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INTRODUCTION TO POLYMERS & PLASTICS

Topic Coverage: Towards partially meeting CILO 1 and CILO 2

This is the first topic in this course and broadly covers the following aspects:
Simple comparison of polymers with metals
Range of commonly used polymers/plastics and historical development
Raw materials involved and synthesis of polymers
Bonding and structure of different polymers and how they affect their properties
Basic constituents of plastics
Classification of plastics
Basic mechanical, physical and chemical properties of plastics
Fibre-reinforced plastics or composites

Please go through the Reading books for further understanding of the subject
Student needs to do self-reading of selected portions of the handout
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THERMAL PROPERTIES

Plastics have low thermal conductivity and High coefficient of thermal expansion.
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Copper --------------------------------------------------------------- 10-8

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Reinforced Plastics or Composites

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Reading Books/Materials:

1. “Plastics Engineering” by R.J. Crawford, Butterworth Heinemann or earlier editions published

by Pergamon Press or Maxwell Macmillan also serve the purpose.
2. Essential reading material handouts sent to your email.

Supplementary Reading:
1. “Plastics: Materials and Processing” by A. Brent Strong, Prentice Hall.
2. “Principles of Polymer Engineering” by N.G. McCrum & C.P. Buckley, Oxford Publications.
3. Any other books dealing with relevant manufacturing processes may be chosen.

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PROCESSING OF PLASTICS

Topic Coverage: Towards partially meeting CILO 3 and CILO 4

(i) The study of major processes used in the manufacturing of a variety of plastic products. Typical processes
being dealt include industry standard ‘Extrusion’ and extrusion-based processes, ‘Injection molding’ and
injection-based processes, ‘Thermo Forming’, and ‘Compression molding’.
(ii) Classification of the processes into two broad categories; one for processing ‘thermoplastics’, and the second
for processing of ‘thermoset’ materials.
(iii) Mechanisms of material flow in different processes.
(iv) Salient design related features for different processes.
(v) The influence of process variables/parameters that control the quality of the product.

Please note that further elaboration of the materials given in the following pages will be done in the lecture and
students will undertake a number of experiments in the laboratory sessions. This, along with the writing of
laboratory reports on the experiments, will further enhance student’s understanding of the various processes.

Please go through the Essential Reading book for further understanding of the subject.
Student needs to do self-reading of selected portions of the handout.
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Pultrusion of Thermosetting Composites

It is a continuous processing method and has great potential for high throughput and
reduced manufacturing costs. Pultruded unidirectional composites are traditionally
manufactured using thermosetting resin systems. These profiles are produced by
pulling a carefully specified mass of wetted-out reinforcement material through a
heated metal die containing a cavity of the desired cross-section. A scheme of the
thermoset pultrusion process is given in Fig. 25.

Fiber Preforming Cloth Resin Pultrusion

Racks Guides Racks Tank Die

Pulling Mechanisms Moving Finished

Heaters
Engaged disengaged Cut-off Saw Product

Fig. 25: Schematic of the matrix injection pultrusion process

for thermosetting composites.
The process begins when reinforcing fibres are pulled from a series of creels. The
fibres proceed through a bath to impregnate them with formulated resin. The resin-
impregnated fibres are preformed to the shape of the profile to be produced. This
composite material is then passed through a heated die that has been machined
precisely to the final shape of the part to be manufactured. Heat initiates an
exothermic reaction thus curing the thermosetting resin matrix. The profile is
continuously pulled, and the hot profile cools in ambient or forced air, or assisted by
water. The product emerges from the puller mechanism and is cut to the desired
length by flying cut-off saw.

Pultrusion of Thermoplastic Composites

In this process, continuous reinforcement fibres are impregnated with resin and
shaped, consolidated, and cured or solidified by drawing them through a die, as
shown in Fig. 26. The process is similar to the extrusion of metals or of non-
reinforced thermoplastics, and is best suited for constant cross section profiles, both
solid and hollow parts. Improvements of dies that permit a change in thickness are
also available for special applications.

Guidance Die Pulling Finished

Creel Stand Preheater
Devices Assembly Mechanism Product

Fig. 26: Schematic of the matrix injection pultrusion process

for thermoplastic composites.

*** End ***

MBE 3119 Manufacturing 
Technology 
Introduction
 What is Manufacturing Technology?
• Manufacture: ‐ usually involves in arranging 
materials which are being converted to their 
shapes and geometries according to design 
engineering drawings from their raw conditions
• Manufacturing Technology: ‐ is the method and 
setup used to convert materials to their finishing 
designed geometries, features, and shapes, etc., 
according to engineering design drawings
Method of converting raw material to 
finishing feature
• Normally, the conversion method utilizes most 
physical phenomena of a material under:

(i) Thermal effect 
(ii) Mechanical force to have shape deformation
(iii) High pressure fracturing effect
(iv) Electrical effect 
(v) Chemical effect
(vi) Etc.
Categories of manufacturing processes
There are many manufacturing processes involved which vary with 
their individual operational principles and accomplishment in their 
final products. They are fundamentally categorized as:

1. Material forming and shaping processes
2. Material removal or machining processes
3. Material incressing processes
4. Surface treatment or surface finishing processes
5. Fastening and joining processes
6. Heat treatment processes
7. Assembly processes
8. Quality insurance processes
9. Etc.
 Some Forming and Shaping Processes
Basically, the processes include:

1. forming of solid materials through their liquid 
transitional stage (i.e., casting for metals; and 
molding of plastics, etc.);
2. forming of solid materials to anticipated shapes 
through plastic deformation (i.e. forging, rolling, 
extrusion, drawing, etc.)
3. forming of solid materials to shapes through 
converting to powder metallurgy (involving 
blending, compacting, and sintering, etc.)
Manufacture and Physical phenomena 
of material
• Thermal methods • Mechanical deformation methods
Material is heated to its melting point  Bulk, sheet, and/or plate of solid 
can become liquid mode, which is then  materials are  deformed either under 
frozen to become solid again. Generally,  compression or stretching with applied 
material in liquid mode has better flow‐ force beyond the corresponding  yield 
ability then its solid counterpart. Hence,  value of the materials. The materials will 
thermal method with phase  be deformed and start tp fill the  cavity 
transformation is frequently used in  surrounding  their boundaries  of dies.  
manufacturing mechanical components  Hence, the die cavity between die pair is 
with relatively more complex and detail  the shape of a finishing product after 
features.  filling with materials. 
Thermal method is typically used in  As solid materials are often difficult to 
manufacture processes like: metal  flow, design of die shape features 
casting, plastics molding, powder  undoubted ly affect the ability of 
metallurgy, joining, non‐traditional  materials filling. Hence, design of cavity 
machining, thermal cutting, heat  profile is usually the deterministic factors 
treatment, and crystal growing, etc..   of forming a good quality product. 
However, the quality of a finishing  Furthermore, the setup rigidity of 
product varies with the freezing  machineries  and/or die pairs also 
behaviors  influence the product quality.
Manufacture and Physical phenomena 
of material
• High pressure fracturing effect
• Electrical effect
A cutting tool having sharp edge/point 
presses onto a material, it generally  When two slim rods are connected with 
creates high pressure on the edge/point  electrical circuitry and allow current to 
so that it indents into the material. When  pass through, current can pass  the rods 
the edge/point of cutting tool is moved  without any abnormal phenomenon 
relatively to the material with narrowest  taking place. When the two rods are 
throwing area at the front, material in  pulled apart to have small gap in 
front of the throwing surface tends to be  between, current under the potential 
peeling up by shear. The suitable  voltage jumps across the gap and spark is 
scheduling of the path which the cutting  generated. The spark generates large 
tool moves over the material performs  amount of heat and evaporates materials 
the machining of various features on the  from the tips of rods. When one rod is 
material.  replaced by electrode while the other by 
a workpiece, the evaporation of 
Surface finishing (Roughness) produced  materials along the moving path of 
by such effect varies with feeding  and  electrode relative to the surface of 
radius (or angle) of the cutting tool workpiece thus creates machining 
features according to the x‐y‐z 
movements of the electrodes. 
Manufacture and physical phenomena 
of materials
• Thermal effect which after heat dispersion away 
When thermal energy is applied  by cooling, can freeze to form a 
to a material, molecules in  solid product of the shape of 
crystals acquires kinetic energy  cavity. 
and some electrons vibrate  Due to higher flowability of liquid 
severely to escape the attraction  material than solid counterpart, 
force in orbit. When sufficiently  manufacturing processes utilize 
large energy is acquired, these  such phase transformation 
electrons escape from lattices  usually being able to fill thin 
and the materials are either  section, to give detail interior or 
molten or evaporated. Hence,  exterior features of a so produced 
suitable application of thermal  product. Such phenomenon is 
energy to the materials can melt  utilized for manufacturing 
the solid material to become  product like casting of metals, 
liquid phase. The liquid then fills  and molding of plastic products.  
cavity of some dies or molds,  
Manufacturing Processes: Casting
• Casting is mainly involved with
converting solid metallic materials
into liquid form, which is then filled
into the product cavity of a mold and
solidified to become product.
Although most behaviors of casting
are similar to molding plastics, high
melting point of metals makes setup
and design of the features of casting
processes/machines differing from
those for molding of plastics.
• LHS figure classifies casting processes
into 3 categories: (i) expensable
pattern and mold casting, (ii)
Expensable mold, and permanent
pattern casting, and (iii) Permanent
mold casting. a
• Individual categories of casting result
in different setup configurations and
operational principles of
corresponding casting processes,
which are going to mention some of
the processes in the subsequent
lectures
Manufacturing Processes:  Forming and Shaping
• As mentioned, the processes 
involve of applying external force 
on a workpiece through its 
relevant tool boundaries. When 
such force is sufficiently high so 
that the induced stress in the 
workpiece is reaching or beyond 
its yield, the workpiece will 
retain certain amount of plastic 
deformation, keeping such 
deformed shape permanent.
• LHS figure illustrates bulk 
deformation processes 
categorized into: (i) rolling, (ii) 
forging, and (iii) extrusion and 
drawing. Different categories lead 
to the development of dissimilar 
setup features of processes, 
hence different operational 
principles.
Manufacturing Processes:  Forming and Shaping
• The forming and shaping processes 
illustrated in the LHS figure are 
basically for forming and shaping of 
sheet metals into various sheet metal 
products. Fundamentally, (i) shearing 
involves with cutting some features 
on sheet products by removing 
material of those features away from 
the sheet metals; (ii) bending and 
drawing normally involve of using 
tools to bend sheet metals into 
certain features and using punch to 
drawn a blank on die top surface 
down into die hole for forming 
specific sheet products; and (iii) 
forming of sheet metals into various 
shapes applying different mechanical, 
and physical phenomena of 
stretching, hydro‐force pressing, 
spinning and compression, and 
magnetic pulse force, etc. 
Manufacturing Processes:  Forming and Shaping
Due to plastics or polymers can basically be 
divided (iii) into (i) thermoplastics, (ii) 
thermoset plastics, and  elastomers or 
rubbers. Their molecule structures result in 
thermoplastics being reprocessable while 
thermoset and elastomers/rubbers are not 
reprocessable. Hence, different designs of 
processes to shape plastics products are 
different. The LHS figure groups the plastics 
forming processes into two major groups: (i) 
processes for forming thermoplastics, and (ii) 
processes for shaping thermoset plastics. 
Furthermore, their relatively low melting 
point compared with their metallic 
counterparts. Thermoplastics are also used 
as the major materials for rapid prototyping 
technologies as shown in the third category 
of prototyping. Since manufacturing of 
plastic products and their composite 
materials have been dealt by Prof. Kamineni
in the first three lectures of this course, we 
are not going to deal them here. However, 
the processes in (i) and (ii) are involved with 
phase transformation like casting, most 
problems addressed in casting need also to 
considered in plastics forming processes. 
Manufacturing Processes:  Machining
• Machining is shaping a workpiece
off those features and parts 
which are not specified or 
designed on the raw 
material/workpiece by removing 
those from materials by means of 
(i) mechanical  compressing and 
shear cutting, as classified as 
conventional machining; (ii) 
advanced machining processes 
utilizing the principles of 
electrical sparks generated 
between workpiece and 
advancing wire‐EDM, chemical 
etching, laser machining, and 
water jet collision; and (iii) 
abrasive grinding and lapping like 
(a) finishing of flat surface, (b) 
centerless grinding, (c) lapping, 
and (d) electrochemical polishing  
. 
Manufacturing Processes: Joining
• After producing the 
parts, they need to be 
assembled into a 
completed product 
either mechanically by 
bolts and nuts, screws, 
slots, etc., or by friction 
welding, other welding 
processes, fastening 
and bonding, etc., as 
illustrated in LHS figure.
Laser Cutting
• It uses the principles of laser 
passing through a series of 
lenses system converging the 
laser to narrow spot, which 
results in very high thermal 
energy to melt the material 
where irradiation takes place. 
Suitably control the vertical 
movement and xy movement 
of the laser beam on the 
irradiated surface of material 
allows the production of 
various machining features 
and traces. 
Metal Casting

