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MBE 3119 Manufacturing 

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Some Mathematical Formulas Used 
in Deforming Metals
One Dimensional (1D) Deformation Formulas
Engineering stress (σeng) 1) σ> σeng at e ≈ ξ on a stress‐strain curve
= Force (P) / Original‐cross‐sectional‐area (Ao) 2) The maximum stress point (at ultimate 
tensile stress) and the characteristic of 
Engineering strain (e) subsequently reducing stress with increasing 
= Elongation (Δl=l‐lo) / Original‐gage‐length (lo) of strain on engineering stress‐strain curve 
does not occur on true stress‐strain curve, as 
seen in the individual curves below:
True (flow) stress (σ) 
= Force (P)/Instantaneous cross‐sectional‐area (A)
True (flow) strain (ξ) = ㏑(l/lo)
= Natural log of instantaneous length over original 
gage length = ㏑(1+e)
At and below elastic deformation: One Dimensional 
(1D) Deformation Formulae
σeng ≈ σ; e ≈ ξ; and
Young modulus (Modulus of elasticity)
= σeng / e = σ / ξ, which is the slope of stress‐strain 
curve within the elastic section
Fig. 1
Volume constancy principle indicates that the 
volume of a solid material is constant at any  Stress‐strain relationship for elasticity:
instant of deformation, which leads to: σ = E ξ
V (volume) = Vo (original volume) = Vi (instantaneous  Power law constitutive equation is widely used to 
volume) express the stress‐strain relationship
σ = k ξn in which k is the strength 
Al = Aolo = Aili → l/lo = Ao/A   or li/lo = Ao/Ai
coefficient and n is the strain hardening exponent
One Dimensional (1D) Deformation Formulas
Ductility
The strain at fracture is a measure of 
ductility (A measure of how large a 
strain a material can withstand 
before fracture)
Let the original length lo of a solid 
bar be pulled by a tensile machine to 
lf at which it fractures. Its ductility is 
thus:
Ductility = (lf – lo) / lo
Toughness Fig. 1a
Toughness of a material is defined as  Instability in simple tension
the energy per unit volume (specific 
energy) that has been dissipated up  Instability occurs at the onset of 
to its point of fracture necking. For a material having true 
stress‐strain relationship of σ = kεn
Ref to the true stress‐strain curves in  where k is the strength coefficient 
Fig. 1a, let εf be the true strain at  and n is material hardening 
fracture, also σ and ε are the stress  exponent, the onset of necking takes 
and strain respectively, the  place when:
toughness is thus expressed as:
ε = n
Biaxial and Triaxial Stresses 
and Relevant Yield Criteria

• The state of stress in various 
metalworking processes
(a) Expansion of a thin‐walled 
spherical shell under internal 
pressure – An element in the shell is 
subjected to equal biaxial tensile 
stresses (Fig. 2(a))
(b) Drawing of round rod or wire 
through a conical die to reduce its 
diameter – An element in the 
deformation zone is subjected to a 
tensile in its length direction and to 
compression on its conical surface
(Fig. 2(b))
(c) Deep drawing of sheet metal with 
a punch and die to make a metal cup 
– An element in the flange is 
subjected to a tensile radial stress 
and compressive stresses on its 
surface and in the circumferential 
direction (Fig. 2(c))
Fig. 2
3D elastic deformation and yield
criteria
Under 3D elastic deformation, the For simple tension, .
strains (ε1, ε2 and ε3 in the Hence, Eq.(1) gives
directions 1, 2 and 3) are
respectively presented by the
generalized Hooke’s law (1d)
equations: and
(1a)
(1e)
(1b)
The negative sign indicates of the
(1c)
element in the 2 and 3 directions.
The material will deform plastically
when the applied stress reaches the
where ν is a Poisson’s ratio, and uniaxial stress Y (Ref to slide 2).
E is Young modulus.
For a more complex stressing
system, the relationships between
the stresses to predict yielding are
known as yield criteria
5
Two widely used yield criteria
• The two widely used yield criteria to
predict yielding of material under a
complex stressing system are:

1) Maximum-shear-stress (Tresca) criterion


2) Distortion-energy (von Mises) criterion

6
1) Maximum-shear-stress (Tresca) criterion
The maximum-shear-stress criterion, also known as the
Tresca criterion, states that yielding occurs when the
maximum shear stress within an element is equal to or
exceeds to a critical value (which is a material property and
is called shear yield stress ).
Mathematically, the criterion can be expressed as:
From Mohr’s circles for stresses or from appropriate
equations, the maximum shear stress to cause yielding can
be related as:
= (σmax - σ min)/2 = k = Y/2 (1f)
where k = Y/2 for simple stressing condition in tension, Y
is the uniaxial yield stress, σmax is the maximum tensile
stress and σ min is the minimum tensile stress.

7
2) Distortion-energy criterion

The distortion-energy (von Mises) criterion


states that yielding occurs when the
relationship between the principal applied
stresses and unixaial yield stress Y of the
material is:
(1h)
Note: the left-hand side of the formulae
represents the applied stresses and the
right-hand side a material property.
8
Plane stress and plane strain
Plane stress is the state of stress in
which one or two of the pairs of faces
on an elemental cube are free from
stress (Referring to Fig. 3(a) and Fig.
3(b))

The state of stress where one of the


pairs of faces on an element
undergoes zero strain is known as
plane strain (Referring to Fig. 3(c)
and Fig. 3(d))

