable metals like aluminium may also be extru-
ded into shapes of irregular cross-section. Since a container
with a constant specific volume is involved in extrusion,
each billet is extruded individually and hence, extrusion is
essentially a batch process.
Metals may be extruded hot or cold. Since the deforma-
tion resistance of metal is low at elevated temperature, most
metals are extruded hot in order to reduce the large force
requirement in extrusion. However, cold extrusion is possi-
ble for many metals like lead, tin, aluminium and copper.
These metals are extruded cold with a high speed of defor-
mation, as in impact extrusion, resulting generation of con-
siderable heat, to produce short lengths of hollow shapes
such as collapsible toothpaste tubes. Extrusion of tubing can
also be made by attaching a mandrel to the end of a ram,
which will be discussed in Sect. 13.11.
13.1.1 Comparison with Rolling
There are some advantages of extrusion over rolling. These
are:
• In extrusion, the plasticity of metals is higher and the
cracking of the materials during primary breakdown from
ingot tends to reduce due to the presence of favourable
high compressive stresses produced by the reaction of the
extrusion billet with the container and die. This advan-
tage is an important reason for the increased utilization of
extrusion of poorly plastic metals and alloys, like stain-
less steels, nickel-based alloys and other
high-temperature materials, which are difficult or
impossible to work by rolling or other methods of
working.
• Reduction ratio (ratio of cross-sectional areas of
unworked to worked billet) is generally less than or equal
to 2 in per pass of rolling, whereas reduction ratio is
generally 50–60 for extrusion.
• It requires less time to change a press for extrusion of a
new item than a similar operation on a rolling mill.
13 Extrusion
• Complex shapes, which are not possible to produce by
rolling, can be made by extrusion.
• Shapes produced by extrusion may not require machin-
ing operation. Thus, the extrusion process helps in
material conservation.
• Changes from one size or shape of product to another can
be accomplished with virtually no break in production.
• Compared to rolling, automation of extrusion is simpler
as items are produced in a single passing.
• Dimensional accuracy of extruded articles is normally
superior to that of rolled ones.
Few drawbacks of extrusion are:
• Process waste in extrusion amounts to 10–15% against
1–3% in rolling because extrusion waste consists of an
extruded butt (discard) and an insignificantly deformed
leading end of the extruded product.
• The structure and properties of extruded items exhibit
relatively great inhomogeneities due to differences in flow
of materials at the surface and central regions of the billet.
• Extrusion tooling has a shorter service life because
contact stresses and slip rates are high.
• Tooling costs in extrusion are relatively high since costly
alloy steels are used to manufacture extrusion tools.
• Overall costs of extrusion process are generally higher
than those of other methods of working.
• As far as productivity is concerned, extrusion is much
inferior to rolling because extrusion is a batch process,
whereas rolling can be carried out as a continuous
operation.
Because of the above factors, extrusion is chiefly applied
in the fields of:
• Working of poorly plastic and non-ferrous metals and
alloys;
• Production of sections and pipes of complex shapes;
• Batch production of medium and small sizes;
• Production of components with high dimensional
accuracy.
13.2 Two Basic Methods of Extrusion
There are basically two methods of extrusion process:
• Direct extrusion (also called forward extrusion) and
• Indirect extrusion (also called reverse, inverted or
backward extrusion).
13.2 Two Basic Methods of Extrusion 601

Direct Extrusion:
The process of direct extrusion is illustrated in Fig. 13.1a.
The heated billet is loaded into a chamber, usually made of a
heavy steel shell, lined with heat-resisting alloy steel. A hy-
draulic ram or stem is used to apply a pushing force to the
billet so that the billet is upset and extruded through a die
made of heat-resisting tool steel. Note that the billet slides
relative to the container wall (Laue and Stenger 1981). The
ram travels in the same direction as the extruded section,
which assumes the shape of the die orifice. Generally, the
diameter of the ram fitted into the container is smaller than
the inside bore of the container. A dummy block or a
pressure plate or pad in preheated condition is placed
between the billet and the ram so that the back end of the hot
billet is prevented from chilling in contact with the ram and
on the other hand, the ram, which is highly loaded in
compression, is also protected from the hot billet. The
dummy block may also be affixed to the ram stem and is
called fixed dummy block. Often the dummy block used is
slightly smaller in diameter than the inside diameter of the
extrusion chamber. The purpose of the clearance between
the container wall and the ram or the dummy block is
twofold:
(a)
Container
Die
Billet Ram
Extrudate Dummy
block
Die
holder
(b)
Container
Ram
Closure
plate
Extrudate Billet
Ram
Fig. 13.1 Extrusion of solid by a direct extrusion and b indirect
extrusion
(a) to minimize friction between the ram or dummy block
and the container, and
(b) also to allow scraping of the billet to form a thin skull
containing the oxidized surface layers to be left on the
wall of the container after the billet has been extruded.
Prior to the completion of extrusion of the billet, when a
small portion amounting to about 5–15% of the billet is left
in the container and there is a very rapid rise of the load
required for extrusion, extrusion is halted. This remaining
billet is called the discard or butt, which is left in the con-
tainer as an extrusion waste and reduces the yield. This
waste is purposely made in order to avoid the development
of extrusion defects, caused by extrusion of the billet skin
and the rear end of the billet into the extruded product, and
to avoid the rise of extrusion load. The extruded product
(also called extrudate) is separated from the butt by cutting
off with a hot saw. Alternatively, complete extrusion of the
billet without a butt left in the chamber is possible to carry
out when a plain graphite dummy block is used, and asbestos
pads are placed between the surfaces of the billet and
dummy block, and the spacing between the chamber and the
billet is filled with graphite. This will eliminate the formation
of rear-end piping defect and the sharp rise of pressure at the
end of stroke. Finally, there must be a runout table to receive
the extrudate and a straightener like roller levelling or
stretcher levelling to correct minor warpage in the extrudate.
The leading end of an extrudate is always but negligibly
deformed; when cast ingots are extruded, their cast structure
can be retained in the central zone of the forward end of the
extrudate even for an extrusion ratio (ratio of cross-sectional
areas of unextruded to extruded billet) of 15. Therefore, it is
necessary to crop the leading end of the extrudate.
The container is drawn back and separated from the die,
while the butt remains still adhered to the die face and may
be attached to the dummy block if the dummy block is not
affixed to the ram stem. The butt is separated by shearing
from the die face and discarded. The container, die and ram
are brought back to their initial loading positions. After-
wards, extruded sections are heat treated usually in electric
furnaces, and their surface defects are eliminated by cutting
out, scraping, pickling and other techniques. Then extruded
items are varnished, oxide coated, anodized, coated with
grease, etc., to protect them against corrosion.
Indirect Extrusion:
The indirect extrusion process is illustrated in Fig. 13.1b.
The extrusion chamber is similar to that in the direct
extrusion process, and the heated billet is loaded into the
chamber as in the direct extrusion. In indirect extrusion, the
die is inserted into the press at the end of an hollow ram
stem; i.e., the die and the ram remain on one side (exit side)
of the billet instead of on the opposite sides of the billet as in
602
the direct extrusion, while a closure plate closes the chamber
on the other side (entry side) of the billet. To form the
extrudate in indirect extrusion, either the die is moved into
the stationary container and pushed against the stationary
billet by movement of the ram (Rowe 1977; Harris 1983) or
the container with the billet is caused to move jointly while
the hollow ram carrying the die is kept stationary (Dieter
1988). Since there is no relative motion at the container–
billet interface (Laue and Stenger 1981), except at the die,
there is no frictional stress at the billet–container interface.
Hence due to lower frictional forces, the extrusion load and
power required for indirect extrusion are less than for direct
extrusion. The absence of container friction in indirect
extrusion also reduces the increase in temperature caused by
the friction. As in the direct extrusion process, a butt is left in
the chamber after the billet is extruded by indirect extrusion;
the leading end of the extrudate is cropped, and the die and
the butt are separated from the extrudate.
However, there are practical limitations to indirect
extrusion because the requirement for using a hollow ram
(which is really a hollow die holder) weakens the whole
press and limits the loads which can be applied to the ram.
This in turn limits the size or cross-section of the section
which can be produced and thus, limits the maximum
reduction possible by this process.
13.2.1 Direct Versus Indirect Extrusion
The direct extrusion process is compared with the indirect
one on the basis of the process, and the advantages and
disadvantages of one over another, and presented in a tabular
form in Table 13.1.
A number of advantages of the indirect extrusion over the
direct one are given in the columns numbered from 4 to 7 in
Table 13.1, while the disadvantages of indirect extrusion are
included in the columns numbered 8 and 9.
Table 13.1 Comparison of direct and indirect extrusion
Direct extrusion
1. The ram is at the entry side of the extrusion, and the die is at the
exit side of the extrusion; i.e., they are on the opposite sides of the
billet. There is no closure plate
2. The ram is a solid cylinder which may be attached with a preheated
dummy block or pressure plate at the entry side of the extrusion
3. The ram and the billet move but the container is stationary
4. Due to the movement of the billet, frictional resistance at the
contact surface between the billet and the container is high. So, the
breakthrough pressure, i.e. the pressure at which the metal begins to
flow through the die, is higher leading to requirement of higher
13 Extrusion
13.3 Extrusion Equipments
The force required to carry out extrusion may be supplied
via a mechanical or a hydraulic (water or oil) drive. Hence,
extrusion presses can be classified into mechanical press and
hydraulic press depending upon the types of drive. The ram
in a mechanical press may be powered by a motor.
Mechanical press having higher speed than hydraulic press
is used in some applications, such as in the production of
small tubes, usually by impact extrusion (direct or indirect).
Most extrusions are performed with hydraulic presses. The
two basic types of hydraulic drives are direct and accumu-
lator designs. The most widely used press in the past were
accumulator-drive hydraulic presses, but nowadays,
direct-drive hydraulic presses are most extensively used.
Higher ram speed is required for extrusion at higher
temperature in order to avoid the problem of heat transfer
from the hot billet to the tools. The accumulator-drive
hydraulic press is desirable where higher ram speeds are
required for hot extrusion. This hydraulic circuit of an
accumulator press consists of one or several air-over-water
accumulators charged by high-pressure water pumps. The
accumulator vessel (series of vessels) supplies the quantity
of water necessary to provide the extrusion pressure
requirement during the entire extrusion cycle, with a pres-
sure drop limited to roughly 10%. Apart from the pressure
drop, the high cost of high-pressure water pumps, accumu-
lators and valves as well as large floor space requirements
have restricted the wide uses of the accumulator-drive
hydraulic press and resulted in the extensive applications of
direct-drive hydraulic press nowadays. However, for extru-
sion of steels and refractory metals that may require a high
ram speed in the range of 0.4–0.6 m s−1, the accumulator
water drives are desirable because of the advantages that
these units provide higher ram speeds and water is a
non-flammable liquid, considered to be important in the
extrusion of hot billet.
Indirect extrusion
1. The ram and the die are at the exit side of the extrusion; i.e., they
are on the same side of the billet, and a closure plate is placed on the
opposite side of the billet; i.e., the entry side of the extrusion
2. The ram is a hollow cylinder which holds the die. There is no
dummy block or pressure plate
3. Either the ram carrying the die moves, while the container with the
billet remains stationary, or the ram containing the die is stationary
and the container with the billet moves
4. Due to the absence of relative motion between the wall of the
container and the billet, frictional resistance is low. So, the
breakthrough pressure is lower leading to requirement of lower
power. The maximum load is approximately 20–30% lower than that
(continued)
13.3 Extrusion Equipments
Table 13.1 (continued)
Direct extrusion
power. As the billet extrudes through the die, the pressure required to
maintain the metal flow progressively decreases with ram travel
because the length of the billet in the container decreases causing a
decrease of the contact area and thereby of the frictional resistance
between the billet and the container wall. Typical curve of extrusion
pressure versus ram travel for direct extrusion is shown in Fig. 13.7a
5. Extrusion pressure depends on the billet length because of the
presence of relative motion at the container–billet interface.
Therefore, the billet length is limited by the load
6. Frictional stress present at the container–billet interface produces
heat and consequently, surface temperature of the billet increases.
Therefore, there is a higher tendency to form surface defects and
extrusion speeds cannot be increased to a very high level, since higher
speeds cause further increase in temperature
7. Due to high friction and temperatures, the service life of extrusion
tooling will be relatively shorter
8. Higher load can be applied to the ram during the extrusion of the
billet, since load is applied through a solid ram. So, a section of
higher size or cross-sectional area can be produced
9. The impurities or defects on the billet surface usually retain as a
discard or shell in the chamber. Hence, the quality of the extrudate is
not affected and it is not needed to use scalped or machined billets
Modern direct-drive hydraulic presses use oil as hydraulic
medium and high-pressure variable-delivery oil pumps,
some of which operate at pressures over 34.5 MPa. Apart
from the less floor space requirements and the less cost of
these presses, their most important advantage is that there is
no drop in the maximum available force during the entire
extrusion cycle. A limitation of these presses is that the ram
speeds are slower than those in accumulator presses. In
direct-drive presses, ram speeds to 50 mm/s are typical.
These speeds are adequate for alloys prone to hot shortness,
such as copper and aluminium alloys where the ram speed
must be restricted to a few mm/s in order to avoid rise in
temperature leading to hot shortness. However, ram speeds
to 200 mm/s can be attained by employing oil accumulators
with oil-hydraulic drives.
Again, depending upon the direction of travel of ram,
there are two types of hydraulic press. These are horizontal
hydraulic press and vertical hydraulic press. The advantages
and disadvantages along with their applications are com-
pared below in Table 13.2.
In addition to the extrusion press, (a) billet heating
facilities, (b) automatic transfer equipment for placing the
heated billet in the container and (c) provision for heating the
extrusion container are also needed.
603
Indirect extrusion
in direct extrusion. During subsequent extrusion of the billet, the
pressure required to deform the metal through the die remains
approximately constant with ram travel relative to the container.
Typical curve of extrusion pressure versus ram travel for indirect
extrusion is shown in Fig. 13.7a
5. Extrusion pressure is not a function of billet length because of the
absence of relative motion at the container–billet interface. So, billet
length is not limited by the load, but only by the length, strength, and
stability of the hollow ram needed for a container of given length
6. Due to absence of frictional stress at the container–billet interface,
the increase in temperature caused by the friction cannot occur at the
billet surface. Therefore, the tendency to form surface defects is lower
and significantly higher extrusion speeds can be applied
7. Due to reduction in friction and temperatures, the service life of
extrusion tooling, especially the inner liner of the container, may be
enhanced
8. The presence of a hollow ram, which is really a hollow die holder,
weakens the press and during the extrusion of the billet, it is not
possible to apply a high load to the ram, which in turn limits the size
or cross-sectional of the section that can be produced and thus, limits
the maximum possible reduction
9. Since the impurities or defects on the billet surface may not be
retained as a discard or shell in the chamber, they affect the quality of
the extrudate. Hence, scalped or machined billets are used in many
instances
13.3.1 Extrusion Dies
The tooling assembly for hot extrusion consists of several
individual components, such as containers with liners, ram
(stem), dummy block, mandrel, if required, and die stack.
More than one layer of wear-resistant liner are fitted inside
the extrusion container to withstand the high radial stresses.
Since the liner and dummy block are subjected to many
cycles of thermal shocks, their periodic replacement will be
needed.
The die stack consists of die supported by a die holder, a
backer and a bolster, all of which are held in a die head (die
holder carrier), as shown in Fig. 13.2. The entire assembly
of die stack is sealed against the container by the pressure
applied by a wedge. The dies and tooling selected for hot
extrusion must be capable to withstand high stresses and
resist oxidation and thermal shock. The dies are usually
made from high-alloyed tool steel, such as high-speed tool
steel. Apart from improvements in steel quality and heat
treating practices, nitriding and hard thin-film coatings are
applied to improve die life. Nowadays, most dies are nitrided
in which atomic nitrogen is adsorbed into the surface of steel
to produce a hard and wear-resistant nitrided case. For
production of large quantities product of smaller profiles,
604
Table 13.2 Comparison of horizontal and vertical hydraulic press
Horizontal hydraulic press
1. Hydraulic press where the ram travels horizontally is known as
horizontal hydraulic press
2. Presses with high loading capacity of 15–50 MN are in regular
operation while a few presses of 160 MN loading capacity have been
constructed
3. For the operation of the press and to make extrusion of appreciable
length, considerable headroom is not needed
4. Alignment between the press ram and the tools is difficult
5. The rate of production is low
6. For the operation of the press, more floor space is required
7. The bottom surface of the hot billet which lies in contact with the
container wall will cool more rapidly than the top surface, unless the
extrusion container is internally heated, and therefore, the
deformation will be non-uniform. As a consequence, warping of bars
will result and non-uniform wall thickness will occur in tubes
8. Application: Since the loading capacity of press is high, so it is
used for most commercial extrusion of bars and shapes since
production of bars and shapes require higher loads than tubes. The
press is generally not used for the extrusion of tubes, as non-uniform
wall thickness will occur in tubes due to non-uniform cooling of the
billet in the container
Fig. 13.2 Schematic view of Die holder carrier
various extrusion process tooling
Bolster
Extrusion
Backer
chemical vapour deposition (CVD) or physical vapour
deposition (PVD) technique can be applied to coat dies with
hard thin-film multilayered coatings. Such coatings provide
superior wear resistance, and it is claimed that a single
CVD-coated die (Maier 2004) can be used for extrusion of
more than 1000 aluminium billets.
For solid profile hot extrusions, the two most common
types of dies used are flat-faced die (also called square die or
shear die) and conical converging die (also termed tapered
die or streamlined die or shaped die), as shown in Fig. 13.3.
Flat-faced die consists of one or more apertures (openings),
13 Extrusion
Vertical hydraulic press
1. Hydraulic press where the ram travels vertically is known as
vertical hydraulic press
2. Presses are generally built with less loading capacity of 3–20 MN
3. Presses need considerable headroom and to make extrusions of
appreciable length, a floor pit is frequently necessary
4. Alignment between the press ram and the tools is easier
5. The rate of production is higher
6. For the operation of the press, less floor space is required
7. Presses will produce uniform cooling of the hot billet in the
container and thus, symmetrically uniform deformation will result
8. Application: In commercial operations, the chief use for the press is
in the production of thin wall tubes where uniform wall thickness of
tubes and concentricity are required. Since the loading capacity of
press is less, so it is generally not used for the extrusion of bars and
shapes
Taper seal
Dummy block
Billet Extrusion
stem
Liner
Intermediate liner Container
Mantle
Die Die
holder
whose cross-sections are similar to those of desired extruded
products. They are characterized by a bearing surface that is
perpendicular to the face of the die, i.e. the semidie angle
a ¼ 90" : When this die is used, the metal that enters the die
forms a dead-metal zone and shears internally to form a
die-like flow channel having an angle decided by the
dead-metal zone. The billet flows in a converging manner
through this die channel. There is a back taper on the exit
side of the die, which refinishes the surface of the product
without increasing the diameter at the exit plane. These dies
are easier and cheaper to design and manufacture than
13.3 Extrusion Equipments 605

Fig. 13.3 Schematic view of the (a) (b)

aperture details of a a tapered die Back Back
and b a flat-faced die for hot taper taper
extrusion Original Original
bearing bearing
Present
Choke bearing Back taper
Relief as specified
Degree of
choke needed

Undercut

Extrusion Extrusion Undercut

direction Back taper direction
as specified

conical converging dies and are commonly used for the hot identical orifices are usually cut in order to equalize metal
extrusion of aluminium alloys. flow. For production of hollow tubes, a bridge die (also
Conical converging die usually has a conical aperture at known as a porthole, spider-mandrel or torpedo die) can be
the entrance plane with a circular cross-section that changes used, which will be discussed subsequently in Sect. 13.11.
progressively to the desired final size of the extruded prod-
uct. The approach angle to the bearing surface of the die is
referred to as choke. These dies are used in extrusion with 13.4 Metal Flow During Extrusion
good lubrication. As the semi-angle a of conical die
decreases, the homogeneity of deformation increases and the Since the flow pattern is axially symmetrical in extrusion, no
extrusion pressure is decreased, but below a critical value of shear stresses can exist on longitudinal axial planes. In other
a; the friction in die surfaces becomes so high that the words, if a billet is bisected longitudinally and the two
extrusion pressure begins to increase. This critical value of a halves are combined together and extruded through an axi-
giving the minimum stress required for extrusion is called ally located die (Fig. 13.5a), the fact is that the flow of the
the optimum semicone die angle, which varies between 45 cut billet will be same as that of an uncut billet, but if the die
and 60° for most extrusion operations. Optimum angle of die is placed asymmetrically (Fig. 13.5b), the flow will
will be subsequently discussed in Sect. 13.5. However, it is
important to note that small cone angles of die are associated
with high relative speed between the billet and the die, which
leads to faster wear of the die than is experienced with large
cone angles. These conical dies being costly are generally
used for the hot extrusion of steels, high-strength aluminium
alloys, titanium alloys and other metals. It has been seen that
flat-faced die can be used for steel and titanium with glass
lubrication, with the glass pad forming the die contour at the
entrance. The conical-contoured dies are mostly applied for
steel and titanium with lubrication consisting of graphite
dispersed in grease, although there is evidence that
conical-entry dies are also used with glass lubrication, at
least in extrusion of other high-strength alloys.
When the extrusion load is excessively high for extrusion
of a single small area, multidie extrusion, in which a number
of orifices are cut as in Fig. 13.4, can be used. A number of
sections of identical shapes, or of different shapes, can be
extruded at the same time through these orifices. Since the
tendency of metal to flow through a larger orifice is faster
than through a smaller one within the same multidie, Fig. 13.4 Extrusion die consisting of multiple orifices
606 13 Extrusion

(a) (b)

Cut Cut
Ram Ram

Extrudate

Extrudate
Billet Billet

Fig. 13.5 a Symmetrical die, in which cut billet flows normally, b asymmetrical die, in which cut billet does not flow normally

(a) (b) (c) (d)

Fig. 13.6 Four types of metal flow patterns in extrusion with square dies, a flow pattern S, b flow pattern A, c flow pattern B, d flow pattern C
(Lewandowski and Lowhaphandu 1998)

obviously be affected by the cut. While investigating flow than that of the centre, and the corresponding increase in the
patterns in extrusion, advantage can be taken of the above flow stress of metal at the colder surface can significantly
fact. Numerous flow patterns in extrusion have been detected affect the flow pattern. The different types of flow patterns
by many investigators, but the greatest contribution to metal observed in the extrusion of metals with square dies, where
flow in extrusion was made by Pearson (1953). Pearson used the semidie angle, a; is 90°, have been classified according
the grid method in which a cylindrical billet was cut into to the increasing order of non-uniformity of flow into four
halves along the axis and a regular grid pattern was engraved types: ‘S’, ‘A’, ‘B’ and ‘C’, which are shown in Fig. 13.6
on the flat interfaces and bound together with wire prior to (Lewandowski and Lowhaphandu 1998).
extrusion. After the extrusion, the two parts were separated
easily along the axial plane and from the extent of distortion (a) Flow Pattern S:
of the grid, the flow patterns were quantitatively assessed.
The results have shown that the flow of the billet in the Flow pattern ‘S’ is characterized by the maximum possible
extrusion chamber varies in a characteristic way depending uniformity of flow of a homogeneous material in the
on the process used and the material being extruded. chamber due to minimal friction. Localized plastic defor-
The main cause of these variations is due to the differ- mation occurs mainly in a zone just prior to the entrance of
ences in the magnitude of frictional resistance between the die. The major part of the non-extruded billet, pushed as a
billet and the wall of the extrusion chamber. In certain cases rigid body through the die, remains undeformed in the
in hot extrusion, heat losses in the container cause the container, as can be visualized from the undistorted grid
temperature of the billet surface to be significantly lower pattern (Fig. 13.6a). Hence, the front of the billet moves
13.4 Metal Flow During Extrusion 607

evenly into the deformation zone. This very uniform flow of Non-lubricated extrusion hardly shows this type of flow
metal can take place only when there is no friction between patterns; instead, these flow patterns are observed during
the container wall and the billet or at the surface of the die lubricated extrusion of soft metals and alloys, such as lead,
and its holder. Frictionless extrusion is impossible in prac- tin, alpha-brasses and tin bronzes and during extrusion of
tice, but flow patterns of this type can be closely approxi- copper billets covered with oxide, which acts as a lubricant.
mated to the conditions, where very effective lubrications are
used, for example, hydrostatic extrusion in which the billet is (c) Flow Pattern B:
surrounded with a pressurized fluid, or indirect extrusion
with a well-lubricated die, as well as direct extrusion of steel Flow pattern ‘B’ occurs in a homogeneous material if there
with glass lubricant. Even in the absence of friction, the is significant interface friction at both the container wall and
strain rate and strain potential vary throughout the defor- at the surface of the die and its holder. The friction at the
mation zone because of change in the direction of metal as it billet/container interface retards the flow of material in the
flows towards the die orifice. The flow of metal cannot occur peripheral zones while the material at the central region of
around the sharp corner between the container and the die the billet experiencing less resistance flows at a rapid rate,
because of material constraints, and consequently a shortest resulting in a velocity gradient along the cross-section of the
path is required for metal flow. Thus, the material in the billet. The velocity gradient results in the veeing of the
peripheral zones shears internally and flows along a funnel, horizontal lines of the grid pattern at an early stage before
thereby resulting in a dead zone of stagnant metal ahead of the material reaches the die vicinity, as can be seen from
the die entrance. The dead-metal zone, which undergoes Fig. 13.6c. Compared to flow pattern ‘A’, the vee’s are far
little or no deformation, is very small in flow pattern ‘S’. more severe in this type of flow and a deeper ‘rear-end
hollow pipe’ is formed in the extrusion earlier in the cycle.
(b) Flow Pattern A: However, the shear zone between the retarded region at
the periphery and the rapidly flowing material in the centre
Flow pattern ‘A’ occurs in a homogeneous material when extends back axially into the billet to an extent that depends
there is virtually no friction between the container wall and on the alloy and the extrusion parameters. This results in a
the billet, but significant friction exists at the surface of the large dead-metal zone, which starts to form on the die
die and die holder. Due to absence of friction in the con- shoulders. When sticking friction develops between the
tainer, the metal slides up towards the die region with no billet and container wall, the dead-metal zone builds up very
deformation, same as that in flow pattern ‘S’. This can be quickly and may extend from the die shoulders back to the
seen from the grid pattern in Fig. 13.6b, where the horizontal ram. At the start of extrusion, shear deformation is concen-
line remains so until they come close to the die entrance. trated in the peripheral regions, but it extends towards the
This indicates that the grid elements at the billet centre centre with the progress of deformation. This increases the
undergo essentially pure elongation into the extruded prod- danger of material flowing from the billet surface with
uct. Friction at the die land retards the radial flow of the lubricant, oxides or impurities along the shear zone and
metals in peripheral zones and increases the amount of extruding as defects into the interior of the extruded product
shearing in this region. This results in a slightly larger dead (blistering and scale formation). Further, the dead-metal
zone of stagnant metal than that in flow pattern ‘S’. How- zone can even influence the flow of metals to a limited
ever, deformation in the centre is still relatively uniform. It is degree since it is not completely rigid. Flow pattern ‘B’ is
to be noted that the shear distortion requires expenditure of observed in single phase homogeneous copper alloys that do
energy because of additional plastic shear deformation that not form a lubricating oxide film at surface and in most
does not result in any change in the external dimension or aluminium alloys (Laue and Stenger 1981).
shape of the product extruded from the billet, and this is
termed redundant deformation. (d) Flow Pattern C:
In the vicinity of the die, the outside portion of the billet
is held back by the sharp shoulders of the chamber, while the Flow pattern ‘C’, illustrated in Fig. 13.6d, occurs in the hot
metal in the core region flows easily and rapidly into the die. extrusion of inhomogeneous materials when the interface
This results in the veeing of the horizontal lines and the friction is high retarding the flow of surface material, as in
formation of ‘rear-end hollow pipe’, an extrusion defect. As flow pattern ‘B’, and/or when the billet surface is chilled by
the rear end of the billet advances towards the die, the degree the walls of a cold chamber and the flow stress of the cold
of veeing increases. Veeing is also produced in flow pattern surface material is considerably higher than that of the hot
‘S’ but to a lesser extent. material in the core. Due to this, the stronger material in the
608
surface of the billet forms a relatively stiff shell (Laue and
Stenger 1981) and the material in the core regions of the
billet flows towards the die more easily than that in the
peripheral regions. This leads to formation of a conical
dead-metal zone, which is much larger than the other flow
patterns and extends from the front of the billet to the back.
At the start of the extrusion, only the material inside the
funnel is plastic and it is severely plastically deformed,
especially in the shear zone, as it flows towards the die. As
the billet is extruded, the stiff shell and the dead-metal zone
are axially compressed and consequently, the displaced
material of the outer zones follows the path of least resis-
tance to the back of the billet, where it turns towards the
centre and flows into the funnel (Laue and Stenger 1981).
This type of flow pattern causes to form an internal extrusion
defect which appears as an annular ring of oxide in the
cross-section at the rear end of the extruded product due to
flow of the oxidized surface into the extrusion.
This type of flow is typically observed in the hot extru-
sion of ða þ bÞ brasses. This is a result of cooling of billet
surface, which leads to an increase in the flow stress in the
surface regions. The increase is because the flow stress of the
a phase is much higher than that of the b phase during
hot-working. However, flow pattern ‘C’ will occur when a
hard billet shell exists and at the same time, the friction at the
container wall is high. It can also occur without any phase that
leads to a higher flow stress, if the temperature difference
between the container and the billet is large resulting in a sig-
nificant difference in flow stress between the peripheral and
central regions of the billet. This can take place in the extrusion
of tin and aluminium alloys (Laue and Stenger 1981).
13.5 Factors Influencing Extrusion
The principal variables that influence the extrusion process
are as follows:
1. The type of extrusion, i.e. direct versus indirect extrusion.
2. The extrusion ratio, R; or the fractional reduction in area,
r:
3. The extrusion temperature, T.
4. The extrusion speed, i.e. the speed of ram, vram :
5. The semi-approach angle, a; of conical die.
6. The friction and lubrication at the walls of the die and the
container.
(1) Type of Extrusion (Direct vs. Indirect):
By placing a load cell on the extrusion ram, it is possible to
follow the change of extrusion load during the extrusion
cycle from which extrusion pressure is obtained as follows:
13 Extrusion
extrusion load
Extrusion pressure = :
cross-sectional area of billet
Typical curves of extrusion pressure versus ram dis-
placement for direct and indirect extrusion at a relatively
constant billet temperature and a constant ram speed after
initial acceleration are shown in Fig. 13.7a. The rapid rise in
pressure during the initial ram travel, i.e. from O to A, is due
to (i) initial compression of the billet to fill the extrusion
container, (ii) elastic deformation of the equipment and
(iii) initial acceleration of the ram. The metal begins to flow
through the die, at point A for indirect extrusion and at point
B for direct extrusion, as shown in Fig. 13.7a. However,
extrusion can commence before the pressure reaches the
maximum value where the increase in extrusion speed to the
set speed causes further increase in pressure. For direct
extrusion, the rise of pressure from A to B is due to the
frictional resistance at the contact surface between the billet
and the container. The maximum value of pressure or peak
pressure at point B, where metal flow starts, is known as the
breakthrough pressure for direct extrusion. As the billet
extrudes through the die, the pressure required to maintain
the flow of metal progressively decreases at a constant rate
for direct extrusion, because the length of the billet in the
container decreases causing a decrease of the contact area
and thereby of the frictional resistance between the billet and
the container wall. As there is no relative motion between
the billet and the container wall for indirect extrusion, the
extrusion pressure, required to deform the metal through the
die, remains approximately constant with increasing ram
travel. When approximately 85% of the billet has been
extruded, the pressure builds up rapidly from point C in
Fig. 13.7a, until it reaches the capacity of the press. So at the
point C, the extrusion, i.e. the ram travel, must be halted
causing 5–15% of the billet to be left as discard or butt in the
container, which is removed after cutting off the extrudate
with a hot saw. The discard, if extruded, will produce a
back-end piping defect; i.e. the end of extrudate will be
hollow. Further, this discard often includes defects, which
are obviously unwanted in the extrudate.
The reason for the rapid rise of pressure from point C is
due to the direction of metal flow becoming more and more
perpendicular to the line of action of the applied force with
increasing ram travel beyond point C, as shown in
Fig. 13.8b, whereas during the early stage of extrusion, i.e.
from point A or B to C, the applied force must cause the
metal to flow to the die along a diagonal path, as shown in
Fig. 13.8a.
The deformation work for direct extrusion is divided into
four zones—I, II, III and IV—as shown in Fig. 13.7b. Zone I
involves the work of upsetting of billet, elastic deformation
of the equipment and accelerating to the set extrusion speed.
Zone II is the work associated with friction between the
13.5 Factors Influencing Extrusion 609

(a) (b)
Direct extrusion curve
B II
D
Friction work

Extrusion pressure
Extrusion pressure
A C
III
Deformation work

IV
Indirect extrusion (ideal + redundant work)

I
O Ram displacement Ram displacement

Fig. 13.7 a Typical curves of extrusion pressure versus ram displacement for direct and indirect extrusion at a relatively constant billet
temperature and a constant ram speed after initial acceleration, b division of deformation work for direct extrusion into four zones—I, II, III and IV

(a) (b) For large deformations, a relatively minor change in the

fractional reduction in area corresponds to a large change in
Flo the extrusion ratio and hence, R is a more descriptive
w Flow
parameter than r. This distinction between R and r can be
Force Force easily appreciated from the following example. When the
change in the extrusion ratio is from R ¼ 20:1 to R ¼ 100:1;
w which is quite high, then the change in the fractional
Flo Flow reduction in area appears to be very small, from r ¼
1 & ð1=20Þ ¼ 0:95 to r ¼ 1 & ð1=100Þ ¼ 0:99: Extrusion
ratios may be about 40:1 for hot extrusion of steel and reach
Fig. 13.8 Metal flow during extrusion, a flow along a diagonal path as high as 400:1 for aluminium.
during early stage of extrusion, b flow normal to force direction at later
or final stage of extrusion
Due to the incompressibility of metal in plastic defor-
mation, constancy of volume flow rate provides the fol-
lowing relationship between the velocity of the ram and that
container and the billet. This work is dissipated as heat,
of the extrudate at the exit plane of the die, vram and ve ;
resulting in an increase in temperatures of billet, extrudate
respectively:
and tooling. Zone III is the work involved in carrying out the
ideal and redundant deformation of the metal through the vram A1 ¼ ve A2 ;
die. Zone IV is associated with the change in the direction of ð13:3Þ
or, ve ¼ vram ' R
metal flow occurring at the end of extrusion.
Equation (13.3) shows that for a constant ram speed vram ;
(2) Extrusion Ratio (r) or Fractional Reduction in Area (r): the higher the extrusion ratio R; the greater is the exit
velocity ve of the extrudate.
The extrusion ratio R; and the fractional reduction in area r; The relation between the true strain, e; in extrusion and
are mathematically defined by: the extrusion ratio, R; is given by
A1 ZA2
Extrusion ratio, R ¼ ð13:1Þ dA A1
A2 e¼ & ¼ ln ¼ ln R ð13:4Þ
A A2
A1 & A2 1 A1
Reduction in area, r ¼ ¼1& ð13:2Þ
A1 R From (13.4), it is clear that there is a direct relation
where between the extrusion pressure and the natural logarithm of
the extrusion ratio R: Hence, the extrusion pressure, p; and
A1 the initial cross-sectional area of the billet prior to the extrusion load, P; may be expressed in a simple form as:
extrusion;
A2 the final cross-sectional area of the finished item after A1
p ¼ ke ln R ¼ ke ln ð13:5Þ
extrusion. A2
610
A1
P ¼ ke A1 ln R ¼ ke A1 ln ð13:6Þ
A2
where ke ¼ the ‘extrusion constant’, an overall factor which
accounts for (a) the flow stress of metal, (b) the friction at the
container–billet and die–billet interfaces and (c) the inhomoge-
neous deformation, i.e. the redundant deformation. Equa-
tions (13.5) and (13.6) show that if extrusion ratio R increases,
pressure p and load P required to cause extrusion will increase.
On the other hand, with increase of R; large deformation will
cause considerable rise in the temperature of the material,
which will result in the drop of flow stress of the billet material
for a constant ram speed. For the same frictional condition and
redundant deformation, if the effect of the temperature rise to
decrease the flow stress would be more than that of large R to
increase the extrusion pressure through the term lnðA1 =A2 Þ
in (13.5), then the pressure or load required to cause extrusion
would have decreased with increase in extrusion ratio.
(3) Extrusion Temperature (T):
The higher the temperature, the lower is the flow stress or
deformation resistance of the material. To take advantage of
this, most metals are extruded hot. But as soon as the heated
billet is loaded into the preheated chamber and extrusion
starts, the temperature of the billet during extrusion is
affected by the factors that generate heat in the billet and
those that transfer heat from the billet. The factors that
generate heat and tend to raise the temperature of billet are:
• Deformation of billet from its initial size to final size and
shape of the extrudate. The higher the amount of defor-
mation, i.e. the higher extrusion ratio, the higher will be
the generation of heat.
• Friction or shear stresses at the interface between the
billet and the extrusion tooling, which includes the con-
tainer, die or dead-metal zone.
• The increase in the extrusion speed or the speed of ram.
On the other hand, the factors that transfer heat and tend
to decrease the temperature of billet are:
• Heat transfer between the billet and the tooling which
includes container, die and ram. Higher the temperature
difference between the billet and the tooling, the more will be
the drop in the temperature of the billet. Further, the heat
transfer depends on the materials of the billet and the tooling.
Therefore, the actual extrusion temperature of billet will
be decided by the billet alloy and its initial temperature,
tooling material and temperature, extrusion ratio, shape of the
extruded section, frictional condition and extrusion speed.
13 Extrusion
Although hot-working decreases flow stress, which is an
advantage, it introduces following problems related to high
temperature:
(a) Oxidation of the billet and the extrusion tools
(b) Softening of the die and tools,
(c) Difficult to provide adequate lubrication
(d) Chance of burning/hot shortness when deformation in
extrusion is extensive, since it results in the generation
of considerable internal heat
Considering the above problems, it is advantageous to use
the minimum working temperature which will give suitable
plasticity to the metal. Generally, the maximum temperature
for hot-working is limited to 50 °C below the melting point
for pure metals, or the temperature at which hot shortness
takes place. Since the actual temperature of billet during
extrusion depends on several factors as mentioned above, the
initial temperature of the billet must be maintained at a safe
level below the melting point or hot-shortness range. As a
rough rule, the initial temperature of billet for hot extrusion
is two-thirds of the melting point measured in Kelvin, for
example, the initial temperature for aluminium is 600 K.
If the rate of heat generated due to deformation and
friction is greater than that dissipated, which often occurs,
then the temperature of extrudate will increase as the billet is
extruded and this increase in temperature will be greater if
the speed of ram is increased. The surface temperature of the
extrudate can be considerably higher than its centre tem-
perature because of friction and localized shear deformation.
If the surface temperature of extrudate arrives at the critical
temperature at which hot shortness takes place, surface
defects will be produced. The temperature of the extruded
part as it exits from the die is the most important dependent
process variable that affects the quality of extrudate. Thus, it
is desirable to control the exit temperature of extrusion and
maintain a constant exit extrusion temperature, which is
known as isothermal extrusion. Isothermal extrusion meth-
ods and press control have been extensively covered in
several literatures (Chadwick 1969; Laue and Stenger 1981;
Bryant et al. 1999; Saha 2000; Takahashi and Yoneyama
2004). However, to achieve isothermal extrusion, the fol-
lowing methods may be used:
• Taper-heated/taper-quenched billets: In this method,
when the extrusion commences, the initial temperature at
the back end of the billet is maintained at a lower level
than that at the front (die) end. As the billet is extruded,
the rise in temperature due to generation of heat is offset
by the decreasing temperature (or taper) in the billet and
thus, a constant exit extrusion temperature will be
maintained. Taper-heated billets, where the temperature
13.5 Factors Influencing Extrusion
increases gradually from the back to the front end of the
billet, can be obtained by heating different sections of the
billet to different temperature in an induction heater
having multiple heating zones. To get taper-quenched
billets, they are first uniformly heated in a gas furnace
and then partially water quenched to produce a thermal
gradient along the length of the billet.
• Variable speed control: Since the exit temperature of
extrudate can be decreased by decreasing the extrusion
ram speed, so, in this method, the extrusion ram speed is
decreased with the progress of extrusion during the cycle
in order to offset the rise in temperature due to generation
of heat. For this technique, good control over the extru-
sion ram speed is required. Laue in 1960 (Laue 1960;
Saha 2000) presented a system for isothermal extrusion
with variation in the ram speed by which extrudate
temperature was maintained within required limits.
• Nitrogen cooling: To restrict the heating of the die stack
and hence, the exit temperature of extrusion, liquid
nitrogen has been used during extrusion to cool the entire
assembly of die stack.
• Container cooling: There are efficient cartridge heaters
with container; the heaters are arranged into and con-
trolled by different zones of container. Integral
air-cooling passages are used to restrict the heating of
container and enhance the control of process temperature.
(4) Extrusion Speed or Ram Speed ðvram Þ:
The extrusion speed, i.e. the speed of ram, is an important
parameter in that the strain rate increases directly with
increasing ram speed in extrusion. Again, the flow stress of
metal in any hot-working increases with the strain rate and
the strain-rate sensitivity of the flow stress (see Sect. 1.11.1
in Chap. 1). Strain-rate sensitivity is high at elevated tem-
perature (it is negligible at room temperature) and increases
with increasing temperature. Therefore, increasing extrusion
speed at elevated temperature increases the flow stress of
metal and results in the requirement of a higher specific
pressure for extrusion. Further, higher speed will result in an
increase in temperature in the extruded metal. More heat will
be generated due to the additional work arising from the
increased flow stress of the metal. The effects of ram speed
and temperature on extrusion pressure are illustrated
schematically in Fig. 13.9. It has been observed that if the
extrusion ram speed is increased by ten times, the extrusion
pressure will increase by about 50%; the per cent increase in
the extrusion pressure increases with increasing extrusion
temperature. For example, experiment on lead extrusion
shows that a tenfold increase in speed results in an increase
in pressure by 38% at 17 °C, 44% at 100 °C, 50% at 166 oC
and 55% at 325 °C.
611
Extrusion pressure
Increasing
temperature
Extrusion speed (log)
Fig. 13.9 Schematic illustration of the effect of extrusion speed and
temperature on extrusion pressure
However, higher quantity of heat generated at higher
speed will be retained by the metal during extrusion, because
insufficient time is available for this heat to dissipate due to
higher extrusion speed. Excessive speed can cause over-
heating of the billet, especially near the section surface
because of transformation of most of the frictional energy
into heat. This overheating can cause temperature-related
surface defects or the development of circumferential surface
cracks caused by hot shortness, especially in aluminium
alloys, and the latter phenomenon in extrusion is known as
speed cracking, because it occurs due to high ram speed.
In spite of the difficulties associated with the rise in the
temperature of extruded metal, higher extrusion speeds are
desired for increased productivity. Hence, it is essential to
have an optimal extrusion speed for hot extrusion. For this,
the extrusion speed is maximized, but simultaneously an
isothermal extrusion, where a constant exit temperature of the
extrudate is maintained, is carried out for optimal quality of
the product. The ram speed was varied to maintain the tem-
perature of extrudate within required limits in the system for
isothermal extrusion presented by Laue in 1960. In this, the
time savings for high-strength alloys were claimed to be
higher than that for more easily extrudable alloys (Saha 2000).
Obviously, the problem of overheating and development
of surface defects and hot shortness can be minimized or
eliminated by reducing the extrusion speed. But if the
extrusion speed is too low, there are some problems:
• Productivity will be reduced.
• Greater cooling of the billet will occur. This will increase
the required extrusion pressure because of increased flow
stress as the billet cools.
• Tool life will be reduced because of prolonged contact
time between the hot billet and the tools at a slower
speed.
612 13 Extrusion

The higher the temperature of the billet, the greater is the the reduction possible in deformation with a certain set of the
cooling of the billet at low extrusion speed and the greater will process variables (other than the die angle). For any com-
be the rise in the flow stress of the material and thereby in the bination of coefficient of friction and reduction of area, there
extrusion pressure. Therefore, high-strength metals/alloys like exists an optimum semicone die angle, a; designated by aopt: ;
steel, titanium or refractory metals, which need high extrusion which gives the minimum stress required for extrusion or
temperature, are required to be extruded at high ram speed drawing operation using a conical converging die.
(1.5–0.75 m/s). For example, stainless steel is hot extruded at In extrusion or drawing, the total deformation load, Ptotal ;
1040 °C at higher speed but it cannot be extruded at lower is composed of the following three components:
speed due to the rise in extrusion pressure. On the other hand,
magnesium, aluminium and copper alloys which are prone to (i) Load, Pideal ; for ideal frictionless homogeneous defor-
hot shortness have to be extruded at a low ram speed mation, which is:
(15–75 mm/s), otherwise a greater rise in temperature
resulting from a higher speed will cause hot shortness. ZðA1 =A2 Þ
e2 ¼ln
A1
Allowable or safe extrusion range under the combined effects For extrusion; Pideal ¼ A1 r0 de ¼ A1 r0 ln
A2
of billet temperature, extrusion pressure and extrusion strain rate e1 ¼0
can be shown with a diagram, known as extrusion limit diagram. 1
¼ A1 r0 ln
This diagram is schematically represented in Fig. 10.14, in 1&r
which the ordinate may be considered as ‘extrusion ratio’ ð13:7Þ
replacing ‘amount of deformation’. Hirst and Ursell (1958)
carried out their work on extrusion, and their findings, which are ZðA1 =A2 Þ
e2 ¼ln

applicable to all methods of working, have been presented in the
form of the above diagram. The allowable or safe extrusion
range is the region under the curve of constant extrusion speed
and constant pressure. This diagram shows that for any given
extrusion pressure, as the working temperature increases, the
value of extrusion ratio that can be achieved increases due to
lowering of the flow stress with increase in temperature, and as
the applied extrusion pressure increases, a greater extrusion ratio
can be achieved at a given work-piece temperature and strain
rate. However, the extrusion temperature will rise with increas-
ing extrusion speed and extrusion ratio. When the extrusion
speed is extremely high resulting in the adiabatic condition,
where none of the heat produced by deformation is dissipated, it
is required to decrease the work-piece temperature for main-
taining its final temperature below the hot-shortness temperature.
As the extrusion strain rate increases and/or work-piece tem-
perature decreases, the flow stress of the material will increase,
which will cause the allowable extrusion ratio to decrease under
a given applied pressure. At infinitely rapid strain rate leading to
adiabatic condition, the allowable extrusion range will be the
minimum, and at any given strain rate the value of extrusion
ratio will increase with decreasing the work-piece temperature.
As the extrusion speed decreases there is greater heat dissipation
and the allowable extrusion ratio increases for a given initial
temperature of work-piece and extrusion pressure.
(5) Semicone Die Angle, a, and Optimum Semicone Die
Angle, aopt :
It is of interest to operate with a die-cone angle which will
minimize the forces required for deformation or maximize
And for drawing; Pideal ¼ A2 r0 de
e1 ¼0
A1 1
¼ A2 r0 ln ¼ A2 r0 ln
A2 1&r
ð13:8Þ
where, A1 and A2 are the cross-sectional areas of the
work-piece, respectively, before and after the
deformation, r0 is the flow stress of the material, which
is assumed to be constant and may be replaced by the
mean flow stress r !0 in case of increase in r0 during
deformation due to strain hardening, e1 and e2 are the true
strains experienced by the material, respectively, before
and after the deformation, r is the reduction of
cross-sectional area and given by r ¼ ðA1 & A2 Þ=A1 ¼
1 & ðA2 =A1 Þ. Obviously, the ideal load, Pideal ; is
independent of a; but is a function of r:
(ii) The second component is the load required to over-
come the frictional resistance at the die–work-piece
interface, say Pfriction : This depends upon a combination
of the normal pressure exerted by the die on the
work-piece (which increases with r), the friction coef-
ficient at the die–work-piece interface and the surface
area of contact between work-piece and die. In extru-
sion or drawing, since
radialdifferecebetweentheincomingandoutgoingstock
lengthof contactalongthedie-stockinterface
D1 & D2
¼ ¼ sin a;
2Lc
13.5 Factors Influencing Extrusion
therefore, as a increases, i.e. sin a increases, the contact
length Lc as well as the surface area of contact between
work-piece and die decreases for a given ðD1 & D2 Þ;
where D1 and D2 are the diameters of the incoming and
outgoing stock. Hence, Pfriction , is a function of a; r;
and the coefficient of friction.
(iii) The third component is the load required to overcome
the redundant deformation, say Predundant ; which is the
wasted or extra work due to inhomogeneous deforma-
tion (see Sect. 10.5.2 in Chap. 10). The redundant
deformation is greater for a die having a large included
angle than for a long die of small angle. Because the
steeper the die angle, the more the internal shear
exceeds the minimum shear required for elongation of
the work-piece. Note that the internal shear occurs due
to changes in the flow direction of the metal in the die
and the redundant deformation is not only a function of
a; but also of r: The higher the reduction, r, the lower is
the load required for redundant deformation.
Hence for a too small cone angle, Pfriction is significantly
high because of high contact length Lc ; whereas Predundant
becomes a predominant factor for too large a cone angle. For a
given reduction and frictional condition as a is increased from a
very low value, Pfriction decreases rapidly while Predundant
increases slowly, but the component Pideal remains constant
in the total load given by Ptotal ¼ Pideal þ Pfriction þ Predundant ;
Fig. 13.10 Portions of
schematic plot of the extrusion or
drawing load versus semicone
angle of die, showing components
of total deformation load and the
optimum semicone die angle for
constant reduction and frictional
condition
Loads
613
and this results in the reduction of total load, Ptotal ; for
extrusion or drawing until aopt: is reached. This is illustrated
in Fig. 13.10. The curve of Ptotal versus a exhibits a mini-
mum at aopt: ; where the decrease in Pfriction is balanced by the
increase in Predundant : The values of aopt: for most extrusion
operations lie between 45 and 60° depending on the values
of coefficient of friction and the amount of reduction of area.
As the friction or the reduction in area increases, the value of
optimum semicone die angle also increases. However, in
hydrostatic extrusion, the values of aopt: drastically reduce,
which may be of the order of 20°, because friction is nearly
absent or drastically reduced at the die by the presence of the
pressurized fluid acting as lubricant. In conventional extru-
sion, small cone angle of converging die can be used if the
billet is pushed indirectly by the ram through graphite
medium (Boulger and Gehrke 1965). Further, the operation
of conventional extrusion will be similar to that of hydro-
static extrusion, if the spacing between the chamber and
billet is larger and filled with graphite.
Beyond aopt: ; further increase in a causes an increase in
the extrusion or drawing load, Ptotal ; because the rate of
increase of Predundant is more than the rate of decrease of
Pfriction : The type of variation in the total load with a; as
shown in Fig. 13.10, occurs in the region of sound flow.
There are two additional common modes of flow: dead zone
formation and shaving. These are observed at higher values
of a; where the variation in total load or stress with a differs
Shear friction factor, m = constant;
Reduction, r = constant.
Total deformation load
in extrusion or drawing,
Ptotal = Pideal + Pfriction + Predundant
(i.e., sum of the bottom three loads)
Ideal load, Pideal
Redundant work load, Predundant
Friction load, Pfriction
αopt (Optimum semi cone die angle)
Semi cone angle of die, α
614 13 Extrusion

Shear friction factor Large reduction

m = constant large cone angle

Increasing reduction, r
Drawing or extrusion stress

D2/2

D1
2

Small reduction x
Optimum semi-die angle, αopt
Small cone angle
0 Semicone angle of die, α
Fig. 13.12 Trumpet-shaped die
Fig. 13.11 Schematic illustration of the effect of semicone die angle,
a; and reduction, r; on the drawing or extrusion stress and the effect of r
deformation zone, the trumpet-shaped die profile will then
on optimum semicone die angle, aopt: ; for a constant shear friction
factor, m follow the equation:

D1 =2 & D2 =2
x¼
tan aopt
from that in the sound flow region. This has been discussed
in Sect. 14.6.5 of Chap. 14. D1 & D2
¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 tan ð3=2Þm lnðD1 =D2 Þ ð13:10aÞ
If a\45" ; then the optimum semicone die angle, aopt (in
radian), can be approximated from the following relation D1 & D2
¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$ffiffiffiffiffiffiffip
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi%ffi
(Avitzur 1968): 2 tan ð3=2Þm ln 1= 1 & r
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
aopt ¼ ð3=2Þm lnðD1 =D2 Þ
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi#
ffiffiffi x ðD1 =D2 Þ & 1
pffiffiffiffiffiffiffiffiffiffi Or, ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ ð3=2Þm ln 1= 1 & r rad ð13:9Þ D2 2 tan ð3=2Þm lnðD1 =D2 Þ
ðD1 =D2 Þ & 1 ð13:10bÞ
¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$ffiffiffiffiffiffiffip
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi%ffiffi
where D1 and D2 are the diameters of work-piece, respec-
2 tan ð3=2Þm ln 1= 1 & r
tively, before and after the deformation, and m is the interface
shear friction factor, and r ¼ reduction in cross-sectional Although the work-pieces of different diameters will be
area ¼ ðA1 & A2 Þ=A1 ¼ 1 & ðD2 =D1 Þ2 : subjected to different amounts of reduction, the output of this
Equation (13.9) shows that for a given frictional condi- die will be an extrudate of the same diameter; i.e., D1 will
tion, as D1 =D2 increases, or the reduction r increases, aopt vary but D2 will remain constant.
becomes greater, which is shown schematically in Fig. 13.11
for a constant shear friction factor. As the reduction r (6) Friction and Lubrication:
approaches zero, the optimum semicone die angle aopt also
tends to zero. Similarly, as m decreases, i.e. friction Greater the friction force, higher is the extrusion load and
decreases, aopt also decreases for a constant reduction [see power required to obtain a given extrusion ratio. Friction
(13.9)] and as m or friction approaches zero, aopt tends to produces inhomogeneous deformation as well as surface
zero. cracks and other defects. Further, friction increases ‘material
If a single die is required to be used for a wide range of pickup on tools’, the tool wear, and reduces the tool life.
reductions where a \ 45" ; it may be advantageous to use a Unlubricated extrusion having high container-wall friction
trumpet-shaped die, as shown in Fig. 13.12, where aopt is often progresses with the formation of a dead zone of
maintained for each different reductions. If x is the distance stagnant material. The dead zone usually leaves a poor
measured from the exit plane to the entry plane of surface on the extruded product. Good lubrication producing
13.5 Factors Influencing Extrusion
low friction can entirely eliminate the formation of dead
zone.
Most of the hot extrusions need lubrication to overcome
the effects of frictional force. An effective hot-extrusion
lubricant must have low shear strength and enough stability
to prevent breakdown at elevated temperature. Aluminium
alloys are often extruded without lubrication, mainly to
avoid transportation of lubricant and oxide to form surface
and subsurface defects because square dies are used. If
tapered die is used, graphite or oils can be used as lubricant
to give low extrusion force, but staining may result and
tapered die produces large discard. Above about 600 °C,
copper forms its oxide, which is softer than the metal itself
forming a good natural lubricant. Thus, copper acts as
self-lubricating metal and can be satisfactorily hot extruded
at 750–950 °C without further lubrication. But copper
alloys, like brasses having high zinc content in their oxides,
show higher friction and so require lubrication.
Graphite, usually dispersed in grease, oil or resin, and
glass are widely used as lubricants for extrusion of copper
alloys, alloy steels, stainless steels, tool steels and titanium
alloys. Die wear occurs significantly in the conventional hot
extrusion of titanium alloys and steels with graphite lubri-
cants because graphite often provides little or no thermal
protection to the die. The problem with grease and graphite
is to maintain sufficient lubrication over the full length of the
extrusion. When grease-base lubricants are used, shear metal
flow can occur with both flat-faced and conical dies. On the
other hand, both flat-faced and conical dies produce laminar
or parallel metal flow with glass lubrication. Further, glass
lubricant tends to produce a better surface finish and die life
than grease and graphite. Glass lubricants have performed
satisfactorily to produce long lengths by hot extrusion. Glass
acts as a thermal insulator and minimizes cooling between
the billet, the container and the die. Its wetting characteristics
are good, and viscosity is maintained at elevated
temperature.
The Ugine-Sejournet process (Sejournet and Delcroix
1955) is commonly used for hot extrusion of steel including
stainless steel etc., and has also been used for hot extrusion
of nickel, cobalt and titanium alloys. In this method, the
billet of the above alloys is heated usually at 1000–1250 °C
in an inert atmosphere and coated with a layer of
low-melting-temperature glass. Surface coating is performed
by rolling the billet over a bed of ground glass or by
sprinkling with glass powder. The glass coating not only
serves the purpose of lubrication, but it also acts as thermal
insulator and reduces the loss of heat from the billet. Before
the preheated billet is inserted into the container of the press,
a main source of lubricant which can be a circular glass pad
of 10 mm thick compacted from fine glass powder and
615
bonded with sodium silicate, or glass wool, or both is placed
immediately ahead of the die. The diameter of the glass pad
will be the same as that of the billet. The pad contains a
central hole whose diameter is the same as that of the
extrudate. The prelubricated billet is quickly inserted into the
container along with an appropriate dummy block, and then
the extrusion cycle is started. During extrusion, the face of
hot billet contacts and steadily softens or melts the glass pad
placed in front of the nose of the billet. Molten glass is
transported with the extruding metal and forms a uniform
thin lubricant film between the metal and the die, typically
about 25 lm thick. Since the thickness of lubricant film
depends on its viscosity, it is natural to think that the viscosity
of glass is the main criterion to select lubricants, but inves-
tigation (Rogers and Rowe 1967) has shown that there is no
correlation between the glass viscosity and the coating
thickness or extrusion pressure. This lubricant film provides
low friction and also thermally insulates the die and improves
its life appreciably. The thickness of lubricant film depends on
the rate of availability of lubricant by softening or melting. If
the ram speed is too slow, the time available for softening or
melting glass pad is more and hence, a thick lubricant film
will be produced resulting in a low initial extrusion pressure,
but this will rapidly consume the glass pad stored between the
billet and die and limit the length of the extrudate. On the
other hand, at very high extrusion speed, the resulting lubri-
cant film may become dangerously thin. This technique may
be modified to achieve hydrostatic lubrication (Kulkarni et al.
1972) by applying thick films of glass only to the circum-
ference of the billet. In this case, the extrusion pressure is
strongly influenced by the viscosity of lubricant.
Successfulness of lubrication depends on maintaining a
reservoir of glass on the die face that also depends on type
and design of die. Generally, flat-faced die is used for most
glass-lubricated extrusion. Because if conical dies are used
with glass lubrication, glass flow increases and much of the
glass pad (reservoir of glass) will be exhausted early in the
extrusion, although conical die lowers extrusion force
required and improves the metal flow. Another disadvantage
of conical dies for which they are not industrially favoured is
the retention of large discard in the container unless a dis-
posable follower block is used.
The choice between glass and grease-based lubricants is
based chiefly on the extrusion temperature. The reduction of
friction is the main function of lubricants at low extrusion
temperature. Since the tooling can withstand a maximum
temperature of 500–550 °C, so at extrusion temperatures
above 1000 °C, the thermal insulation of the tooling by
lubrication against overheating is equally important as the
reduction of friction, particularly with difficult-to-extrude
alloys. Further, the lubricant film can also prevent oxidation.
616
Lubricants can be classified into two groups, depending on
temperature:
• Below 1000 °C: Grease lubrication, which includes
grease, graphite, molybdenum disulphide, talc, mica,
soap, asphalt, bentonite and plastics, such as
high-temperature polyimides.
• Above 1000 °C: Glass lubrication, which includes glass
and basalt.
Graphite is preferred to glass as a lubricant in high
energy-rate extrusion, because glass requires time to soften.
Materials that have a tendency to stick to the die or the
container need to be canned, that is, sealed in a thin-walled
container (known as jacket or can) of a softer metal, such as
copper or mild steel or other cheap container. The billet
enclosed in the jacket is extruded, and subsequently, the can
is removed. The can not only provides a low-friction inter-
face, but also prevents contamination between the billet
material and the environment.
13.6 Estimation of Extrusion Load
Free-body equilibrium approach is used in the text to
develop the equations for extrusion load. To simplify the
analysis, the following assumptions are made:
(a) Homogeneous deformation is assumed; i.e., internal
redundant deformation is neglected.
(b) For extrusion through conical converging die, it is
assumed that at the contact surface between the conical
die and the work-piece, no sticking friction occurs and
only sliding friction according to Coulomb’s law is
effective. In case of extrusion through square dies, where
metal flows through dead zone formation, it is further
assumed that Coulomb sliding friction is effective at the
contact surface between the conical dead zone and the
work-piece. In other words, for flow through conical
converging die or dead zone, s ¼ lp\k; and where s is
the tangential frictional stress at the contact surface, k is
the shearing yield stress of work-piece material, l is the
coefficient of friction, and p is the pressure on the
work-piece and is normal to the contact surface.
(c) The coefficient of friction l is the same at all points on
the surface of contact.
(d) As extrusion is a hot-working operation, so it is quite
logical to assume that there is no strain hardening of the
work-piece; i.e. the flow stress of the material being
extruded remains constant.
13 Extrusion
13.6.1 Open-Die, Indirect and Hydrostatic
Extrusions
Let us consider a conical converging die with a semidie
angle of ‘a;’ through which open-die (container-less)
extrusion, or extrusion with frictionless container, such as
indirect and hydrostatic extrusions of a cylindrical billet
occurs. Cylindrical symmetry is assumed to prevail in this
analysis. A vertical slab element of metal with infinitesimal
thickness, dx; and diameter, D and ðD þ dDÞ; bounded by
the conical surface of the die and by two transverse surfaces
normal to the axis of symmetry is considered in the defor-
mation zone, as shown in Fig. 13.13. The exit plane of the
deformation zone, i.e. the plane at the exit side of the die
where the reduction of the stock ends (henceforth only called
the exit plane), is considered as the origin of the coordinate
system, shown by x ¼ 0 in the diagram, where x is the
horizontal axis that increases from the exit plane to the entry
plane of the stock within the die (henceforth called the entry
to the die). One transverse surface of the element is at a
distance x from the exit plane, the other at an additional
incremental distance dx: The element is subjected to axial
and radial compression, and to a sliding frictional force
acting along the die wall. The horizontal axial stress rx over
the transverse surface, situated at a distance x from the exit
plane, is assumed to be uniformly distributed and normal to
the transverse surface with no shear component. Hence, it is
a principal stress. For the incremental distance, the axial
stress varies by the amount drx ; i.e. the stress becomes
rx þ drx at a distance x þ dx from the exit plane. Over the
surface of the slab element, which is in contact with the
conical die, a die pressure p is assumed normal to interface
and a frictional drag lp parallel to the interface. The stresses
acting on the element of metal in the deformation zone are
shown in Fig. 13.13.
Under steady condition, horizontal equilibrium of forces
acting on the free slab element in the axial positive direction
of x; i.e. from the exit to entry side, is expressed by
p p
& ðrx þ drx Þ ðD þ dDÞ2 þ rx D2
4 4 ð13:11Þ
þ p sin a pDdLc þ lp cos a pDdLc ¼ 0
dD
* sin a dLc ¼ ;
2
p p
) ðrx þ drx Þ ðD þ dDÞ2 &rx D2
4 4
dD dD
& ppD & lppD cot a ¼0
2 2
13.6 Estimation of Extrusion Load 617

Fig. 13.13 Open-die dLc =

(container-less) extrusion or dD
extrusion with frictionless 2 sin α
container (indirect and hydrostatic p
µp
extrusions) of a cylindrical billet
through a conical converging die D2/2
D1/2 α
with a semicone angle of ‘a;’
showing stresses acting on an σl
α
element of metal with D/2 σx + dσx σx
infinitesimal thickness, dx; and
diameter, D andðD þ dDÞ; in the dD/2
deformation zone μp p

dx x
x=0
x=l

Or, ðrx þ drx Þ ðD þ dDÞ2 &rx D2
& 2pDdD & 2lpD cot adD ¼ 0
dD2 being very small quantity, it is neglected in the fol-
lowing equation:
$ %
) ðrx þ drx Þ D2 þ 2D dD
& rx D2 & 2pDdD & 2lpD cot adD ¼ 0
Or; rx D2 þ rx 2DdD þ D2 drx þ 2DdDdrx
ð13:12aÞ
& rx D2 & 2pDdD & 2lpD cot adD ¼ 0
As dD drx is a multiplication of two small quantities, so
2DdDdrx is neglected in (13.12a). As D 6¼ 0; dividing
(13.12a) by D; we get
rx D þ rx 2dD þ Ddrx
& rx D & 2pð1 þ l cot aÞdD ¼ 0
Assuming l cot a ¼ B;
2rx dD þ Ddrx & 2pð1 þ BÞdD ¼ 0
Or; Ddrx ¼ &2rx dD þ 2pð1 þ BÞdD
ð13:12bÞ
¼ 2ðp & rx ÞdD þ 2BpdD
Let rr is the compressive radial stress exerted by the
conical die on the vertical element, and it is considered as a
principal stress. Radial equilibrium of forces exerted by the
die on the vertical element of metal in the deformation zone
is given by
rr pDdx ¼ p cos a pDdLc & s sin a pDdLc ;
Or; rr pD cos adLc ¼ ppD cos adLc & spD sin adLc
ð13:12cÞ
As pD cos adLc 6¼ 0; dividing (13.12c) by pD cos adLc ;
we get
rr ¼ p & s tan a ¼ pð1 & l tan aÞ ð13:12dÞ
As semicone die angle, a; is usually large for extrusion
than that for drawing, so it is not generally true for extrusion
unlike drawing to ignore l tan a in comparison with unity.
For example, if a ¼ 60" ; tan a ¼ 1:73; and l must be less
than 0.03 if the error is restricted to even 5%. However, the
term l tan a will be neglected in comparison with unity to
avoid complexity in the following analyses for extrusion
problems.
Thus, (13.12d) is simplified as:
rr ( p ð13:12eÞ
Hence, the die pressure p can be considered to be a
principal stress. Again, since the circumferential strain rate is
equal to the radial strain rate due to cylindrical symmetry, so
the circumferential stress, rh ¼ rr : Again, rr ; rh ; and rx ; all
are taken as compressive stresses. Hence, considering rr ; rh ;
and rx as the principal stresses, we can write in the Von
Mises’ yielding criterion, r1 ¼ rr ¼ rh ¼ r3 ¼ p (since
reduction is occurring within die due to die pressure, so the
die pressure p is considered to be higher than the stress rx )
and r2 ¼ rx ; so the Von Mises’ yielding criterion, which is
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi
ðr1 & r2 Þ2 þ ðr2 & r3 Þ2 þ ðr3 & r1 Þ2 ¼ 2 r0 ; reduces to
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi
ðp & rx Þ2 þ f&ðp & rx Þg2 ¼ 2 r0 ; or; p & rx ¼ r0
ð13:13aÞ
where r0 is the uniaxial compressive flow stress or defor-
mation resistance of the work-piece. Using (13.13a),
(13.12b) becomes
618 13 Extrusion

Ddrx ¼ 2r0 dD þ 2Bðr0 þ rx ÞdD Extrusion (ram) pressure at the entry to the die,
¼ 2½r0 ð1 þ BÞ þ Brx *dD & '(& '2B )
1þB D1
Z Z rl ¼ r0 &1
drx dD B D2
On Integration; ¼2 & '(& 'B )
Brx þ ð1 þ BÞr0 D 1þB A1
¼ r0 &1 ð13:15Þ
1 B A2
Or; lnfBrx þ ð1 þ BÞr0 g & '(& 'B )
B 1þB 1
¼ 2 ln D þ C ðwhere C is an integration constantÞ ¼ r0 &1
B 1&r
Or; lnfBrx þ ð1 þ BÞr0 g ¼ 2B ln D þ BC
where A1 and A2 are the cross-sectional areas of the
$ % work-piece, respectively, before and after extrusion; r ¼ the
Or; Brx þ ð1 þ BÞr0 ¼ exp ln D2B þ BC
fractional reduction of the cross-sectional area of the
work-piece ¼ ðA1 & A2 Þ=A1 ¼ 1 & ðA2 =A1 Þ:
) Brx þ ð1 þ BÞr0 ¼ D2B eBC
) Maximum load at the start of extrusion,
Or; Brx ¼ A D2B & ð1 þ BÞr0 ; & '(& '2B )
$ 2 % 1þB D1 $ %
where A ¼ eBC is a new integration constant: Pl ¼ rl p D1 =4 ¼ r0 &1 p D21 =4
B D2
& '
D2B 1þB ð13:16Þ
) rx ¼ A & r0 ð13:14aÞ
B B
Open-die or container-less extrusion pressure is expressed
Let the diameter of the work-piece after extrusion, i.e. at by (13.15) and maximum load by (13.16). Figure 13.14
the exit plane is D2 ; and that before extrusion, i.e. at the shows schematically an open-die extrusion for extrusion of
entry to the die is D1 : Since at outer free surface of the cylindrical shapes. This process is generally performed on a
extruded product, the horizontal axial stress rx is zero, i.e. at vertical press, and a conical die can be used. Since the length
the exit plane where D ¼ D2 ; rx ¼ 0: Hence, from (13.14a)
we get

ð1 þ BÞr0 Ram
A¼ 2B
ð13:14bÞ
ðD 2 Þ
D1
Now, substituting A from (13.14b) into (13.14a), we get 2
& '
ð1 þ BÞr0 D2B 1þB
rx ¼ & r0
D2B
2 B B
& '(& '2B ) α
1þB D Die
¼ r0 &1 ð13:14cÞ
B D2