Fundamentals
 Casting Process
• As mentioned, casting involves with firstly melting metal(s) to be 
cast to liquid form, which is then poured into the cavity of a pair of 
pre‐fabricated molds. The poured liquid is then allowed to cool and 
solidify again. The solidified material(s) takes the shape of a 
designed product to be manufactured. The casting is then retrieved 
from the pair of molds after it is cooled to room or some set 
temperature. The removed casting is then inspected for anticipated 
dimensions, undergoes secondary operations or heat treatment, if 
required, until it meets the geometry and mechanical 
specifications. It is then readily for shipment. 
• As casting process is associated with phase transformation, liquid 
phase material is often easier to flow than solid phase counterpart. 
Hence, casting can cast very detail features and complex shape. 
Generally, thickness of a casting can be rather thin if it is too long 
and wide.
• Casting can cast a product as light as few grams and as large as a 
shop floor can be handling. 
Solidification of Pure Metals
• LHS Figure (a) plots temperature as a 
function of time for the solidification of 
pure metals.  It shows liquid pure metal 
undertaking cooling rapidly until the 
taking place of freezing at where 
temperature likely dwells at a constant 
value for a while. It terminates with all 
liquid metal completely solidified, 
which is followed with a slow cooling 
rate. LHS Figure (b)  illustrates the 
corresponding density of the casting 
material within cavity of molds as a 
function of time. Density, during the 
first stage of cooling down, increases as 
a result of shrinkage of the melt. Sharp 
decrease of density occurs from the 
start of solidification to the end of 
freezing since rapid shrinkage takes 
place in this stage. This stage is then 
followed by comparatively lower 
shrinkage to give relative slower 
reduction in density in the solid cooling 
stage.  
Solidification Contraction or Expansion
• Theoretically, the thermal 
properties of an individual 
material should be the same 
under both heating and 
cooling. Hence, the coefficient 
of volume expansion is equal 
to that of contraction. 
Different structures of 
materials tend to result in 
different mechanical 
properties and thermal 
properties. LHS Table tabulates 
the volumetric coefficient of 
contraction (and expansion) of 
some commonly seen metals. 
Phase Diagram of Nickel (Ni) and Copper (Cu)
LHS figure illustrates the phase change diagram of bimetallic
materials, Ni and Cu, alloyed in different compositions.
Temperature for any composition on liquidus curve means the
alloy to be completely molten or solidification starts, its
counterpart on solidus curve is that it starts to melt or is
completely solidified Temperature of alloy above liquidus
curve means it is in a completely liquid state while below
solidus curve means to be in completely solid state. The bound
between liquidus curve and solidus curve represents the co‐
existence of liquid and solid. Generally, more solid is found
when temperature is cooled closer to solidus temperature. At
100% Ni or 100% Cu, both liquidus and solidus temperatures
are only having one value – it is the melting point and freezing
point of the two pure Ni and Cu, respectively.
The phase diagram provides information of compositions for an
alloy to be solidified from liquidus temperature to solidus
temperature. Taking a melt with composition of 50%Ni and
50%Cu to be cooled from 1500oC, it starts to solidify at 1313oC
and its frozen alloy has composition of 64% Ni and 36% Cu
(which can be found by drawing the vertical line from
50%Ni&50%Cu upwards and intersecting with liquidus curve,
from where a horizontal curve is drawn to cut the solidus
curve. A vertical line is drawn from such cutting point to cut
composition coordinate at 64%Ni&36%Cu. When cooling down
to temperature of 1288oC, the similar construction of
horizontal and vertical lines gives its solid composition as
58%Ni&42%Cu whilst its liquid mode as 42%Ni&58%Cu which
is the intersected point of the vertical line drawn from the
cutting point of the extension of horizontal line at 1288oC with
the liquidus curve (Fig. 11), when it cools down further to
solidus temperature of 1249oC, it becomes solid with
composition of 59%Ni&50%Cu completely.
Under normal and natural cooling, the grain formed in the
range of liquidus temperature and solidus temperature is in
dendritic structure. Due to the dendrite branches are
surrounded with liquid alloy, hence the zone is always mushy.
 Alloy Solidification
• Fig. 10.4 illustrates melt of certain 
composition is cooling and its solidification 
phenomenon within a mold. In natural 
cooling, outer temperature of mold is lower 
than its inner counterpart. Melt thus 
releases heat through mold wall, hence 
solidification starts from vicinity closer to 
wall and propagates to the core of mold. As 
illustrated the gain dendrite grows from the 
solidification front (which represents solidus 
temperature of the alloy) to the tip of 
dendrite where it is at the tip of dendrite. 
Due to the temperature variation at solid 
front, those sites reach liquidus temperature 
serve a nucleation spots to grow dendrites 
• Figure 10.4  Schematic illustration of alloy solidification and 
(hence to give some parallel dendrites in the 
temperature distribution in the solidifying metal.  Note the  solidification zone where ranges between 
formation of dendrites in the mushy zone. solidus curve and liquidus curve). As melt 
around the side branches of individual 
dendrites is not yet completely frozen, the 
zone is a mixture of solids and liquid alloy. As 
a result, it is mushy in nature. Such mushy 
level increases when solidification goes on 
until all surrounding melt in dendritic 
braches of the specific region frozen 
completely. 
 Solidification of Iron and Carbon Steels