Note: (1) Fig. 3(e) shows an element


is being acted with triaxial tensile
stresses

(2) Fig. 3(f) shows an element


is under hydrostatic compression
stressing condition
Fig. 3

9
Representation of maximum-shear-stress and
distortion-energy criteria for a plane-stress (σ2=0)
condition
For maximum-shear-stress
criterion
Under plane stressing condition σ2=0,
the maximum-shear-stress criterion
gives an envelope of straight lines

(Note – As σ2 always equal to zero,


thus: (i) in the first quadrant σ1>0,
σ3>0, and σmax=Y; (ii) in the third
quadrant, the maximum value that can
acquire σ1 or σ3 is Y; (iii) in the second
and fourth quadrants, σ2 is the
intermediate stress and this gives
σ3 – σ1=Y (1h)
and
σ1 – σ3=Y (1i)
for the 2nd and 3rd quadrant,
Fig. 4 Representation of maximum-shear- respectively. Eqns (1h) and (1i)
stress and distortion energy for plane represent the 45o lines in Fig. 4)
stress (σ2=0) condition

10
Con’t
For distortion energy criterion
For plane stress condition with σ2=0, the equation for the
distortion energy criterion, as formulated in Eq.(1g), can be
reduced to:
(1j)
and the graphical representation of its yielding locus takes
an elliptical shape, as shown in Fig. 4.

Note (ref to Fig. 4) that the yield locus of (i) the maximum-
shear-stress criterion and (ii) the distortion energy criterion
coincides at 6 positions (predicting same magnitudes to
cause yielding). For the remaining positions, locus for (ii)
gives higher value than that for (i).

11
Plastic stress-strain relationship
3D elastic stress-strain (1l)
relationships
As formulated in Eq.(1a) to Eq.(1c), (1m)
by the generalized Hooke’s Law
For the plane-strain condition, ε2= 0.
3D plastic stress-strain σ2 becomes an intermediate stress
relationships and can be determined from Eq(1l) to
When an element is being stressed give:
with sufficiently high stresses, it (1n)
deforms plastically. The plastic
stress-strain relationships are
formulated on the basis of flow rules For the plane-strain compression
(Levy-Mises equations) and are in (Figs 3(c) and 3(d)), the distortion-
strain increment forms as below. energy criterion (see Eq.(1h)) reduces
to:
(1k) (1o)
Note: (i) for the maximum-shear-
stress criterion k=Y/2

(ii) for the distortion-energy


criterion k=(2/√3)Y
12
Effective stress and effective strain
Effective (equivalent or representative) stress :
(i) For the maximum-shear-stress criterion
(1t)
(ii) For the distortion-energy criterion
(1v)

Note: The factor 1/√2 is chosen so that, for simple tension, the effective
stress is equal to the uniaxial yield stress Y.

Effective (equivalent or representative) strain :


(i) For the maximum-shear-stress criterion
(1u)

(ii) For the distortion-energy criterion


(1w)

Note: The factors 2/3 and √2/3 are chosen so as to make effective strain
equal to the uniaxial tensile strain for simple tension condition
13
Calculation Examples
Question 1 σ2=0, and σ3= -σ1/2, we have
A material with a yield stress of 70 2(70)2=(σ1)2+(- -σ1/2)2+((-σ1/2) - σ1)2
MPa is subjected to three 9800 = (7(σ1)2)/2
principal (normal) stresses of σ1, σ12=9800 x 2 / 7 = 280
σ2=0, and σ3= -σ1/2. What is the
value of σ1 when the metal thus, σ1 = 52.9 MPa
yields according to the von
Mises criterion? What if σ2= If Y=70 MPa and σ1, σ2= σ1/3 and
σ1/3? σ3= -σ1/2 is the stress state, then
(σ1 – (σ1/3))2+((σ1/3)-(σ1/2))2+((-σ1/2)-
Solution: σ1)2=2(70)2
The distortion-energy criterion, 2.72 σ12 = 9800
given by Eq. (1h) in Slide 8, is Thus, =60.0MPa.
(σ1 – σ2)2+(σ2 - σ3)2+(σ3 - σ1)2=2Y2
Substituting Y=70 MPa and σ1, This indicates that the stress level to
initiate yielding actually increases
when σ2 is increased.

14
Calculation Examples
Question 3 the effective stress σe is given by Eq.
An aluminium alloy yields at a stress (1v) in Slide 13 as:
of 50 MPa in uniaxial tension. If
this material is subject to the
stresses σ1 = 25 MPa, σ2 =15MPa
and σ3 =-26MPa, will it yield?
Explain.

Solution:
According to the maximum shear-
stress criterion, the effective or = σe = 46.8 MPa. The effective
stress σe is given by Eq. (1t) (Slide stress is higher than the yield stress
14) as: for the maximum shear-stress
σe = σ1 – σ3 = 25 – (-26) = 51 criterion, and lower than the yield
MPa stress for the distortion-energy
criterion. It is impossible to state
whether or not the material will yield
However, according to the distortion- at this stress state. An accurate
energy criterion, statement would be that yielding is
imminent, if it is not already occurring.