Let l ¼ the distance measured from the exit plane to the

entry plane of the stock within the die. Now, at the entry to
D2
the die, where D ¼ D1 ;, we can assume that the horizontal
2
axial stress rx ¼ rl ; where, rl will be the extrusion
(ram) pressure at the entry to the die. Hence, from (13.14c)
we can get Fig. 13.14 Open-die extrusion
13.6 Estimation of Extrusion Load 619

of the unsupported billet is limited to prevent buckling, only of the container wall on extrusion stress is estimated. In the
short length billets are usually extruded. Since the frictional following analysis, direct extrusion of a cylindrical
contribution from container wall is absent in indirect extru- work-piece through a conical converging die is considered in
sion as well as in hydrostatic extrusion (to be described later), which Coulomb’s law of sliding friction is assumed to hold
so (13.15) and (13.16) can be used to obtain, respectively, good at the contact surface between the die or the extrusion
ram pressures and ram loads for both extrusion processes. chamber and the work-piece.
At the entry to the die, where rx ¼ rl ; we can assume that Let L ¼ the distance measured from the exit plane to the
p ¼ pl ; where pl is the die pressure at the entry to the die. Now, rear plane of the billet within the extrusion chamber
with the help of (13.13), it follows from (13.15) that the die (henceforth called as the entry to the chamber), i.e. L ¼ the
pressure on the work-piece at entry to the die will be given by combined length of billet and working zone of die;
l ¼ the distance measured from the exit plane to the entry
pl ¼ r0 þ rl to the die, i.e. the length of working zone of die;
" & '(& '2B )# L & l ¼ the length of billet only.
1þB D1 A transverse metal-slice of fixed diameter, D1 ; having an
¼ r0 1 þ &1
B D2 infinitesimal thickness, dx, is considered in the deformation
" & '(& 'B )#
1þB A1 ð13:17Þ zone within the extrusion chamber, i.e. within ðL & lÞ por-
¼ r0 1 þ &1 tion in Fig. 13.15. As mentioned in previous Sect. 13.6.1,
B A2
" the exit plane (of the deformation zone) is considered as the
& '(& 'B )#
1þB 1 origin of the coordinate system, shown by x ¼ 0 in the
¼ 1 þ r0 &1 diagram, where x is the horizontal axis that increases from
B 1&r
the exit plane to the entry to the chamber. One transverse
surface of the above slice located in the deformation zone
within the extrusion chamber is at a distance x from the exit
13.6.2 Direct Extrusion Through Conical plane, the other at an additional incremental distance dx: The
Converging Die slice is subjected to axial and radial compression, and to a
sliding frictional force acting along the container wall. The
13.6.2.1 Coulomb’s Sliding Friction in Chamber horizontal axial stress rx over the transverse surface, situated
With the free-body equilibrium approach in the cylindrical at a distance x from the exit plane, is assumed to be uniformly
portion of the extrusion chamber, the influence of the friction distributed and normal to the surface with no shear

Fig. 13.15 Details of tapered die p

extrusion of a cylindrical billet, Tapered die
showing stresses acting on a τ
transverse metal-slice of fixed
diameter, D1 ; having an
infinitesimal thickness, dx, in the
deformation zone within the
extrusion chamber Ram σx
σx + dσ x

σ
L

D2/2
D1/2

α
τ
dx x

p
l

x=0
620 13 Extrusion

Z Z
component. Hence, it is a principal stress. For the incre- drx 4l
¼ dx;
mental distance, the axial stress varies by the amount drx ; rx & r0 D1
i.e. the stress becomes rx þ drx at a distance x þ dx from the 4l
exit plane. Let rr is the compressive radial stress exerted by Or, lnðrx & r0 Þ ¼ x þ C1 ð13:19bÞ
D1
the wall of the extrusion chamber on the cylindrical
work-piece, and it is considered as a principal stress. From where C1 is integration constant, when x + l:
radial equilibrium of forces, we get rr ¼ p; where p is the Since at the entry to the die, i.e. at x ¼ l; we have already
pressure exerted by extrusion chamber on the work-piece. assumed in the previous Sect. 13.6.1 that the horizontal axial
Hence, p will also be treated as a principal stress. Over the stress rx ¼ rl (the ram pressure at the entry to the die), then
surface of the slice element, which is in contact with the from (13.19b) we get
container wall, a frictional drag s is acting parallel to the
4ll
interface where s ¼ lp: The coefficient of friction l at the C1 ¼ lnðrl & r0 Þ & ð13:19cÞ
D1
billet–container interface is assumed to be the same as that at the
billet–die interface. The stresses acting on the slice element of Inserting the value of C1 from (13.19c) back into (13.19b)
metal in the deformation zone within the extrusion chamber are and rearranging, one can write as follows:
shown in Fig. 13.15. Another thin element of metal within the
tapered die region with diameter varying from D to D þ dD ðrx & r0 Þ 4l
ln ¼ ðx & lÞ
with infinitesimal thickness, dx, as discussed in previous ðrl & r0 Þ D1
( )
Sect. 13.6.1, is also shown in Fig. 13.15. 4l
rx ¼ ðrl & r0 Þ exp ðx & lÞ þ r0 ð13:19dÞ
Under steady condition, horizontal equilibrium of forces D1
acting on the free metal-slice in the axial positive direction
of x; i.e. from the exit to entry side, is expressed by Now, substituting the value of rl from (13.15) into
(13.19d), we get
pD21 p *" & '(& '2B ) #
&ðrx þ drx Þ þ rx D21 þ s pD1 dx ¼ 0 ð13:18Þ 1þB D1
4 4 rx ¼ r0 &1 & 1
B D2
As D1 6¼ 0; dividing (13.18) by ðpD1 Þ=4 and substituting * + , ð13:20aÞ
s ¼ lp; we get 4l
exp ðx & lÞ þ 1
D1
D1 rx þ D1 drx ¼ D1 rx þ 4lpdx
) D1 drx ¼ 4lpdx ð13:19aÞ ðD1 =2Þ & ðD2 =2Þ
As ¼ tan a;
l
Cylindrical symmetry is assumed in this analysis, as in the D1 & D2
)l¼ cot a;
previous Sect. 13.6.1, where the compressive circumferential 2
stress rh ¼ rr : rr ; rh ; and rx are considered as the principal
Now, putting the value of l in (13.20a):
stresses. Since all stresses are compressive, considering all of
*"& '(& '2B ) #
them to be positive we can write in the Von Mises’ yielding 1þB D1
criterion, r1 ¼ rx ; and r2 ¼ rr ¼ rh ¼ r3 ¼ p. Since there rx ¼ r0 &1 & 1
B D2
is no reduction of the billet within chamber and the billet is ( ) ,
forced into the die by the movement of ram, so the ram 2l
exp f2x & ðD1 & D2 Þ cot ag þ 1
pressure ðrx Þ on the billet must be higher than the pressure D1
*"& '(& '2B ) #
ðpÞ exerted by the container on the billet. Hence, the Von 1þB D1
¼ r0 &1 & 1
Mises’ yielding criterion, which is B D2
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi ( ) ,
2l cot a
ðr1 & r2 Þ2 þ ðr2 & r3 Þ2 þ ðr3 & r1 Þ2 ¼ 2 r0 ; reduces to exp f2x tan a & ðD1 & D2 Þg þ 1
D1
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi *"& '(& '2B ) #
ðrx & pÞ2 þ f&ðrx & pÞg2 ¼ 2 r0 ; or, rx & p ¼ r0 1þB D1
) rx ¼ r0 &1 & 1
B D2
ð13:13bÞ ( ) ,
2B
exp f2x tan a & ðD1 & D2 Þg þ 1 ð13:20bÞ
where r0 is the compressive flow stress. Substituting p ¼ D1
rx & r0 from (13.13b) into (13.19a), and on integrating, we
obtain the following: where B ¼ l cot a:
13.6 Estimation of Extrusion Load 621

Let us assume that rL ¼ the maximum extrusion pressure l at the billet–container interface than at the billet–die
pffiffi
or ram pressure at the entry to the extrusion chamber, i.e. at interface. However, when lp + k; where k ¼ r0 = 3; full
the start of the extrusion. Hence, the horizontal axial stress is sticking friction develops at the contact surface between the
rx ¼ rL ; at x ¼ L: Therefore, (13.20b) leads to extrusion chamber and the work-piece; and the frictional
*"& '(& '2B ) # stress along the chamber wall, s; is given by s ¼ k ¼
1þB D1 pffiffi
rL ¼ r0 &1 & 1 r0 = 3; where k is the yield stress in shear and r0 is the
B D2 uniaxial compressive flow stress of the work-piece.
( ) ,
2B With the free-body equilibrium approach in the cylin-
exp f2L tan a & ðD1 & D2 Þg þ 1 ð13:21Þ
D1 drical portion of the extrusion chamber, the influence of full
sticking friction along the container wall on the extrusion
) Maximum ram load at the start of extrusion; stress is estimated. Let us consider the same transverse slice
$ % of fixed diameter, D1 ; with infinitesimal thickness, dx, within
PL ¼ rL p D21 =4
*" & '(& '2B ) # ðL & lÞ portion in Fig. 13.15. Under steady condition, hori-
pD21 1þB D1 zontal equilibrium of forces acting on the free metal slice in
¼ r0 &1 & 1
4 B D2 the axial positive direction of x; i.e. from the exit to entry
( ) , side, is given by (13.18). Under sticking friction, since s ¼
2B
exp f2L tan a & ðD1 & D2 Þg þ 1 ð13:22Þ k; so lp in (13.19a) will be replaced by k: as follows:
D1
Equations (13.21) and (13.22) are applicable when Cou- D1 drx ¼ 4kdx ð13:24Þ
lomb’s law holds well. From yielding criterion given by Integrating (13.24)
(13.13b), one can get the pressure exerted on work-piece by
Z Z
wall of the extrusion chamber at its entry, i.e. at the start of
D1 drx ¼ 4kdx
the extrusion as pL ¼ rL & r0 ; since rx ¼ rL : Hence, the
container pressure pL can be expressed from (13.21) as 4kx
Or; rx ¼ þ C2 ð13:25aÞ
"& '(& '2B ) # D1
1þB D1
pL ¼ r0 &1 & 1 where C2 is an integration constant, when x + l: Since at the
B D2
( ) entry to the die, i.e. at x ¼ l; the horizontal axial stress rx ¼
2B
exp f2L tan a & ðD1 & D2 Þg ð13:23Þ rl (the ram pressure at the entry to the die), then from
D1 (13.25a) we get

4kl
13.6.2.2 Full Sticking Friction in Chamber C2 ¼ rl & ð13:25bÞ
D1
High coefficient of friction, l; between the work-piece
material and the container wall arising due to hot-working Considering (13.15) for rl and substituting C2 from
and high compressive pressure, p; exerted by the wall of the (13.25b) into (13.25a), we get,
extrusion chamber on the work-piece sometimes result in
4k
full sticking friction at the contact surface between the rx ¼ rl þ ðx & lÞ
extrusion chamber and the work-piece throughout the D1
& '(& '2B )
extrusion process. Sticking friction may be developed when 1þB D1 4k
¼ r0 &1 þ ðx & lÞ ð13:25cÞ
there is no lubrication or breakdown of lubrication at the B D2 D1
billet–container interface. In the following analysis, direct
extrusion of a cylindrical work-piece through a conical Hence, at the entry to the chamber, where x ¼ L; sub-
converging die is considered, in which Coulomb’s law of stitution of horizontal axial stress, rx ¼ rL (maximum
sliding friction is assumed along the die wall but full sticking extrusion pressure or ram pressure), into (13.25c) gives
friction is assumed to develop at the contact surface between Ram pressure,
the extrusion chamber and the work-piece. It is further & '(& '2B )
assumed that coefficient of friction, l; along the die wall is 1þB D1 4k
rL ¼ r0 &1 þ ðL & lÞ ð13:26Þ
the same as that at the billet–container interface, and that full B D2 D1
sticking friction is developed due to high chamber pressure, pffiffi
p; although sticking friction may also develop due to higher Since k ¼ r0 = 3; and l ¼ ½ðD1 & D2 Þ=2* cot a; so we
can substitute k and l into (13.26) and get the maximum
622 13 Extrusion

extrusion pressure or ram pressure, rL ; at the entry to the As before, assume that the exit plane is at x ¼ 0; and x
chamber, i.e. at the start of the extrusion as follows: increases from the exit plane to the entry plane to the
"& '(& '2B ) chamber. Suppose xS is the distance measured from the exit
1þB D1 plane towards the entry to the chamber, where the transition
rL ¼ r0 &1
B D2 from sliding to sticking occurs. To get the mixed mode of
) ð13:27Þ
friction along the chamber wall, the distance xS must lie
2
þ pffiffi f2L & ðD1 & D2 Þ cot ag between the entry to the die and that to the chamber, i.e.
3D 1
L [ xS [ l: Thus, frictional condition within the extrusion
) Maximum ram load at the start of extrusion, chamber is such that sliding friction prevails from x ¼
$ % l to x ¼ xS ; where s ¼ lp; and full sticking friction occurs
PL ¼ rL p D21 =4 from x ¼ xS to x ¼ L; where s ¼ k:
"& '(& '2B ) #
1þB D1 4 pD21
¼ r0 &1 þ pffiffi ðL & lÞ So; at the point of x ¼ xS ;
B D2 3D 1 4
r0
s ¼ lp ¼ k ¼ pffiffi ;
ð13:28aÞ 3
"& r0
'(& '2B ) Or, p ¼ pffiffi ð13:29aÞ
1þB D1 3l
Or; PL ¼ r0 &1
B D2
) 2 Let the horizontal axial stress rx ¼ rS at x ¼ xS ; so, from
2 pD1 (13.19d), it follows that
þ pffiffi f2L & ðD1 & D2 Þ cot ag
3D 1 4 * +
4l
ð13:28bÞ rS & r0 ¼ ðrl & r0 Þ exp ðxS & l Þ ð13:29bÞ
D1
* +
13.6.2.3 Mixed Sticking–Sliding Friction 4l
Or; rS ¼ ðrl & r0 Þ exp ðxS & lÞ þ r0 ð13:29cÞ
in Chamber D1
The extrusion or ram pressure, rL ; and correspondingly, the
From Von Mises’ yielding criterion within the chamber
pressure exerted by the wall of the extrusion chamber on the
[see (13.13b)], p ¼ rS & r0 : Hence, from (13.29b) we get
work-piece, p; gradually decreases as the ram travels from
the entry to the chamber towards the entry to the die. Fre- * +
4l
quently, the frictional conditions along the wall of the p ¼ ðrl & r0 Þ exp ðxS & lÞ ð13:29dÞ
D1
extrusion chamber are intermediate between full sticking and
sliding so that there may be sliding friction at and near the Now, equating (13.29a) and (13.29d) for p gives a solu-
entry to the die where the pressure, p; is lower, but at some tion for the location of the boundary between slipping and
distance away from the entry to the die towards the entry to sticking friction, which is derived below:
the chamber the pressure increases to a point where tan- * +
pffiffi 4l r0
gential frictional stress, s ¼ k ¼ r0 = 3: In the following ðrl & r0 Þ exp ðxS & lÞ ¼ pffiffi ;
D1 3l
analysis, direct extrusion of a cylindrical work-piece through * + & '
4l r0 pffiffi rl
a conical converging die is considered, in which Coulomb’s Or, exp ðxS & lÞ ¼ pffiffi ¼ 1= 3l &1
law of sliding friction is assumed to act along the die wall, D1 3lðrl & r0 Þ r0
( & ')
but full sticking friction is assumed to develop starting from D1 p ffi ffi rl
the entry to the chamber up to a certain distance within the ) xS ¼ ln 1= 3l & 1 þl
4l r0
chamber in the forward direction of extrusion creating a ð13:30Þ
mixed sticking–slipping frictional condition at the contact
surface between the extrusion chamber and the work-piece. Substituting rl from (13.15) and l ¼ ½ðD1 & D2 Þ=2* cot a;
It is further assumed that coefficient of friction, l; along the into (13.30), we get
die wall is the same as that at the billet–chamber interface, & ' * "& '(& '2B ) #+
and that the mixed sticking–slipping frictional condition is D1 pffiffi 1þB D1
xS ¼ ln 1= 3l &1 & 1
developed due to high container pressure, p; although such 4l B D2
frictional condition may also develop due to higher l at the D1 & D2
billet–chamber interface than at the billet–die interface. þ cot a
2
ð13:31Þ
13.6 Estimation of Extrusion Load 623

Again, substituting xS from (13.30) into (13.29c), we get Now, substituting xS from (13.31) into (13.34b), we get
( * & '+) -
4l D1 pffiffi rl 1 4L
rS ¼ ðrl & r0 Þ exp ln 1= 3l &1 þ r0 rL ¼ r0 pffiffi þ 1 þ pffiffi
D1 4l r0 3l 3D1
* & '+ & '
pffiffi rl 1 1
¼ ðrl & r0 Þ 1= 3l &1 þ r0 & pffiffi ln pffiffi h n o i
r0 3l 3l fð1 þ BÞ=Bg ðD1 =D2 Þ2B &1 & 1
( )
r0 ½ðrl =r0 Þ & 1* 1 ,
) rS ¼ pffiffi þ r0 ¼ r0 pffiffi þ 1 2ðD1 & D2 Þ cot a
3l½ðrl =r0 Þ & 1* 3l & pffiffi
3D1
ð13:32Þ
ð13:35Þ
With the free-body equilibrium approach in the cylin-
drical portion of the extrusion chamber, the influence of ) Maximum ram load at the start of the extrusion,
$ %
partly sliding and partly sticking friction of the chamber on PL ¼ rL p D21 =4
extrusion stress is estimated. As before, let us consider the
ð13:36Þ
transverse slice of fixed diameter, D1 ; with an infinitesimal
thickness, dx, within the extrusion chamber, i.e. within
ðL & lÞ portion in Fig. 13.15. The slice is subjected to axial
and radial compression, and to either sliding frictional force, 13.6.3 Direct Extrusion Through Square Die
according to Coulomb’s law, or sticking frictional force
acting along the chamber wall. Now for x + xS ; where full With flat-faced or square die, where semidie angle is very
sticking friction prevails, horizontal equilibrium of forces on large, and high friction between the material and the chamber
the free metal slice in the axial direction x; is expressed by wall, a dead zone as shown in Fig. 13.16a, develops where no
(13.24), from which the following (13.33a), similar to flow of material takes place. Assumption in this analysis is
(13.25a), can be obtained as shown below: that the dead zone can be approximated by a semicone angle
of 45°, i.e. a ¼ 45" : Further, it is assumed that l tan a is
4kx neglected as in the previous Sect. 13.6.1, and the Von Mises’
rx ¼ þ C3 ð13:33aÞ
D1 yielding criterion will be given by (13.13). This assumption
where C3 is an integration constant, for x + xS : introduces some inaccuracy in the following analysis, but the
Since at the plane of transition from sliding to sticking, solution becomes unwieldy without the assumption.
i.e. at x ¼ xS ; rx ¼ rS ; then from (13.33a) we get The material which is being extruded can be divided into
two deformation zones as shown in Fig. 13.16a: (i) section
4kxS AA to BB, where the flow of material is considered as a rigid
C3 ¼ rS & ð13:33bÞ
D1 body motion, and (ii) section BB to CC, where the flow is
analogous to that in extrusion through conical converging
After substituting C3 from (13.33b) into (13.33a), we get
die, as discussed in Sect. 13.6.1. The entry edge ‘CC’ of the
4k square die is considered as the origin of the coordinate
rx ¼ rS þ ðx & x S Þ system, shown by x ¼ 0 in the diagram shown in
D1
ð13:33cÞ Fig. 13.16a, where x is the horizontal axis that increases
4r0
¼ rS þ pffiffi ðx & xS Þ from the entry edge of the die, i.e. section CC, to the entry to
3D 1
the chamber, i.e. section AA. Figure 13.16b shows a trans-
At the entry to the chamber where, x ¼ L; since the verse element in the region BB–CC (in l portion), along with
horizontal axial stress, rx ¼ rL (the maximum ram pressure the stresses acting on it.
at the start of extrusion), so from (13.33c) it follows: The dead zone formed in extrusion through flat-faced or
square die makes a die-like channel with a semicone angle
4r0
rL ¼ rS þ pffiffi ðL & xS Þ ð13:34aÞ which is approximated to be 45°, i.e. a ( 45" : As a ¼ 45" ;
3D 1 so B ¼ l cot a ¼ l cot 45" ¼ l: Hence, from (13.15), the
Substituting rS from (13.32) into (13.34a), we get the ram pressure rl at the entry plane of the dead zone, i.e. at the
equation for rL as: section BB in Fig. 13.16a, can be written as
( ) Ram pressure at entry plane of the dead zone,
1 4ð L & x S Þ & '(& '2l )
rL ¼ r0 pffiffi þ 1 þ pffiffi ð13:34bÞ
3l 3D 1 1þl D1
rl ¼ r0 &1 ð13:37Þ
l D2
624 13 Extrusion

p
(a) (b) (c)
Extrusion chamber τ
µp
Ram
A B p
45º
dx 45º
σL C D1
D + dD
D1 dx D2
D σx + d σx
C σx + d σx σx σx
A B 45º
Dead zone p
l µp
L τ
x=0
p

Fig. 13.16 a Details of square die extrusion of a cylindrical billet, BB to CC [see (a)], c stresses on a transverse metal-slice of fixed
b stresses on a transverse trapezoidal shaped metal-slice with diameter, D1 ; having an infinitesimal thickness, dx, in section AA to BB
infinitesimal thickness, dx; and diameter, D and ðD þ dDÞ; in section [see (a)]

Note that (13.37) will also give the ram or extrusion ) Maximum ram load at the start of extrusion,
pressure for indirect extrusion through square dies, where a $ %
PL ¼ rL p D21 =4
dead zone with a semi-cone angle of 45" is assumed to form *" & '(& '2l ) #
on the die shoulders. pD21 1þl D1 ð13:39Þ
¼ r0 &1 & 1
The stresses acting on a transverse slice of fixed diameter, 4 l D2
D1 ; with infinitesimal thickness, dx, in the region between ( ) ,
2l
the section BB and AA, i.e. within ðL & lÞ portion are shown exp f2L & ðD1 & D2 Þg þ 1
D1
in Fig. 13.16c. As before there may be three frictional
conditions at the billet–container interface prior to the entry
plane (‘BB’) of dead zone, i.e. within ðL & lÞ portion. In the 13.6.3.2 Full Sticking Frictional Condition
following analyses, note that Considering full sticking friction at the billet–chamber
L ¼ the distance measured from the entry edge of the interface prior to the entry plane (‘BB’) of dead zone, i.e.
square die ‘CC’ to the entry to the chamber ‘AA’, i.e. the within ðL & lÞ portion, the maximum extrusion pressure or
length of the billet, and ram pressure, rL ; at the entry to the chamber, i.e. at the start
l ¼ the distance measured from the entry edge of the of the extrusion can be obtained by substituting rl from
square die ‘CC’ to the entry plane of the dead zone ‘BB’, i.e. (13.37), and l ¼ ðD1 & D2 Þ=2; and rx ¼ rL at x ¼ L; into
the length of the dead zone. (13.25c):

13.6.3.1 Coulomb’s Sliding Frictional Condition 4k

rL ¼ r l þ ðL & l Þ
Considering Coulomb’s sliding friction at the billet–chamber D1
& '(& '2l ) & '
interface prior to the entry plane (‘BB’) of dead zone, i.e. 1þl D1 4k D1 & D2
within ðL & lÞ portion, the maximum extrusion pressure or ¼ r0 &1 þ L&
l D2 D1 2
ram pressure, rL ; at the entry to the chamber, i.e. at the start
of the extrusion can be obtained by substituting rl from ð13:40aÞ
(13.37), and l ¼ ½ðD1 & D2 Þ=2* cot a ¼ ½ðD1 & D2 Þ=2* pffiffi
Since k ¼ r0 = 3 where r0 is the uniaxial flow stress in
cot 45" ¼ ðD1 & D2 Þ=2; and rx ¼ rL at x ¼ L; into (13.19d): compression, (13.40a) becomes
*" & '(& '2l ) # "&
1þl D1 '(& '2l ) #
rL ¼ r0 &1 & 1 1þl D1 2
l D2 rL ¼ r0 &1 þ pffiffi f2L & ðD1 & D2 Þg
l D2 3 D1
( ) ,
2l ð13:40bÞ
exp f2L & ðD1 & D2 Þg þ 1 ð13:38Þ
D1
13.6 Estimation of Extrusion Load 625

) Maximum ram load at the start of extrusion, estimated value of xS ; there may be three different conditions
$ 2 % of friction at the billet–container interface, and knowing the
PL ¼ rL p D1 =4
"& '(& '2l ) correct frictional condition at interface, selection of proper
1þl D1 ð13:41Þ equations for ram load and/or stress is made, as explained
¼ r0 &1
l D2 below:
) 2
2 pD1
þ pffiffi f2L & ðD1 & D2 Þg (a) If xS + L; for extrusion through conical converging die,
3D1 4
the sliding friction exists over the entire billet–chamber
interface, i.e. from x ¼ l to x ¼ L; in which case maxi-
13.6.3.3 Mixed Sticking–Sliding Frictional mum ram load and pressure are to be calculated,
Condition respectively, from (13.22) and (13.21). For extrusion
Suppose xS is the distance measured from the entry edge through square die, if xS + L; the sliding friction exists
‘CC’ (Fig. 13.16a) of the square die towards the entry to the over the entire interface from the entry plane of the dead
chamber, where the transition from sliding to sticking zone to the entry to the chamber, i.e. from x ¼ l to x ¼
occurs. To get the mixed mode of friction at the billet– L; in which case maximum ram load and pressure are to
chamber interface within the region between the section BB be calculated, respectively, from (13.39) and (13.38).
and AA, i.e. within ðL & lÞ portion (Fig. 13.16a), the distance (b) If xS , l; for extrusion through conical converging die,
xS must lie between the entry plane of the dead zone and the the full sticking friction exists over the entire billet–
entry to the chamber, i.e. L [ xS [ l: Substituting rl from container interface, i.e. from x ¼ l to x ¼ L; in which
(13.37), and l ¼ ðD1 & D2 Þ=2; into (13.30), we get the case maximum ram load and pressure are to be calcu-
sliding–sticking transition boundary as lated, respectively, from (13.28) and (13.27). For
extrusion through square die, if xS , l; the full sticking
& ' * "& '(& '2l ) #+
D1 pffiffi 1þl D1 ðD1 & D2 Þ friction exists over the entire interface from the entry
xS ¼ ln 1= 3l &1 & 1 þ
4l l D2 2 plane of the dead zone to the entry to the chamber, i.e.
ð13:42Þ from x ¼ l to x ¼ L; in which case maximum ram load
and pressure are to be calculated, respectively, from
Substituting xS from (13.42) into (13.34b), we get the (13.41) and (13.40).
equation for the maximum extrusion pressure or ram pres- (c) If L [ xS [ l; for extrusion through conical converging
sure, rL ; at the entry to the chamber, i.e. at the start of the die, the mixed sliding–sticking frictional condition pre-
extrusion as: vails at the billet–container interface, i.e. full sticking
- friction occurs from x ¼ L (the entry to the chamber) to
1 4L
rL ¼ r0 pffiffi þ 1 þ pffiffi
3l 3 D1
x ¼ xS (sticking–sliding boundary) and the rest portion
& ' + is subjected to sliding friction, in which case maximum
1 1 2ðD & D2 Þ
& pffiffi ln pffiffi h n o i & p1ffiffi ram load and pressure are to be calculated, respectively,
3l 2l
3l fð1 þ lÞ=lg ðD1 =D2 Þ &1 & 1 3D1
from (13.36) and (13.35). For extrusion through square
ð13:43Þ die, if L [ xS [ l; sliding friction occurs from x ¼ l (the
entry plane of the dead zone) to x ¼ xS (sliding–sticking
) Maximum ram load at the start of the extrusion, boundary) and full sticking friction occurs from x ¼ xS
$ 2 %
PL ¼ rL p D1 =4 to x ¼ L (the entry to the chamber), thus creating a
mixed sliding–sticking frictional condition along the
ð13:44Þ
container wall from the entry plane of the dead zone to
the entry to the chamber. In this case, maximum ram
load and pressure are to be calculated, respectively, from
13.6.4 Selection of Proper Equation for Ram (13.44) and (13.43).
Load and Stress

To select proper equations for ram load and/or pressure, the

value of xS has to be first evaluated using either (13.30) for
extrusion through conical converging as well as square die,
or (13.31) for extrusion through conical converging die and
(13.42) for extrusion through square die from the given
value of the coefficient of friction l at the interface.
Depending on the given values of l; and L; and the
13.7 Strain Rate in Extrusion
The flow stress of metal in hot extrusion depends upon the
strain rate, and the strain rate increases with increasing ram
speed in extrusion. It must be noted that the strain-rate
sensitivity of the flow stress (see Sect. 1.11.1 in Chap. 1) is
626
high at elevated temperature (it is negligible at room tem-
perature) and increases with increasing temperature. There-
fore, the flow stress of metal increases more with increasing
strain rate at higher temperature than at lower temperature,
which results in the requirement of a higher specific pressure
for hot extrusion. Hence, in calculating extrusion load, one
must obtain the flow stress of the material corresponding to
the strain rate prevailing at the time of hot extrusion. Before
the flow stress is used to calculate the hot-extrusion load, the
strain rate in the actual extrusion process must be calculated.
In extrusion, local true strain rate varies. Extrusion true
strain rates are found to have local maxima near the exit
from the die on the surface, and along the centre-line of the
extrusion. Therefore, it is necessary to calculate an effective
or average true strain rate for extrusion. In case of a con-
verging die, it is more usual to evaluate the average true
strain rate for extrusion in terms of time, tE ; required for
material to travel through a truncated conical volume of
deformation zone. The deformation zone in extrusion at the
entry plane of the stock within die is bounded by a circle of
diameter equal to the original diameter, D1 ; of the cylindrical
stock before extrusion and that at the exit plane of die by a
smaller circle of diameter, D2 ; of the product after extrusion.
If semicone angle of the die is a; the volume of the truncated
conical deformation zone in extrusion with virtual semi-cone
apex angle, a; will be
"& ' # dead-metal zone is held back in the chamber as discard.
& '2
p D1 2 D1 =2 D2 D2 =2
VE ¼ & lubrication of the die and can cause surface defects and
3 2 tan a 2 tan a ð13:45Þ
p $ 3 % interior laminations in the extrudate. Susceptibility to defects
¼ D & D32
24 tan a 1
If the ram velocity is vram ; the volume of material
extruded per unit time is
pD21
Vt ¼ vram ð13:46Þ
4 (1) Rear-end Hollow Pipe:
Now, the time required to fill the volume VE of the
deformation zone is obtained from (13.45) and (13.46) as
follows:
VE D31 & D32
tE ¼ ¼ ð13:47Þ
Vt 6 tan avram D21
If A1 is the initial cross-sectional area of the billet before
extrusion and A2 is the final cross-sectional area of the billet
after extrusion, then the true strain in extrusion is given by
(13.4). Hence, the time-average extrusion true strain rate, !e_ tE ;
is obtained from (13.47) and (13.4) as follows:
e 6vram D21 tan a
!e_ tE ¼ ¼ ln R ð13:48aÞ
tE D31 & D32
13 Extrusion
Since the extrusion ratio R ¼ A1 =A2 ¼ ðD1 =D2 Þ2 ; then
(13.48a) changes to
& '
12vram D21 tan a D1
_!etE ¼ ln ð13:48bÞ
3 3 D2
D1 & D2
When extrusion ratio R is very high, i.e. D1 - D2 ; then
we can neglect D2 in (13.48a). For a square die with poor
lubrication, where a dead zone develops, the semicone angle
a ( 45" : Thus, for high extrusion ratios and square dies with
poor lubrications, (13.48a) reduces to give a simplified form
of mean true strain rate for extrusion:
6vram
!e_ tE ¼ ln R ð13:49Þ
D1
13.8 Extrusion Defects
Extrusion defects are the result of non-uniform flow of
metals in the container. It is always desired to have parallel
metal flow, in which the surface skin of the billet becomes
the surface skin of the extrudate. Another type of metal flow
is shear metal flow, in which the surface skin of the billet
penetrates into the mass of the billet and a stagnant
dead-metal zone is formed at the die shoulder. This
Shear metal flow is not desirable, because it hinders effective
increases with the degree of shear metal flow, i.e. with the
heterogeneous nature of the flow patterns—that is in the
order of ‘S’, ‘A’, ‘B’ and ‘C’ types of flow patterns (see
Sect. 13.4). Various defects in extrusion are described
below:
During extrusion, when the length of the billet left in the
container is about one-fourth of its diameter, a hollow pipe
or channel is created axially in the rear end of the extruded
product. When extrusion is carried out to the point men-
tioned above, the back-end axial hole or funnel is created
due to the rapid radial flow of metal into the die. The
back-end hollow pipe almost always occurs in the extruded
metals. This pipe may extend some distance inside the
extrusion from its back end. So, the pipe must be discarded
from the extrusion and hence the productivity falls. Friction
between billet and container causes a deeper pipe to form in
the extrusion earlier in the cycle. The length of this piping
defect can be minimized by inclining the face of the ram at
an angle to the ram axis.
13.8 Extrusion Defects 627

(2) Back-end Internal Oxidized Pipe:

Friction between the billet and container wall in the direct

extrusion of a billet resists the flow of metal at the outer
surface of the billet, which causes the centre of the billet to
move faster than its periphery. After the extrusion of about
two-thirds of the billet is over, the metal at the peripheral
region flows towards the central region of the billet under the Fig. 13.17 Fir-tree cracking (repetitive transverse surface cracking)
from heavy die friction in extrusion
action of ram and is extruded through the die orifice near the
axis of the extruded product. Since the outer surface metals
of the billet are often oxidized, this type of flow causes the
oxide layers to enter into the extrusion and produces internal
oxide stringers at the back end, which can be regarded as a
back-end internal oxidized pipe. On viewing the transverse
section of the product, this defect will appear as an annular
ring of oxide which renders the product unacceptable. The
greater the friction between the billet and container wall, the
more is the tendency towards the formation of this defect. If
a hot billet is placed in a cold chamber for extrusion, the
outer surfaces will be chilled and the deformation resistance
of this section will rise. Therefore, the central region of the
billet will have a greater tendency to extrude before the
surface layers, which will increase the tendency to form this
extrusion defect.
One way to eliminate this extrusion defect is to halt the
extrusion operation at that point where the oxide layers of
surface start to enter into the die and then discard the rest of
the billet remaining in the container. But this procedure is
not suitable on economic grounds because the amount of the
remainder billet to be discarded in order to avoid this Fig. 13.18 Development of peripheral large grains
extrusion defect may be as much as 30%. An alternative
method, which is frequently used in order to avoid the for- product useless. In hot extrusion, this type of crack is usually
mation of this extrusion defect, is to use a pressure pad (a intercrystalline and is associated with hot shortness, the most
follower block) between the ram and the billet which is common cause of which is the use of higher ram speeds for
slightly smaller in diameter than the inside diameter of the that extrusion temperature. If the ram speed, i.e. the strain
extrusion chamber. As the ram pushes the pressure pad rate, is too high, it can produce adiabatic deformation con-
forward, it scalps the billet and a thin skull of the billet, ditions. This, in turn, results in the rise of temperature that
which contains the oxidized surface layers, is left on the wall can exceed the solidus of the metal and produce incipient
of the container. melting. The fir-tree cracking is more likely to occur in those
alloys where the difference between the lower limit of
(3) Fir-tree Surface Cracking: hot-working temperature and the solidus is not large. If the
ram speeds are reduced in order to avoid incipient melting,
In extrusion, when interface friction is high due to break- there may be problem associated with formation of very
down or discontinuity of the lubricant film or any other coarse grains at the surface, as shown in Fig. 13.18. This
reasons, the flow of the periphery of the billet is restrained may occur if the surface of the billet is caused to cool just
and the centre of the billet moving relatively fast through the below the recrystallization temperature by contact with the
die stretches the periphery in the forward direction. This colder wall of the chamber. Heat produced by extrusion
results in the development of longitudinal tensile stresses at flows from the central region of the extruded product to the
the surface which causes surface cracking. The severity of surface layers and raises the surface temperature from just
surface cracking ranges from a badly roughened surface like below to just above the recrystallization temperature. The
snake skin or fish skin to repetitive transverse cracking extent of cold work imparted to the surface layers is such
called fir-tree cracking (Fig. 13.17), which makes the critical that it results in the formation of extremely coarse
628 13 Extrusion

Lc is the contact length between the die and the work-piece

in the deformation zone, as shown in Fig. 13.20a, b. This
can be explained by (10.77), which is:
Dm D1 þ D2
D¼ ¼ sin a
Lc D1 & D2
$ pffiffiffiffiffiffiffiffiffiffi %2
1þ 1 & r
¼ sin a
r
where the reduction of area, r ¼ 1 & ð1=RÞ: This shows that
Fig. 13.19 Central bursting or chevron cracking as a increases, sin a increases and so, Dm =Lc increases.
Again, as R decreases r decreases, which causes Dm =Lc to
increase. For a large Dm =Lc , the deformation is localized
grains at the surface on recrystallization. Very low ductility near the surface region and the relatively undeformed central
of this coarse-grained metal again makes it unacceptable. part is stretched in the forward direction by the surface
This problem in the extrusion of aluminium alloys was layers. This causes to develop the secondary tensile stresses
investigated by C.S. Smith (Smith 1949–1950) who sug- at the centre which results in the development of centre-burst
gested for maintaining a very close control jointly over the defect. The danger of chevron cracking is less when
ram speed and the extrusion temperature to produce an D ¼ Dm =Lc , 2:
acceptable material. At lower temperatures where hot It has been further shown (Gurney and DePierre 1974) that
shortness cannot take place, fir-tree cracking is believed if the friction at the tool–billet interface is low chevron
(Wilcox and Whitton 1959–1960) to occur due to momen- cracking occurs, while high interface friction will result in the
tary sticking in the die land and the sudden development of production of a sound product. Since high friction restrains
pressure, and then breakaway. the movement of relatively more deformed surface layers and
reduces the velocity gradient along the cross-section of a
(4) Centre Burst or Chevron Cracks: billet, the formation of secondary tensile stresses at the centre
responsible for the centre-burst defect is avoided.
Centre burst or chevron cracking is an internal crack which
can occur when too large a deformation gradient along the (5) Longitudinal Laminations:
cross-section of a billet develops ‘secondary tensile stresses’
in the centre of the billet. Chevron cracking or central Discontinuity in the lubrication film will assist to initiate
bursting is shown in Fig. 13.19, and how centre-burst shear zones during extrusion. Lubricant film (and also oxide
defects can develop during extrusion as well as during layer or impurities) may flow from the billet surface along
severe cold drawing operations and form a series of this shear zone and be migrated into the interior of the
cone-shaped internal ruptures is shown in Fig. 13.20a, b. extrusion to appear as longitudinal laminations in the
This defect can typically occur where the semicone die product.
angle, a; is large and the extrusion ratio, R; or the reduction
ratio in drawing, R; (the ratio of the initial cross-sectional (6) Impurity Streaks:
area of the work-piece to the final cross-sectional area after
drawing) is low, i.e. Dm =Lc is large, in which Dm is the mean This defect consists of impurities aligned along the axis of
diameter of the work-piece (arithmetic average of initial the final product. This impurity streaks arise due to the
diameter D1 of billet and final diameter D2 of extrudate) and surface impurities in the original billet.

(a) (b)

α
D2 Lc

D1 Lc Dm Dm

Fig. 13.20 Development of chevron crack, which is related to semicone die angle, a; and the ratio Dm =Lc . a In drawing, b in extrusion
13.9 Impact Extrusion
13.9 Impact Extrusion
Impact extrusion is a cold extrusion process. In this process,
compressive force is used to form very thin-walled hollow
tube or pipe of short length by striking a metal blank placed
on a die, with a punch at a high velocity, e.g. collapsible
tooth paste tubes from soft metals and aluminium cans with
very thin walls.
There are two basic methods of impact extrusion. In
indirect impact extrusion, as shown in Fig. 13.21a, the die
has the correct outside diameter of a tube, which is to be
produced, and the punch has the correct inside diameter of
that tube. A metal blank, usually made of aluminium or other
softer metal, coated with a lubricant is placed in a shallow
die and a cylindrical punch strikes it at a high velocity. The
punch descends at a high speed, compresses the metal in the
Fig. 13.21 a Indirect impact (a)
extrusion; b Hooker process
(direct impact extrusion)
Prior to extrusion
(b)
Die
Prior to extrusion
629
die and extrudes the metal as a thin film in the opposite
direction, thus forming thin tube round the punch as the
metal has no other method of escape. This process is anal-
ogous to inverted extrusion.
Direct impact extrusion, known as the ‘Hooker process’,
as shown in Fig. 13.21b, is a forward extrusion technique
basically similar to the tube extrusion with a mandrel attached
to the pressure pad, but it operates at a very high speed. The
metal blank is usually desired to be of cup shaped. The punch
with a mandrel fits the inside diameter of the cup. As the
punch strikes the cup at a high velocity, pressure is exerted on
the cup by the shoulder of the punch and the cup is extruded
into a tube. To produce thick-walled tubing, this process
requires less pressure than the inverted extrusion. This process
is used for copper and brass tubes and can produce tubes with
closed ends and tapering wall thickness.
Punch
Blank
Die
After extrusion
Punch
Blank
After extrusion
630
Impact extrusion (direct or indirect) is performed typi-
cally on high-speed mechanical vertical presses at produc-
tion rates as high as two parts per second. Though impact
extrusion is generally performed cold, considerable heating
results from the high speed of deformation. Impact extrusion
process is typically used to produce very thin-walled tubular
shapes, in which tube-wall thicknesses may be as thin as
0.005 times of their diameters. To achieve a uniform
tube-wall thickness, the concentricity of the punch and the
metal blank must be maintained. The mechanical properties
of impact extruded products are good. One important
advantage of impact extrusion is that complex finished parts
can be produced in a single operation, without the need of
expensive machining operation. Although this process is
restricted to a variety of softer non-ferrous metals such as Pb,
Sn, Al and Cu, but low-carbon steel, and even some alloy
steels, can be cold-impact-extruded in useful sizes having
good mechanical properties. Compressed air or even actual
explosives have also been introduced to enhance the speed in
impact extrusion, which appears to be suitable for
cold-impact-extrusion even of very brittle alloys.
13.10 Hydrostatic Extrusion
‘Hydrostatic’ extrusion, also known as ‘ramless’ or ‘fluid’ or
‘hydraulic’ extrusion, was developed in the early 1950s. In
the process, the billet is forced through the die by means of a
liquid acting as a pressure medium instead of the direct
application of the load with a ram. Friction between the billet
and the wall of container is totally absent, because there is no
contact between them. The pressurized fluid is transmitted to
the die–billet interface and often creates hydrodynamic
lubrication, which significantly reduces friction. Due to
significant reduction in friction at the die–billet interface,
conical converging die with a very low semicone angle, a (
20" ; is generally used in hydrostatic extrusion. Low semi-
cone angle of die reduces the load required for internal
redundant deformation (see Fig. 13.10). Lower friction and
reduction in redundant deformation both cause to reduce the
extrusion pressure. The reduction of maximum extrusion
pressure in hydrostatic extrusion with conical die compared
to direct extrusion process with square die is shown in
Fig. 13.22. This figure further shows that the hydrostatic
extrusion pressure decreases with decreasing semicone die
angle, a; this is due to the decrease in stress required for the
internal redundant deformation. Typical pressure in this
process is normally on the order of 1.4 GPa. When a high (1) Ram-type hydraulic extrusion: The pressure is provided
hydrostatic pressure is present the tensile stresses are
reduced below the critical value for cracking, but at the same
time the flow stress of material is not affected. Further, less constant rate extrusion due to the constant speed of the
damage is created to the material during deformation when
13 Extrusion
Direct extrusion
with square die
Maximum extrusion pressure
Hydrostatic extrusion
Decreasing semi-cone angle of die
for hydrostatic extrusion
Extrusion ratio (R)
Fig. 13.22 Schematic plot of maximum extrusion pressure versus
extrusion ratio for direct and hydrostatic extrusion and the effect of
decreasing semicone die angle, a; on hydrostatic extrusion pressure
deformation is carried out under high hydrostatic pressure.
On the other hand, hydrostatic pressure in fluid extrusion
process cannot be raised to a very high level, because fluids
usually oils, which act as pressure media in hydrostatic
extrusion, start to solidify at very high pressures. Moreover,
the container must be strong enough to withstand high
pressures. Due to the above reasons, the maximum hydraulic
pressure is currently around 1.7 GPa. Hydrostatic extrusion
is usually carried out at room temperature, though the pos-
sibility of warm and hot hydrostatic extrusion has been cited
in literature (Rowe 1977). The typical fluid media used to
transfer the pressure at room temperature are vegetables oils,
particularly castor oil because its viscosity is not influenced
significantly by the applied pressure and it is a good lubri-
cant. If hydrostatic extrusion is carried out at elevated tem-
perature, the fluid media used to transfer the pressure are
molten glass, polymers and waxes; these lubricants also act
as thermal insulators and assist to maintain the temperature
of the billet during extrusion. Hydrostatic extrusion has been
successfully applied to a variety of metals and polymers,
solid shapes, tubes and other hollow shapes, and honeycomb
profiles.
There are two ways to provide the pressure using liquid
lubricant:
with the ram of a press forced into the extrusion
chamber, as shown in Fig. 13.23. The ram type is a
ram.
13.10 Hydrostatic Extrusion 631

Top cover
O ring
Air-release
screw
Ram

Mitre ring
Chamber
O ring
Pressure
chamber Oil
from pump

Billet O ring
Die
Bottom
cover
Table

Die

Oil at high pressure,

acting as pressure-
transmiting fluid Fig. 13.24 Pump-type or ramless hydraulic extrusion chamber,
showing conventional hydrostatic extrusion process
Pressure-
Oil at relief valve
low (b) In conventional extrusion, the radial pressure on the
pressure
container, depending on the alloy and the extrusion
conditions, is 20–80% lower than the axial pressure
applied by the ram. In hydrostatic extrusion, the axial
and radial pressures are equal. So, in hydrostatic extru-
sion, the tooling has to withstand a significantly higher
pressure and more stringent requirements have to be
Fig. 13.23 Ram-type hydraulic extrusion chamber, showing differen- placed on the design of tooling and the material used for
tial pressure hydrostatic extrusion process
tooling.

(2) Pump-type or ramless hydraulic extrusion: The pressure

is provided through a pump, with or without a pressure
intensifier, by supplying oil from pump through an inlet
in the extrusion container surrounding the billet and the
die as shown in Fig. 13.24. The pump type is a
constant-pressure extrusion.
13.10.1 Basic Difference Between Hydrostatic
and Conventional Extrusion
(a) In conventional extrusion, the billet is in contact with
three components—die, chamber, ram or dummy block,
on the other hand, in hydrostatic extrusion, the billet is
surrounded by the liquid and is in contact with the die
only. When hydrodynamic lubrication prevails, even
contact with the die is avoided.
13.10.2 Conventional Hydrostatic Extrusion
It is the simplest method of hydrostatic extrusion, also
known as ‘hydrostatic extrusion without back pressure’,
shown in Fig. 13.24, in which the metals extruded through
the die into the atmosphere, as performed in conventional
extrusion. Extrusion begins as soon as the hydrostatic
pressure has reached a high value depending on the flow
stress of the billet material and the extrusion ratio. A conical
die is used to allow a film of lubricant to develop. The
container with the pressure-transmitting fluid is sealed with
high-pressure seals at the ram and the die.
This process is suitable for applications to (a) ductile
materials like aluminium and copper and (b) moderately
brittle materials. This process is not suitable for brittle
materials, because the following factors may cause cracking
632 13 Extrusion

of the brittle material when it is extruded by conventional pressure instead of being extruded into the atmosphere, as
hydrostatic extrusion process: performed in conventional hydrostatic extrusion. Due to the
presence of the high fluid pressure in the product receiving
(i) Hydrostatic extrusions are most frequently performed chamber, the ductility of a brittle material is improved. Thus,
at room temperature, although preheated billets are also a crack-free extrusion can be produced from a brittle material
used. by this process. The fluid pressure in the receiving chamber
(ii) Fall in the hydrostatic pressure towards zero at the die must be lower than that in the extrusion chamber, so that a
exit. resultant force is exerted on the material, forcing it to flow
out through the die. The back pressure in the receiving
chamber causes to increase the fluid pressure in the extrusion
13.10.3 Differential Pressure Hydrostatic
chamber needed to carry out the extrusion of billet. Hence
Extrusion
for the same extrusion ratio, die angle, pressure-transmitting
fluid and frictional condition, the same billet material would
When tensile tests are conducted on a number of specimens
require higher fluid pressure in the extrusion chamber for the
of a material in a chamber under varying environmental high
differential pressure hydrostatic extrusion than for the con-
pressure and reduction in area at fracture is measured for
ventional hydrostatic extrusion.
those specimens as a function of mean environmental pres-
sure, the measured reduction in area at fracture for that
material can be plotted against mean pressure. Such kinds of
13.10.4 Advantages of Hydrostatic Extrusion
plot for different material are shown in Fig. 13.25 (Boulger
and Wilcox 1964). The pressure at which the drastic change
• Since there is no container–billet friction, so the absence
in ductility occurs and improved ductility is obtained is
of friction reduces the extrusion pressure in hydrostatic
different for different materials (Fig. 13.25). The pressure,
extrusion, where after attaining the breakthrough pres-
not the temperature, is used here to cause the brittle-to-
sure, the curve of the extrusion pressure versus ram travel
ductile transition. Figure 13.25 shows that the ductility of
is nearly flat like that for indirect extrusion.
material A > that of material B > that of material C. Hence,
• Since the billet is subjected to uniform fluid pressure, it
we can conclude that the effect of hydrostatic pressure is to
does not upset to fill the bore of the container as it would
improve the ductility of the material being deformed.
in conventional extrusion. This means that billets of a
‘Hydrostatic extrusion with back pressure’ or ‘differential
large length-to-diameter ratio may be extruded by
pressure hydrostatic extrusion’ (also known as ‘fluid-to-fluid
hydrostatic extrusion in contrast to conventional
extrusion’) process is an extension of hydrostatic extrusion
extrusion.
process which was developed to extrude brittle material or
• Since friction is nearly absent or drastically reduced at
less ductile material. By this process, brittle materials have
the die–billet interface by the presence of the pressurized
been successfully extruded (Pugh and Low 1965). In this
fluid acting as lubricant, it is possible to use die with a
process, shown in Fig. 13.23, metal is extruded into a
very low semicone angle, a ( 20" ; which greatly reduces
hydraulic pressure chamber with a sufficiently high fluid
the internal redundant deformation, and thus, the extru-
sion pressure is reduced.
• There is no deformation of the billet like billet buckling
or barrelling in hydrostatic extrusion due to uniform
hydrostatic pressure in the extrusion chamber. For this
Material A reason, billets of irregular cross-section may be used;
Reduction in area at fracture

even coils of wire can be extruded by hydrostatic

100 extrusion.
• As the hydrostatic extrusion is most frequently performed
at room temperature, the extruded product has a good
Material B surface finish and dimensional accuracy.
Material C
• Very effective lubrication by the presence of the pres-
surized fluid causes very less wear of the tools.
• In differential pressure hydrostatic extrusion process, a
0 crack-free extrusion can be achieved from a low ductility
Mean pressure
or brittle billet due to improvement in the ductility by the
Fig. 13.25 Schematic illustration of the effect of mean pressure on presence of the high fluid pressure in the receiving
ductility chamber.
13.10 Hydrostatic Extrusion 633

13.10.5 Disadvantages of Hydrostatic Extrusion • The differential pressure hydrostatic extrusion process is
expensive and not suitable for industrial application.
• Compared to the conventional extrusion, the tooling has
to withstand a significantly higher radial pressure in the
hydrostatic extrusion and more stringent requirements
have to be placed on the design of tooling and the 13.11 Seamless Tube Production
material used for tooling. by Extrusion
• Extrusion pressures up to 3.1 GPa and up have been
utilized for conventional extrusion. Oils, acting as pres- For producing seamless tubes, extrusion is an ideal process,
sure media in hydrostatic extrusion, start to solidify at because it may produce tubes with dimensional tolerances as
such high pressure of 3.1 GPa. So, the maximum fluid close as those obtained by cold drawing (Morris 1961–
pressure of around 1.7 GPa currently exists because of 1962). There are two ways to produce tubes by extrusion:
the requirement (a) of the strong container that can sus-
tain high pressures and (b) that the fluid does not solidify (1) By means of an external long mandrel; or
at high pressures. (2) Without using a normal external mandrel.
• The pressurized oil limits the hot-working with the
hydrostatic extrusion process. When a mandrel is used, there are three possible kinds of
• Inherent limitation to hot-working and high fluid pressure mandrel arrangement, any one of which can be used in this
in the hydrostatic extrusion limit the obtainable extrusion method:
ratio, for example, less than 20:1 for steel and about
200:1 for soft metals like aluminium, whereas extrusion • Fixed.
ratios reach about 40:1 for steel and may be as high as • Floating.
400:1 for aluminium in case of conventional extrusion. • Piercing.
• Every billet has to be tapered to match the die angle for
sealing at the start of the hydrostatic extrusion. So, Fixed and floating types of mandrel are attached to the
laborious preparation or shaping of each billet is end of the extrusion ram, as shown in Fig. 13.26a, b. When
required. these types of mandrel are used, a hollow billet of round
• Length of extruded product is limited by the length of cross-section is used as a starting material and placed in the
back pressure chamber in the differential pressure extrusion chamber. Prior to extrusion, an axial hole in the
hydrostatic extrusion process. billet may be created by casting, by drilling or by hot

Fig. 13.26 Mandrel attached to (a)

the end of the extrusion ram,
a fixed mandrel, b Floating Fixed mandrel
mandrel

Dummy bloack Extrusion ram

(b)
Floating mandrel
634
2 1 3 4 5 6
Fig. 13.27 Direct extrusion of a hollow round billet for formation of
seamless tube; 1 wall of extrusion chamber; 2 ram; 3 hollow round
billet; 4 die; 5 extruded tube; 6 front end of fixed or floating mandrel
piercing using piercing mandrel in a separate press. The
deformation resistance of the billet should be the same
everywhere over its cross-section and the axial hole must be
concentric. The front end of the fixed or floating mandrel
passes freely through the whole hollow billet and die
opening and projects a definite distance past die. This forms
an annular clearance between the mandrel and the wall of die
orifice. Upon travel of the ram together with the dummy
block in the direction towards the die, the billet is forced
through the annular clearance and forms a tube, as shown in
Fig. 13.27. This annular clearance determines the wall
thickness of the extruded tube. The outside diameter of the
extruded tube equals the diameter of the die hole, and the
inside diameter equals the diameter of the mandrel. Care
must be taken to move the mandrel and ram in axial align-
ment with the extrusion chamber and the die so that con-
centric tubes are produced. Fixed mandrel tends to produce
eccentric tubes unless proper care is taken for accurate
alignment; on the other hand, floating mandrel centres itself,
which leads to production of tubes with concentricity within
1%. Hence, the floating mandrel is preferred to the fixed one
in modern applications. The drawback of using hollow billet
(a) Piercing
(b)
mandrel
Billet
Fig. 13.29 Extrusion of a solid round billet to produce a seamless tube using a piercing mandrel, a piercing by forcing the pointed front end of
the mandrel, b advancement of the ram for extrusion of the pierced billet over the mandrel to form a tube
13 Extrusion
Piercing mandrel
Dummy block
Extrusion ram
Fig. 13.28 Piercing mandrel
is that its internal wall will be oxidized during heating,
which may produce a tube having an oxidized inner surface.
A more satisfactory method to produce extruded tube is to
use a solid ingot or billet with a corrugated or round
cross-section, which is pierced and extruded in one step
using a piercing mandrel in a double-action extrusion press.
The piercing mandrel is shown in Fig. 13.28. This technique
is widely used for non-ferrous metals and has been applied
to metals exhibiting particularly poor plasticity. Most fre-
quently, the piercing mandrel is driven by a separate
hydraulic cylinder from the one which operates the ram. The
piercing mandrel moves independently but coaxially with
the ram. After the hot ingot or billet is placed into the
extrusion chamber, the first step in the operation is to upset it
with the ram while the piercing mandrel is pulled back into
the ram. Next, the pointed front end of the mandrel is forced
into and through the billet to pierce it, as shown in
Fig. 13.29a. Subsequent advancement of the mandrel into
the die ejects a metal plug through the die. Then the ram
together with the dummy block travels in the direction
towards the die and extrudes the pierced billet over the
mandrel to form a tube, as shown in Fig. 13.29b. The main
advantages of this method are:
• Speedy operation.
• Non-requirement of hollow billets, which obviously will
cost more than the solid ones.
• Elimination of separate piercing operation, which makes
the process cheaper.
• Minimization of the oxidation problem.
13.11 Seamless Tube Production by Extrusion
Mandrel
Spider arms
Fig. 13.30 A three-aperture bridge die consisting of three thin spider
arms holding a short mandrel in position in the die orifice
The disadvantages are that the piercing presses are very
much larger in size and much more expensive than the
non-piercing type presses. Further, severe piercing operation
sometimes develops cracks and tears in the internal wall of
the billet, leading to defects in the extruded tube.
The other method of extruding tube without using an
external long mandrel is called welding-chamber method. In
this method, a solid billet and a bridge die (also known as a
porthole, spider-mandrel, or torpedo die) with a standard
ram are used. Figure 13.30 shows a three-aperture bridge die
consisting of three thin spider arms, which holds a short
mandrel in position in the die orifice. The mandrel is sup-
ported by the bridge. The normal external long mandrel used
in the above-mentioned two methods has been actually
replaced by this short built-in mandrel. The four-aperture
bridge die is also available, as shown in Fig. 13.31. To enter
the die, the hot metal is forced to flow around the central
bridge and sliced into separate segments while flowing
around the arms of the spider. The separate segments of
metal flowing through the ports of die are brought together
in a welding chamber surrounding the mandrel, where these
segments are immediately compressed by the tapered bear-
ing of the die and welded in the solid state to form a
Fig. 13.31 A four-aperture
bridge die
+ +
Exit face
635
seamless tube under the high pressures that are present in the
die-exit zone. The mandrel forms the inner surface of the
tube, while the die opening forms the outer surface. Since
the separate metal segments are pressure welded within the
die, where they are not exposed to air and remain clean, a
perfectly sound weld will be obtained. This solid-state weld,
if properly made, is undetectable in either appearance or
performance. It has been seen that seamless tubes produced
by porthole die extrusion are at least equivalent if not
superior to those extruded by other normal methods.
Unfortunately, lubricants cannot be applied in these
hot-working operations, because they will contaminate the
surfaces to be welded and prevent to obtain sound welding
in the die-exit zone. The welding-chamber method is
therefore restricted to materials, such as aluminium and
magnesium alloys that can be extruded without lubrication
and that can readily be pressure welded. In addition to the
formation of seamless tube, bridge-die extrusion is used for
production of hollow unsymmetrical shapes in aluminium
alloys.
13.11.1 Extrusion of Cable Sheathing
In extrusion of cable sheathing, the cable replaces the
external long mandrel used for the production of normally
extruded seamless tubes. Hence, the principle of cable
sheathing is that the cable extends through the centre of a
circular die orifice and forms an annular space through
which the metal being extruded flows to form the sheathing.
Let us consider lead sheathing of cable by direct extrusion
process with a vertical press, as shown in Fig. 13.32. Liquid
lead metal is poured into the extrusion chamber, and steam is
passed through the square cut holes to cool and solidify the
metal. The ram is brought downwards to contact the top
surface of the solidified lead. Then the ram is further moved
to apply pressure on the metal but its downward vertical
movement must be synchronized with forward horizontal
Welding A
Mandrel chamber
Bridge
A
Cross section A-A Entrance face
636 13 Extrusion

the billet through square-faced dies in plane-strain condition

Square cut holes
for passing steam
Steam
in which frictionless condition along the container wall is
assumed. The following analyses will be the same for indi-
rect and direct extrusion processes as long as there is no
Piston
friction at the billet–container interface. Deformation is
considered under plane strain condition, because it is the
assumption of slip-line field theory. In the following analy-
ses, the plane-strain extrusion pressure in frictionless con-
dition is estimated using slip-line field theory and compared
with that required for an ideal homogeneous deformation, so
that the effect of redundant deformation becomes apparent.
Steam
Lead

Cable 13.12.1 50% Plane-Strain Frictionless Extrusion

Figure 13.33a shows direct extrusion of the billet through

Fig. 13.32 Lead sheathing of cable by a direct vertical extrusion press
square-faced dies with the formation of dead zone just prior
to the entry plane of the die, in which frictionless condition
along the container wall is assumed. The reduction in
cross-sectional area of the work-piece, r; is assumed to be
50%; i.e. r ¼ 0:5: Let w is the width of the work-piece,
which remains constant in plane strain, i.e. w ¼ constant. If

movement of the cable through the die orifice, from left to (a) α - line β - line
right in Fig. 13.32. Hence, lead is extruded over the cable as
a hollow tube through the annular clearance between the
cable and the wall of circular die orifice. When lead is still A
0 H Dead metal zone
left in the chamber, extrusion is halted and liquid lead is
=
φ

further poured into the chamber. This addition will cause M

O
partial melting of the remaining solid lead, which allows σ1 = 0
surface oxides to float to the top. Subsequently, the metal is h1 B G h2
resolidified to produce a continuous billet, which can readily σL v1 = 1 45º v2 = 2v
1
be extruded to produce the next element of tubular sheath for
cable. In this manner, an endless continuously long sheath- O'
ing without any joint can be produced. Rigid
45º
Dead metal zone
A' 45º

13.12 Application of Slip-Line Field

to Steady-State Motion (b)
v2
The significance of velocity in slip-line field evaluation of v1
metal working processes has already been told in Sect. a
O d
10.5.3 in Chap. 10. In the following text, we shall consider
the application of slip-line field theory to plane strain fric-
tionless extrusion through square die for two different con-
ditions of reductions. In the following analyses, it is assumed
b c
that there is no friction at the interface between the billet and
the container wall. Such frictionless condition along the
m
container wall may easily be achieved by inverted extrusion
process using square-faced dies and no lubrication, because Fig. 13.33 a Slip-line field and b the corresponding hodograph for
there is no relative movement between the billet and the 50% reduction in cross-sectional area of the work-piece in plane–strain
container. However, we have considered direct extrusion of frictionless extrusion through square dies
13.12 Application of Slip-Line Field to Steady-State Motion 637

h1 is the thickness of billet before extrusion and h2 is the the velocity discontinuity is given by the vector .!am ; where
/ .!/ // .!//
thickness of the product after extrusion, then / am / ¼ / ab /: The resultant velocity of this particle is .!
Om :
A1 & A2 wðh1 & h2 Þ h2 When the particle crosses the line AB at B, the velocity
r¼ ¼ ¼ 1 & ¼ 0:5:
A1 w h1 h1 discontinuity is given by the vector !
ac; since the tangent at
ð13:50Þ
h1 B has rotated through 90°. The resultant velocity of this
) ¼2 .!
h2 particle is Oc : However, as soon as this particle crosses the
boundary AB; it encounters shearing along BO and then
(a) Construction of the Slip-Line Field: again moves in the horizontal direction. In crossing the slip
line BO, the particle undergoes another velocity disconti-
The slip lines must meet the frictionless container wall at .!
nuity, which is parallel to BO, and given by the vector cd :
45" : They must meet the centre-line of the billet also at 45°. The final velocity of the particle is in the direction of Oa
Thus, it is seen that two radial fans centred on O and O0 .! .! .!
extended and given by the vector Od ; since Oc þ cd ¼
would complete the field, as shown in Fig. 13.33a. .! / / / /
/ .!/ / .!/
Od : Obviously, / Od /=/ Oa / ¼ 2: Since the velocity of
(b) Velocity Vector Diagram or Hodograph: billet at the entry plane is v1 and that at the exit plane is v2 ;
.! .!
so Oa ¼ v1 and Od ¼ v2 ; and we get
The velocity at each point in a plastically deforming region
can be graphically represented usually by drawing a hodo- v2 =v1 ¼ 2 ð13:51Þ
graph. A hodograph is a diagram giving velocity vectors
appropriate to any point in the slip-line field. Since the The lower half of the extrusion will also contribute to the
velocity of the tool movement is known, i.e. the boundary final velocity in extrusion, which must be v2 =v1 ¼ 2. From
velocity, a vector diagram giving velocities at all points (13.50) and (13.51), it is seen that h1 =h2 ¼ v2 =v1 ; from
inside the deforming metal can be drawn. From the hodo- which we conclude that the chosen slip-line field is com-
graph, the compatibility of the chosen slip-line field with patible with the velocity boundary conditions, because equal
velocity boundary conditions can be seen directly. It may be volumes of material must pass a given point per unit time,
noted that the slip line, which is boundary between rigid and i.e. wh v
1 1 ¼ wh v
2 2 :
plastic regions, is a line of velocity discontinuity and that the
magnitude of velocity discontinuity is constant along this (c) Stress Determination from the Slip-Line Field:
slip line.
With reference to the upper half of the deformation pro- It may be recalled that within the slip field, the shear yield
cess (Fig. 13.33a), metal to the left of AB moving along the stress k is constant everywhere and the hydrostatic pressure
billet–container interface towards A, with velocity v1 ¼ 1; rm varies from point to point with change in direction of the
.! slip lines. Since here the slip lines are at 45" to the hori-
i.e. with unit velocity, is represented by the vector Oa on the
zontal, the principal stresses r1 and r2 are, respectively,
hodograph, as shown in Fig. 13.33b. As a metal particle
horizontal and vertical. Let us consider a point G on the
crosses the velocity discontinuity line AB, it undergoes a
boundary slip line OB; and at point G the algebraically
sudden shearing in a direction tangential to the AB line at the
largest principal stress acting horizontally is ðr1 ÞG ¼ 0;
point of crossing. It no more moves in the horizontal
because the point G is on the exit plane (although r1 ¼ 0;
direction, but slides along the line AO; because it is con-
but the other principal stress r2 is negative). The boundary
strained by the dead metal. The change in velocity at any
slip line OB is a b-line because it lies at 45" to the left from
point is represented by a vector that is tangential to the
the direction of the algebraically largest principal stress r1 ;
velocity discontinuity line at that point. The velocity dis-
.! whereas the curved slip line GH is an a-line, since it departs
continuity at point A is represented by the vector ab ; since to the right from the direction of r1 by the same angle. This
.! .! .!
this vector is tangential to AB at A. Now, Oa þ ab ¼ Ob ; means that in the centred fan AOB; the a-lines are circum-
which is the resultant velocity of the particle moving along ferential, and the b-lines radial. One can easily note that r1 ;
the billet–container interface and must be parallel to the passes through the first and third quadrants formed by a
shear plane AO: The magnitude of the velocity discontinuity right-handed a&b coordinate system.
is constant at all points on the line AB and equal to ab. At point G, from (10.40a) we get
Hence, a particle crossing the line AB at any other point will ðr1 ÞG ¼ ðrm ÞG þ k ¼ 0; ) ðrm ÞG ¼ &k:
undergo a velocity change equal in magnitude to ab with a /; which is the angle of inclination of the tangent to
direction tangential to the point of crossing. For example, for a-lines measured in the anticlockwise direction from the
a particle moving horizontally and crossing the line AB at M, x-axis; is chosen to be zero in the direction OB: Since OB is
638 13 Extrusion

straight, / does not vary between O and B: Hence, the value The influence of the flow–constraint or the effect of
of / at point G lying on OB is /G ¼ 0: redundant deformation is apparent from (13.53). Since plane
Since the tangent to the a-line rotates in a clockwise strain extrusion through frictionless container wall was
direction through an angle of p=2 radians between OB and assumed in deriving (13.52), therefore the increase in actual
OA; so at any point H on OA the value of / is /H ¼ & p2 : extrusion pressure (13.52) compared to the ideal extrusion
Now, along the a-line GH, from (10.47a) one can write pressure given by (13.53) is solely due to the effect of flow–
constraint. The actual extrusion pressure (13.52) is more
ðrm ÞH ðrm ÞG than twice that which would be expected if the influence of
& /H ¼ & /G ;
2k 2k the constraint was not taken into account (13.53).
ðrm ÞH p 1
Or, þ ¼ & & 0;
0 2k 2 1 2
* ðrm ÞG ¼ &k : 13.12.2 2/3 Plane-Strain Frictionless Extrusion
( )
1 p Here, the reduction in cross-sectional area of the work-piece,
) ðrm ÞH ¼ 2k & & ¼ &k & pk:
2 2 r; is assumed to be 2=3; i.e. r ¼ ðh1 & h2 Þ=h1 ¼ 2=3; since
for plane-strain condition, the stock width w ¼ constant.
At point H, from (10.40b):
Figure 13.34a, b show respectively the slip-line field and
ðr2 ÞH ¼ ðrm ÞH &k ¼ &2k & pk hodograph for plane strain extrusion through frictionless
" p# container wall.
¼ &2k 1 þ Let us consider a point G on the boundary slip line, as
2
seen in Fig. 13.34a. At point G, the algebraically largest
) The pressure on the boundary of dead-metal zone principal stress is ðr1 ÞG ¼ 0; because the point G is on the
(DMZ) is: exit plane. At point G, from (10.40a) we get
" p#
pDMZ ¼ &ðr2 ÞH ¼ 2k 1 þ : ðr1 ÞG ¼ ðrm ÞG þ k ¼ 0;
2
) ðrm ÞG ¼ &k:
Let the extrusion (ram) pressure be rL : Hence, equilib-
rium of forces will give (since the width, w ¼ constant):

rL h1 ¼ pDMZ ðh1 & h2 Þ (a)

" p#
¼ 2k 1 þ ðh1 & h2 Þ: 45º
2
" Ι
h1 p# β - line
* From (13.50) ¼ 2; ) rL 2h2 ¼ 2k 1 þ h2 ;
h2 2 α- line
" σ =0
p# h1
G 1
Or, rL ¼ k 1 þ ; σL v2
2 v1 45º h2
ð13:52Þ
rL 1 p
) ¼ þ ( 1:29
2k 2 4
y
The extrusion (ram) pressure being rL derived by (13.52)
45º
can be compared to the pressure required to deform a metal x
in an ideal homogeneous deformation without considering
the contribution due to friction and redundant deformation,
for which the work formula is given by (10.35b). Since the (b) v1 a
reduction in cross-sectional area is 50%, so O d
45º
Ideal ram pressure,

1
ðrL Þideal ¼ r0 ln ¼ r0 ln 2
1&r b c
& '
2k r0
¼ 0:693r0 ¼ 0:693 ' pffiffi ; * k ¼ pffiffi : v2
2= 3 3
ðrL Þideal 0:693
) ¼ ¼ 0:6 Fig. 13.34 a Slip-line field and b the corresponding hodograph for
2k 1:155 two-third reduction in cross-sectional area of the work-piece in plane–
ð13:53Þ strain frictionless extrusion through square dies
13.12 Application of Slip-Line Field to Steady-State Motion 639

The values of angle / at points I and G in the slip-line for larger reduction in cross-sectional area, the ratio of
field diagram are respectively rL =ðrL Þideal decreases. It implies that higher the reduction r;
the lower is the load required or energy consumed for
p 3p
/I ¼ ; and /G ¼ : redundant deformation and higher will be the efficiency of
4 4 the working process.
where / is the angle of inclination of the tangent to a-lines
measured in the anticlockwise direction from the x-axis:
Here, IG is an a-line, since it departs to the right from the 13.13 Upper-Bound Solution
direction of the algebraically largest principal stress r1 : for Plane-Strain Frictionless Extrusion
Hence, along the a-line IG, from (10.47a) one can write
Let us obtain an upper-bound solution for extrusion under
ðrm ÞI ðrm ÞG plane-strain frictionless condition. Figure 13.35a, b shows
& /I ¼ & /G ;
2k 2k respectively an upper-bound field and the corresponding
ðrm ÞI p 1 3p 0 1 hodograph for plane strain frictionless extrusion through
Or; & ¼ & & ; * ðrm ÞG ¼ &k: :
2k 4 2 4 conical converging die of included angle 2a; which is
( ) assumed to remain constant. Only half of the upper-bound
1 3p p
) ðrm ÞI ¼ 2k & & þ field is shown in Fig. 13.35a, which shows two planes of
2 4 4 velocity discontinuity, AB and BC. Let, the initial entry
( )
1 p velocity of the metal into the die is v1 ; and the exit velocity
¼ 2k & & ¼ &k & pk:
2 2 of the metal from the die is v2 ; where v2 [ v1 ; because the
exit velocity is increased due to reduction in cross-sectional
At point I, from (10.40b): ðr2 ÞI ¼ ðrm ÞI &k ¼
" p# area of the initial billet. Let, the velocity in triangle ABC is
&2k & pk ¼ &2k 1 þ represented by v3 : The hodograph is constructed by drawing
2
If the extrusion (ram) pressure is rL ; the equilibrium of horizontal vectors that represent v2 and v1 ; and a vector
forces will give parallel to AC representing v3 ; where all of them start at the
2 3 origin. The velocity discontinuity along the plane AB is v.13 ;
rL h1 ¼ &ðr2 ÞI ðh1 & h2 Þ
" p#
¼ 2k 1 þ ðh1 & h2 Þ; (a)
2 & '
" p # h1 & h2
Or; rL ¼ 2k 1 þ α
2 h1
" ( ) A
p# 2 h1 & h2 2
¼ 2k 1 þ ' ; *r¼ ¼ : θ –α
2 3 h1 3
rL " p# 2 h1 v2
σL v1
) ¼ 1þ ' ¼ 1:71 2 α +ψ
2k 2 3 C
ð13:54Þ θ h2
ψ 2
Again according to (10.35b), the extrusion pressure in an
ideal homogeneous deformation without considering the B
contribution due to friction and redundant deformation,
when the reduction in cross-sectional area is r ¼ 2=3; is (b)
v1 v2
Ideal ram pressure, α ψ v32*
180º – θ θ
1
ðrL Þideal ¼ r0 ln ¼ r0 ln 3 ¼ 1:0986 r0
1 & ð2=3Þ
2k
¼ 1:0986 ' pffiffi
2= 3 θ –α
ðrL Þideal 1:0986 v13*
) ¼ ¼ 0:95 ð13:55Þ
2k 1:155 v3
The actual extrusion pressure (13.54) is 1.8 times that
Fig. 13.35 a An upper-bound field for plane–strain frictionless
which would be expected if the influence of the constraint extrusion through conical converging die of included angle 2a; and
was not taken into account (13.55). Further, we notice that b the corresponding hodograph
640 13 Extrusion

which is the vector difference between v1 and v3 and that v.32 v.