Figure 10.5  (a)  Solidification patterns for gray cast iron in a 180‐mm (7‐in.) square casting.  Note that after 11 minutes 
of cooling, dendrites reach each other, but the casting is still mushy throughout.  It takes about two hours for this 
casting to solidify completely.  (b)  Solidification of carbon steels in sand and chill (metal) molds.  Note the difference in 
solidification patterns as the carbon content increases.  Source:  After H. F. Bishop and W. S. Pellini
 Solidification of Iron and Carbon Steels (Con’t)
Fig. 10.5 compares the solidification of  • Fig. 10.5(b) compares the carbon 
iron and carbon steels. Fig. 10.5(a) shows  content alloying with iron to become 
the growth of dendrites of liquid iron in  carbon steel, which is cast in sand 
the mold with cooling time. It suggests  mold and in chill mold. From the 
the tip of dendrites touching each other  studies, it shows the solidification for 
and blocking off remaining liquid iron  low carbon is slower in sand mold 
completely at 11 minutes after pouring.  while that in chill mold is faster, with 
Thereafter, the solidification occurs on  density of dendrites  hardly 
the side branches of individual dendrites  distinguishable from the mold wall. 
from 11 to 40 minutes. It is followed by  For carbon content beyond 0.25%, 
complete solidification from inner mold  sand mold casting gives obvious 
wall to mold core from 60 to 102  mushy characteristics while casting in 
minutes. Theoretically, the touching and  chill mold tends to give dense 
blocking of remaining liquid iron would  dendrite distribution with rapider 
result in generation of micro‐porosities  growth rate. The studies suggest 
within side braches due to the  quicker cooling rate can effectively 
contraction problem of these melts  suppress the formation of 
within the branches creating numerous  microporosities in high carbon steel 
pore spaces. These microporosities tend  with 0.25% C to 0.6% C. 
to weaken mechanical strength of the 
casting. It also reduces its thermal and 
electrical conductivity due to 
discontinuity in the matrice. 
Temperature Distribution during Metal 
Solidification
The LHS figure shows the temperature 
distribution during metal solidification 
within a mold under normal environment. 
Generally, the ambient temperature 
surrounding the mold is much lower than 
that on mold surface. Depending on the 
mold material and mold thickness, the 
temperature within the mold wall 
increases from outer surface to inner 
surface, in certain manner according to 
the material thermal properties. The 
temperature at outer casing of solidified 
casting material is relatively higher, which 
increases within the solid zone to the 
solid front in certain manner according to 
the thermal properties of casting 
material. However, its value is equal to 
that of the liquid metal neighboring to it. 
The temperature of liquid in the region 
near the solid front increases to the core 
with certain boundary from the core 
having constant temperature. 
Cast and basic types of structures of solidified 
metals
Cast and basic types of structures of solidified metals 
(Con’t)
Top Sub‐Figure in the last  The three sub‐figures in bottom  of the figure in last slide  compare the 
slide illustrates the cast  different grain structures likely to form under naturally slow cooling rate 
structure in solidified metal  (see (a)), fast cooling rate (see (b)), and very fast cooling rate (see (c)). In 
with mold wall. Although  natural cooling rate (see (a)), sufficient time allows the growth of orderly 
temperature distribution in  dendrites which are rooted from the solid front stemming to liquid core 
casting in Slide 24 is only  with many side branches. Generally, such growth tends to result in micro‐
one value, some place on  porosities scattering throughout the casting. It likely causes macro‐
wall surface has  segregation from outside towards core, micro‐segregation from dendrite 
temperature beyond  root to tip of stem and sideway from central to branch tips. In fast cooling 
melting point and some  rate (see (b)), locations next to solid front may reach melting temperature 
reaching melting point of  and start to nucleate for forming dendrites randomly orientated. It thus 
casting material. Those at  gives disorderly fine grain structures. For alloy, it gives normal 
melting point form  microsegregation. For the very fast cooling rate, the heat dispersion rate 
nucleating sites and  from the liquid metal is so high, which facilitates large regions beside solid 
material solidifies, which  front quickly reaching melting point temperature. Its very rapid cooling 
can successfully grow and  thus initiates many random sites of nucleation which grows quickly to 
become columnar grain.  touch each other along grain boundaries, hence forming fine and small 
Liquids around the sites  grain structures. If alloy is cast by the case of (c), it has high probability of 
next to these start to  forming inverse microsegregation. If solidification starts from wall and 
solidify when temperature  propagating  to the core, as shown in (a) to (b), micrasegregation is likely to 
cools to melting point. The  occur in three cases. Likewise, gravity segregation is also found in the three 
grain of these late  case if stirring is completely absent. 
nucleation sites is blocked 
to growth by the grain  On the basis of microporosity formation principles, casting having 
boundaries of neighboring  structures in (c) may have least micro=porosities, and that in (b) may be 
pre‐preferentially grown  more than (c) but less than (a). 
columnar grains, hence 
giving a layer of fine grain 
structure of chill zone.  
 Grain/element segregation
Under the normal (faster) cooling rates encountered in practice, core 
• Grain structure is  dendrites are form. Core dendrites have a surface composition different from 
normally affected by 
cooling rate.  that at their centres (i.e. different concentration gradient). Surface has a 
Generally: higher concentration of alloying elements than does the core of dendrite due 
1. Slow cooling rate  to solute rejection from the core toward the surface during solidification of 
(on order of 102  dendrite (mircrosegregation). The darker shading in the interdendritic liquid 
K/s) results in  near the dendrite roots in Fig. 10.5 indicates that these regions have a higher 
coarse endritic
structures with  solute concentration and much more pronounced microsegregation. 
large spacing 
between the 
dendrite arms. Besides microsegregation, macrosegregation involves differences in 
2. Faster cooling rate  composition throughout the casting itself. When solidifying front moving 
(on order of 104  away from the surface of a casting as a plane front (Slide 25(a‐b)), lower‐
K/s) gives finer  melting point constituents in the solidifying alloy are driven toward the 
structure with 
smaller dendrite  center (normal segregation) so as to give higher concentration of 
arms alloying elements at its center than at its surfaces. Dendritic structures in 
3. High cooling rate  solid‐solution alloys (Bottom Slide 25(c) ), the center of the casting has 
(on order of 106 
K/s to 108 K/s)  lower concentration of alloying elements (inverse segregation) due to 
develops  the entering of liquid metal of high concentration in alloying element 
amorphous  into cavities formed by solidification shrinkage in dendrite arms. Due to 
structures
the sinking of higher density inclusions or compounds and the floating of 
lighter ones to surface, it thus causes the gravity segregation.
 Fluid Flow and Solidification Time
Below is some fundamental 
During pouring of liquid into mold  equations likely to be used in mold 
cavity, the flow is therefore obeying  design for metal casting and plastics 
some fundamental principles of fluid  molding
mechanics. Flow nature of either 
turbulent flow or laminate flow in  • Bernoulli’s theorem
the mold affects the entrapment of 
air/gas, which originally occupies the 
flow channels and cavities, and  • Mass continuity
subsequently the cast quality since it 
determines the amount of formed 
oxides and the likely gas trapped to  • Sprue design
form gas holes within the casting. 
This affects the mechanical, thermal, 
and electrical properties of the  • Sprue design
casting. Hence, design of mold 
channels and cavity always needs to 
encourage laminate flow instead.  • Chvorinov’s Rule
 Casting Design and Fluidity Test

Figure 10.9  A test method for 
Figure 10.8  Schematic illustration of a typical riser‐ fluidity using a spiral mold.  The 
gated casting.  Risers serve as reservoirs, supplying  fluidity index is the length of the 
molten metal to the casting as it shrinks during  solidified metal in the spiral 
solidification. passage.  The greater the length of 
the solidified metal, the greater is 
its fluidity.
 Riser‐gated casting
• When mold has pre‐fabricated, liquid metal  Generally, riser is a hollow cavity next or closer to 
needs to be poured into the mold cavity via  the cavity of a casting which traps in excess liquid 
runner and gating system, Typically  material during filling. Its roles are mainly:

1) Pouring basin or cup for pouring molten metal 1) Ensuring the complete filling of casting 
cavity 
2) Gating system (sprue, runners and gates)  2) Entrapping air/gas from its upstream so as 
allows molten metal from pouring. Their  to minimize air/gas bubbles in casting
corresponding functions are: 3) Modifying the temperature distribution 
around the casting cavity so as to promote 
• basin to flow into mold cavity possible directional solidification
• Sprue – is a vertical channel through which  4) Refilling liquid metal to the space left due 
the molten metal flows downward to material shrinkage at some positions 
next or closer to the riser.
• in the mold
• Runners – are channels that carry the molten 
metal from the sprue to the mold
• cavity, or connect the sprue to the gate
• Gate – is those portions of runner through 
which the molten metal enters the
• mold cavity
 Riser and gating of a casting design

• Ref to Fig. 10.8 in Slide 20 – • With the introduction of the two 
Assuming the design of gating  risers as shown, it modifies the 
system without the top riser at  temperature distribution in the 
the largest bulk at RHS and the  mold wall and provides sufficient 
side at far LHS, the temperature  time to fill the possible space left 
distribution in the middle of the  due to shrinkage during 
two end bulks is generally the  solidification. Furthermore, the 
lowest and solidification starts at  liquid in the RHS top riser can 
this plane. The solidified plane  flow back to refill the shrinkage 
blocks off the remaining liquid  cavity at the larger bulk 
metal at either bulk. However,  underneath. As a consequence, 
shrinkage of solidified material at  the quality of the casting can be 
LHS may be refilled by liquid  ensured.
metal in gating system. However, 
the blocking of solidified plane 
tends to result in shrinkage cavity 
in the middle of RHS bulk. 
 Fluidity Test
• Fig. 10.9 shows the features of a test method. It 
consists of a spiral mold connected to a pouring 
system. Molten metal is poured into pouring 
system and flows out from the well at the bottom 
to the spiral mold. Flow front will be solidified 
when its liquid metal reaches freezing point. The 
freezing of the metal stops the flow in the mold. 
Subsequently, the fluidity index can be measured 
by evaluating how far the freezing front is from 
the well.
 Solidified Skin on a Steel Casting