15
MBE 3119 Manufacture 
Technology
Bulk Deformation
(1) Forging of Metals
Forged Components
• Forging involves with deforming a 
piece/bulk of solid metals to 
anticipated shape of a mechanical 
component. As the strength of solid 
material is relatively high, it is hard to 
deform and to fill cavity in die pair. 
Hence, complex component requires 
to be forged by a series of pre‐
forming (normally called preform) 
stages. The preforms allow deforming 
the bulk step by step to achieve final 
shape from its most simplicity 
gradually to more complexity, as seen 
in Fig. 14.1(a). By such way of 
deformation, even a relatively 
complex and large size of landing 
gear component for CSA and CSN 
transport aircraft (Fig. 14.1(b)) is 
Figure 14.1  (a)  Schematic illustration of the steps  likely producible. However, forging 
involved in forging a knife.  (b)  Landing‐gear  such large size landing gear from a 
components for the C5A and C5B transport aircraft,  bulk material to its finishing shape 
made by forging.  (c)  General view of a 445 MN  generally requires very high tonnage 
(50,000 ton) hydraulic press.  Source:  (a)  Courtesy  press, as shown in Fig. 14.1(c). 
of the Mundial LLC.  (b and c)  Courtesy of Wyman‐
Gordon Company.
Microstructure as a Function of Manufacturing Method
Fig. 14.2 compares the microstructure of a 
mechanical component produced by casting (Fig. 
14.2(a)), machining (Fig. 14.2(b)), and forging 
(Fig.14.2(c)). Because of solidification nature, there 
are many randomly distributed microporosities (the 
black dots). Machining is usually conducted with a 
sheet/plate rolled first , followed by drilling and 
milling. Hence, it has fibres orientating in its rolling 
direction. Forging is conducted by using a pair of 
punches squeezing materials originally in the hole 
positions away to surround the outer surface of  the 
punches.  Hence, the fibres at somewhere 
neighboring are curved to surround the 
circumference of punches. Generally, such grain 
structure is supposed the strongest among the three 
since it requires extra energy to break these curved 
Figure 14.2  Schematic illustration of a part made by  fibers prior to the occurrence of shearing along the 
three different processes showing grain flow.  (a)   parallel surface. The structure of casting is the 
weakest since the existence of microporosities
Casting by the processes described in Chapter 11.  (b)   substantially  diminishes the actual surface to resist 
Machining form a blank, described in Part IV of this  its parallel shear stress. The horizontally orientated 
book, and (c) forging.  Each process has its own  fibers for the machined part means the shear 
advantages and limitations regarding external and  resistance only being that over the nominal surface.
internal characteristics, material properties,  The microstructure as a function of manufacturing 
dimensional accuracy, surface finish, and the  method clearly illustrates the technique to produce 
economics of production.  Source:  Courtesy of Forging  part affecting microstructures of the part and 
recursively influencing the its mechanical 
Industry Association. properties.  
Characteristics of Forging
Note: Table below tabulates category of forging processes, and 
their advantages and limitations
Upsetting with Barreling
 2r  Upsetting is a simplest forging process, 
Forging force, F  Yf r2 1  merely for reducing the height and 
 3h 
increasing width and length of a workpiece. 
It involves with sandwiching a solid billet 
between a pair of flat dies. As shown in Fig. 
14.3(a), application of external force to close 
up the die flats squeezes the cylindrical 
billet, with original height of ho and diameter 
do, simply changing its geometry. By volume 
constancy principles, the compression of ho
to h1 allows the estimation of d1 under 
ideally frictionless condition, which gives a 
straight outer surface of the billet, as seen in 
Fig. 14.3(b).  With friction between the 
interface of die and billet, the friction on the 
die surface resists the billet material flowing 
outward, hence being constrained within the 
Figure 14.3  (a)  Solid cylindrical billet 
central region of the die‐billet system. The 
pushing down of rigid die squeezes such 
upset between two flat dies.  (b)   gathering material down into the billet and 
Uniform deformation of the billet  finds easy channel to flow within, thus 
without friction.  (c)  Deformation with  forming barreling on free surface of billet 
friction.  Note the barreling of the billet  (Fig. 14.3(c). Surely, the friction condition 
caused by friction forces at the billet‐die  requires larger forging load to achiveve same 
interfaces. height deformation. 
Cogging Operation on a Rectangular Bar
Ref to the forging force equation on Slide 6. such 
force increases with contact area of die‐billet. In 
view that the contact area increases when forging 
progresses. To prevent its magnitude is much larger 
than the capacity of a press, keeping forging force 
within a bound of certain value. This is achievable 
by Cogging Operation. Cogging involves keeping die 
breadth constant, hence the contact surface 
between die‐billet interface in whatever stage of 
operations. Although forging force is still increasing 
(mainly due to the hardening effect of workpiece),  
it limits its sharp increment. The progressing of 
deforming  of material from left to right is called 
cogging (Fig. 14.4(a)). Generally, deforming a 
material to certain dimensions reduces largely the 
applied load, but the overall power may be higher 
than upsetting.  Using a pair of narrow dies  
squeezes on a cylindrical rod which is being rotated 
Figure 14.4  (a)  Schematic illustration of a  relatively to the squeezing die pair so as to form the 
cogging operation on a rectangular bar.   end of a cylindrical rod to small diameter with 
certain length (Fig. 14.4(b)). Cogging can also be 
Blacksmiths use this process to reduce the  applied in enlarging ring internal and external 
thickness of bars by hammering the part on an  diameter by narrowing its annular width and 
anvil.  Reduction in thickness is accompanied by  increasing its depth too, as shown in Fig. 14.4(c). It 
involves to having a  pair of curved top supporting 
barreling, as in Fig. 14.3c.  (b)  Reducing the  strand of same height, a solid cylindrical die to be 
diameter of a bar by open‐die forging; note the  inserted through the prefabricated ring, and a block 
movements of the dies and the workpiece.  (c)   of narrow die with setup as shown in Fig. 14.4(c). 
The synchronizing of lowering down the top die 
The thickness of a ring being reduced by open‐ block to synchronize the rotation of ring around the 
die forging. cylindrical die allows achieving the final ring. 
Impression‐Die Forging Only two halves in a pair of dies with a cavity which has 
outer peripheral shape of a product to be forged upon the 
closing of the two halves, in which a blank is placed, as 
shown in Fig. 14.5(a).  The two halves are gradually 
closing under the application of external forces to 
compress and deform the blank, as shown in Fig. 14.5(b). 
On completion of filling of cavity in die pair when the two 
halves are almost completely closed up (Fig. 14.6(c)), 
which normally depends on whether the size of blank is 
too large, almost equal, or too small comparing to the size 
of cavity. If it is too large, some extra material tends to 
sandwich between the parting plane to form flash in the 