¼ 13 ;
along the plane BC is v.32 ; which is the vector difference sin h sin w
between v3 and v2 : v. sin h
From the diagram in Fig. 13.35a, we get the following: Or, v.32 ¼ 13
sin w
h1 v1 sin a sin h
AB ¼ ð13:56Þ ¼ ð13:62Þ
2 sin h sin w sinðh & aÞ
BC AB
In DABC; ¼ ; v.32 v2
sinðh & aÞ sinðw þ aÞ Again; ¼
sin a sin½180 & ðw þ aÞ*
"

So, using (13.56) we can write v2

¼ ;
sinðw þ aÞ
h1 sinðh & aÞ
BC ¼ ð13:57Þ v.32 sinðw þ aÞ
2 sin h sinðw þ aÞ Or, v2 ¼
sin a
h2 v1 sin h sinðw þ aÞ
Again; BC ¼ ð13:58Þ ¼ ð13:63Þ
2 sin w sin w sinðh & aÞ
So, equating (13.57) with (13.58) for BC; we get [from (13.62)]

h2 h1 sinðh & aÞ v1 sin w sinðh & aÞ

¼ ; ) ¼ ð13:64Þ
2 sin w 2 sin h sinðw þ aÞ v2 sin h sinðw þ aÞ
h2 sin w sinðh & aÞ
Or, ¼ ð13:59aÞ From (13.59a) and (13.64), it is seen that h2 =h1 ¼ v1 =v2 ;
h1 sin h sinðw þ aÞ
which satisfies the velocity boundary conditions, because
If the reduction in cross-sectional area of the work-piece equal volumes of material must pass a given point per unit
of unit width is given by r ¼ ðh1 & h2 Þ=h1 ; then in terms of time, i.e. h1 v1 ¼ h2 v2 ; for the work-piece of unit width.
the reduction in area, r; (13.59a) can be written as Now from (10.61), the rate of internal energy consump-
tion caused by the internal flow field is
h2 sin w sinðh & aÞ
1&r ¼ ¼ ð13:59bÞ dðW:D:Þ 0 1
h1 sin h sinðw þ aÞ ¼ k v.13 / AB þ v.32 / BC ð13:65Þ
dt
sinðh & aÞ sinðw þ aÞ
) ¼ ð1 & r Þ ; Again using (13.56), (13.57), (13.61) and (13.62), we can
sin h sin w write (13.65) as follows:
sin h cos a & cos h sin a
Or,
sin h
sin w cos a þ cos w sin a
¼ ð1 & r Þ ;
sin w

Or, cos a & cot h sin a ¼ ð1 & r Þfcos a þ cot w sin ag;

Or, cot h sin a ¼ cos a & ð1 & r Þ cos a & ð1 & r Þ cot w sin a
¼ r cos a & ð1 & r Þ cot w sin a; ð13:66Þ

Again, the rate of external work done by the extrusion

) cot h ¼ r cot a & ð1 & r Þ cot w ð13:60Þ
(ram) pressure rL ; for the work-piece of unit width, is:
Again from the hodograph (velocity vector diagram) in
Fig. 13.35b, we get the following: dðW:D:Þ h2 v 2 h1 v 1
¼ rL ¼ rL ð13:67Þ
dt 2 2
v.13 v1
¼ ;
sin a sinðh & aÞ
v1 sin a
Or, v.13 ¼ ð13:61Þ
sinðh & aÞ
13.13 Upper-Bound Solution for Plane-Strain Frictionless Extrusion 641

Equating (13.66) with (13.67) for dðW:D:Þ=dt, we obtain
ð13:68Þ
Example
Suppose the reduction in cross-sectional area, r; of the
work-piece of unit width is 1=2; i.e. r ¼ ðh1 & h2 Þ=h1 ¼
1 & ðh2 =h1 Þ ¼ 1=2; or ; h1 =h2 ¼ 2; and semicone die angle,
a ¼ 30" :
friction at billet–chamber and billet–die interfaces is
(a) 0.05, (b) 0.15 and (c) 0.4. Neglecting the redundant
deformation, determine the maximum load required at the
start of the extrusion for (a), (b) and (c).
Solution
Given that the billet diameter before extrusion is D1 ¼
150 mm, and that after extrusion is D2 ¼ 50 mm, semicone
angle of die is a ¼ 60" ; average deformation resistance of
aluminium is r !0 ¼ 60 MPa ¼ 60 N/mm2 ; and the length of
the billet is L & l ¼ 380 mm (where L is the length of the
billet plus the length of working zone of die, measured from
the exit plane of deformation zone). Hence, the length of
working zone of die is:

If we further assume that h ¼ 70" ; then from (13.60): l ¼ ½ðD1 & D2 Þ=2* cot a
¼ ½ð150 & 50Þ=2* cot 60" ¼ 28:87 mm:
" "
cot 70 ¼ 0:5 cot 30 & ð1 & 0:5Þ cot w
Therefore, L ¼ 380 þ 28:87 ¼ 408:87 mm:
Or; 0:36397 ¼ 0:5 ' 1:732 & 0:5 cot w;

0:866 & 0:36397 (a) When the coefficient of friction, l ¼ 0:05; B ¼

) cot w ¼ ¼ 1:00411; l cot a ¼ 0:05 cot 60" ¼ 0:0289: Now, from (13.31)
0:5
Or, w ¼ 44:8825" : the sticking–sliding boundary is:
& '
D1
So; w þ a ¼ 74:8825 " xS ¼
4l
* "& '(& '2B ) #+
and h & a ¼ 40" : pffiffi 1þB D1
ln 1= 3l &1 & 1
B D2
1 1 & '
Now; þ ¼ 3:12349: D1 & D2 150
sin h sinðh & aÞ sin w sinðw þ aÞ þ cot a ¼
2 4 ' 0:05
* "& '(& ) #+
From (13.68), we get pffiffi 1 þ 0:0289
'
150 2'0:0289
ln 1= 3 ' 0:05 &1 & 1
rL sin 30" 0:0289 50
¼ ' 3:12349
2k 2 þ 28:87 ¼ 1647:53mm:
¼ 0:78087:
Since xS [ L; so there will be sliding friction over the
Taking different values of h; and proceeding in the way entire billet–chamber interface. Hence, (13.22) can be taken
similar to the above, it can be shown that the lowest value of to determine the maximum load, PL ; required at the start of
rL =2k ( 0:78; is obtained when h ( 72" ; provided the the extrusion, which is:
reduction, r ¼ 50%; and the semicone die angle, a ¼ 30" : *"& '(& '2B ) #
pD21 1þB D1
PL ¼ r
!0 &1 & 1
4 B D2
13.14 Solved Problems (
2B
) ,
exp f2L tan a & ðD1 & D2 Þg þ 1
D1
13.14.1. A cylindrical aluminium billet of 150 mm diameter - (& ' )
pð1502 Þ 1:0289 $ 0:0578 %
and 380 mm length is extruded by direct extrusion process ¼ ' 60 ' 3 &1 &1
4 0:0289
to a final diameter of 50 mm through a conical converging ( ) ,
die with a total die angle of 120" under different frictional 0:0578
exp fð2 ' 408:87Þ tan 60" & ð150 & 50Þg þ 1
conditions, as mentioned below. The average deformation 150
resistance of aluminium is 60 MPa. Assume that there is no ¼ 3409303:727 N ¼ 3:41 MN:
sticking friction along the die land and the coefficient of
642 13 Extrusion

"& '(& '2B ) #

(b) When the coefficient of friction, l ¼ 0:15; B ¼ 1þB D1 4 pD21
l cot a ¼ 0:15 cot 60" ¼ 0:0866: Now, from (13.31) PL ¼ r
!0 &1 þ pffiffi ðL & lÞ
B D2 3D1 4
the sticking–sliding boundary is: "& ' (& '2'0:231 )
1 þ 0:231 150
& ' ¼ 60 ' &1
150 0:231 50
xS ¼ ) & '
4 ' 0:15 4 p ' 1502
* "& '( & '2'0:0866 ) #+ þ pffiffi ' 380 '
pffiffi 1 þ 0:0866 150 3 ' 150 4
ln 1= 3 ' 0:15 &1 &1
0:0866 50 ¼ 9939331:842N ¼ 9:94MN:
þ 28:87 ¼ 243:7 mm:
13.14.2. A 1-m-long cylindrical aluminium alloy billet of
Since L [ xS [ l; so the mixed sliding–sticking frictional 300 mm diameter is extruded at 650 K to a rod of 75 mm
condition prevails at the billet–container interface, i.e. full diameter. It is extruded at a ram speed of 25 mm/s with poor
sticking friction occurs from x ¼ L (the entry to the lubrication through a square die in direct extrusion process.
chamber) to x ¼ xS (sticking–sliding boundary) and the The coefficient of friction is 0.3, and the average flow stress
$ %0:15
rest portion undergoes sliding friction. Hence, (13.34b) can !0 ¼ 200 !e_ tE
of the alloy at that temperature is given by r
be taken to determine the maximum ram pressure, rL ; which MPa, where !e_ tE ; is time-average extrusion true strain rate.
is: Neglecting the redundant deformation and the temperature
change of the billet, compute the following:
( )
1 4ð L & x S Þ
!0 pffiffi þ 1 þ pffiffi
rL ¼ r (a) Maximum load required at the start of the extrusion.
3l 3D 1
( ) (b) Work done in extruding the billet.
1 4
¼ 60 ' pffiffi þ 1 þ pffiffi ð408:87 & 243:7Þ
3 ' 0:15 3 ' 150 Solution
¼ 443:518 N=mm2
(a) Since extrusion occurs through a square die with poor
) Maximum load required at the start of the extrusion lubrication, so a dead zone with a semicone angle, a ¼
2 45" is assumed to form in the front of billet.
(13.36), PL ¼ rL ' pðD1 =2Þ

¼ 443:518 ' p ' ð75Þ2 N ¼ 7837610 N ¼ 7:84 MN: Therefore, cot a ¼ 1; and B ¼ l cot a ¼ l ¼ 0:3:
Given that the billet diameter before extrusion is D1 ¼
300 mm, and that after extrusion is D2 ¼ 75 mm, the coef-
(c) When the coefficient of friction, l ¼ 0:40; B ¼ l cot a ¼ ficient of friction is l ¼ 0:3; the ram speed is vram ¼
0:4 cot 60" ¼ 0:231: Now, from (13.31) the sticking– 25 mm/s; and the length of the billet including the dead zone
sliding boundary is: is L ¼ 1000 mm, in which the length of the dead zone is:
& ' l ¼ ½ðD1 & D2 Þ=2* cot a ¼ ðD1 & D2 Þ=2
150
xS ¼ ¼ ð300 & 75Þ=2 ¼ 112:5 mm:
4 ' 0:4
* "& '( & ' ) #+
pffiffi 1 þ 0:231 150 2'0:231 Equation (13.48b) can be taken to determine the
ln 1= 3 ' 0:4 &1 & 1
0:231 50 time-average extrusion true strain rate !e_ tE ; which is:
þ 28:87 ¼ &23:5 mm: 2
& '
_!etE ¼ 12vram D1 tan a ln D1
Since xS \l; so there will be full sticking friction over the D31 & D32 D2
2
& '
entire billet–container interface. Hence, (13.28a) can be ð12 ' 25 ' 300 Þ tan 45" 300 &1
¼ ln s
taken to determine the maximum load, PL ; required at the 3003 & 753 75
start of the extrusion, which is: ¼ 1:41s&1
13.14 Solved Problems 643

) Average flow stress, Given that D2 ¼ 20 mm, and the interface friction factor,
$ %0:15 m ¼ 0.1.
!0 ¼ 200 !e_ tE
r ¼ 200 ' ð1:41Þ0:15
Reduction in area, r ¼ ðA1 & A2 Þ=A1 ¼ 1 & ðD2 =D1 Þ2
¼ 210:578 MPa or N=mm2 4pffiffiffiffiffiffiffiffiffiffi
Or, ðD1 =D2 Þ ¼ 1 1 & r :
Now, from (13.42) the sticking–sliding boundary is: D1 D2 1 1
) ¼ pffiffiffiffiffiffiffiffiffiffi ¼ 10 ' pffiffiffiffiffiffiffiffiffiffi mm:
& ' * "& '(& '2l ) #+ 2 2 1&r 1&r
D1 pffiffi 1þl D1
xS ¼ ln 1= 3l &1 & 1
4l l D2 From (13.9), optimum semicone angle of die is:
& ' sffiffiffiffiffiffiffiffiffiffiffiffi&
ffiffiffiffiffiffiffiffiffi'
ffiffiffi
ðD1 & D2 Þ 300
þ ¼ 3 D1
2 4 ' 0:3 aopt ¼ m ln
* "& '(& ' ) #+ 2 D2
pffiffi 1 þ 0:3 300 2'0:3 sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi&
ffiffiffiffiffiffiffiffiffi'
ffiffiffi
ln 1= 3 ' 0:3 &1 & 1
0:3 75 3 D1
¼ ' 0:1 ln
2 D2
þ 112:5 ¼ &106:543 mm: sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi&
ffiffiffiffiffiffiffiffiffi'ffiffiffi
D1
Since xS \l; so there will be full sticking friction over the ¼ 0:15 ln
D2
entire interface from the entry plane of the dead zone to the sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi&
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi'ffiffiffi
entry to the chamber. Hence, (13.41) can be taken to 1
¼ 0:15 ln pffiffiffiffiffiffiffiffiffiffi rad:
determine the maximum load, PL ; required at the start of the 1&r
extrusion, which is:
"& If x is the distance measured from the exit plane to the
'(& '2l ) entry plane of deformation zone, then from (13.10a):
1þl D1
PL ¼ r !0 &1
l D2
) D1 =2 & D2 =2
x¼
2 tan aopt
þ pffiffi f2L & ðD1 & D2 Þg
3D 1 D1 =2 & 10
"& '(& ' ) ¼ mm
pD12
1 þ 0:3 300 2'0:3 tan aopt
¼ 210:578 ' &1
4 0:3 75 D1 =2 & 10
) ¼ ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi%ffiffi mm:
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$ffiffiffiffiffiffiffip
4 p ' 3002 tan 0:15 ln 1= 1 & r
þ pffiffi ð1000 & 112:5Þ
3 ' 300 4
The values of the size of incoming stock, 0D1 =2; which
¼ 185376772:1 N ¼ 185:38 MN:
are equal to the die gaps at the entry to the die, for a wide
range of reductions, r; up to 50% are calculated at the cor-
(b) Work done in extruding the billet is: responding values of x and presented in Table 13.3.
Taking the values of x and 0D1 =2; from the last two
W:D: ¼ PL ' L ¼ 185376772:1 ' 1 N-m ¼ 185376772:1 J columns of Table 13.3, the trumpet-shaped die profile is
¼ 185:38 MJ: drawn with abscissa as x along the die axis and 0D1 =2; as
ordinate on two opposite sides of the die axis and shown in
13.14.3. It is desired to keep the optimum cone angle of a Fig. 13.36.
conical converging die for a wide range of reductions up to
50% with a product diameter of 20 mm in each case. 13.14.4. During the direct extrusion of a 1.5-m-long billet
Considering the interface friction factor to be 0.1, draw the with diameter of 500 mm through a conical converging die,
trumpet-shaped die profile for the above condition. To draw it was noted that the extrusion loads were, respectively,
the die profile, take coordinate points as many as possible, 100 MN and 50 MN when the ram moved one-third and
keeping the die exit at coordinate points of (0, +10) and (0, two-thirds distance from the entry to the container. The
−10) on two opposite sides of the die axis. average deformation resistance of the billet is 200 MPa.
Neglecting redundant deformation and assuming Coulomb’s
Solution law of sliding friction with a constant value of coefficient of
Let the diameters and the cross-sectional areas are respec- friction to be valid throughout the homogeneous deforma-
tively D1 and A1 for incoming stock, and D2 and A2 for tion process, calculate the value of coefficient of friction at
outgoing product. the billet–container interface.
644 13 Extrusion

Table 13.3 Values of x and 0D1 =2 at various values of r

Reduction in area, r
ðD1 =D2 Þ tan aopt x ðin mmÞ 0D1 =2 ðin mmÞ
pffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi$ffiffiffiffiffiffiffip
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi%ffiffi
¼ 1= 1 & r ¼ ðD1 =2 & 10Þ= tan aopt ¼ 010 ' ðD1 =D2 Þ
¼ tan 0:15 ln 1= 1 & r

0 1 0 010
0.01 1.005 0.027 1.834 010.05
0.02 1.01 0.039 2.607 010.1
0.03 1.015 0.048 3.208 010.15
0.04 1.021 0.055 3.723 010.21
0.05 1.026 0.062 4.183 010.26
0.06 1.031 0.068 4.605 010.31
0.07 1.037 0.074 5 010.37
0.08 1.043 0.079 5.372 010.43
0.09 1.048 0.084 5.728 010.48
0.1 1.054 0.089 6.069 010.54
0.15 1.085 0.111 7.636 010.85
0.2 1.118 0.13 9.073 011.18
0.25 1.155 0.148 10.46 011.55
0.3 1.195 0.165 11.83 011.95
0.35 1.24 0.182 13.23 012.4
0.4 1.291 0.198 14.68 012.91
0.45 1.348 0.215 16.21 013.48
0.5 1.414 0.232 17.85 014.14

Fig. 13.36 Trumpet-shaped die 15

profile, drawn taking the values of
x and 0D1 =2 from the last two
columns of Table 13.3
10
Incoming stock radius, D1/2 (mm)

0
0 2 4 6 8 10 12 14 16 18 20

Axial distance from die exit, x (mm)

-5

-10

-15

Solution 106 N/m2 : When the ram moved one-third from the entry to
Given that the billet diameter before extrusion is D1 ¼ 0:5 m, the container, the length of the billet is L1 & l ¼ 1 m, and for
the length of the billet is L & l ¼ 1:5 m (where L is the length two-thirds distance movement of the ram from the entry to
of the billet plus the length l of the working zone of die, the container, the length of the billet will be L2 & l ¼ 0:5 m:
measured from the exit plane of deformation zone). The Given that when L1 & l ¼ 1 m, the extrusion load is PL1 ¼
average deformation resistance of the billet is r !0 ¼ 200 ' 100 ' 106 N/m2 ; and when L2 & l ¼ 0:5 m; the extrusion
13.14 Solved Problems 645

load is PL2 ¼ 50 ' 106 N/m2 : Suppose, the initial 13.Ex.4. A round billet of 200 mm diameter undergoes an
cross-sectional area of the billet is A1 ; where indirect extrusion through a square die with poor lubrication
$ %
A1 ¼ pD21 =4 ¼ fðp ' 0:52 Þ=4g m: to produce an extrudate of 50 mm diameter. Assume that the
Let us consider (13.19d), which can be written in the coefficient of friction at the billet–die interface is 0.5. If the
following form: average flow stress of the billet material is 100 MPa, cal-
& ' culate the load required for extrusion. Neglect the redundant
rL1 & r!0 4l deformation.
ln ¼ ðL1 & lÞ
rl & r
!0 D1
4l 13.Ex.5. A steel billet of 100 mm diameter and 500 mm
¼ ' 1 ¼ 8l ð13:69Þ length undergoes an open-die extrusion through a lubricated
0:5
& ' conical converging die with a die angle of 100° to produce
r L2 & r
!0 4l an extrudate of 40 mm diameter. If the average flow stress of
ln ¼ ðL2 & lÞ
rl & r
!0 D1 the steel is 300 MPa and 5 min is taken for the extrusion
4l process, calculate the work done in extruding the billet and
¼ ' 0:5 ¼ 4l ð13:70Þ
0:5 the power utilized in the operation, neglecting the redundant
deformation. Assume that the coefficient of friction at the
where rL1 and rL2 are the extrusion pressures, respectively, billet–die interface is 0.1.
at a distance of L1 and L2 from the exit plane of the defor-
mation zone, rl is the extrusion pressure at the entry to the 13.Ex.6. A 400-mm-long cylindrical copper billet of
die and l is the coefficient of friction at the interface, which 175 mm diameter is extruded at 850 °C by direct extrusion
is to be determined. process at a ram speed of 50 mm/s through a conical con-
Subtracting (13.70) from (13.69), we get verging die with a total included angle of 90° to produce an
& ' extrudate of 75 mm diameter. The average flow stress of
rL1 & r
!0 $ %0:06
ln ¼ 4l; copper at that temperature is given by r !0 ¼ 240 !e_ tE
rL2 & r
!0
& ' & ' MPa, where !e_ tE ; is time-average extrusion true strain rate.
A1 rL1 & A1 r!0 PL1 & A 1 r!0
Or, ln ¼ ln ¼ 4l; Assume that there is no sticking friction along the die land
A1 rL2 & A1 r!0 PL2 & A 1 r!0
( 2 3 $ %) and the coefficient of friction at billet–chamber and billet–die
1 100 ' 106 & ðp ' 0:52 Þ=4 ' 200 ' 106
) l ¼ ln interfaces is 0.2. Determine the maximum load required for
4 50 ' 106 & fðp ' 0:52 Þ=4g ' ð200 ' 106 Þ the operation, neglecting the redundant deformation and the
1 60:73 ' 106 temperature change of the billet.
¼ ln
4 10:73 ' 106
1 13.Ex.7. When round billets of 100 mm diameter are
¼ lnð5:66Þ ¼ 0:43:
4 extruded through a conical converging die with semicone
angle of 60° to get extrudates of 60 mm diameter, the
chevron cracks are very frequently observed to form in
Exercise
extrudates. Justify it. Determine the maximum allowable
semicone angle of the die so that the formation of these
13.Ex.1. If an alloy is extruded at 50 mm/s from 150 mm
cracks may be avoided.
diameter to 50 mm diameter through a conical converging
die with a semidie angle of 60°, calculate the value of
13.Ex.8. Indicate the correct or most appropriate answer(s)
time-average extrusion true strain rate.
from the following multiple choices:
13.Ex.2. If D1 is the diameter and v1 is the velocity of a
cylindrical billet at the entry to a conical converging die (a) Which of the following respective combination of
having a semi-angle a; show that at any axial distance x from reduction and coefficient of friction will give the lowest
the entry plane of the die towards the exit plane of the optimum semicone die angle?
deformation zone, the true strain rate e_ of extrusion through
(A) 45% and 0.2; (B) 45% and 0.4;
4v1 D21 tan a
the die is e_ ¼ : (C) 30% and 0.2; (D) 30% and 0.4.
ðD1 & 2x tan aÞ3
(b) Extrusion ratio of 200:1 corresponds to the percentage
13.Ex.3. If the interface friction factor is 0.8 and the extru-
reduction in cross-sectional area of
sion stress during sound flow is the minimum for a conical
converging die of angle 80°, what will be the percentage (A) 99; (B) 99.25; (C) 99.5;
reduction in cross-sectional area during extrusion? (D) 99.75; (E) none of the above.
646 13 Extrusion

(c) The allowable extrusion ratio at a given working tem- 13.Ex.8. (a) (C) 30% and 0.2. (b) (C) 99.5. (c) (B) respec-
perature increases if the extrusion pressure and the speed of tively increases and decreases. (d) (D) both low (e) (D)
deformation in extrusion molten glass. (f) (A) Impact extrusion. (g) (B) Fir-tree
cracking. (h) (B) is independent of the billet length; (C) in-
(A) both increase;
creases with increasing the extrusion ratio.
(B) respectively increases and decreases;
(C) respectively decreases and increases;
(D) both decrease.
References
(d) Chevron cracking during extrusion through certain high
angle of conical converging die may occur most easily if the Avitzur, B.: Metal Forming: Process and Analysis, TMH edn., vol.
extrusion ratio and the friction at the die–job interface are: 1977, p. 165. McGraw-Hill, Inc., New York (1968)
Boulger, F.W., Wilcox, B.A.: The application of high pressure in
(A) respectively high and low; metal-deformation process. DMIC Rept., 199, 2 Mar 1964 (1964)
(B) respectively low and high; Boulger, F.W., Gehrke, J.H.: Metal working process development.
(C) both high; Third DMIC Status Report, no. 218, June 1965, pp. 41–60 (1965)
Bryant, A.J., Dixon, W., Fielding, R.A.P., Macey, G.: Isothermal
(D) both low. extrusion. Light Met. Age (1999)
(e) Lubricant used for hot extrusion of steel in Chadwick, R.: Developments and problems in package extrusion press
design. Met. Mater., 162–170 (1969)
Ugine-Sejournet process is Dieter, G.E.: Mechanical Metallurgy, p. 616. McGraw-Hill Book
(A) graphite; (B) lanolin; Company (UK) Limited, London (1988)
Gurney, F.J., DePierre, V. Trans. ASME, Ser. B J. Eng. Ind. 96, 912–
(C) molybdenum sulphide; (D) molten glass. 916 (1974)
Harris, J.N.: Mechanical Working of Metals: Theory and Practice,
(f) The manufacturing process for dry cell zinc cans is:
p. 160. Pergamon Press, Oxford, U.K. (1983)
(A) Impact extrusion; (B) Rolling; Hirst, S., Ursell, D.H.: Proc. Conf. Tech. Eng. Mfr, 149 (1958)
Kulkarni, K.M., Schey, J.A., Wallace, P.W., DePierre, V.: J. Inst. Met.
(C) Forging; (D) Cold drawing. 100, 33–39 (1972)
(g) The type of defects observed in extrusion is: Laue, K.: Isothermal extrusion. Z. Metallkd. 51, 491 (1960). (in
German)
(A) Earing; (B) Fir-tree cracking; Laue, K., Stenger, H.: Extrusion: Processes, Machinery, Tooling. ASM,
(C) Flash cracking; (D) Alligatoring. Metals Park, Ohio (Translated from the German) (1981)
Lewandowski, J.J., Lowhaphandu, P.: Effects of hydrostatic pressure
(h) The pressure required to maintain plastic flow of metal on mechanical behaviour and deformation processing of materials.
Int. Mater. Rev. 43(4), 145–187 (1998)
during indirect extrusion
Maier, J.: CVD coating technology for increased lifetime of aluminum
(A) increases with increasing the billet length; extrusion dies. In: Proceedings of the Eighth International Alu-
minum Extrusion Technology Seminar (ET ’04), Wauconda, IL, ET
(B) is independent of the billet length; Foundation, 18–21 May 2004 (2004)
(C) increases with increasing the extrusion ratio; Morris, F.W.: J. Inst. Met. 90, 101–106 (1961–1962)
(D) is independent of the extrusion ratio. Pearson, C.E.: The Extrusion of Metals. Chapman & Hall, London
(1953)
Pugh, H.LI.D., Low, A.H.: The hydrostatic extrusion of difficult metals.
Answer to Exercise Problems J. Inst. Met., 201–217 (1965)
Rogers, J.A., Rowe, G.W.: J. Inst. Met. 95, 257–263 (1967)
13.Ex.1. 7.9 s−1. Rowe, G.W.: Principles of Industrial Metal Working Processes. Edward
13.Ex.3. 55.6%. Arnold (Publishers) Ltd., U.K., p. 84, 201 (1977)
Saha, P.K.: Aluminium Extrusion Technology. ASM International,
13.Ex.4. 28.27 MN. Materials Park, Ohio (2000)
13.Ex.5. 2.53 MJ; 8.43 kW. Sejournet, J., Delcroix, J.: Glass lubricant in the extrusion of steel.
13.Ex.6. 44 MN. Lubr. Eng. 11, 389–396 (1955)
13.Ex.7. Since for 60° semicone angle of the die, D ¼ Smith, C.S.: J. Inst. Metals 76, 429 (1949–1950)
Takahashi, M., Yoneyama, T.: Isothermal extrusion of aluminum
Dm =Lc ¼ 3:46 [ 2; so the probability to form chevron alloys. In: Proceedings of the Eighth International Aluminium
cracking is high. In order to avoid the possibility of chevron Extrusion Technology Seminar (ET ’04), Wauconda, IL, ET
cracking, the maximum allowable semicone angle of the die Foundation, 18–21 May 2004 (2004)
is 30°. Wilcox, R.J., Whitton, P.W.: J. Inst. Met. 88, 145 (1959–1960)
 Drawing: Flat Strip, Round Bar and Tube
14

Chapter Objectives

• Drawing: definition, purposes, demerits and fields of application.

• Drawing stress with friction for work-hardening and non-strain-hardening strip
drawn through wedge-shaped dies. Frictionless ideal drawing stress. Maximum
reduction of area in a single pass with and without friction.
• Drawing stress with friction for strip drawn through cylindrical dies.
• Treatments of work metal prior to drawing, such as heat treatment (recrystallization
annealing, patenting), surface preparation (pickling, surface conditioning or coating),
and pointing or chamfering.
• Drawing equipments, such as draw bench, multiple-die continuous and single-die
block drawing machines, stepped-cone multiple-die drawing machine. Conical
converging drawing die, describing internal profile geometry and functions of dif-
ferent zones of die nib.
• Drawing of rod and wire: dry drawing and wet drawing. Drawing load and power
with friction, and with and without back tension, with and without consideration for
work hardening. Frictionless ideal drawing stress without back tension.
• Maximum reduction of area in a single drawing pass: for non-strain-hardening rod or
wire with and without friction and back tension, and for strain-hardening rod or wire
with friction and back tension.
• Redundant deformation, redundant work factor and its effect on drawing stress.
• Variation of drawing stress with die-cone angle, describing optimum cone angle,
dead-zone formation and shaving mode of flow.
• Tube drawing using fixed plug, floating plug and mobile mandrel. Stress and
maximum reduction of area in a single pass for plug drawing and mandrel drawing.
Tube sinking and stress for sinking. Stability condition of a floating plug.
• Application of slip-line field to frictionless plane-strain strip drawing through
wedge-shaped dies.
• Upper-bound solution for frictionless plane-strain strip drawing through wedge-
shaped dies, with an example.
• Problems and solutions.

© Springer Nature Singapore Pte Ltd. 2018 647

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_14
648
14.1 Introduction
Drawing is usually a cold working operation which involves
the shape change or the reduction in the cross-sectional area
of a workpiece, usually a flat strip, round bar or tube, by
pulling through a die with a tensile force applied at the exit
end of the die. The reaction of material with the die under the
application of tensile force develops two mutually perpen-
dicular compressive forces that cause most of the plastic
deformation. The drawing is somewhat similar to the process
of extrusion except that the workpiece in drawing is pulled
with tensile force applied at the exit end of the die, whereas
the workpiece in extrusion is pushed with compressive force
applied at the entry side of the die. Drawing is usually
performed at room temperature, but the temperature during
this operation will rise considerably due to heat generated
from large deformations usually involved in this process. An
important deviation is the warm working of tungsten to
produce incandescent lamp filament. To produce a desired
shape and/or size, most often the raw stock is successively
reduced by drawing with several passes through a series of
progressively smaller dies. Intermediate heat treatment or
annealing may be necessary to restore ductility so that the
workpiece can be further cold worked. Drawing is usually a
finishing operation, and the drawn products are either
applied directly in service or subjected to further processing,
like machining or bending, to get the desired size or/and
shape. Apart from obtaining the desired shape and size of the
product, the main purposes of cold drawing are:
(1) To obtain closer dimensional tolerances,
(2) To improve surface finishes and
(3) To improve the mechanical properties by strain hard-
ening; drawing usually increases the strength and
hardness of the metal.
It is claimed (Gokyü and Ōkubo 1964) that drawing with
superimposed vibrations reduces friction and wear of the
dies and improves surface finish of the product. But the
demerits of cold drawing are the requirement of higher
deformation load and the limitation of ductility in metal.
Cold drawing is applied as a finishing operation for large
quantities of rods, wires, tubes and special sections. The
starting metals for drawing are ferrous and non-ferrous
metals mostly in the form of rolled or formed sections, rolled
or extruded rods, welded pipes, and seamless rolled or
extruded pipes. Frequently, large round bars up to 150 mm
diameter or sometimes more are lightly cold-drawn to reduce
the diameter by 1.5 mm, with an objective to improve the
dimensional tolerance and surface finish. Similar light cold
reduction passes (sizing passes) are also given in the
14 Drawing: Flat Strip, Round Bar and Tube
production of angles, channels and strips. However, many of
the smaller-sized round bars are drawn to give larger
reductions of area that may go up to 50% reduction per pass.
Annealed wires may be drawn with 90% reduction in
sequential passes prior to their re-annealing. The final
diameter of some wires is 0.025 mm or even less, when they
are drawn through a large number of dies before arriving at
the final size and may be re-annealed for several times
between drafts. The draft is the amount of reduction in the
cross-sectional area of the workpiece per pass during
drawing operation. The outside diameter of a hypodermic
needle of stainless steel produced by cold drawing is about
0.25 mm. Most hot-worked (rolled or extruded) tubes are
cold-drawn single time or several times at room temperature,
some to wall thicknesses of only a few hundredths of a
millimetre. On the other hand, large hydraulic benches may
be used to cold-draw large storage cylinders with diameter of
0.5 m or more.
14.2 Strip Drawing Through Wedge-Shaped
Dies
Strip drawing is not so common production process as tube
drawing and rod or wire drawing, but it is probably the most
often studied deformation in the field of mechanics of metal
working. This section will discuss about the determination of
plane-strain drawing stress for wide flat strip drawn through
wedge-shaped dies using slab method. At first, drawing of
non-strain-hardening strip with and without friction will be
discussed and then drawing of strain-hardening strip with
friction will be covered. The drawing of strip through
wedge-shaped dies is shown in Fig. 14.1.
The exit plane of the deformation zone, i.e. the plane at
the exit side of the die where the reduction of the stock ends
(henceforth only called as the exit plane), is considered as
the origin of the coordinate system, shown by x = 0 in the
diagram, where x is the horizontal axis that increases from
the exit to the entry plane of the deformation zone, i.e. the
entry plane of the stock within the die (henceforth only
called as the entry plane). On the flat strip, the inclined dies
exert a pressure p normal to the die–strip interface, which
will be called the die pressure. Outward horizontal flow of
the material during the process of its deformation leads to
tangential shearing frictional stresses s at the die–strip con-
tact surfaces. Hence, the direction of the friction stresses
opposing the outward horizontal flow will always be towards
the entry plane. However, the presence of frictional shear
stress s leads to the longitudinal stress rx , in the horizontal
direction, where rx increases from the plane of entry to the
plane of exit. Let us take the thicknesses of the strip at the
14.2 Strip Drawing Through Wedge-Shaped Dies
Fig. 14.1 Stresses acting on an
elemental slab in the deformation
zone during plane-strain drawing
of a wide, flat strip through
wedge shaped dies of constant
angle
1
dh
2 σF
h1 h σx + dσx
1 dx
dh
2 µp
entry and exit planes to be h1 and h2, respectively. To make
the analysis simpler, the following assumptions are made.
(i) Material being drawn is assumed to be isotropic and
homogeneous.
(ii) Homogeneous deformation is assumed, i.e. internal
redundant work is neglected.
(iii) Elastic strain is neglected because plastic deformation
involved in drawing is quite large compared to
insignificant elastic deformation.
(iv) The original height of the strip, h1, is assumed to be
very much less than its width w, resulting in a negligible
lateral spread. Then the conditions approximate closely
to plane strain deformation, i.e. the strip is reduced in
thickness and extended in length but the width of the
strip remains nearly constant during deformation.
(v) For non-strain-hardening strip, it is assumed that
there is no strain hardening of the work-piece, i.e. the
plane strain flow stress or deformation resistance r00 of
the material being drawn remains constant.
(vi) Coulomb’s law of sliding friction holds well at the
contact surface between the dies and the flat strip,
wherever interface friction is considered. For cases of
friction, s ¼ lp; where, s is the tangential frictional
shear stress at the contact surface, l is the coefficient
of friction, and p is the die pressure on the flat strip
normal to the contact surface.
(vii) The coefficient of friction l is the same at all points on
the surface of contact between the dies and the flat
strip.
649
p
h2
w
µp α
(Drawing stress)
σx 2α
p
pcos α
p
x dx
x= 0
dx
cos α
(ix) No back tension or back pull is applied to the strip,
i.e. at the entry plane, rx ¼ 0:
(x) The strip is thin enough to assume that the die pres-
sure, p, remains constant through the thickness.
(xi) The horizontal longitudinal stress rx is constant across
the cross-section of the strip and is a principal stress
since no shear stress acts on this cross-section in the
vertical direction.
14.2.1 Drawing Stress with Friction
Let us determine the pulling stress exerted by the draw
bench grip for drawing a wide, flat non-hardening strip
metal through two wedge-shaped dies with a total included
angle of 2a; under sliding frictional condition.
Let us consider the state of stresses on a vertical slab
element of thickness dx inside the strip under the die.
According to free-body equilibrium approach, the horizontal
longitudinal stresses are, respectively, rx and rx þ drx at an
arbitrary distances x and x þ dx; from the exit plane, which is
taken as x ¼ 0. Figure 14.1 shows that these horizontal
stresses along with the die pressure p and friction stress lp
are acting on this slab element of thickness dx and width w,
whose height varies arbitrarily from h to h + dh. Consider-
ing the horizontal equilibrium of forces acting on this ver-
tical slab element, the horizontal longitudinal stress, rx , at
the exit plane can be determined. There are three force
components acting in horizontal direction along x-axis:
650 14 Drawing: Flat Strip, Round Bar and Tube

1. Due to change in horizontal longitudinal stress in the dx dx

positive direction of x, i.e. from the exit to entry side:
ðrx þ drx Þðh þ dhÞw % rx hw
¼ ðrx dh þ h drx þ drx dhÞw
2. Due to the die pressure at two interfaces in the direction
from the exit to entry side:
! "
dx
2p w sin a ¼ 2pw tan a dx ð14:2Þ
cos a
3. Due to the frictional stress at two interfaces in the
direction from the exit to entry side:
! "
dx
2lp w cos a ¼ 2lpw dx ð14:3Þ
cos a
For steady-state drawing conditions, the horizontal equi-
librium of forces acting on this vertical slab element in the
positive x-direction, i.e. from the exit to entry side, is
obtained by equating the summation of (14.1), (14.2) and
(14.3) to zero. Eliminating the constant width w, and
neglecting the term drx dh; as it is a product of two very
small quantities, this gives
rx dh þ h drx þ 2p tan a dx þ 2lp dx ¼ 0
pv dx w ¼ p cos a w % lp sin a w;
cos a cos a
Or; pv ¼ p % lp tan a ð14:6Þ
ð14:1Þ l and a are small quantities, and so l tan a ( 1; which can
be explained with typical values, such as l ¼ 0:05 and
a ¼ 10) ; then tan a ¼ 0:176; and l tan a ¼ 0:009 ( 1:
Therefore, lp tan a can be neglected and from (14.6) it can
be written as pv * p: Hence, p can be considered as the
principal stress.
Since the stresses required for plastic flow during working
operations are mainly compressive in nature, the principal
stresses r1 ; and r2 ; in Von Mises’ yielding criterion for plane
strain condition given by (1.88b), are considered to be posi-
tive, if they are compressive and negative when they are
tensile stresses. As the die pressure p is compressive in nature,
and the horizontal longitudinal stress, rx is tensile in nature,
therefore r1 ¼ p; and r2 ¼ %rx ; and (1.88b) then becomes
r1 % r2 ¼ p þ rx ¼ r00 ð14:7Þ
where, r00 = compressive flow stress in plane strain condi-
% #pffiffi &
tion = 2 3 + compressive flow stress in homogeneous
% #pffiffi &
strain condition = 2 3 r0 :
Now, denoting l cot a ¼ B; we get from (14.5) and
ð14:4Þ (14.7):

h d x   x   0   x 1  B   dh  0

Or , h d x   x   0 1  B    x  dh    x  B  x   0 1  B    x  dh

d x dh
  (14.8)
B  x   0 1  B  h

From the geometry, we can write dx ¼ dh=2 tan a; which
simplifies (14.4) as follows:
rx dh þ h drx þ p dh þ lp cot a dh ¼ 0
h drx þ ½rx þ pð1 þ l cot aÞ' dh ¼ 0 ð14:5Þ
Let, the vertical pressure exerted by the wedge-shaped
dies on the flat strip is pv. The vertical pressure pv is assumed
to be uniform throughout a transverse section and considered
as a principal stress. Equation (14.5) can be solved by
integration if a relationship between rx and p would be
found. For this, let us take the equilibrium of vertical forces
exerted by the die on the slab element, which is given by
Equation (14.8) is the basic differential equation of wide
strip drawing. This form of equation was first given by Sachs
et al. (1944) in 1944. Integrating (14.8), we get
1 ' (
ln Brx % r00 ð1 þ BÞ ¼ ln h þ C;
B
where C is an integration constant:
Or; Brx % r00 ð1 þ BÞ ¼ AhB ð14:9Þ
where A ¼ eBC , is a new integration constant, which can be
evaluated from the following boundary condition. This
condition is: at the entry plane where h ¼ h1 ; rx ¼ 0; since
there is no back tension (assumed). Thus, from (14.9) we get
14.2 Strip Drawing Through Wedge-Shaped Dies 651

r00 ð1 þ BÞ drx dh
A¼% : ¼% ð14:14Þ
hB1 r00 h
" ! "B #
1 h Integrating (14.14) between the lower limit of h = h1, at
) rx ¼ 0
%r0 ð1 þ BÞ 0
þ r0 ð 1 þ B Þ
B h1 the entry plane where rx ¼ 0; and the upper limit of h = h2,
" ! "B # at the exit plane where rx ¼ ðrF Þideal ; (say), we get the ideal
rx 1 þ B h
Or, 0 ¼ 1% ð14:10Þ drawing stress applied under frictionless condition for the
r0 B h1 reduction of height from h1 to h2, of a non-strain-hardening
strip metal, as follows:
rx is the direct pulling stress in the direction of drawing at any
arbitrary distance x from the exit plane, considered as the rx ¼Z
ðrF Þideal h¼h
Z 2
origin, x = 0, and rx varies with the position x. Equation drx dh
¼%
(14.10) shows the expression for the ratio of the working r00 h
rx ¼0 h¼h1
stress rx ; to the plane stress yield stress r00 , of the working
metal, which is very useful in plotting the results in a general h1
way without relating a particular metal. The deformation ) Ideal drawing stress, ðrF Þideal ¼ r00 ln ð14:15Þ
h2
stress for any given metal can easily be determined if its yield
stress is known. Further from this dimensionless ratio, one Since no additional work is required to overcome the
can quickly compare with the stress required for ideal friction, so for the same reduction in thickness of the strip,
deformation and get a measure of the process efficiency in the ideal drawing stress ðrF Þideal is less than the drawing
terms of frictional losses. Now, the die pressure, p, at any stress rF in frictional condition. For frictionless ideal
arbitrary distance x from the origin can also be evaluated from deformation, the strip drawing load, Pideal ; is given by
(14.10) using yielding criterion given by (14.7) as follows:
Ideal drawing load, Pideal ¼ ðrF Þideal ðwA2 Þ
" ! "B #
p rx 1þB h h1
¼1% 0 ¼1% 1% ð14:11Þ ¼ r00 wA2 ln ð14:16Þ
r00 r0 B h1 h2

Similar to rx ; p also varies with the position x. Equa-

tions (14.10) and (14.11) show that rx increases and p de-
14.2.3 Maximum Reduction of Area in a Single
creases as the arbitrary height h of the strip decreases from
Pass With and Without Friction
h1 to h2. Hence, at the exit plane, h = h2, rx ¼ rF ðsayÞ;
where rF is the drawing stress applied under sliding fric-
If r is the reduction of area in one pass then
tional condition for the reduction of height from h1 to h2, of a
non-strain-hardening strip metal. ðh1 % h2 Þw h2 h2
r¼ ¼1% or, ¼1%r
! "" ! "B # h1 w h1 h1
0 1þB h2 h1 1
) Drawing stress, rF ¼ r0 1% Or, ¼ :
B h1 h2 1 % r
ð14:12Þ Equations (14.12) and (14.15) can be written in terms of
If P is the drawing load, then reduction of area, r, for a non-strain-hardening strip metal
with friction and without friction (ideal condition), respec-
Drawing load, P ¼ rF ðw h2 Þ tively, as given below.
! "" ! "B #
0 1þB h2
¼ r0 w h2 1% With friction:
B h1 ! "
rF 1þB ' (
ð14:13Þ ¼ 1 % ð1 % r ÞB ð14:17Þ
r00 B

Frictionless ideal condition:

! "
ðrF Þideal 1
14.2.2 Frictionless Ideal Drawing Stress ¼ ln ð14:18Þ
r00 1%r
Suppose the dies are perfectly lubricated so that there is no It is possible to increase the reduction of area per pass in
interfacial friction, i.e. the coefficient of friction, l ¼ 0, and strip drawing till the drawn strip does not undergo tensile
so, B ¼ l cot a ¼ 0. Under this condition, (14.8) reduces to fracture ahead of the die. Since we have assumed that the
652 14 Drawing: Flat Strip, Round Bar and Tube

work metal does not strain harden, so the drawing stress for realistic than the flow stress considered at a mean value of
non-strain-hardening strip metal must be equal to or less than true strain. But when the work metal undergoes deformation
the uniaxial flow stress of the work metal, r0 ; to avoid at the initial stage after annealing, its rate of strain hardening
tensile fracture, and not the plane-strain flow stress r00 of the is relatively high. For such cases, or for any deformation
material being drawn, because the strip of finite width may where the metal work hardens rapidly, it is preferable to
freely undergo lateral contraction after drawing. Therefore, incorporate the relation showing the variation of stress with
when the maximum drawing stress is equal to r0 ; the strain in the basic differential equation given by (14.8). Let
maximum possible reduction of area, rmax, in one pass can us assume that the work-hardening strip is subjected to a
be achieved. back tension, rB, applied at the entry plane of die. Back
If ðrF Þmax is the maximum drawing stress at the exit tension is a horizontal tensile stress applied at the back side
plane, we get the maximum possible reduction of area, rmax, of the deformation zone.
in one pass for non-strain-hardening strip metal with friction Since the increment of true strain, de, can be defined by
from (14.17) as follows: the reduction in height, (−dh), based on the instantaneous
pffiffi ! " height, h, i.e. de ¼ %dh=h; so the (14.8) change to
ðrF Þmax r0 3 1þB ' (
¼ 0 ¼ ¼ 0:866 ¼ 1 % ð1 % rmax ÞB ; drx
0
r0 r0 2 B ¼ %de;
! " Brx % r00 ð1 þ BÞ
B
Or; 1 % ð1 % rmax ÞB ¼ 0:866 drx
1þB Or, ¼ r00 ð1 þ BÞ % Brx ;
) ! "*B1 de
B drx
) With friction: rmax ¼ 1 % 1 % 0:866 ) þ Brx ¼ r00 ð1 þ BÞ ð14:21Þ
1þB de
ð14:19Þ Multiplying both sides of (14.21) by expðBeÞ; and then
' ( integrating it between the lower limit of true strain e ¼
If ðrF Þmax ideal is the maximum ideal drawing stress at the
e1 ðsayÞ; at the entry plane, since the work metal has not yet
exit plane, the maximum possible reduction of area, ðrmax Þideal ;
been deformed and the upper limit of true strain e ¼ e2 ðsayÞ;
in one pass for non-strain-hardening strip metal in friction-
at the exit plane, we get
less ideal condition is obtained from (14.18) as follows:
' ( pffiffi ) * Ze¼e2 Ze¼e2
ðrF Þmax ideal r0 3 1 drx
¼ 0 ¼ ¼ 0:866 ¼ ln ; expðBeÞ de þ Brx expðBeÞ de
r00 r0 2 1 % ðrmax Þideal de
e¼e1 e¼e1
1 Ze¼e2
Or; ¼ expð0:866Þ
1 % ðrmax Þideal ¼ r00 ð1 þ BÞ expðBeÞ de
e¼e1
1 -) Z * )+ ,Z * .e¼e2
) Frictionless condition:ðrmax Þideal ¼ 1 % drx d drx
expð0:866Þ expðBeÞ de % expðBeÞ de de
de de de e¼e1
1
¼1% ¼ 0:579 ’ 58% Ze¼e2
2:377
ð14:20Þ þ Brx expðBeÞ de
e¼e1
) Theoretically maximum possible reduction in a single Ze¼e2
pass for non-strain-hardening strip metal is 58%. ¼ r00 ð1 þ BÞ expðBeÞ de; or,
e¼e1
Ze2 Ze2
14.2.4 Drawing Stress for Work-Hardening Strip
½expðBeÞrx 'ee21 % ½B expðBeÞrx ' de þ Brx expðBeÞ de
e1 e1
For heavily cold-worked strips, either the metal does not
practically have the capacity to further strain harden or the Ze2
rate of strain hardening is very low and steady. In such cases, ¼ r00 ð1 þ BÞ expðBeÞ de
the assumption of constant flow stress is practically accept- e1
able. However, it would be better if strain hardening of the
strip is included in the equations for drawing stress by Since at the entry plane, e ¼ e1 ; and rx ¼ rB (back ten-
replacing r00 with the mean plane strain flow stress r !00 ; cal- sion), and at the exit plane, e ¼ e2 ; and rx ¼ rF ; which is the
culated by means of (10.30), which is obviously more pulling or drawing stress, then
14.2 Strip Drawing Through Wedge-Shaped Dies 653

rF expðBe2 Þ % rB expðBe1 Þ Ze2

Ze2 rF expðBe2 Þ ¼ ð1 þ BÞ r00 expðBeÞ de ð14:25Þ
¼ ð1 þ BÞ r00 expðBeÞ de ð14:22Þ 0

e1 Let us assume a linear strain-hardening behaviour in the

The right-hand side of (14.22) may be evaluated for uniform plastic deformation region, which is approximately
different assumed stress–strain relationship. observed by many metals. Let us consider (14.25) for such
strain-hardening strips. Suppose the linear relation between
(a) Non-strain-hardening Strip the plane strain flow stress r00 and the plastic strain e is given
by
From (14.22), we can obtain the drawing stress for
r00 ¼ r001 þ ce ð14:26Þ
non-strain-hardening strip having constant plane strain flow
stress r00 , as given by (14.12). Since r00 ¼ constant, so it can where r001 ¼ the initial plane strain flow stress, when the
be taken outside the integrand of (14.22), which gives plastic strain e ¼ e1 ¼ 0: Now from (14.25) and (14.26), we
get
rF expðBe2 Þ % rB expðBe1 Þ ¼ ð1 þ BÞr00
expðBe2 Þ % expðBe1 Þ Ze2 / 0
ð14:23Þ rF expðBe2 Þ ¼ ð1 þ BÞ r001 þ ce expðBeÞ de
B
0
Since there is no back pull or back tension, so the hori- ) Z Z
zontal tensile stress at the entry plane is rx ¼ rB ¼ 0; and ¼ ð1 þ BÞ r001 expðBeÞ de þ ce expðBeÞ de
(14.23) becomes Z + Z , *e2
d
! " % ðceÞ expðBeÞde de
1þB de 0
rF expðBe2 Þ ¼ r00 ½expðBe2 Þ % expðBe1 Þ'; ) Z *e2
B 0 expðBeÞ expðBeÞ expðBeÞ
! ") * ¼ ð1 þ BÞ r01 þ ce % c de
1þB expðBe1 Þ B B B 0
Or, rF ¼ r00 1% ; ) *
B expðBe2 Þ 0 exp ð Be Þ exp ð Be Þ exp ð Be Þ e2
¼ ð1 þ BÞ r01 þ ce %c
Ze2 Zh2 B B B2 0
dh h1 ) *
Since de ¼ % ; or ; e2 % e1 ¼ ln ; 1þB 0 0 exp ðBe2 Þ c
h h2 ¼ r01 expðBe2 Þ % r01 þ ce2 expðBe2 Þ % c þ
B B B
e1 h1 h / 0
! "B 1þB
h1 h1 ) rF expðBe2 Þ ¼ r001 þ ce2 expðBe2 Þ
So; Be2 % Be1 ¼ B ln ¼ ln ; B *
h2 h2 0 expðBe2 Þ c
! "B %r01 % c þ
h2 B B
Or; ¼ expðBe1 % Be2 Þ:
h1 ð14:27Þ
! "
1þB Since at the exit plane, r002 ¼ r001 þ ce2 , substituting this
) rF ¼ r00 ½1 % expðBe1 % Be2 Þ'
B
! "" ! "B # into (14.27) and dividing by expðBe2 Þ; the drawing stress,
0 1þB h2 rF ; in terms of true strain, e2 ; is obtained as:
¼ r0 1%
B h1
1 þ B h/ 0 c0 / 0 c0 i
Drawing stress, rF ¼ r02 % % r01 % expð%Be2 Þ
ð14:24Þ B B B
ð14:28Þ
Hence, we see (14.24) is same as (14.12).
The strain-hardening behaviour for annealed metal in the
(b) Linear Strain-Hardening Strip uniform plastic deformation region of stress–strain curve
closely approximates an exponential relation between stress
Let us assume that there is no back tension. Since at the and strain, but the solution in such cases becomes cumber-
entry plane, the work metal has not yet been deformed as some. So, it is suggested to draw an approximate chord
well as there is no back pull, so we can take the true strain as through the stress–strain curve of exponential pattern so that
e ¼ e1 ¼ 0; and the horizontal longitudinal stress as rB ¼ 0; the solution for linear strain-hardening behaviour, such as
at the entry plane. With these considerations, (14.22) can be given by (14.28), can be applied.
simplified as follows:
654 14 Drawing: Flat Strip, Round Bar and Tube

14.3 Drawing Stress of Strip Through To obtain the stress required to draw strip through
Cylindrical Dies cylindrical dies, the horizontal equilibrium of forces acting
on the vertical slab element from the exit to entry side, given
The stress required for plane-strain drawing of a by (14.5), will be solved. Equation (14.5) can be rewritten as
strain-hardening wide, flat strip through cylindrical dies
dðrx hÞ þ pð1 þ l cot aÞ dh ¼ 0 ð14:29Þ
(dies of circular profile) with Coulomb’s sliding friction will
be derived in this section. The strip drawing through cylin- To determine drawing stress, (14.29) has to be solved for
drical dies has been shown in Fig. 14.2. The exit plane (of the die pressure first and for that the yielding condition given
the deformation zone) is considered as the origin of the by (14.7) is used to eliminate rx from (14.29) as follows:
coordinate system, shown by x = 0. in the diagram, where % &
x is the horizontal axis that increases from the exit plane to d hr00 % hp þ pð1 þ l cot aÞ dh ¼ 0 ð14:30Þ
the entry plane (of the deformation zone). In this, the contact
surface between the strip and die is a circular arc. In The radius of the die, denoted by R, is assumed to remain
Fig. 14.2, let us consider a vertical thin slab element of metal constant during deformation. Now the incremental height
of thickness dx located in the deformation zone of the strip dh of the strip in terms of R will be
(within the die gap) at an arbitrary angular position a from dh
the exit plane. This angle a may vary from a1 at the entry ¼ ðR daÞ sin a; or, dh ¼ 2R sin a da
2
plane, to a2 at the exit plane, where a2 ¼ 0: Further, the
thickness of this infinitely thin slab element makes an angle Substitution for dh into (14.30) gives
da at the centre of the circular die. The horizontal longitu- ' % &(
d h r00 % p ¼ %2Rp sin að1 þ l cot aÞda ð14:31Þ
dinal stresses rx and rx þ drx are acting on this vertical thin
slab element, respectively, at arbitrary distances x and ) ! "*
d 0 p
x + dx, from the exit plane. Figure 14.2 shows that these Or, hr0 1 % 0 ¼ %2Rpðsin a þ l cos aÞ
da r0
horizontal stresses along with the die pressure p and friction ! " ! "
p d % 0& 0 d p
stress lp are acting on this slab element of width w, which ) 1% 0 hr0 þ hr0 1% 0
varies in height from h to h + dh. Suppose the heights of the r0 da da r0
strip at the entry and exit planes are, respectively, h1 and h2. ¼ %2Rpðsin a þ l cos aÞ
All other assumptions remain the same as that made in ð14:32Þ
Sect. 14.2, except that the work hardening of the strip, i.e.
the variation of plane–strain flow stress r00 ; has been con- In 1948, Bland and Ford (1948) first suggested that
1% # 0 & 21 % &# 2 ' 1 % # &2# (
sidered in the following analysis. p r0 % 1 d hr00 da ( hr00 d 1 % p r00 da and to
1% # 0 & 2
simplify the solution of (14.32), the term p r0 % 1
1 % 0 &# 2
d hr0 da can be ignored in comparison with the term
' 1 % # &2# (
hr00 d 1 % p r00 da : The reason behind this suggested
dα assumption is that under most circumstances, the variation in
the die pressure p with angular position a in the die gap is
R

p greater than the variation in the plane strain flow stress r00 .
Further, the variation in the product hr00 with angular posi-
µp
dh tion a in the deformation zone is so small that dðhr00 Þ=da
2 may be considered to approach a negligible quantity, since
h1 σ x + dσ σx h2
x r00 increases as h decreases. Hence, this assumption is usu-
h ally reasonable for strain-hardened metal. But this assump-
α
dh tion is not valid when rate of strain hardening is relatively
2
µp high, for example, during the first deformation pass of the
p work metal after annealing, or when the work metal is
x subjected to high back tension because it reduces the vari-
dx #
x=0 ation of p r00 over the arc of contact. For most drawing
operations, in the second and subsequent deformation pas-
Fig. 14.2 A diagram of wide flat plane-strain drawing of strip through
cylindrical dies, showing stresses acting on a vertical thin slab element
ses, the accuracy of this approximation is satisfactory lead-
of metal of thickness dx in the deformation zone of the strip (within the ing to an error of only a few per cent. Thus, with the above
die gap) assumption, (14.32) is modified as follows:
14.3 Drawing Stress of Strip Through Cylindrical Dies 655

! "
d p It is assumed that the tensile stress applied on the
% hr00 ¼ %2Rpðsin a þ l cos aÞ; work-piece at the exit plane is rF ; and there is no back
da r00
! " ! " tension at the entry plane. As the plane strain deformation
d p p ðsin a þ l cos aÞ
Or, ¼ 2R ð14:33Þ resistance of the work-piece, r00 ; increases during cold
da r00 r00 h
working, it is assumed that r00 ; will increase gradually from a
If the angle of contact, a, is small, it may be further value of r001 at the entry plane, to a higher value of r002 at the
assumed that exit plane, We further assume that the die pressure p changes
from p1 at the entry plane to p2 at the exit plane. As y ¼
a a2 # .
sin a * a; and cos a ¼ 1 % 2 sin2 ¼ 1 % * 1: p r00 ; so at the entry plane y1 ¼ p1 r001 ; and at the exit
2 2
.
Again, h % h2 ¼ 2Rð1 % cos aÞ; plane y2 ¼ p2 r002 : The integration constant, A, can be
a / a0 2
Or; h ¼ h2 þ 4R sin2 ¼ h2 þ 4R ¼ h2 þ Ra2 : determined for the following boundary condition. At the
2 2
entry plane where a ¼ a1 ; the horizontal longitudinal stress
Then, incorporation of the above approximation and rx1 ¼ 0; since there is no back tension (assumed). Therefore,
substitution for h in (14.33) gives from (14.7) describing the yielding criterion, we get
! " ! " p1 ¼ r001 % rx1 ¼ r001 ; With the above conditions at the
d p p aþl
¼ 2R ð14:34Þ entry plane, and substitution for H = H1 and a ¼ a1 into
da r00 r00 h2 þ Ra2 (14.35a), we get the integration constant, A, in (14.35b) as
p follows:
Let, y ¼ ; then (14.34) reduces to
r00
y1 ¼ Ah1 expðlH1 Þ
dy aþl p1 r0
¼ 2R da; Or, Ah1 expðlH1 Þ ¼ ¼ 00 1 ¼ 1;
y h2 þ Ra2 0
r01 r01
Z Z Z
dy 2Rada 2lR da
Or, ¼ þ expð%lH1 Þ
y h þ Ra 2 h2 þ Ra2 )A¼ ð14:36aÞ
Z Z 2 Z h1
dy 2Ra da 2lR da
Or, ¼ þ
y h2 þ Ra2 h2 1 þ ðRa2 =h2 Þ where
% & 2lR rffiffiffiffi !rffiffiffiffi "
) ln y ¼ ln h2 þ Ra2 þ R R
h2 H1 ¼ 2 tan %1
a1 ½from ð14:35aÞ'
rffiffiffiffi !rffiffiffiffi " h2 h2
h2 %1 R
tan a þ C; ð14:36bÞ
R h2
ðC is an integration constantÞ: Substitution for A from (14.36a) into (14.35b) gives
Putting h2 þ Ra2 ¼ h; the above equation is written as p h
follows: ¼ expðlH % lH1 Þ ð14:37Þ
r00 h1
/y0 rffiffiffiffi !rffiffiffiffi "
R %1 R In (14.37), p is the die pressure at any arbitrary distance
ln ¼ 2l tan a þC
h h2 h2 x from the exit plane. Considering the condition of yielding
) r ffi ffi ffi ffi !rffiffiffiffi " * given by (14.7), the longitudinal pulling stress rx in the
R %1 R
Or; y ¼ h exp 2l tan a þC direction of drawing at any arbitrary distance x from the exit
h2 h2
plane can be obtained from (14.37) as follows:
Let us introduce a symbol H, where
rx p h
rffiffiffiffi !rffiffiffiffi " ¼ 1 % 0 ¼ 1 % expðlH % lH1 Þ ð14:38Þ
R %1 R r00 r0 h1
H¼2 tan a ð14:35aÞ
h2 h2
Again at the exit plane, where the thickness of the strip is
h = h2 and the angle is a ¼ a2 ¼ 0; the horizontal longitu-
) y ¼ h expðlH þ CÞ
dinal stress is rx2 ¼ rF ; which is the drawing stress applied
Or, y ¼ Ah expðlH Þ ð14:35bÞ for the reduction of strip height from h1 to h2. Hence, from
(14.38):
where, a new integration constant, A = exp(C).
656
) *
h2
Drawing stress, rF ¼ r00 1 % expðlH2 % lH1 Þ
h1
) *
0 h2
¼ r0 1 % expð%lH1 Þ ð14:39Þ
h1
rffiffiffiffi !rffiffiffiffi "
R %1 R ductile microstructures.
since H2 ¼ 2 tan a2 ¼ 0:
h2 h2
14.4 Treatments of Work Metal Prior
to Drawing
The starting work metal is subjected to one or more of the
three following treatments prior to successful cold drawing.
These following preparation steps naturally depend on the
condition of the stock prior to drawing and on the desired
drawing results.
1. Heat Treatment
Heat treatment usually involves annealing or softening of the
deformed work metal to restore its ductility so that the
annealed work metal can be further reduced by cold draw-
ing. This treatment is particularly necessary for certain
metals that are brittle or hard in the hot-worked condition or
for previously cold-drawn pieces which have already been
highly strain-hardened to enable further cold drawing. Initial
heat treatment prior to drawing may not be required for all
deformed work metals, for example, hot-rolled low-carbon
steel rods which are to be drawn into wire. Intermediate heat
treatment may be required repeatedly to get rid of work
hardening that depends on the work metal and reductions
involved in drawing. Controlled-atmosphere furnaces are
commonly used for heat treatment in drawing plants.
(a) Recrystallization Annealing: Non-ferrous wire and
low-carbon steel wire, which have to be repeatedly cold
worked, usually undergo recrystallization annealing (also
known as process annealing) to restore the ductility, in
which a cold-worked metal is heated above its recrystal-
lization temperature in order to soften the metal for further
working. This process of annealing has been described in
Sect. 10.2.1 of Chap. 10. The production of non-ferrous and
low-carbon steel wires is made in a number of tempers
ranging from dead soft to full hard.
The recrystallization annealing is a subcritical heat
treatment for steel workpiece, where cold-worked steel is
heated above the recrystallization temperature of ferrite at
550 to 650 °C which is below but close to the critical
14 Drawing: Flat Strip, Round Bar and Tube
temperature of eutectoid transformation that is 727 °C. That
is why this subcritical annealing treatment is also known as
‘close annealing’. Generally, the microstructure of the low-
and medium-carbon steels prior to cold work is spheroidized
or largely ferritic with small amounts of pearlite, both highly
(b) Patenting: An isothermal heat treatment operation,
called patenting, is applied to produce high-strength ropes,
musical strings, suspension bridge cables, etc., in rod and
wire industry. In wire making, patenting is applied to
medium-carbon steel containing above 0.45% C, or mostly
high-carbon steel before the drawing of the wire, or may be
applied for several times between drafts. The process con-
sists in heating to a temperature above the upper critical
temperature, usually 870 to 920 °C, holding at that tem-
perature for proper time (generally, 1 h for 1 inch diameter
of the workpiece) in order to homogenize the austenite
properly, quenching the rod / wire from that temperature into
a molten lead or salt bath kept at a temperature of 450 to
550 °C and then holding there until the austenite is com-
pletely transformed into fine pearlite with perhaps some
upper bainite, without the formation of proeutectoid phase.
The role of patenting in producing a high-strength state in
the metal is twofold. Firstly, it makes a wire more capable of
withstanding large reductions in cold drawing without
fracture which is ensured by the structure of fine-lamellar
pearlite and the absence of proeutectoid phase. Secondly, the
interplate spacing in the ferrite–cementite mixture upon cold
plastic working becomes even smaller than upon patenting.
As a result, wire produced has both high strength and high
toughness. These combined properties are beneficial in twisting
and bending of wire. The strength of steels with 0.6–0.8%
carbon upon 80 or 90% reduction is 1.8–3 GPa. Patenting of
1% carbon steel with a heavy deformation above 95% to form
thin wire can produce the highest value of real ultimate strength
obtainable in industrial product: 4.8 GPa.
2. Surface Preparation
In order to avoid surface defects of the work metal, or
excessive wear of the drawing die due to abrasion during
cold drawing operation, and thereby to increase the die life,
the starting stock must first be cleaned of surface contami-
nants, such as rust, glass and scale, probably developed
during previous hot working or rolling operation. This
cleaning is performed by chemical, mechanical, electro-
chemical treatments or their combinations. Mechanical
treatments for descaling include periodic bending of work
14.4 Treatments of Work Metal Prior to Drawing
metal strip between rollers, or sand or shot blasting. These
methods are not effective for strong scales, and the work
metal is most often subjected to chemical treatments that
involve the use of various pickling methods.
(a) Pickling: The work piece made of steel is pickled in
sulphuric or hydrochloric acid, or a mixture of both acids;
copper and brass are pickled in sulphuric acid; nickel and its
alloy are treated in a mixture of sulphuric acid and potassium
bichromate. In electrolytic pickling, the work piece acts as
anode, from which scale is partly removed, but the vigorous
evolution of gases forces to remove the scale mostly.
In case of drawing of steel wire from a coil of conven-
tionally hot-rolled steel rod, the coils of steel rod are dipped
into hot dilute sulphuric acid (H2SO4) solution for 15–30 min
during pickling operation. Fe3O4, the chief constituent of
scale, is slightly soluble in H2SO4, but the acid is able to
penetrate to the metal beneath the scale, where it reacts with
iron (metal) forming iron (metal) sulphate, a soluble neutral
salt and liberates a mixture of gases, mainly composed of
hydrogen. This action results in loosening and detaching of
the scale from the surface of the metal, i.e. the removal of
scale is performed mechanically rather than chemically.
After pickling operation, the clean work metal is removed
from pickling bath and given a thorough rinsing in a spray of
high-pressure water. In case of continuous casting, the
hot-rolled rod passes through a cleaning station as it leaves
the hot-rolling mill and hence, a separate cleaning operation
is not required.
(b) Surface Conditioning or Coating: The surface of the
work metal is conditioned for receiving and retaining the
drawing lubricant. In many cases, the surface of the pickled
and clean work metal is coated or prelubricated by liming,
boraxing, phosphating, sulling, or coppering methods. After
the application of coating, the work metal is dried at 230–
315°C in ovens or bakers. Some of the prelubricating
methods allow several passes in cold drawing of the work
metal without the repeated applications of intermediate heat
treatment. As lime is a low cost material, so the lime coating
is applied to low C steel or mild steel and cheaper products.
Liming is done by dipping the clean work piece into a tank
of hot milk of lime at a temperature of 87–93 °C, average
being 90 °C, for long enough to bring the work piece up to
the bath temperature. The purpose of lime coating is three-
fold: (i) to protect the surface of the cleaned rods from
rusting in the atmosphere, (ii) to neutralize any traces of acid
left from the previous pickling operation and (iii) to serve as
a carrier for the lubricant used in drawing the rod to wire
657
(McGannon 1964). Although borax is little costlier than
lime, borax coating often replaces lime coating in dry
drawing operation because of its advantages over liming:—
(i) It dries very quickly; (ii) It does not pick up moisture;
(iii) It does not flake off or form a dust in drawing room and
so, much cleaner environment in the mill is maintained
(McGannon 1964). Both the lime coating and the borax
coating form a mechanical bond with metal. Phosphate
coating (phosphating) is a quite popular kind of coating that
is used for costlier product or variety. It forms a chemical
bond with metal rather than mechanical bond. The work
metal is immersed in a zinc-phosphate, or a
manganese-phosphate, or an iron-phosphate solution at
about 80 °C for 2–10 min. Lubricant used in drawing
adheres well to the phosphate film, causing the coefficient of
friction to drop to 0.04–0.06. After phosphating, the coated
work piece is rinsed with hot and cold water and then the
phosphate coating is neutralized with lime or some suitable
agents, followed by baking and drawing through lubricants
(McGannon 1964). In sulling, the work metal is coated with
a thin layer of iron hydroxide, Fe(OH)3, which in combi-
nation with lime serves as filler for the lubricant. The
practice of sull coating has been mostly discarded for last
several years and is used now sometimes only on a few
kinds of wire and for manufacture of cold-headed bolts.
Coppering the work metals in a solution of vitriol reduces
the coefficient of friction to 0.08–0.12 and facilitates drawing
at large drafts and pressures.
3. Pointing or Chamfering
Pointing or chamfering involves the reduction of diameter of
one end of the cylindrical feed work metal (wire, rod or tube)
to a size slightly less than the orifice of the drawing die. The
pointed end is thus ready for insertion through the die orifice
for gripping and pulling. The pointing operation is usually
carried out at room temperature by means of swaging, roll-
ing or turning. However, for pointing operation, the feed
metal can be preheated and acid etching, stretching, grinding
or hammering can also be used. In some cases, in order to
bypass the pointing operation, one end of the feed metal is
pushed with force so that it protrudes through the die orifice.
Pushing forces being much greater than pulling forces may
buckle the feed metals having small diameters and slender
sections. Although proper support can minimize this buck-
ling, but pointing of feed metal with a diameter less than or
equal to about 9.5 mm is generally preferable.
658
14.5 Drawing Equipments
The basic principles of drawing rods, wires and tubes are the
same but the drawing equipments vary depending on the size
of the products. Drawing equipments are classified mainly
into two groups. One is a draw bench as schematically
shown in Fig. 14.3, used for the production of tubes and
rods, which cannot be coiled. The other equipment is a block
drawing machine with a drum, for pulling and coiling the
product, as shown schematically in Fig. 14.4. For detailed
description of the various types of equipment and of pro-
cesses, the referred literature (Pomp 1964) is recommended.
The draw bench is a chain-operated or hydraulically
operated, rigidly built, long, horizontal machine, which is
used for cold drawing, usually at room temperature, of
cleaned, coated and pointed hot-worked straight tubes and
rods of larger diameter. The draw bench essentially consists
of a table of entry rollers or an elevating entry conveyor, a
die stand, a draw head, also known as ‘pulling dog’, and an
exit rack on the upper surface of the frame or bench. Entry
rollers support the hot-worked feedstock and usually insert
the pointed end of the stock into the drawing die hole, which
is somewhat smaller than the feedstock in section. Lubricant,
if required, is provided on the entry side of the die by filling
the die box with grease or some other suitable lubricant, so
that in passing through the die, the feedstock must first pass
through the lubricant. The draw head has suitable jaws for
gripping the pointed end of the rod or tube protruding
through the die orifice and pulling it through the die. The
draw head mounted on wheels is moved along the exit rack
either by a motor-driven chain or by a hydraulic mechanism
to pull the rod or tube with tensile force till the entire rod or
Die holder Draw head
Die
Jaw
Fig. 14.3 Schematic diagram of a draw bench
Fig. 14.4 Schematic diagram of
a single-die block drawing
machine
Direction
of travel
14 Drawing: Flat Strip, Round Bar and Tube
tube is drawn through the die. Hydraulic mechanism is used
to provide the pull for short-length products, while a chain
drive can draw products of larger length. Drawing speeds
may vary from about 0.15 to 2 m s−1. The pulling force of
draw benches may vary from about 15 kN to 1.5 MN and
rods or tubes produced by draw benches may be as long as
30 m. As soon as the drawn part exits the die, the draw head
automatically releases the drawn part and ceases to move.
The drawn part is then removed from the draw bench, and
the draw head is rapidly returned to the die stand for pulling
the next rod or tube.
The block drawing machine is used for the cold drawing
of rods and wires as well as tubes of small diameter, which
can be uncoiled and then recoiled after drawing. Cold
drawing is usually performed at room temperature. A block
drawing machine can generate products of long lengths
using a much smaller floor space, whereas a draw bench
requires a larger floor space and thus, limits the lengths of
the products. The block drawing machine mainly consists of
three parts—–a payoff stand (or payoff reels) or swift that
holds the coil of stock to be drawn, a die where the actual
reduction of feed metal takes place and a powered cylindrical
drawing block or capstan which delivers the load and energy
for reduction and also collects the drawn product in a coil
form. In the drawing process, cleaned and coated coils of the
feedstock are first placed on the swift that allows free
unwinding of the stock. The leading end of the feedstock is
made pointed and then inserted through the drawing die and
grasped by a gripper attached to the drawing block. The
drawing block is rotated by means of an electric motor to
pull and collect the drawn product in a coil form.
The block drawing may be performed on a single-die
drawing machine or on a multiple-die continuous machine.
A typical single-die drawing machine is called ‘Bull Block’,
which in a single pass can produce a particular reduction
corresponding to the diameter of only one existing die. Since
the reduction of area per drawing pass is hardly greater than
30–35%, several passes are necessary to obtain the overall
required reduction. Hence for multiple passes, the die of the
bull block machine must be changed and replaced by a
smaller diameter die after each complete pass. To eliminate
Swift or payoff stand
Drawing block
Drawn wire
Rod
Die
Die Electric motor
holder
14.5 Drawing Equipments
this difficulty, the stock can be drawn continuously on the
multiple-die continuous machine, in which the stock passes
through a number of dies simultaneously. However, there
must be one drawing block for each die, i.e. number of dies
and drawing blocks must be same in a continuous machine,
as shown schematically in Fig. 14.5, but the diameter of the
die must decrease in the direction of drawing, i.e. from the
first to the last stand depending on the reduction of area of
the stock after each pass. Since the diameter of the stock is
reduced after each pass, the length and velocity of the stock
will increase proportionately. For these reasons, the periph-
eral speed of the drawing block must increase in the direc-
tion of drawing, i.e. from the first to the finishing (last) draw
block. This is possible to achieve in one of the following two
ways. In the first, each drawing block is equipped with its
own electric motor with fully variable speed control which
can be regulated automatically to synchronize the peripheral
velocity of the block with the surface velocity of the stock. If
these two velocities do not precisely coincide with each
other the stock will slide on the blocks as they rotate,
resulting in friction and generation of heat. The disadvan-
tages of these machines are that they are large and costly
because of the requirement of a large number of expensive
electric motors. Both the disadvantages can be overcome by
the second type of machine, which is more compact and
economic. In this, only one electric motor is used to drive a
series of stepped cones with increasing cone diameter from
the first to the last or finishing cone, as shown in Fig. 14.6.
The diameters of the cones are so designed as to produce a
sequence of peripheral speeds equivalent to a definite set of
reductions in size. Therefore, a specified reduction per pass
is given by such machines. In multiple-die continuous
machines, the drawing speed may attain 10 m s−1 for ferrous
metal and alloys, whereas drawing speeds up to 30 m s−1 are
usual for non-ferrous metal and alloys.
Lubrication
box
Die
Rod
Payoff reels Draw block
Direction
of travel
Fig. 14.5 Schematic diagram of a multiple-die continuous wire drawing operation
659
14.5.1 Conical Converging Die
Conical converging dies are most commonly used in rod and
wire drawing as well as in tube drawing and sinking. These
types of dies can even be used in hydrostatic extrusion and rod
extrusion. There are two parts in the die, the casing and the
nib. The main function of the casing is to protect the die nib by
enclosing it with thick casing made of steel for dies of large
diameter and brass for dies of small diameter. Since the actual
reduction of the workpiece occurs in the die nib, extremely
hard material is used to make it. Drawing die nibs are man-
ufactured using different materials. For products of larger
dimensions, die nibs are made from hardened tool steels on
economic grounds. The working faces of steel die nibs can be
lined with hard and less expensive refractory material in order
to combine the wear resistance of the refractory lining with
the toughness of the steel support. Cemented carbides are
used to make die nibs for products of medium sizes. For hard
wires of fine diameter, die nibs are made from industrial
diamond. The centre of the die nib has a passage, which is
ground and burnished and has definite profile geometry. After
a die nib has been worn, it is ground and polished for further
use. Figure 14.7 shows the cross section through a typical
conical converging drawing die. Descriptions of the internal
profile geometry and functions of different zones of the die
nib are presented below. The die nib consists of four zones:
1. The entry zone, known as the bell, which is shaped in
such a way that the work-piece travelling into the die can
draw sufficient amount of lubricant with it. The
bell-shaped entrance causes the hydrostatic pressure to
increase and assists the flow of lubricant into the working
zone of the die. It also protects the work-piece against
scoring by edges of the die. The entering angle of the bell
gradually tapers into the second zone.
Speed control
Finished
sheave wheels
Lubricating product
and die box
Die Die
Lubricating Draw block Finish draw block
and die box
660 14 Drawing: Flat Strip, Round Bar and Tube