Figure 10.11  Solidified skin on a steel casting.  The remaining molten metal is poured out at the 
times indicated in the figure.  Hollow ornamental and decorative objects are made by a process 
called slush casting, which is based on this principle.  Source: After H. F. Taylor, J. Wulff, and M. C. 
Flemings
 Solidified Skin on a Steel Casting (Con’t)

• Fig. 10.11 illustrates a method to evaluate the 
validity of the equation (1). Four molds of 
same geometry were filled with liquid metal 
and one was allowed to cool for 5 s, others for 
1 min, 2 min and 6 min, respectively. The 
respective un‐solidified liquid metal was 
poured out and the individual solidified skins 
were bisected. The solidified characteristics of 
the mold can thus be analyzed.
 Solidification time
• The shape of casting determines solidification time since it 
affects heat transfer phenomena. Ref to Fig. 10.11, the 
solidified skin for 1 min is thicker at outer corner B than 
that at inner corner A. This is due to the larger surface area 
for heat to disperse away from the cavity for those liquids 
at B. Furthermore, the mold material at A would result in 
higher temperature than at B. This is mainly because heat 
from liquid metal at A can be dispersed from its vertical 
wall as well as horizontal wall. This allows more heat 
received at A, so as reducing its heat transfer efficiency. 
However, the radiating outwardly of the heat from liquid 
metal means less heat accumulation at B, thus better heat 
transfer efficiency at B. Subsequently, thicker skin at B is 
produced. 
 Defects
• Quality of the casting is a major issue in increasing productivity and cost
• consideration.
• It needs to understand what sorts of defects likely to occur in casting 
processes, their
• causes, and how to minimize their generation.
• Figs. 10.13 and 10.13 show several defects can develop in castings. They 
are:
1) Hot tears
2) Blow, scar and blister
3) Scab
4) Misrun
5) Wash
6) Cold shut
7) Etc.
 Hot Tears in Castings

Figure 10.12  Examples of hot tears in castings.  These defects occur because the casting cannot shrink 
freely during cooling, owing to constraints in various portions of the molds and cores.  Exothermic (heat‐
producing) compounds may be used (as exothermic padding) to control cooling at critical sections to 
avoid hot tearing
 Hot tear
• Hot tears are caused mainly due the  • For Figs 10.12(b)‐(c), the mold materials at the 
different contraction between mold and  centre contract less than casting materials, 
casting material. Smaller contraction of  hence creates resistant force against the 
mold during solidification generates  contraction of casting material. When difference 
resistance force to prevent the  between shrinkage of mold and casting materials 
contraction of casting, which  is too large, a corner with small cross sectional 
subsequently causes the hot tear at  area (Fig. 10.12(c)) or link to a vertical rib (Fig. 
certain weak section of the casting 10.12(b) thus breaks 

• For Fig. 10.12(a), the cooler periphery  • For Fig. 10.12(d), the core in the cylindrical cavity 
and the top of invert ‘T’ makes liquid to  around tends to resist the contraction of the 
be solidified from rim to centre and from  casting during solidification. As the casting starts 
top to bottom, shrinkage problem results  to solidify from far LHS towards the RHS where 
in less material at the centre root which  sprue and gating system are located. Also the 
is tearing up at complete solidification runner only connected to the top of the casting 
means the refilling of material from the pouring 
cup only to the top. Hence, the filling of material 
from the around shrinkage during solidification 
exhausts casting materials making insufficient 
materials at these zone which under the 
resistance to shrink by the core mold result in 
tearing off at such region. 
 Common Casting Defects

Figure 10.13  Examples of common defects in castings.  These defects can be minimized or 
eliminated by proper design and preparation of molds and control of pouring procedures.  
Source:  After J. Datsko.
 Defects
• Blow, scar and blister are holes on casting surface. They are mainly due to the air/gas bubbles 
entrapped between mold and casting interface, which prevents the complete filling of material.

• Scab is incomplete filling or hole(s) just beneath the surface of a casting. It is mainly due to the 
evolution of gas/air from melt during solidification is slower than the surface solidification rate, 
thus causing the air/gas entrapment.

• Misrun is a defect due to incomplete filling of mold cavity if filling is uni‐directional. Under such 
condition, the flow front of material cools to its freezing point before completely filling up the 
remaining cavity (as the melt behind freezing front can not flow over it to fill).

• Wash is the additional casting material on casting surface closer to the gate entry. It is sometimes 
appearing in sand casting and is likely resulted from the turbulent flow of melt washing away the 
sand around the gate entry where subsequently being filled with the liquid metal.

• Cold shut. When the cavity of a mold is filled by two or more streams and the temperature of the 
melt is not sufficiently high, the flow front of the streams likely reaches the freezing temperature 
of the melt before mixing each other. The interface of the streams is thus not properly fused 
together and thus became the weak plane of the casting.
 Types of Internal and External Chills used in Casting

Figure 10.14  Various types of (a) internal and (b) external chills (dark areas at corners) used in 
castings to eliminate porosity caused by shrinkage.  Chills are placed in regions where there is a 
larger volume of metal, as shown in (c).
 Types of Internal and External Chills used in Casting

Figure 10.14  Various types of (a) internal and (b) external chills (dark areas at corners) used in 
castings to eliminate porosity caused by shrinkage.  Chills are placed in regions where there is a 
larger volume of metal, as shown in (c).
 Types of Internal and External Chills used in Casting
• Incorrect design with bulk in a  • In the design of Fig. 10.14(c), 
casting, as shown in Fig.  the bulk region tends to create 
10.14(a) and (b), results in  shrinkage cavity, hence 
shrinkage cavity. When re‐ external chill is placed under 
design of casting or  the bulk or boss. By doing so, 
modification of processing is  the boss can be firstly 
impossible, such shrinkage  solidified and neighboring 
cavity can be corrected by  liquid metal can flow in to fill 
either internal chill or external  up the shrinkage space prior to 
chill. The location of these two  the solidification of the liquid 
types of chill at the bulk shape  in the horizontal regions at 
allows more heat to be carried  either end.
out, hence material at the 
location can firstly solidify to 
promote directional 
solidification.
MBE 3119 Manufacture 
Technology

Some Casting Processes
 Typical Cast Parts
• Components as shown in Fig. 
(c) 11.1 are very complex and 
(a)
intricate. Such irregularity and 
complexity are difficult to be 
(d) machined or to be 
manufactured by solid bulk 
deformation approaches, 
especially for batch of certain 
quantity. Detail and 
(b) complicated features as 
illustrated can be produced by 
Figure 11.1  (a) Typical gray‐iron castings used in 
casting processes. This can be 
automobiles, including the transmission valve body  clearly seen from the LHS 
(left) and the hub rotor with disk‐brake cylinder  components, which are cast 
(front).  Source:  Courtesy of Central Foundry Division  with different casting processes 
of General Motors Corporation.  (b)  A cast 
transmission housing.  (c) The Polaroid PDC‐2000 
as described in the title of the 
digital camera with a AZ191D die‐cast high‐purity  figure. 
magnesium case.  (d)  A two‐piece Polaroid camera 
case made by the hot‐chamber die‐casting process.  
Source: Courtesy of Polaroid Corporation and Chicago 
White Metal Casting, Inc.
Characteristics of Casting
There are many 
processes in 
casting which 
were developed 
to serve dissimilar 
purposes and 
shape various 
types of 
components. The 
LHS table 
tabulates some 
common 
processes 
available in 
industry, 
specifically for 
reference only. 

It is impossible to 
mention all these 
casting processes 
in this course. We 
thus only 
selectively focus 
upon few here.
 Sand Casting Sand casting is an oldest manufacturing process
available in our lives.
Fig. 11.3 shows the designed features of a sand mold
for sand casting. It consists two half mold which is
mainly made of sand in metallic flask for easy handling
and strengthening. Cavity of a casting and its
associated risers, gating and runner system are made
from or along parting line. Downwardly tapping sprue
promotes laminate flow and prevent entrapment of
air/gas to form oxide impurities. The sank well at the
end of sprue means to gather initially formed oxides so
as to purify to certain extent melt into mold cavity.
Runner channel allows melt flowing through to cavity.
The middle blind riser connecting the top surface of
runner serves to (i) trapping air/gas from upstream, (ii)
skimming impure oxides at its LHS corner, (iii) trapping
excessive melt to ensure complete filling, (iv) modifying
temperature distribution of mold so that filled melt
freezing from far LHS side of mold to RHS, and (v)
refilling melt to occupy space left in shrinkage cavity.
The vent assists the venting off initial air/gas in cavity.
The open riser also assists air/gas venting and
Figure 11.3  Schematic illustration of a  complete filling of cavity. The sand core clamped in the
sand mold, showing various features. middle of cavity means to prevent melt filling up the
position so that a hole can be produced in the casting.
In Sand Casting, the top half mold is normally named 
COPE while its bottom counterpart is termed DRAG. 
 In Slide 4, the casting cavity is divided into two
halves: one in cope and another in drag. As seen, (i)
Pattern Plate the pouring cup and sprue, and the blind riser, vent,
and open riser are all in the cope (being built
surrounding the cavity); (ii) runner, gate, and well
are in the drag. Normally, such arrangement
facilitates the building up of sand mold. As illustrated
in Fig. 11.4, a plate (or two separate plates) is (or
are) used in the mold making as the parting line of
the two halves of a complete mold pair.