die pair and additional secondary processes are needed 
to remove the flash. If it is equal to the size of cavity, the 
latter is completely filled  to become the forged product, 
which  is normally an optimal case. When it is small, the 
cavity is not filled completely. 
Fig. 14.5(d) illustrates the standard terminology for 
various features of a forging die. The plane that the two 
die halves closed and met is termed parting line. The 
filled horizontal part in cavity forms web while its vertical 
counterpart is named as rib. The intercepting line which 
the rib meets with web, which is introduced with some 
radius to facilitate material filling is termed fillet. The 
inclining angle from root of internal fillet to the tip of rib 
is called internal draft angle, while that from the trimming 
Figure 14.5  (a) through (c)  Stages in  line on external wall of rib to its external tip is termed 
impression‐die forging of a solid round billet.   external draft angle. The excessive material sandwiched in 
Note the formation of flash, which is excess  between parting line is called flash. The flash separate the 
two parting plane is called land. The cavity on the parting 
metal that is subsequently trimmed off (see  line out of the product cavity allowing the tongue of flash 
Fig. 14.7).  (d)  Standard terminology for  going to is called gutter. The gutter releases the flash to 
various features of a forging die. be squeezed in land and subsequently relaxes the 
squeezing force required of the flash.  
Die Inserts For large quantity production, the relatively 
frequently sliding between material and 
inner surface of die cavity. Such sliding 
results in wear and subsequently 
replacement of worn part is necessary. The 
production of large die is usually time 
consuming and material wasting. To reduce 
the time taken, material waste, and to save 
cost, die set is usually made of die 
block/cup with some inserts which are 
normally the parts likely being worn off 
easily. Fig. 14.6 shows a pair of dies with 
die inserts. It can be seen that the relatively 
complex lower die block is made of more 
die inserts than its upper counterpart. The 
yellow part is the product to be forged, 
which is surrounded by dark green 6F2 or 
6G insert at the bottom and  red H12 insert 
in lower die block,  and lighter green H12 
insert in blue 5F32 or 6G upper die block 
which also has certain boundary in contact  
Figure 14.6  Die inserts used in forging an  with the workpiece. The inserts with harder 
automotive axle housing. materials improve their  durability and 
reduce their replacing rate. Furthermore, 
these inserts are also designed for easy 
replacement.   
Forging a Rod, Fullering,  In most situation, the forging of a rod with simple 
geometry to a complex shaped connecting rod is 
and Edging difficult simply by a stage only. It may be conducted by 
a number of preform stages (Fig. 14.7(a)). By 
comparing the geometry of the material (Fig. 14.7(a)‐
1) with the finishing product (Fig. 14.7(b)‐5), it can be 
seen that preform requires firstly to displace the 
middle materials of the original rod to either end and 
followed by further gathering more material at the LHS 
bulk (Fig. 14.7(a)‐2). After such preforming, it is forged 
to a relatively rough shape by blocker forging (Fig. 
14.7(a)‐3), which is followed by forging the part to 
more detail feature with finishing forging process (Fig. 
14.7(a)‐4). The trimming off the remaining flash allows 
the obtainment of the final geometry of the 
connecting rod.  
The process for displacing  middle section materials to 
either side is termed fullering. It involves with using a 
pair of convex dies to squeeze the associated materials 
Figure 14.7  (a)  Stages in forging a connecting  as shown in Fig. 14.7(b). 
rod for an internal combustion engine.  Note 
The process used to further gather materials at the 
the amount of flash required to ensure proper 
vicinity of the middle end bulk in Fig. 14.7(b)‐2 is called 
filling of the die cavities.  (b)  Fullering and (c) 
edging. It involves of using a pair of concave dies to 
edging operations to properly distribute the 
squeeze materials neighboring the bulk which is 
material when preshaping the blank for 
mainly with larger end with a hollow hole in, as shown 
forging.
in Fig. 14.7(c).
Force in Impression Die  In many forgings, it requires to select forging 
machine which can cater successfully the 
Forging forging power and tonnage. Forging load 
calculation with Equation specified in Slide 
5, it usually requires the coefficient of 
friction between die‐material interface, 
additional to the radius of billet, to be 
known. It is thus rather complicated. To 
simplify such issue, the simpler equation in 
the LHS of this Slide is normally used since it 
only needs the contact area A to be 
assumed and k value to be found in Table 
Equation in Slide 6 is rather complicated. For selecting press 
14.2 once a curve of its stress‐strain 
or rough estimation, following forging force equation is used  relationship is known. The uncertainty of 
instead.  the value of (i) friction coefficient, (ii) 
material hardening, and (iii) possible shape 
change are considered by introducing the 
constant factor k. Generally, the completion 
of forging in forging simple shapes without 
formation of flash takes k value in range of 3 
– 5, k value for forging simple shapes with 
formation of flash to be in range of 5 – 8, k 
value for forging complex shapes with 
F  kY f A formation of flash is in range of 8 – 12. The 
insurance of selecting forging machine 
capable of completing the forging requires 
the k value at the upper range for each 
category of forging to be chosen. 
Trimming Flash After  Flash surrounding a forging is commonly 
not part of the intended design, and thus 
Forging required to be removed. Machining may 
be used if it is not large quantity 
production. For large production, 
effective technique to shear off such 
flash should be derived. Fig. 14.8 
illustrates a method to trimming flash 
from a forged component. It involves 
with a green tapped down die having top 
edge taking the peripheral profile of the 
yellow forged part, and a brown punch 
with bottom profile taking shape of the 
top profile of forged piece, and a blue 
stationary punch – all are setup as shown 
on the LHS of central line.  Once the 
system is as placed as the LHS setup, the 
pushing down of the brown top punch 
tends to shear off the flash around the 
trimming edge of yellow workpiece, 
contacting with edge of the green 
trimming die. The trimmed workpiece is 
then lowered down and subsequently 
Figure 14.8  Trimming flash from a forged  supported by the blue stationary punch 
part.  Note that the thin material at the  at the bottom hollow part of workpiece, 
center is removed by punching. as shown in the illustration on RHS setup 
of the vertical central line.   
Closed‐Die Forging  Although both forging setups in Fig. 14.9 are 
roughly named closed‐die forging processes, the 
Versus Flashless Forging one shown in Fig. 14.9(a) is strictly called semi‐
closed die forging and the one in Fig. 14.9(b) is 
truly closed die forging. The sub‐figure 1 in both 
(a) and (b) are illustrating the start stroke whilst 
their counterpart in sub‐figure (2) the end stroke.  
From Fig. 14.9(a)‐2, it can be seen that flash 
formed between parting line in its end of stroke, 
and some flash is appeared at the verge of going 
to the gutter.  