Fig. 14.6 Schematic diagram of Die

a stepped-cone multiple-die 4
drawing machine Di
e3

D
ie
2
Di
e1
Electric motor

4
3
1 2

Drawing blocks

Fig. 14.7 Cross-section of a

conical converging drawing die
showing different zones

2. The approach angle or conical drawing zone, where the
work-piece deforms plastically and the actual decrease in
diameter takes place. Obviously, the cone angle formed
by this section of the die is smaller than that formed by
the bell region. One-half the included cone angle of the
drawing zone is usually designated by a; which is an
important process parameter and referred to as approach
semi-angle or semicone angle of die.
3. The die bearing zone, which is a straight and short
cylindrical region of a few millimetres long. This cylin-
drical portion of the die does not reduce the work-piece
but causes additional friction loss, which is required to
ensure the dimensional stability of the product. The main
function of this zone is that the frictional drag produced
on the work-piece removes the surface damage caused by
the die wear in the conical working zone and refinishes
the surface of the product without changing the final size
of the product, which is determined by the diameter at the
exit plane of the conical drawing zone.
4. The back relief or bell-shaped exit zone that allows slight
expansion of the product as it exits from the die. This
zone minimizes the possibility of damage to the die
bearing zone and scoring of the finished products
because of abrasion that takes place when the die is out
of alignment or the drawing stops.
The individual dies are often preceded by lubrication
boxes for reduction of frictional drag and prevention of wear
14.5 Drawing Equipments
of the die nibs. The lubricant box contains dry soap, grease,
oil or other lubricants through which the workpiece must
pass before it reaches the die.
14.6 Drawing of Rod and Wire
The reduction in diameter of a solid round bar by successive
drawing, usually through a conical converging die, is called
rod or wire drawing depending upon the diameter of the final
product. There is somewhat arbitrary distinction between rod
and wire. If the diameter of the final product is below 5 mm,
it is generally called wire, which can be coiled and may be
rapidly drawn on multiple-die machines. Cold-drawn rods
can be used as structural members, pistons, shafts and
spindles, etc. Various applications of wire and wire products
are high-strength ropes, electrical wirings, musical strings,
springs, fencing, suspension bridge cables and welding
electrodes, etc.
The rod drawing at room temperature starts with usually
rolled or extruded straight rods of larger diameter, which
cannot be coiled and is performed on the draw bench and
subsequently, when the rod diameter decreases so that it can
be coiled, the rod drawing is performed on the block
drawing machine. The wire drawing usually starts with a
large coil of hot-rolled rods of approximately 9 mm in
diameter and is performed on the block drawing machine,
often drawn on a multiple-die continuous machine. In rod- as
well as wire drawing, the starting stock is heat treated (if
required), cleaned, coated and made pointed. If necessary,
the cold-drawn rod or wire is intermediately heat treated
between drafts in order to carry out further reduction.
Although most rod and wire drawing operations are usually
carried out at room temperature, but friction and large
deformations involved in drawing can generate huge heat
and cause temperature of the stock to rise by several hundred
degree Kelvin. Interpass cooling technique is used for partial
removal of this heat.
Depending on the lubrication technology, there are
mainly two processes for drawing wire. These are designated
as dry drawing and wet drawing. Mechanically the processes
are the same; that is, the wire is drawn through a die and
wound up in a block. The difference in the processes is in the
coating applied to the wire and the lubricant used
(McGannon 1964).
1. Dry Drawing
Dry drawing does not mean the absence of lubricant but the
lubricant used is only solid and not liquid. The lubricant
reduces friction and minimizes the die wear but hardly ever
has a cooling function. The wire is cooled when it lies on the
661
internally cooled capstan. Further, external air cooling of
wire and water cooling of the die holder are possible. If
water is used to cool the wire at all, it must be withdrawn
prior to the entry of the wire into the next die. In the dry
machine, the die is mounted in a holder within a box. Usual
lubricant is solid dry soap powder placed in the die box and
picked up by the surface of wire when it travels through the
box. This method is applied to steel wire with diameter
larger than 0.5–1 mm for which the production of relatively
rough surface is acceptable. For serious draws, soap is often
pre-applied from a solution, if required, over a conversion
coating and must be dried prior to wire drawing. In dry
drawing, the phosphate-coated steel wire after baking is
normally drawn through the lubricants consisting of calcium
stearate or aluminium stearate and lime mixture.
The surface of the rod or wire of high-strength materials,
such as steels, stainless steels and high temperature alloys,
can have either a thin coating of softer metal or a conversion
coating. Chemical deposition of copper or tin on the surface
of rod produces thin film of softer metal that may be used as
a solid lubricant during drawing. Conversion coatings such
as oxalate or sulphate coatings may be applied to the rod.
These are further coated typically with soap to act as lubri-
cant. In the drawing of titanium, polymers are used as solid
lubricant. Dry wire drawing is applied to obtain product of
finished size or sometimes, dry drawing passes are used for
subsequent wet wire drawing operation.
2. Wet Drawing
This technique is used to produce wire for decorative purposes
or used in application where extra-clean finish is required.
Wet drawing is more expensive than dry drawing. So, all rods
are first given one pass or more passes by dry drawing to
produce wires of process size which will be subsequently
wet-drawn (McGannon 1964). After one or more dry drafts
from the rod, the process wire is then usually cleaned, rinsed
and coated prior to wet drawing to finished size.
Prior to coating and wet drawing, cleaning of the steel
wire is performed by immersing it in a hot sulphuric acid
(H2SO4) solution to remove all of the surface film resulting
from dry drawing so that clean metallic surface is ready for
plating. After acid cleaning, the wire is thoroughly rinsed
with water. For plating with copper or tin, the steel wire is
immersed in dilute solution of copper sulphate or tin sul-
phate or a mixture of both of these salts (McGannon 1964).
This solution is made by mixing copper sulphate or/and tin
sulphate with water and a small amount of sulphuric acid.
A chemical reaction takes place which results in the depo-
sition upon the steel wire of a thin metallic coating from the
solution used. After plating, the wire is washed thoroughly
with fresh cold water.
662
After coating, the wire is usually kept under water to
protect it from the influence of atmosphere until it is deliv-
ered to the wire drawing machine. Cooling power is an
important criterion for selection of a lubricant in wet draw-
ing. So, the function of a lubricant is to cool the drawing
tools and keep the machine clean, along with reduction of
friction and minimization of the die wear. The wet drawing
lubricant is either oil-base or aqueous. For non-ferrous
metals, the lubricant is generally an oil-in-water emulsion,
which is typically a mixture of water, machine or vegetable
oil, oleic acid and soda ash. For wet drawing, lubricant can
be applied continuously to the inlet of die, to the wire and
also frequently to the capstan, or the entire machine con-
sisting of blocks and dies can be completely submerged in a
bath containing a water–lubricant solution that is constantly
recirculated by a pump from a reservoir adjacent to the
machine. When the wire slides on the capstan, the lubricant
reduces the wear of the capstan. Wet drawing is seldom
performed with non-water miscible oils. Oil lubricant con-
taining an EP additive is also used in which the dies and the
rod are completely immersed for wet drawing. The wet
drawing technique is typically used for all non-ferrous
metals and for steel wires with diameter less than 0.5–1 mm.
Wet drawing usually makes it possible to give 10–14 drafts.
A lubrication technology intermediate between the above
two techniques is sometimes applied, particularly in the
low-speed drawing of round bar and tube. The die and/or
work-piece are lubricated with a high-viscosity liquid or a
pasty or semisolid lubricant, like drawing greases and highly
viscous degradable ester oil. For additional details on the
lubrication of ferrous wire, the reader is referred to literature
(Dove 1980).
Fig. 14.8 Stresses acting on an
elemental slab in the deformation
zone within a conical converging Rod
die during drawing of a rod or
wire subjected to back tension
dD/2
D1
σB
(Back pull)
dD/2
14 Drawing: Flat Strip, Round Bar and Tube
14.6.1 Drawing Load and Power with Friction
and Back Tension
In tandem drawing the wire passes through several dies in
series and the drawing block remaining in between succes-
sive dies not only pulls the wire through the die, but also
provides a small back tension on the wire entering the next
die. The back tension or back pull is applied to the input rod
or wire to keep the die contact pressure low along the
deformation zone and the work-piece straight. This reduc-
tion in die pressure improves the die life, which is very
essential in any working operation. Let us consider the
drawing of a rod or wire subjected to back tension through a
conical converging die with a total included approach angle
of 2a; as shown in Fig. 14.8. The exit plane (of the defor-
mation zone) is considered as the origin of the coordinate
system, shown by x = 0. in the diagram, where x is the
horizontal axis that increases from the exit plane to the entry
plane (of the deformation zone). On the round outer surface
of the rod or wire in the deformation zone, the conical die
exerts a radial compressive stress, rr ; and a die pressure, p,
normal to the die–job interface. Outward horizontal flow of
the material during the process of its deformation leads to
tangential shearing frictional stress s on the circumferential
interface between the die and the rod or wire. Hence,
the direction of the friction stress opposing the outward
horizontal flow will always be towards the entry plane.
However, the presence of frictional shear stress s leads to
the horizontal axial (longitudinal) stress rx ; where rx
increases from the entry plane towards the exit plane.
To make the analysis simpler, the following assumptions are
made.
Die
p
µp
Drawn wire
dx σ x + dσ x σx
α
D2 σF
D α (Drawing stress)
dLc
µp
Die
p
x
x=0
14.6 Drawing of Rod and Wire 663

(i) Material being drawn is assumed to be isotropic and
homogeneous.
(ii) Homogeneous deformation is assumed, i.e. internal
redundant work is neglected.
(iii) Elastic strain is neglected because plastic deformation
involved in drawing is quite large compared to
insignificant elastic deformation.
D + dD. Considering the horizontal equilibrium of forces
acting on this vertical element, the longitudinal tensile pulling
stress at the exit plane can be determined. There are three
force components acting in horizontal direction along x-axis:
1. Due to change in longitudinal stress in the positive
direction of x, i.e. from the exit to entry side, the forces
over the vertical planes of the element:

 
 x  d x   D  dD 
2
x D2
4 4



4
 x D 2   x 2 D d D   x d D 2  d x D 2  d x 2 D d D  d  x d D 2   x D 2 


4
 2 x D d D  D 2 d x  (14.40)

(iv) It is assumed that there is no strain hardening of the Equation (14.40) is obtained by neglecting the terms con-
work-piece, i.e. the flow stress or deformation resis- taining the products of infinitesimals, such as dD2 ; dD drx ;
tance r0 of the material being drawn remains constant. and drx dD2 :
(v) Coulomb’s law of sliding friction holds good at the
contact surface between the dies and the rod or wire. 2. Due to the die pressure on the circumference, the hori-
In other words, s ¼ lp; where, s is the tangential zontal component of the die force (acting normal to the
frictional shear stress at the contact surface, l is the die–metal interface) in the direction from the exit to entry
coefficient of friction, and p is the die pressure on the side:
rod or wire normal to the contact surface. ! "
(vi) The coefficient of friction l is the same at all points on dD ppD dD
p sin aðpD dLc Þ ¼ p sin a pD ¼
the surface of contact between the dies and the rod or 2 sin a 2
wire. ð14:41Þ
(vii) The die pressure, p, is assumed to remain constant
across the diameter of the rod or wire. SinceðdD=2Þ=dLc ¼ sin a, ) dLc ¼ dD=2 sin a, where
(viii) The longitudinal stress rx acting over the cross-section dLc is the contact length between the die and the vertical
of the rod or wire is assumed to be uniformly dis- element.
tributed and normal to the cross-section with no shear
component. Hence, it is a principal stress. 3. Due to the frictional stress at the circumference, the
(ix) The radial compressive stress, rr ; is also assumed to horizontal component of the friction force in the direction
be a principal stress. from the exit to entry side:
! "
Let us consider the state of stresses on a vertical element of dD
lp cos aðpD dLc Þ ¼ lp cos a pD
infinitesimal thickness dx in the deformation zone of the rod 2 sin a
or wire under the die. According to free-body equilibrium plpD cot a dD
approach, the longitudinal stresses are, respectively, ¼ ð14:42Þ
2
rx and rx þ drx at an arbitrary distances x and x + dx from the
exit plane, which is taken as x = 0. Figure 14.8 shows that For steady-state drawing conditions, the horizontal equi-
these longitudinal stresses along with the die pressure p, librium of forces acting on this vertical element in the pos-
normal to the die-metal interface, and the friction stress lp; itive x-direction, i.e. from the exit to entry side, is obtained
parallel to the die–metal interface, are acting on this element by equating the summation of (14.40), (14.41) and (14.42) to
of thickness dx, whose diameter varies arbitrarily from D to zero. Eliminating p=4 and D, this gives
664 14 Drawing: Flat Strip, Round Bar and Tube

2rx dD þ D drx þ 2p dD þ 2pl cot a dD ¼ 0 Now, denoting l cot a ¼ B; we get from (14.43) and
(14.46)
D drx ¼ %2½rx þ pð1 þ l cot aÞ' dD ð14:43Þ
D drx ¼ %2½rx þ ðr0 % rx Þð1 þ BÞ' dD ¼ 2½Brx % r0 ð1 þ BÞ' dD
Considering rr as the radial compressive stress acting on
drx dD
the vertical element of metal in the deformation zone, the ) ¼2
Brx % r0 ð1 þ BÞ D
radial equilibrium of forces exerted by the die upon the
vertical element of the work-piece is: ð14:47Þ

rr pD dx ¼ p cos a pD dLc % lp sin a pD dLc ; Considering B and r0 to be constant and integrating

(14.47), we get
Or, rr pD cos a dLc ¼ p cos a pD dLc
% lp sin a pD dLc ; 1
ln½Brx % r0 ð1 þ BÞ' ¼ 2 ln D þ C
B
As pD cos a dLc 6¼ 0; dividing both sides of the above ðC is an integration constantÞ:
equation by pD cos a dLc , we get
) Brx % r0 ð1 þ BÞ ¼ D2B eBC ¼ AD2B ;
rr ¼ pð1 % l tan aÞ ð14:44Þ where; A ¼ eBC is a new integration constant:
! "
As semicone angle of die, a; usually never exceeds 15° 1þB D2B
) rx ¼ r0 þA ð14:48Þ
and coefficient of friction, l , 0:1 in drawing operation, so B B
l tan a ( 1: As an example, for typical values of a = 6°, Let, the diameter of the rod or wire before drawing is D1
and l ¼ 0:05; l tan a ¼ 0:005: Hence, l tan a can be and that after drawing is D2. If the back tension applied to
ignored in comparison with unity and (14.44) reduces to the rod or wire is rB ; then the longitudinal stress is rx ¼ rB
rr * p ð14:45Þ at the entry plane, where the rod or wire diameter is D = D1
From this entry boundary condition, the constant of inte-
Hence, the die pressure p can be considered to be a gration A is found from (14.48) as:
principal stress. Again, since the circumferential strain rate is ) ! "*! "
equal to the radial strain rate due to cylindrical symmetry, so 1þB B
A ¼ r B % r0 ð14:49Þ
the circumferential stress rh ¼ rr (radial stress). Since the B D2B
1
stresses required for plastic flow during working operation
Substituting the value of A from (14.49) into (14.48), we
are mainly compressive in nature, all the principal stresses
get
r1 ; r2 ; r3 ; in Von Mises’ yielding criterion are considered to
be positive, if they are compressive and negative when they ! " + ! ",! "2B
1þB 1þB D
are tensile stresses. The die pressure p, the radial stress rr ; rx ¼ r0 þ rB % r0 ;
B B D1
and the circumferential stress rh are compressive in nature ! "" ! "2B # ! "2B
1þB D D
and equal to each other in magnitude, whereas the longitu- ) rx ¼ r0 1% þ rB ð14:50Þ
B D1 D1
dinal stress rx is tensile in nature, therefore in the Von
Mises’ yielding criterion, rx is the direct pulling stress in the direction of drawing at
r1 ¼ rr ¼ rh ¼ r3 ¼ p and r2 ¼ %rx : any arbitrary distance x from the exit plane. Now, the die
pressure, p, at any arbitrary distance x from the exit plane
So, the Von Mises’ yielding criterion, which is can also be evaluated from (14.50) using yielding criterion
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi given by (14.46) as follows:
ðr1 % r2 Þ2 þ ðr2 % r3 Þ2 þ ðr3 % r1 Þ2 ¼ 2r0 ; " ! "( ! "2B ) ! " #
1þB D rB D 2B
becomes p ¼ r0 1 % 1% %
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffi B D1 r0 D1
ðp þ rx Þ2 þ f%ðrx þ pÞg2 ¼ 2r0 ; ð14:51Þ
Or, p þ rx ¼ r0
Hence, if rF is the drawing stress at the exit plane applied
ð14:46Þ for the reduction of rod or wire diameter from D1 to D2, then
the longitudinal stress is rx ¼ rF at the exit plane, where the
where, r0 is the uniaxial compressive flow stress or defor-
mation resistance of the work-piece in homogeneous strain rod or wire diameter is D = D2. Substituting this condition
into (14.50), we get
condition.
14.6 Drawing of Rod and Wire 665

! "" ! "2B # ! "2B Power ¼ drawing load

1þB D2 D2
Drawing stress; rF ¼ r0 1% þ rB distance moved
B D1 D1 + ; i:e:; drawing speed
time
ð14:52Þ ¼P+v ð14:55Þ
If r is the fractional reduction in cross-sectional area of
the work-piece, then r ¼ ðA1 % A2 Þ=A1 ¼ 1 % ðA2 =A1 Þ ¼ 14.6.1.1 Without Back Tension
1 % ðD2 =D1 Þ2 ; where A1 and A2 are, respectively, the If the back pull is not applied on the work-piece, i.e. rB ¼ 0;
cross-sectional areas of the work-piece before and after then the direct pulling stress in the direction of drawing, rx ;
drawing. Hence, the drawing stress in terms of the reduction and the die pressure, p, at any arbitrary distance x from the
of cross-sectional area is: exit plane can be obtained, respectively, from (14.50) and
(14.51) as follows:
! "" ! "B # ! "B
1þB A2 A2 ! "" ! "2 B #
rF ¼ r0 1% þ rB 1þB D
B A1 A1 rx ¼ r0 1% ð14:56Þ
! " B D1
1þB ' (
¼ r0 1 % ð1 % r ÞB þ rB ð1 % r ÞB ð14:53Þ
B "! "( ! "2B )#
1þB D
Let, the drawing load is P and the load applied at the back p ¼ r0 1 % 1% ð14:57Þ
B D1
side, i.e. at the entry plane is PB, i.e. PB ¼ rB A1 ¼
% &
rB pD21 =4 : Then P in terms of diameters and reduction of The variations of rx and p with the position x from the
cross-sectional area is expressed as: entry to the exit plane of the deformation zone are shown
" ! "( ! "2 B ) schematically in Figs. 14.9a and b for both cases of with and
1þB D2 without back tension. These diagrams show that the curve
Drawing load; P ¼ rF A2 ¼ r0 1%
B D1 for rx with back tension lies above that without back tension
! "2B #! 2 " according to (14.50) and (14.56) and the curve for p with
4PB D2 pD2 back tension lies below that without back tension according
þ 2
pD1 D1 4 to (14.51) and (14.57). These diagrams in accordance with
) ! " *! 2 "
1þB 1 2 4PB pD2 (14.50), (14.51), (14.56) and (14.57) further show that rx
¼ r0 1 % ð1 % r ÞB þ ð1 % r ÞB increases and p decreases from the entry to the exit plane
B pD21 4
ð14:54Þ with decreasing the arbitrary diameter D of the rod or wire
from D1 to D2.
If v is the drawing speed, i.e. the exit velocity of the However, the rod or wire drawing stress rF in absence of
emerging rod or wire, then the power required for drawing back tension is given by
operation is given by

Fig. 14.9 Schematic diagrams (a) (b)

showing the variations in
a drawing stress and b die contact
pressure from the entry plane to
the exit plane of the deformation
Drawing stress

Die pressure

zone, for both cases of with and

without back tension

Entry Exit Entry Exit

plane plane plane plane

With back tension

Without back tension
666 14 Drawing: Flat Strip, Round Bar and Tube

! "" ! "2B # ! "" ! "B # drawing stress applied under frictionless condition for the
1þB D2 1þB A2
rF ¼ r0 1% ¼ r0 1% reduction of rod or wire diameter from D1 to D2, as follows:
B D1 B A1
! "
1þB ' ( rx ¼Z
ðrF Þideal D¼D
Z 2
¼ r0 1 % ð1 % r ÞB drx dD
B ¼ %2
r0 D
ð14:58Þ rx ¼0 D¼D1

In absence of back tension, the corresponding drawing ðrF Þideal D2

% & Or; ¼ %2 ln
load P can be calculated from P ¼ rF pD22 =4 ; in which the r0 D1
! "2
drawing stress rF is given by (14.58). Taking the determined D1
) Ideal drawing stress, ðrF Þideal ¼ r0 ln
value of drawing load P, the corresponding power in D2
! "
absence of back tension can be found by means of (14.55). A1 1
¼ r0 ln ¼ r0 ln
A2 1%r
14.6.1.2 Consideration for Work Hardening ð14:60Þ
For heavily cold-worked rods, either the metal does not
practically have the capacity to further strain harden or the where r = the reduction of cross-sectional area = (A1 − A2)/
rate of strain hardening is very low and steady. In such cases, A1 = 1 − (A2/A1) = 1 − (D2/D1)2.
the assumption of constant flow stress is practically accept- Since no additional work is required to overcome the
able. For work-hardening rods and wires, it would be better friction, so for the same reduction in diameter of the rod or
if strain hardening of the rod or wire is included in the wire, the ideal drawing stress ðrF Þideal is less than the
equations for drawing stress. The normal procedure is to drawing stress rF in frictional condition. The ideal drawing
% &
assume a mean value of flow stress r !0 ; and replace r0 with load, Pideal ; can be obtained from Pideal ¼ ðrF Þideal pD22 =4 ;
!0 in the equations for drawing stress. The mean flow stress
r in which the ideal drawing stress ðrF Þideal is given by
!0 is calculated by means of (10.30). Replacement of r0
r (14.60). Taking the calculated value of ideal drawing load
with mean flow stress r !0 in (14.52) or (14.53) and (14.58) Pideal ; the corresponding ideal power can be found by means
gives drawing stresses at the exit plane with and without of (14.55).
back tension, respectively.

14.6.3 Maximum Reduction of Area in a Single

14.6.2 Frictionless Ideal Drawing Stress Pass

Suppose the dies are perfectly lubricated so that there is no
interfacial friction, i.e. the coefficient of friction, l ¼ 0; and
so, B ¼ l cot a ¼ 0: Further assume that
(1) Deformation is homogeneous, i.e. internal redundant
work is neglected.
(2) Strain hardening of the work-piece is ignored, i.e. the
flow stress r0 is constant.
(3) No back tension is applied to the work-piece, i.e. at the
entry plane, rx ¼ rB ¼ 0:
With the condition l ¼ 0; leading to B ¼ l cot a ¼ 0;
(14.47) reduces to
drx dD
¼ %2 ð14:59Þ
r0 D
Integrating (14.59) between the lower limit of D = D1 at
the entry plane where rx ¼ 0; and the upper limit of D = D2
at the exit plane where rx ¼ ðrF Þideal (say), we get the ideal
14.6.3.1 Non-strain-hardening Workpiece
With and Without Friction and Back
Tension
It is possible to increase the reduction of area per pass in rod
or wire drawing till the drawn rod or wire does not undergo
tensile fracture ahead of the die. Since we have assumed that
the work metal does not strain harden, so the drawing stress
at the exit plane must be equal to or less than the uniaxial
flow stress of the work metal, r0 ; to avoid tensile fracture.
Therefore, when the maximum drawing stress is equal to r0 ;
the maximum possible reduction of area, rmax ; in one pass
can be achieved.
If ðrF Þmax is the maximum drawing stress at the exit
plane, considering the limiting condition of ðrF Þmax =r0 ¼ 1;
the maximum possible reduction of area, rmax ; in one pass
with friction and back tension is obtained from (14.53), and
with friction but without any back tension from (14.58).
These are respectively given by the following (14.61) and
(14.62):
14.6 Drawing of Rod and Wire 667

! " ! "
With Friction and Back Tension: r0S:H: 1þB 1þB rB
¼ % ð1 % rmaxS:H: ÞB þ ð1 % rmaxS:H: ÞB
r
!0 B B r
!0
ðrF Þmax 1þB 1þB rB ) *
¼1¼ % ð1 % rmax ÞB þ ð1 % rmax ÞB ¼ ð1 % rmaxS:H: ÞB
rB 1 þ B
% þ
1þB
r0 B B r0 r
!0 B B
) * ) *
B 1þB rB 1þB 1
Or, ð1 % rmax Þ % ¼ %1¼ ; B BrB % ð1 þ BÞ! r0 r0S:H:
B r0 B B Or, ð1 % rmaxS:H: Þ ¼
B!
r0 r
!0
r0
Or, ð1 % rmax ÞB ¼ %
1 þ B Br0S:H: % ð1 þ BÞ!
¼
r0
ð1 þ BÞr0 % BrB B B!r0
) 3+ ,*
BrB 1=B Or, ð1 % rmaxS:H: ÞB ¼
ð 1 þ B r
Þ! 0 % Br0S:H: 1 % ½Br0S:H: =ð1 þ BÞ! r0 '
) rmax ¼ 1 % 1 ð 1 þ BÞ % ð1 þ BÞ! r0 % BrB
¼
1 % ½BrB =ð1 þ BÞ! r0 '
r0
) *
ð14:61Þ 1 % fBr0S:H: =ð1 þ BÞ! r0 g 1=B
) rmaxS:H: ¼ 1 %
1 % fBrB =ð1 þ BÞ! r0 g
With Friction But Without any Back Tension: ð14:64Þ
! "
ðrF Þmax 1þB ' ( Equation (14.64) shows that when ½Br0S:H: =ð1 þ BÞ! r0 '
¼1¼ 1 % ð1 % rmax ÞB ;
r0 B approaches 1, rmaxS:H: also approaches 1 and there is no limit
B 1 to the reduction. If one would assume that ðrF Þmax ¼ r0S:H: ¼
Or; ð1 % rmax ÞB ¼ 1 % ¼
1þB 1þB !0 (mean flow stress), then (14.64) would result in an
r
! "B1 equation, which is same as (14.61) except that r0 in (14.61)
1
) rmax ¼ 1 % ð14:62Þ would have to be replaced by r !0 :
1þB
Frictionless Condition Without Back Tension:
The ideal drawing stress ðrF Þideal in a frictionless ideal
deformation condition without applying any back tension to 14.6.4 Redundant Deformation
a non-strain-hardened rod or wire must be equal to or lower
than the uniaxial flow stress of the work-piece, r0 ; i.e. The redundant deformation involves inhomogeneous defor-
ðrF Þideal , r0 : Hence, from (14.60) we can write mation without contributing to the change in the shape of the
! " body (see Sect. 10.5.2 in Chap. 10) and thus, increases the
1 1 stress required for deformation and thereby, decreases the
r0 ln , r0 ; or, , e;
1%r 1%r efficiency of a deformation process. So, it is always
1 attempted to maintain the level of redundant deformation to
Or; r , 1 %
e a minimum in any process of deformation, if it cannot be
1 completely avoided. The redundant work is usually denoted
) Maximum ideal reduction, ðrmax Þideal ¼ 1 %
e by a factor /; which is a function of the cone angle of the die
1 and the reduction of area in deformation. In practical wire
¼1% ¼ 0:63 ¼ 63% ð14:63Þ
2:718 drawing, the redundant work factor is often small, because
) Theoretically maximum possible reduction in a single die angles used in industry are low and reductions given are
pass for non-strain-hardening rod or wire in absence of back usually heavy, but it cannot be always neglected, particularly
tension is 63%, which is greater than that for non- when die angles are high and reductions are low.
strain-hardening strip metal in absence of back tension, Equation (14.58) gives the rod or wire drawing stress
58% [see (14.20)]. without back tension considering the effect of friction, in
which the redundant work term can be included (Kalpakjian
14.6.3.2 Strain-Hardening Workpiece and Schimid 2011), as shown below:
With Friction and Back Tension )! " *
1þB 1 2 4 1%r
For a strain-hardened material, the maximum drawing stress r0F ¼ r
!0 1 % ð1 % r ÞB þ pffiffi a2
B 3 3 r
ðrF Þmax ; strictly speaking, can reach the tensile flow stress of
the material at the exit plane, i.e. at the end of the operation, ð14:65Þ
say r0S:H: ; which is appreciably greater than the mean flow where
stress r !0 : So putting rF ¼ ðrF Þmax ¼ r0S:H: ; and r0 ¼ r!0 ; in
(14.53), we get the maximum possible reduction of area, r0F the drawing stress without back tension
rmaxS:H:: ; in one pass for a strain-hardened rod or wire with considering the effect of friction when cor-
friction and back tension as follows: rected for redundant work,
668 14 Drawing: Flat Strip, Round Bar and Tube

r
!0 the mean flow stress of the material, Apart from the influence of redundant deformation
r the fractional reduction of area in drawing, through the redundant work factor / based on the parameter
B ¼ l cot a; in which l the coefficient of friction at the D; the effect of redundant deformation can also be estimated
die-workpiece interface and from the upper-bound analysis. An upper-bound solution for
a the approach semi-angle of the conical die in drawing stress that includes the effects of friction and back
radians. tension and also accounts for the redundant deformation,
derived by Avitzur (1968) is:
In (14.65), the redundant work component is given by the
4 1%r )+ ! " ! ",
term pffiffi a2 ; which shows that the larger the die 0 D1 2 a
3 3 r rF ¼ rB þ r0 2f ðaÞ ln þ pffiffi % cot a
D2 3 sin2 a
angle, a; or/and the smaller the reduction r, the greater the + ! " ,*
2 D1 2lb
redundant work. þ pffiffi mðcot aÞ ln þm
3 D 2 D2
The influence of redundant work can be taken into
account by multiplying the drawing stress by the redundant ð14:70Þ
work factor / (Rowe 1977). Hence, consideration of the
where r0F ¼ the drawing stress with back tension consider-
redundant deformation modifies the equation for the draw
ing the effect of friction when corrected for redundant work,
stress rF ; with friction but without any back tension,
rB ¼ back pulling stress, r0 ¼ the flow stress in homoge-
assuming r0 ¼ r !0 (mean flow stress) in (14.58)
neous strain condition, D1 ¼ the diameter of the ingoing
! " stock, D2 ¼ the diameter of the outgoing product, a ¼ the
1þB ' (
r0F ¼ / r!0 1 % ð1 % r ÞB ð14:66Þ approach semi-angle of the conical die in radians, m ¼ the
B
interface shear friction factor, lb ¼ the length of bearing zone
As seen from (14.66), the influence of redundant defor- of the die, and
mation is to raise the flow stress of the material through the " rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
redundant work factor /; which is again related to the 1 11
f ðaÞ ¼ 2 1 % ðcos aÞ 1 % sin2 a
deformation-zone geometry parameter, D; (introduced in sin a 12
Sect. 10.6 of Chap. 10) through the following (14.68) or 3
pffiffiffiffiffiffiffiffiffiffiffiffi
(14.69). Thus, the parameter D provides a method to treat the 1 1 þ 11=12 7
redundant deformation in rod and wire drawing (Wright þ ln pffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 5
11 - 12 2
1976). For small semidie angle, a; the parameter, D; given 11=12 cos a þ 1 % ð11=12Þ sin a
by (10.77) may be modified by assuming sin a * a:
In (14.70), the redundant deformation term is
ah pffiffiffiffiffiffiffiffiffiffi i2 + ! "
R1 2
!
a
",
D ¼ 1þ 1 % r ð14:67Þ 2f ðaÞ ln þ p ffi ffi % cot a ; in which as a ! 0) ;
r R2 2
% 3# sin a&
In commercial wire drawing, often the values of a lie in f ðaÞ ! 1; and a sin2 a % cot a ! 0:
the range from 4 to 10° and drawing reductions involved are A relatively simple expression for drawing stress based
about 20%. This corresponds to D values typically ranging on the upper-bound analysis (Hosford and Caddell 1983)
from 1.25 to 3.1. Obviously, higher die angles and lower including the redundant deformation term ð2=3Þ tan a; and
reductions correspond to higher values of D; while lower die the effect of friction is given by:
angles and higher reductions correspond to lower values of )/ *
D: Experimental studies show that the redundant work factor m 0 D1 2
r0F ¼ r0 1 þ ln þ tan a ð14:71Þ
/ is related to D by (Wistreich 1955; Caddell and Atkins sin 2a D2 3
1968)
where m = the interface friction factor. Equation (14.71)
D predicts slightly higher drawing stresses than (14.70).
/ ¼ C1 þ C2 D ¼ 0:8 þ ð14:68Þ
4:4
Another source (Hosford and Caddell 2011) suggests that 14.6.5 Drawing Stress Versus Die-cone Angle:
for various combinations of a < 30° and r < 0.5, the relation Optimum Cone Angle, Dead Zone
between / and D for axisymmetric flow, such as drawing of and Shaving
rod or wire or extrusion, is approximated as

D In Chap. 13, it has been discussed that for any combination

/ * 1þ ð14:69Þ of coefficient of friction and reduction of area, there exists an
6
14.6 Drawing of Rod and Wire
optimum semicone die angle, a; designated by aopt: ; which
gives the minimum drawing stress. It has been shown in
Fig. 13.10 that the curve of extrusion or drawing load versus
semicone angle of die initially decreases with increase of a
until aopt: is reached, where the load exhibits a minimum and
thereafter beyond aopt: ; the load increases with further
increase in a. The values of aopt: for drawing operations
usually lie between 6 and 24° depending on the values of
coefficient of friction and the amounts of reduction of area.
As the friction or the reduction of area decreases for a given
metal, the value of optimum semicone die angle also
decreases. Further, it is found in practice that the higher the
hardness of the metal to be drawn, the lower is the value of
aopt: ; because the coefficient of friction will be lower for the
harder material (see Sect. 10.3.1 in Chap. 10). For example,
the value of aopt: may be 24° for aluminium, 12° for copper
and 6° for steel. However, when all other factors are same,
the optimum die angle aopt: for round-bar drawing having
larger redundant work factor will be lower than that for strip
Fig. 14.10 Drawing or
extrusion stress as a function of
semicone angle of die, a, for
various shear friction factor, m, at
constant reduction, r α
α α
α α
α α
669
drawing. For example, if aopt: ¼ 6) for wire drawing, the
optimum die angle for strip drawing is about aopt: ¼ 15) :
Figure 14.10 shows schematically the extrusion or
drawing stress as a function of die semicone angle, a; for
various shear friction factor, m, at constant reduction, r. In
this figure, the upper level represents diagrammatically three
common modes of flow: sound flow, flow through a
dead-zone formation and shaving mode of flow. Fig-
ure 14.10 shows that beyond aopt: ; the gradual rise in the
extrusion or drawing stress with increase of a continues until
a first critical semicone die angle, acr1 ; is reached, up to
which sound flow continues. At this point, normal sound
flow changes into flow through a dead-zone formation. With
the change in the modes of flow from sound flow to
dead-zone formation, the slope of the characteristic curve in
Fig. 14.10 describing extrusion or drawing stress undergoes
a discontinuity: the stress thereafter continues unchanged
with increasing semicone angle, a; of die up to a second
critical semicone die angle, acr2 ; at which shaving mode of
α
α α α
670 14 Drawing: Flat Strip, Round Bar and Tube

flow begins and the extrusion or drawing stress starts to α

drop. Note that an increase in reduction or friction increases
the required stress for drawing or extrusion, except that
when the cone angle is in the super critical range, further
increase in friction will not affect the required stress.

Dead Zone:

A dead zone is a zone where the material adjoining the die α α

adheres to it and is immobilized. Dead-zone formation takes

place when a material, whether extruded or drawn through
the dies of increasingly high cone angle, shears within itself
to develop a dead zone of stagnant metal, which undergoes
little deformation or does not take part in the flow. The dead
zone forms a die-like flow channel through which the Fig. 14.11 Schematic plot of first critical semicone die angle, acr1 ;
workpiece passes in a still-converging kind of flow. If the versus reduction%, r%, for various shear friction factor, m
expected dead-zone semicone angle, say a1 ; is small, it can
be approximated from the relation for optimum semicone die
Shaving Mode of Flow:
angle, aopt ; by considering the full sticking condition where
the interface shear friction factor m = 1. Hence, substitution
For the processes of wire drawing, open-die extrusion and
of m = 1 into (13.9) gives:
hydrostatic extrusion, with increasing semicone angle, a;
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi/ffiffiffiffiffi.
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi0ffiffi finally a second critical semicone die angle, acr2 ; will be
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffi
a1 ¼ ð3=2Þ lnðD1 =D2 Þ ¼ ð3=2Þ ln 1 1 % r rad reached at which the transition from dead-zone formation to
shaving will occur. Actually this shift is gradual: it takes
ð14:72Þ
place over a range of die angles. When the semicone angle a
It has already been mentioned that acr1 is the limiting increases beyond acr2 ; i.e. a [ acr2 ; the dead-zone material
critical semicone angle of the die, which causes the ceases to adhere to the die and at first begins to flow back-
dead-zone formation to start. Hence, when m ¼ 1; acr1 ¼ a1 ; ward and away from the entrance at a slow rate, causing a
otherwise for m\1; acr1 [ a1 : When m = 1, the optimum, change in the slope of the curve in Fig. 14.10. With further
the first critical and the dead-zone semicone angles are increase of semicone angle a; the dead zone flows backward
identical, i.e. aopt ¼ acr1 ¼ a1 : For a given reduction, the faster and faster until it becomes chip (Avitzur 1977), as
dead-zone semicone angle, a1 ; is independent of frictional shown in Fig. 14.12. Simultaneously more and more of the
condition, i.e. remains constant for all values of m. Fig- surface material goes into the dead zone and less converges
ure 14.11 shows schematically the variations of first critical and flows through the exit of the die. In this way when the
semicone die angle, acr1 ; with percentage of reduction for converging flow terminates, the core of the workpiece moves
various shear friction factor, m. From the Fig. 14.11, several through the die undeformed plastically with essentially no
conclusions can be drawn as follows: change in diameter. This causes the exit velocity v2 to
become the same as the entrance velocity v1, i.e. v2 ¼
1. The lowermost curve shows the variation of dead-zone v1 ðD1 =D2 Þ2 ¼ v1 ; since D1 (diameter of the ingoing stock)/
semicone angle, a1 ; which increases with reduction. D2 (diameter of the worked product) = 1. At this stage, all of
2. The first critical semicone die angle, acr1 ; increases with the skin, i.e. all the material from the surface layer of the
an increase of reduction and with a decrease of friction. workpiece is shaved off. It is postulated that shaving will
3. The first critical semicone die angle, acr1 ; is always less occur for that range of variables, where less force is required
than 90°. If reduction approaches infinity, only in such for shaving. The range of dead-zone formation will decrease
case acr1 will approach 90°. Thus, for square dies having with decreasing friction for a fixed amount of reduction. So,
semicone angle a = 90°, usually applied in extrusion, for if friction is low, with increasing the cone angle, the tran-
any finite reduction, a dead zone will form with an angle sition from sound flow to shaving may occur without a range
of a1 < 90°. where a dead zone forms.
14.6 Drawing of Rod and Wire
CH
IP
WORK
TOOL
Fig. 14.12 Chip formation with sharp tool during shaving process
Dead-zone formation and shaving may be considered as
defects and are to be avoided when the purpose of drawing
or extrusion is to produce smaller sizes by plastic deforma-
tion. But the dead-zone formation is of great advantage when
the quality of the original surface of the workpiece is poor.
Because if dead zone forms the surface of the final product
will become a fresh surface sheared at the interior over the
conical surface of dead zone, although the back end is dis-
carded as a scrap. Similarly, the beneficial utilization of the
phenomenon of shaving can be made in process where the
purpose is to remove the undesired surfaces rapidly.
14.7 Tube Drawing
Tubes or hollow cylinders which are produced by hot
working process such as rolling, and extrusion or piercing
often are finished by cold drawing to obtain product with
smooth surfaces, thin walls, accurate dimensions coupled
with improved strength due to strain hardening. As discussed
earlier, the cold drawing of heat treated (if required),
cleaned, coated and pointed hot-worked tubes are usually
performed at room temperature either on the draw bench if
tubes are of large diameter and cannot be coiled, or on the
block drawing machine for tubes of small diameter, which
can be uncoiled and then recoiled after drawing. If neces-
sary, the cold-drawn tube is intermediately heat treated
between drafts in order to carry out further reduction. Gen-
erally, lubricating oil is provided at the entry side of the tube
or in the die box and particularly in the low-speed drawing
of the tube, a high-viscosity liquid or semisolid lubricant is
applied to the tube or die.
When a hollow tube is cold-drawn through a die without
any plug or mandrel to support the inner side of the tube, the
process is called tube sinking. When the inside diameter of a
tube is supported by using a plug or mandrel as the tube is
cold-drawn through the die, the process is called tube
drawing. Tube sinking is often performed on thick-walled
tubes and small-diameter tubes with diameters less than
12.7 mm, where the control of mandrel or plug is difficult. In
tube sinking, outside diameter of the tube is reduced,
accompanied usually by a slight increase in thickness of tube
671
wall. For a given die geometry, the magnitude of elongation
and wall thickening depend on the flow stress of the drawn
tube and interface friction. As there is no internal support of
the tube, tube sinking results in an uneven or wavy internal
surface and the inner diameter is uncontrolled, i.e. irregular.
Further, the redundant deformation is higher for tube sinking
because of large internal shearing of tube at the entry and
exit planes of the deformation zone and hence, the limiting
deformation for tube sinking is less than that for other pro-
cesses of tube drawing. Tube sinking due to absence of
internal support involves reverse-bending at the exit that
may cause internal cracking in the bore of the tube and so the
tube sinking is not widely used for metals of moderate or
poor ductility.
There are three major tube drawing processes with
internal support, which are (i) fixed plug drawing, (ii) float-
ing plug drawing and (iii) mobile mandrel drawing. When it
is desired to obtain a tube of smooth inner surface of con-
trolled diameter and greater dimensional accuracy than in the
tube sinking, a plug or a mandrel is employed to draw the
tube. Plug or mandrel will size the internal diameter while
the surrounding die shapes and sizes the outside of the tube.
Four methods of tube elongation by drawing with and
without internal support are shown in Fig. 14.13.
Plugs are small in size, may be cylindrical or conical in
shape and can be made of wear resistant materials. The plug,
when placed in the deformation zone of the tube, is pulled
forward by the frictional drag produced by the sliding
movement of the tube being deformed. Therefore, the plug
must be held fixed in the proper position by means of a plug
rod fastened to the plug. Fixed plug is widely used to
cold-draw large- to medium-diameter straight tubes. The
reduction in area by fixed plug drawing rarely exceeds 30%
due to the increased friction from the plug. The pickup of
metal from the bore of the moving tube by the stationary
plug is a serious problem in fixed plug drawing. The
reduction in area by fixed plug drawing is very often limited
by metal pickup than by increase in friction alone. Only
limited length of straight tubes can be drawn with fixed plug,
because the plug rod may be pulled and even broken. If a
chain instead of a rod is used to hold the plug, curved tubes
can be drawn.
For drawing tube of unlimited length, a floating plug that
positions itself in the absence of the supporting rod is
employed. A floating plug can move in axial direction
between two extreme positions (foremost and rearmost
position), as confirmed by laboratory measurements (Pernis
and Kasala 2013). The name ‘floating plug’ is given due to
its movement inside the tube. The self-positioning of the
floating plug is made practically possible by the proper
design of the plug and the die. Floating plugs can be used to
draw any length of tubing in the form of coils by using block
drawing machine at speeds as high as 10 m s−1. The
672
Fig. 14.13 Methods of tube (a)
elongation by drawing without
internal support by a sinking; and
with internal support by b fixed
plug, c floating plug, d moving
mandrel
(c)
reduction in area produced by properly designed floating
plug is 45% in contrast to 30% for fixed plug drawing.
Further, the loads required for the same reduction in area are
lower for floating plug drawing than for fixed plug drawing.
However, design of floating plug and lubrication can be
critical. The floating plug consists of a conical as well as a
cylindrical section. The cross-sectional view of the floating
plug is shown in Fig. 14.14. The cone angle of the conical
segment of the plug is slightly less than the angle of the die.
This causes the wall thickness of tube to reduce while the
tube diameter is decreased in passing through the conical
segment of the dies. Thus, the conical section of the plug
acts as working zone. The clearance between the cylindrical
segments of the plug and the die finally determines the wall
thickness of the emerging tube. The floating plug is held at
its balanced position by the equilibrium of normal force and
frictional drag acting in the conical and cylindrical section of
the plug.
Problems related to friction can be minimized if tube is
drawn with a moving long mandrel. The mandrel is a hard
rod or wire long enough to cover the entire cavity length of
the tube and drawn forward through the die at the speed at
which the tube exits the die. In the mandrel drawing, the tube
elongates and the tube wall thins down, while the mandrel
remains undeformed. Tube drawing with a moving mandrel
may produce the greatest reduction per pass, because the
drawing load imparted to the tube is carried partly by the
forward friction forces acting at the interface between the
tube and the mandrel and partly by the pulling force applied
at the exit section. Since the relative motion between the
tube and the mandrel is very small, the danger of metal
pickup from the bore of the tube is very little in mandrel
drawing. On the other hand, the disadvantages of mandrel
drawing are that the mandrel is expensive, difficult to handle
and must be removed from the tube after drawing by rolling
in a reeling mill. The reeling process causes a slight increase
14 Drawing: Flat Strip, Round Bar and Tube
(b)
(d)
in the tube diameter and reduces the dimensional accuracy.
The process of drawing with moving mandrel is also called
ironing, which is widely applied for thinning the walls of
deep-drawn shells or cups in the manufacture of artillery
shells or beverage cans.
In the three tube drawing processes (fixed plug, floating
plug and mandrel drawing), the major part of deformation
involves a large reduction of tube-wall thickness, while the
internal diameter of the tube is reduced by a small amount in
most tube drawing with a plug or mandrel, since there is
always an initial clearance for inserting plug or mandrel into
the undeformed tube bore. Hence in all practical drawing,
there is always a small proportion of sinking before the bore
of the tube contacts the plug or mandrel. Large changes in
diameter involve a high proportion of sinking which
increases the extent of redundant deformation and decreases
the efficiency of the process. To determine the drawing load,
we will consider the hypothetical close-pass drawing, in
Plug angle β
Floating plug
Entry side Exit side
Conical
section
Cylindrical
section
Fig. 14.14 Cross-sectional view of a floating plug
14.7 Tube Drawing
which the plug or mandrel fits the undeformed tube bore
exactly and there is no sinking at all.
14.7.1 Close-Pass Plug Drawing Stress and Load
Let us consider the close-pass drawing of a thin-walled hol-
low tube with a conical plug through a conical converging
die, where the total approach angle of the die at its virtual
apex is 2a, and the conical plug makes a total angle of 2b at
its virtual apex. If the plug is a cylindrical one, then the
semi-angle b = 0. Figure 14.15a shows the stresses acting on
an annular slab element of tube between the die and the plug
(Sachs et al. 1944). In the diagram, x is the horizontal axis
that increases from the exit side to the entry side of the tube.
The annular element has a mean diameter of Dm ; and a width
of dx. Its thickness varies arbitrarily from h to h + dh. On the
round outer surface of the tube in the deformation zone, the
conical die exerts a radial compressive stress and a pressure
normal to the die–job interface, which is called the die
pressure. Similarly, on the round inner surface of the tube in
the deformation zone, the conical plug exerts a radial com-
pressive stress and a pressure normal to the plug-job inter-
face, which is called the plug pressure. These stresses are
produced because the tube is drawn in the horizontal direc-
tion by a tensile force Pplug. Outward horizontal flow of the
material during the process of its deformation leads to tan-
gential shearing frictional stress, s1 ; on the circumferential
interface between the die and the tube and tangential shearing
frictional stress, s2 ; on the circumferential interface between
the tube and the plug. Hence, the directions of the friction
stresses opposing the outward horizontal flow will always be
towards the entry plane (of the deformation zone). However,
the presence of frictional shear stresses leads to the longitu-
dinal stress, rx ; in the horizontal direction, where rx increases
from the entry plane to the exit plane. Let, the thicknesses and
Fig. 14.15 a Close-pass tube (a)
drawing over a slightly tapered Die
plug showing the stresses acting h1 µ1 p
on an annular slab element of
tube between the die and the plug.
b The stresses acting on the σ x + dσ x µ2 p
annular slab element of the
thin-walled tube
D1
Plug
µ2 p
µ1 p
Die
673
mean diameters of the tube are, respectively, h1 and D1 at the
entry plane, and h2 and D2 at the exit plane. To make the
analysis simpler, the following assumptions are made.
(i) Material being drawn is assumed to be isotropic and
homogeneous.
(ii) Homogeneous deformation is assumed, i.e. internal
redundant work is neglected.
(iii) Elastic strain is neglected because plastic deforma-
tion involved in drawing is quite large compared to
insignificant elastic deformation.
(iv) The arbitrary wall thickness, h, is very small relative
to the mean diameter, Dm of the tube, which is
assumed to remain nearly constant. The tube-wall
thickness is alone changed during drawing. The hoop
strain in such conditions is negligible and so the
deformation can be assumed to take place under
plane strain conditions. This is nearly true in many
industrial passes, where the tube-wall thickness
reduces to a large extent while there is a small
reduction in the diameter.
(v) It is assumed that there is no strain hardening of the
work-piece, i.e. the plane strain flow stress or
deformation resistance, r00 ; of the material being
drawn remains constant
(vi) The die pressure on the tube is assumed to be equal
to the plug pressure on the tube and so both will be
designated by p.
(vii) The die or the plug pressure, p, is assumed to remain
constant in the deformation zone across the thickness
of the tube, because the pressure p varies little for a
thin-walled tube.
(viii) The longitudinal stress rx acting over the
cross-section of the tube is assumed to be uniformly
distributed and normal to the cross-section with no
shear component. Hence, it is a principal stress.
p
(b)
p
σx
Tube
h2 µ1 p
σ x + dσ x σx
α µ2 p
p D2 Dm
p
x
p dx
Dm β
β
h
h + dh
x α
Tube
dx
p dL c
x=0
674 14 Drawing: Flat Strip, Round Bar and Tube

(ix) The radial compressive stress, designated by rr ; is 3. Projection of the forces due to the plug pressure along the
also assumed to be a principal stress. x-axis:
(x) Coulomb’s law of sliding friction holds good at the ! "
interfaces between the conical die and the tube as dx
%p sin bðpDm dLc Þ ¼ %p sin b pDm
well as between the tube and the conical plug. In cos b
other words, s1 ¼ l1 p; and s2 ¼ l2 p; where, s1 and ¼ %ppDm tan b dx ð14:75Þ
s2 are the tangential frictional shear stresses, l1 and
l2 are the coefficients of friction, respectively, at the Since dx
dLc ¼ cos b: The negative sign indicates that the
die–tube interface and at the tube–plug interface, and
force component is acting in the direction from the entry to
p is the die pressure or the plug pressure on the tube
the exit side of the die.
normal to the contact surface.
(xi) The coefficients of friction l1 and l2 are constant at
all points, respectively, at the die–tube interface and 4. Projection of the forces due to the die friction along the x-
at the tube–plug interface. axis:
(xii) The die and plug are assumed to have straight sides ! "
dx
and so, the semi-angles a and b are constant. l1 p cos aðpDm dLc Þ ¼ l1 p cos a pDm
cos a
(xiii) It is assumed that there is no back tension, i.e. rx ¼ ¼ pl1 pDm dx ð14:76Þ
rx1 ¼ 0; at the plane of entry where h = h1
5. Projection of the forces due to the plug friction along the
According to free-body equilibrium approach, the longi- x-axis:
tudinal stresses are, respectively, rx and rx þ drx ; and the ! "
tube-wall thickness varies arbitrarily from h to h + dh, at an dx
l2 p cos bðpDm dLc Þ ¼ l2 p cos b pDm
arbitrary distances x and x þ dx; along the x-axis. cos b
Figure 14.15b shows that these longitudinal stresses along ¼ pl2 p Dm dx ð14:77Þ
with the die and plug pressures p and friction stresses l1 p
and l2 p are acting on an annular element of the tube For steady-state drawing conditions, the horizontal equi-
between the die and the plug. Considering the horizontal librium of forces acting on this annular element in the pos-
equilibrium of forces acting on this element, the longitudinal itive x-direction, i.e. from the exit to entry side is obtained by
stress rx ; at the exit plane can be determined. There are five equating the summation of five equations from (14.73) to
force components acting in horizontal direction along x-axis, (14.77) to zero. Eliminating p and Dm ; this gives
where the direction from the exit to the entry side of the die
ðrx dh þ hdrx Þ þ pðtan a % tan bÞdx þ pðl1 þ l2 Þdx ¼ 0
is considered to be positive.
ð14:78Þ
1. Due to change in longitudinal forces along the x-axis: As the element moves a distance dx, the net change in the
ðrx þ drx Þðh þ dhÞ pDm % rx h pDm wall thickness is given by dh ¼ ðtan a % tan bÞdx; which can
* ðrx dh þ h drx Þ p Dm ð14:73Þ be substituted into (14.78) that then becomes
) *
l1 þ l2
[Neglecting drx dh; because it is a product of two small ðrx dh þ h drx Þ þ p 1 þ dh ¼ 0 ð14:79Þ
tan a % tan b
quantities]
Let us denote
2. Projection of the forces due to the die pressure along the l1 þ l2
x-axis: ¼ B.plug ð14:80Þ
tan a % tan b
! "
dx
p sin a ðpDm dLc Þ ¼ p sin a pDm ¼ ppDm tan a dx
cos a
Considering the parameter given by (14.80), (14.79) may
ð14:74Þ be written as:
dx dx h / 0i
Since ¼ cos a; ) dLc ¼ : h drx þ rx þ p 1 þ B.plug dh ¼ 0 ð14:81Þ
dLc cos a
14.7 Tube Drawing 675

" !( ! "B.plug )#
As discussed in Sect. 14.6.1, consideration of radial 1 þ B.plug h
equilibrium shows that the frictional contribution to the die p¼ r00 1% 1% ð14:87Þ
B.plug h1
pressure is negligible, i.e. rr * p; [see (14.45)]. Hence, p is a
principal stress. Similar to rx ; p also varies with the position x. Equa-
As the die or plug pressure p, and the radial stress, rr; are tions (14.86) and (14.87) show that rx increases and p de-
compressive in nature and equal to each other in magnitude, creases as the arbitrary wall thickness h of the tube decreases
whereas the longitudinal stress, rx is tensile in nature, from h1 to h2. Hence at the exit plane, where the wall
therefore r1 ¼ rr ¼ p; and r2 ¼ %rx ; and the Von Mises’ thickness is h = h2, let the longitudinal stress is rx ¼ rF ;
yielding criterion for plane strain given by (1.88b) then where rF is the plug drawing stress applied for the reduction
becomes of tube wall thickness from h1 to h2.
r1 % r2 ¼ p þ rx ¼ r00 ð14:82Þ !" ! "B.plug #
1 þ B.plug h2
) Plug-drawing stress; rF ¼ r0 0
1%
where r00 = compressive flow stress in plane strain B.plug h1
condition ð14:88aÞ
% #pffiffi &
¼ 2 3 + compressive flow stress in homogeneous strain
% #pffiffi & Assuming the mean diameter Dm to remain constant, the
condition ¼ 2 3 r0 :
cross-sectional area of the tube at the entry plane is A1 ¼
Substituting for p from (14.82) into (14.81) gives pDm h1 ; and that at the exit plane is A2 ¼ pDm h2 ; so (14.88a)
can also be expressed as
drx dh
% &/ 0¼%
h
!" ! "B.plug #
rx þ r00 % rx 1 þ Bplug
.
0
1 þ B.plug A2
rF ¼ r0 . 1% ð14:88bÞ
drx dh Bplug A1
/ 0¼ ð14:83Þ
B.plug rx % r00 1 þ B.plug h
In most cases, the mean diameter of the tube does not
remain completely constant at the value of Dm ; rather the
Equation (14.83) is valid for any value of r00 and B.plug : mean diameter of the drawn tube changes from that of the
With the assumptions of r00 ; l1 ; l2 ;a and b being constants, undrawn one. The change in the outer diameter of tube may
(14.83) can be integrated that gives be appreciable. Whenever the outer or mean diameter chan-
h / 0i ges, it is more appropriate to use (14.88b) rather than
1 (14.88a). For close-pass drawing where there is no change in
ln B.plug rx % r00 1 þ B.plug ¼ ln h þ C;
B.plug the inner diameter of the tube, i.e. the inner diameter remains
where C is an integration constant: constant at a value of Di (say), suppose outer and mean
/ 0 . diameters of the tube are, respectively, Do1 and Dm1 at the
Or; B.plug rx % r00 1 þ B.plug ¼ AhBplug ð14:84Þ
entry plane, and Do2 and Dm2 at the exit plane of the defor-
. mation zone. If the outer diameter of tube changes during
where A ¼ eBplug C is a new integration constant. This inte- plug or mandrel drawing, the cross-sectional areas of the tube
gration constant A can be found as follows from the entry at entry and exit planes are considered respectively as:
boundary condition, which is at the entry plane where h ¼ & ph i
p%
h1 ; rx ¼ 0; as there is no back tension. A1 ¼ D2o1 % D2i ¼ D2o1 % ðDo1 % 2h1 Þ2
4 4
/ 0 ¼ pðDo1 % h1 Þh1 ¼ pDm1 h1 ð14:89aÞ
r00 1 þ B.plug
A¼% B.
ð14:85Þ And
h1 plug p% 2 & ph i
A2 ¼ Do2 % D2i ¼ D2o2 % ðDo2 % 2h2 Þ2
Substituting the value of A, from (14.85) into (14.84), we 4 4
¼ pðDo2 % h2 Þh2 ¼ pDm2 h2 ð14:89bÞ
get
!" ! "B.plug # The load required for plug drawing is the product of plug
1 þ B.plug h
rx ¼ r0 0
1% ð14:86Þ drawing stress rF and the cross-sectional area, A2 ; of the
.
Bplug h1 tube at the exit plane. Hence,
Plug drawing load is:
Now, the die or plug pressure, p; can also be evaluated
from (14.86) using yielding criterion given by (14.82) as P ¼ rF A2 ð14:90Þ
follows:
676 14 Drawing: Flat Strip, Round Bar and Tube

14.7.2 Close-Pass Mandrel Drawing Stress Sect. 14.7.1 cannot be used. For B.mandrel ¼ 0; the differential
(14.81) simply reduces to
In fixed plug drawing, the frictional forces at the tube–die
interface as well as at the tube–plug interface act in the hdrx þ ðrx þ pÞdh ¼ 0 ð14:93Þ
backward direction of drawing. In mandrel drawing, Substituting the condition of yielding from (14.82) into
the velocity of the mandrel is equal to the exit velocity of the (14.93), and then integrating with the boundary condition
tube and higher than the velocity of the tube enclosed in between the lower limit of h = h1, at the entry plane where
the die passage. Due to this, the mandrel will exert a forward rx ¼ 0; and the upper limit of h = h2, at the exit plane where
frictional drag on the inner contact surface of the tube. This rx ¼ rF ; we get the stress for tube drawing with a mobile
tends to nullify the backward frictional drag exerted by the cylindrical mandrel for the reduction of wall thickness from
stationary die on the outer contact surface of the tube. h1 to h2, as follows:
Hence, the direction of the friction force at the mandrel–tube
interface is opposite to that at the tube–die interface, as rZ
x ¼rF h¼h
Z 2
drx dh
shown in Fig. 14.16. The stress equation and its solution are ¼%
exactly same as those derived for plug drawing except that r00 h
rx ¼0 h¼h1
the parameter B.plug is changed to
) Mandrel-drawing stress,
l 1 % l2 l % l2
B.mandrel ¼ ¼ 1 ð14:91Þ h2 h1 1
tan a % tan b tan a rF ¼ %r00 ln ¼ r00 ln ¼ r00 ln ð14:94Þ
h1 h2 1%r
Since for a cylindrical-shaped mandrel, b ¼ tan b ¼ 0:
Hence as long as l1 [ l2 ; the stress, rF ; (say), for tube pDm ðh1 % h2 Þ
where r ¼ reduction of cross-sectional area ¼
drawing with a mobile cylindrical mandrel for the reduction pDm h1
of wall thickness from h1 to h2, and that for the reduction of h2 h2
¼1% or, ¼ 1 % r:
cross-sectional area from A1 to A2 will be given respectively h1 h1
by:
! "" ! "B.mandrel #Equation (14.94) is a familiar expression for frictionless
1 þ B.mandrel h2
Mandrel-drawing stress; rF ¼ r00 1% ideal homogeneous deformation in plane strain and is also
B.mandrel h1
applicable for plug drawing stress under frictionless
ð14:92aÞ condition.
! "" ! "B.mandrel # However, it is possible that the friction coefficient at the
.
0 1 þ Bmandrel A2 tube–mandrel interface is greater than the friction coefficient
Mandrel-drawing stress; rF ¼ r0 1 %
B.mandrel A1 at the die–tube interface, i.e. l2 [ l1 ; so that B.mandrel \0; i.e.
ð14:92bÞ B.mandrel is a negative quantity. For this, the analysis will not
be otherwise changed and (14.92) will still remain valid but
If l1 ! l2 ; or; l1 ¼ l2 ; which is often true, then for the same reduction of area, r, the mandrel drawing stress
B.mandrel ! 0; or; B.mandrel ¼ 0: Under these conditions, the can be lower than the frictionless ideal drawing stress.
solution of the stress equation obtained by integration in