In building up mold halves, it involves firstly setting

register pins/points on the plate. The pre‐fabricated
half pattern is thus fixed in related to the registered
positions, then those patterns for (i) are situated (if
it is making cope) around the half pattern (Note: the
patterns for (ii) are distributed around the bottom
half of pattern initially located according to the pre‐
set registered pins/points for making drag). Then,
flask is placed around the properly laid patterns on
Figure 11.4  A typical metal match‐ the holding plate, and fixed in relation to all the pre‐
plate pattern used in sand casting. set registering points. Then, the pre‐mixed sands are
then deposited onto the patterns and compacted
densely in the flask. A holding flat plate
subsequently places on the top and the complete
system is turned over, which, after the removal of
pattern plate, is placed on the top of its counterpart
system and thus readily for filling melt.
 Design for Ease of Removal from Mold
Ref to the description in Slide 5, the building
up of individual half mold requires the
retrieving of pattern from the mold halves.
Further, filled melt into properly fastened
sand mold pair needs to be removed after
complete solidification at room condition. In
view that straight long rib/leg (LHS of Fig.
11.5) gives large contact area with sand mold
which is aggregation of sands. The large
contact area results in higher interfacial
friction to resist the removal of pattern plate
out from the mold. Such difficulty may
damage the sand mold, To overcome such
problem, taper or draft angle is often applied
so that it gives amble clearance between the
pattern and mold cavity when the former is
just lifted up slightly. This eases the removal
of both pattern and casting from mold with
any detrimental damaging. In designing the
Figure 11.5  Taper on patterns for ease  draft angle onto the rib/leg, the width of tip is
of removal from the sand mold taken as the specified value of the rib/leg,
and it is widened upwards with an equal draft
angle on each edge, Such extra width on
casting is generally machined off.
 Holes in casting can be either through or 
blind. For through hole in a casting, a core 
Sand Cores with prints at either end is made and 
clamped in the anticipated position of a sand 
mold cavity (Fig. 11.6(a)) on parting line, so 
that it effectively blocks melt to fill at the 
core position. Suitable design of the clamped 
core forms built‐in beam system which is 
rather rigid and deflection is supposed to be 
minimal among the three commonly seen 
beam supporting systems. For blind hole, 
one end of the core is free in the cavity. This 
forms cantilever beam system, which is 
weakest support and its free end tends to 
resume largest deflection during filling of 
melt. The deflection creates problem of 
retrieval of the core from cast casting, and 
such hole does not meet the specification of 
design specifications in engineering drawing. 
To overcome such deflection, chaplet of 
casting material is used to clamp and support 
the free end of core (Fig. 11.5(b)). As the 
Figure 11.6  Examples of sand cores showing  material of chaplet is the casting material, it 
core prints and chaplets to support cores. acts as a seed or chill to carry away heat 
rapidly, hence it becomes part of the casting 
after complete of solidification. 
Sequence of Operations for 
Sand‐Casting
• This slide and next slide show the 
sequence of operation for sand‐
casting
Figure 11.8  Schematic illustration of 
the sequence of operations for sand 
casting.  (a)  A mechanical drawing of 
the part is used to generate a design for 
the pattern.  Considerations such as 
part shrinkage and draft must be built 
into the drawing.  (b‐c)  Patterns have 
been mounted on plates equipped with 
pins for alignment.  Note the presence 
of core prints designed to hold the core 
in place.  (d‐e)  Core boxes produce 
core halves, which are pasted together.  
The cores will be used to produce the 
hollow area of the part shown in (a).  (f)  
The cope half of the mold is assembled 
by securing the cope pattern plate to 
the flask with aligning pins and 
attaching inserts to form the sprue and 
risers.  Continued on next slide.
 Sequence of Operations for 
Sand‐Casting, Con’t.

(g) The flask is rammed with sand

and rthe plate and inserts are
removed. (h) The drag half is
produced in a similar manner with
the pattern inserted. A bottom board
is placed below the drag and aligned
with pins. (i) The pattern , flask, and
bottom board are inverted; and the
pattern is withdrawn, leaving the
appropriate imprint. (j) The core is
set in place within the drag cavity.
(k) The mold is closed by placing
the cope on top of the drag and
securing the assembly with pins.
The flasks the are subjected to
. pressure to counteract buoyant
forces in the liquid, which might lift
the cope. (l) After the metal
solidifies, the casting is removed
from the mold. (m) The sprue and
risers are cut off and recycled, and
the casting is cleaned, inspected,
and heat treated (when necessary).
Source: Courtesy of Steel
Founder’s Society of America
 Some considerations of sand casting
• Mold:‐ It is an aggregation of sands, not a  • Sand casting can cast relatively complicated 
bulk of material, hence it is semi‐expendable.  geometric casting with size as large as shop 
Although mold can repetitively be utilized for  floor can handle
casting a few castings, the sand vicinity to  • Turbulent flow, swirl flow, and eddy flow at 
the cavity is likely to push sideway or  the inlet from gating to cavity likely cause 
downward, distorting the shape or  wash defect at the cavity inlet due to swirling 
dimensions of the cavity (mainly due to the  effect carrying away those sands nearby 
hydraulic pressure by  the melt). Hence, the  where is normally filled by melt.
mold requires to be refabricated again. As a  • In sand casting, the insertion of internal chill 
result, sand casting is inappropriate and may  into bulk region where likely causes 
be costly for mass production although it is  shrinkage cavity. The internal chill carrying 
comparatively cheap for small batch  heat from the region so that melt in the 
production.  region can solidify first prior to propagate the 
• Sands in mold form numerous randomly  solidification out through its boundaries. The 
distributed interstices in between, which  inserted chill can either be left in as part of 
allow air/gas originally in filling channel and  the casting or slowly pulling out, in control 
cavity passing through, hence lesser internal  manner to synchronizing the solidification 
air/gas porosities are expected in a sand  rate . Generally, the pulling out is more 
casting,  difficult and complex than leaves it in as part 
• Sand wall of mold cavity is composited by  of the casting.
sand grains, size of neighboring grains tends  • Grain structure for sand casting is usually 
to form different sizes of partial interstices  larger and coarser than their counterpart 
which are filled by melt and thus produce  cast by metallic permanent mold. This is 
inverse features on casting surface. Such  because the thermal conductivity of sands is 
inverse features contribute to surface  commonly lower than metallic mold. Hence, 
roughness on the casting.  Fine sand gives  its cooling rate is comparatively lower. 
finer casting surface/
Other casting processes Mold cavity is within a shell. The mold 
making procedures and preparation of 
‐ Shell molding process casting are illustrated in Fig. 11.9. Sand 
coated with polymer is firstly poured into a 
dump box with a half metallic pattern plate 
to be mounted onto the box cover (1). The 
pattern is then heated to sufficiently hot and 
the cover closes onto the box tight, followed 
by turning over box so that coated sands 
covers the top of the hot pattern (2,3). The 
heat melt the coated polymer which hold 
the sand on the top of pattern to form a 
shell plate. The turning over of the box and 
uncovering of cover (4) allows the semi‐shell 
plate to be taken off. Replacement of the 
original pattern plate with its other half 
pattern and repeat the same procedures 1‐4 
allows the fabrication of another shell plate. 
Bonding of two shell plates with adhesive 
forms a complete shell (5). Place the shell 
vertically in a flask where a layer of sand or 
metal beads has been pre‐padded. This is 
followed by filling sand or metallic beads 
into flask so that the shell is fully surrounded 
and supported. Melt metal is then poured 
into the shell. The cooling of the complete 
system to room temperature facilitates the 
breaking off the shell and taking out of 
casting.    
This is an example of permanent pattern and 
expendable mold casting process. As long as 
Figure 11.9  The shell‐molding process, also  pattern plate can be made, it could be used 
called dump‐box technique. to cast intricate casting. 
 ‐ Expendable pattern process
Such type of casting processes normally involves 
with the use of pattern only once and pattern in use 
is generally made of polymers like Polystyrene, 
which melts or evaporates when contact with hot 
melt of casting material. 
Figure 11.15(a) is a POLYSTYRENE blank pre‐
fabricated , which is vertically inserted into  sand 
An engine block produced by lost foam process layer pre‐packed in a flask . Support sand  is then 
filled into the remaining space to surround the 
blank to the height leveling the top surface of the 
blank (Fig. 11.15(b)). A plate with hole in middle is 
placed on the top covering the blank top, which 
minimizes the contact of filled melt with 
atmospheric air/gas. High temperature of melt 
poured into through –the top hole melt/evaporate 
when comes in touch with the pattern (Fig. 
11.15(c)). The melt  or some evaporated vapor of 
pattern material can diffuse into the interstices of 
the surrounding sand. The technique allows the 
production of casting complex and intricate 
component like an  engine block shown at the top 
corner in the LHS illustrations. Surely, it can be used 
to cast only single off casting as long as the pattern 
of complex and intricate shape can be produce‐able 
Figure 11.15 Schematic illustration of expendable casting  by pattern making technologies, i.e. Rapid 
process, also known as lost foam or evaporative casting Prototyping.   
 Investment Casting  Ref to Slide 12, the lost foam involves in diffusing 
melt/evaporation of pattern, which is hard to 
control. To ensure no any residue of pattern 
Process material left in casting, another technique of 
expendable mold and pattern, termed investment 
casting, has been developed (Fig. 11.13). The 
technique involves with: (1,2 in Fig. 11.13) firstly 
molding of wax/polymer patterns; (3 in Fig. 11.13) 
these patterns are then stuck onto a hollow tube 
for building up a pattern assembly; (4 in Fig. 
11.13) reverting the assembly and pushing it into 
pre‐mixed slurry solution of refraction powders 
and bonding agents for a while for forming a 
coating, followed by a sequence of lifting up, 
leaving to dry, dipping in to slurry again to thicken 
the coating, and repeating the 3 steps until 
sufficiently strong slurry coating is built and dried; 
(5 in Fig. 11.13) Assembly with dried slurry coating 
is then dipped into stucco coating solution and 
repeating the steps of lifting, leaving to dry, 
dipping again until strengthening of slurry coating 
is achieved and the coating is completely dried; (6 
in Fig. 11.13) the assembly is then turned 
inversely; (7 in Fig. 11.13) applying heat to melt 
the patterns in the coating and their melt is drain 
out from the opening of the assembly holder; (8 in 
Fig. 11.13) upright the assembly, place it into 
supporting flask if need, pouring casting melt into 
Figure 11.13  Schematic illustration of investment casting  the hollow assembly to fill the pattern cavities; (9 
(lost‐wax) process.  Castings by this method can be made  in Fig. 11.13) filled assembly is allowed to cool 
with very fine detail and from a variety of metals.  Source:   down to room temperature and the coating is 
broken to take off the castings from the assembly 
Courtesy of Steel Founder’s Society of America. holder; (10 in Fig. 11.13) the casting has exactly 
shape and geometry as the pattern.   
 The building up assembly holder in Slide 14 normally is 
Integrally Cast Rotor for  applicable for investment casting of small components. 
a Gas Turbine For the illustration, heavy or relatively large castings 
are generally hard to be cast by such method since 
they may easily detach from the holder. Hence, 
multiple casting of several castings in one go is 
impossible. However, the technique is still possible to 
use for producing a large and complex component 
once at a time, as shown in Fig. 11.14, and effectively 
integrating the method with other approaches.