Comparing Fig. 14.9(a) with Fig. 14.9(b), it can be 
seen that cutting of material vertically along the 
corresponding outer edge of the two slots in the 
top punch gives the top punch as shown in Fig. 
14.9(b). Furthermore, the  extension of the two 
outer walls of the lower die upwardly to certain 
height and the top face is machined flat. With 
such setup features, material in the round billet is 
compressed to flow up and down filling the 
cavity, and the rigid wall of lower die plays the 
role stopping its outwardly flowing . 

Figure 14.9  Comparison of closed‐die forging  Hence, it forges the material in the close manner 
with flash (left side of each illustration) and  within the cavity, as the part of the top punch 
precision or flashless forging (right side) of a  forming cavity with the extended top side walls, 
with is completely surrounded. As a result, no 
round billet.  Source After H. Takemasu, V.  flash can be formed in such a die pair system. 
Vazquez, B. Painter, and T. Altan.
Swaging Fig. 14.14(d) illustrates some typical parts to be made by 
swaging. The parts are either solid or hollow cylindrical rods 
with some sections to be squeezed adequately for forming of 
the anticipated shapes. Fig. 14.14(a) shows the possible 
arrangement of rotary‐swaging process, it basically consists of 
a retainer ring which can drive those planetary rollers to rotate 
relatively over the top surface of hammers under the rollers: 
the top surface of greenish blue hammers is with uniform 
curvature and no any die attached to their tip surface,  whilst 
that on blue hammer with die attached to their tip is shaped 
with increasing height from edge to middle section so that a 
hump is found on the middle top. The uniform curvature of the 
greenish blue hammers forms even slot with inner surface of 
retainer ring and allows the rollers passing through without 
resulting in any swaging. When a workpiece is inserted through 
the hole formed by the dies in the middle, and the planetary 
rollers passing though the tapping to the middle hump, the die 
is thus squeezed to swag the workpiece locally. It starts to 
release as the rollers sliding down from hump down to its 
lower edge on the diverging slot. 
Fig. 14.14(b) illustrates the four dies attaching to the swaging 
cams, likely to swag on the outer surface of a cylindrical tube 
with an mandrel in it. The peripheral profile is for forming the 
internal profile of the interior wall of the tube (LHS of Fig. 
14.14(b)). The rotation of cams system relatively to the 
stationary mandrel and tube system may allow the production 
of neck on the workpiece (RHS Fig. 14.14(b)).    
Fig. 14.14(c) shows how a step neck can be swaged on a solid 
Figure 14.14  (a)  Schematic illustration of the  rod. A fixed bracket ring and a die system with rod to be 
rotary‐swaging process.  (b)  Forming internal  inserted to position to be swaged (Fig. 14.14(c)‐1) when a 
wedge ring is pushed in through the gap in between bracket 
profiles on a tubular workpiece by swaging.  (c)   ring and the die system (Fig. 14.14(c)‐2). The completion of 
A die‐closing swaging machine showing forming  swaging is achievable with the wedge ring being pulled back to 
a suitable position with loosening part in the middle hole of 
of a stepped shaft.  (d)  Typical parts made by  the bracket and die system. Subsequently pushing through the 
swaging.  Source:  Courtesy of J. Richard  part the die middle hole by an ejector from rear facilitates the 
finishing swaged part (Fig. 14.14(c)‐3)
Industries.
Swaging with and  Fig. 14.15 shows the bisection view of 
swaging without (Fig. 14.15(a)) and with 
without a Mandrel a mandrel (Fig. 14.15(b). The tube is 
pushed through the mid‐hole in swaging 
die system without any mandrel in tube 
(Fig. 14.15(a)). The discontinuously 
pushing through and swaging reduces 
the tubular diameter both externally and 
internally. It thus thickening the tube 
wall. However, it may be hard to swag 
the diameters uniformly throughout the 
complete length of the tube. With a 
mandrel through the inner tube hole, it 
improves the uniformity of both outside 
and inside diameters of the tube, 
together gives evenly straight and 
uniformly outside and inside diameter, as 
Figure 14.15  (a)  Swaging of tubes without a  shown in Fig. 14.15(b), when the tube 
mandrel; note the increase in wall thickness in  and mandrel system is pushed and 
the die gap.  (b)  Swaging with a mandrel; note  swaged in a synchronized manner (Fig. 
that the final wall thickness of the tube  14.15(b)).  With the profile of a mandrel 
taking any reverse shape of those inner 
depends on the mandrel diameter.  (c)   hole profiles shown in Fig. 14.15(c), it is 
Examples of cross‐sections of tubes produced  possible to produce tubes with inner 
by swaging on shaped mandrels.  Rifling  hole being shaped to those various 
(internal spiral grooves) in small gun barrels can  profiles.  
be made by this process.
• Fig. 14.16(a) shows a blocker forging with bulk of 
Defects in Forged Parts materials accumulated at either ends which are 
connected with a thin web (Fig. 14.16(a‐1)). When 
such blocker is placed in a die pair for further 
forging as shown in Fig. 14.16(a‐2). The 
compression on the two bulk ends pushing down 
materials to flow into both sides of each bulk. The 
inwardly flowing of material towards the central 
portion of dies and such action results in 
compression to buckle the thin web (Fig. 14.16(a‐
3)). Such buckled centre is folded and the material 
is not hot enough to defuse, thus forming laps as 
shown in Fig. 14.16(a‐4). Eliminating such defect is 
possible by increase in web thicknesses.
• With the same design of die pair as that used in 
(a), a blank has size much larger than the die cavity 
is sandwiched in between and squeezed as shown 
in Fig 14,16(b‐1). When the dies are closing up, the 
blank is likely to fill the die cavity pre‐mutually 
(Fig. 14.16(b‐2)). In further compressing, the 
material in mid section is squeezed to flow 
outwardly to either side, while the material in 
deep cavity at either end is squeezed to flow 
Figure 14.16  Examples of defects in forged  downwardly with smaller compression magnitude. 
parts.  (a)  Laps formed by web buckling during  Hence, its material tends to be pushed outwardly 
by those materials from the mid section to 
forging; web thickness should be increased to  develop cracks at ribs, as seen in Fig. 14.16(b‐3). 
avoid this problem.  (b)  Internal defects caused  The further squeezing tends to propagate these 
by an oversized billet.  Die cavities are filled  cracks more severely through the ribs as illustrated 
in Fig. 14.16(b‐4). Elimination of such defect is 
prematurely, and the material at the center  possible by estimating the size of blank so that it 
flows past the filled regions as the die closes. would not be too larger than its closed cavity. 
MBE 3119 – Manufacturing 
Technology
Some Mathematical Analyses on 
Simple Upsetting (Open‐die) Forging
References
1) Kalpakjian, S. and Schmid, S.R., “Manufacturing Engineering and Technology”, 
Prentice Hall, New Jersey.
2) Kalpakjian, S. and Schmid, S.R, “Manufacturing Processes for Engineering 
Materials”, 4th ed., Prentice Hall, New Jersey, 2003.
3) Bralla, James G., “Handbook of products design for
Deformation force and work under ideal
Open-die forging conditions
When interfacial friction is zero and
material is perfect plastic with yield stress
For a specimen that has been reduced in Y, the normal compression stress on a
height from ho to h1, cylindrical specimen is uniformly at Y. The
force at any height h1 is thus
(1a) (1f)
Its respective engineering and true strain where A1 is the cross-sectional area and
can be expressed as can be calculated by volume constancy
consideration as:
(1b)
and
(1g)
The ideal specific work u of deformation is
(1c) thus expressed as
When the platens are closing with a
relative velocity v, the respective
engineering and true strain rate is (1i)
(1d)
where ε1 is obtained from Eq.(1c). If the
material is strain hardening, with a true stress-
and strain curve given by
(1e) (1j)