Fig. 14.16 a Close-pass tube (a) (b)

drawing with a moving mandrel. Die p
µ1p σx p
b The stresses acting on the µ1p
Tube
annular slab element of the
thin-walled tube drawn between σx + d σ x σx
the die and the mandrel µ2 p µ2 p
σ x + dσ x
p p
x
Mandrel p dx
µ2p
h
h + dh
α
x
Tube
α µ1 p dx dL c
p
Die
x =0
14.7 Tube Drawing 677

To consider the strain hardening of the tube, the mean rF ¼ ðrF Þmax ¼ r0 : But strictly speaking, the value of the
!00 ; is calculated by means of
value of plane strain flow stress r maximum drawing stress ðrF Þmax can reach the value of
(10.30) and substituted for r00 into the drawing stress equa- the tensile flow stress of the material at the exit plane, i.e. at
tions for drawing with plug or moving mandrel. the end of the operation, which is appreciably greater than
the mean flow stress r!0 : In such case, the maximum possible
reduction per pass will increase and approach 1.
14.7.3 Maximum Reduction of Area in a Single
Pass
14.7.3.2 Mandrel Drawing
In mandrel drawing, the mandrel is moving with the tube
Since r = the fractional reduction of area in one pass
and hence restricts the circumferential contraction of the tube
A1 % A2 pDm ðh1 % h2 Þ h2
¼ ¼ ¼1% ; both during deformation through the die and after the
A1 pDm h1 h1 completion of deformation when the tube leaves the exit
A2 h2 plane of the deformation zone. Therefore, the plane strain
) ¼ 1 % r; or, ¼ 1 % r: conditions exist throughout, i.e. in the actual deformation
A1 h1
zone as well as after the completion of deformation. Hence,
when the maximum drawing stress, ðrF Þmax ; is equal to r00 ;
14.7.3.1 Plug Drawing the maximum possible reduction of area, rmax ; in one pass
Equations (14.88) can be written in terms of reduction of can be achieved without causing the tensile fracture of the
area, r, as tube.
!
rF 1 þ B.plug h .
i Now, by substituting rF ¼ ðrF Þmax ¼ r00 ; into (14.92), for
0 ¼ . 1 % ð1 % r ÞBplug ð14:95Þ the friction coefficient at the die–tube interface l1 [ l2
r0 Bplug
(that at the tube–mandrel interface), we get the maximum
It is possible to increase the reduction of area per pass in possible reduction of area, rmax ; per pass in mandrel drawing
plug drawing of tube till the plug-drawn tube does not as:
undergo tensile fracture ahead of the die. If the tube does not ! "
ðrF Þmax r00 1 þ B.mandrel h B.mandrel
i
strain harden appreciably, the drawing stress will be equal to ¼ ¼ 1 ¼ 1 % ð 1 % r max Þ ;
r00 r00 B.mandrel
or less than the uniaxial flow stress of the work metal, r0 ; to
avoid tensile fracture and not the plane strain flow stress r00 of
. B.mandrel 1
Or; ð1 % rmax ÞBmandrel ¼ 1 % ¼
the material, though the plane strain conditions exist in the 1 þ Bmandrel 1 þ B.mandrel
.
! "1=B.mandrel
actual deformation zone. Because there is no plug to support 1
) rmax ¼ 1 %
the inner side of the tube after the tube leaves the exit plane of 1 þ B.mandrel
the deformation zone and so, the circumference of the tube ð14:97Þ
can contract freely under the action of axially applied tensile
force. Therefore, when the maximum drawing stress, ðrF Þmax ; If the friction coefficient at the die–tube interface is the
is equal to r0 ; the maximum possible reduction of area, rmax ; same as that at the tube–mandrel interface, i.e. l1 ¼ l2 ; then
in one pass can be achieved. the parameter B.mandrel ¼ 0; and the mandrel drawing stress is
Now, by substituting rF ¼ ðrF Þmax ¼ r0 ; and r00 ¼ given by (14.94), which is the same as the frictionless strip
% pffiffi & drawing stress given by (14.18). Now, by substituting rF ¼
2= 3 r0 ; into (14.95), we get the maximum possible
ðrF Þmax ¼ r00 ; into (14.94) for l1 ¼ l2 ; we get the maximum
reduction of area, rmax ; per pass in plug drawing as:
possible reduction of area, rmax ; per pass in mandrel drawing
pffiffi !
ðrF Þmax r0 3 1 þ B.plug h .
i as:
¼ ¼ ¼ 0:866 ¼ 1 % ð1 % rmax ÞBplug ;
r00 r00 2 B.plug
! ðrF Þmax r00 1 1
¼ 0 ¼ 1 ¼ ln ; or, 1 % rmax ¼ ;
. B.plug r00 r0 1 % rmax e
Or; ð1 % rmax ÞBplug ¼ 1 % 0:866 ;
1 þ B.plug 1 1
" !#1=B.plug rmax ¼ 1 % ¼ 1 % ¼ 0:63 ¼ 63%
e 2:718
B.plug
) rmax ¼ 1 % 1 % 0:866 ð14:98Þ
1 þ B.plug
ð14:96Þ Equation (14.98) shows that the limiting reduction per
pass in mandrel drawing is 63%, which is greater than 58%,
For a strain-hardened metal, rmax may be obtained by the maximum possible reduction in a single pass in fric-
taking rF ¼ ðrF Þmax ¼ r
!0 (mean flow stress), instead of tionless strip drawing [see (14.20)], but it is of course the
678
same as that for drawing of rod or wire under frictionless
condition [see (14.63)]. If strain hardening of the tube is
considered, the maximum possible reduction per pass in
mandrel drawing will be more than that given by (14.98).
However, still greater reduction in mandrel drawing is
actually possible to achieve, if the friction coefficient at the
tube–mandrel interface is increased, i.e. l2 [ l1 ; since the
mandrel will carry some of the load.
14.7.4 Tube Sinking
In deriving load for tube sinking operation through conical
converging die, any thickening or thinning of the tube wall
that may occur is ignored. It is assumed that the outer
diameter of the tube will be reduced by the sinking operation
maintaining the tube-wall-thickness constant. For this oper-
ation, the differential equation derived by Sachs and Baldwin
(1946) is similar to that for rod and wire drawing operation
except that a modified yielding criterion is considered due to
the more complex stress system in tube sinking. This
yielding criterion is:
r1 % r2 ¼ m r0 ð14:99aÞ
where r0 is the uniaxial compressive flow stress or defor-
mation resistance of the material. The best value for the
constant multiplier m is 1.10, so that (14.99a) is given by:
r1 % r2 ¼ 1:10 r0 ð14:99bÞ
If the outer diameter of the tube before sinking is D1 and
that after sinking is D2, the equation for the drawing stress in
sinking, assuming no wall-thickness change, is given by
! "" ! "B #
1þB D2
Stress for sinking; rF ¼ 1:10 r0 1%
B D1
ð14:100Þ
where all the terms are the same as that defined in
Sect. 14.6.1, in connection with rod and wire drawing. In
(14.100) the ratio D2/D1 is raised to the power B, not 2B as
in rod and wire drawing, since the cross-sectional area of
tube in sinking is approximated by pDh; and not by ðp=4ÞD2
as in rod and wire drawing. Equation (14.100) shows that for
given values of reduction of area, die angle and coefficient of
friction, the drawing stress for tube sinking is 10% greater
due to higher yield stress than that for rod or wire drawing,
and this has been experimentally verified by Sachs and
Baldwin (1946). In most practical sinking operations, the
thickness of tube wall slightly increases, but this does not
seriously affect the stress calculated from (14.100), which is
based on no change in wall thickness.
14 Drawing: Flat Strip, Round Bar and Tube
14.7.5 Equilibrium Condition of Forces Acting
on a Floating Plug
The frictional forces exerted by the moving tube on the
floating plug acts towards the exit, which must be balanced
by the components of normal forces acting towards the
entry. For horizontal equilibrium, the summation of the
components of these normal and frictional forces operating
on the conical and cylindrical section of floating plug in the
axial direction of drawing will be zero, as shown by the
following expression according to Fig. 14.17, in which only
upper half of the floating plug is shown.
l2 Pk cos b þ l2 Pv % Pk sin b ¼ 0 ð14:101Þ
where l2 is the coefficient of friction at the plug–tube
interface, Pk and Pv are compressive loads exerted by
the tube and acting, respectively, normal to the conical
and the cylindrical sections of the plug surface in contact
with the inside surface of the tube and b is the semicone
angle of the conical working section of plug.
If the plug temporarily moves towards the entry, the
pressure on the conical surface of the plug drops and the
friction at the cylindrical segment drags the plug back to its
balanced position. If the plug is momentarily pulled forward,
the pressure on the conical surface of the plug rises so that
the plug is brought back to its balanced position. Thus, the
plug maintains its position and floats in the die throat.
If the length of the cylindrical zone of plug is zero, then
the frictional force l2 Pv ¼ 0; and (14.101) can be written as
follows:
Pk ðl2 cos b % sin bÞ ¼ 0 ð14:102aÞ
Or; tan b ¼ l2 ¼ tan f2 or; b ¼ f2 ¼ tan% 1 l2
ð14:102bÞ
where f2 is the angle of friction at the plug–tube interface. In
the absence of the cylindrical zone of plug, the condition of
stability of the floating plug can also be considered with
PK
Plug angle Pv
µ 2 PK
µ 2 Pv
β
Conical Cylindrical
section section
Entry side Exit side
Top half of floating plug
Fig. 14.17 Normal and frictional forces acting on a floating plug
14.7 Tube Drawing 679

respect to Fig. 14.15b. This stability condition is obtained ZDk ) 2 *Dk

when the horizontal component of the forces due to the plug dD=2 p D p D2k % D2v
Ak ¼ pD ¼ ¼
pressure on the tube is equal to the horizontal component of sin b 2 sin b 2 Dv 4 sin b
Dv
the forces due to the friction exerted by the plug on the tube,
ð14:107Þ
i.e. when the summation of (14.75) and (14.77) will be equal
to zero, i.e. Substitution of contact surfaces Av and Ak from (14.106)
and (14.107) into (14.105) gives
%ppDm tan b dx þ pl2 pDm dx ¼ 0 ð14:103aÞ
! 2 "
p Dk % D2v
l2 ¼ tan b ¼ tan f2 ð14:103bÞ pk ðl2 cos b % sin bÞ þ l2 pv ðp Dv Lv Þ ¼ 0
4 sin b
! "
In the absence of cylindrical zone of plug, both (14.102a) l % 2 &
and (14.103a) show the same result. Or, pk 1 % 2 Dk % D2v ¼ 4l2 pv Dv Lv
tan b
When the length of the cylindrical zone of plug is greater pv 4l2 tan b pv 4l2
than zero, the frictional force l2 Pv must be compensated by Or, D2k % D2v ¼ Dv Lv ¼ Dv Lv
pk tan b % l2 pk 1 % l2 cot b
the horizontal component of normal force Pk acting in the sffiffiffiffiffiffi!
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
ffiffiffi
conical zone of the plug. That means the semicone angle b pv 4l2
) Dk ¼ Dv Dv þ Lv
of the conical working section must be greater than the angle pk 1 % l2 cot b
of friction f2 at the plug–tube interface. Again for the ð14:108Þ
reduction of the wall thickness of the tube, the semicone
angle, b; of the conical segment must be slightly smaller where Dv is the diameter of cylindrical plug land. Again, the
than the approach semicone angle, a; of the die, i.e. b\a: straight length (not the slant length) of conical section, say
Then the relationship between angles is as follows: Lk ; of the plug [see Fig. 14.18] in contact with the inner side
of the tube can be determined from Dk as follows:
a [ b [ f2 ð14:104Þ
ðDk % Dv Þ=2
It is clear from (14.104) that for maintaining the equi- Lk ¼
librium of forces acting on the floating plug during tube "sffitan ffib
ffiffiffiffiffi! ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi"
ffiffiffi #
drawing, the die angle a and the plug angle b cannot be pv 4l2
¼ Dv Dv þ Lv % Dv =2 tan b
changed arbitrarily. Further, it can be shown from the fol- pk 1 % l2 cot b
lowing analysis that the lengths of both conical and cylin- ð14:109Þ
drical zones of the plug are dependent on each other. For
this, let us express (14.101) in terms of stress.

l2 pk cos b Ak þ l2 pv Av % pk sin b Ak ¼ 0 ð14:105Þ Die angle

α Lk

where pk and pv are pressures (compressive stresses) exerted Tube wall

pk Lv
by the tube and acting, respectively, normal to the conical µ pk pv
β
and the cylindrical sections of the plug surface in contact µ pv
with the inside surface of the tube; Ak and Av are, respec-
tively, surface areas of the conical and the cylindrical sec-
Entry side Exit side
tions of the plug in contact with the inside surface of the
dD

Dk
tube. +
D
D

Floating
In the cylindrical section of the plug, if Dv is the inner Dv (Inner diameter
plug of drawn tube)
diameter of the drawn tube land and Lv is the length in
contact with the inner side of the tube, then
µ Pk µ Pv
Av ¼ p Dv Lv ð14:106Þ
Pk Pv
Tube wall
Let, Dk is the largest diameter of the conical working
section of the plug which is in contact with the inner surface X
of the tube, as shown by point X in Fig. 14.18. In the conical
Fig. 14.18 Tube drawing over a floating plug showing respective
deformation zone of plug, considering an infinitesimal thin lengths Lk and Lv of conical and cylindrical sections of the plug in
slab whose diameter varies from D to D + dD, we get the contact with inside diameter of tube and normal and frictional stresses
relation for Ak as follows: acting on the plug
680 14 Drawing: Flat Strip, Round Bar and Tube

Equation (14.109) shows that the length of conical zone,
Lk ; of the plug which is in contact with the inner surface of
the tube is dependent on the length of cylindrical zone, Lv ; of
the plug, although it is necessary to know the value of ratio
pv =pk for actual calculation. The ratio of pv =pk for Cu–38%
Zn brass tubes reaches value of 2/3 (Pernis and Kasala
2013).
figure. The shown one and its mirror image lying below the
horizontal centre line will constitute the complete slip-line
field. The following solution is valid for the conditions stated
below:
(1) The semi-angle of the die, a ¼ constant.
(2) The reduction of area of the strip of unit width,
r ¼ 2 sin a=ð1 þ 2 sin aÞ:

14.8 Application of Slip-Line Field to Strip
Drawing
Figure 14.19a shows the slip-line field for frictionless
plane-strain strip drawing through wedge-shaped dies of
included angle 2a: Only half of the field is shown in the
The slip-line net shown in Fig. 14.19a consists of an
isosceles triangle ABC, where AC ¼ BC and a circular sector
BCD. Since the die surface is assumed to be smooth, so slip
lines CA and CB must meet the die surface AB at 45°. Again,
slip line BD must meet the horizontal centre line at 45° for
the reasons of symmetry.

Fig. 14.19 a Slip-line field and

b the corresponding hodograph
for plane-strain frictionless strip
drawing through wedge-shaped
dies

π
s

s
s p
α
s
β
s s s s
α n
p s

n
O
a p p p
a
a

p
14.8 Application of Slip-Line Field to Strip Drawing 681

It may be recalled that within the slip field, the shear yield /H ¼ %ðp=4Þ % a; and /G ¼ %p=4:
stress k is constant everywhere and the hydrostatic pressure
rm varies from point to point with change in direction of the where / is the angle of inclination of the tangent to a-lines
slip lines. measured in the anticlockwise direction from the x-axis:
From Fig. 14.19a, we find Since ðr1 ÞG ¼ rF ; hence at point G, from (10.40a) we get

h2 pffiffi h2 pffiffi ðr1 ÞG ¼ ðrm ÞG þ k ¼ 0;

AC ¼ BC ¼ BD ¼ pffiffi ; ) AB ¼ AC 2 ¼ pffiffi 2 ¼ h2
2 2 ) ðrm ÞG ¼ ðr1 ÞG %k ¼ rF % k:
ð14:110Þ
Again along the a-line GH, using (10.47a) one can write
Again AB sin a ¼ ðh1 % h2 Þ=2; ðrm ÞH ðrm ÞG
% /H ¼ % /G ;
) h1 % h2 ¼ 2 h2 sin a; ½From ð14:110Þ'; 2k 2k
h1 ðrm ÞH p rF % k p
Or, h1 ¼ h2 ð1 þ 2 sin aÞ; or, ¼ 1 þ 2 sin a ð14:111Þ Or, þ þa ¼ þ ;
h2 2k 4 2k 4
ðrm ÞH rF 1
Since for a unit width of the strip, the reduction of area is ) ¼ % % a;
2k 2k 2
r ¼ ðh1 % h2 Þ=h1 ¼ 1 % ðh2 =h1 Þ; Or, ðrm ÞH ¼ rF % k % 2ka ¼ rF % kð1 þ 2aÞ:
1 2 sin a At point H, from (10.40b):
) From ð14:111Þ; r ¼ 1 % ¼
1 þ 2 sin a 1 þ 2 sin a
ð14:112Þ ðr2 ÞH ¼ ðrm ÞH %k ¼ rF % 2kð1 þ aÞ:
From the hodograph shown in Fig. 14.19(b), we find Since p ¼ %ðr2 ÞH ; ) p ¼ 2kð1 þ aÞ % rF ð14:114Þ

Ox xc pffiffi xc Again equilibrium of forces for a unit width of the strip

¼ ; or, 2v1 ¼ ; since Ox ¼ v1 ; will give:
sinðp=4Þ sin a sin a
pffiffi h2 h1 % h2
) xc ¼ 2v1 sin a ¼ xd ¼ qd; and, rF ¼p ¼ p AB sin a;
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 2 2
xq ¼ ðxd Þ2 þ ðqdÞ2 ¼ 2v1 sin a; h2
Or, rF ¼ p h2 sin a; ½From ð14:110Þ' :
) v2 ¼ Oq ¼ Ox þ xq ¼ v1 þ 2v1 sin a 2
) rF ¼ 2 p sin a :
¼ v1 ð1 þ 2 sin aÞ; which gives
v2 Hence, from ð14:114Þ :
¼ 1 þ 2 sin a rF ¼ 2f2kð1 þ aÞ % rF g sin a;
v1
ð14:113Þ Or; rF ð1 þ 2 sin aÞ ¼ 4kð1 þ aÞ sin a;

From (14.111) and (14.113), it is seen that h1 =h2 ¼ rF 2ð1 þ aÞ sin a

v2 =v1 ; which satisfies the velocity boundary conditions, ) ¼ ð14:115Þ
2k ð1 þ 2 sin aÞ
because equal volumes of material must pass a given point
per unit time, i.e. h1 v1 ¼ h2 v2 : From (14.112) and (14.115), we get
Since here the slip lines are at 45° to the horizontal, the rF
principal stresses r1 and r2 are horizontal and vertical. Let ) ¼ r ð 1 þ aÞ ð14:116Þ
2k
us consider a point G on the boundary slip line BD. At point
G, the algebraically largest principal stress acting horizon-
tally is ðr1 ÞG ¼ rF ; where rF is the tensile drawing stress. 14.9 Upper-Bound Solution for Strip
The boundary slip line BD is a b-line because it lies at Drawing
45° to the left from the direction of the algebraically largest
principal stress r1 ; whereas the slip line GH is an a-line, Figure 14.20 shows velocity field and hodograph for fric-
since it departs to the right from the direction of r1 by the tionless plane-strain strip drawing through wedge-shaped
same angle. One can easily note that r1 ; passes through the dies of included angle 2a: Only half of the field is shown in
first and third quadrants formed by a right-handed a%b the figure. Let, the initial entry velocity of the material into
coordinate system. the die is v1 ; and the exit velocity of the material from the die
The values of angle / at points H and G in the slip-line is v2 ; where v2 [ v1 ; because the exit velocity is increased
field diagram are respectively due to reduction in the initial cross-sectional area of the
682 14 Drawing: Flat Strip, Round Bar and Tube

Fig. 14.20 a Velocity field and (a)

b the corresponding hodograph
for an upper-bound solution of
frictionless plane-strain strip
drawing through wedge-shaped
dies Die

A
α θ –α
θ–α C Ψ +α
h1 Ψ +α
ν1 Drawn metal
2
E
ν2 h2 2
Workpiece θ θ
Ψ Ψ
B D
Pulling stress
σ
Velocity field F

(b)
ν2
ν1
a c
o e
α θ Ψ θ Ψ

θ – α b Ψ +α
Ψ +α d
θ –α

Hodograph

workpiece. In the construction of the velocity field, the In a similar way,

number of triangular elements (or the number of divisions of
the platen surface) n and the angle of inclination of the first DE CD
¼ ;
velocity discontinuity h are the independent variables. These sinðh % aÞ sinðw þ aÞ
variables have been selected so that the average drawing CD sinðh % aÞ
stress, say rF ; is minimized. From the diagram in Fig. 14.20, ) DE ¼
sinðw þ aÞ
we get the following: h1 sin w sin2 ðh % aÞ
¼ ð14:120Þ
AB ¼ h1 =2 sin h ð14:117Þ 2 sin2 h sin2 ðw þ aÞ

Again, since Finally we find,

BC AB h2
¼ ; ¼ DE sin w;
sinðh % aÞ sinðw þ aÞ 2
h1 sinðh % aÞ h2 h1 sin2 w sin2 ðh % aÞ
) BC ¼ ð14:118Þ ) ¼ ; or;
2 sin h sinðw þ aÞ 2 2 sin2 h sin2 ðw þ aÞ
h2 sin2 w sin2 ðh % aÞ
Since ¼ ð14:121aÞ
h1 sin2 h sin2 ðw þ aÞ
CD BC
¼ ; If the reduction of area of the strip of unit width is given
sin w sin h
by r ¼ ðh1 % h2 Þ=h1 ; then
BC sin w
) CD ¼
sin h h2 sin2 w sin2 ðh % aÞ
h1 sin w sinðh % aÞ 1%r ¼ ¼ ð14:121bÞ
¼ ð14:119Þ h1 sin2 h sin2 ðw þ aÞ
2 sin2 h sinðw þ aÞ
14.9 Upper-Bound Solution for Strip Drawing 683

For n divisions of platen surface, cd bc

¼ ;
sinðw þ aÞ sinðh % aÞ
h2 sinn w sinn ðh % aÞ
1%r ¼ ¼ ð14:122Þ bc sinðw þ aÞ
h1 sinn h sinn ðw þ aÞ Or; cd ¼
sinðh % aÞ
1 sin w sinðh % aÞ v1 sin a sin h sinðw þ aÞ
) ð1 % r Þn ¼ ; ¼ ð14:126Þ
sin h sinðw þ aÞ sin w sin2 ðh % aÞ
sinðh % aÞ 1 sinðw þ aÞ
Or, ¼ ð1 % r Þn ; de cd cd sin h
sin h sin w ¼ ; or, de ¼
sin h sin w sin w
sin h cos a % cos h sin a
Or, v1 sin a sin2 h sinðw þ aÞ
sin !h " ¼ ð14:127Þ
1 sin w cos a þ cos w sin a sin2 w sin2 ðh % aÞ
¼ ð1 % r Þ n ;
sin w
de oe
1
Or, cos a % cot h sin a ¼ ð1 % r Þn ðcos a þ cot w sin aÞ; ¼
sin a sinð180 % w % aÞ
)

Or, cot h sin a ¼ cos a oe

¼ ;
1 1 sinðw þ aÞ
% ð1 % r Þn cos a % ð1 % r Þn cot w sin a
n o de sinðw þ aÞ
1 1
¼ 1 % ð1 % r Þn cos a % ð1 % r Þn cot w sin a; Or, oe ¼
sin a
n 1
o 1 v1 sin2 h sin2 ðw þ aÞ
) cot h ¼ 1 % ð1 % r Þn cot a % ð1 % r Þn cot w ¼ ð14:128Þ
sin2 w sin2 ðh % aÞ
ð14:123Þ
v2 sin2 h sin2 ðw þ aÞ
Again from the hodograph (velocity vector diagram) in ) ¼ ð14:129Þ
v1 sin2 w sin2 ðh % aÞ
Fig. 14.20, we get the followings:
If there are n number of triangular elements, i.e. for n
ab oa v1 sin a
¼ ; or, ab ¼ ð14:124Þ divisions of the platen surface,
sin a sinðh % aÞ sinðh % aÞ
v1 sinn w sinn ðh % aÞ
bc ab ¼ ð14:130Þ
¼ ; or; v2 sinn h sinn ðw þ aÞ
sin h sin w
ab sin h v1 sin a sin h From (14.122) and (14.130), it is seen that h1 =h2 ¼
bc ¼ ¼ ð14:125Þ v2 =v1 ; which satisfies the velocity boundary conditions,
sin w sin w sinðh % aÞ
because equal volumes of material must pass a given point
per unit time, i.e. h1 v1 ¼ h2 v2 ; for strip of unit width.
Now, from (10.61), the rate of internal energy con-
sumption caused by the internal flow field is:

d (W .D.)
= k [ AB ⋅ ab + BC ⋅ bc + CD ⋅ cd + DE ⋅ de ]
dt
 h1 sin (θ − α ) 
 h1 ⋅ v1 sin α + ⋅ 1
v sin α sin θ 
 2sin θ sin (θ − α ) 2 sin θ sin (ψ + α ) sinψ sin (θ − α ) 
 
 h1 sinψ sin (θ − α ) v1 sin α sin θ sin (ψ + α ) 
=k  + ⋅ 
 2sin 2 θ sin (ψ + α ) sinψ sin 2 (θ − α ) 
 
 h1 sinψ sin 2 (θ − α ) v1 sin α sin 2 θ sin (ψ + α ) 
+ ⋅ 
 2 sin 2 θ sin 2 (ψ + α ) sin 2 ψ sin 2 (θ − α ) 
 

 h1 v1 sin α h1 v1 sin α h1 v1 sin α h1 v1 sin α 

=k  + + + 
 2sin θ sin (θ − α ) 2sinψ sin (ψ + α ) 2sin θ sin (θ − α ) 2sinψ sin (ψ + α ) 

d (W .D.)  1 1 
∴ = k h1 v1 sin α  + 
dt  sin θ sin (θ − α ) sin ψ sin (ψ + α ) (14.131)
684 14 Drawing: Flat Strip, Round Bar and Tube

For n divisions of the platen surface, From the last column of Table 14.1, considering the lowest
) * value of ½f1= sin h sinðh % aÞg þ f1= sin w sinðw þ aÞg';
d ðW:D:Þ nkh1 v1 sin a 1 1 which is 4.6946, we get from (14.134)
¼ þ
dt 2 sin h sinðh % aÞ sin w sinðw þ aÞ
ð14:132Þ rF sinð10) Þ
¼ + 4:6946 ¼ 0:4076 ð14:136Þ
2k 2
Again, the rate of external work done with the tensile
drawing stress of rF is

d ðW:D:Þ h2 v 2 h1 v 1 Case II when the number of divisions of the platen surface

¼ rF ¼ rF ð14:133Þ
dt 2 2 n ¼ 2; then, from (14.123), we get
Equating (14.132) with (14.133) for dðW:D:Þ=dt; we
obtain

h1 v1 n k h1 v1 sin α  1 1 
σF =  + 
2 2  sin θ sin (θ − α ) sinψ sin (ψ + α ) 

σF n sin α  1 1 
∴ =  + 
2k 2  sin θ sin (θ − α ) sinψ sin (ψ + α )  (14.134)

Example n 1
o 1
cot h ¼ 1 % ð1 % r Þn cot a % ð1 % r Þn cot w
Suppose, the reduction r ¼ 0:3303; and semi-angle of the n 1
o 1

die a = 10°. ¼ 1 % ð0:6697Þ2 cotð10) Þ % ð0:6697Þ2 cot w

¼ 1:0299 % 0:8184 cot w
Case I when the number of divisions of the platen surface
ð14:137Þ
n ¼ 1; then, from (14.123) we get
Again for different values of w; the values of h using
cot h ¼ r cot a % ð1 % r Þ cot w (14.137) and also the values of the bracketed part of (14.134)
¼ 0:3303 cotð10) Þ % ð1 % 0:3303Þ cot w are calculated and given in Table 14.2.
¼ 1:8732 % 0:6697 cot w ð14:135Þ From the last column of Table 14.2, considering the lowest
value of ½f1= sin h sinðh % aÞg þ f1= sin w sinðw þ aÞg';
For different values of w; let us calculate the values of h which is 2.7046, we get from (14.134)
using (14.135) and also the values of the bracketed part of
(14.134), all of which are produced below in the tabular rF 2 sinð10) Þ
¼ + 2:7046 ¼ 0:4696 ð14:138Þ
form in Table 14.1. 2k 2

Table 14.1 Intermediate steps w h wþa h%a sin w sin h sinðw þ aÞ sinðh % aÞ
to compute tensile drawing stress, (Degree) (Degree) (Degree) (Degree)
when the number of divisions of
the platen surface is one 45 39.7235 55 29.7235 0.7071 0.6391 0.8192 0.4958
40 42.9278 50 32.9278 0.6428 0.6811 0.7660 0.5436
35 47.4864 45 37.4864 0.5736 0.7371 0.7071 0.6086
30 54.5018 40 44.5018 0.5000 0.8141 0.6428 0.7009
sin h sinðh % aÞ sin w sinðw þ aÞ 1 1
þ
sin h sinðh % aÞ sin w sinðw þ aÞ
0.3169 0.5793 4.8818
0.3702 0.4924 4.7321
0.4486 0.4056 4.6946
0.5706 0.3214 4.8639
14.9 Upper-Bound Solution for Strip Drawing 685

Table 14.2 Intermediate steps to compute tensile drawing stress, when the number of divisions of the platen surface is two
w h wþa h%a 1 1
þ
(Degree) (Degree) (Degree) (Degree) sin h sinðh % aÞ sin w sinðw þ aÞ
50 71.0588 60 61.0588 2.7145
60 60.8649 70 50.8649 2.7046
70 53.7949 80 43.7949 2.8711

Table 14.3 Summary of computation for tensile drawing stress when

after the drawing operation, the true strain up to which the
the numbers of divisions of the platen surface are one and two
rod has been deformed is:
r a n rF =2k
' (
0.3303 10) 1 0:4076 e1 ¼ lnðA1 =A2 Þ ¼ ln ðp=4Þ112 =ðp=4Þ92 ¼ 0:4:
2 0:4696
It is given that at R ¼ 1:65; i.e. at eR ¼ 0:5; the defor-
mation resistance of the metal is r0R ¼ 400 N=mm2 ; and at
Summary of the above computation is shown in e ¼ 0; the initial deformation resistance is r00 ¼
Table 14.3. 200 N=mm2 : Since the flow stress varies linearly, so at e1 ¼
rF
Hence, the answer will be the lowest value of ; i.e. 0:4; the flow stress will be:
2k
rF
¼ 0:4076: r01 ¼ 200 þ ½ð400 % 200Þ=0:5' + 0:4 ¼ 360 N=mm2 :
2k
Hence, average flow stress of the metal is:

14.10 Solved Problems !0 ¼ ðr00 þ r01 Þ=2 ¼ ð200 þ 360Þ=2 ¼ 280 N=mm2 :
r

14.10.1. A round steel rod of 11 mm diameter is drawn As the semicone angle of die is a = 5°, and the coefficient
homogeneously at a speed of 2 m=s through a conical of friction at the rod–die interface is l ¼ 0:07; so,
converging die with a total included die angle of 10° to B ¼ l cot a ¼ 0:07 cot 5) ¼ 0:8:
produce rod of 9 mm diameter. The coefficient of friction at (a) As there is no back tension, the drawing stress rF
the rod–die interface is 0.07. A tensile test on the same steel according to (14.58) is:
shows that its flow stress varies linearly from an initial value
! "" ! "2B #
of 200 to 400 MPa at a reduction ratio of 1.65. Assume that 1þB D2
there is no back tension and determine the following: rF ¼ r!0 1%
B D1
(a) Drawing load. % &
(b) Power required for the above drawing operation, Hence, the drawing load P is given by P ¼ rF + pD22 =4
assuming 100% efficiency of the electric motor supplying " ! "( ! "2B )#! 2 "
the power. 1þB D2 pD2
)P¼ r !0 1%
(c) If all the work due to plastic deformation and friction is B D1 4
" ! " ( ! "2+0:8 )#! "
converted into heat, what would be the temperature rise of 1 þ 0:8 9 p + 92
the wire? The properties of the steel are as follows: ¼ 280 + + 1% N
0:8 11 4
Density ¼ 7850 kg m%3 ; and specific heat ¼ 486 J kg%1 K%1 : ¼ 11006:85 N ¼ 11 kN:
Solution
(b) As the drawing speed is v ¼ 2 m=s; so the drawing
The true strain corresponding to the given reduction ratio power assuming 100% efficiency will be [see (14.55)]:
R ¼ 1:65 is:
P + v ¼ ð11006:85 + 2Þ J s%1 or W ¼ 22013:7 W ¼ 22 kW:
eR ¼ ln R ¼ ln 1:65 ¼ 0:5:
Given that the diameter of the rod before drawing is D1 ¼ (c) If we assume the length of the drawn wire is L m, then
11 mm; and that after drawing is D2 ¼ 9 mm: If A1 and A2 work done by the load in drawing a length of L m of wire is:
are cross-sectional areas of the rod, respectively, before and P + L ¼ ð11006:85 + LÞ N m:
686 14 Drawing: Flat Strip, Round Bar and Tube

Given that the density of steel is q ¼ 7850 kg m%3 ; and its !0 between initial strain of 0 and the
a mean flow stress r
specific heat is C ¼ 486 J Kg%1 K%1 : Hence, the mass of the maximum theoretical true strain ðemax Þideal ¼ 1: Hence,
wire is: according to Hollomon true stress–strain relation, the mean
flow stress is:
m ¼ volume of the drawn wire + its density
)! " * ðemax
RÞideal R1
p + 0:0092 r0 de Ke0:5 de
¼ L + 7850 kg ¼ ð0:5 LÞkg:
4 r
!0 ¼ 0
¼
0
ðemax
RÞideal R1
If DT is the temperature rise of the wire, then e de e de
0 0
P + L ¼ m + C + DT; K ð1Þ0:5 þ 1 K
¼ ¼ :
Or; 11006:85 + L ¼ ð0:5 LÞ + 486 + DT 0:5 þ 1 1 1:5
11006:85 + L ' (
) DT ¼ K ¼ 45:3) C: Substituting ðrF Þideal ¼ ðrF Þmax ideal ¼ K; and r0 ¼ r!0 ¼
ð0:5 LÞ + 486
K=1:5; into (14.60), we get the maximum reduction, rmax ; as
follows:
14.10.2. Assume that a wire strain-hardens according to ! "
Hollomon true stress–strain relation with strain-hardening K 1 1
K¼ ln ; or; ln ¼ 1:5;
exponent of 0.5 and there is no back tension. If the hardened 1:5 1 % rmax 1 % rmax
wire can sustain a maximum tensile stress corresponding to 1
) rmax ¼ 1 % ¼ 0:777 ¼ 77:7%:
the maximum ideal reduction per pass for a non-hardened expð1:5Þ
frictionless wire drawing without back tension, what will be
Since n ¼ strain-hardening exponent ¼ 0:5; so the
the maximum possible reduction per pass for the above
expression for the maximum possible reduction per pass in
strain-hardened wire, during its frictionless homogeneous
terms of strain-hardening exponent is:
drawing operation? Show an expression for the maximum
possible reduction per pass in terms of strain-hardening 1
exponent. rmax ¼ 1 % :
expðn þ 1Þ
Solution
The Hollomon true stress–strain relation given by (1.90a) is: 14.10.3. The cross-sectional area of a metal wire with
r ¼ K en ; where K ¼ strength coefficient, and n ¼ diameter of 4 mm, subjected to a back tensile force of 1 kN,
strain-hardening exponent ¼ 0:5 (given), i.e. r ¼ K e0:5 : is reduced by 50% by drawing homogeneously through a
The maximum ideal reduction of a non-hardened fric- conical converging die with a total included die angle of 12°.
tionless wire drawing according to (14.63) is: ðrmax Þideal ¼ The flow curve of the metal is described by Hollomon
1 % ð1=eÞ: Hence, the maximum ideal true strain in fric- parabolic stress–strain relation with strength coefficient of
tionless condition corresponding to ðrmax Þideal is: 1200 MPa and strain-hardening exponent of 0.4. If the
coefficient of friction at the wire–die interface is 0.053,
1 1 determine the maximum possible reduction for the hardened
ðemax Þideal ¼ ln ¼ ln
1 % ðrmax Þideal 1 % ½1 % ð1=eÞ' wire.
¼ ln e ¼ 1: Solution
Given that the strain-hardened wire can sustain a maxi- Since the diameter of the wire before drawing is D1 ¼ 4 mm;
mum tensile stress corresponding to ðemax Þideal : Therefore, so the back tension is:
the maximum drawing stress for the strain-hardened wire
during a frictionless homogeneous drawing operation is: back tensile force 1000 + 4
rB ¼ % 2& ¼ N=mm2
pD1 =4 p + 42
' (
ðrF Þmax ideal ¼ the value of r atðemax Þideal ¼ 79:6 N=mm2 :
¼ K ðemax Þ0:5
ideal ¼ K ð1Þ
0:5
¼ K:
The true strain corresponding to the given fractional
The maximum possible reduction during a frictionless reduction in area r ¼ 0:5 is:
homogeneous drawing operation for the above
1 1
strain-hardened wire can be obtained by replacing the uni- er ¼ ln ¼ ln ¼ 0:69:
1%r 1 % 0:5
form flow stress r0 in (14.60) for a non-hardened wire, with
14.10 Solved Problems 687

Hence, the mean flow stress between initial strain of 0 14.10.4. A copper tube with outside diameter of 30 mm and
and strain after deformation er ¼ 0:69 is: thickness of 2.5 mm is close-pass drawn homogeneously
0:69 using a conical fixed plug with a semi-angle of 3° through a
Rer R
r0 de 1200e0:4 de conical die with a semi-angle of 15° to produce outside
r
!0 ¼ 0
¼ 0
MPa diameter of 27 mm and thickness of 2 mm. The plane strain
Rer 0:69
R flow stress of copper is 300 MPa. Assuming plane-strain
e de e de
0 0 condition and the coefficient of friction at the tube–die
1200 ð0:69Þ 0:4 þ 1 # # interface to be 0.06 and that at the tube–plug interface to be
¼ - N mm2 ¼ 738:9 N mm2 : 0.09, determine the drawing load and power required at a
0:4 þ 1 0:69
drawing speed of 1.5 m=s; assuming 90% efficiency of the
As the semicone angle of die is a = 6°, and the coefficient power unit.
of friction at the wire–die interface is l ¼ 0:053; so,
B ¼ l cot a ¼ 0:053 cot 6) ¼ 0:5:
Solution
As a first approximation if we assume that the maximum
drawing stress ðrF Þmax ¼ r0S:H: ¼ r
!0 ðmean flow stressÞ; then Given that the plane strain flow stress of copper tube is
#
(14.64) reduces to r00 ¼ 300 N mm2 : The coefficient of friction at the tube–die
) * interface is l1 ¼ 0:06; and that at the tube–plug interface is
1 % fB! r0 g 1=B
r0 =ð1 þ BÞ!
rmaxS:H: ¼ 1 % l2 ¼ 0:09: The semicone angle of the die is a = 15° and that
1 % fBrB =ð1 þ BÞ!r0 g
) *1=B of the plug is b = 3°. Hence, from (14.80), B.plug ¼
1=ð1 þ BÞ
¼1% l1 þ l2 0:06 þ 0:09
1 % fBrB =ð1 þ BÞ!r0 g ¼ ¼ 0:7:
tan a % tan b tan 15) % tan 3)
Hence, the above equation can be applied to get an The initial outside diameter of the tube is Do1 ¼ 30 mm;
approximate maximum reduction of area, ðrmaxS:H: Þapprox: ; as and the thickness is h1 ¼ 2:5 mm: After drawing, the outside
follows: diameter is Do2 ¼ 27 mm; and the thickness is h2 ¼ 2 mm:
) + ,* 1=B Hence from (14.89), the cross-sectional areas of the tube
BrB
ðrmaxS:H: Þapprox: ¼ 1 % 1= ð1 þ BÞ % before and after drawing are respectively:
r
!0
) + ,*
0:5 + 79:6 1=0:5 A1 ¼ pðDo1 % h1 Þh1 ¼ pð27:5 + 2:5Þmm2 ¼ 216 mm2 ;
¼ 1 % 1= ð1 þ 0:5Þ % ¼ 0:522:
738:9
and
The true strain corresponding to the approximate maxi- A2 ¼ pðDo2 % h2 Þh2 ¼ pð25 + 2Þmm2 ¼ 157:08 mm2 :
mum reduction in area, ðrmax Þapprox: ; is:
Using (14.88b), we get the plug drawing stress:
1 1 !" ! "B.plug #
emax ¼ ln ¼ ln ¼ 0:74: 1 þ B.plug
1 % ðrmax Þapprox: 1 % 0:522 0 A2
rF ¼ r0 . 1%
Bplug A1
The value of the tensile flow stress of the strain-hardened ! "" ! " #
metal at the exit plane, where the maximum true strain is 1 þ 0:7 157:08 0:7
¼ 300 1% N=mm2
emax ¼ 0:74; is: 0:7 216

r0S:H: ¼ 1200e0:4 0:4 2 ¼ 145:61 N/mm2 :

max ¼ 1200 ð0:74Þ N=mm
¼ 1063:8 N=mm2 : Hence from (14.90) the required plug drawing load is:
For a strain-hardened metal, the value of the maximum P ¼ rF A2 ¼ 145:61 + 157:08 N
drawing stress, ðrF Þmax ; can reach the value of r0S:H: ; i.e.
¼ 22872:42 N ¼ 22:87 kN:
ðrF Þmax ¼ r0S:H: : Hence, the maximum possible reduction of
area according to (14.64) is: As the drawing speed is v ¼ 1:5 m=s; so the drawing
) * power assuming 100% efficiency will be:
r0 g 1=B
1 % fBr0S:H: =ð1 þ BÞ!
rmaxS:H: ¼ 1 %
1 % fBrB =ð1 þ BÞ! r0 g P + v ¼ ð22872:42 + 1:5Þ J s%1
) *
1 % f0:5 + 1063:8=ð1 þ 0:5Þ + 738:9g 1=0:5 Or, the minimum drawing power ¼ 34308:63 W:
¼1%
1 % f0:5 + 79:6=ð1 þ 0:5Þ + 738:9g
¼ 0:709 ¼ 70:9%:
688 14 Drawing: Flat Strip, Round Bar and Tube

Since the efficiency of the power unit is g ¼ 90%; so the Drawing stress;
actual drawing power required is: ) *
h2
rF ¼ r00 1 % expðlH2 % lH1 Þ
P + v 34308:63 h1
¼ W ¼ 38120:7 W ¼ 38:12 kW: ) *
g 0:9 h 2
¼ r00 1 % expð%lH1 Þ ð14:139Þ
h1
[Note that if we would use (14.88a) to get the plug
drawing stress, then Using (14.39), we get the drawing stress for cylindrical
!" ! "B.plug # dies:
0
1 þ B.plug h2 ) *
rF ¼ r0 1% h2
B.plug h1 0
ðrF Þcylindrical ¼ r0 1 % expð%lH1 Þ
! "" ! "0:7 # h1
) *
1 þ 0:7 2 2:5
¼ 300 1% N/mm2 ¼ 500 1 % expð%0:09 + 3:1615Þ N=mm2
0:7 2:5 5
(
¼ 105:36 N=mm2 : ¼ 311:91N=mm2 :

The cross-sectional area after reduction is:

14.10.5. Calculate the drawing load required for 50%
reduction in area of a 30 mm wide by 5-mm-thick steel strip A2 ¼ h2 + width of the strip ¼ 2:5 + 30 mm2 ¼ 75 mm2 :
using cylindrical dies of 10 mm radius under plane strain Hence, the drawing load required for cylindrical dies is:
condition without any back tension. Compare this load with
the loads required when wedge-shaped dies with a Pcylindrical ¼ ðrF Þcylindrical +A2 ¼¼ ð311:91 + 75ÞN
semi-angle (a) equal to the entry angle and (b) equal to the ¼ 23393:25N ¼ 23:4 kN:
mean angle of cylindrical dies are used for the same strip
drawing under plane strain condition without any back ten- (a) When the entry angle to the wedge-shaped die is a ¼
sion. Assume that the average plane strain flow stress of steel a1 ¼ 0:505 rad; then
is 500 MPa and the coefficient of friction at the job–die
interface is 0.09. Neglect the redundant deformation, if any. B ¼ l cot a ¼ 0:09 cotð0:505Þ ¼ 0:163:

Solution Using (14.12), we get the drawing stress for

wedge-shaped dies:
Given that the average plane strain flow stress of steel is
! "" ! "B #
r00 ¼ 500 N=mm2 ; and the coefficient of friction at the job– 1þB h2
die interface is l ¼ 0:09: The cylindrical die radius is R ¼ ðrF Þwedge ¼ r00 1%
B h1
10 mm; the thickness of the strip before drawing is h1 ¼ ! "" ! "0:163 #
5 mm; and that after fractional reduction of 0.5 is h2 ¼ 1 þ 0:163 2:5
¼ 500 1% N=mm2
ð1 % 0:5Þ + 5 mm ¼ 2:5 mm: Hence, according to (12.7) the 0:163 5
initial angle of contact of the strip at the entry to the cylin-
¼ 381:13 N=mm2 :
drical die is:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffi rffiffiffiffiffiffiffiffiffiffiffiffiffiffi Hence, the drawing load required for wedge-shaped dies is:
%1 h1 % h2 %1 5 % 2:5
a1 ¼ 2 sin ¼ 2 sin rad
4R 4 + 10 Pwedge ¼ ðrF Þwedge +A2 ¼ ð381:13 + 75ÞN
¼ 0:505 rad: ¼ 28584:75N ¼ 28:58 kN:
According to (14.36b): Pwedge % Pcylindrical
rffiffiffiffi !rffiffiffiffi " * + 100
Pcylindrical
R %1 R
H1 ¼ 2 tan a1 28584:75 % 23393:25
h2 h2 ¼ + 100 ¼ 22:2%;
rffiffiffiffiffiffi "rffiffiffiffiffiffi # 23393:25
10 %1 10
¼2 tan ð0:505Þ So, the load required for wedge-shaped dies is 22%
2:5 2:5
higher than that required for cylindrical dies when the entry
¼ 3:1615: angle is the same for both dies.
14.10 Solved Problems 689

(b) When the entry angle to the wedge-shaped die is a ¼ (a) Since the coefficient of friction at the tube–plug interface
ða1 þ 0Þ=2 ¼ ð0:505 þ 0Þ=2 rad ¼ 0:2525 rad; then B ¼ l is l2 ¼ 0:05; so according to either (14.102b) or (14.103b)
cot a ¼ 0:09 cotð0:2525Þ ¼ 0:349: the semicone angle of the floating plug is:
)
Using (14.12), we get the drawing stress for b ¼ tan%1 l2 ¼ tan%1 ð0:05Þ ¼ 2:86 ¼ 2) 510 3600 :
wedge-shaped dies:
(b) Since tan b ¼ l2 ¼ 0:05; so from (14.80):
! "" ! "B #
0 1þB h2 l1 þ l2 0:05 þ 0:05
ðrF Þwedge ¼ r0 1% B.plug ¼ ¼ ¼ 0:502:
B h1 tan a % tan b tan 14) % 0:05
! "" ! "0:349 #
1 þ 0:349 2:5 Using (14.88a), we get the plug drawing stress:
¼ 500 1% N=mm2
0:349 5 !"
! "B.plug #
1 þ B.plug h2
2 rF ¼ r00 1%
¼ 415:27 N=mm : B.plug h1
! "" ! "0:502 #
Hence, the drawing load required for wedge-shaped dies 1 þ 0:502 2:4
¼ 280 1% N=mm2 ¼ 88:78 N=mm2 :
is: 0:502 3

Pwedge ¼ ðrF Þwedge +A2 ¼ ð415:27 + 75ÞN

Since the outside diameter of the drawn tube is Do2 ¼
¼ 31145:25N ¼ 31:15kN: 30 mm; therefore the cross-sectional area of the tube after
drawing (14.89b) is:
Pwedge % Pcylindrical 31145:25 % 23393:25
* + 100 ¼ + 100 p% 2 &
Pcylindrical 23393:25 A2 ¼ Do2 % D2i ¼ pðDo2 % h2 Þh2 ¼ pð27:6 + 2:4Þmm2
4
¼ 33:14%; ¼ 208:1 mm2 :

So, the load required for wedge-shaped dies is 33%
higher than that required for cylindrical dies when the entry
angle of the former is equal to the mean angle of the latter.
14.10.6. A copper tube having an average plane strain flow
stress of 280 MPa is close-pass drawn homogeneously
through a conical die with an included total angle of 28°
using a suitable conical floating plug (without having any
cylindrical zone) at a speed of 1:3 m=s under plane-strain
condition. The thickness of the tube is reduced from 3 to
2.4 mm while the outside diameter of the tube remains
unaltered at a value of 30 mm. If the coefficient of friction is
0.05 at the tube–die as well as the tube–plug interfaces,
(a) What will be the semicone angle of the floating plug?
(b) What is the power required for the above drawing
operation assuming 88% efficiency of the motor supplying
power?
Hence, from (14.90) the plug drawing load is:
P ¼ rF A2 ¼ ð88:78 + 208:1ÞN ¼ 18475:12 N:
As the drawing speed is v ¼ 1:3 m=s; so the drawing power
assuming 100% efficiency will be: P + v ¼ 18475:12+
1:3 J s%1 i:e:; the minimum drawing power ¼ 24017:656 W:
Since the efficiency of the motor supplying power is g ¼
88 %; so the actual drawing power required is:
P + v 24017:656
¼ W ¼ 27292:8 W ¼ 27:3 kW:
g 0:88
Exercise
14.Ex.1. For the solved problem in Sect. 14.10.4, calculate
the die pressure at the entry as well as at the exit plane of the
deformation zone.

14.Ex.2. A steel tube of outer diameter of 110 mm and wall

Solution
Given that the average plane strain flow stress of copper is
r00 ¼ 280 N=mm2 ; the semicone angle of the die is a = 14°,
the coefficient of friction at the tube–die interface is l1 ¼
0:05: The thickness of the tube before drawing is h1 ¼
3 mm; and that after drawing is h2 ¼ 2:4 mm:
thickness of 10 mm is homogeneously reduced to outer
diameter of 98 mm without any change in the wall thickness
by sinking operation, using a conical die of semi-angle 12°,
and a lubricant providing the coefficient of friction = 0.1. If
the mean uniaxial flow stress of the steel is 400 MPa, cal-
culate the load required for sinking.
690
14.Ex.3. Calculate the smallest diameter up to which a
non-hardening wire with an initial diameter of 4 mm could
be homogeneously drawn without friction and back tension
in consecutive three passes. Write a formula for the
obtainable smallest diameter of a wire in terms of its initial
diameter after consecutive passes for n times.
14.Ex.4. A stainless steel tube having plane-strain defor-
mation resistance of 700 MPa is subjected to close-pass
drawing through a conical die with a semi-angle of 20°.
Close-pass drawing is performed separately using a conical
fixed plug with a semi-angle of 10° and a cylindrical man-
drel. In both cases, the cross-sectional area is homoge-
neously reduced by 30% under plane strain condition with
the application of a pulling force of 220 KN. Assume that
the coefficient of friction is 0.08 at the tube–die as well as at
the tube–support interface. Compute the maximum area of
the drawn product in both cases and indicate which one will
produce larger area.
14.Ex.5. Compare the load required for close-pass cylin-
drical fixed plug drawing with that for close-pass cylindrical
mandrel drawing of a copper tube through a conical die
having a semi-angle of 12° under plane-strain condition. The
wall thickness of the tube before drawing is 3 mm and that
after drawing is 2 mm, while the mean diameter of the tube
remains unaltered. Assume that the coefficient of friction is
0.08 at the tube–die as well as at the tube–support interface
and neglect the redundant deformation, if any.
14.Ex.6. An aluminium tube is close-pass drawn homoge-
neously with cylindrical fixed plug through a conical die
with a semi-angle of 20° under plane-strain condition to
produce 30% reduction in area without any change in the
diameter. If the coefficient of friction at all interfaces is 0.06
and 0.12 obtained by using two different lubricants, what
will be the percentage contribution of friction to the drawing
stress for both the lubricants?
14.Ex.7. A 30 mm wide by 5-mm-thick copper strip is given
40% reduction of area by plane-strain drawing without any
back tension through wedge-shaped dies with an included
total angle of 16°. A cylindrical rod of the same initial
cross-sectional area is given an equal reduction in area by
drawing through a conical die having the same included
angle. Assume that the average plane strain flow stress of
copper is 280 MPa and the coefficient of friction at the job–
die interface is 0.1. Neglecting the redundant deformation,
determine the loads required for strip drawing as well as for
rod drawing and compare the drawing loads.
14.Ex.8. If a non-strain-hardening wire is entering a die at a
speed of 2.25 m=s and drawing block is rotating at a speed
14 Drawing: Flat Strip, Round Bar and Tube
of 400 rpm. Assuming the maximum possible reduction in a
single pass under frictionless homogeneous ideal deforma-
tion condition without any back tension and no slippage
between the wire and the drawing block, calculate the
diameter of the drawing block.
14.Ex.9. The flow stress of a non-strain-hardening wire with
initial diameter of 4 mm is 600 MPa. The wire is subjected
to the maximum ideal reduction under frictionless condition.
If the wire is homogeneously drawn without any back ten-
sion at a speed of 300 m=min; what will be the overall power
requirement for the deformation occurring in a single pass
assuming the efficiency of the power unit to be 85%?
14.Ex.10. If the interface friction factor is 0.1 and the
drawing stress during sound flow shows a minimum for a
conical converging die with a total included angle of 24
degree, calculate the percentage reduction during the draw-
ing operation under the above condition.
14.Ex.11. An electric motor with a power of 22.5 kW is
required for frictionless drawing of a round steel bar at a
speed of 1:5 m=s using a draw bench. If the diameter of the
drawn rod after a single pass is 12 mm and average flow
stress of steel is 300 MPa, calculate the initial diameter of
the bar that has been drawn homogeneously under friction-
less ideal condition without any back tension assuming
efficiency of the motor to be 100%.
14.Ex.12. A metal wire of 12.7 mm diameter is drawn
homogeneously through a conical converging die with a
total die angle of 12° to produce a wire of 10.2 mm diam-
eter. The coefficient of friction at the job–die interface is 0.1.
If a back tensile force of 6334 N is applied during drawing
operation and the metal obeys the Ludwik stress–strain
relation with yield stress of 207 MPa, strength coefficient of
301 MPa and strain-hardening exponent of 0.54, determine
the maximum possible reduction for the above
strain-hardened wire.
14.Ex.13. What is the maximum possible reduction in a
single close pass with a non-hardened tube on a fixed par-
allel plug through a conical die with an included total angle
of 30°, where the coefficient of friction is 0.1 at the tube–die
as well as the tube–plug interface? Assume that plane strain
condition exists in the actual deformation zone, and neglect
redundant deformation, if any.
14.Ex.14. A 100-mm-wide metal strip of 4 mm thickness is
homogeneously drawn without any back tension under
plane-strain condition at a speed of 1:5 m=s through a
wedge-shaped dies with total included angle of 24° to reduce
its thickness to 3 mm. The average uniaxial flow stress of the
14.10 Solved Problems 691

strip metal is 440 MPa. The coefficient of friction at the (A) Impact extrusion; (B) Rolling;
strip–die interface is 0.09, and the density of the strip metal (C) Forging; (D) Cold drawing.
is 8800 kg=m3 : Determine the total work expended in (i) The type of defects observed in rod and wire drawing is:
drawing an 800 kg coil of the metal strip and the time
required to draw the coil. (A) Alligatoring; (B) Flash cracking;
(C) Chevron cracking; (D) Earing.
14.Ex.15. Indicate the correct or most appropriate answer (j) Which of the following will give the highest optimum
from the following multiple choices: semicone die angle?
(a) Which of the following will give the lowest optimum (A) Strip drawing with friction factor m ¼ 0:6;
semicone die angle? (B) Rod drawing with m ¼ 0:6;
(A) Aluminium with 40% reduction; (C) Strip drawing with friction factor m ¼ 0:3;
(B) Copper with 40% reduction; (D) Rod drawing with m ¼ 0:3:
(C) Aluminium with 20% reduction;
(D) Copper with 20% reduction. Answer to Exercise Problems
(b) The aim of patenting heat treatment, applied during wire
14.Ex.1. 300 MPa; 154.39 MPa.
drawing operation of mostly high-carbon steel, is to cause
14.Ex.2. 201.1 kN.
the formation of
14.Ex.3. 0.89 mm; Smallest diameter after nth
%pffiffiffiffiffiffiffi&n
(A) martensite; passes = initial diameter/ exp .
(B) coarse pearlite with proeutectoid phase; 14.Ex.4. 551.6 mm2; 881.2 mm2; larger area in mandrel
(C) fine pearlite with proeutectoid phase; drawing.
(D) fine pearlite with perhaps some upper bainite, without 14.Ex.5. 51% greater in plug drawing than in mandrel
the formation of proeutectoid phase. drawing.
(c) The critical cone angle of the die for dead-zone formation 14.Ex.6. 25.45% and 47.87%.
increases if friction and % reduction 14.Ex.7. 18.47 kN and 16 kN; 15.4% higher load required
for strip drawing.
(A) both increase; 14.Ex.8. 292 mm.
(B) respectively increases and decreases; 14.Ex.9. 16.3 kW.
(C) respectively decreases and increases; 14.Ex.10. 44.28%.
(D) both decrease. 14.Ex.11. 14.9 mm.
(d) A wire drawn in the sound flow region from diameter of 14.Ex.12. 63.6%.
3 mm to diameter of 2.59 mm, with an interface friction 14.Ex.13. 46.17%.
factor of 0.2, will require a minimum stress, if the semicone 14.Ex.14. 17.8 MJ; 202 s.
die angle is 14.Ex.15. (a) (D) Copper with 20% reduction. (b) (D) fine
pearlite with perhaps some upper bainite, without the for-
(A) 08°; (B) 10°; (C) 12°; (D) 14°. mation of proeutectoid phase. (c) (C) respectively decreases
(e) The smallest diameter up to which a wire of 4.1 mm and increases. (d) (C) 12°. (e) (B) 1.5 mm. (f) (C) tubes.
diameter could theoretically (under frictionless condition) be (g) (C) decrease. (h) (D) Cold drawing. (i) (C) Chevron
drawn in consecutive two passes, is very close to cracking. (j) (A) Strip–drawing with friction factor m ¼ 0:6:
(A) 1.4 mm; (B) 1.5 mm; (C) 1.6 mm; (D) 2.5 mm.
(f) Sinking is a process to produce
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(2011)
McGannon, H.E. (ed.): The Making, Shaping and Treating of Steel, 8th
edn. United States Steel Corporation, Pittsburgh, PA, pp. 782–783,
787, 796–798 (1964)
14 Drawing: Flat Strip, Round Bar and Tube
Pernis, R., Kasala, J.: The influence of the die and floating plug
geometry on the drawing process of tubing. Int. J. Adv. Manuf.
Technol. 65, 1081–1089 (2013)
Pomp, A.: The Manufacture and Properties of Steel Wire (Stahldraht),
Translated from the German by Bernhoeft, C.P. The Wire Industry
Limited, London (1964)
Rowe, G.W.: Principles of Industrial Metalworking Processes, p 135.
Edward Arnold (Publishers) Ltd., UK, and CBS Publishers and
Distributors, India (1977)
Sachs, G., Baldwin, W.M.: Stress analysis of tube sinking. Trans.
ASME 68, 655–662 (1946)
Sachs, G., Lubahn, J.D., Tracy, D.P.: Drawing of thin-walled tubing
with a moving mandrel through a single stationary die. J. Appl.
Mech. Trans. ASME 11, 199–210 (1944)
Wistreich, J.G.: Proc. Inst. Mech. Eng. 169, 654 (1955)
Wright, R.N.: Wire Technology 4, 57–61 (1976)
 Deep Drawing
15

Chapter Objectives

• Deep drawing: definition and fundamentals. Stresses and deformation in a

deep-drawn cup.
• Deep drawing load and its components and their variations with punch movement.
Derivation of mathematical expression for load and its comparison with Sachs
relation.
• Formability: properties of work metal for optimal formability. Strain distribution in a
forming operation determined by strain-hardening exponent, strain rate sensitivity
and plastic strain ratio. Allowable maximum deformation level represented graphi-
cally as forming limit diagram.
• Deep drawability and its relation with plastic strain ratio. Conditions for optimal
drawability. Measurement of drawability by drawing ratio using Swift cup test.
Limiting draw ratio to express deformation limit in deep drawing.
• Effects of process variables that include drawing ratio and redrawing operations,
profile radii of die and punch, punch-to-die clearance, drawing speed, friction and
lubrication, restraint of metal flow, such as use of a blank holder. Effects of material
parameters that include sheet thickness and anisotropy.
• Evaluation of formability of sheet metal using different type tests, such as Marciniak
biaxial stretching test, Swift cup test, Ericksen and Olsen cup tests, Fukui conical cup
test, hole expansion test and forming limit diagram using hemispherical punch
method.
• Defects in deep-drawn components.
• Problems and solutions.

applications of this process was the production of artillery

15.1 Fundamentals of Deep Drawing
One of the most important and widely used drawing pro-
cesses is the production of closed bottom cylindrical or
rectangular containers from thin metal sheets. This process is
sometimes called shell drawing, because one of the earliest
shells and cartridge cases. When the ratio of depth of the
product to its diameter (or the smallest dimension of its
opening) is greater than 1, the process is known as deep
drawing, whereas when the ratio is less than 1, it is con-
sidered as shallow drawing. The text will refer to deep
drawing. Deep drawing process is capable to form bathtubs,

© Springer Nature Singapore Pte Ltd. 2018 693

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_15
694
cooking pots, beverage cans, sinks, pressure vessels, auto-
mobile body panels and parts. Metals that can be deep drawn
include plain carbon steel, stainless steel, aluminium and its
alloys, copper and its alloy and titanium.
In the simplest form, the deep drawing operation is car-
ried out usually at a cold working temperature by placing a
flat, thin, circular blank of sheet metal of appropriate size
over a shaped die and pressing the blank into the die with a
punch. Any attempt to perform deep drawing at a hot
working temperature may result in necking and failure of the
work material. The deep drawing operation is shown
schematically in Fig. 15.1. When the punch advances, the
blank is drawn inwards and over the die profile. The cir-
cumference of the original blank must decrease to form the
top circle of the cup, called shrink forming, which involves
the reduction of blank diameter to the diameter of a cylin-
drical cup top circumference, as shown in Fig. 15.2. Since
the volume of material must remain constant, the decrease in
the length of the periphery must be compensated in two
ways—by either buckling or wrinkling as the blank is thin,
or by thickening (increase in another dimension) of metal, as
shown in Fig. 15.3. Relieving of circumferential compres-
sion by thickening of metal is preferred to buckling or
wrinkling in deep drawing process. To suppress buckling or
wrinkling, a pressure ring or blank holder is used to com-
press the blank against the upper surface of the die during
forming operation. The force of blank holder causes an
increase in either thickness or radial length. Once wrinkling
begins, the blank holder is raised from the surface of the
blank metal so that further wrinkles can form easily. Gen-
erally, a double-action press is used to apply hold-down
force and punch force.
Many deep-drawn products contain regions of both
shrink and stretch forming. In stretch forming, the circum-
ference and diameter both increase, with a corresponding
reduction in thickness. This thin section may cause tearing of
the parts during forming operation or subsequent premature
Punch
Pressure
ring
Metal
Blank
Cup
Die
Fig. 15.1 Deep drawing of a circular blank to form a cylindrical cup
15 Deep Drawing
Blank
Cup
Fig. 15.2 Diameter reduction of a circular blank to the diameter of a
cylindrical cup top circumference by shrink forming during deep
drawing operation
Original length of periphery Finallength of
of blank cup top
circumference
Decrease in length by puckering
Decrease in length by thickening
Fig. 15.3 Schematic diagram to show the decrease in length of the
blank during deep drawing, either by puckering or by thickening
failure during service when subjected to corrosive environ-
ment. So, the regions with large amounts of neither shrink
leading to problem like buckling nor stretch associated with
thinning are desirable during drawing operation, and in
general, it is the best if the thickness and the surface area
remain constant. To avoid wrinkling, tearing or unwanted
change in thickness during drawing of a part, the control of
metal flow is usually accomplished through the use of some
form of pressure pad or ring.
Deep drawing may be performed on a single-action press
with only one movement that is available, or on a
double-action press offering two or more independent
motions. Simpler operations can be performed with
single-action presses, where springs or air pressure is often
applied to hold the blank between the pressure ring and
upper die. The drawing of complex parts is usually per-
formed on double-action press where hold-down force
applied to the pressure ring can be varied as required. Either
mechanically or hydraulically operated presses can be used
for deep drawing operations, but the hydraulic presses are
preferred because the rate of the punch travel can be better
controlled and in some hydraulic system, a more nearly
uniform pressure can be applied during the entire stroke.
The flow of metal in a drawing operation is generally not
homogeneous, because of poor rolling and many other
process and metallurgical variables. To ensure the final
dimensions and uniformity of the product, excess of starting
15.1 Fundamentals of Deep Drawing 695

Fig. 15.4 Stripping of the drawn (a) (b)

part from the punch by using
trimming recess

Trimming
recess Die

Deep drawing with die Action of trimming recess at

having trimming recess end of deep drawing operation

material in the blank and trimming of undesired extra portion cylindrical cup-shaped article from flat sheet metals using a
in the finished drawn part may be required in most cases. simple circular-shaped die.
Such trimming operation can be performed either manually
or by using a separate trimming die. Obviously, the manu-
facturing cost is increased due to such trimming operation 15.1.1 Stresses and Deformation
because it not only converts some of the starting material to in a Deep-Drawn Cup
scrap but also involves an additional operation. Trimming
operation may often be excluded through better process and Different types of deformation of the metal are involved in
metallurgical control and the use of complicated shaped the deep drawing of a cylindrical cup. Stresses and defor-
blanks. In most deep drawing operations, the container mation developed in a pie-shaped segment of a cup drawn
formed has a solid bottom with a flange at the top and this from a circular blank are illustrated in Fig. 15.5. The three
retained flange is trimmed later in the processing. In some distinct zones in the deep-drawn cup are flange, cup wall and
cases, a straight wall cup shape without any flange is formed punch region.
by fully drawing the blank into the female die cavity and When a rounded punch is used to form the base of the
then ejecting through the die throat. The stripping of the cup, the metal at the centre of the blank under the nose of the
drawn part from the punch can be accomplished by punch is folded around the punch profile and in doing so, it
machining a minor depression or recess into the underside of
the drawing die, as shown in Fig. 15.4a. During the upward
stroke of the punch, the drawn cup is released from the Flange
punch pressure and tends to spring back. At the end of the
drawing operation, the die having trimming recess prevents
the drawn part from travelling along with the punch during
its upward movement, as illustrated in Fig. 15.4b.
The success of deep drawing operation depends on the
design aspects of this process, which involves many vari-
ables such as the force applied by the pressure ring, the
profile radius of the die and the punch, the type of lubricant, Cup wall
press speed, the clearance between the punch and the die
opening and the drawing ratio. Further to achieve the opti-
mum drawing conditions, it is required to have knowledge
about the strain distribution in the fully drawn product as
Punch region
well as the way in which the strains are generated in different
phases of the drawing process.
The die used in drawing operation can have any shape
from a simple circular to the complex assemblies required 0
for bodies of motor cars, for which several drawing opera-
tions may be required. The text will illustrate the principles Fig. 15.5 Stresses and deformation in a segment from a deep-drawn
of deep drawing by considering the formation of a cup
696
is thinned down. The metal in the region of rounded punch is
subjected to stretching; i.e., the biaxial tensile stress acts on
the metal in this region. The thinning of the blank occurs
most seriously from stretching over the head of the rounded
punch and particularly between the punch head and die. In
order to minimize the thinning as far as possible, there must
be high friction on the punch but low friction everywhere
else. It is found that if the punch is slightly roughened and
the lubrication of the punch area is minimized, the drawa-
bility will increase. However, the die opening must be
smooth and well lubricated with a suitable drawing com-
pound. When a flat-headed punch is used to form the base of
the cup, then the bottom of the cup does not undergo any
deformation and remains at the original thickness.
The metal in the outer part of the blank is drawn radially
inward towards the opening of the die. The continuous
decrease of outer circumference of the original blank to that
of the finished cup due to the inward flow of material
induces a compressive hoop stress. So the flange of the cup
is subjected to a tensile stress in the radial direction and a
compressive stress in the circumferential or hoop direction
of the circular blank. When the compressive hoop stress
exceeds a limit, it may result in plastic wrinkling of the cup
flange, which cannot be ironed out afterwards. If the wrin-
kled or buckled metal is drawn into the die during drawing
operation, it will increase the strain in the region of the
punch head to the point at which tearing of the work-piece
would occur soon after the start of the draw. Since a blank
holder is used to suppress wrinkling, the compressive hoop
stress causes the metal in the flange to thicken. The more the
metal flows inwards, the greater will be the increase in the
thickness. Ultimately, the flange becomes so thick that it
comes in contact with the blank holder of constant clearance
type and tries to push the blank holder upwards. Since the
blank holder is kept firmly and cannot move upwards, the
metal in the flange region will be squeezed by the blank
holder. This kind of deformation is called ironing. The
extent of ironing increases with the rate of inward flow.
Ironing imposes large loads on the blank and the punch. The
main factor that decides the maximum possible reduction in
deep drawing operation is the ironing load.
However, as the metal is drawn over the die radius, first
bending and then straightening and sliding occurs and
simultaneously a tensile stress acts on the metal. The plastic
bending under tensile stress makes the blank thin and thus,
the thick portion in the flange region produced by the cir-
cumferential shrinking is reduced. The metal in the cup wall
is stretch formed between the punch and the die, together
with sliding along the die surface. The cup wall metal is
subjected to a state of stress that consists of biaxial tensile
stress combined with radial compressive stress. If the
clearance between the die and the punch is less than the
15 Deep Drawing
thickness caused by free thickening, the metal in these areas
will be compressed or ironed and reduced in thickness under
the radial compressive stress developed by the pressure of
the punch and die. The degree of ironing usually increases
towards the top of the cup. The above clearance may be
uniform or it may decrease from top to bottom of the die in
order to distribute the load more evenly over the metal in the
cup wall.
The punch applies load to the bottom of the cup and
subsequently, the applied load is transferred to the sidewall
of the cup. A narrow ring of material in the cup wall between
the punch head and die has been neither bent over the die or
the punch nor drawn radially is only subjected to plane strain
tensile straining and thinning throughout the drawing oper-
ation. Mostly this region fails by necking followed by
tearing at a stress which is approximately equal to UTS
!pffiffi
multiplied by the plane strain factor of 2 3 : This
approximate maximum stress at fracture is (Dieter 1988):
Pmax 2
Maximum stress at fracture; rmax ¼ ¼ pffiffi Su
pDp t 3
ð15:1Þ
where
Pmax maximum deep drawing load at fracture;
Dp diameter of the punch;
t wall thickness of the cup;
Su ultimate tensile strength (UTS) of the work material.
When a flat-headed punch is used to form the base of the
cup, the bottom of the cup remains at the original state
without undergoing any deformation, and the metal over the
punch radius is stretch formed with no sliding of metal over
the punch. On the other hand, the regions in the flange and in
the cup wall pass successively through three distinct stages:
(a) inward radial drawing of the flange towards the die
throat, (b) die throat stretching over the die radius, together
with sliding and (c) die profile stretch forming, accompanied
by sliding along the die surface. However, there is a degree
of ironing which increases towards the top of the cup. The
cup drawn finally will therefore be in a state of inhomoge-
neous deformation, in which the undeformed cup-base will
remain in its original metallurgical condition while the
degree of deformation or working will increase towards the
top of the cup. Hence, the mechanical properties of an end
product will be non-uniform. Differentially annealed blanks
have been used with an attempt to produce more uniform
mechanical properties in the final product. This process
involves the flame annealing of the edges of a rotated
cold-worked circular sheet blanks so that the rim is annealed
and the centre remains in the cold-worked condition. This
assists to produce a final part of uniform properties.
15.2 Deep-Drawing Load 697