Fig. 11.14 illustrates such integration. A rotor with 
turbine blades for a gas turbine is firstly fabricated by 
wax (a). Use this wax pattern, with slurry and/or Stucco 
coating mixing solution are replaced by ceramic liquid 
for producing strong ceramic shell (following 
investment casting method) for the  wax pattern (b), 
Figure 11.14  Investment casting of an integrally 
The melting of wax pattern in shell by heat application 
cast rotor for a gas turbine.  (a)  Wax pattern  and draining of the molten wax off the shell result in 
assembly.  (b)  Ceramic shell around wax  ceramic shell readily to fill superalloy melt into the 
pattern.  (c)  Wax is melted out and the mold is  shell under vacuum condition, which allows the casting 
filled, under a vacuum, with molten superalloy.   of superalloy rotor fabricated in the shell (c). The 
(d)  The cast rotor, produced to net or near‐net  breaking off of the ceramic shell facilitates a cast rotor 
shape.  Source:  Courtesy of Howmet 
to be produced to near‐net or net shape.   
Corporation.
 The previous slides mention of casting processes involves
Vacuum‐Casting with (i) expendable mold production, (ii) expendable
pattern production, and (iii) expendable mold and
pattern production. They can only be used once and/or
several times, i.e. for single off or small batch
production, and their filling mainly depends on
gravitational force on the materials. For mass or large
quantity production, metallic permanent mold and/or
pattern is favorably used. In addition, external
compression is also applied to promote filling and
shorten interior distance of material. Subsequent slides
are thus focusing upon some of these processes.

Vacuum casting (Fig. 11.16(a)) involves with a hollow

mold holder which can be connected to a vacuum pump.
The bottom of the holder has facility for clamping a pair
of permanent mold with gate facing downward. A
chamber with induction heater buried into its wall
contains the melt, which is kept in molten stage by
induction heater.
After properly mounting of the vacuum system as shown
in Fig. 11.16(a), the holder‐mold system is lowering
down to touch the melt surface, vacuum pump is thus
activated to vacuum holder and mold. This creates
differential pressure between atmosphere and mold, the
high atmosphere pressure presses the melt in chamber
to fill up the mold. After cooling to solidify, the holder is
lifted up and further cooling is allowed until reaching
Figure 11.16  Schematic illustration of  room temperature, at which the dismounting of the
the vacuum‐castin process.  Note that  system allows the removal of casting.
Problem as such casting process is that the melt surface
the mold has a bottom gate.  (a)  Before  in chamber is originally exposed to atmospheric
and (b) after immersion of the mold into  environment which may lead to formation of oxide
impurities to be sucked up to the mold cavity.
the molten metal.  Source:  After R. 
Blackburn.
 Fig. 11.17 is the schematic illustration of hot chamber 
Hot‐Chamber Die‐Casting die casting process. The term “die casting” normally 
implies casting with permanent mold and filling 
material into mold cavity under external application of 
pressure/force. 
The setup features of system are a pot in a furnace 
which keeps melt in molten stage. A vertical cylinder 
with gooseneck connecting nozzle to die cavity is 
immerged into the melt in pot. The pair of permanent 
dies is mounted into a mechanical frame which can be 
activated to close and open the die pair for casting 
ejection and die filling. A pot is on the cylindrical side 
wall at the top. A hydraulic  shot cylinder with plunger 
rod and piston at its end serves providing power to fill 
melt. 
When the piston of hydraulic shot cylinder is above 
the top of side pot, molten metal is filling into the 
cylinder. The lowering down of piston pushes the 
liquid metal through goosenect and nozzle to the die 
cavity when  the die is closed. Melt in die cooling to 
solidify and then to an anticipated temperature prior 
to its opening to eject the casting off. 
Due to application of external pressure continuously, 
the melt is squeezed becoming closer and thus 
denser. Also, the air/gas in the cavity is likely to push 
releasing from venting holes. The casting is generally 
stronger.  As machine is always under hot condition 
Figure 11.17  Schematic  during processing, it likely introduces thermal stresses 
illustration of the hot‐chamber  to the system. The design of such is thus more 
die‐casting process. expansive and only for casting low melting point 
metal. 
Cold‐Chamber Die‐ Comparing hot chamber die casting with 
cold chamber die casting (cf. Figs 11.17 and 
Casting 11.18), it can also be seen that configuration 
of cold chamber die casting is basically 
similar to its hot chamber counterpart 
except that there is not any furnace and 
melt chamber surrounding the cold 
chamber die casting, its hydraulic shot 
cylinder is in horizontal position, and the 
filling of melt is through the pot on the top 
side of cylinder wall in room temperature 
(hence, it is termed cold chamber die 
casting while that for hot chamber die 
casting is surrounded by hot melt and thus 
so termed). As cast metal requires to be 
molten in a furnace next to it, which is 
separated from the machine, hence, it 
basically induces less thermal stress, if there 
is any, machine is thus having simpler 
configuration  (Fig. 11.18) and cheaper. It 
can also used to cast high melting point 
materials. 
Figure 11.18  Schematic illustration of the cold‐
chamber die‐casting process.  These machines  You are advised to compare both hot and 
are large compared to the size of the casting,  cold chamber die casting machines and 
because high forces are required to keep the  processes with injection molding machine, 
two halves of the dies closed under pressure. and also to identify what are their 
similarities and differences!
 Centrifugal‐Casting  • Centrifugal casting works on the 
principles of melt tending to create a 
Process centrifugal force pushing it flowing 
outwards when it is spun. 
• Its setup features consist of a long 
horizontal cylindrical mold, supported 
by two rollers either side underneath of 
which one is free and the other is 
powered to rotate the cylindrical mold, 
as shown in Fig. 11.20. 
• Molten metal is scooped from furnace 
by a crucible and poured through a 
spout into the bottom wall of cylindrical 
mold, which is driven to spin by the 
driving roller. The spinning action 
provides outwardly force keeping melt 
against the wall, and rotational action 
to spread the melt throughout the 
inner circumferential  surface. 
• Such type of centrifugal casting process 
allows casting of cylindrical 
Figure 11.20  (a)  Schematic illustration of  components. If suitable mold cavity is 
the centrifugal‐casting process.  Pipes,  located with either end of the cavity for 
cylinder liners, and similarly shaped parts  melts to fill in, it is possible to form 
can be cast with this process. (b)  Side view  different couplings for cast cylinders to 
of the machine. couple with other counterparts. 
 Semicentrifugal Casting and  Setup features of semi‐centrifugal casting  (Fig. 
11.21(a)) consists of:
Casting by Centrifuging • For (i) a sand mould in a flask that is fastened 
to a revolving table by some holding fixtures, 
(ii) a casting cavity situated across the central 
portion of the parting surfaces of the mold, 
and (iii) a pouring basin and gate system at 
the central portion and on the top of the 
mold. It should be noted that the casting is 
directly under the pouring and gating system.
Its Operations are basically as:
• In performing the casting, the revolving table 
is rotating whilst molten casting material is 
being poured from the pouring basin down 
through sprue to the casting cavity, the 
spread of material directly at the central 
portion is due to the action of pressure in the 
pouring basin, whilst those off the center is 
pushed by centrifugal force to fill rest 
portions of the casting. Owing to the reason 
that the internal flow of casting is under the 
combined action of centrifugal force and 
Figure 11.21  (a)  Schematic illustration of the  pressure head in the pouring basin, the 
casting is thus termed semi‐centrifugal 
semicentrifugal casting process.  Wheels with  casting.
spokes can be cast by this process.  (b)  
Schematic illustration of casting by centrifuging.  
The molds are placed at the periphery of the 
machine, and the molten metal is forced into 
the molds by centrifugal force.
 Centrifuging casting 

Features (Fig. 11.21b):
• Fig. 11.21b shows the features and operational principles of a typical centrifuging 
casting process. Its  onfiguration includes: (i) a circular mold with cavities of 
castings situating at the periphery of mold, (ii) a runner and gating system situating 
in the central portion of the mold where molten material can be filled in a pouring 
basin at the center. The casting mold system is fastened to a revolving table.