then the force at any stage during deformation


becomes
(1k)
Slab method analysis
Open-die forging Let’s sub-divide the workpiece under
simple compression with friction into
Deformation force and work under several continuum elements (Fig. F1a).
ideal conditions (con’t) Considering the normal and frictional
stresses, under static equilibrium
condition, acting on a selected element
where Yf is the flow stress of the
with unit width in the workpiece (Fig. F1b),
material. The expression for the work enables the establishment of the following
done is horizontal force equation to balance the
stressing in x direction.
(1l)
where is the average flow stress
and is given by

(1m)

Fig. F1
and its general solution can be
Open-die forging expressed as
(1o)
or The consideration of the boundary
(1n) conditions of: (i) σx =0 at x=a; and (ii) σy
in which σx is the lateral stress uniformly =Y’ at the edges of the specimen for
distributed along the height h, and σy is Eq.(1o) gives:
the normal stress on the contacting
interface. We have two unknowns in The substitution of the expression for C
one equation. Another equation needs into Eq.(1o) and subsequently from
to be establish in order to solve σx and Eq.(1m) give:
σy. (1p)
Assuming σx and σy (with low values and
of coefficient of friction μ) are the
principal stresses (strictly speak, σy can (1q)
not be a principal stress since frictional respectively.
stress is acting on the plane) in this
method of analysis, the use of the For a strain-hardening material, Y’ in
distortion-energy criterion equation for Eqs(1p) and (1q) is replaced by Yf’
plane strain (note: the manner of in (which is the yield stress calculated with
Fig. 1c is similar to that of Eq.(1n) in the stress-strain relationship of σ =k εn
Slide 12 for the plane strain with strain magnitude of εfo for initiating
problem)) further plastic deformation).
σy - σx = (2/√3)Y = Y’ (1m)
gives dσy =dσx. Hence, Eq.(1n) can be
rewritten as:
Open die forging
The qualitative plot of Eq.(1p) in
dimensionless form is shown in Fig. 2. It
shows that the distribution of die
pressure (which is equal to the yield
stress Y’ in plane strain at the left and
right boundaries) increases
exponentially toward the center of the
part. The die pressure also increases
with the a/h ratio and increasing friction.