15.2 Deep-Drawing Load • Produce a cup wall thinner than the bottom of the cup;
• Produce a uniform cup wall;
The deep drawing load, i.e. the load applied on the punch for • Produce a tapered cup wall, if required, such as cartridge
production of a cup, is the summation of the following three cases;
components: • Rectify the natural thickening of wall that takes place
towards the top edge of a drawn cup.
1. The load required for ideal deformation of the material;
2. The load necessary to overcome friction; The drawing load exhibits therefore two peaks, one early
3. The load necessary for ironing, if present. and the other late in the drawing cycle. The locations and
relative heights of these peaks depend upon many factors,
Figure 15.6 illustrates the variation of total drawing load such as lubrication conditions, blank holder pressure or
as well as the above three components of it with the clearance and drawing ratio. One measurement (Swift 1952)
movement of the punch. If the flow stress of material and the of the work required to form cup revealed that 70% of the
wall thickness of cup are assumed to be constant, the ideal total work was spent for the radial drawing of the metal, 13%
load of deformation is a function only of natural logarithm of for overcoming friction and 17% for bending and
drawing ratio. The drawing ratio is the ratio of the original restraightening of the blank around the radius of the die. The
diameter of the blank to the internal diameter of the cup, last factor, i.e. the load required for bending and unbending
measured by the punch diameter. This component being around the die radius, was not considered in the above
independent of punch travel would appear as a horizontal analysis of the variation of total drawing load against the
straight line in Fig. 15.6. The blank holder force contributes punch movement. From an analysis of the forces in equi-
in a major way to the friction force and hence, the magnitude librium during the deep drawing of cup, an approximate
of friction force depends upon the surface area of the equation for the total punch (drawing) load as a function of
material under the blank holder. This force component rises the original diameter of the sheet blank at any stage in the
to a peak value at an early stage and then drop with increase drawing cycle was developed by Sachs (1930), Sachs and
in the punch travel, because the surface area of the material Van Horn (1940) and the Sachs relation is as follows:
in contact with the die and the blank holder continually % # $ # $& 'lp(
D0 Dp
decreases as the drawing proceeds. The ironing load occurs P ¼ pDp tð1:1r0 Þ ln þ l 2HB exp þB
late in the process after the side wall thickness of the cup has Dp D0 2
exceeded the clearance between the punch and the die and ð15:2Þ
increases with the advancement of drawing operation.
Ironing is basically the reduction of the wall thickness of a where
cup, usually without causing any change in the diameter. P total punch (drawing) load;
Because of constancy of volume, the height of an ironed cup r0 average flow stress of work material;
will obviously be greater than that of the cup which has not Dp diameter of the punch;
been ironed and hence, the cup height will increase with the D0 original diameter of the sheet blank;
degree of ironing. Objective of ironing is to t wall thickness of the cup;

Fig. 15.6 Deep drawing load

versus punch movement diagram
Drawing load

Total
load

Ironing
load
Ideal load

Friction
load

Punch Movement
698
HB blank holder force;
l interfacial coefficient of friction;
B force required to bend and unbend the sheet blank.
In (15.2), the first term represents the ideal deformation
load required for the formation of the cup, and the second
term is the friction load under the blank holder. The friction
at the die radius is considered by the exponential term out-
side the bracket, and the force needed to bend and
restraighten the sheet blank around the die radius is
accounted by the quantity B.
15.2.1 Derivation of Mathematical Expression
Derivation of mathematical expression for the ideal defor-
mation and friction load is very difficult task because each
component is again divided into several subcomponents.
The loads required for radial drawing, for stretching over the
die radius, for drawing the material through the throat of the
die and finally for stretching over the punch radius have to
be considered to derive the mathematical expression for deep
drawing load. A more accurate and complete mathematical
treatment for deep drawing has been presented by Chung
and Swift (1951), and Alexander (1960).
Derivation of mathematical expression for the drawing
load correlating the initial and final dimensions of the job
will be considered in the text in a simplified way with some
assumptions and compared with Sachs relation given by
(15.2). Figure 15.7 shows that a flat circular blank is being
deep drawn through a simple circular-shaped die with a
flat-headed punch into a flat-bottomed cylindrical cup. The
following assumptions are considered in our analysis:
P
Punch
HB HB
c σθ
Blank
holder Rp
Rcp
Flat
circular
blank R0
t0
Rd
Die
r=0
Fig. 15.7 Deep drawing of a flat circular blank to form a flat-bottomed
cylindrical cup
15 Deep Drawing
• The work material is isotropic.
• There is no change in the thickness of work material,
though varying amount of thickening and thinning of the
work piece is unavoidable in deep drawing operation.
Hence, the wall thickness of the deep-drawn cup is the
same as the original thickness, t0 , of the sheet blank.
• There is no ironing of the sheet blank, and so, the force
required for ironing is not considered.
• Coulomb’s law of sliding friction holds good, and the
coefficient of friction, l, is constant at the surfaces of the
material in contact with the die, blank holder and punch.
• The force required to bend and unbend the sheet blank is
not considered.
Let the radii of the sheet blank, the die, and the punch are,
respectively, R0 , Rd and Rp . Since thickening and thinning of
the work piece have been neglected, so the clearance
) *
between the die and the punch Rd % Rp , which is the cup
wall thickness, is equal to the original thickness of the sheet
blank, t0 . The radius of the die corner, Rcd , that of the punch,
Rcp , and a clearance of ‘c’ maintained between the blank
holder and the punch are shown in Fig. 15.7.
Let us first consider the segment of the sheet blank
between the blank holder and the top surface of die. Fig-
ure 15.8 shows stresses acting on an element in this area.
The segment of the sheet blank between the blank holder and
the die is subjected to a pure radial drawing, where the
principal stresses are the radial drawing stress rr ¼ r1 , the
circumferential stress rh ¼ r2 and the normal stress on the
work piece applied by the blank holder rB ¼ r3 . If the blank
holder force is HB , the stress exerted by blank holder on the
blank is:
HB
rH ¼ ) 2 * ð15:3Þ
p R0 % R2d
G
E
Job axis H
σr + d σr
r F dr
t0
σr D C
t0
Rcd dθ
A B
r σθ
r=0
Fig. 15.8 Stresses acting on an element of the sheet blank between the
blank holder and the top surface of die during deep drawing
15.2 Deep-Drawing Load 699

It must be noted that the sheet blank thickens the maxi-
mum at the rim because of the development of a compres-
sive hoop stress (the stress acting tangentially to the
perimeter of a transverse section in a cylindrical body like
tube with internal pressure) due to the decrease in the cir-
cumference of the circular blank. As a result of thickening,
the sheet blank makes only a line contact at its outer
periphery with the blank holder. The entire blank holding
force, HB , is therefore assumed to act at the rim of the blank,
as shown in Fig. 15.9, and the force HB or the stress rH is
zero elsewhere. This blank holding force HB will generate
the friction force, lHB , at each of the surfaces of the work
piece in contact with the die and the blank holder. The
resultant of these friction forces is 2lHB , which will act
radially outwards on the vertical cross-section of the blank at
its outer periphery and oppose the flow of metals inwards.
Therefore, the radial tensile stress due to friction at the outer
periphery acting outwards can be given by
2lHB lHB
rr ¼ ¼ ð15:4Þ
2pR0 t0 pR0 t0
Now, considering the equilibrium of forces in the radial
direction of the element shown in Fig. 15.8, we get
ðrr þ drr Þ Area BCGH % rr Area ADEF
# $
& dh
% rh cos 90 % Area ABCD
2
# $
dh
% rh cos 90& % Area EFGH ¼ 0
2
* AB ¼ CD ¼ EG ¼ FH ¼ dr
and AD ¼ BC ¼ EF ¼ GH ¼ t0 ;
) ðrr þ drr Þðr þ dr Þdh t0 % rr rdh t0
dh
% 2rh sin dr t0 ¼ 0
2
Dividing by t0 , since t0 6¼ 0, and assuming
sinðdh=2Þ ' dh=2, as dh is a very small angle, we obtain
dh
rrr dh þ rdrr dh þ rr drdh þ drr drdh % rrr dh % 2rh dr
2
¼0
As both dr and drr are small quantities, neglecting their
product drdrr , which is even smaller, and also dividing by
dh, since dh 6¼ 0, we get
rdrr þ rr dr % rh dr ¼ 0 ð15:5Þ
To avoid mathematical complexity, Von Mises’ yielding
criterion will not be used and Tresca yielding criterion will
be used. Since rr and rh are, respectively, the highest and
the lowest principal stresses, so the equation that we obtain
by using Tresca yielding criterion shown by (1.68b) is
r1 % r2 ¼ rr % rh ¼ r0 ¼ 2k ð15:6Þ
where
r0 flow stress of the work material in uniaxial loading, and
k yield stress in pure shear, i.e. shear yield stress.
According to Tresca yielding criterion (1.69) 2k ¼ r0 ,
and according to Von Mises’ yielding criterion (1.63),
pffiffi
2k ¼ 2r0 = 3 ¼ 1:155r0 . So the average value of 2 k is:
r0 þ 1:155r0
2k ¼ ¼ 1:08r0 ' 1:1r0 ð15:7Þ
2
To get an optimum agreement between the Tresca and
Von Mises’ criteria of yielding, if the average value of 2k
from (15.7) is considered in Tresca yielding criterion, (15.6)
becomes
r1 % r2 ¼ rr % rh ¼ 2!k ¼ ð1:1Þr0 ð15:8Þ

Fig. 15.9 Radial tensile stress

acting outward due to friction
caused by the blank holding
pressure acting at the rim of the
blank
700 15 Deep Drawing

Now substituting the value of rh from (15.8) into (15.5), Job axis
we get
( σ r )r = R
Z Z d

dr Rd
rdrr þ rr dr % rr dr þ 2!kdr ¼ 0; or; drr ¼ %2!k ; O
r

) rr ¼ %2k ln r þ C ð15:9Þ Friction

where, C ¼ an integration constant.

From (15.4), we know that at a radial distance, Z

r ¼ R0 ; rr ¼ lHB =pR0 t0 . Hence, substitution of this σZ

boundary condition into (15.9) gives the value of the con-
stant C as: Fig. 15.10 Frictional effect at die corners

lHB
C ¼ 2k ln R0 þ
pR0 t0 FT ϕ=0
µdN
dN
Substitution of the value of C into (15.9) gives: (FT)1

# $
R0 lHB
rr ¼ 2!k ln þ ð15:10Þ
r pR0 t0
So, the radial stress at the beginning of the die corner, i.e.
at r ¼ Rd ¼ Rp þ t; is given by
# $
R0 lHB
ðrr Þr¼Rd ¼ 2k ln þ ð15:11Þ
Rd pR0 t0
As the work-piece slides along the die corner, there is an
increase in the stress from ðrr Þr¼Rd to rz (say), due to fric-
tional forces as shown in Fig. 15.10.
The stress increment from ðrr Þr¼Rd to rz due to friction
can be estimated by considering a belt-pulley analogy hav-
ing friction between them. To derive a relationship between
belt tensions in a belt-pulley system, let us consider the
diagram in Fig. 15.11. Consider a small elemental segment
of belt lying on the circumference of a circular object like
pulley at an angle of u from the vertical axis. Let the tan-
gential tensile force acting on one end of the segment is FT
and slightly larger tangential tensile force acting on the other
end is ðFT þ dFT Þ: Obviously, these forces are normal to the
radial direction at the point of tangent to the circle. The belt
segment subtends a small angle du at the centre, O, of the
circle. A tangential tensile force ðFT Þ1 at an angle u ¼ 0
from the vertical axis of the pulley, and a tangential tensile
force ðFT Þ2 spaced at an angle b from ðFT Þ1 , i.e. at an angle
u ¼ b, are acting on the belt, as shown in Fig. 15.11, where
it is assumed that ðFT Þ2 [ ðFT Þ1 .
The elemental segment of belt stretched by tangential
tensile forces over the pulley is subjected to a normal force,
dN, acting from the pulley on the belt segment. This normal
force acts in the radial direction OP at a point P lying on the
circumference of the pulley (Fig. 15.11). Note that the die
P 90°
dϕ
90° –
2
90° ϕ
FT + dFT
β dϕ O
(FT)2
Fig. 15.11 Diagram in analogy with a belt–pulley system, required to
evaluate rz
corner that resembles the contour of a pulley also exerts a
normal force on the work-piece in the radial direction. Since
ðFT þ dFT Þ [ FT , the belt segment tends to slide over the
pulley towards the direction of ðFT þ dFT Þ; hence, the fric-
tion force exerted by the pulley on the belt segment will act
at the point P towards the direction of FT , i.e. act in the
upward direction opposing the downward sliding of the belt
segment according to laws of friction. Note that the friction
acting along the surface of the die corner will also be in the
upward direction opposing the downward sliding of the
work-piece (Fig. 15.10).
The following analysis is used to derive the relationship
between belt tensions, and we assume that for small angle
du,
sinðdu=2Þ ' du=2; and cosðdu=2Þ ' 1;
Now, considering equilibrium of forces at the point P in
the radial direction OP for the elemental segment, we get
15.2 Deep-Drawing Load 701

# $ # $
du du expressed in terms of their corresponding stresses by
dN % ðFT þ dFT Þ cos 90& % % FT cos 90& % dividing both sides of (15.15) by A. Assuming the corre-
2 2
¼0 sponding stresses to be ðrT Þ1 ¼ ðFT Þ1 =A and ðrT Þ2 ¼
ðFT Þ2 =A; (15.15) is expressed as:
du du du du
dN ¼ 2FT sin þ dFT sin ¼ 2FT þ dFT ðrT Þ2 ¼ ðrT Þ1 expðlbÞ ð15:16Þ
2 2 2 2
' FT du
Now let us concentrate on the actual problem of deep
ð15:12Þ drawing, in which a relationship between rz and ðrr Þr¼Rd is
Since both dFT and du=2 are small quantities, so their required to be developed. Since the radial tensile stress
product dFT ðdu=2Þ; which is even smaller, has been ðrr Þr¼Rd ; is acting horizontally on the work-piece at the
neglected in (15.12). beginning of the die corner and rz is the downward vertical
Since l is the coefficient of friction at the interface tensile stress acting on the work-piece at the point where the
between the work-piece and the die corner, we assume l to bending of the die corner is over, the angle b between the
be the coefficient of friction at the point P. Hence from line of action of the stresses ðrr Þr¼Rd ; and rz is 90& or p=2
(15.12), the friction force on the belt segment acting tan- (Fig. 15.10). Hence, by substituting b ¼ p=2; ðrT Þ2 ¼ rz ;
gential to the point P is: and ðrT Þ1 ¼ ðrr Þr¼Rd (since rz [ ðrr Þr¼Rd ) into (15.16), we
obtain the required relationship:
Friction force on the elemental segment ¼ ldN ¼ lFT du
'lp(
ð15:13Þ rz ¼ ðrr Þr¼Rd exp ð15:17Þ
2
Again equilibrium of forces at the point P in the tan-
The stress level is further increased due to bending
gential direction for the elemental segment gives
around the punch corner, which has been neglected in our
# $ # $
du du derivation. The drawing load P can be obtained from the
ðFT þ dFT Þ sin 90& % % FT sin 90& % % ldN product of rz ; acting on the vertical cup wall, and the
2 2
¼0 cross-sectional area of vertical cup wall, Acup%wall ; which is
given by
Substitution for ldN from (15.13) into the above equation +) *) *,
gives Acup%wall ¼ pR2d % pR2p ¼ p Rd þ Rp Rd % Rp
# $
du Rd þ Rp
dFT cos % lFT du ¼ dFT % lFT du ¼ 0 ¼ 2p t0 ¼ 2pRm t0
% 2 & 2
du
* cos '1 ð15:18Þ
2
where
dFT ) *!
) ¼ ldu ð15:14Þ
FT Rm ¼ mid-wall radius of the cup ¼ Rp þ Rd 2
and t0 ¼ Rd % Rp :
When the tangential tensile force increases from ðFT Þ1 to
ðFT Þ2 ; the angle u at the centre of the circle changes from Hence, taking rz from (15.17), and Acup%wall from
0 to b (Fig. 15.11), thus we can integrate (15.14) between (15.18), and substituting for ðrr Þr¼Rd from (15.11), the
lower limit of FT ¼ ðFT Þ1 at u ¼ 0; and upper limit of FT ¼ drawing load P is given by
ðFT Þ2 ; at u ¼ b; to get the relationship between belt tensions
as follows: Drawing load;
n 'lp(o
FTZ
¼ðFT Þ2 P ¼ rz Acup%wall ¼ ðrr Þr¼Rd exp ð2pRm t0 Þ
Zu¼b - # $ . 2
dFT ð FT Þ 2 'lp(
¼l du; or; ln ¼ lb R0 lHB
FT ð FT Þ 1 ¼ 2k ln þ exp ð2pRm t0 Þ
FT ¼ðFT Þ1 u¼0 Rd pR0 t0 2
- # $ # $. 'lp(
R0 Rm
¼ p 2Rm t0 2k ln þ 2lHB exp
) ðFT Þ2 ¼ ðFT Þ1 expðlbÞ ð15:15Þ Rd R0 2
Since the forces ðFT Þ1 and ðFT Þ2 are acting on the same ð15:19Þ
cross-sectional area, say A; of the belt, (15.15) can be
702 15 Deep Drawing

Since from (15.7), 2k ¼ 1:08 r0 ' 1:1r0 ; (15.19) becomes • Capable to sustain in-plane compressive stresses without
% # $ # $& buckling or wrinkling;
D0 Dm 'lp(
P ¼ pDm t0 ð1:1r0 Þ ln þ l 2HB exp • Capable to sustain in-plane shear stresses without tearing;
Dd D0 2 • Capable of retaining a smooth surface and resisting sur-
ð15:20Þ face damage.
• Capable of retaining the formed shape and size of parts
where upon withdrawal from the die; the shape and size reten-
/+ ) *,! 0 tion of the formed part depend on the amount of spring
HB ¼ p D20 % D2d 4 ( rH ;
back that occurs after a forming operation is over. Again
D0 ¼ 2R0 ; Dm ¼ 2Rm ; Dd ¼ 2Rd :
the properties of the material that control the spring back
Normally, the blank holder force HB is given as: are:
– Modulus of elasticity, E,
HB ¼ c pR20 k ð15:21Þ – Yield stress, r0 and
– Slope of the true stress–strain curve, or tangent
where c usually lies between 0.02 and 0.08 and k is the shear modulus, ½dr=de*T :
yield stress.
Hence, the derived (15.20) for the drawing load can be The first two properties, i.e. uniform strain distribution
compared with the Sachs relation given by (15.2). Since in and deformation to high strain levels without necking or
our derivation we assumed that there is no change in the rupturing will be discussed, and the rest is beyond the scope
thickness of work material, so the wall thickness of the cup of the text.
will be the same as the original thickness t0 of the sheet
blank; i.e., we can write t0 ¼ t (wall thickness in Sachs
relation). Again for thin sheets, if it is assumed that Dm ¼ 15.3.1 Strain Distribution
Dp þ t0 ' Dp ; and Dd ¼ Dp þ 2t0 ' Dp ; (neglecting t0 for
thin cups), then (15.20) takes the following form: The strain distribution in a forming operation is determined
% # $ # $& 'lp( by the following three properties of materials:
D0 Dp
P ¼ pDp tð1:1r0 Þ ln þ l 2HB exp
Dp D0 2
• The strain-hardening exponent, or n value;
ð15:22Þ • The strain rate sensitivity, or m value;
• The plastic strain ratio (normal anisotropy coefficient or
Hence, (15.22) is found to be the same as the Sachs
factor), or r value.
relation, given by (15.2), except the term ‘B’ that accounts
for the force required to bend and restraighten the sheet
blank around the radius of the die. Effect of r value on drawability has been discussed sub-
sequently in Sect. 15.4.1. In materials with a high n value,
the rate of increase in flow stress with strain is greater. This
15.3 Formability causes further strain to occur in the areas of lower strain and
flow stress and thus, strain tends to be distributed. In
The ease with which a metal can be plastically deformed to materials having a positive strain rate sensitivity m, the flow
produce a desired shape without fracture is its formability or stress increases with strain rate. This has two effects. First,
workability. However, the term formability refers to the formation of parts at higher rate of deformation requires
sheet forming, i.e. the shaping from sheet metal like deep higher stress. Second, at a given strain rate, the material
drawing, while workability refers to the bulk forming i.e. the prevents further strain in areas that are being deformed at a
shaping from bulk material, such as forging, rolling or rate faster than adjacent areas due to increase in flow stress
extrusion. Formability of sheet metal depends on the prop- in these areas. This assists more uniform distribution of
erties of material. In order to achieve the optimal formability strain. However, high values of n and m result in good
in a wide range of applications, the work metal should have formability but have insignificant effect on drawability. In
the following properties: deep drawing, high values of n and m lead to strengthening
of both wall and flange of the cup. The wall strengthening is
• Capable of distributing strain homogeneously; beneficial while the flange strengthening is detrimental
• Capable of deforming to high strain levels without because the stronger the flange the harder is the drawing of
necking or rupturing; flange in the die.
15.3 Formability
15.3.2 Maximum Strain Levels: The Forming
Limit Diagram
Depending on the types of metal, there is a certain limit up to
which a sheet metal can be deformed before necking and
tearing take place. This allowable maximum deformation
level is mainly decided by the combination of strains, i.e. the
ratios of minor to major strain imposed on the metal. The
allowable maximum deformation level is the lowest when
the minor strain is zero, i.e. in the plane strain condition.
The information about the allowable deformation limit
was first represented graphically as the forming limit diagram
(FLD), where percentage of major engineering strain at the
onset of necking is plotted as ordinate against the abscissa of
percentage of minor engineering strain with different tensile
and compressive values (Keeler and Backofen 1963; Good-
win 1968). To obtain the forming limit diagram (see
Sect. 15.6.6), the pre-deformed surface of a sheet metal, to be
tested, is covered by a grid of circles, which after deformation
distort into ellipses. The engineering strains measured along
the major and minor axes of the ellipse are, respectively,
called major (e1) and minor (e2) strains. Typical forming limit
diagram for low-carbon steel is shown in Fig. 15.12. For a
variety of low-carbon steels, the shape of the forming limit
diagram is constant and same as that shown in Fig. 15.12.
The failure curve of FLD for the tension–tension region, i.e.
for positive values of minor strain, was determined by Keeler,
while that for the tension–compression region, i.e. for nega-
tive values of minor strain, was first determined by Goodwin,
and so, FLD is sometimes called the Keeler–Goodwin dia-
gram. Using strain measurements, usually obtained from
Major engineering strain, %
Goodwin 120
100
80
60 Failure
A B
e2
40
Safe Safe
e1
20
–60 –40 –20 0 20 40
Minor engineering strain, %
Fig. 15.12 Typical Keeler–Goodwin forming limit diagram for
low-carbon steel
703
circle grids (discussed subsequently in Sect. 15.6.6), the FLD
diagram is applied to determine:
• Whether a forming operation is close to failure (necking)
or not, and how much close it is.
• Whether a poor die design or an inferior work material is
responsible for a particular failure (Keeler 1965).
The FLD indicates the strain limits that sheet metals can
withstand over a range of ratios of major to minor strain. Note
that in FLD diagram (Fig. 15.12), the major strain before
failure is higher for a compressive (negative) minor strain
than for an equal per cent of tensile (positive) minor strain.
Hence, a compressive minor strain, such as shrinking in the
minor direction, is desirable during sheet-forming operation.
The intercept of the curve with the ordinate, which represents
the plane strain condition and is also the minimum point on
the curve, is known as plane strain intercept and labelled
FLD0. The vertical position of the forming limit curve can be
conveniently described by stating the value of FLD0. For
low-carbon steel, FLD0 increases linearly with the value of n
and the rate of this linear rise increases as the initial thickness
of sheet increases up to about 3 mm, according to the fol-
lowing relation (Keeler and Brazier 1977):
ð23:3 þ 14:2 t0 Þ n
FLD0 ¼ ð15:23Þ
0:21
where t0 is the initial thickness of sheet measured in mm and
n is the strain-hardening exponent for low-carbon steel. Thus,
for a given steel having the same value of n, the thicker the
sheet, the higher its curve and the better is the formability of
the sheet. On the other hand, one must remember that a thick
sheet may develop cracks due to difficulty in bending around
small radii. However, the level of forming limit also increases
with the value of strain rate sensitivity m (Ghosh 1977). The
shape of the curve is different for different alloy systems and
changes from alloy to alloy even within a system. The
location of the curve also differs and rises with increasing the
sheet thickness, the n value or the m value, but generally at
different rates than those for low-carbon steel. It is to be noted
that whenever the curve is raised, the formability of the
Keeler material is also increased. The forming limit diagram differs
considerably depending on the strain path. The standard
e2 diagram is based on an approximately uniform strain path.
e1 So, while analysing a forming problem using the diagram, the
effect of strain path must be considered.
60
15.4 Deep Drawability
The term, drawability, usually indicates the ability of a metal
to be deep drawn and is a measure of formability of sheet
metal subjected to deep drawing. In deep drawing of a shell
704
from a sheet metal, the sidewall metal of the shell cannot
change its dimension in the circumferential direction due to
the resistance offered by the punch and can only flow on the
plane of the sheet leading to elongation and in the thickness
direction leading to thinning of sheet. Thus, the ability of the
sidewall metal to withstand the load imposed on it depends
on its resistance to thinning. So, it is desired to have the
maximum resistance to the flow of metal in the thickness
direction. Hence, to improve the drawability of a metal, it is
desired to fulfil the following two conditions:
• The metal in the flange area should be able to flow easily
in the plane of the sheet under shear, and the maximum
flow of metal in the plane of the sheet is desirable.
• The metal in the sidewall should be capable of resisting
deformation in the thickness direction, and high flow
strength in the thickness direction of sheet metal is desirable.
Hence, it is desirable to have the maximum resistance to
flow of metal in a direction normal to the plane of the sheet.
It is difficult to measure the flow strength in the thickness
direction of sheet metal, but the flow strengths in the plane
and thickness directions of the sheet can be compared from
the value of plastic strain ratio, usually denoted by r.
15.4.1 Plastic Strain Ratio
The drawability of a sheet metal can be related to the r value
or plastic strain ratio, which is also known as the normal
anisotropy coefficient or factor. This is defined as the ratio of
true strain in the width direction to that in thickness direction
of the sheet in the uniform elongation region of a uniaxial
tension test. Its value generally depends on the elongation at
which it is measured, and measurements are usually per-
formed at 10, 15 or 20% elongation but before the point of
tensile instability. Hence, the elongation at which the mea-
surements are made must be specified. For a given sheet
metal strained up to a specified value in a given direction, the
plastic strain ratio r is constant and expressed as:
ew lnðw0 =wÞ
r¼ ¼ ð15:24Þ
et lnðt0 =tÞ
where ew and et are, respectively, true strains in the width
and thickness directions, w0 and w are the initial and final
width, and t0 and t are the initial and final thickness of the
sheet. Since precise measurements of the thickness on thin
sheets are difficult, so the change in the magnitude of
thickness can be obtained from the precise measurement of
the change in length using the constancy of volume rela-
tionship. Hence, (15.24) can be rewritten as:
15 Deep Drawing
ew ew lnðw0 =wÞ lnðw0 =wÞ
r¼ ¼ ¼ ¼
et %ðew þ el Þ % lnðw0 L0 =wLÞ lnðwL=w0 L0 Þ
ð15:25Þ
where el is the true strain in the longitudinal direction, and L0
and L are, respectively, the initial and final lengths.
The plastic strain ratio r is a measure of normal aniso-
tropy, because it gives the ratio of average flow strength in
the plane of sheet to that normal to the plane of sheet.
Langford (Langford 1950) proposed that the r value is an
index of normal anisotropy; i.e., the degree of anisotropy can
be determined by using the r value. If r [ 1, the thickness
strain is less than the width strain; i.e., the flow stress in
thickness direction is greater than that in the width direction.
So, a material having a high r value indicates that it has a
greater resistance to thinning. In general, higher the r value
the better the drawability, i.e. the better the deformation of
material in drawing operation.
Since most rolled sheet metals are anisotropic, i.e. the
mechanical properties of the metal are different in different
directions, so the r values may vary with respect to the
rolling direction. It is therefore necessary to measure the
strain ratios; i.e. the r values parallel to, transverse to and 45&
to the rolling direction of the sheet and obtain an average
strain ratio r. Langford suggested that an idea of the normal
anisotropy can be obtained by using an average value of r,
i.e. r, which is expressed as:
Average normal anisotropy,
r0 þ 2r45 þ r90
r¼ ð15:26Þ
4
where the subscripts refer to the angle at which the longi-
tudinal axis of the tensile specimen is oriented to the rolling
direction.
The values of r usually lie between 0.8 and 2.40
(Michaealis 1979), although the theoretical maximum r value
of 3 and a measured r value of 2.8 for a ferritic steel have been
reported (Brammar and Harris 1975). The value of r depends
on the grain size and texture of the work sheet. For example, r
increases with grain size for cold-rolled steels. The value of r
is approximately 1 for hot-rolled steel sheets, because the
texture developed has a random orientation. If r ¼ 1, the flow
strengths in the plane and thickness directions of the sheet are
the same. So, when r\1, the metal is not normally appro-
priate for deep drawing. If r [ 1, the flow strength in the
thickness direction is higher than the average flow strength in
the different directions in the plane of the sheet and in such
case, the material is characterized to have resistance to thin-
ning. In order to obtain good drawability, the values of r
between 1.5 and 1.8 are required. A value of r greater than 1.8
characterizes a material with extra deep drawing property.
15.4 Deep Drawability 705

Fig. 15.13 Effects of average

strain ratio !r on deep drawability
of cylindrical cups. The deepest
possible drawn cups are shown
schematically for the indicated Rolling
assumed values of !r direction Rolling
Rolling
direction
direction

Good drawability Fair drawability Poor drawability

r = 1.4 r = 1.0 r = 0.7

According to Whiteley (1960), the higher the value of r, the where

higher is the average depth, i.e. the average wall height of the
hmax the maximum height of the cup and
deepest draw possible, as shown in Fig. 15.13, or the higher
hmin the height of the cup in the positions of troughs.
is the drawing ratio before fracture. The drawing ratio is the
ratio of the original diameter of the blank to the internal
diameter of the cup, measured by the punch diameter.
Variations of flow strength with directions in the plane of 15.4.2 Drawing Ratio
sheet are called planar anisotropy, usually denoted by Dr.
According to Keeler (1971), a better measure of anisotropic Drawability can also be measured by the drawing ratio,
property is the planar anisotropy Dr, which is given by which is defined as the ratio of the original diameter of the
blank, say D0 , to the inner diameter of the cup drawn from
r0 þ r90 % 2r45 the blank, which is usually approximated by the punch
Planar anisotropy; Dr ¼ ð15:27Þ
4 diameter, say Dp . Hence,
The extent of ‘earing’ defects formed in deep-drawn parts
is determined by the value of Dr. ‘Earing’ is the variation in blank diameter D0
Drawing ratio ¼ ¼ ð15:29Þ
the wall height of a cup in a deep drawing operation and punch diameter Dp
occurs due to the changes in r value with directions in the
Swift flat-bottom cup test (Kemmis 1957) is the most
plane of sheet. ‘Ears’ will not form if Dr ¼ 0, but when
commonly used test to measure the deep drawability of a
Dr [ 0, ‘ears’ are formed in directions parallel to, i.e. at 0&
metal. Circular metal specimen whose drawability is to be
and transverse to, i.e. at 90& to the rolling direction and the
determined is clamped over the surface of a die with a
height of ‘ears’ formed in deep-drawn parts increases with
hold-down ring and deep drawn into a flat-bottomed cylin-
value of Dr: It is generally agreed, based mainly on the
drical cup by pressing with flat-headed punch. The standard
experiments with cylindrical and conical cup drawings, that
test with dimensions of punch and its radius as well as die
a high value of !r and a low value of Dr reduce wrinkling or
and its radius is shown in Fig. 15.14. For a given material,
buckling in both walls and flanges (Naziri and Pearce 1968;
the deformation limit in deep drawing is expressed in terms
Yoshida and Miyauchi 1978; Hosford and Caddell 1983).
of a limiting draw ratio (LDR), which is defined as the ratio
Hence, in order to achieve the optimal drawability, a com-
of the diameter, ðD0 Þmax , of the largest blank that can be
bination of a high value of r and a low value of Dr is
successfully drawn to the diameter, Dp , of the punch.
required. A completely isotropic material would have r ¼ 1
Drawability of a metal is expressed in terms of LDR or
and Dr ¼ 0. Plastic anisotropy in the sheet material can
percentage of reduction based on the Swift cup testing,
conveniently be measured by these two parameters.
which is given as:
It requires a lot of time to determine values of r. The
determination of the height of ‘ear’ formed on a standard cup
maximum blank diameter ðD0 Þmax
and its representation as a percentage of the average height is LDR ¼ ¼ ð15:30Þ
punch diameter Dp
a rapid procedure of determining anisotropy and used for
industrial application. The following anisotropy index sug- / 0
100 ðD0 Þmax %Dp
gested by Willis and Blade (1966) is: Percentage of reduction ¼ ð% Þ
ðD0 Þmax
hmax % hmin ð15:31Þ
rWB ¼ ( 100 ð15:28Þ
0:5ðhmax þ hmin Þ
706 15 Deep Drawing

50 mm 15.5.1 Effect of Drawing Ratio

(1.97 in.)

Punch Specimen It was found that for any given drawing conditions, the
punch load rises with the diameter of sheet metal in an
approximately linear way over the entire useful range with a
Hold-down slight tendency to decrease near the limiting drawing ratio.
ring
The theoretical upper limit on LDR is given as:

ðD0 Þmax
Die
LDR ¼ ¼ eg ð15:33Þ
Dp

where g is an efficiency term that accounts for frictional los-

52.5 mm (2.07 in.)
6.36 mm 6.36 mm
(0.25 in.) radius (0.25 in.) radius
Fig. 15.14 Schematic diagram of standard Swift flat-bottomed cup
test
Cup height, h, is approximately given by Eary and Reed
(1974)
h i
p ðD0 Þ2max %D2p ðD0 Þ2max %D2p
¼ pDp h; or; h ¼
4 4Dp
ð15:32Þ
The limiting draw ratio is found to increase with average
normal anisotropy r and blank thickness, particularly at the
low ends of the ranges for these variables, but is not sensitive
to the strain-hardening coefficient n of the material (From-
mann 1968). The limiting drawing ratio also increases as the
die profile radius increases up to a value of about 12 times
the thickness of sheet metal blank, as the punch profile
radius increases up to a value of about 8 times the thickness
of sheet metal blank, and as the drawing speed increases.
Drawability of steels is found to improve by vacuum pro-
cessing and inclusion shape control.
15.5 Effects of Process and Material
Variables
The success or failure of deep drawing operation depends on
many process and material variables. The deep drawing
process variables include the drawing ratio, the profile radii
of the die and the punch, the clearance between the punch
and the die opening, the drawing speed, the friction and
lubrication, and the type of restraint of metal flow used (if
any), such as the force applied by the pressure ring. The
material parameters are sheet thickness and anisotropy.
ses. If an isotropic material undergoes frictionless ideal
deformation, i.e. g ¼ 1, then from (15.33) we get the maxi-
mum LDR ¼ e ¼ 2:718, while (15.33) gives LDR ¼ 2, if
g ¼ 0:7. This is in agreement with the fact that a cup with a
height much larger than its diameter is difficult to draw even
from a ductile metal. The LDR seldom exceeds 2.2 in the first
stage drawing of cups from flat circular blanks of common
engineering materials. This corresponds to a cup height to
diameter ratio of about unity. Therefore, to produce tall slender
cups with a higher ratio of height to diameter, such as closed
tubes and cartridge cases, it is necessary to use successive
drawing, i.e. redrawing operations of the cup. Redrawing is a
process to carry out the reduction of diameter of a cup or drawn
part with corresponding increases in its height.
15.5.1.1 Redrawing Operations
The basic methods of redrawing are of two types:
1. Direct or regular redrawing, and
2. Reverse or indirect redrawing.
In direct redrawing, the outer surface of the cup drawn in
the first stage forms the outer surface of the redrawn
cup. Typical direct redrawing operation with blank holder is
illustrated in Fig. 15.15. The percentage reduction in this
operation determines the thickness of the hold-down ring,
which may not be used for small reductions. The wall of the
redrawn cup will be parallel to but deeper than the wall of
the cup at the beginning of the redrawing process. It is to be
noted that the bending of material occurs in the opposite
direction around the bank holder and die corners and
bending and unbending of material take place at the die and
punch radii. Hence, the cup experiences high strain hard-
ening, which can somewhat be reduced by tapering the
bottom of the cup to be redrawn, with the tapered mouth of
the die and the pressing head of the blank holder designed
accordingly, as shown in Fig. 15.16. Tapering angle of 30&
15.5 Effects of Process and Material Variables
Fig. 15.15 Conventional direct
redrawing operation
Punch
Blankholder
Cup
partially
redrawn
Die
Fig. 15.16 Direct redrawing with the tapered mouth of the die
&
is used for cup thickness less than 0.8 mm and 45 is applied
for thicker cup. Since the angle through which the material
bends is less than 90& , the punch load is decreased, although
the number of bending experienced by the material still
remains the same. The formation of a cup with the tapered
corner in the first stage of drawing is the main disadvantage
of this process because such type of cup cannot be drawn
from all types of work materials without causing them to
buckle. Since the work material strain hardens to some
extent during the first drawing operation, it is generally
advised to perform annealing of the initially formed cup in
order to restore ductility prior to the start of redrawing
operation.
Typical reverse redrawing operation with blank holder is
shown in Fig. 15.17. The operation can be performed with
or without a blank holder. As the name suggests, the cupped
work-piece is redrawn in the direction opposite to that
applied for the initial cup drawing. In this operation the,
initially drawn cup is turned inside out so that the inside
surface of the initially drawn cup becomes the outside sur-
face of the finally redrawn cup. In this, the bending of
material occurs only in one direction along the inner and the
outer die corners. Since the bending direction of the redrawn
Fig. 15.17 Typical reverse
redrawing operation
707
Punch
Blank holder
Cup
Job(drawn)
partially
redrawn
Die
cup is opposite to that of the first-drawn cup, this bending in
reversed direction results in strain softening due to Bau-
schinger effect (see Sect. 2.5 in Chap. 2) and hence, a lower
force is required for reverse redrawing than for direct
redrawing. However, in an extreme case, to reduce the
severity of working of the cupped work-piece, the die with a
round edge can be used as shown in Fig. 15.18.
Compared to the direct redrawing, the advantages of the
reverse redrawing are:
• It is possible to obtain greater reductions per redraw.
• It is often possible to get rid of one or more intermittent
annealing operations. In direct redrawing, annealing is
needed between successive redrawing operations, but it
may not be required in indirect redrawing.
• It is possible to obtain better control over wrinkling.
• It is possible to obtain better distribution of metal in a
complex shape.
The disadvantages of reverse redrawing are:
• This process is not practically applicable to the cupped
work-piece thicker than 6.4 mm.
• A larger stroke is required for reverse redrawing than for
direct redrawing.
Due to the higher inherent friction in the redrawing
operation, the reduction achieved by it is always less than
that achievable by the first draw. If the cupped work-piece is
successively redrawn, the material will be strain hardened
more and more causing generally to decrease the reduction
for each successive redrawing operation. It is of course
possible to obtain greater reductions per redraw if the cupped
work-piece is annealed between redraws to reduce the
Punch
Blank holder
Cup
partially
Job redrawn
Die
708
Fig. 15.18 Die with rounded
edge in reverse redrawing Punch
Die
strain-hardening effects. Prior to annealing, most metals
allow a total reduction of 50–80%.
Redrawing operations causing considerable reduction in
the thickness of the cup wall are called ironing while those
causing little or no reduction in the thickness of the cup wall
are called sinking. The stress that produces ironing is pre-
dominantly the radial compressive stress caused by the
pressure of the die and the punch, while the stresses involved
in sinking are an axial tensile stress developed due to the
action of the punch and a circumferential compressive stress
developed because of the drawing-in of the material.
15.5.2 Radii of Die and Punch
Suitable radii of die and punch are necessary to allow the
sheet metal to be formed without tearing. The limiting
drawing ratio is found to increase as the die profile radius
increases up to a value of about 12 times the thickness of
sheet metal blank. As the die radius is increased for a given
drawing condition, the maximum punch load required to
move the metal into the die is reduced, because the process
work due to plastic bending under tension is decreased. The
drawing load can also be reduced by using conical lead-in
die, as shown in Fig. 15.19. Such modification of the
effective die radius reduces frictional loads because the
segments of the die surface that are usually heavily loaded
and increase friction are removed.
The punch profile radius is of utmost importance, because
local thinning and tearing usually take place around punch
profile if it has a sharp radius. If the radius of the punch nose
is raised from 1 to 5 times the blank thickness, the load in the
Punch
Blankholder
Blank Lead-in
surface
on die
Fig. 15.19 Conical lead-in die used to reduce drawing load
15 Deep Drawing
side wall of the cup will drop so that the reduction in blank
diameter will rise from 35 to about 50% (for steel). The cup
can therefore be drawn deeper before tearing of the side wall
occurs. The limiting drawing ratio is found to increase as the
punch profile radius increases up to a value of about 8 times
the thickness of sheet metal blank. If the radii of punch
corner and die are greater than 10 times the blank thickness,
then their effects on the maximum punch force are
insignificant. So, it is concluded that increase of both die and
punch radii promotes drawing. However, the load at which
tearing occurs at the bottom of the cup is determined by the
radii of punch and die as well as percentage of reduction.
15.5.3 Punch-to-Die Clearance
The extent of punch-to-die clearance is selected depending
on the thickness and strength of work metal and on the
requirements of the drawn component. The free span
between the male punch and the female die is minimized to
prevent wrinkling in the cup wall, by closely controlling the
clearance between them. When the metal is drawn over the
die radius, there is a decrease and then a gradual increase in
its thickness. So, a radial clearance of 7–15% larger than the
blank thickness (1.07–1.15 times the blank thickness) is
employed, which assists to avoid burnishing of the side wall
and punching out of the bottom of the cup. When the radial
clearance of 15–20% larger than the blank thickness (1.15–
1.2 times the blank thickness) is maintained and the cupped
portions of the component are not in contact with the walls
of the die and punch, the drawing load is minimal. This
clearance is adequate to prevent the ironing of metal in the
cup wall and is commonly used in commercial deep draw-
ing. Ironing operation to produce a uniform wall thickness is
performed subsequent to deep drawing operation. If appre-
ciable uniform reduction in thickness in cup wall is to be
made by ironing, much smaller clearance is used. As the
clearance is reduced the drawing load rises and as soon as
the metal thickness slightly exceeds the clearance, ironing
operation starts and a secondary peak is observed in the
drawing load versus punch movement curve.
Since the metal thickens during cupping in the first draw,
the clearance in relation to blank thickness must be greater
for redrawing operations than for the initial draw. A sizing
redraw is employed where importance is given to the wall
thickness or diameter of the cup or where surface finish has
to be improved for reduction of finishing costs. The clear-
ance used for sizing redraw is lower than that for the first
draw. Clearances for cupping, redrawing and sizing redraws
of cylindrical components from blank of different thick-
nesses are listed in Table 15.1 (Semiatin 2006). The clear-
ance must be raised with the decrease in tensile strength of
the work metal.
15.5 Effects of Process and Material Variables
Table 15.1 Punch-to-die Sheet thickness (mm)
clearance in relation to sheet
thickness in deep drawing
(Semiatin 2006) Up to 0.38
0.39–1.27
1.28–3.18
3.19 and above
The clearance between the punch and the die for a closed
bottom rectangular containers, at the ends and sidewalls, is
almost the same as or slightly lower than that for a cylin-
drical cup. Radial clearance as much as 50% larger than the
blank thickness (1.5 to times the blank thickness) may be
used for a rectangular shell at the corners to prevent ironing
in those areas and to improve drawability.
15.5.4 Drawing Speed
The drawing speed can affect the limiting drawing ratio, the
efficiency of the lubricant and the flow stress of the work
material. Increasing drawing speed increases the flow stress
of the work material and therefore the drawing load, par-
ticularly if the strain rate sensitivity of the material is high
and hence, higher stresses are required to form parts at
higher speeds. When a set of blanks which are dry as well as
lubricated with graphite in tallow have been tested, no speed
effects up to 150 mm s−1 have been observed. On the other
hand, pronounced speed effects have been observed with
light oil as lubricant, which has allowed a blank of 218 mm
in diameter to draw successfully at the higher speed against a
limiting blank diameter of 208 mm at very slow drawing
speed. Hence, increasing drawing speed sometimes increases
the limiting drawing ratio. Drawing speeds depend on the
work material, and typical drawing speeds for various
materials are listed in Table 15.2 (Semiatin 2006).
Speed is of greater significance in drawing stronger, less
ductile metal than in drawing softer, more ductile metal. At
low drawing speed, the stretching is reduced and the metal
gets enough time for plastic flow, but increasing the drawing
speed increases the stretching and causes the wall thinning of
metals. Excessive press speed causes excessive wall thinning
Table 15.2 Typical drawing Material
speeds for various materials
(Semiatin 2006) Steel
Stainless steel
Copper
Zinc
Aluminium
Brass
709
Ratio of clearance to sheet thickness
Cupping Redrawing Sizing redraw
1.07–1.09 1.08–1.10 1.04–1.05
1.08–1.10 1.09–1.12 1.05–1.06
1.10–1.12 1.12–1.14 1.07–1.09
1.12–1.14 1.15–1.20 1.08–1.10
and cracking in drawing stronger, less ductile metal, such as
stainless steel and heat-resistant alloys. When ironing is to
be performed during deep drawing operation, the drawing
speed is usually reduced compared to the drawing operation
that excludes ironing.
15.5.5 Friction and Lubrication
The following discussion will reveal that lubrication condi-
tions vary in different areas of deep drawing. The adjustment
of the pressure applied on the blank holder used to restrain
the metal flow is critical. If the pressure is excessive, an easy
drawing of metal into the die is not only resisted but there is
also a risk of lubrication breakdown, which results in scoring
of metal, or, in extreme cases, pressure welding of the tools
and the work metal and ultimately tool pickup of metal. The
pressure welding increases drawing force and distributes the
force unevenly, causing fracture of the work-piece in the
extreme condition. The probability of pressure welding
depends on the composition of work metal and the magni-
tude of force. Some metals are more adhesive than others,
e.g. austenitic stainless steel is more prone to adhere to steel
tools than low-carbon steel is and these sticky metals are
more susceptible to pressure welding. If the pressure applied
on the blank holder is too low, the blank will buckle or
wrinkle as the metal is drawn radially inwards. If the pres-
sure is correctly set, oil, soap or a graphite film is sufficient
to act as a lubricant.
Since the most serious thinning of the blank occurs over
the nose of the rounded punch and particularly between the
punch head and die, the straining of the metal must be
restricted in the region over the punch profile radius. This
requires high friction on the punch. Hence, high punch
Drawing speed (m/min)
5.5–15.2
9.1–12.2
38.1–45.7
38.1–45.7
45.7–53.3
53.3–61
710
friction but low clamping pressure, low blank holder friction
and die friction decreases the drawing force and increases
the drawability or the limiting drawing ratio (LDR). There-
fore, selective or differential lubrication is needed. There
may be no lubrication between the blank and the punch. The
surface of the punch is sometimes intentionally roughened
while the die is highly polished and well lubricated. Some-
times the blank is slightly roughened to increase the amount
of lubricant carried into the tool interface and thereby to
reduce the danger of tool pickup of metal, although friction
is somewhat increased due to roughening.
Lubricants used in deep drawing are various, ranging
from ordinary machine oil to pigmented compound. Lubri-
cant is selected mainly on the basis of its capability to resist
tearing, wrinkling or pressure welding during deep drawing.
Other factors for selection of lubricants include ease of
application and removal, corrosivity. If a lubricant cannot be
applied uniformly, the purpose of lubrication is lost. In
general, the removal of a lubricant becomes more difficult, as
its effectiveness increases. For example, lubricants contain-
ing white lead, zinc oxide, lithopone, graphite or molybde-
num disulphide are difficult to remove, while oil or grease
can easily be removed. Sometimes a lubricant is too corro-
sive for application on certain metals. For example, it is not
recommended to use lubricants containing high amounts of
chlorine or sulphur compounds for drawing copper alloys
and lubricants containing zinc or lead compounds for
drawing stainless steel and heat-resistant alloys. It is inter-
esting to note that the possible depth of draw can be
increased by suitably applying vibrational energy, especially
with sheets of alloys, which are difficult to lubricate.
15.5.6 Restraint of Metal Flow
The flow of metal into the die is somewhat restrained by the
die radius and the thickness of work metal. To prevent
buckling or wrinkling of the blank and to control the flow of
metal into the die cavity, some additional restraint is gen-
erally required. This requirement is fulfilled by the use of a
blank holder. If the ratio of supported length, ls , to original
thickness, t0 , of a blank is kept within certain limits, the
blank is not prone to wrinkling and the drawing operation
can be performed without a blank holder. The supported
length ls is the radial distance from the outer edge of the
blank to the top corner of the die cavity. For drawing a cup
without a blank holder, the ratio ls =t0 must not exceed 3 for
softer work metals, such as annealed brass, low-carbon steel
and aluminium while the ratio must not exceed 2.5 for
slightly harder work metals, like hard copper or half-hard
brass.
15 Deep Drawing
When a blank holder is used, it is possible to obtain much
higher reductions. As the outer part of the blank is drawn
radially inward towards the opening of the die, the force of
blank holder causes thickening of the work metal and this
amount of thickening is expressed by:
rffiffiffiffiffi
t1 D0
¼ ð15:34Þ
t0 D1
where
t1 the thickness of the flange at any instant during the
drawing operation;
t0 the original thickness of blank;
D0 the original diameter of blank; and
D1 the diameter of the flange at any instant during the
drawing operation, or the mean diameter of the
work-piece without the flange;
The thickness, t1 , of the flange will be actually lower than
that calculated from (15.34), since paths of least resistance
are taken during the flow of metal.
Generally used flat blank holders can be either constant
clearance type, known as flat fixed blank holder, or constant
pressure type, known as flat controlled-pressure blank
holder. The flat fixed blank holder is attached to the die
block and has a flat hold-down surface. At the start of
drawing operation, there is no contact between the blank
holder and the work metal. As the flange region thickens,
restraining by the blank holder starts and increases. One
disadvantage of this blank holder is that careful adjustment is
required to maintain the optimal clearance between the flat
hold-down surface and the die surface. A clearance that is
either excessive or too small raises the drawing load and
decreases the drawability. For optimal results, the clearance
must be slightly less than the thickness of flange so that 50–
70% of the final thickening is allowed before the metal in the
flange region comes in contact with the blank holder.
Since the flat controlled-pressure blank holder can be
adjusted to a prefixed and closely regulated value by pneu-
matic or hydraulic pressure, it is generally preferred in
industrial production. As discussed in earlier section, the
adjustment of the blank holder force is critical, because too
low a blank holder force may produce buckling or wrinkling
in the sheet metal, and too high a blank holder force may
cause tearing of the part at the punch profile radius. The
force applied by the blank holder must be the minimum
necessary to prevent the buckling. In general, the hold-down
pressure is generally kept at a value of 2% of the average
value of the yield strength and the ultimate tensile strength of
the work metal. The blank holder force depends on the
thickness and properties of the work metal, reduction in
15.5 Effects of Process and Material Variables
drawing, the types of lubricant used and other factors. The
magnitude of blank holder force needed during cylindrical
cup drawing varies from practically zero for comparatively
thick blanks to about 33% of the required deep drawing load
for a blank of 0.76 mm thick. Often thinner blanks need the
application of proportionately higher blank holder force. No
absolute rule exists for calculation of blank holder force for a
given drawing operation. Most values of blank holder force
are determined empirically, but the best procedure is to
determine it experimentally for a particular application.
15.5.7 Material Parameters
Sheet Thickness: The tendency to wrinkle in thick blank is
less than that in thin blank, so the blank holder force
required for thick blank is not greater rather less than that for
thin blank and usually, the thinner the blank the higher is the
applied blank holder force. It has been found that, the
pressure on the dies in deep drawing / ðsheet thicknessÞ2 .
Anisotropy: Planer anisotropy, in which properties of the
work metal vary with directions in the plane of the sheet,
causes the formation of ‘earing’ defects in deep-drawn parts.
The material in trough regions between the ears of the
deep-drawn cup is thickened due to compressive hoop stress
rather than elongating under radial tensile stress. This thicker
material sometimes forces against the blank holder pressure
to create gap that allows wrinkling of the material in the
comparatively thin areas near the ear under the action of
circumferential compression.
15.6 Evaluation of Formability
Methods developed to evaluate the formability of sheet
metal include different type tests, such as Marciniak biaxial
stretching test, Swift cup test, Olsen cupping value, Ericksen
deep drawing test, Fukui conical cup test, hole expansion
test and the forming limit diagram using hemispherical
punch method. The above tests except Marciniak stretching
test are simulative tests, which yield specific limited infor-
mation that is normally sensitive to the surface condition and
thickness of the material. The Marciniak stretching test is
one of several intrinsic tests, which supply general extensive
information that is not sensitive to the surface condition and
thickness of the material. Other intrinsic tests include the
hardness test, the plane strain tension test, biaxial stretching
by the hydraulic bulge test, Marciniak in-plane sheet torsion
test and the Miyauchi shear test, but their discussions are
beyond the scope of the book.
711
15.6.1 Marciniak Biaxial Stretching Test
(Marciniak and Kuczynski 1967)
A flat-bottomed punch of cylindrical or elliptical
cross-section having a hole at its centre is used to stretch a
disk of test material by placing a centrally hollow spacer disk
between the test disk sample and the punch. A cylindrical
punch that produces balanced biaxial stretching has been
used in most tests. The purpose of using a centrally hollow
punch is to avoid the friction in this region. The diameter
and material of the spacer disk are same as those of test disk.
The spacer hole-diameter equal to one-third of the punch
diameter has been applied successfully in the test. Fig-
ure 15.20 shows schematically the test arrangement. As the
test disk along with the spacer disk is stretched over the
punch, the central hole of the spacer disk expands and the
central part of the test disk undergoes deformation in uni-
form in-plane biaxial stretching. In the absence of the spacer
disk, the interfacial friction between the punch and the test
disk acting in the inward direction would resist the flow of
material and diminish the maximum obtainable strain level.
Due to presence of the central hole in the spacer disk, it
deforms easily than the test disk and applies the frictional
force on the test disk in the outward direction over the punch
radius. Thus, the purpose of using the spacer disk is to invert
the direction of surface friction endured by the test disk.
The measurement of strains is performed by using suit-
able markings like grid circles or squares on the test disk.
The test has been applied to determine the limiting strains of
the test material subjected to uniform in-plane biaxial
stretching without surface friction and the effect of different
strain paths on the limiting strain levels by using samples
with large areas, but does not determine the stresses. Further,
defects, such as inclusions, can be detected by uniform
straining a sample of large area to a high level, where early
localized fracture will be initiated due to defects.
Punch
Spacer
Hold-down
ring
Die
Specimen
Lock bead
Fig. 15.20 Schematic diagram of the Marciniak biaxial stretching test
712
15.6.2 Swift Cup Test
The most commonly used test to measure the deep drawa-
bility of a metal is the Swift cup test, which expresses the
drawability of a metal in terms of limiting draw ratio (LDR) or
percentage of reduction, as already discussed in Sect. 15.4.2.
15.6.3 Ericksen and Olsen Cup Tests
Both Ericksen and Olsen cup tests are very similar, only they
differ in the dimensions of the tooling used. In the Ericksen
test, widely used in Europe, the specimen is clamped with a
hold-down ring under a load of 1000 kg over the surface of a
die with an internal diameter of 27 mm and a die profile
radius of 0.75 mm and stretched with an indenter ball of
20 mm diameter, as shown in Fig. 15.21. When the speci-
men is stretched by the ball indenter under the application of
the punch force, it forms a cup-like bulge at its centre and the
punch force is increased till fracture initiates in the cup or the
punch force reaches a maximum. The depth h, of the cup at
the onset of fracture, is measured in millimetres and is
known as Ericksen number. The greater the depth h, the
greater is the formability of the material.
The Olsen test is carried out in a similar manner, but a
hardened steel ball of 22.2 mm diameter is pressed into the
specimen, which is clamped with a hold-down ring over the
surface of a die with an internal diameter of 25.4 mm and a
die profile radius of 0.81 mm, as shown in Fig. 15.22. The
internal diameter of the die is increased to 28.6 mm for
specimens thicker than 1.5 mm. A punch is used to press the
ball indenter. Olsen cupping value is assessed by the depth
Punch load
1000 kg
Punch
Hold-down
ring
Specimen
h cation is applied to the specimen on the die side only, but not
20 mm ball
indenter
Die
27 mm
Fig. 15.21 Schematic diagram of the Ericksen cupping test
15 Deep Drawing
25.4 mm (1.0 in.)
0.81 mm (0.032 in.)
60° radius
Die
Specimen
Hold-down
ring
22.2 mm (0.875 in.) ball
Fig. 15.22 Schematic diagram of the Olsen cup test
up to which the indenter ball can be pressed without the
initiation of fracture.
In both tests, the depth of the cup at fracture is considered
as the measure of stretchability. The preferred criterion to
determine this point of fracture is the maximum load. The
cup depth at fracture measured from the onset of visible
crack is usually 0.3–0.5 mm more than that measured at the
maximum load. One difficulty of both tests is the small size
of the penetrator that leads to excessive bending, particularly
in thicker sheet. Controlled drawing-in of the flange and
consistent lubrication are required to minimize the variations
in the test results. Drawing-in can be controlled by using
lock beads or serrated dies that prevent slippage of the
specimen. To achieve consistent lubrication, oiled poly-
ethylene can be used between the specimen and the pene-
trator. The reader is referred to the ASTM Standard (ASTM
E643 2015) for the ball punch deformation test for metallic
sheet materials, which is intended to replace the Olsen cup
test by standardizing many of the test parameters.
15.6.4 Fukui Conical Cup Test
The ball indenter used to deform the specimen in Fukui
conical cup test has diameter ranging from 12.5 to 27 mm.
The ball size used in this test depends on the thickness of the
specimen. In this test, circular sheet specimen is deformed
into conical cup by means of conical die, usually with a cone
angle of 60& ; as shown in Fig. 15.23 (Shey 1988). Lubri-
applied on the punch side, because the punch side lubrica-
tion causes tilting of the specimen. The centre of the ball
indenter and the apex of the conical die must lie along the
same centre line. The specimen is placed in the centre and
clamped with a hold-down ring. A punch is used to press the
ball indenter, and a constant rate of punch travel is usually
15.6 Evaluation of Formability
Conical die
Specimen
60°
Deformed
specimen
Ball
indenter
Fig. 15.23 Schematic diagram of the Fukui conical cup test (Shey
1988)
applied. The specimen is now deformed to fracture by the
ball indenter under the application of the punch force.
After fracture, the diameter at the base of the conical cup
formed is measured, which does not change after fracture.
The Fukui conical cup value is the ratio of the base diameter
of the conical cup after fracture to the diameter of the
original specimen. Obviously, the higher the Fukui conical
cup value the better is the formability. When the planar
anisotropy level, i.e. Dr-value of the test material, is high,
the conical cup formed is not symmetric and in such case the
average diameter has to be determined.
15.6.5 Hole Expansion Test
A flat sheet specimen with a circular hole in the centre is
gripped with a hold-down ring between ring-shaped die
plates. Drawing plates are sometimes provided with lock
beads to prevent slippage of the specimen and to control
drawing-in of the flange. A well-lubricated flat-bottomed
hemispherical or conical punch with a large profile radius
has been applied to deform the specimen. A spacer can be
placed between the specimen and the punch, as in the
Marciniak test. Initial diameter of the central hole of the
specimen prior to its deformation is measured. On defor-
mation by the punch, the circular hole of the specimen
enlarges and ultimately cracks at its edge. Fig. 15.24 illus-
trates schematically the test with a flat-bottomed punch.
The test is stopped as soon as a visible crack is noticed,
and the final diameter of the central hole of the specimen is
measured. Hence, the hole expansion is represented by the
percentage of increase in the diameter of hole as:
df % d0
Hole expansion ð%Þ ¼ ( 100 ð15:35Þ
d0
where d0 and df are, respectively, the initial and final
diameters of the hole. The hole expansion percentage is
713
Specimen
Die
Hold-down
ring
Punch
Fig. 15.24 Schematic diagram of hole expansion test with a
flat-bottomed punch
found to increase with increase of total elongation and the
value of average normal anisotropy, i.e. !r -value but decrease
with increase of tensile strength, which is quite expected
because total elongation decreases with increase of tensile
strength. In most cases, inclusion are observed in crack
locations and control of inclusion shape improves perfor-
mance in hole expansion test.
15.6.6 Forming Limit Diagram
A convenient approach to control failure in sheet metal
forming is the forming limit diagram, which has already
been introduced in previous Sect. 15.3.2. In the present
section, the procedure of obtaining the forming limit curve
will be discussed. To determine the forming limit curve, the
surface of the metal sheet to be tested must have a pattern of
circles of usually 2.5 mm in diameter, produced by elec-
trochemical marking (Dinda et al. 1981). The tooling
required for this purpose is a hemispherical punch of
102 mm diameter, upper and lower die set and a means of
securely clamping the test material in a die ring so that the
sample can be deformed to the point of incipient fracture.
The sheet sample is deformed over the punch until a local
neck is first observed and the circles after deformation distort
into ellipses. The resulting major and minor engineering
strains of the circles are measured, respectively, by the
percentage change in lengths along the major and the minor
axes of the ellipse as:
l2 % l1
Major engineering strain, % ¼ ( 100 ¼ e1 ð%Þ
l1
ð15:36Þ
w2 % w1
Minor engineering strain; % ¼ ( 100 ¼ e2 ð%Þ
w1
ð15:37Þ
where l1 and w1 are, respectively, the predeformed dimen-
sions of the circle along the major and the minor axes of the
714 15 Deep Drawing

l1 l2 l1 l2 l1 l2

w2 w1

w1 w1 = w2 w2
Draw, or,
Shrink Bend Stretch

Fig. 15.25 Characteristic changes in the shapes of the circle grid and minor strains are calculated, respectively, using (15.36) and
caused by drawing or shrinking, bending and stretching. The major (15.37). Minor strain is negative for shrinking, positive for stretching
strain coincides with the major axis of the grid after deformation. Major and zero (plane strain) for bending

ellipse and l2 and w2 are, respectively, the post-deformed minor strain are negative for deformation of sample by
lengths of the major and the minor axes of the ellipse. shrinking, positive for deformation by stretching and zero
To achieve various strain paths and establish the FLD, (plane strain) for deformation by bending.
circle gridded samples ranging in width from 25.4 to
203 mm of a particular type of sheet metal and varying
degree of lubrication are used. A series of tests is carried out 15.7 Deep Drawing Defects
to obtain the boundaries between safe and failure regions in
a forming limit diagram. The narrowest strip fractures at a Deep-drawn components may suffer from several defects.
minor to major strain ratio of about −0.5 which is compa- The defects that make the part ineffective are cracks, local
rable to the deformation in uniaxial tension. With the necking, wrinkling or buckling. The failure to retain the
increase of width, the minor strain passes through 0 (plane dimensional tolerance of formed parts upon withdrawal from
strain) towards positive values for full width specimen. the die due to spring back effect is another troublesome
Further increases in the minor to major strain ratio to a defect. Various types of common defects that may be found
maximum value of +1.0 leading to balanced biaxial in deep-drawn cylindrical cups are described below. Some of
stretching of the specimen are obtained when improved these defects are illustrated in Fig. 15.26.
punch lubrication with oiled neoprene or oiled polyethylene
is used and the thickness of polyurethane rubber between the
punch and the sheet is increased. The strain measurements
are made in and around the visible necked and fractured
regions, covering regions of up to a distance of at least 1.5
times the circle diameter from the centre of a neck. The
forming limit curve is drawn below the strains measured in
and around the regions of necking and fracture and above
those measured outside the necked regions. If combination Flange wrinkles Wall wrinkles Fractured rim and
bottom
of the major and minor strains measured for a circle gridded
test sample of the same alloy for which the FLD has been
established is a point above the forming limit curve, it rep-
resents a failure, while that below the curve it is safe. For
example, in Fig. 15.12, point A causes failure but if the state
of strain is changed, perhaps by modifying the die radius,
point A could shift to point B, which would be safe.
Corner fracture Directional Miss strike
Figure 15.25 shows the characteristic changes in the
earing
shapes of the circle when the deformation modes are
drawing or shrinking, bending and stretching. Values of Fig. 15.26 Various types of common deep drawing defects
15.7 Deep Drawing Defects
1. Tearing: The most common failure in a deep-drawn cup
is the separation of the base from the rest of the cup at the
location of maximum thinning near the punch radius
caused by high stresses in the vertical wall. This defect
may be minimized by reducing the punch load needed for
the drawing operation, or by decreasing blank holder
force if it is too high, or by minimizing the thinning.
Again, the thinning may be reduced by increasing punch
radius, or/and by slightly roughening the punch and
minimizing the lubrication at the punch area. Radial
cracks in the flange or the edge of the cup is more likely
to take place in redrawing operation without annealing
than on the first draw. Occurrence of this type of failure
indicates that the metal does not possess adequate duc-
tility to withstand the large amount of circumferential
shrinking that is needed in this region of the sheet metal.
2. Wrinkling: Wrinkling (Fig. 15.26) consisting of a series
of ridges forms radially in the flange or the edges of the
cup due to buckling of the sheet resulting from the high
compressive hoop stresses. Each radial element in the
circular sheet can be regarded as a column loaded in
compression. A large diameter of blank requiring a
higher punch load causes the compressive hoop stress
acting on the flange of the cup to exceed the critical
buckling stress for column. Further, increase in blank
diameter increases the slenderness ratio of radial ele-
ments in the circular sheet, which attains the critical
buckling stress at lower deformation load, because criti-
cal buckling stress decreases with increase in the slen-
derness ratio of column. However, to avoid plastic
buckling in the flange region by maintaining a lower
slenderness ratio, the radial difference between the sheet
) *
blank and punch, i.e., R0 % Rp , for most materials,
should not exceed four times the original thickness t0 of
the sheet blank, i.e.
) * ) *
R0 % Rp + 4t0 ; or; R0 % Rp max ¼ 4t0 ð15:38Þ
Wrinkling in the wall of the cup (Fig. 15.26) may also
occur when the ridges in the flange are drawn into the ver-
tical wall of the cup. Wrinkles develop on the flange due to
insufficient hold-down pressure and may also extend to the
vertical wall of the cup, so it is essential to apply adequate
blank holder pressure to avoid this defect.
3. Rim, bottom and corner fracture: Thinning of the cup
walls may be caused by too high blank holder pressure
and friction. This may result in a fracture at the flange,
bottom and the corner (if any) of the drawn parts, as
shown in Fig. 15.26.
4. Earing: Earing is the formation of a wavy edge on the
top of a cup (Fig. 15.26), which is deep drawn from a
circular blank made of anisotropic material. Rolling or
715
other primary working processes cause crystallographic
fibering or preferred orientation and thus induce the
directionality in mechanical properties, i.e. anisotropy
while producing thin sheets to be used subsequently in
deep drawing. The planar anisotropy developed during
prior working processes may make the sheet metal
stronger in one direction than the other directions in the
plane of sheet. Hence, strains in the stronger directions
are less than those in the weaker directions in the plane of
sheet that result in lower heights of the cup wall in the
stronger than in the weaker directions, causing the for-
mation of ‘ears’. The number of ‘ears’ formed is usually
two, four or six that depends on the preferred orientation
in the plane of sheet. In practice, the original blank to be
deep drawn must have enough excess material so that the
‘ears’ formed in the finished part can be discarded by
trimming.
5. Miss strike: When the sheet blank is not properly placed
over the die surface, flanges that may result are unsym-
metrical. The formation of unsymmetrical flanges due to
misplacement of the blank is commonly referred to as
miss strike (Fig. 15.26).
6. Orange peeling: Pronounced roughness developed on
the surface of the appreciably deformed part is usually
called orange peel or orange peeling, because the
appearance of the surface of the part resembles to the
surface appearance of an orange. The greater the defor-
mation the more distinct is the orange peel effect. Sheet
metals with very coarse grains at the surface exhibit
orange peel. The fact is that deformation of the individual
grains in the metal tends to occur independently of each
other. As a result, the grains stand out in relief on the
surface. In case of sheet metals with fine grains, the
individual grains are so small that the surface relief is
difficult to detect with the eye and it appears that defor-
mation of grains occurs more nearly as a whole. But for
coarse-grained metals, the surface relief produces the
roughened dull surface, which is not acceptable for many
applications. So, to avoid the orange peel effect, a
finer-grain-size sheet metal is desirable. On the other
hand, formability of a component is better for metals with
coarse grain size than with fine grain size, because the
yield strength of a metal decreases with the increase of
grain size. Therefore, the maximum grain size that can
avoid the orange peel effect should be the desired grain
size in deep drawing operation.
7. Surface scratches: If surfaces of punch and die are not
smooth or if the lubrication is not sufficient, then scrat-
ches on the surface of a drawn part appear.
8. Stretcher strains or ‘worms’: These defects appearing
as markings or depressions in the surface first develop
along planes of maximum shear stress and then, as
deformation proceeds, they propagate and meet together
716 15 Deep Drawing

to develop a uniform rough surface. The existence of
stretcher strains is directly related to the non-uniform
plastic deformation occurring in a relatively narrow
segment of yield point elongation of the stress–strain
curve, as shown in Fig. 15.27. The metal in the region of
stretcher strains has been plastically deformed up to the
end of yield point elongation, i.e. an amount equal to the
point B in Fig. 15.27, whereas the rest part of the metal
has experienced basically zero plastic strain. The average
strain of the entire part is given by some intermediate
elongation, say, the point A in Fig. 15.27. As the defor-
mation advances and the number of stretcher strains
increase, the average strain of the entire part increases
until it reaches the endpoint B of yield point elongation.
At this point of strain, stretcher strains have spread to
cover the entire part. Beyond this strain, the part under-
goes a uniform and homogeneous deformation. There-
fore, an average strain of the entire part less than the yield
point elongation will lead to the difficulty associated with
stretcher strains. The usual industrial solution to this
problem is to deform the sheet metal with a small cold
reduction in thickness to the homogeneous strain point
beyond the yield point elongation by roller levelling or a
skin-pass rolling operation and use it immediately before
it can age. Such a temper-rolling or skin-pass rolling
creates sufficient fresh dislocations by cold working so
that plastic deformation can subsequently take place
without a yield point. For steel sheets, the cold reduction
in thickness is usually 0.5–2%. However, if the slightly
deformed steel is stored instead of using, it will strain age
and the yield point will reappear causing the difficulties
associated with stretcher strains. To control strain ageing
of low-carbon steel to a certain extent, the lowering of the
amount of carbon and nitrogen in the solution by external
addition of specific elements is usually desirable. The
specific elements that have affinity towards carbon and
nitrogen are aluminium, vanadium, titanium, columbium
or niobium and boron. These elements, when added, take
part of these interstitials out of the solution and form
stable carbides, nitrides or carbonitrides.
15.8 Solved Problems
15.8.1. A 6-mm-thick cold-rolled steel blank of 100 mm
diameter is deep drawn without any thickness change to a
cup with an inside diameter of 80 mm and a wall thickness
of 6 mm. Assume that the coefficient of friction at the die–
blank interface is 0.1. The uniaxial flow stress and the UTS
of the material can be taken as 400 and 520 MPa, respec-
tively. Neglecting the force required to bend and unbend the
blank, determine the deep drawing load, if the hold-down
pressure is 2% of the average value of yield stress and the
UTS of the work metal.
Solution
Given that the diameter of cold-rolled steel blank is
D0 ¼ 100 mm, the inside diameter of the cup is Di = the
punch diameter Dp ¼ 80 mm; the thickness of the cup wall
is t0 ¼ 6 mm; the die diameter is Dd ¼ Dp þ 2t0 ¼
ð80 þ 12Þ mm ¼ 92 mm: The diameter of the cup up to its
mid-wall thickness is: Dm ¼ Dp þ t0 ¼ ð80 þ 6Þ mm ¼ 86 mm.
Since the uniaxial flow stress is r0 ¼ 400 N/mm2 , and the
UTS is Su ¼ 520 N/mm2 , so the hold-down pressure
according to given condition is:
r 0 þ Su 400 þ 520 !
rH ¼ 0:02 ( ¼ 0:02 ( N mm2
! 2 2
¼ 9:2 N mm2 :
According to (15.3) the blank holder force is:
/+ ) *, 0
HB ¼ p D20 % D2d =4 ( rH
/+ ) *,! 0
¼ p 1002 % 922 4 ( 9:2 N ¼ 11098:62 N:

led
rol The coefficient of friction at the die–blank interface is
per
Tem eale
d l ¼ 0:1. Hence, using (15.20), we get the deep drawing load
Ann
as follows:
A B % # $ # $& 'lp(
D0 Dm
Stress