Operations:
• When molten material is poured into the pouring basin in the center of the casting 
system, the combined action of pressure head and centrifugal force pushes the 
material through the runner and gating system in the central portion to the 
cavities of castings situating at the periphery of the circular mold. The equipment 
will still be revolved until all the material casting cavities completely solidified. 
Because of the filling melt into the casting cavities is entirely due to the action of 
centrifugal force, the process is thus called centrifuging or spin casting. It is noted 
from Fig. 11.21b that the bulk of a cavity can be located at the outside portion of 
the periphery when this process is used.
Squeeze‐Casting Setup features
It consists of a die block with cavity in middle. At 
its bottom, there is an ejector pin. A punch with 
tip size smaller than the inner size of cavity and a 
crucible for scooping melt from furnace (Fig. 
11.22(a))
Operations
After properly setting up of the equipment, 
crucible scoops melt from furnace and pours it 
into cavity of die (Fig. 11.22(b)). Then the punch 
is lowering down to squeeze the melt, which is 
squeezed to flow backward and filling up the gap 
between die inner wall and outer size of the 
punch (Fig. 11.22(c)). The system is dwelled on 
for a while until the melt in between the 
clearance is completely solidified. The top punch 
is thus lifted up and ejector pin is pushed up to 
release the solidified casting. 

As the process is involved with squeezing the 
melt to fill up the clearance form between die 
and punch, as filling of solid material into the die 
cavity of forging die. Hence, the squeezing casting 
Figure 11.22  Sequence of operations  process is also commonly termed as liquid 
in the squeeze‐casting process.  This  forging. For the operational principles and setup 
process combines the advantages of  features as mentioned above, the process is 
suitably to cast hollow cups. 
casting and forging.
Design, Materials, and Economics

METAL CASTING
 General Design Rules for Casting
• Design the part so that the shape is cast easily.
• Select a casting process and material suitable for the 
part, size, mechanical properties, etc.
• Locate the parting line of the mold in the part.
• Locate and design the gates to allow uniform feeding of 
the mold cavity with molten metal.
• Select an appropriate runner geometry for the system.
• Locate mold features such as sprue, screens and risers, 
as appropriate.
• Make sure proper controls and good practices are in 
place
 Locating and Designing Gates

• Multiple gates often are preferable and are necessary for 
large parts.
• Gates should feed into thick sections of castings.
• A fillet should be used where a gate meets a casting; this 
feature produces less turbulence than abrupt junctions.
• The gate closest to the sprue should be placed sufficiently 
far away so that the gate can be easily removed.
• The minimum gate length should be three to five times the 
gate diameter, depending on the metal being cast.
• Curved gates should be avoided, but when necessary, a 
straight section in the gate should be located immediately 
adjacent to the casting.
 Riser Design
• The riser must not solidify before the casting.
• The riser volume must be large enough to provide a 
sufficient amount of liquid metal to compensate for 
shrinkage in the cavity.
• Junctions between casting and feeder should not develop a 
hot spot where shrinkage porosity can occur.
• Risers must be placed so that the liquid metal can be 
delivered to locations where it is most needed.
• There must be sufficient pressure to drive the liquid metal 
into locations in the mold where it is most needed.
• The pressure head from the riser should suppress cavity 
formation and encourage complete cavity filling
 Design Rules for Casting

Figure 12.1  Suggested design modifications to avoid defects in castings
 Design Rules for Casting
Use radii or fillets to avoid corners (Fig. 12.1(a)) Ribs and/or fillets  improve bosses (Fig. 12.1(d))
Mechanically, sharp corner is generally raiser for stress concentration during  Boss is a mechanical feature for fastening or mounting 
loading. In filling of melt metal/alloy, sharp corner tends to create flow  other mechanical part on by bolt and nut, etc. If the 
separation and/or eddy flow down stream, which jeopardizes uniform fusion  boss is rather high and slim, it may not be rigid/stiff. 
of solidified material and/or leads to air entrapment and impure oxides within  Reinforcement is thus required by introducing 
swirled positions. The introduction of radii or fillets at the sharp corners  strengthening ribs. Melts in such ribs can also serve to 
provides more material and reduces induced stress value. It also allows melt  re‐fill possibly shrinkage cavity in the bulk bottom 
to flow along the boundary of the radii and fillets so as to minimize separation  section to certain extent. To facilitate the filling of  melt, 
fillets are also introduced at individual corners and 
and oxide impurity formation. Furthermore, it also lowers the heat  interception planes. 
accumulation at the inner corner and speeds up relatively the solidification 
Sloping bosses can be designed for straight die parting  
rate at that corner. to simplify die design (Fig. 12.1(e))
Deep cavities should be on one side of casting where possible (Fig. 12.1(b)) The inclining slope of the two bosses (LHS Fig. 12.1(e)) 
When deep cavities are not on one side of casting (LHS of Fig. 12.1(b)), the  makes mold removal rather difficult. Thus split mold 
deep cavity, on the different side with large bottom mold for production of the  should be designed. Furthermore, the accumulation of 
large cavity in the bottom of the casting, generally requires separate core to  material in parts below the individual holes likely forms 
be made and situates at the cavity position. Such core is difficult to mount and  shrinkage cavity. The re‐designed RHS part with hollow 
align with its bottom shallow cavity. However, Design modification with deep  bottom in each boss and vertically right up on RHS wall 
so as to cater for mold removal. In addition, the hollow 
cavities on a single side allows the integration of shallow cavities to be  bottom allows the accomplishment of uniform walls 
produced with a single top half mold, and the bottom half mold with high  section.
protrusion part for fabricating the larger deep cavity and smaller deep cavity  Side cores can be eliminated with this hole design (Fig. 
by a core with print to be clamped rigidly on the bottom mold.  12.1(f))
Wall section should be uniform (Fig. 12.1(c)) Ref to LHS part in Fig. 12.1(f), the through top with 
As the part with non‐uniform sections in the LHS of Fig. 12.1(c) has bulk of  some material blocks the release of core for making the 
material accumulated in the middle and relatively large material gathering at  hole, thus slow down the production rate. However, the 
the RHS section, they have tendency to form shrinkage cavity somewhere in  removing of material just on the top of hole (RHS Fig. 
the center. Furthermore, it may exhaust of large amount of material. The  12.1(f)) so that the top mold for making the core for 
making the hole recess can be considered tongue of the 
modified part with uniform section throughout (RHS Fig. 12.1(c)) solves the  top half mold. Such modification improves productivity 
solidification problem in creating shrinkage cavity in the bulk region as  of casting and reduces mold making cost.  
illustrated in its LHS counterpart. It also saves material used. 
 Elimination of Hot Spots

Figure 12.2  Examples of designs showing the importance of maintaining uniform 
cross‐sections in castings to avoid hot spots and shrinkage cavities.
 Elimination of Hot Spots
• Ref to Fig. 12.2(e), when such core is 
• In natural cooling, the heat dispersion nature  inappropriate to use in the design, either 
results in solidification starting from inner wall of  external chills or internal chills can be used 
mold cavity towards to its core. Due to  in casting processing (Lecture 1 notes). 
contraction of remaining melt in the core, it 
leaves some spaces in the center of the cavity of  • Ref to Fig. 12.2, the intercepting position of 
larger bulk section (Fig. 12.2). This creates  two neighboring plane not only furnishes 
quality problem of shrinkage porosity and gas  with larger cross sectional region comparing 
bubbles which are unable to surface out from a  with its neighboring sections, it also 
casting. As shown in Fig. 12.2(a, b, c), the cross of 
two neighboring sections  tends to results larger  jeopardizes heat transfer efficiency due to 
cross‐sectional area than its two vicinity legs,  its inner corner accumulating heat 
where are termed hot spot and usually inclined  dispersing from horizontal and vertical 
to prompt for forming shrinkage cavity (LHS Fig.  surfaces. Consequently, it also reduces heat 
12.2(c)). Design to  eliminate such spots can  transfer rate.
normally be achieved by designing uniform 
cross‐sections in castings whatever possible, as  • The design in RHS part of Fig. 12.2(c) gives 
shown in RHS part in Fig. 12.2(c) and/or RHS part  uniform cross sections. It also radiates 
in Fig. 12.2(d), whenever the redesigning of  outward the heat from the outside filleted 
these castings does not affect the assembly or  corner, and slows down heat accumulation 
functionality of a product. When the peripheral  rate in its inner corner.
shape of a casting needs to be maintained, a 
possible solution to eliminate such hot spots is  • The design in RHS part of Fig. 12.2(d) by 
designing a hole in place of their corresponding  shifting the top and bottom vertical section 
position, which can be produced by a core and as  away so that they are not aligning each 
shown in Fig. 12.2(e).  other, provides more surface area for heat 
transfer and reduces the amount of meld at 
the original cross of the cross sections. 
 Examples of Good and Poor Designs