The area under the pressure curve in Fig. 2 Distribution of die pressure, in terms
Fig. 2 is the upsetting force per unit of p/Y’, in plane-strain compression with
width of the specimen. The integration sliding friction
of this area allows an approximate
expression for the average pressure pav
is obtained as: Note:
(1r) (i) the expression for the pressure p
(Eq. (1r)) is in terms of an
The forging force, F, is the product of instantaneous height h
the average pressure and the contact
area; that is, (ii) the significant influence of a/h and
(1s) friction on the pressure in Eq. (1r)
Forging of a solid cylindrical
Open die forging workpiece
Using the slab method, the expression
A rectangular specimen can be upset for the pressure, p, at any radius x can
without being constrained on its sides be written as:
(plane stress). According to the (1t)
distortion-energy criterion, the normal The average pressure, pav, can be
stress distribution can be given given approximately as:
qualitatively by the plot in Fig. 3 (1u)

The forging force, F, is thus as:


(1v)

For strain-hardening materials, Y in


Eqs. (1t) to (1v) is replaced by the flow
stress, Yf.

Fig. 3 Normal stress (pressure) The value of frictional coefficient μ in


distribution in the compression of a forging is estimated as: (i) 0.05 to 0.1
rectangular workpiece with sliding for cold forging; and (ii) 0.1 to 0.2 for
friction under conditions of plane hot forging. The exact value varies with
stress (using distortion energy the effectiveness of lubrication.
criterion). Note that the stress at the
corners is equal to the uniaxial yield
stress Y of the material.
The normal stress distribution for a
Open die forging cylindrical specimen under sticking
condition is
Forging under sticking condition (1y)
The frictional (surface shear) stress at
the interface at any location x from the Its stress distribution (Fig. 6) is also
center of the specimen is the product of linear for plane strain condition.
frictional coefficient μ and normal
pressure p on the surface. The increase
in p toward the center increases the μp
(which is normally below the value of
material shear yield stress k (note: k is
Y’/2 for plane strain condition)). When
μp=k, sticking takes places. This implies
that the material does not move relative
to the platen surface.
For the sticking condition, the normal
stress distribution in plane strain can be
expressed as

(1w) Fig. 6 Distribution of die pressure, in


terms of p/Y’ , in the compression of a
As plot in Fig. 6, the pressure varies rectangular specimen in plane strain
linearly with x. and under sticking conditions.
Calculation examples
Example 1 (Page 268, Ref 2, Slide 2) εf = ln (ho/hf) = ln (4x24.5/2x24.5) = 0.693
A cylindrical specimen made of annealed Substituting this value into
4135 steel has a diameter of 6 in. and is 4 in. Yf=kεn = 1015ε0.17= 1015(0.693)0.17
high. It is upset by open-die forging with flat = 953.65 MPa.
dies to height of 2 in. at room temperature.
Assume that the coefficient of friction is 0.2, Ref to the equation for average-pressure, we
calculate the force required at the end of the still need evaluating r so that all the
stroke. Use the average-pressure formula. parameters in the expression to be known.
(Given: for 4135 steel, k=1015 MPa, and
n=0.17) To estimate the radius r of the cylindrical
specimen, we can apply volume constancy
Solution: principle as
Eq. (1u) for average-pressure is expressed Vo = Vf
as Aoho = Afhf
(π147 /4)98 = πrf 49 and rf = 4.23x24.5 mm
2 2

where Y is replaced by Yf, because the Hence,


workpiece material is strain hardening
material. Its stress-strain relationship can be = 953,89 [1+ (2(0.2) (4.24x14.5))/(3(2x24.5))]
expressed as σ=kεn. From conversion factor
of 1”=24.5 mm, thus 6”=147 mm, 4”=98 mm, = 177407 psi
and 2’ = 49 mm 1, hence K=1015 Mpa and
with n=0.17, σ=kεn = 1015ε0.17=Yf. The upsetting force can be calculated as:
The true strain achieved at reducing height F = Af pav
from 4 in. to 2 in. is thus = π (4.24)2 (177407)
= 1.002 x 107 lb.
Calculation examples
Example 1 (Page 268, Ref 2, Slide 2) εf = ln (ho/hf) = ln (4/2) = 0.693
A cylindrical specimen made of annealed Substituting this value into
4135 steel has a diameter of 6 in. and is 4 in. Yf=kεn = 147208ε0.17= 147208(0.693)0.17
high. It is upset by open-die forging with flat = 138311 psi.
dies to height of 2 in. at room temperature.
Assume that the coefficient of friction is 0.2, Ref to the equation for average-pressure, we
calculate the force required at the end of the still need evaluating r so that all the
stroke. Use the average-pressure formula. parameters in the expression to be known.
(Given: for 4135 steel, k=1015 MPa, and
n=0.17) To estimate the radius r of the cylindrical
specimen, we can apply volume constancy
Solution: principle as
Eq. (1u) for average-pressure is expressed Vo = Vf
as Aoho = Afhf
(π6 /4)4 = πrf2 2 and rf = 4.23 in.
2