P ¼ pDm t0 ð1:1ro Þ ln þ l 2HB exp

Dd D0 2
% # $
100
Stretcher ¼ p ( 86 ( 6 ( ð1:1 ( 400Þ ln
92
strains # $& # $
Yield-point 86 0:1 ( p
elongation þ 0:1 ( 2 ( 11098:62 ( exp N
100 2
# $
0:1 ( p
Strain ¼ ½59473:37 þ 1908:96* exp N
2
Fig. 15.27 Stretcher strains related to yield point elongation of the ¼ ð61382:33 ( 1:17ÞN ¼ 71817:33N ¼ 71:82kN:
stress–strain curve
15.8 Solved Problems 717

" #
15.8.2. For the problem 15.8.1, if the blank holding force is 100
one-twentieth of the shear yield force over the entire circular Or; 513:16 ¼ 2 ( 220 ( ln ) *
Dp min þ 2t0
cross-section of the blank, determine the
2 ( 0:1 ( 86393:8
þ
(a) Minimum possible internal diameter of the cup which p (%100 ( 6 &
can be drawn from the given blank without causing a 100
fracture, neglecting plastic buckling in the flange region. ¼ 440 ( ln þ 9:17;
ðDi Þmin þ 12
(b) Drawing load required to produce a cup of minimum
% &
possible inside diameter with the same wall thickness 100 513:16 % 9:17
) ln ¼ ¼ 1:145;
from the same size blank as in the problem 15.8.1, ðDi Þmin þ 12 440
without causing plastic buckling in the flange.
100
Or; ¼ expð1:145Þ ¼ 3:14;
Solution ðDi Þmin þ 12
# $
Using (15.7), the average value of the shear yield stress, !k, 100
) ðDi Þmin ¼ % 12 mm ¼ 19:85 mm:
from uniaxial flow stress r0 ¼ 400 N/mm2 , is: 3:14

1:1r0 1:1 ( 400 [Note that D0 % Dp ¼ D0 % Di ¼ ð100 % 19:85Þ mm ¼

k¼ ¼ N/mm2 ¼ 220 N/mm2 :
2 2 80:15 mm , 8 t0 ðsince t0 ¼ 6 mmÞ; and this goes much
beyond the limiting condition set for the plastic buckling in
From the given condition, the blank holding force is:
the flange [see (15.38)].
1
HB ¼ ( shear yield force over the (b) According to (15.38), the condition to avoid plastic
20
entire circular cross-section of the blank buckling in the flange is:
# 2 $ # 2
$ ) *
1 pD0 ! 1 p ( 100 D0 % Dp max ¼ 8 t0
¼ ( k ¼ ( 220 N ¼ 86393:8 N:
20 4 20 4 Or; 100 % ðD Þ ¼ 8 ( 6 mm ¼ 48 mm:
i min

(a) According to (15.1), the maximum stress at fracture is: ) Minimum inside diameter of the cup,
ðDi Þmin ¼ ð100 % 48Þ mm ¼ 52 mm:
2 2
rmax ¼ pffiffi Su ¼ pffiffi ( 520 N=mm2 ¼ 600:44 N=mm2 :
3 3 And minimum ) die
* diameter,
ðDd Þmin ¼ Dp min þ 2t0 ¼ ðDi Þmin þ 12 ¼ 64 mm:
The maximum allowable downward vertical stress
ðrz Þmax acting on the work-piece (that acts at the end point of
The minimum diameter of the cup up to its mid-wall
the sliding of the work-piece along the die corner) will be
thickness is:
equal to rmax at fracture, i.e.
ðDm Þmin ¼ ðDi Þmin þ t0 ¼ ð52 þ 6Þ mm ¼ 58 mm:
ðrz Þmax ¼ rmax at fracture ¼ 600:44 N/mm2 :
Hence, using (15.20) we get the drawing load as follows:
Hence from (15.17), the maximum radial stress acting on
% - .
the work-piece at the beginning of the die corner is: D0
P ¼ pðDm Þmin t0 ð1:1ro Þ ln
h i ' lp( ðDd Þmin
ðrr Þr¼Rd ¼ ðrz Þmax exp % - .& 'lp(
max #2 $ ðDm Þmin
0:1 ( p þ l 2HB exp
¼ 600:44 ( exp % N/mm2 D0 2
2 % # $
100
¼ 513:16 N/mm2 : ¼ p ( 58 ( 6 ( ð1:1 ( 400Þ ln
64
h i # $& # $
58 0:1 ( p
Substituting the above value of ðrr Þr¼Rd into þ 0:1 ( 2 ( 86393:8 ( exp N
max 100 2
(15.11), we can obtain the minimum possible internal # $
0:1 ( p
diameter ðDi Þmin of the cup as follows: ¼ ½214682:25 þ 10021:68* exp N
2
h i % &
D0 2lHB ¼ ð224703:93 ( 1:17Þ N
ðrr Þr¼Rd ¼ 2k ln þ ;
max ðDd Þmin pD0 t0 ¼ 262903:6 N ¼ 262:9 kN:
718 15 Deep Drawing

Exercise
15.Ex.1. A 4-mm-thick round blank of 80 mm diameter is
deep drawn without any thickness change to a cup with an
inside diameter of 60 mm and a wall thickness of 4 mm. The
uniaxial deformation resistance and the UTS of the material
can be taken as 300 and 500 MPa, respectively. Assume that
the coefficient of friction at the die–blank interface is 0.07.
Neglecting the force required to bend and unbend the blank,
determine the
(a) Deep drawing load, if the blank holding force is 0.04
times of the shear yield force over the entire circular
cross-section of the blank.
(b) Minimum possible internal diameter of the cup which
can be drawn from the given blank without causing a frac-
ture, neglecting plastic buckling in the flange region.
15.Ex.2. The values of plastic strain ratio r for differently
treated steel sheets with respect to the rolling direction are
given below:
(b) If the minimum inside diameter of the drawn cup without
failure is 50 mm, what will be the largest diameter of the
blank from which the cup can be successfully drawn?
(c) What would be approximate height of the cup?
15.Ex.4. A pattern of circles of 2.5 mm in diameter is pro-
duced by electrochemical marking on two blank sheets of
low-carbon steel A and B. The circles after deformation
distort into ellipse. If the post-deformed lengths of the major
and the minor axes of the ellipse are, respectively, 3.5 and
3 mm for steel A and 4.5 and 2.25 mm for steel B. From the
forming limit diagram (FLD) shown in Fig. 15.12, find
whether the steel A as well as B is in the safe region or not.
15.Ex.5. Compare the plane strain intercept of the forming
limit diagram for a low-carbon steel sheet of 2.5 mm
thickness with that of 2 mm thickness, if the
strain-hardening exponent for that steel is 0.15.
15.Ex.6. Indicate the correct or most appropriate answer
from the following multiple choices:

(a) An insufficient blank holder pressure during deep

Material Parallel to Transverse to 45° to the
the rolling the rolling rolling drawing may cause to develop one of the following defects:
direction direction direction
(A) Miss strike;
Hot-rolled steel 0.7 1.3 1.0
(B) Wrinkles on flange and / or wall;
Cold-rolled 0.8 1.8 1.2 (C) Earing;
aluminium-killed
steel (D) Fracture at flange and / or bottom and / or corner (if any).
Cold-rolled 1.2 2.2 1.5 (b) The type of defects observed in deep drawing is:
rimmed steel
(A) Alligatoring; (B) Flash cracking;
(C) Fir-tree cracking; (D) Earing.
(a) Arrange the material according to increasing order of
their drawing ratio before fracture. (c) To achieve a certain amount of control over strain ageing
(b) Assume that the LDR (limiting drawing ratio) varies in deep-drawn steel, it is usually desirable to lower the
linearly with the average plastic strain ratio !r , which is given amount of the following element(s) in the solution:
by LDR ¼ 0:43!r þ 1:86. Determine the smallest inside
diameter of the cup to which the above-mentioned steel (A) Sulphur and phosphorus; (B) Boron;
sheets can be drawn from a round blank of 100 mm (C) Silicon and manganese; (D) Carbon and nitrogen.
diameter.
(c) Determine whether or not ‘earing’ will occur during the Answer to Exercise Problems
above deep drawing operations. If ‘ears’ are formed, which
steel will show higher height of the ‘ears’? Justify your 15.Ex.1. (a) 52.3 kN; (b) 8.9 mm.
answer. 15.Ex.2. (a) Hot-rolled steel (lowest drawing ratio),
Cold-rolled aluminium-killed steel, Cold-rolled rimmed steel
15.Ex.3. A sheet metal having planar isotropy shows an 11%
(highest drawing ratio); (b) 43.67 mm, 41.71 mm,
reduction in thickness when it is stretched by 25% in length.
39.25 mm; (c) No ‘earing’ in hot-rolled steel since Dr ¼ 0:
(a) If the relationship between LDR (limiting drawing ratio) ‘Ears’ are formed in cold-rolled steel since Dr [ 0. The
and !r (average plastic strain ratio) is given by rimmed steel with Dr ¼ 0:1 will show higher height of the
LDR ¼ 0:43!r þ 1:86, estimate the expected LDR for that ‘ears’ than the killed steel with Dr ¼ 0:05, since the height
sheet metal. of the ‘ears’ increases with the value of Dr, when Dr [ 0.
15.8 Solved Problems
15.Ex.3. (a) 2.25; (b) 112.5 mm; (c) 50.78 mm.
15.Ex.4. Steel A: Coordinate point is (20, 40), which is
below the forming limit curve, so it is in the safe region.
Steel B: Coordinate point is (−10, 80), which is above the
forming limit curve, so it is in the failure region and not safe.
15.Ex.5. The plane strain intercept for 2.5-mm-thick sheet is
13.7% higher than that for 2-mm-thick sheet.
15.Ex.6. (a) (B) Wrinkles on flange and/or wall.
(b) (D) Earing. (c) (D) Carbon and nitrogen.
References
Alexander, J.M.: Metall. Rev. 5, 349–411 (1960)
ASTM E643: Standard Test Method for Ball Punch Deformation of
Metallic Sheet Material. Designation: E643—15. ASTM International,
West Conshohocken, Pa. https://doi.org/10.1520/e0643-15 (2015)
Brammar, I.S., Harris, D.A.: Production and properties of sheet steel
and aluminum alloys for forming applications. J. Aust. Inst. Met. 20
(2), 85–100 (1975)
Chung, S.Y., Swift, H.W.: Cup-drawing from a flat blank. Proc. Inst.
Mech. Eng. (London) 165, 199–228 (1951)
Dieter, G.E.: Sheet-metal forming. In: Mechanical Metallurgy, 3rd edn.
McGraw-Hill Book Company (UK) Ltd., London, p. 669 (1988)
Dinda, S., James, K.F., Keeler, S.P., Stine, P.A.: How to Use Circle
Grid Analysis for Die Tryout. American Society for Metals, Metals
Park, Ohio (1981)
Eary, D.F., Reed, E.A.: Techniques of Press working Sheet Metal, 2nd
edn. Prentice-Hall, pp. 136–172 (1974)
Frommann, K.M.: Proceedings of American Metal Stampling Associ-
ation Conference, Detroit, MI, pp. 1–55, Apr 1968
Ghosh, A.K.: The influence of strain hardening and strain-rate sensitivity
on sheet metal forming. Trans. ASME 99, 264–274 (1977)
719
Goodwin, G.M.: Application of strain analysis to sheet metal forming
problems in the press shop. Society of Automotive Engineers,
Congress, Detroit, paper 680093 (1968)
Hosford, W.F., Caddell, R.M.: Metal Forming, Mechanics and Metal-
lurgy. Prentice-Hall, Englewood Cliffs, N.J., pp. 273, 309 (1983)
Keeler, S.P.: Determination of forming limits in automotive stampings.
Sheet Met. Ind. 42, 683–691 (1965)
Keeler, S.P.: Sheet Metal Ind. 7, 511 (1971)
Keeler, S.P., Backofen, W.A.: Plastic instability and fracture in sheets
stretched over rigid punches. Trans. ASM 56(1), 25–48 (1963)
Keeler, S.P., Brazier, W.G.: Relationship between laboratory material
characterization and press-shop formability. In: Micro Alloying 75
Proceedings, Union Carbide Corporation, pp. 517–530 (1977)
Kemmis, O.H.: Sheet Met. Ind. 34(203), 251 (1957)
Langford, E.: Trans. ADM 42, 1197 (1950)
Marciniak, Z., Kuczynski, K.: Limit strains in the processes of
stretch-forming sheet metal. Int. J. Mech. Sci. 9, 609–620 (1967)
Michaealis, E.E.: Sheet Metal Ind. 936 (1979)
Naziri, H., Pearce, R.: The effect of plastic anisotropy on flange—
wrinkling behavior during sheet metal forming. Int. J. Mech. Sci.
10, 681–694 (1968)
Sachs, G.: Spanlose Formung, pp. 11–38. Springer-Verlag OHG, Berlin
(1930)
Sachs, G., Van Horn, K.R.: Practical metallurgy, pp. 430–431.
American Society for Metals, Metals Park, Ohio (1940)
Semiatin, S.L. (ed.): Metalworking: Sheet Forming. ASM Handbook, vol.
14B, pp. 325, 327. ASM International, Materials Park, Ohio (2006)
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deformation analysis, pp. 19–52. Plenum Press, New York (1978)
 High-Energy Rate Forming
16

Chapter Objectives

• Principle of high-energy rate forming (HERF) or high-velocity forming (HVF) pro-

cess, and its difference with conventional processes, reason to develop HVF process,
and its fields of application, advantages and limitations.
• Principle of explosive forming process, and its distinction with conventional forming.
Varieties of explosives and their properties.
• Standoff or unconfined or underwater (bulk head forming, free forming and cylinder
forming) explosive forming technique: description with advantages and limitations,
and sequence of forming operation. Effect of standoff distance, weight, types of
explosives used and type of energy-transmitting medium on magnitude of peak
pressure exerted on work-piece.
• Contact or confined explosive forming technique: description with advantage and
disadvantage.
• Electromagnetic forming or magnetic pulse forming process: principle and discus-
sion, advantages and limitations, various applications, such as expansion (bulging) or
compression (shrinking) of a hollow cylindrical work-piece, or even a combination
of both to attain a final shape, and forming of flat sheet metal to contours of die.
• Electrohydraulic forming or spark discharge forming or electric discharge forming
or electrospark forming: description with fields of application and comparison of
energy efficiency and peak pressure with explosive forming.
• High-energy rate forging and other HERF methods.
• Problems and solutions.

high-strength and thermal-resistant alloys. Titanium and its

16.1 Introduction
The aim of all manufacturing industries is to obtain eco-
nomically a product of enhanced quality with increase in the
rate of production. This has caused us to progress from the
hand-held tools and hammers, first used for deformation in
ancient days to the present electrically powered devices. For
space and aeronautical applications, there were needs to
form large and complex sheet metal structures from
alloy having high strength-to-weight ratio are quite suitable
for such applications, but cold working temperatures for
some metals like titanium are as high as 1000 °C. It is dif-
ficult for the conventional forming processes to supply the
tremendous amount of energy required for cold deformation
of such metals. To overcome these difficulties and for further
enhancement of the performance in the sheet metal indus-
tries, a new group of forming processes known as
‘high-energy rate forming’ (HERF) processes have been

© Springer Nature Singapore Pte Ltd. 2018 721

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3_16
722
developed. The HERF processes are used in aerospace and
aircraft industries. Apart from this, automotive-related
components have also been successfully produced employ-
ing HERF processes.
HERF is the shaping of materials, typically carried out at
room temperature, through the application of large amounts
of energy in a very short interval of time, usually in mil-
liseconds or microseconds. In HERF, as the name suggests,
the rate of delivery of deformation energy occurs much
rapidly than in conventional forming operations. HERF
processes are also known as high-velocity forming
(HVF) processes, because forging, extrusion, sheet forming,
etc., are carried out by these processes with forming veloc-
ities ranging from 30 m s−1 to as high as 200 m s−1 in
contrast to the maximum forming velocity of 40 m s−1 as
obtainable in the wire drawing or maximum forming
velocity of 10 m s−1 as in rolling and hammer forging. The
energy of these processes is used to produce high particle
velocities unlike the conventional practice. When a
work-piece is imparted with a high velocity, the kinetic
energy is changed to plastic deformation by constraint of the
part or impact with a die. The extensive study on
high-velocity forming methods was done between nearly
1950s and the early 1970s, although these methods were
discovered in the late 1800s and applied to some extent to
form thick plates in the 1930s.
16.2 Fundamentals of HERF Process
To develop the dependence of ductility on the deformation
velocity, Wood (1967) carried out a series of experiments on
several materials by both conventional tensile testing and
impact experiments, where the deformation velocity was
varied. From his study, three distinct regions were found to
exist in the ductility–velocity plot. Below a first critical
velocity, ductility measured by strain to fracture was found
to be independent of velocity, i.e. in this region, the ductility
is not a strong function of strain rate and the specimen
behaves in an ordinary way. His study showed that ductility
measured by strain to fracture improved significantly
between a first and second critical velocity and dropped
sharply to almost zero beyond this second critical velocity.
In uniaxial tension, one end of the specimen is held fixed and
the other end is initially moving at a high velocity. The
strongly nonuniform velocity distribution initially delivered
to the specimen may be the reason for the reduction in
ductility beyond the second critical velocity. For most metals
and alloys, this second critical velocity is between approxi-
mately 30 and 150 m s−1, which are usually beyond the
conventional working range. Therefore, HERF processes,
because of having high deformation velocity mostly lying
between the first and second critical velocity, increase the
16 High-Energy Rate Forming
ductility of many materials. However, there is a precondition
that the material to be shaped by this process must be ductile
in nature. The operation of this process involves the firm
placement of a ductile material work-piece over a female die
of the desired shape and then imparting a high kinetic energy
at a very rapid rate to the work-piece to provide a high
velocity to it. This high velocity makes the work-piece to hit
the die at a very high rate, where it will be plastically
deformed under the pressure of the applied energy and
obtain the shape of the die cavity. Obviously, there will be a
certain initial gap between the work-piece and the die sur-
face. This initial gap is called the fly distance, which must be
adequate to allow the material to flow plastically. Ideally, the
magnitude of the pressure imparted to the work-piece should
be such that the material flows initially with some maximum
velocity but comes to rest as soon as it covers the full fly
distance.
The main and most basic difference between the conven-
tional and HERF processes is the deformation velocity at
which forming is performed. Conventional machines like
hydraulic or mechanical press cannot produce very high
deformation velocity due to mechanical limitations. The
principle behind HERF process is that a smaller mass moving
at a higher speed can produce a large amount of energy,
because kinetic energy of a moving mass is proportional to the
square of its velocity. This is illustrated with the following
examples. The amount of energy delivered by a mechanical
press with load capacity of 666.67 kN, moving over a distance
of 0.15 m and that by a drop hammer of weight 78.48 kN
(8000 kg), striking the work-piece with a velocity of 5 m s−1,
is 100 kJ. The same amount of energy can be supplied by
HERF process, if a waterfront, weighing only 49.05 N (5 kg),
is forced to move with a velocity of 200 m s−1 by an explosive
charge for striking against the work-piece. This light weight of
the striking mass allows using smaller machines and equip-
ments in HERF processes than in conventional forming pro-
cesses. Now, let us consider the rate of delivery of deformation
energy in the above-mentioned three cases. If typical time
taken to complete deformation in mechanical press is 0.5 s and
that in drop hammer is 0.06 s, then the power supplied by the
former is 200 kW and that by the latter is 1.67 MW. On the
other hand, the time required by HERF process for completion
of operation is around 0.0007 s, which indicates a power of
about 143 MW. This clearly shows that machines used in
HERF processes are not only the most compact but also the
most powerful.
16.2.1 Advantages and Limitations
HERF processes are becoming popular because of their
various advantages over conventional processes. These ad-
vantages are as follows:
16.2 Fundamentals of HERF Process
• The rate of production is higher, since components are
formed at a rapid rate.
• Due to a rapid strain rate of HERF, strain required to
cause failure, i.e. ductility of material obtained, is much
higher than that observed typically at conventional strain
rates.
• As many materials deform more easily under the exces-
sively fast rates of load application used in HERF pro-
cesses, so it is possible to give the desired shape to large
work-pieces and to those materials that are difficult to
form with less expensive equipment and tooling than
those required in conventional processes.
• The desired final size and shape of the product are mostly
achieved in a single stroke or operation, and thus, in-
termediate shaping steps or preshaping dies are
eliminated.
• The tooling cost is reduced due to the use of single-sided
female die in most cases and the elimination of pre-
shaping dies. Thus, the production cost of components is
reduced due to the elimination of intermediate shaping
steps and reduction of tooling cost.
• In conventional working, friction causes the strain dis-
tribution to become quite nonuniform. Since HERF in
most cases is a punchless forming operation, the strain is
distributed much more uniformly in HERF compared to
that in conventional forming processes.
• Due to uniform strain distribution, parts having complex
shapes or profile can be manufactured much quickly and
easily in a single operation, even from a material with
low formability, while several operations and more time
may be required to produce such shapes by conventional
forming processes and still welding or other fabrication
process may be necessary to form such complex parts.
Otherwise, if we try to make such shapes by cutting it
from a basic block, there will be certainly wastage of
material and/or processing time.
• Parts show no or minimum springback effect after their
formation (Williams 1960), while the springback prob-
lem is very much associated with all conventional
forming processes, particularly when applied to sheet
metal forming. The springback effect causes the dimen-
sional inaccuracies of the formed parts. In HERF pro-
cesses, the elimination of springback effect is probably
due to a slight overformation of the work-piece resulting
from some slight elastic deformation of the die that takes
place under the extremely high pressure, and thus, it
appears that there is no or little springback effect on the
work-piece. Another factor associated with the reduction
or elimination of springback effect is that high com-
pressive stresses are developed in the work-piece when it
is forced against the die. This causes to minimize the
residual differential elastic strains through the thickness
723
of a sheet, and these elastic strains are the root cause of
distortion and springback.
• Parts can be produced with close dimensional tolerances
due to significant reduction of springback effect.
• Draft allowances are reduced and in some cases
eliminated.
• Surface finish of the product can be improved due to the
elimination of the requirement of the deforming male die
in most cases and thereby its physical contact with the
work-piece, whereas it is required to use deforming tool
or male die in conventional forming processes. The
surface finish normally ranges from about 0.5 to 1.5 lm
(20–60 lin) (Lindberg 1990).
• Wrinkling can be greatly reduced or eliminated.
• Impact welding is possible in high-velocity forming
operations. Extensive plastic deformation near the inter-
face between the two mating materials can be caused by
the large impact pressure developed in these processes.
Due to this, solid-state welding can occur between the
impacting materials. The advantages of this solid-state
impact welding over traditional fusion welding are that
the former one is quicker, occurs at lower temperatures
and allows dissimilar metals, such as aluminium and
steel, to join without the formation of deleterious inter-
metallic phases such as iron aluminides. Fusion tech-
nique cannot be used to join aluminium and steel due to
the formation of unacceptably brittle iron aluminides.
• A sufficiently high impact velocity can develop large
pressure over a large surface area. Usually, high-pressure
forging process, known as coining, is used to capture fine
surface details in a metal surface. Only small areas, such
as coins, are usually subjected to coining pressures, but
coining-like operations can be performed over large
areas by high-velocity forming techniques.
• The forming operation can be performed in a clean
environment as the uses of lubricants are largely
decreased or even nonessential.
However, there are some limitations of HERF processes,
which are as follows:
• Generally, brittle materials are not suitable for
processing.
• The configuration of formed parts is usually limited to
single-piece dies. If split or two-piece dies are required to
form parts, the process becomes economically debatable.
• The scarcity of long-life and less expensive tooling
materials that are capable of withstanding the heavy
loads involved puts a serious limitation to the process.
• Skilled personnel are needed to execute the process.
• If explosives are used in HERF process, they must be
stored in a safe and secure manner.
724
Based mainly on the sources of energy and different
modes or techniques of energy application used to obtain
high velocities, there are a number of methods of HERF. In
addition to conventional sources of energy like mechanical
energy or hydraulic power, it is possible to use chemical,
magnetic or electrical sources of energy. The common
industrial HERF processes which use such diverse sources
of energy will be considered in the following text.
16.3 Explosive Forming
The most widely used HERF process seems to be the ex-
plosive forming. A distinction between explosive forming
and conventional forming is that an explosive charge in the
former replaces a punch or diaphragm in the latter. An
explosive releases chemical energy, which is transformed
into other forms of energy during its blasting. Explosive
forming and the industrial applications of explosives are
given in detail in a couple of books (Rinehart and Pearson
1963; Ezra 1973). Further, the reader is referred to a review
article on this technology written in 2002 (Mynors and
Zhang 2002). A brief description of the process is presented
in the following text.
Explosives are normally solid or liquid or gaseous sub-
stances of chemical nature. For example, solid explosive is
trinitrotoluene (TNT), liquid explosive is nitroglycerine and
gaseous explosive is the mixture of oxygen and acetylene.
When explosives are subjected to combustion or detonation,
they generate heat and a huge amount of gaseous products
through rapid chemical reaction. There are two classes of
explosives, which are (i) low-power explosive and
(ii) high-power explosive. When a low-power explosive is
blasted, it burns rather than exploding with a velocity of
reaction front much less than the speed of sound and pro-
duces some solid residue, heat and a high volume of hot
gases, similar to burning out the fuel. Hence, very high
pressure is not built up and a slow pushing effect is exerted
on the walls of the enclosed material. Gunpowder is a
common example of a low-power explosive. However, small
masses of gunpowder generate energy sufficient to propel a
Table 16.1 Properties of common high-power explosives (Semiatin 2006, Web Site 1)
Explosive Form of charge
TNT (trinitrotoluene, C7H5N3O6) Cast
RDX (cyclotrimethylenetrinitramine, C3H6N6O6) Pressed granules
PETN (pentaerythritol tetranitrate, C5H8N12O4) Pressed granules
Pentolite (50% PETN + 50% TNT) Cast
Blasting gelatin Cartridge plastic
Tetryl (trinitrophenylmethylinitramin, C7H5O8N5) Pressed granules
16 High-Energy Rate Forming
bullet down a rifle barrel. On the other hand, a high-power
explosive detonates during its blasting and complete gasifi-
cation occurs with a rapid rate of reaction. Rapid production
of huge gases builds up a large pressure that applies a
shattering effect on the enclosed walls. In low-power
explosive, the time taken for the conversion of energy may
be milliseconds, while in high-power explosive, the energy
is transformed within microseconds. A high-power explo-
sive placed directly over a work-piece can develop a pres-
sure roughly as high as 35 GPa, whereas a pressure
developed by a low-power explosive is about (1/100)th of
that by a high-power explosive, i.e. can normally range up to
350 MPa.
For purposes of metalworking, high-power explosives are
needed. High-power explosives have detonation velocities
on the order of 3500–8000 m s−1 and energies on the order
of 1 MJ/kg. They are available in a wide variety of com-
positions and product forms. Various forms are hot-castable
compounds, powders, granules, shapeable putty and deto-
nation cord. The quantities of explosive used in metal-
working are usually much less than those used in typical
military or mining applications. These small quantities of
explosive can precisely be handled if detonation cord is
used. Popularly used high-power explosives are trinitro-
toluene (TNT), cyclotrimethylenetrinitramine (RDX) and
blasting gelatin. Other high-power explosives include pen-
taerythritol tetranitrate (PETN), pentolite (50% PETN +
50% TNT) and trinitrophenylmethylinitramin or tetryl. The
properties of common high-power explosives are provided
in Table 16.1.
The principle behind the explosive forming is that when
an amount of explosive kept within a confined space or
within a medium is detonated and converted to a huge
quantity of gases, the extremely high pressure usually on the
order of 20 GPa generated by a large amount of gases can
deform the work-piece to the desired shape and sizes with
close dimensional tolerance. Here, the impact is not required
to create high pressures. Large domes and cylinders with a
diameter of 6 m or more have been explosively formed
using ice as a die (Lindberg 1990). Apart from obtaining the
desired shape and/or size of the product, the explosive
Detonation Energy (kJ/kg) Maximum pressure (GPa)
velocity (m s−1)
7010 780 16.5
8382 1265 23.4
8290 1300 22.1
7620 945 19.9
7985 1220 17.9
7835 – –
16.3 Explosive Forming
forming technique can also be used for the purpose of
solid-state welding. One example of explosive welding is the
bonding of tubes to tube plates by the explosive expansion
of tubes into tube plates, as takes place in heat exchangers.
In this process, a strong and rigid enclosure such as a mild
steel tank of cylindrical or conical shape is taken and usually
placed below the ground surface on a concrete base. Further,
the outer surface of the tank is backed with a concrete wall
and placed in compacted or firm natural soil. Although most
commonly used tanks are cylindrical because of its adequate
strength, a conical-shaped tank is more economical, because
it is less expensive to excavate natural soil of that shape and
to pour a concrete liner on the conical-shaped natural soil.
Other advantages of conical-shaped tank are the decrease in
the corner problems and increase in the safety due to the
reduction in shock transmission that might cause failure. The
tank is placed below the soil surface because the natural soil
would enclose the explosion in case of fracture of the tank
liner. If strength is not required, the more economical would
be to replace the steel tank by a rubber liner, as usual backed
with concrete wall, although the cost of maintenance would
be increased. However, there are two techniques of forming
by high-power explosive, which are as follows:
1. Standoff or unconfined explosive forming technique and
2. Contact or confined explosive forming technique.
16.3.1 Standoff or Unconfined Technique
In this technique, a high-power explosive charge is sub-
merged and detonated in a fluid medium, which is used for
transfer of energy. The energy of the explosive generates a
shock wave in the fluid medium, which is transmitted in all
directions. Thus, a part of the shock wave front is
Fig. 16.1 Schematic illustration
of unconfined or standoff
explosive forming technique
Standoff
distance
Die
725
transmitted to a work-piece and some part of the wave front
is transmitted to the free surface of fluid causing a loss of
energy. Further, substantial energy of explosion is lost in
kinetic agitation of the fluid medium. This is the shortcom-
ing of this technique. Commonly used fluid medium is
water, and hence, this technique is also called underwater
explosive forming. Cost consideration and cold forming
advocate the use of air or water as a fluid medium compared
to other fluids. But again, water is preferred to air, because it
is less compressible than air, ensures a uniform transfer of
energy and dampens the sound of explosion. However, other
energy transmission media, such as sand, liquid salts, gelatin
and oil, have been used in special cases.
In this technique, a blank of sheet material is clamped
with hold-down ring over a female die and the assembly is
submerged into the tank filled with water, as shown in
Fig. 16.1. The height of water level in the tank should be
about 2 m above the work-piece. The air or gas entrapped in
the die cavity is pumped out to create vacuum between the
die and the metal sheet placed on the die surface. This
evacuation of die is necessary in order to minimize the
nonuniformity or inaccuracy in the shape of the product due
to the rebound of the part caused by the rapidly compressed
air or gas, and to avoid adiabatic heating of the compressed
air or gas that may lead to oxidation or burning of the die
and the rear face of work-piece. However, the dimensional
accuracy of the part may also impair if the die is struck by
the work-piece at too high a velocity that may cause the
work-piece to rebound.
An explosive charge of definite quantity is placed in the
water medium at a certain distance from the work-piece.
This distance is called the standoff distance, which is a
function of the size of work-piece and usually half the
diameter of the blank for large components. The quantity of
explosive charge to be detonated depends on the amount of
pressure required to form the component. The placement of
Water level
Ground level
Explosive
Workpiece
Hold-down
ring
Vacuum line
Tank
726 16 High-Energy Rate Forming

Fig. 16.2 Sequence of (a) (b)

underwater explosive forming Water surface
operations: a setting of explosive
charge in position; b formation of
Explosive
gas bubbles and pressure pulse Gas bubbles
charge
during detonation of explosive starting to form
charge; c deformation of Standoff Workpiece
work-piece and formation of distance Pressure pulse
dome-shaped water level due to
pressure pulse; d venting of gas Die Vacuum
bubbles at the free surface of line
water causing a feathery
appearance

(c) (d)

Gas bubbles Plume from

expanding and Dome caused by escaping gases
contracting as pressure pulse
it rises

Remnant of shock wave travelling outward from explosion

explosive charge will be such that its distance from the water
level is at least two times the standoff distance in order to
minimize the loss of energy through the free surface of water
and thus to avoid the reduction in the efficiency of the
operation. Upon detonation, a pressure pulse of very high
intensity produced by the explosive generates the shock
wave that travels through the water along an expanding
spherical front due to spherical expansion of hot gas bubble,
formed as detonation product. A part of the shock wave front
strikes against the work-piece. The work-piece undergoes
plastic deformation instantaneously and takes the shape of
the die cavity. The speed at which work-piece is formed
usually ranges from 30 m s−1 to as high as 200 m s−1
(Kalpakjian and Schmid 2009). The deformation energy is
mainly delivered by the shock waves but bubble also takes
part in delivering some fraction of energy to the work-piece
depending on the quantity of explosive charge, the depth
below the water level at which the explosive is detonated
and other conditions of tank. Upward transmission of some
part of the shock wave makes the water level to assume the
shape of a dome. Formed gas bubbles rise and ultimately
vent at the free surface of water causing a feathery appear-
ance, as shown in Fig. 16.2. Reflectors are used in the
modified set-up of the unconfined technique in order to
focus most of the energy of explosion towards the
work-piece so that the power of explosive is utilized more
effectively and a smaller quantity of explosive is required to
form the same component.
In the underwater explosion technique, where water is the
energy-transmitting medium, the peak pressure p generated
in water is given by (Ghosh and Mallik 1985; Kalpakjian
and Schmid 2009):
n
p ¼ C W 3 s"n
D ð16:1Þ
where the unit of peak pressure p is N/mm2 or MPa, W is the
weight of the explosive in newtons, sD is the standoff dis-
tance, i.e. the distance of the work-piece from the explosive
charge in m. The value of the constant n is generally taken as
1.15. The values of the constant of proportionality C depend
on the types of explosives and are given in Table 16.2 for
some common explosives.
The magnitude of peak pressure exerted on the
work-piece not only depends on the standoff distance and the
weight and types of explosives used, as shown by (16.1), but
Table 16.2 Proportionality constant, C, in (16.1) for some common
explosive
Proportionality constant in (16.1) Explosives
Pentolite TNT Tetryl
C 22.55 21.65 21.45
16.3 Explosive Forming
also on the type of energy-transmitting medium. The higher
the compressibility and the lower the density of the medium,
the lower will be the peak pressure. If air having higher
compressibility and lower density than water is used as the
energy-transmitting medium, it will result in a lower peak
pressure than water, as shown in Fig. 16.3.
As far as size and shape of the work-piece are concerned,
the standoff technique is versatile—virtually unlimited size
and a large variety of shape can be formed by this process,
which is also suitable for low-quantity production (Ezra
1973). Although this technique can be applied for a wide
range of products, it has a long cycle time and is particularly
suitable for low-quantity production of large and thick
unique components like elliptical dome of 3 m diameter
(DeGarmo et al. 1997). This technique has been successfully
applied to form steel plates of 25 mm thick and 4 m diam-
eter and to bulge steel tubes as thick as 25 mm (Web Site 2).
Mechanical properties of the parts formed by this technique
are similar to those by other working processes. This tech-
nique is economical in comparison with a hydraulic press.
An attractive feature of explosive sheet metal forming is that
the die-making procedures are versatile. The female die can
be made of a low cost or an easy-to-form material, such as
iron, steel, aluminium, concrete, wood, plastic or low melt-
ing temperature metal. For modest pressures, for relatively
short run items and for parts where close tolerances are not
very critical, concrete, wood, kirksite (a zinc-based alloy),
fibreglass (a reinforced plastic material composed of glass
fibres embedded in a resin matrix), which are of relatively
low strength, can be used as die materials, while harder die
materials, such as hardened steel, are needed for higher
pressures and longer runs of parts. In spite of the above
advantages, this technique has some limitations, which
include the following:
• Careful handling of explosives and proper controlling of
the reactions, otherwise, the explosives used can be
tremendously hazardous.
• Increase in cost due to the evacuation of die.
• Requirement of larger and thicker dies to withstand
shocks.
• Long cycle time.
• Unsuitability for high-quantity production.
Fig. 16.3 Schematic diagram
showing the effect of standoff
Peak pressure
distance and type of
energy-transmitting medium on
the peak pressure for a given Water
weight of a given explosive
Air
Stand-off distance
727
• Unsuitability for the formation of small and thin parts.
• Surface finish and tolerances are not very high.
The method of underwater explosion technique described
above is the most common and is usually known as bulk
head forming. The other two procedures involved in
underwater explosion technique are free forming and cylin-
der forming and shown in Fig. 16.4. In free forming, the
explosive is detonated in water within a tank over a blank of
sheet material secured over a female die without evacuation,
where the material can freely flow through the die. Free
forming can be used to produce bulges on roughly spherical
section geometries. For example, the ends of pressure ves-
sels can be formed from a monolithic metal plate by this
method. But the dimensional accuracy is not great in this
method because of the absence of direct die contact. For
greater dimensional accuracy, forming into a die is used, as
used in bulk head forming method. In cylinder forming, the
explosive is detonated in the middle of the cylinder filled
with water and the cylinder is surrounded by the desired
female die. Upon detonation, the shock wave generated by
the explosion in the water of the cylinder exerts a very high
pressure on the surface of the cylinder and pushes it into the
die to acquire the shape of the die cavity. Obviously, only a
part of the shock wave front is utilized to form the
work-piece in both free forming and cylinder forming, as the
water surface is free to air.
16.3.2 Contact or Confined Technique
When it is needed to have very high velocities or pressures,
the contact or confined explosive forming technique is
employed. The explosive charge used in this operation is in
the form of a cartridge or canned explosive, and it is held in
direct contact with the work-piece or placed with a thin
protective layer (something similar to a rubber sheet) on the
work-piece while the detonation is initiated. Upon detona-
tion, extremely high pressures up to 30 GPa (Web Site 2)
can be built up on the surface of the work-piece and the
entire energy from the canned explosive is directly delivered
to the work-piece without any water medium. The very high
transient stresses produced in the work-piece may cause to
produce unusual hardening and structural changes depend-
ing on the work-piece metal (Dieter 1962).
In this technique as shown in Fig. 16.5, a small-sized
tubular shaped work-piece is placed in a closed container.
The inner walls of the container contain the die cavity that
surrounds the work-piece. The tube used as work-piece is
plastically deformed and forced into the walls of the die, and
thus, the desired part is formed. This technique is mostly
used for bulging and flaring operations of small-sized tubes.
It is not suitable for large and thick plates.
728 16 High-Energy Rate Forming

Fig. 16.4 Schematic diagrams (a) Cylinder cover (b) Explosive charge
of underwater explosion
technique: a free forming;
b cylinder forming Hold-down
cylinder
High Plastic bag
explosive Water

Water Die
Workpiece

Die support
Die

Metal blank

(a) (b)
Cartridge Formed part 16.4 Electromagnetic Forming

Electromagnetic forming (EMF), also known as magnetic

Workpiece
(tube)
Cavity
Forming die
Enclosure
Before discharge After discharge
Fig. 16.5 Schematic illustration of confined (contact)-type explosive
forming technique: a before discharge and b after discharge
The main advantage of the confined technique is that it is
more efficient than the unconfined technique, because in the
confined technique, the entire energy of explosion is utilized
in a confined space to form smaller parts, whereas in the
unconfined one, a part of the energy of explosion is used to
form larger and thicker parts. However, since the contact
technique is a closed die operation, there is a greater hazard
of die failure due to the generation of high pressures. Since
there is a chance of die failure, attention must be given for
safety. Further, the problem of die erosion is also more.
Because of the above reasons, contact technique is not
employed as widely as the standoff technique.
pulse forming, uses pulse magnetic fields to form metallic
parts, and the development of specially designed equipment
for this purpose was started several years ago (Brower
1962). EMF is a noncontact technique, where a pure elec-
tromagnetic interaction can impart large forces to any
electrically conductive work-piece. Several sources (Bruno
1968; Jablonski and Winkler 1978; Moon 1984) have cov-
ered the physics of this electromagnetic interaction. A brief
discussion of the EMF process is presented in the following
text, and a schematic diagram illustrating the process is
shown in Fig. 16.6.
The EMF process is based on the principle that the
electromagnetic field of an induced current always opposes
the electromagnetic field of the inducing current. Two
essential electrical components in an EMF system are a ca-
pacitor bank and an electromagnetic forming coil that do
work on a work-piece to be formed. Obviously, some tool or
die system that makes the shape of the final part is also
important.
In electromagnetic forming, the electrical energy, which
may range typically from 5 to 200 kJ, is stored in a large
capacitor or in a bank of capacitors by charging to a high
voltage of usually between 3000 and 30,000 V. A trans-
former steps the voltage up from line voltage to that needed
by the capacitor bank. If V0 is the initial voltage at which a
number of capacitors are charged and C is the associated
bank capacitance, then the electrical energy, UElectrical ; stored
in capacitors is given by
16.4 Electromagnetic Forming
Fig. 16.6 Schematic illustration
of electromagnetic forming of a
tubular work-piece mounted on a
mandrel having a die cavity
Charging circuit
Shape before
Shape after
Mandrel
C V02
UElectrical ¼ ð16:2Þ
2
Hence, the amount of electrical energy stored in the bank
can be increased either by increasing the charging voltage or
by adding capacitors to the bank. The stored electrical
energy is then discharged through the electromagnetic
forming coil placed near a metal work-piece by closing the
switch as shown in Fig. 16.6. The peak electrical current
passing through the coil ranges typically from about 104 to
106 A, and the time to peak current is on the order of tens of
microseconds. As long as the circuit resistance is low, the
peak electrical current, Imax ; generated by a capacitor bank
discharge can be estimated from standard LRC equations for
the primary circuit as follows (Semiatin 2006):
rffiffiffi
C It is assumed that the electromagnetic force will always
Imax ¼ V0 ð16:3Þ
L
where V0 is the voltage at which the capacitor bank is ini-
tially charged, C is the bank capacitance and L is the total
system inductance.
A tubular work-piece is mounted on a mandrel having a
die cavity to provide shape to the tube, which can be seen in
Fig. 16.6. The primary ring-shaped electromagnetic coil is
placed around the tube and mandrel assembly. After closing
the switch, the large current flowing through the coiled
conductor creates an extremely strong transient magnetic
field in the vicinity of the coil. The intensity of this magnetic
field depends on the value of the current. When an electri-
cally conductive material disrupts a magnetic field that
varies with time, then this magnetic field induces a sec-
ondary current in that material. This is called an eddy cur-
rent. Since the electrically conductive metal work-piece is
729
Switch
Tube
Capacitor bank
Coil
Eddy current
Coil current
Workpiece
Parting line
placed in close proximity to the coil, the magnetic field of coil is
disrupted and eddy currents are produced in the work-piece.
These eddy currents act in a direction opposite to the direction of
primary current in the coil and set up their own magnetic field in
the work-piece. The force exerted by this magnetic field acts in a
direction opposite to that produced by the original magnetic field
of the coiled conductor. These opposing forces repel the
work-piece from the rigidly-held coil into the die cavity or
another mating part. Stresses in the work-piece produced by the
repulsive electromagnetic force are several times greater than the
flow stress of the material. Ultimately, this can plastically deform
the work-piece at velocities exceeding 100 m s−1, and thus, the
work-piece takes the profile of the die or mating part. A pressure
of around 350 MPa for a period of many microseconds is typical
of the magnitude of impulses that are used.
act normal to the plane of worksheet. If both work-piece and
forming coil are highly conductive and closely spaced, and
the width of the forming coil is large relative to its gap, it can
appropriately be assumed that the current in the work-piece
is not only opposite but also equal to the current in the
forming coil. With the above assumptions, the magnetic
pressure, pmagnetic ; in the region between the forming coil and
the work-piece, is related as follows:
pmagnetic / H 2 ; ð16:4Þ
where H is the electromagnetic field intensity, expressed in
amperes per width. Thus, the magnetic pressure can be
increased by decreasing the width of a work-piece or increasing
the number of windings in the forming coil. If the current
densities in the coil and work-piece are known by measurement
or estimation, H 2 in (16.4) can be replaced with the actual
730 16 High-Energy Rate Forming

product of these current densities. At a fixed current through work-piece is formed or fitted over another part, which is
the electromagnetic forming coil, the magnetic pressure a grooved component, shown as insert in this figure. In
(electromagnetic field intensity) can be increased by this, the tube is forced to compress tightly around the
increasing the number of windings in the forming coil, but insert to obtain the necessary fit.
this will increase the inductance, L, of the system. This in (b) A tubular coiled conductor may be placed inside a
turn reduces the peak current, Imax ; as can be seen from hollow cylindrical work-piece, where the repelling force
(16.3). As a result, the number of coil windings must be expands the work-piece, causing the diameter of the
optimal for any situation. tubular work-piece to increase. This is illustrated in
In Fig. 16.6, the repelling electromagnetic force causes Fig. 16.7b, where fixing of a collar by means of a die on
the work tube to collapse into the die cavity, assuming its the tube work-piece is considered and the repelling force
profile. Since the repelling force also acts on the conducting expands the material of the tube into the die and the
coil, the coil itself and the insulation on it must have the collar bead is formed on the tube.
capability to withstand the force; otherwise, they will be (c) A flat coiled conductor may be placed either above or
ruined. The coil used in this process may be either perma- below the flat surface of a work-piece. Figure 16.7c
nent (durable) or expendable. The lasting time of expendable shows that a flat coil having spiral-shaped winding is
coil is less than that of durable one but the former one is less placed under a flat sheet metal used as work-piece with a
expensive and is also preferred during the application of die on its top and the flat sheet is repelled into the die
high-energy level. The EMF process can be controlled in a cavity to obtain the contour of die. This coil can be used
better way than the explosive forming, because the intensity in association with a die to form, dimple or emboss the
of magnetic fields developed in the coil as well in the work-piece.
work-piece, and in turn, the repelling force between these
magnetic fields can be controlled in EMF process by easily Various applications of EMF thus include expansion
controlling the electrical energy. (bulging) or compression (shrinking) of a hollow cylindrical
Electromagnetic forming can be accomplished in any of work-piece, or even a combination of both to attain a final
the following three ways depending upon the desired effects. shape, and forming of flat sheet metal to contours of die.
Electromagnetic forming process is very rapid as the time
(a) A tubular coiled conductor may be placed surrounding a taken for the capacitor bank to get charged is very short. It is
hollow cylindrical work-piece, where the repelling force mainly used to bulge tubes, or to form or swage tubes over
compresses, collapses or shrinks the work-piece, caus- other parts, such as rods or cables, or to permanently join
ing the diameter of the tubular work-piece to decrease. and assemble component parts including even dissimilar
This is illustrated in Fig. 16.7a, where the tube materials, such as composites, glass, plastic and other

Fig. 16.7 Various applications Before forming After forming

of electromagnetic forming
(a) Coil around tube
process: a coil placed surrounding
the work-piece causing its and insert
insert Tube is compressed
compression; b coil placed inside to fit grooves of insert
the work-piece causing its Workpiece
expansion; c coil placed under a Tubular coiled
flat sheet metal with a die on its conductor
top causing it to obtain the Coil
contour of die. Sheet metal (b)
forming can also occur by placing Coil inserted inside Tube is expanded
the coil above the work-piece tube surrounded into die to form beading
by die
Workpiece
Die
Coil

(c)
Workpiece Die

Coil placed Flat sheet is

under flat sheet formed to contours
with die on top of die
16.4 Electromagnetic Forming
metals. This process is mostly used for relatively thin
materials having thickness from 0.25 to 1.25 mm. However,
this process has some limitations, which are as follows:
• The process can only be applied if the work-piece is an
electrically conducting material but it is not needed for the
work-piece to be magnetic. For this reason, metals with
high electrical conductivity, such as copper and alu-
minium, are very well suited to EMF, but metals with
relatively poor conductivity, such as austenitic stainless
steels and titanium, are almost impossible to directly form
by EMF, unless aided by a more conducting driver plate.
• The major problem of this process is the short life of
forming coil, since it fails very soon due to large forces
acting on it.
• The force produced by the magnetic field cannot be
maintained for a long period of time, because no metals
are perfect electrical conductors at forming temperatures.
• It is essential to take proper safety precautions because of
the involvement of extremely high voltage and currents.
16.5 Electrohydraulic Forming
Electrohydraulic forming (EHF) is also called by various
names which are spark discharge forming or electric dis-
charge forming or electrospark forming. Just as in electro-
magnetic forming, so too in electrohydraulic forming, the
electrical energy is stored in a bank of capacitors. The
energy from electrical discharge of the capacitors is con-
verted into mechanical energy to shape the work-piece. The
two most common methods of transformation of electric
energy to mechanical energy in EHF process are as follows:
(a) Capacitor discharge through a gap between the two bare
electrodes, in the form of spark;
(b) Capacitor discharge through an exploding thin metal
wire connecting two electrodes.
This process is independent of electrical properties of the
work-piece material. The performance of this process is very
similar in nature to that of unconfined explosive forming
Fig. 16.8 Schematic illustration
of electrohydraulic forming
process
Charging circuit
731
except that EHF process uses electrical energy supplied by a
bank of capacitors instead of a chemical explosive. Hence in
many regards, electrohydraulic forming is a hybrid between
electromagnetic forming and explosive forming. In this
process, two bare electrodes or two electrodes connected
with a thin metal wire are submerged in a liquid, usually in
water, which acts as a pressure-transmitting medium.
A blank of sheet material is clamped with hold-down ring
over a female die, and the die cavity under the blank is
usually evacuated before the discharge takes place, to avoid
the possibility of puckering due to entrapped air. The basic
scheme of electrohydraulic forming is shown in Fig. 16.8.
The bank of capacitors, connected in series, is charged for a
short time by DC current under high voltage through the
charging circuit. Subsequently, when the switch is closed,
electrical energy stored in bank of capacitors is released in a
controlled discharge, either between the two bare electrodes
or across the exploding bridge wire. A spark is formed
within the electrode gap, and the wire instantly vaporizes.
The intense electrical current creates an intense liquid-based
shock wave or pressure pulse by vaporizing a small volume
of liquid in the spark gap between the electrodes. This
pressure pulse travels radially in all directions at high
velocity through the liquid (usually water) and strikes
against the sheet material. The sheet material undergoes
plastic deformation and takes the shape of the die cavity. In
case of energy discharge through the formation of spark,
voltage used is generally 10,000–30,000 V. The length of
gap between the two electrodes to cause discharge depends
upon the magnitude of voltage, the conductivity of fluid
media and also shapes of electrodes. When energy is dis-
charged through combustion of a wire, the advantage is that
the lesser voltage can be used, while the disadvantage is that
it is required to load new wire after each operation for
work-pieces necessitating multiple operations. However, it is
essential to take proper safety precautions because of the
involvement of extremely high voltage and currents.
The energy efficiency of this electrohydraulic forming is
similar to that for electromagnetic forming, but the energy
released in EHF is much lower than that in explosive
forming. The peak pressure developed over the work-piece
in this process is a function of the standoff distance, i.e. the
distance of the work-piece from the electrodes and the
Switch Sparking electrodes
Water
Clamp
Die
Capacitor bank Die cavity Workpiece Vacuum line
732
quantity of energy discharged at the electrodes. So compared
to explosive forming, the pressure pulse developed in this
process can be better controlled by easily controlling the elec-
trical energy. Since a shock wave of relatively low magnitude is
produced by this process, it is best suited for small work-piece
and normally used to form components up to 0.5–0.6 m in
diameter but can also be used to form parts as high as 1.5 m in
diameter. It is most often applied for bulging operations. In
comparison with the explosive forming, the electric discharge
forming is easier and safer to perform, uses smaller tank and
does not require to be performed in remote areas. EHF can form
all materials that can be formed by conventional forming pro-
cesses. The electrohydraulically formed materials include alu-
minium alloys, stainless steel, nickel alloys, titanium.
Electrohydraulic forming process can also be applied to
form hollow cylindrical shapes like tubes much easily and at
a cost less than other forming processes. To perform this
operation, the hollow work-piece is filled with a liquid,
generally water, which acts as a pressure-transmitting med-
ium and two electrodes are submerged in the water inside the
hollow work-piece. Then, a bank of capacitors charged at
high voltage is discharged across the gap between the two
electrodes. This electric discharge in the form of sparks
creates a shock wave or pressure pulse in water that travels
radially in all directions at high velocity through the water
and strikes against the inner wall of the hollow work-piece.
The hollow work-piece undergoes radial expansion by
plastic deformation. The extent of plastic deformation can be
controlled by varying the quantity of energy discharged or
by placing the work-piece inside mould or die that will
externally restrain the deformation, as shown in Fig. 16.9.
Fig. 16.9 Schematic illustration (a)
of electrohydraulic forming of a
hollow cylindrical tube showing
a unrestrained expansion and
b restrained expansion by placing
the work-piece inside mould or
die
Tube
16 High-Energy Rate Forming
The dimensional accuracy of components formed by EHF
process depends on the dimensional accuracy of the dies
employed and on the control of both the magnitude and
location of energy released. Currently with modern appara-
tus, precise control of the energy within specified limits has
become possible, and so, the dimensional accuracy of the
dies becomes the primary factor. Nowadays, it is possible to
form tubular parts with external dimension within
±0.05 mm (Web Site 2).
16.6 High-Energy Rate Forging
High-energy rate forging machines are basically
high-velocity hammers. To achieve the same impact energy
per blow, the high-speed hammers require less weight of
moving mass than the conventional hammer. In this process,
high-energy-release rate can be achieved by internal com-
bustion of gaseous mixtures. This process uses an internal
combustion press that acts on the same principle as that of an
automobile engine. The upper part of a forming die, i.e. a
male die, is attached to the bottom of a movable ram. The
ram is a part of a piston that is situated under a combustion
chamber. The combustion chamber contains a gaseous
mixture that acts as a fuel. This fuel is then ignited in the
presence of air within the closed chamber by means of a
spark plug. This produces an explosion in the chamber, the
tremendous power of which forces the full assembly of
piston, ram and male die to travel downwards in a rapid
manner. The process is illustrated in Fig. 16.10. Internal
combustion pistons can produce die velocities on the order
(b)
Die
Tube Shock
Shock Waves
Waves
Unrestrained Restrained
Expansion Expansion
16.6 High-Energy Rate Forging 733

(a) (b) (c)

Combustion Fuel-air Spark
chamber mixture ignition Explosion

Piston Force

RAM Upper RAM

Upper die
die

Upper Impact
die RAM
Lower Lower
die die Lower
Job die
Job Job

BASE BASE BASE

Fig. 16.10 High-energy rate forging: a before ignition of fuel; b explosion forces the ram to accelerate towards the job; c forging of the part by
impact force

of 30 m s−1. Usually, the lower part of the die, i.e. a female
die, is fixed above a stationary anvil and the work-piece rests
on the lower die. During the downstroke of the ram, the male
die strikes the work-piece at an accelerated speed and forges
the part in a few milliseconds. The piston assembly is then
raised and returned to its position rapidly by applying a back
pressure using hydraulic jacks. After raising piston assem-
bly, the jacks are lowered. In this process, a component can
be formed by application of either single or repeated blows.
If several blows are required to form a part, the economics of
the process becomes questionable. Usually, two blows can
be accepted, but three blows are on the borderline. This
process is preferred for mass production. This process is
basically limited to forging of components having full
symmetry or concentricity such as gears and wheels, or
coining applications in which high forces are required but
flow of metal is little. The power and velocity employed
during this process may cause problems with die breakage,
maintenance and safety.
16.7 Other HERF Methods
In 1959, Barsukov (1959) described a HERF method, where
he mentioned the possibility of accomplishing sheet drawing
with the aid of liquefied gases. In this, liquefied nitrogen is
inserted into a closed die system. The gas expands very
rapidly at room temperature and applies pressure on the
work-piece. With the formation of the part, it is cooled
simultaneously to a low temperature. Water is used in a
734
similar method based on the above principle. It is known that
the specific volume of water is the minimum at 4 °C, and if
water is allowed to freeze, its volume will increase. If freezing
of water occurs inside a closed die system, the increase in
volume will apply pressure on the work-piece and form the
part. This principle of operation has been applied experi-
mentally to form shallow parts. It is observed that these
techniques are quite helpful since they can, in fact, perform
many forming operations which are found to be more difficult
and more expensive to perform by the conventional processes.
In addition to explosive and electrohydraulic forming, other
methods have been developed to create a pressure pulse in water,
for example water-hammer forming methods (Duncan et al.
1975). Further, it may not be quite efficient to apply electro-
magnetic methods and water pulse methods for forming small
features. In such cases, a deformable projectile travelling at a high
speed may be used to carry out metal forming. High strain rates
and pressures over a small area can quite easily be developed by
this technique. Solid-state welding by this technique has been
demonstrated (Turner et al. 2002). It is an excellent technique so
long as the projectile is larger than the area to be worked.
16.8 Solved Problems
16.8.1. If the impact velocity of a moving waterfront
weighing 27 N is 220 m s−1 in an underwater explosive
forming process, what will be the amount of energy delivered
by this process? If the explosive operation is completed in
0.0007 s, what will be the power required for this operation?
Solution
Given that weight of the waterfront, W = 27 N, and impact
velocity of the waterfront, v ¼ 220 m s"1 : If g is the accel-
eration due to gravity, then
Kinetic energy (KE) of the moving water front
1W 2 1 27
¼ v ¼ % % 2202
2g 2 9:806
¼ 66632.67 N m ¼ 66:633 kJ:
The power required for this operation
KE 66:633
¼ ¼ kJ=s
time of operation 0:0007
¼ 95190 kW ¼ 95:19 MW:
16.8.2. If an explosive charge of TNT weighing 0.5 kg is
used in the underwater explosive forming process mentioned
in Problem 16.8.1, what will be the efficiency of this
explosive forming operation? Assume that the specific
energy content of TNT explosive is 780 kJ/kg.
16 High-Energy Rate Forming
Solution
Given that the mass of TNT, m ¼ 0:5 kg, and the specific
energy content of TNT, Usp = 780 kJ/kg.
Therefore, the actual energy generated by the explosion is
UT ¼ Usp % m ¼ 390 kJ:
66:633
Efficiency of operation ¼ KE UT ¼ 390 ¼ 17%.
It may be noted that the efficiency of most of the explo-
sive forming operations ranges from 15 to 20%.
16.8.3. A charge of TNT weighing 1.8 kg is submerged in
water and detonated at various standoff distances in an
unconfined explosive forming process. Plot the peak pres-
sure over the work surface with standoff distance.
Solution
In (16.1), considering the typical value of n ¼ 1:15 ; the
1:15
peak pressure p generated in water is p ¼ C W 3 s"1:15
D MPa;
where W ¼ ð1:8 kg % 9:807Þ N ¼ 17:6526 N; and for
TNT (from Table 16.2), C ¼ 21:65 :
sD is the standoff distance in m, which varies from low to
high values in our problem. Hence, the peak pressure in
terms of sD in m is
1:15 1:15
p ¼ C W 3 s"1:15
D MPa ¼ 21:65 % ð17:6526Þ 3 %s"1:15
D MPa
¼ 65:0730598 % s"1:15 MPa:
D
Table 16.3 shows the peak pressure p generated in water
for various values of standoff distance, sD ; ranging from 0.1
to 2 m.
Taking the data from first and last columns of Table 16.3,
the peak pressure (in MPa) over the work surface is plotted
as a function of standoff distance (in m) and shown in
Fig. 16.11.
Exercise
16.Ex.1. 0.2 kg of pentolite is submerged in water and
detonated at a standoff distance of 0.5 m in an unconfined
explosive forming process. Calculate the peak pressure
generated in water. Instead of pentolite, if tetryl would be
used as an explosive charge, what would be the peak pres-
sure generated in water?
16.Ex.2. If the weight of any one of the explosives (pentolite
and tetryl) in Problem 16.Ex.1 is increased by 10 times, what
would be the increase in percent of the peak pressure gen-
erated in water?
16.Ex.3. Indicate the correct or most appropriate answer
from the following multiple choices:
(a) The height of water level in the tank above the work-piece
in an underwater explosive forming technique should be about
16.8 Solved Problems 735

Table 16.3 Peak pressure Standoff distance sD (m) "1:15

sD p ¼ 65:0730598 % s"1:15 MPa
D
p generated in water as a function
of standoff distance sD 0.1 14.12538 919.1814
0.2 6.365251 414.2063
0.3 3.993103 259.8435
0.4 2.868343 186.6518
0.5 2.219139 144.4062
0.6 1.799393 117.092
0.7 1.507083 98.07052
0.8 1.292548 84.11002
0.9 1.128811 73.45517
1 1 65.07306
1.1 0.896187 58.3176
1.2 0.810852 52.76462
1.3 0.739546 48.12452
1.4 0.67913 44.19305
1.5 0.627329 40.82219
1.6 0.582455 37.9021
1.7 0.54323 35.34964
1.8 0.508671 33.10075
1.9 0.478006 31.10531
2 0.450625 29.32356

1000 Answer to Exercise Problems

16.Ex.1. 64.79 MPa for Pentolite; and 61.63 MPa for

800
Tetryl.
Peak pressure (MPa)

16.Ex.2. 141.72%.
600 16.Ex.3. (a) (C) 2 m. (b) (C) 2.0.

400
References
200
Barsukov, A.P.: On the possibility of accomplishing sheet drawing with
the aid of liquefied gasses. Kuznechno-Shtampovochnoye
0 Proizvodstvo 11, 23–24 (1959)
0.0 0.5 1.0 1.5 2.0 Brower, D.F.: Magnetic Pulse Forming. Paper presented at society of
Standoff (m) automotive engineers meeting, New York, 11 Jan 1962
Bruno, E.J. (ed.): American Society of Tool and Manufacturing
Fig. 16.11 Peak pressure (in MPa) generated in water as a function of Engineers: High Velocity Forming of Metals, Prentice Hall, Inc
standoff distance (in m), drawn taking the data from first and last (1968)
columns of Table 16.3 DeGarmo, E.P., Black, J.T., Kosher, R.A.: Materials and Processes in
Manufacturing, 8th edn, p. 541. Prentice-Hall, Inc., New Jersey,
USA (1997)
ðA) 1 m; ðBÞ 1:5 m; ðCÞ 2 m; ðDÞ 2:5 m; ðEÞ 3 m: Dieter, G.E.: Hardening Effect Produced With Shock Waves, Strength-
ening Mechanisms in Solids. ASM, Metals Park, Ohio (1962)
(b) The ratio of the distance between the explosive charge and Duncan, J.C., Johnson, W., Miller, J.: Conference on Electrical
the free surface of water to the standoff distance in an uncon- Methods of Forming and Coating, Institution of Electrical Engineers
fined underwater explosive forming process should be at least (1975)
Ezra, A.A.: Principles and Practices of Explosive Metallurgy. Metal
ðAÞ 1:0; ðBÞ 1:5; ðCÞ 2:0; ðDÞ 2:5; ðEÞ 3:0: Working, Industrial Newspapers Ltd., London (1973)
736
Ghosh, A., Mallik, A.K.: Manufacturing Science, p. 174. Affiliated
East–West Press Pvt. Ltd., New Delhi (1985)
Jablonski, J., Winkler, R.: Analysis of the electromagnetic forming
process. Int. J. Mech. Sci. 20, 315–325 (1978)
Kalpakjian, S., Schmid, S.R.: Manufacturing Processes for Engineering
Materials, 5th edn, pp. 381–382. Dorling Kindersley (India) Pvt. Ltd.,
licensees of Pearson Education in South Asia, New Delhi (2009)
Lindberg, R.A.: Processes and Materials of Manufacture, 4th edn,
pp. 619–620. Allyn and Bacon, Mass., Eastern Economy Edition by
Prentice-Hall Pvt. Ltd. (1990)
Moon, F.C.: Magneto-Solid Mechanics. Wiley, New York (1984)
Mynors, D.J., Zhang, B.: Application and capabilities of explosive
forming. J. Mater. Process. Technol. 125–126, 1–25 (2002)
Rinehart, J.S., Pearson, J.: Explosive Working of Metals. Macmillan,
New York (1963)
Semiatin, S.L. (ed.): Volume 14B metalworking: sheet forming. ASM
Handbook, ASM International, Materials park, Ohio, 410, 412
(2006)
16 High-Energy Rate Forming
Turner, A. et al.: Spot Impact Welding of Sheet Aluminium, p. 1573.
Aluminium Alloys 2002: Their Physical and Mechanical Properties
Pts 1–3, Trans Tech Publications Ltd. (2002)
Williams, C.P.: J. Met. 1, 12 (1960)
Wood, W.W.: Exp. Mech. 19, 441 (1967)
Web Sites
1. High Energy Rate Forming Processes, Lecture-9: http://nptel.ac.in/
courses/112107144/Metal%20Forming%20&%20Powder%
20metallurgy/lecture9/lecture9.htm. Accessed 30 Sep 2016
2. Sharma, A.K.: High Energy Rate Forming Processes. Advanced
Manufacturing Processes, Module-5, Other Advanced Processes,
Lecture-1: http://textofvideo.nptel.iitm.ac.in/112107078/lec36.pdf.
Accessed 30 Sep 2016
 Index

A B
Abrasion hardness, 120, 123 Back-end internal oxidized pipe, 627
Accelerated creep, 261 Back pull, 649, 653, 662, 665, 668
Accumulator-drive hydraulic press, 602 Back relief, 660
Acrylic plastic, 102, 103 Back stress, 23, 24, 33, 104
Activation energy for creep, 257, 270–273, 305, 309, 311, 313 Back tension, 416, 521, 527, 531, 533, 544–546, 549–552, 554, 555,
Activation energy for grain boundary diffusion, 274 564, 565, 568, 585, 586, 595, 596, 647, 649, 650, 652–655, 662,
Activation energy for plastic deformation, 70 664–668, 674, 675, 685, 686, 688, 690
Activation energy for self-diffusion, 257, 271 Backward slip, 540
Activation volume, 266 Barba’s law, 66
Active roll gap, 566–568 Barreled specimen profile, 106, 109, 112
Age hardening, 30, 31, 423 Barreling, 95, 100, 106, 109–112, 116, 217, 220, 434, 508
Alligatoring, 518, 570, 571, 596, 597, 646, 691, 718 Barrel-shaped indentation, 144
a-line, 442–451, 636–639, 681 Bauer drill test, 120
Alternating stress, 319, 320, 322, 326, 330, 332–335, 339, 346, 357, Bauschinger effect, 95, 104, 105, 116, 211, 355, 534, 707
358, 362, 364, 365, 368, 369, 534 Beach markings, 318
Aluminium, 26, 27, 30, 31, 33, 52, 136, 161, 164, 238, 241, 269–271, Beam design in pure bending, 180
274, 283, 287, 301, 324, 340, 346–348, 351, 419, 461, 479, 482, b-line, 442–449, 451, 636–638, 681
483, 522, 523, 600, 604, 605, 609, 610, 629, 631, 633, 635, 641, Bell, 659, 660
642, 661, 669, 690, 691, 694, 709, 710, 716, 718, 723, 727, 731 Belt drop hammer, 473
Aluminium alloys, 30, 75, 52, 91, 128, 136, 164, 224, 239, 255, 290, Bending moment–strain diagram, 181, 183
325, 336, 341, 351, 368, 379, 385, 401, 405, 479, 482, 522, 523, Bending strain, 181–183, 194
533, 591, 603, 605, 607, 608, 611, 612, 615, 628, 635, 732 Bending stresses, 105, 173, 174, 177, 178, 180, 183, 188, 301, 320,
Amplitude ratio, 319 344, 345
Anelastic deformation, 3, 258 Berkovich hardness, 156, 157
Anelasticity, 45 Berkovich indenter, 119–121, 155–162, 305
Angle of bite, 435, 521, 535–537, 565, 594, 596, 597 Biaxial state of principal stress, 199
Angle of friction, 110, 111, 435, 508, 509, 536, 678, 679 Billet mill, 532, 533, 537, 572
Angle of twist, 197, 198, 202–217, 219, 222–224 Bite ratio, 465, 476, 477, 518
Anisotropy, 120, 156, 163, 348, 413, 418, 421, 434, 457, 458, 693, Bland and Ford theory of cold rolling, 521, 548
702, 704–706, 711, 713, 715 Blank holder force, 697, 698, 702, 710, 711, 715, 716
Annealing, 22, 26, 28, 241, 255, 347, 418–421, 458, 509, 531, 549, Block drawing machine, 647, 658, 661, 671
647, 648, 652, 654, 656, 696, 707, 708, 715 Blooming mill, 532, 537, 572, 574
Annealing twin, 22, 26 Blue brittleness, 242
Antiphase domain boundary, 29, 30 Board drop hammer, 471, 473
Anvil effect, 121, 122, 128, 136 Boraxing, 657
Apparent ductility, 219 Bottom pressure, 574, 575
Application of slip-line field to static system, 413, 448 Boundary lubricant, 437, 438
Application of lip line field to steady state motion, 599, 636 Boundary lubrication, 413, 437
Application of slip-line field to strip drawing, 680 Bowing of the rolled product, 569
Asperities, 351, 428–431, 436, 437 Box pass, 571–575, 577–579, 596, 597
Assel elongator, 580, 581 Brale indenter, 133, 135, 137–140, 168, 169
Ausforming, 34 Brass, 26, 52, 127, 128, 133, 139, 140, 164, 268, 287, 298, 336, 347,
Ausrolling, 34 348, 351, 430, 595, 607, 608, 615, 657, 659, 680, 709, 710
Austempering, 243, 348 Breakdown passes, 571, 575
Ausworking, 34 Bridge die, 605, 635

© Springer Nature Singapore Pte Ltd. 2018 737

A. Bhaduri, Mechanical Properties and Working of Metals and Alloys,
Springer Series in Materials Science 264, https://doi.org/10.1007/978-981-10-7209-3
738 Index

Bridgman relation, 49, 50, 68 Cohesive strength, 55, 56, 82, 95, 102, 285, 373–378, 387, 390, 406
Brinell hardness, 119, 124–131, 140, 141, 143, 146, 148, 151–154, Coining, 466, 470, 723, 733
169, 170 Cold rolling load, 552, 553, 586, 587, 589
Brinell indenter, 128, 131, 143, 310 Cold rolling torque, 553, 554, 589, 595
Brittle fracture, 17, 70, 72, 77, 80–82, 218–220, 227–229, 232, Cold shut, 510
237–239, 247, 248, 250–255, 318, 373, 374, 379, 382, 385–387, Cold working, 26, 27, 34, 105, 242, 301, 343, 413, 414, 416–422, 430,
391, 397, 409, 410 436, 439, 458, 461, 565, 648, 694, 716, 721
Brittle material, 4, 41, 42, 62, 68, 69, 95, 101, 102, 105, 106, 109, 112, Collars, 571, 572
147, 150, 156, 178, 180, 182, 186, 191, 198, 216, 219–221, 224, Columnar fracture, 112
231, 339, 377–379, 382, 387, 389–391, 394, 403, 406, 410, 631, Complementary stresses, 12, 14
632, 723 Completely reversed stress cycle, 320, 326, 332, 334, 335, 338, 339,
Brittle-to-ductile transition, 237, 238, 632 369
Buckling, 95, 106–110, 112, 114–116, 180, 181, 186, 207, 212, 216, Compliance curves for loading and unloading, 158
218, 220, 467, 510, 518, 569, 619, 632, 657, 694, 702, 705, 710, Composite materials, 33
714, 715, 717, 718 Composite Mohr’s stress circle diagram, 15
Buckling load, 107, 108, 112 Compression specimens, 96, 97, 99
Bulk head forming, 721, 727 Compression test, 8, 95, 96, 98, 99, 101, 105, 106, 115, 116, 163, 413,
Burgers circuit, 17 432–434, 460, 461, 467
Burgers vector, 17–21, 23, 25, 28, 32, 53, 90, 92, 93, 266, 272 Compressive engineering strain rate, 100, 101
Burning, 420, 426, 532, 571, 610, 724, 725 Compressive flow stress, 103, 489, 497–499, 507, 508, 617, 620, 621,
Butt, 435, 578, 600–602, 608 650, 664, 675, 678
Compressive load versus deformation curve, 99
Compressive strength, 95, 98, 101, 102, 104, 107
C Compressive true strain rate, 101
Camber, 543, 544, 569 Concrete, 41, 96, 97, 101, 102, 110, 112, 113, 116, 178, 180, 182, 186,
Capacitor bank, 728–731 198, 221, 225, 725, 727
Capacitor discharge, 731 Confined explosive forming, 721, 725, 727
Carburizing, 328, 343, 345, 369 Conical converging die, 456, 599, 604, 605, 612, 616, 617, 619,
Cast iron, 4, 41, 42, 61, 81, 101, 102, 112, 113, 116, 129, 133, 136, 621–623, 625, 630, 639, 641, 643, 645–647, 659–662, 673, 678,
141, 169, 178, 180, 182, 186, 195, 198, 217, 221, 230, 343, 347, 685, 686, 690, 691
376, 382, 522, 537, 543, 595 Conical drawing zone, 660
Cellular materials, 97, 106 Conical lead-in die, 708
Cementite, 25, 244, 245, 348, 656 Conical pointed dies, 465, 505–509
Centre burst, 457, 628 Considère’s construction, 48, 50, 63
Ceramics, 41, 42, 55, 56, 59, 75, 101, 102, 182, 221, 238, 258, 300, Constant-load creep curve, 120, 259, 306
304 Constant-load creep test, 259, 261, 307
Chain drop hammer, 473 Constant-stress creep curve, 262, 263
Chamfering, 647, 657 Constant-stress creep test, 262
Charpy test, 231, 232, 240, 247, 250 Contact-bend-stretch mill, 521, 531
Chemical hardening, 32 Container-less extrusion, 616–618
Chevron cracking, 628, 646, 691 Continuous-recording indentation test, 155
Clam shell markings, 318 Continuous tube rolling mill, 581, 582
Classification of hardness, 119–121 Controlled-pressure blank holder, 710
Cleavage fracture, 81, 228, 229, 236, 237, 239, 240, 255, 373, 385, Conventional strain, 5, 7, 73, 74, 723
386, 409 Conventional strain rate, 73, 74
Close annealing, 656 Conventional stress, 8
Closed-die forging, 435, 465–467, 470, 474, 475, 477–480, 484, 485, Copper, 22, 26, 27, 30, 33, 53, 61, 63, 90, 91, 114, 123, 127, 128, 136,
509, 518 163, 164, 167, 169, 170, 220, 224, 231, 238, 255, 264, 268–271,
Closed upsetting, 467, 468, 518, 519 290, 298, 324, 325, 343, 347, 348, 351, 387, 390, 419, 430, 438,
Clustering, 29, 32 479, 512, 522, 523, 533, 580, 599, 600, 603, 607, 612, 615, 616,
Cluster mill, 521, 527, 528 629, 631, 645, 657, 661, 669, 687, 689–691, 694, 709, 710, 731
Coaxing, 317, 335–337, 362, 363 Copper–beryllium alloys, 30
Cobalt-based superalloys, 301 Coppering, 657
Coble creep, 257, 274–279, 302, 314 Corrosion fatigue, 350, 351
Coefficient of elongation, 477 Cottrell atmosphere, 53
Coefficient of friction, 110, 352, 423, 429–438, 441, 460, 461, 490, Coulomb’s law of sliding friction, 111, 413, 428, 430, 490, 496, 500,
495, 496, 500, 505, 506, 511–514, 517, 518, 536, 537, 539, 540, 506, 513, 536, 539, 545, 546, 619, 621, 622, 643, 649, 663, 674,
542, 545–547, 549, 554–556, 563, 564–568, 585, 586, 590, 593, 698
595–597, 612, 613, 616, 620–622, 625, 641–643, 645, 649, 651, Counter blow hammer, 474
657, 663, 664, 666, 668, 669, 678, 685–691, 698, 701, 716, 718 Crack Arrest Temperature (CAT), 250, 252
Coefficient of spread, 465, 476, 477 Crack driving force, 389, 391–393
Coffin-Manson relation, 317, 356 Crack extension force, 391, 393, 409
Cogging mill, 532, 537 Crank press, 471, 475
Cogging operation, 468, 469, 476, 477 Creep cavitation, 257, 284
Coherency hardening, 30, 31 Creep curve, 120, 257, 259–264, 271, 288, 304, 306, 307, 310, 311
Cohesive force, 373, 374 Creep–fatigue interaction, 317, 358, 359
Index 739

Creep–fatigue interaction damage rule, 361
Creep limit, 287
Creep-resistant steels, 301
Creep-rupture strength, 257, 287, 288, 290, 294, 295, 359
Creep strength, 120, 257, 287–290, 294, 295, 300–303, 350, 359
Creep test, 257, 259–262, 270, 271, 280, 287–291, 299, 304–308, 311
Creep under multiaxial stresses, 257, 303
Critical amount of cold work, 418
Critical buckling load for short column, 108, 112
Critical buckling stress for short column, 108
Critical column stress, 95, 107–109
Critical elastic strain energy release rate, 392–394, 408, 409
Critical resolved shear stress, 15, 16, 92
Critical semicone die angle, 669, 670
Critical stress intensity factor, 397
Croppings, 465, 487, 515–517
Cross-country mill, 526
Crosshead velocity, 51, 53, 73, 79, 80, 101, 115, 116, 425
Cross rolling, 523–525
Cross slip, 20, 26, 47, 92, 259, 261, 300, 302, 314, 347, 348, 355
Crown, 531, 543, 544, 569
Crushing failure, 113
Cumulative damage rule for creep, 359
Cumulative fatigue damage theory, 336, 337, 362, 363, 365, 369
Cup-and-cone fracture, 84, 384, 385
Cutting hardness, 120
Cycle ratio, 336, 337
Cyclic strain hardening, 317, 352–354, 356, 357
Cyclic strain-hardening exponent, 354, 356, 357
Cyclic-strain-induced creep, 353
Cyclic strain softening, 317, 352, 354, 355, 534
Cyclic strength coefficient, 354
Cylinder forming, 721, 727, 728
D Drop forging, 466, 470–474
Damage ratio, 337
Dead zone, 434, 599, 607, 613–616, 623–626, 636, 642, 643, 647,
668–671, 691
Dead-zone semicone angle, 670
Deep drawing, 414–416, 430, 435, 533, 693–698, 701–711, 715, 718
Deep drawing defects, 714
Deep-drawing load, 697
Deep-drawing process variables, 706
Defects In rolled products, 521, 569
Deformation mechanism map, 257, 277–279
Deformation twin, 22
Deformation-zone geometry, 413, 456, 668
Deformation zone in rolling, 521, 534, 545
Delivery guide, 574
Deoxidation practice, 241
Depth-sensing indentation test, 155
Design philosophy with fracture toughness, 405
Diamond, 121, 123, 124, 133, 136, 140, 141, 143, 145, 148–150, 153,
155, 156, 159, 161, 166, 169, 170, 304, 408, 571, 572, 575, 659
Diamond cone indenter, 133, 166
Diamond pass, 571, 572, 575, 577, 579, 596
Diamond-pyramid hardness, 141
Diamond–square pass sequence, 575, 577
Die bearing zone, 660
Die nib, 647, 659, 661
Die pressure, 457, 465, 479, 481, 482, 495–497, 505–509, 616, 617,
619, 648–651, 654, 655, 662–665, 673–675, 689
Differential equation of wide strip drawing, 650
Differentially annealed blanks, 696
Differential pressure hydrostatic extrusion, 599, 631–633
Diffusional creep, 257, 272, 274–279, 301, 314
Diffusion coefficient, 267, 271–275, 299, 300
Diffusivity hardening, 300
Dimpled fracture, 237, 373, 384
Direct-drive hydraulic press, 602, 603
Direct extrusion, 599–603, 607–609, 619, 621–624, 627, 630, 632,
634–636, 641–643, 645, 646
Directional solidification, 279, 287, 301, 303
Direct redrawing, 706, 707
Discard, 435, 465, 487, 515, 600, 601, 603, 608, 615, 626, 627, 657,
671, 715
Discontinuous yielding, 60, 78, 104, 173, 183, 184, 215
Dislocation, 3, 16–35, 42, 47, 51–54, 56, 70–73, 76, 78, 90, 92, 93,
104, 105, 257–259, 261, 265–267, 269–274, 277–279, 287,
300–303, 314, 347, 348, 350, 354, 355, 385, 418, 419, 421, 423,
462, 716
Dislocation climb, 22, 28, 269, 271–273, 277, 314
Dislocation creep, 257, 272, 274, 277–279, 300
Dislocation density, 21, 25–27, 34, 52–54, 73, 261, 271, 273, 274, 354,
355, 418, 419
Dislocation forest, 23
Dislocation loop, 21, 32, 33
Dislocation movement, 18, 23–26, 28
Dislocation of unit strength, 17
Dispersion-hardened alloys, 31, 32, 301
Dispersion hardening, 30–32
Distortion dipole, 33
Distortion energy yielding criterion, 35, 36
Draft, 435, 465, 480, 482, 483, 485–487, 523, 535, 536, 540, 563–565,
581, 585, 594, 595, 648, 656, 657, 661, 662, 671, 723
Drawability, 693, 696, 702–706, 709, 710, 712
Draw bench, 647, 649, 658, 661, 671, 690
Drawing ratio, 693, 695, 697, 705, 706, 708–710, 718
Drawing speeds for various materials, 709
Drop forging hammer, 470–472
Drop Weight Test (DWT), 249
Dry drawing, 647, 657, 661
Dual-phase steel, 34
Ductile fracture, 72, 81, 82, 84, 85, 237, 240, 251, 283, 382, 384, 409,
410
Ductile material, 4, 42–44, 62, 65, 67–69, 95, 102, 104–106, 112, 120,
181, 184, 186, 197, 209–211, 219–221, 227, 228, 251, 339, 340,
357, 358, 378, 379, 382, 383, 385, 428, 631, 632, 722
Ductility, 3, 4, 27, 28, 34, 42, 60, 63, 64, 66–72, 77, 80–82, 84, 95,
148, 215, 217, 219, 235, 237, 239–241, 243, 244, 248, 250, 254,
255, 282, 283, 287, 300–303, 330, 355–357, 369, 379, 383, 401,
417–420, 422, 423, 425, 426, 458, 511, 534, 570, 628, 632, 648,
656, 671, 707, 715, 722, 723
Ductility in terms of true strain, 67
Ductility in torsion, 215, 217
Ductility Measurement, 3, 63, 64, 68
Ductility transition temperature, 237, 239–241, 243, 254, 255
Dummy block, 435, 601–604, 615, 631, 634
Dynamic Tear (DT) test, 250
E
Earing, 518, 596, 646, 691, 705, 711, 714, 715, 718, 719
Eccentric press, 475
Eddy current, 729
Edge cracking, 569, 570
Edge dislocation, 17–24, 28, 76, 90, 92, 93, 258, 259, 261, 269, 272,
302
740 Index

Edge effect, 122 Expanding mill, 521, 580, 582, 584

Edging operation, 467, 468 Explosion-crack-starter test, 248, 255
Effective strain, 38, 39, 219, 423 Explosive forming, 721, 724–728, 730–732, 734, 735
Effective stress, 38, 39, 219, 373, 398, 399, 401, 407–409, 423 Exponential creep, 265, 274
Effective stress intensity factor, 373, 398, 399, 401, 407–409 Extended dislocation, 26, 29, 302
Effects of friction, 413, 434, 435, 615, 668 Extreme Pressure (E.P.) additives, 438
Effects of notch, 373, 378, 379 Extrusion defects, 599, 601, 626
Ekelund equation for rolling load, 546 Extrusion flow, 476, 480, 482, 484, 627
Ekelund expression for no-slip angle, 521, 539 Extrusion limit diagram, 612
Elastic deformation, 3, 5–9, 39, 41, 42, 51, 59, 78–80, 89, 91, 115, 116, Extrusion load, 601, 602, 605, 608, 614, 616, 626, 643, 644
125, 127, 128, 159, 161, 173, 181–184, 202, 207, 208, 217, 258, Extrusion of cable sheathing, 599, 635
277, 278, 356, 381, 383, 417, 428, 456, 470, 489, 499, 521, 539, Extrusion ratio, 599, 601, 608–610, 612, 614, 626, 628, 630, 631, 633,
541–543, 546, 555, 556, 563, 573, 608, 649, 663, 673, 723 645, 646
Elastic flattening of rolls, 528, 542, 553, 554, 560, 562, 567, 586, 591, Extrusion through conical converging die, 616, 619, 623, 625, 639
595, 596 Extrusion through square die, 616, 623–625, 636, 638
Elastic–heterogeneous–homogeneous plastic behaviour, 52, 54
Elastic–heterogeneous plastic behaviour, 51
Elastic–homogeneous plastic behaviour, 42 F
Elastic limit, 4, 56, 61, 200, 203, 213, 216, 379 Fabrication, 300, 414, 599, 723
Elastic strain, 9, 10, 20, 38, 41, 42, 45, 46, 51, 52, 55–60, 78–80, 86, Factors controlling rolling, 521, 564
87, 90, 91, 92, 97, 100, 165, 213, 214, 278, 297, 298, 317, 352, Factors influencing extrusion, 599, 608
357, 360–362, 370, 387–394, 397, 408, 409, 439, 441, 456, 489, Factors responsible for brittle behaviour, 228
499, 649, 663, 673, 723 Fading of residual stress, 345
Elastic strain energy release rate, 373, 391–394, 397, 408, 409 Fatigue-crack growth rate, 317, 329–332, 369
Elastic strength, 55, 56, 98, 221 Fatigue ductility coefficient, 356
Elastic stress concentration factor, 339, 340, 367, 373, 376, 379 Fatigue ductility exponent, 356, 369
Elastic stress field around dislocations, 20 Fatigue failure, 317–319, 321–325, 329, 333, 334, 336, 338, 339,
Elastic stress–strain relations, 9 342–344, 348–350, 356, 366, 409
Elastomer, 41, 42, 55, 56, 58, 59, 92 Fatigue life, 317, 322, 325–328, 331–338, 343, 345, 347–349, 351,
Electric discharge forming, 721, 731, 732 356, 357, 359, 360, 364, 365, 367–369
Electrohydraulic forming, 721, 731, 732, 734 Fatigue limit, 317, 324–328, 332–337, 339, 341, 342, 345–351, 361,
Electromagnetic field intensity, 729, 730 362–369
Electromagnetic force, 729, 730 Fatigue notch factor, 339, 340
Electromagnetic forming, 721, 728–731 Fatigue notch sensitivity index, 340, 341, 367, 368
Electromagnetic forming coil, 728–730 Fatigue ratio, 347, 349, 367, 368
Electroplating, 343, 346 Fatigue strength, 24, 62, 322, 325, 327, 333–335, 340–344, 346–351,
Electro spark forming, 721, 731 357, 359, 362, 364, 367–369
Elongated dimples, 385 Fatigue strength coefficient, 357
Elongation, 27, 42, 47, 52, 53, 64–69, 72, 73, 76, 77, 81, 82, 85–87, 90, Fatigue strength exponent, 357
91, 92, 105, 184, 217, 220, 265, 274, 281–283, 301, 386, 426, Fatigue strength reduction factor, 339, 340, 367
467, 476, 477, 522, 524, 525, 533, 541, 581, 607, 613, 671, 704, Fatigue striations, 329, 358
713, 716 Fibre-reinforced superalloys, 300
Elongation in torsion, 217 Fibre strengthening, 33
Empirical relationship for flow curve, 3, 46 Fibre structure, 458, 465, 511
End restraint, 106, 109, 110, 112, 217 Fibrous fracture, 84, 85, 236, 237
Endurance limit, 120, 324, 325, 338, 341, 351, 363, 369 File hardness test, 120, 123, 124
Energy lost during impact test, 234 Finishing pass, 571, 572, 577
Energy transition temperature curve, 236, 238–242, 246, 248 Finite element method, 413, 440, 456, 456
Engineering compressive strain, 99, 101, 103 Fir-tree cracking, 518, 596, 627, 628, 646, 718
Engineering compressive stress, 100, 102 Fixed blank holder, 710
Engineering creep curve, 259, 288 Fixed mandrel, 633, 634
Engineering strain, 5–7, 9, 41–44, 48–52, 54, 57–60, 62, 64, 65, 67–69, Fixed plug, 647, 671, 672, 676, 687, 690
72–75, 78, 86, 87, 89–91, 105, 109, 113, 115, 116, 173, 215, Flame- and induction-hardening, 343, 345
216, 281, 426, 703, 713 Flash, 435, 465, 470, 478–482, 484, 485, 487, 509, 596, 646, 691, 718
Engineering strain at fracture, 64, 69 Flash cracking, 509, 518, 519, 596, 646, 691, 718
Engineering strain rate, 73, 79, 80, 91, 100, 101, 116 Flash gutter, 478, 481, 482
Engineering stress, 8, 9, 41–44, 49, 51, 54, 56, 58, 60, 61, 65, 68, 69, Flash land ratio, 465, 480, 482, 518
72, 78–91, 101, 104, 105, 107, 113, 115, 169, 173, 280, 319, Flashless closed-die forging, 478
374, 376 Flat-faced die, 604, 605, 615
Engineering stress–strain curve, 42–44, 52, 54, 56–58, 61, 65, 67, 69, Flat fracture, 83, 116, 220, 221, 225, 237, 248, 383, 384, 400
70, 72, 77–79, 102, 104, 105, 116 Flat rolling, 457, 521, 522, 533, 544, 561
Equiaxed dimples, 384 FLD0, 703
Equicohesive temperature, 25, 75, 257, 282, 461 Flexural loading, 229–231
Ericksen and Olsen cup tests, 693, 712 Flexural rigidity, 107, 177
Euler’s curve, 107, 108
Index 741

Flexure, 173, 174, 178, 182, 186, 190–192, 194, 195, 231, 320, 321, G
325 Gauge control, 521, 566–568
Flexure formula, 173, 174, 178, 182, 186, 190 Generalized three-dimensional Hooke’s law, 9
Floating mandrel, 633, 634 Geometry of tensile specimen, 3, 63
Floating plug, 647, 671, 672, 678, 679, 689 Gerber parabola, 333, 334, 364, 365, 369, 370
Flow curve, 3, 24, 27, 38, 44, 46, 48, 52, 60, 72, 77, 86, 87, 89, 91, Gerber relation, 317, 334
104, 113, 116, 119, 120, 163, 169, 197, 219, 220, 228, 378, 379, Glass, 4, 41, 42, 76, 110, 112, 113, 116, 147, 149, 150, 154, 194, 236,
423, 512, 686 255, 258, 263, 346, 382, 387, 390, 408, 409, 426, 439, 605, 607,
Flow lines, 458, 485, 486, 511 615, 616, 630, 646, 656, 727, 730
Flow pattern, 414, 485, 486, 605–608, 626 Glass-fibre-reinforced polymers, 33
Flow rules, 3, 38 Glass lubrication, 605, 615, 616
Flow stress, 23, 25, 29, 31, 32, 35–37, 40, 44, 53, 61, 70–72, 74, Goldhoff-Sherby parameter, 257, 296
76–78, 91, 92, 98, 103, 106, 116, 163, 167, 228, 229, 261, 302, Goodman diagram, 317, 334, 335
378, 381, 420, 421, 422, 425–427, 431, 432, 434, 438–440, 451, Goodman line, 333, 334, 359, 364, 370
461, 462, 470, 479, 480, 489, 496–500, 505, 511, 512, 514, 517, Goodman relation, 317, 334, 359, 368
518, 533, 544–546, 549, 533, 556, 557, 561, 563–565, 570, 586, Grain-boundary migration, 75, 275, 282–285, 301
591, 595, 606–608, 610–612, 616, 617, 620, 621, 624–626, 630, Grain-boundary sliding, 269, 271, 272, 275–277, 282–287, 301, 303,
631, 642, 643, 645, 649, 650, 652–654, 663, 664, 666–668, 673, 350
675, 677, 678, 685–690, 697, 699, 702, 704, 709, 716, 717, 729 Grain flow, 275, 458, 484–486
Fluctuating stress cycle, 317–320 Grain refinement, 27, 242
Fluid extrusion, 630, 632 Gravity drop hammer, 465, 472–474
Fluid-to-fluid extrusion, 632 Grease lubrication, 616
Fold, 17, 229, 278, 301, 351, 485, 510, 575, 601, 611, 656, 657, 695 Griffith theory, 373, 387, 389–391
Forged-in scale, 510, 511 Gripping angle, 536
Forging defects, 465, 480, 483, 486, 508, 509
Forging load, 472, 478, 480, 482, 488, 489, 491, 492, 495, 499, 501,
502, 505, 511–515, 518, 519 H
Forging of circular disk by conical pointed dies, 465, 505 Haig-Soderberg diagram, 333
Forging of flat circular disk, 465, 498 Hall–Petch equation, 25
Forging press, 426, 465, 466, 470, 474, 478, 480, 482, 488–495, 497, Hammer forging, 417, 466, 472, 482, 487, 488, 516, 722
498, 500–505, 511, 513, 514, 518, 519 Hard machine, 52, 78, 79
Forging pressure, 478, 480, 482, 488–495, 497, 498, 500–505, 511, Hardness dial, 119, 132, 133, 167
513, 514, 518, 519 Hardness test of wood, 120, 121, 123–133, 135, 137–140, 143–159,
Forging ratio, 458, 459, 488, 516, 517 163, 164, 167–170, 220, 224, 257, 306–308, 310, 312, 451, 711
Formability, 67, 693, 702, 703, 711–713, 715, 723 Harper–Dorn creep, 273, 274
Forming limit diagram, 693, 703, 711, 713, 714, 718 Hartmann lines, 52
Forward slip, 521, 538, 540–542, 555, 564, 565, 585, 593–596 Heat-resistant alloys, 300, 423, 709, 710
Forward slip zone, 538 Heat softening, 343, 345, 346, 369
Four-high continuous mill, 527, 533 Heat transfer, 413, 423–426, 456, 459, 461, 472, 602, 610
Four-high mill, 525–527, 531, 533, 544 Heat treatment, 55, 66, 233, 242, 243, 245, 301, 340, 343, 345, 346,
Fractography, 373, 382, 384 376, 397, 399, 418, 436, 510, 571, 647, 648, 656, 657, 691
Fracture Analysis Diagram (FAD), 251 Helical fracture, 221
Fracture appearance transition temperature, 237, 239–242, 246 Helical rolling, 523–525, 580, 582, 584
Fracture strength, 4, 42–44, 60, 62, 68, 72, 77, 85, 101, 216, 228, 229, Hencky’s first theorem, 413, 446–448
251, 252, 254, 373–377, 387, 389–391, 397, 400, 401, 406–409 Hencky slip line equations, 413, 443, 444
Fracture stress curve, 228 Herbert pendulum hardness, 153
Fracture toughness, 70, 156, 247, 319, 330–332, 347, 369, 373, 383, Heyn stresses, 105
384, 392–394, 396–405, 409 High-carbon steel, 127, 150, 656
Fracture toughness testing, 330, 396, 401 High-cycle fatigue, 317, 321, 322, 328, 330, 345, 348, 352, 356, 357
Fracture Transition Elastic (FTE), 248 High-energy rate forging, 721, 732
Fracture transition plastic, 239, 248 High energy rate forming, 426, 721, 722, 724, 726, 728, 730
Fragmentation, 106, 112, 458 High power explosive, 724, 725
Free forming, 721, 727, 728 High-strength low-alloy (HSLA) steels, 27, 242
Frequency-modified fatigue life, 360 High-velocity forming, 426, 721–723
Frequency of stress cycling, 317, 348, 349, 351, 359, 363 Hitchcock equations for roll flattening, 543
Fretting, 351, 352 Hodograph, 451–455, 636–640, 680–683
Friction factor, 413, 431–434, 460–492, 495, 501, 502, 505, 514, 518, Hole expansion test, 693, 711, 713
613, 614, 643, 645, 668–670, 690, 691 Hollomon parabolic true-stress–true-strain relation, 46, 49, 70, 353
Friction hill, 490–493, 500–503, 521, 544–546, 548–552, 556, 557, Homologous temperature, 71, 258, 259, 261, 263–265, 270, 272–275,
561, 563 277–279, 282, 299–302, 304, 312, 313
Front tension, 521, 527, 531, 545, 546, 550–552, 554, 555, 564, 565, Hooker process, 599, 629
567, 568, 585, 586, 595 Hooke’s law, 3, 9, 37, 41, 46, 55–59, 79, 174–176, 181, 200, 456
Fukui conical cup test, 693, 711–713 Hot-die forging, 479, 480
Full dislocation, 17 Hot rolling load, 555, 557–562, 591, 592
Fullering, 467, 468, 478, 479, 487 Hot-rolling torque, 553, 554, 560, 564–566, 586, 589–591, 595
Full-fluid lubrication, 437 Hot-rolling yielding criterion, 557
742 Index

Hot shortness, 420, 426, 427, 509, 603, 610–612, 627, 628 L
Hot working, 74, 241, 267, 283, 413, 414, 416, 417, 419–431, 439, Lagging zone, 538
456, 461, 476, 489, 499, 561, 578, 608, 610, 611, 616, 621, 633, Lap, 510
635, 656, 671, 694 Large-scale fracture test methods, 227, 248
Hot working temperature range, 413, 426, 427 Larson-Miller parameter, 257, 293, 294, 313
Hourglass fracture, 113, 116 Lateral deflection, 106, 112
Hultgren ball, 127 Leader pass, 571, 572, 576
Hydraulic extrusion, 426, 630, 631 Leak-before-break, 405, 406
Hydraulic machine, 78, 79, 228 Lever arm ratio, 521, 561, 562, 586, 590–593
Hydraulic press, 125, 472–476, 517, 602–604, 630, 632, 694, 710, 724 Levy–Mises equations, 38, 50, 378, 456
Hydrodynamic lubrication, 437, 630, 631 Liming, 657
Hydrostatic component of stress, 35, 442 Limiting draw ratio, 693, 705, 706, 712
Hydrostatic compression, 35, 95, 96, 570 Linear elastic behaviour, 41–43, 51, 181, 200, 215
Hydrostatic extrusion, 599, 607, 613, 616, 617, 619, 630–633, 659, 670 Linear lattice defect, 16
Hydrostatic pressure, 35, 84, 163, 630–632, 637, 659, 681 Linear parameter, 295
Linear strain, 5, 6, 38, 200, 442, 653
Loading and unloading, 42, 44, 45, 57, 155, 157, 158
I Logarithmic creep, 261, 263, 264, 298
Ideal fracture strength, 373, 376 Longitudinal rolling, 522–525, 581–583
Ideal plastic deformation, 413, 423, 441, 459, 461 Looping mill, 526
Impact extrusion, 474, 475, 599, 600, 602, 629, 630 Low-angle tilt boundary, 20, 22, 28
Impact forging, 466, 469 Low-carbon microalloyed steels, 27, 242
Impact loading, 227, 229, 230, 232, 236, 238, 244, 245, 249, 250, 397 Low-cycle fatigue, 317, 321, 322, 328, 330, 345, 348, 356, 357, 387,
Impact machine, 233, 234, 253 403
Impact strength, 233, 234, 236, 238, 242, 243, 253 Lower yield point, 52–54, 60, 73, 79, 215
Impact toughness, 24, 27, 34, 70, 235, 238, 243, 383, 418 Low power explosive, 724
Impact velocity, 232, 723 Lubricant, 110, 413, 425, 430–439, 485, 491, 510, 511, 517, 544, 564,
Impact welding, 723 568, 571, 607, 613–616, 627–632, 657–659, 661, 689, 695,
Impression-die forging, 465, 466, 477–481, 483 709–711
Incomplete forging penetration, 509 Lüders bands, 52, 533
Increasing amplitude tests, 317, 361
Indentation creep, 257, 304–308, 311
Indentation creep curve, 304, 307 M
Indentation creep test, 304–307 Machinability, 120, 121
Indentation hardness, 120, 121, 124, 129–131, 139, 140, 145, 151, 154, Magnetic pressure, 729, 730
155, 163 Magnetic pulse forming, 721, 728
Indentation strain rate, 305, 306 Major modes of loading, 394–396
Indirect extrusion, 600–603, 607–610, 624, 632, 645 Mandrel drawing, 647, 671, 672, 675–678
Instrumented Charpy impact test, 227, 247 Mannesmann mill, 524, 525, 532, 533, 580, 581
Instrumented indentation testing, 155, 159, 304 Manson-Haferd parameter, 257, 295, 296, 309, 310, 313
Interaction forces between dislocations, 20 Marciniak biaxial stretching test, 693, 711
Interatomic bonding force, 55, 373, 374 Martens hardness, 119, 161, 162
Intercrystalline fracture, 246, 262, 280–283, 285, 287, 386 Martensite, 25, 33–35, 80, 123, 227, 243–245
Intergranular fracture, 241, 244, 245, 275, 281, 282, 285, 358, 373, Martensite strengthening, 33
382, 386, 387 Martensitic substructure, 34
Intermediate temperature ductility minimum, 283 Material pickup on tools, 413, 435, 436, 438, 614
Internal cracks, 275, 390, 392, 434, 457, 509 Maximum allowable back tension, 521, 554, 555, 585
Inverse Hall–Petch effect, 25 Maximum shear strain, 200–203, 206, 209, 211, 216–219, 224
Ironing, 672, 696–698, 708, 709 Maximum shear stress, 12, 13, 16, 36, 37, 40, 112, 183, 189, 190, 193,
Isothermal extrusion, 610, 611 194, 198, 199, 201, 203–207, 209–223, 271, 384, 431, 442, 443,
Isothermal forging, 479, 480 453, 715
Izod test, 227, 231, 232 Maximum shear stress yielding criterion, 37, 40
Mean shear strain, 206, 207, 210, 212, 215
Mean shear stress, 206–208, 210–215, 217, 223
J Mechanical deformation, 3
Joffe Effect, 390 Mechanical fibering, 413, 457, 458
Jogs, 21, 23, 33, 286, 287 Mechanical press, 426, 474–476, 602, 722
Mechanical twin, 22
Median fatigue life, 326, 343, 365, 369
K Median fatigue limit, 327
Keeler-Goodwin diagram, 703 Median fatigue strength, 327, 362
Killed steel, 241, 718 Merchant mill, 532, 533, 575
Knoop hardness, 119, 145–147 Metallurgical factors affecting impact properties, 227, 240
Knoop indenter, 145–147, 154, 156 Meyer hardness, 119, 129–131, 146, 152, 163, 165, 451
Knuckle joint press, 475 Meyer index, 130
Knurling, 537 Meyer’s law, 119, 130, 131, 164–167
Index 743

Microhardness, 119–121, 145, 154, 156 Normal strain, 5, 9, 10

Microvoid coalescence, 283, 384 Normal stress, 4, 5, 9, 11–15, 36–38, 41, 111, 173, 174, 198, 199, 201,
Mild steel, 27, 72, 77–79, 84, 104, 151, 163, 183, 184, 190, 191, 194, 285, 394, 429, 445, 446, 698
215, 227, 228, 237, 240, 250, 251, 254, 336, 348–350, 382, 386, No-slip angle, 521, 539–542, 550–552, 554, 555, 557, 558, 564, 585,
408, 430, 533, 616, 657, 725 587, 589, 591–596
Mill modulus, 521, 566–568, 594 No-slip point, 521, 538
Mill power, 521, 552, 561–566 Notch ductility, 81, 82
Mill springback, 566 Notched-bar impact test, 80, 228, 229, 231–233, 239, 244, 246, 383
Mill stiffness, 567, 568 Notch sensitivity, 80–82, 230, 340, 341, 347, 349, 350, 367, 368, 383
Miner’s rule, 336, 337 Notch strength, 80–82, 373, 379, 383
Minimum bending stress, 177 Notch strengthening, 373, 379
Minimum creep rate, 260, 261, 262, 264, 280, 281, 287–291, 312 Notch strength ratio, 80, 81, 383
Miss strike, 714, 715, 718 Notch tensile test, 80, 81, 379, 383
Mixed dislocation, 18 Notch toughness, 70, 231–244, 247, 255, 383
Mixed-film lubrication, 413, 438 Notch transition temperature, 229, 246, 254
Mixed sticking–sliding friction, 465, 492, 495, 503, 505, 599, 622 Notch weakening, 373, 379
Modulus hardening, 300
Modulus of elasticity, 4, 9, 55–57, 59, 71, 72, 79, 89–91, 96, 98, 107,
174, 182, 190, 197, 200, 204, 222, 300, 350, 375, 376, 394, 406, O
408, 409, 702 Octahedral linear strain, 5, 6, 38, 200, 218, 442, 456, 653
Modulus of elasticity in shear, 190, 197, 200, 204 Octahedral shear strain, 5, 9, 20, 37, 38, 120, 190, 197, 200–203,
Modulus of elastic resilience in torsion, 212–215 206–220, 224, 225, 303, 442
Modulus of resilience in tension, 4, 57 Octahedral shear stress, 37, 38
Modulus of rigidity, 36, 190, 197, 200, 212, 213, 222–224 Octahedral shear stress yield theory, 38
Modulus of rupture, 173, 182, 186, 197, 198, 209, 210, 215–217, 222 Offset yield strength, 33, 43, 61, 62, 85–89, 164, 183, 215, 216, 354,
Modulus of strain-hardening, 46, 47, 49, 60, 63, 65, 67, 86, 87, 91, 122, 401, 409
130, 155, 161, 164, 165, 261, 262, 354, 356, 357, 442, 456, 591, Open-die extrusion, 618, 645, 670
647–649, 651–654, 667, 686, 693, 702, 703, 706, 708, 718 Open-die forging, 425, 434, 435, 465, 466, 468, 476, 477, 488, 509,
Modulus of toughness, 60, 69 510, 518
Mohr’s stress circle, 3, 13–15 Open upsetting, 467, 468, 509, 518
Mohs’ scale of hardness, 120, 121, 123, 124 Optimum semicone die angle, 605, 612–614, 645, 669, 670, 691
Monotron hardness, 119, 148, 149, 168 Orange peel, 419, 715
Multiple-die continuous machine, 658, 659, 661 Ordered solid solution, 29, 30
Multiple slip, 15, 24, 83, 84, 271 Orientation strengthening, 54
Orowan relation, 373, 391
Oscillating stress, 319
N Oval pass, 571, 572, 575, 576, 578, 579, 596
Nabarro–Herring creep, 257, 274, 275, 277–279, 314 Oval–round pass sequence, 575, 576
Nanohardness, 119–121, 154–159, 161, 169 Oval–square pass sequence, 575–579
Nanoindentation test, 155–157, 159 Overstressing, 63, 317, 321, 335, 336, 362
Natural strain, 5, 6, 439, 477
Natural stress, 8
Near-net shape forging, 479, 480 P
Necking, 43, 44, 46–51, 54, 60, 62, 65–69, 75, 76, 83–85, 91, 92, 98, Pack rolling, 533, 564
106, 217, 261, 283, 387, 386, 426, 435, 694, 696, 702, 703, 714 Parabolic creep, 264, 265
Neuber constant, 340, 367, 368 Parabolic dimples, 385
Neutral axis, 175–177, 180, 182–190, 193, 194, 342, 498, 500, 502, Parallel metal flow, 480, 482, 486, 488, 510, 511, 522, 599, 603,
503, 505–507, 511 605–609, 615, 616, 626, 635, 691, 693, 694, 696, 706, 709, 710
Neutral plane, 174, 175, 177, 179, 183, 187–190, 465, 488–498, 500, Paris law, 317, 331
502, 513, 514, 538–541, 547, 554, 558, 587, 589, 591, 592 Partial dislocation, 20, 26, 29, 300, 302
Neutral point, 435, 521, 537–539, 541, 545, 547, 550–552, 555, 557, Parting line, 465, 478, 480, 484–487, 573–575, 581, 729
587 Passive roll gap, 566–568, 594
Neutron irradiation, 33 Patenting, 376, 647, 656, 691
Newtonian cooling, 424, 459 Peierls force, 18, 19
Newtonian viscous flow, 76 Peierls–Nabarro stress, 25, 71, 239
Nickel-based superalloys, 300, 301 Peierls stress, 19, 20, 25, 32, 71, 72
Nil ductility temperature, 240, 248, 250 Pendulum mill, 521, 530, 531
Nitriding, 328, 343, 345, 351, 369, 603 Perfect dislocation, 17, 20, 26, 29, 302
Nodal points, 447–450, 456 Permanent set, 3, 61
Non-linear elastic stress–strain diagram, 16, 27, 41–43, 59, 61, 62, 70, Persistent slip bands, 317, 328, 329
95, 97, 98, 102–104, 108, 181, 183, 185, 206, 207, 210, 213, Peterson constant, 341, 368
215, 217, 219, 258 Phosphating, 436, 439, 657
Normal anisotropy, 702, 704, 706, 713 Pickling, 601, 647, 657
Normalizing, 27, 241, 255 Piercing mandrel, 580, 583, 634
Normal octahedral stress, 37 Pile-up, 23–25, 53, 104, 119, 159, 161, 287, 385
744 Index

Pilger mill, 521, 532, 580, 582, 583 Purely alternating stress cycle, 320, 326, 332, 335, 339, 346, 357, 358,
Pincushion indentation, 144 362, 368
Planar anisotropy, 705, 713, 715 Pure shear, 35–37, 40, 92, 197–207, 213, 217, 385, 397, 431, 432, 442,
Plane strain, 11, 40, 41, 145, 163, 228, 255, 379 445, 699
Plane strain forging of flat rectangular plate, 432, 488
Plane strain forging of strip with inclined dies, 465, 495
Plane-strain fracture toughness, 330, 373, 397–399, 400, 401, 405, 409 Q
Plane stress, 10, 228, 255, 373, 379–382, 387, 389–392, 398–400, Quasi-cleavage fracture, 373, 386
406–409, 456, 651 Quench ageing, 242
Planetary mill, 528–530, 596 Quenched-and-tempered steel, 136, 243, 326, 348, 386
Plastic constraint factor, 228, 229, 254, 378, 379
Plastic curve, 566–568
Plastic deformation, 3–5, 7, 8, 11, 13, 15–17, 19, 21–31, 33, 35, 37–43, R
46, 47–52, 54, 56, 60, 70, 73, 85, 91, 98, 103, 116, 120, 150, Rack and pinion press, 475
156–158, 186, 197, 206, 219, 228, 236, 240, 242, 278, 283, 285, Radius of gyration, 107, 109
286, 301, 318, 319, 324, 329, 330, 340, 344, 345, 352, 355, 356, Ragging of roll surface, 537
360, 361, 378, 380–391, 413–417, 423–431, 649, 653, 671, 685, Ramless hydraulic extrusion, 631
716, 722, 723, 726, 731, 732 Random stress cycle, 320, 321
Plastic design, 184 Range of stress, 250, 251, 277, 294, 295, 319, 320, 329, 331, 335
Plastic strain amplitude, 349, 354–356, 355 Ratchet line, 318, 319
Plastic strain ratio, 693, 702, 704, 718 Rate of strain-hardening, 1, 46, 47, 49, 60, 63, 65, 67, 86, 87, 91, 92,
Plastic zone, 54, 330, 373, 380–383, 397–401, 404, 407–409, 431, 444, 116, 122, 130, 161, 164, 165, 261, 262, 354, 356, 357, 442, 456,
450 591, 647–649, 651, 686, 703, 706, 708, 718
Plate mill, 532, 533 Rear-end piping defect, 601, 608
Ploughing, 429, 430 Rebound hardness, 120, 149, 150
Plug drawing, 647, 671–673, 675–677, 687–691 Recoverable deformation, 3, 258
Plug mill, 521, 532, 580–583 Recrystallization annealing, 418–422, 647, 656
Point defects, 23 Recrystallization temperature, 282, 283, 417, 418, 420–422, 462, 627,
Pointing, 647, 657 656
Poisson’s ratio, 3, 7, 9, 20, 39, 55, 90, 91, 98, 109, 159, 178, 202, 222, Recrystallization twin, 22
224, 237, 380, 381, 390, 408, 409, 543 Recrystallized grain size, 419, 420
Polar moment of inertia, 197, 203–205, 212, 214, 223 Redrawing, 693, 706–709, 715
Poldi impact hardness, 119, 151, 153 Reduction of area at fracture, 64, 66–68, 84–86, 281, 283, 632
Polygonization, 22, 28 Redundant deformation, 440, 441, 456, 496, 506, 546, 607, 609, 610,
Polymers, 33, 41, 42, 45, 54, 91, 97, 258, 439, 491, 630, 661 613, 616, 630, 632, 636, 638, 641–643, 645, 667, 668, 671, 672,
Portevin-Le Chatelier effect, 51 688, 690
Porthole, 605, 635 Redundant work factor, 647, 667–669
Powder rolling, 532 Reeling mill, 532, 582, 583, 672
Power drop hammer, 471–474, 518 Remedial measure against buckling, 109
Power law creep, 273 Remedial measures against barreling, 110
Precipitation-hardened alloys, 30–33, 81, 82, 243, 258, 261, 301, 302 Repeated stress cycle, 319, 320
Precipitation hardening, 30, 31, 242, 261, 284 Repeated yielding, 52
Press forging, 417, 466, 474, 487, 488, 495, 498, 505, 511–513, 515, Residual stresses, 105, 298, 321, 322, 343–346, 350, 351, 420, 569,
517, 518 570
Pressure welding, 635, 709, 710 Resilience in pure bending, 173–175, 178–186, 189–192, 195, 212,
Primary creep, 260–265, 271, 290, 298, 312 322
Primary roughing mill, 532 Resilience in tension, 4, 56, 57, 60
Principal direction, 9–11, 35, 40, 116, 303, 304, 442, 443 Reversed-bending fatigue testing machine, 320–324, 363
Principal plane, 9, 11–16, 40, 444 Reverse redrawing, 707, 708
Principal shear strain, 201, 303 Rib, 480, 483, 485, 487, 510
Principal shear stress, 12–14, 201, 218, 303 Ridging, 129, 132, 144
Principal stress, 9–16, 35–40, 90, 198–201, 224, 381, 440, 442, 445, Rimming steel, 241
448, 451, 458, 489, 496, 497, 499, 507, 547, 549, 616, 617, 620, Ring-compression test, 433, 434, 460
637–640, 650, 663, 664, 673–675, 681, 698, 699 Robertson crack-arrest test, 227, 250, 251
Process annealing, 418, 656 Rockwell hardness, 119, 131–140, 144, 149, 164–169, 257, 306, 308,
Processing operation, 414, 478, 487 312
Production of seamless tube and pipe by hot rolling, 580 Rockwell hardness scales, 135, 136
Proof stress, 61 Rockwell superficial hardness, 119, 139, 140, 168, 169, 310
Proportional limit, 4, 42, 46, 55–57, 59, 61, 69, 91, 98, 107, 108, 116, Rod drawing, 426, 661, 690, 691
181–183, 194, 195, 212–219, 221, 222 Role of twinning, 22, 23, 51, 272, 385
Proportional limit moment, 182, 183, 195 Roll deflection, 521, 543, 544
Proportional limit torque, 214, 215, 222 Roller levelling, 105, 355, 533, 534, 569, 601, 716
Prot equation, 338, 363, 369 Roll forging, 469, 470, 522
Prot test, 317, 362, 363 Roll forming, 534, 578, 579
Pure bending, 173–186, 189, 190, 194, 195, 212, 322 Roll parting line, 573–575, 581
Index 745

Roll pass, 521, 533, 571, 573–575, 577, 581, 595 Shore scleroscope, 119–121, 149, 150, 170
Roll pass design, 521, 571–577 Short column, 108, 112
Roll pass line, 573–575 Short-range ordering, 29
Roll-separating force, 527, 532, 543, 544, 561, 562, 566, 568, 569, 595, Shot peening, 342–345, 351, 369, 370
596 Shrink forming, 694
Rotary-rolling mill, 584 Significant strain, 38, 218, 303, 304, 354
Rotating-beam fatigue testing machine, 320–324, 341, 363 Significant strain rate, 303, 304
Rotating bending fatigue, 322–324, 344 Significant stress, 38, 90, 218, 303, 304
Roughing pass, 571, 572, 575, 578, 579 Sims’ theory of hot rolling, 521, 555, 562, 595
Round pass, 571, 572, 575, 576, 578, 579, 581–583, 596 Sinking in, 129, 132, 144, 158, 678
“r-type” cavities, 284–287, 323 Sintered aluminium powder, 31, 301
Rubber, 41, 42, 55, 56, 58–60, 92, 97, 98, 122, 150, 318, 345, 346, 369, Six-high mill, 527
714, 725, 727 Sizing mill, 583
Rubber elasticity, 58 Sizing redraw, 708, 709
Rubber tire, 318, 345, 346 Skidding, 537, 555, 565
Rupture, 33, 56, 62, 70, 83, 84, 102, 112, 113, 173, 182, 186, 197, 198, Skin pass, 533, 716
209–211, 215–217, 222, 231, 234, 236, 239, 258, 259, 280–288, Slabbing mill, 532, 574
290–296, 300, 301, 309, 313, 338, 350, 351, 359, 362, 363, 366, Slab method, 413, 440, 441, 648
369, 384, 387, 390, 485, 486, 628 Slant fracture, 82, 83, 85, 251, 384, 400
Rupture moment, 182, 186, 216, 217, 222 Slenderness ratio, 107–109, 220, 715
Sliding friction, 111, 413, 425, 428–431, 438, 465, 490–496, 500–506,
511–514, 519, 536, 539, 545, 546, 599, 616, 619, 621–625,
S 641–643, 649, 651, 654, 663, 674, 698
Sachs relation, 693, 697, 698, 702 Slip, 3, 15–24, 26, 30, 33, 47, 51, 53, 82–84, 92, 95, 102, 104, 112,
Schmid’s law, 15, 92, 93 183, 259, 261, 271, 272, 284, 286, 287, 302, 325, 328, 329, 342,
Scratch hardness, 120, 123, 129 347, 350, 355, 413, 432, 442, 446, 494, 504, 518, 521, 531,
Screw dislocation, 17–20, 22, 23, 26, 47, 259, 261, 386 538–542, 545, 550–552, 554, 555, 557, 558, 564, 565, 585, 587,
Screw-driven machine, 73, 79 589, 591–596, 600, 622, 637
Screw press, 472, 475 Slip-band crack growth, 328, 348
Seamless tube, 533, 578, 580, 599, 633–635 Slip-band extrusions, 317, 328, 329
Seamless tube production by extrusion, 599, 633 Slip-band intrusions, 317, 328
Seams, 508, 510, 532, 576, 578 Slip directions, 15, 20
Secant modulus, 58, 60, 98 Slip line, 15, 23, 163, 328, 413, 440–452, 599, 636–639, 647, 680, 681
Secondary creep, 261–264, 268, 269, 314 Slip-line field, 163, 413, 440–442, 446–452, 599, 636–639, 647, 680,
Section modulus, 180, 181, 193, 195, 322, 364, 367 681
Selective or differential lubrication, 710 Slip-line field theory, 163, 413, 440–442, 452, 636
Semikilled steel, 241 Slip planes, 15, 16, 20, 21, 24, 102, 272, 328, 329
Sendzimir mill, 527, 564 Slip system, 15, 22–24, 51, 82, 258, 271, 272, 387
Serrated stress–strain curve, 51, 72, 73, 78 Slip vector, 17–20, 23
Sessile dislocation, 23 Slug, 465, 487, 488, 515, 516
Shallow drawing, 693 Smith forging, 465
Shaped die, 468, 604, 614, 643, 644, 647–650, 680–682, 688–690, S–N curve, 323–328, 332, 333, 337, 338, 341, 347, 349, 351
694, 695, 698, 713 Soderberg line, 333, 334
Shape factor, 173, 183, 184, 190, 191, 194 Soderberg relation, 317, 334, 365
Shaving, 613, 647, 668–671, 691 Soft machine, 78, 79
Shear cone fracture, 112, 113 Solid lubricant, 352, 413, 438, 439, 461, 661, 662, 671
Shear die, 604 Solid solution strengthening, 28, 29, 33, 34, 300, 301, 325, 326
Shear force, 19, 174, 178, 179, 186–190, 193, 208, 213, 431 Spark discharge forming, 721, 731
Shear force and bending moment diagrams, 174, 193 Specimen for torsion test, 211
Shear fracture, 82, 85, 106, 112, 113, 220, 236 Speed cracking, 611
Shear metal flow, 615, 626 Spherical dimples, 384, 385
Shear modulus, 20, 25, 31, 32, 36, 90, 197, 198, 200, 202, 204, 205, Spider-mandrel, 605, 635
207, 212, 222–224, 255, 272, 273, 277–279, 286, 408, 409 Splitting failure, 112, 113
Shear strain, 5, 9, 20, 37, 38, 120, 190, 197, 200–203, 206–213, Spread law, 465, 477
215–220, 224, 225, 303, 442 Spring back effect, 714, 723
Shear stress, 3–5, 9, 11–16, 18, 21–24, 28, 32, 33, 35–38, 40, 53, 82, Spring constant, 9, 78, 80
92, 95, 102, 110, 112, 120, 173, 178, 183, 186–190, 193, 194, Square die, 599, 604, 606, 615, 623–626, 630, 636, 638, 642, 645, 670
197–201, 203, 204–225, 271, 275, 276, 285, 286, 303, 328, 384, Square pass, 571, 572, 575–577, 579, 596
385, 394, 396, 397, 400, 427, 429–432, 438, 440–445, 452, 453, Stacking fault, 3, 22, 23, 26, 29, 31, 47, 63, 65, 92, 271–273, 300, 302,
489, 491, 492, 495, 496, 499, 502, 506, 605, 610, 648, 649, 662, 303, 314, 317, 347, 348, 355
663, 673, 674, 702, 715 Stacking fault energy, 3, 22, 26, 29, 31, 47, 65, 92, 271–273, 300, 302,
Shear stress–strain diagram, 197, 206, 207, 210–213, 217, 219, 220 314, 317, 347, 348, 355
Shelf energy, 236, 238–240, 251, 255 Stainless steels, 34, 75, 265, 479, 483, 600, 615, 661, 731
Shell drawing, 693 Standoff distance, 721, 725–727, 731, 734, 735
Sherby-Dorn parameter, 257, 294–296, 309, 313 State of stress at a point, 4, 5
746 Index

Statical moment, 189, 193 Stretcher levelling, 533, 569, 601

Steady-state creep, 257, 261, 262, 264–269, 271–274, 277, 290, 297, Stretcher strains, 52, 533, 715, 716
303–314 Stretch forming, 67, 414––416, 694, 696
Steady stress, 319, 323 Stretch-reducing mill, 583, 584
Steam hammer, 465, 472, 473, 518 Strip drawing, 415, 451, 647, 648, 650, 651, 654, 669, 677, 680–682,
Steel, 27, 28, 33–35, 41, 51–55, 57, 58, 63, 72, 74, 75, 77–82, 84, 91, 688, 690, 691
104, 105, 113, 116, 120, 123, 126–129, 133, 135–140, 143, Strip drawing through cylindrical dies, 654
149–155, 163, 164, 166–170, 180, 183, 184, 190, 191, 194, 197, Strip drawing through wedge-shaped dies, 647, 648, 680–682
215, 221–223, 227, 228, 230, 233, 237–255, 259, 265, 269, 271, Strip mill, 530, 532, 533
287, 301, 306, 308–310, 312, 313, 326, 335, 336, 340, 341, Subgrain strengthening, 27
343–351, 367–369, 376, 379, 382, 385–387, 397, 401, 407–410, Sulling, 657
417, 422, 430, 436, 438, 439, 458, 459, 473, 474, 479, 483, 508, Superalloys, 32, 76, 300, 301, 303, 426, 479
509, 513, 515, 516, 522, 523, 525, 528, 531, 533, 543, 546, 563, Superlattice, 29, 30, 302
564, 566, 571, 575, 576, 579, 580, 586, 587, 591, 595, 601–603, Superplastic forming, 75, 426
605, 607, 609, 612, 615, 616, 630, 633, 645, 648, 656, 659, 661, Superplasticity, 75, 77, 92, 426
662, 669, 685, 686, 688, 690, 694, 703, 704, 706, 708–710, 712, Surface cold rolling, 342, 344–346, 369
716, 718, 725, 727, 731, 732 Surface cracking, 509, 627
Steel ball indenter, 126, 129, 133, 135, 137–139, 143, 151, 152, 164, Surface defects, 23, 532, 533, 570, 575, 601, 603, 610, 611, 615, 626,
166–168, 306, 310, 312 656
Step-down creep test, 257, 299 Swaging, 469, 657
Step test, 317, 362 Swift cup test, 693, 705, 711, 712
Sticking friction, 413, 431, 441, 445, 452, 465, 491–495, 501–505,
511–515, 517, 518, 521, 545, 546, 556, 561, 595, 599, 607, 616,
621–625, 641–643, 645 T
Strain ageing, 27, 51, 70, 242, 325, 326, 336, 337, 350, 716, 718 Tabor relation, 163, 167, 307, 310, 312
Strain-controlled fatigue, 317, 321, 352, 353, 358, 369 Talc, 123, 124, 439, 616
Strain hardening, 3, 17, 23, 24, 26, 30, 33, 34, 42, 43, 46–49, 51–54, Tandem drawing, 662
60, 63, 65, 67, 68, 71, 72, 76, 77, 86, 87, 91, 98, 104, 116, 122, Tandem two-high continuous mill, 526
127, 129–131, 144, 154, 155, 161, 164, 165, 184, 190, 191, 194, Tangent modulus, 58, 60, 98, 108, 702
211, 215, 228, 259, 261, 262, 272, 283, 301, 317, 336, 344, 352, Tangent modulus vs. stress curve, 108
353, 356, 357, 417, 419, 421, 422, 438, 439, 441, 442, 452, 456, Tapered die, 604, 605, 615, 619, 620
489, 496, 499, 506, 522, 533, 548, 557, 591, 612, 616, 647–649, Tear dimples, 385
651–654, 663, 666, 667, 671, 673, 677, 678, 686, 690, 693, 702, Temperature change during working, 413, 423
703, 706–708, 718 Temperature change test, 70
Strain-hardening coefficient, 3, 46, 47, 49, 60, 92, 130, 164, 165, 591, Temperature-compensated time parameter, 271, 291
706 Temperature sensitivity of yield strength, 71
Strain-hardening exponent, 63, 65, 67, 86, 87, 91, 92, 116, 354, 356, Tempered glass, 346
357, 686, 690, 693, 702, 703, 718 Tempered martensite embrittlement, 80, 227, 243, 244
Strain-range partitioning method, 317, 360 Temper embrittlement, 80, 227, 243, 245, 246, 387
Strain-rate change test, 74, 75 Tempering, 34, 81, 82, 243–246, 346, 348
Strain rate in extrusion, 599, 625 Temper rolling, 533, 716
Strain rate sensitivity, 74–77, 91, 92, 426, 479, 561, 565, 611, 625, 693, Tensile Instability, 3, 47, 49, 86, 87, 91, 704
702, 703, 709 Tensile strength, 4, 24, 28, 34, 43, 44, 48–50, 60, 62, 63, 68, 69, 71, 74,
Strand pass, 571, 572, 577 81, 82, 87, 90, 102, 113, 116, 120, 151–153, 163, 164, 217, 221,
Streamlined die, 604 255, 282, 318, 324, 333–335, 340, 341, 343, 344, 346–350, 354,
Strength coefficient, 46, 60, 86, 87, 91, 116, 354, 357, 591, 686, 690 359, 369, 383, 409, 458, 696, 708, 710, 713
Strengthening due to vacancies and interstitials, 33 Terminology of rolled product, 521, 523
Strengthening methods, 3, 26 Tertiary creep, 260–262, 275, 280, 284, 286, 288
Stress amplitude, 319, 321–323, 333, 336, 338, 347, 353, 354, 357, Textural stresses, 105
359–369 Texture, 35, 397, 399, 413, 457, 458, 523, 704
Stress-controlled fatigue, 321, 323, 353 Theoretical cohesive strength, 56, 82, 95, 102, 375–378, 387, 390, 406
Stress deviator, 35, 37–39 Thermal camber, 544
Stress distribution, 64, 163, 183–186, 216, 345, 377, 394, 396, 398, Thermal contraction technique, 343, 345
511 Thermal fatigue, 300, 317, 350, 369
Stress field at the neck, 3, 49 Thermal shock, 350, 603
Stress intensity factor, 330, 331, 373, 394, 396–401, 405–410 Thermomechanical treatments (TMT), 34
Stress ratio, 319–321, 325, 330–333 Thick-film Lubrication, 413, 436
Stress relaxation, 257, 259, 297–300, 309, 311 Thinnest possible rolled product, 564
Stress-relaxation curve, 298, 300 Thin-walled tube, 197, 205–208, 210–216, 220, 221, 223, 224, 673,
Stress-relaxation test, 259, 299 676
Stress relief annealing, 420, 509 Thin-walled tubular specimen, 197, 198, 205, 210, 212, 213, 215, 217,
Stress relieving, 420 218, 220, 221
Stress-rupture curve, 280, 281, 290–292 Thoria dispersed nickel, 31, 301
Stress-rupture strength, 287 Thread rolling, 534
Stress-rupture test, 257, 259, 280, 281, 290, 309, 313, 314 Three-high mill, 525–527, 533, 575, 596
Stress–strain curve of mild steel, 72, 77, 78 Three-roll piercing mill, 581
Index 747

Time laws of creep, 257, 264 U

Time-temperature parameters, 291 Ugine-Sejournet process, 615, 646
Titanium alloys, 75, 239, 324, 325, 337, 438, 479, 482, 528, 530, 605, Ultimate moment, 184, 190, 191
615 Ultimate torsional shear strength, 197, 198, 209, 210, 215, 216
Tool pickup of metal, 709, 710 Ultra-low-load indentation test, 155
Top pressure, 574, 575 Unconfined explosive forming, 721, 724–728, 731, 732, 734, 735
Torpedo die, 605, 635 Underfill, 510, 511, 576
Torque vs. twist diagram, 197, 210, 212, 215, 219 Understressing, 317, 335–337
Torsional proportional limit, 212, 213, 216, 217, 221 Underwater explosive forming, 721, 724–728, 730–735
Torsional strain to fracture, 217 Uniform bending moment, 173, 174, 177–179, 181–190, 193, 194,
Torsional stresses for plastic strains, 197, 208 322, 342, 364, 367, 368
Torsional stresses in elastic range, 197, 203 Uniform-deformation energy method, 413, 440
Torsional yield strength, 198, 212, 215, 216, 224 Uniform elongation, 42, 47, 65, 86, 90, 91, 704
Toughness, 4, 24, 27, 34, 60, 69, 70, 86–88, 98, 156, 215, 230–245, Uniform engineering strain, 5–7, 9, 41–52, 54, 57–60, 62, 64, 65,
247, 248, 251, 254, 255, 301, 319, 330–332, 347, 369, 373, 67–69, 73–75, 78–80, 86, 87, 89–91, 100, 101, 104, 105, 109,
382–384, 392–394, 396–405, 409, 414, 418, 419, 421, 422, 426, 113, 115, 116, 173, 215, 216, 281, 426, 703, 713
479, 532, 656, 659 Uniform true strain, 48, 49, 67, 68, 86, 87, 89, 90
Transcrystalline fracture, 241, 280–283 Unit angle of twist, 202–210, 212, 213, 215, 216, 219, 222–224
Transgranular fracture, 244, 245, 282, 314, 358, 382 Unit dislocation, 17, 20
Transient creep, 261, 263–265, 272, 273 Universal mill, 521, 531–533
Transverse ductility, 458, 511 Universal testing machine, 78, 96
Tresca yielding criterion, 36, 37, 114, 224, 429, 431, 699 Upper-bound solution for compression, 454
Triaxial constraint, 237, 248, 251 Upper-bound solution for extrusion, 639
Triaxiality, 228, 229, 236, 399 Upper-bound solution for indentation, 453
Triaxial state of stress, 3, 9, 15, 66, 110, 113, 378, 379, 389, 414, 442 Upper-bound solution for strip drawing, 681
Triaxial tensile stress field, 228, 378, 385, 386 Upper-bound theorem, 452
Troptometer, 210, 211, 217 Upper yield point, 52–54, 60
True compressive strain, 100, 103 Upsetting flow, 480, 484
True compressive stress, 100, 102 Ultimate Tensile Strength (UTS), 60, 62, 81, 85–91, 113, 163, 164,
True elastic limit, 56 252, 254, 333, 335, 349, 364, 365, 367–369, 376, 418, 696, 716,
True fracture strain, 44, 60, 67, 68, 356, 369 718
True fracture strength, 44, 60, 68, 85
True local necking strain, 44, 60, 67, 68
True strain, 3, 5–9, 43–49, 62, 67, 68, 70, 73–76, 85–87, 89–91, 100, V
101, 104, 106, 113, 115, 130, 163, 167, 169, 173, 219, 225, 228, Vacancy diffusion, 269
259, 263–265, 281, 303, 307, 308, 311–313, 383, 425, 439, 458, Varying bending moment, 173, 174, 177–179, 181–190, 193, 194, 322,
459, 461, 476, 512, 561, 595, 609, 612, 626, 642, 645, 652, 653, 342, 364, 367, 368
685–687, 704 Velocity vector diagram, 451, 452, 637, 640, 683
True strain rate, 70, 73–75, 100, 106, 115, 116, 303, 425, 561, 595, Vickers hardness, 119, 127, 139–145, 147, 164, 169
597, 626, 642, 645 Vickers indenter, 127, 140, 141, 144, 145, 154–159, 162, 169
True stress, 8, 9, 43–50, 60–62, 67, 68, 70, 75, 86, 87, 91, 92, 98, Viscoelastic deformation, 258
102–104, 113, 115, 116, 130, 163, 169, 173, 211, 217–220, 225, Viscous creep, 263
228, 303, 311, 319, 374, 378, 383, 439, 458, 459, 461, 595, 686, Volume defects, 23
702 Volume strain, 7
True-stress–true-strain curve, 44, 104 Volume strain in pure shear, 35–37, 197, 199–22, 213, 216, 217, 397,
True tensile strength, 44, 48, 50, 60, 62, 63, 87, 90, 113, 116 431, 432, 442, 445, 699
True uniform strain, 60, 67, 68 Von Kármán differential equation of friction hill, 546, 548, 549, 556
True vs. engineering strain, 6 Von Mises’ yielding criterion, 36, 37, 40, 49–51, 92, 98, 110, 114, 224,
Trumpet-shaped die, 614, 643, 644 378, 413, 429, 431, 439, 451, 461, 489, 491, 493, 497, 500, 501,
Tube drawing, 414, 415, 438, 457, 578, 647, 648, 659, 671–673, 676, 503, 504, 507, 518, 617, 620, 622, 623, 650, 664, 675, 699
679
Tube sinking, 647, 671, 678
Tubes of noncircular cross-section, 197, 207 W
Tukon tester, 145 Warm working, 413, 422, 423
Tungsten carbide, 123, 127, 148, 155, 194, 436, 522, 528, 564, 596, Warping, 511
567 Web, 480
Tungsten-reinforced superalloys, 300 Welding-chamber method, 599, 635
Twinning, 3, 15, 22, 23, 51, 272, 385 Wet drawing, 661, 662
Twinning plane, 22 Width of the dislocation, 19
Twinning versus slip, 23 Wire drawing, 415, 416, 426, 661
Two-high mill, 525, 586, 594, 595 ‘Wöhler’ diagram, 323
Two-high non-reversing drag-over mill, 525, 526 Wood, 98, 106, 121, 245, 328
Two-high reversing mill, 526, 532, 533 Workability, 510, 702
Types of crack surface displacement, 395, 396 Work hardening, 23, 130, 153, 154, 161, 344, 453, 647, 652, 654, 656,
Types of dislocation, 17 666
Types of tensile stress–strain curve, 41, 43, 44–47 Working stress, 61, 62, 191–194, 205, 223, 224, 290, 368, 488, 651
748
Work-softening, 105
Worms, 715
Wrinkling, 694, 696, 702, 705, 707–711, 714, 715, 718, 723
“w-type” cracks, 284–287, 314
Y Young’s modulus, 9, 45, 55, 56, 91, 107, 108, 114, 116, 154, 155, 170,
Yielding criteria, 3, 35, 40, 41, 413, 431
Yielding criteria under plane strain, 3, 35, 40, 41, 413, 431
Yielding criterion for cold rolling, 549
Yielding in pure bending, 173–186, 190, 191, 194, 195, 212, 322
Yield moment, 183, 184, 190, 224
Yield-point elongation, 27, 52, 53, 73, 184, 533, 716
Yield-point phenomenon, 27, 53, 72, 79
Index
Yield strength, 3, 4, 16, 24, 25, 27, 33–35, 43, 46, 52, 57, 58, 60–62,
69, 71, 72, 74, 77, 81, 85–92, 98, 100, 104, 105, 107, 112, 116,
120, 163, 164, 170, 180, 183, 198, 212, 215, 216, 224, 238, 239,
242, 249, 251–255, 259, 318, 325, 334, 345, 347, 352, 354, 356,
364, 365, 369, 378, 380, 381, 383, 394, 397–403, 407–409, 418,
423, 451, 458, 566, 710, 715
194, 197, 202, 224, 255, 308, 309, 313, 352, 357, 387, 408, 409,
543
Z
Zero-gage-length elongation, 67, 85, 86, 90
Zipper breaks, 569
Z-mill, 527, 596, 597