where Y is replaced by Yf, because the Hence,


workpiece material is strain hardening
material. Its stress-strain relationship can be = 138311 [1+ (2(0.2) (4.24))/(3(2))]
expressed as σ=kεn. From conversion factor
of 1 Pa=1.45 x 10-4 psi, hence K=1015 MPa = 177407 psi
= 147208 psi. With n=0.17, σ=kεn =
147208ε0.17=Yf. The upsetting force can be calculated as:
The true strain achieved at reducing height F = Af pav
from 4 in. to 2 in. is thus = π (4.24)2 (177407)
= 1.002 x 107 lb.
Calculation examples Experiencing higher reaction from the
workpiece when being compressed down.
Example 2 (Pages 268 & 269, Ref 2 in Slide 2) Mechanically, the shear stress τ at the
In plane-strain upsetting, the frictional stress interface due to friction can be expressed as
cannot be higher than the shear yield stress, τ = μp. Since the shear stress cannot exceed
k, of the workpiece material; thus, there may the yield stress k (=Y’/2= τmax for plane
be a distance x, in the accompanying figure strain) of the material, the maximum shear
(Fig. 1) below, where a transition occurs from stress at x from centre can thus be expressed
sliding to sticking friction. Derive an as:
expression for x in terms of a, b, and μ only. τmax = μp = μσy = μY’e2μ(a-x)/b = Y’/2
The last two terms thus gives μe2μ(a-x)/b = 1/2
which is further written as: e2μ(a-x)/b = 1/(2μ)
and becomes following after taking log and
re-arrangement.
Fig. 1 2μ [(a-x)]/h = ln [1/(2μ)]
Further rearrangement of this above gives
X = a – [h/(2μ)] ln[1/ (2μ)].
Solution: The above equation shows that the magnitude of
Pressure distribution (see the accompanying x decreases as μ decreases. However, the
figure – Fig. 2) in the interfacial contacting pressures must be sufficiently high to cause
surface x away from the central line for plane sticking, i.e., the a/h ration must be high. For
strain forging condition, normalized with examples, let a =10mm and h =1 mm. Then, for
μ =0.2, x=7.71 mm, and for μ =0.4, x = 9.72 mm.
equivalent plane strain yield stress Y’, can be
expressed as (ref to Eq. (1p) in the notes):
p/Y’ = σy/Y’ = e2μ(a-x)/b
The increasing pressure from the peripheral
contact to the centre is mainly due to the
friction resists the outflowing of metal which Fig. 2
is subsequently pushed to accumulate
towards the central region when the forging is
progressing. As the pair of flat dies is closing,
the die surface in these regions is
the specimen is compressed from 2 in. high
Calculation examples to a height of 70% reduction can be
estimated by
Example 3 (SM6.63, ref 2, slide 2) (e3a)
Plot the force vs. reduction in height curve in
open-die forging of a solid cylindrical,
annealed copper specimen 2 in. high and 1 It requires h to be estimated. From volume
in. in diameter, up to a reduction of 70%, for constancy, we have
the case of (a) no friction between the flat
dies and the specimen, (b) μ=0.25, and (c)
μ=0.5. Ignore barreling and use average- or
pressure formulas
(e3b)
Solution:
Referring to the accompanying table 1 (as
given as Table 2.3 in reference book#2, see As we are given ro=0.5 in and ho=2 in,
next slide), the annealed copper has k=315 combining Eqs (1u) and (1v) thus allows the
MPa = 46000 psi (conversion factor: psi = forging force F to be calculated by
6.895 x 103 Pa) and n=0.54 for a material
having true stress-strain relationship of (e3c)
Yf=σ=kεn. Subsequently, it gives the flow To calculate F, we can firstly assume a %
stress as reduction and calculate h=h1 using

The absolute value of the strain when The calculated h is then substituted into
(e3a), (e3b), and (e3c) for the calculation of
the corresponding true strain ε, radius r, and
forging force F.

Following the processes as stipulated above,


Calculation examples – Continuation of example 3
some of the points on the curves can be
calculated and tabulated below. Table 1. The k-n values for some metallic
materials having true stress-strain
relationship of σ = kεn.

Plotting of the data gives the following


curves.
absolute value of the true strain is
Calculation examples ε = ln (ho/h) = ln (30/24) = 0.223
Example 4 (SM6.78, ref 2 on Slide 2)
A rectangular workpiece has the following
original dimensions: 2a = 100 mm, h = 30 and hence the uniaxial flow stress at the final
mm and width = 20 mm. The metal has a height is
strength coefficient of 300 MPa and a strain
hardening exponent of 0.3. It is being forged Yf = k ε n = (400) (0.223)0.3 = 255 MPa
in plane strain with μ = 0.2. Calculate the
force required at a reduction of 20%. Do not
use average-pressure formulas. and the flow stress in plane strain (Eq. (1o) in
note of “Yield criterion and deformation” is
Solution: In the plane-strain problem note
that the width dimension remains at 20 mm. Y’ = (2/√3) Yf = (1.15)(255) = 293 MPa.
Thus, when the reduction in height is 20%, Thus, from Eq. (1p) in Slide 16, the pressure
the final height of the workpiece is as a function of distance x is
h = (1-0.2)(30) = 24 mm = 0.024 m
Since volume constancy has to be
maintained and we have a plane-strain
situation, we can find the new (final)
dimension a from
(100)(30)(20) = (2a)(24)(20)
To obtain the force required for one-half of
a = 62.5 mm the workpiece per unit width, integrating the
Thus, a = 62.5 mm = 0.0625 m. The above expression between the limits x = 0
and x = 0.0625 gives the force per unit width
and one-half of the length as F = 32.2 MN/m.
Continuation of Example 4
The total force is the product of this force and the specimen width times
two, or

Note that if we use the average pressure formula given by the equation
(1s) in slide 17, the answer will be

The discrepancy is due to the fact that in the deriving the average
pressure, a low value of a/h have been assumed for mathematical
simplicity.

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