Figure 12.3  Examples of undesirable (poor) and desirable (good) casting designs.  Source:
Courtesy of American Die Casting Institute.
 Examples of Good and Poor Designs
• LHS part in Fig. 12.3(a) shows a part with hole for  • In Fig. 12.3(d), it is noted that the part at LHS with 
inserting bolt/scres with countersank head. The  curving patterns both  internally and externally, 
bottom material vicinity to the bottom surface of  whilst the RHS one only with external patterns and 
countersank screw head means expansive mold  uniform internal surface only. Design in RHS one 
making/design, or difficulty in mounting the core  makes the contraction easier to control, cylindrical 
for hole. The removing of this material allows  annular core cheaper to make and relatively more 
integration of the sank region and clamping print of  uniform contraction, and the external patterns 
core rigidly with bottom half mold, as shown in RHS  increasing heat transfer area. 
part of Fig. 12.3(a) • Fig. 12.3(e) shows the semi cylindrical patterns on a 
• LHS part of Fig. 12.3(b) is a thick plate with large  cushioning by layer of materials. The LHS one with 
surface area. The temperature distribution during  cylindrical rod patterns  larger its semi counterpart 
cooling susceptibly creates bubbles or shrinkage  in RHS, thus leads to difficulty to make and likely 
cavity in its middle section. To surmount such  solidification problem comparatively. 
problem, it is possible by redesigning the central  • Fig. 12.3(f) shows a flange with a stud inserting in as 
part with squared basin so that it furnishes quicker  a core. Obviously the thread body for LHS one is too 
heat dispersion from the central region to achieving  long and reaching the inner flange surface. This may 
possibly directional solidification, as shown in RHS  results in some melt splashing or leaking into the 
part in Fig. 12.3(b). top section of the thread. However, the longer 
• LHS part of Fig. 12.3(c) with sharp internal corners  shrank section on the top section makes the first 
may result in stress concentration and/or  thread relatively far away from the inner face of 
solidification problem in the thicker bottom section.  flange, thus ensuring the proper condition of the 
The redesign with recess radii at the interfacial  inserting core.
corners relaxes the stress concentration and also 
allows those melt originally in the middle to 
replenish in the bottom  horizontal section.
Properties and Applications of Cast Irons 
Properties and Applications of Nonferrous Cast Alloys
MBE 3119 Manufacturing 
Technology
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.
MBE3119 Manufacturing 
Technology
(2) Some Rolling Processes
 Flat-Rolling and
Shape-Rolling
Processes

Figure 13.1 Schematic

outline of various flat-
rolling and shape-rolling
processes. Source: After
the American Iron and
Steel Institute.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
Rolling is a process which uses a pair of either flat  Fig. 13.1 shows that slab, billet, and bloom can be 
rollers or formed rollers to shape a piece of  firstly produced by continuous casting or cutting‐
sufficiently long workpiece to a rolled product with  off from their corresponding counterpart. The 
uniform geometry of certain length. Normally,  slabs are then flat‐rolled to: (i) cold strip via a 
rolling with flat rolls is usually changing the  sequence of hot strip, picking and oiling; (ii) form 
dimensions (typically thickness, width, and length)   as welded pipe via skelping and folding up 
of original workpiece only. Rolling with formed rolls  sheet/plate via form‐rolling to tubular, followed 
usually forms the workpiece to the geometry  by welding of the edge as single seem welded 
enveloped by the formed groves between the pair of  tube; and (iii) thin and widen the slabs to plates. 
formed rolls. The billets can be firstly rolled through suitably 
For flat rolling, the minimum gap between the two  shaped groves on the pair of formed rolls : (i) by 
rolls is ideally controlling the thickness of a rolled  firstly heat to crystalline temperature for 
product (Fig. 13.2(b)). It is also called daylight since  softening, then hot‐rolled to bars which are then 
an operator can see the light opposite through it.  cold‐drawn to more accurate bars; (ii) to form 
Generally, it is also the plane where material exiting  firstly to appropriate size of solid rods, then draw 
from the effective deformation zone. The plane  through drawing die to wire and/or wire 
where incoming/entering material coming to roll  products; and (iii) to form firstly to round solid 
gap, it is called entry plane. The zone in which  rods of adequate size, which is then pressed roll 
material is enclosed by the entering plane, the  to produce a crack at the middle where a sharp 
exiting plane, and the contact boundary of top and  mandrel is piercing into through for the 
bottom rolls is termed byte zone. The length of  production of a tube without any welded folding 
material in contact with rolls is called byte length.  edge. The blooms are rolled through a series of 
The angle formed by the straight line drawn from (i)  formed rolling processes so as to produce 
exit point to center of roll, and (ii) center of roll to  structural angle bars and rails
the entering point is often called byte angle.  •
 Flat-Rolling Process

Figure 13.2 (a) Schematic illustration of the flat-rolling process. (b) Friction forces acting on
strip surfaces. (c) Roll force, F, and the torque, T, acting on the rolls. The width of the strip,
w, usually increases during rolling, as shown later in Fig. 13.5.

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 • at a point subtending an byte angle af with
Flat-Rolling Process the vertical line drawn from roll center to the
exit point. Due to the convergence of
• Fig. 13.2(a) illustrates the schematic of deformation zone and by volume principles,
flat rolling process by assuming that velocity of roll piece Vm increasing from Vo
the top roll is transparent, Hence, the to Vf with Vf > Vo. As result, somewhere on
deformation within the effective the roll-material sliding surface both roll and
deformation zone L can be visualized. roll piece are having same velocity, which
It can be seen that a roll-piece with implies both are moving together without any
thickness ho and width wo moving with slip – no slip or neutral point. Hence, in LHS
a velocity vo into the deformation Vr>Vm and roll applies friction to drag
zone. Its thickness is reducing and material through. In RHS, Vm>Vr and roll
finally thinning to thickness hf, piece applies friction retards the moving of
widening to wf with gradually roll. Such mechanisms carry roll piece
increasing velocity to vf at exit plane. through deformation zone.
When the deformation is under plane • Fig. 13.2(c) shows rolls applying
strain condition, wo = wf throughout compressive force through their center onto
the deformation zone. roll piece. By Newton’s 3rd Law, roll piece
• Fig. 13.2(b) illustrates the mechanisms applies reaction force through their centroid
involved in dragging roll piece through onto the rollers. Such force F creates a
the deformation zone. As seen, the moment = Fa acting on the rolls. The torque
flesh original workpiece with velocity drags roll piece through is the net dragging
vo hits at rolls which is moving at Vr friction force x radius of roll.
 Roll Arrangements

Figure 13.3 Schematic illustration of various roll arrangements: (a) four-high

rolling mill showing various features. The stiffness of the housing, the rolls, and the
roll bearings are all important in controlling and maintaining the thickness of the
rolled strip; (b) two-hill mill; (c) three-high mill; and (d) cluster (or Sendzimir) mill.
Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Fig. 13.3(c) is a three high rolling system because
Roll Arrangements the roller centers are set at three different level in a
same vertical plane. If three rolls are same size,
Fig. 13.3(a) is the end view of a four-high mounting, and material. The gaps are also set the
rolling mill. It basically consists of a same. During rolling, roll pieces can be rolled
housing and there is a screw to be through daylight from one direction to the other,
activated by an hydraulic system at its while the other from correspondingly reverse
top. A chock is fastened to its end in direction as illustrated. The middle roll will be
which backing roll and work roll are remained straight without any bending although the
mounted. Likewise a backing roll and two outermost rolls may bend into opposite direction
work roll are also mounted at the bottom if they are not rigid enough to absorb the applied
chock. Roll gap can be suitably set by forces. It increases throughput if rolls are very rigid.
adjusting the top screw.
Fig. 13.3(d) is the configuration of cluster (or
Fig, 13.3(b) shows a two high mill. Sendzimir) mill. It consists of a pair of smaller size of
According to Newton’s Law, action force work rolls so as to reducing driving torques, which
is always counterbalanced by same are backed two pairs of first intermediate rolls,
magnitude reaction force. It may thus followed by three pairs of larger driven rolls which
create reaction force to separate the two are backed by four pairs of largest rollers capsulated
rolls apart. Built-in mounting nature thus within housing. All rolls are mounted with bearing at
tends to creates deflection of the rolls, their end shafted. System like this is very rigid and
which gives higher bulge in the middle versatile to roll workpieces with different thicknesses
and narrower towards either ends. to various percentages of reduction
 Bending of Rolls

Figure 13.4 (a) Bending of

straight cylindrical rolls caused by
roll forces. (b) Bending of rolls
ground with camber, producing a
strip with uniform thickness
through the strip width.
Deflections have been
exaggerated for clarity.

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 • The resulted bending in Fig. 13.4(a)
Roll piece quality with degrades the quality and production
bending of rolls cost of rolled flat piece. It thus
jeopardizes the competitiveness of the
• Fig. 13.4(a) shows a pair of straight rolling producer. If this manufacturer is
cylindrical rolls to be used to roll only commissioned to roll only one
originally flat roll piece. Due to the roll material with single geometries to a
end is mounted into bearing and specific percentage of reduction to
fastened to chock in housing, it forms certain dimensions, the straight rollers
a built-in beam system. The rolling can be replaced with a pair of camber
force on the roll piece spanning the rollers with specific curvature on the
rolls is uniformly distributed in nature, roller surfaces. The surface of
hence also its reaction onto the rolls. curvature can thus be totally absorbed
This results in largest deflection in the by the reaction induced deflection
center and narrowing up towards profile of the straight rollers system. It
either end. Hence, the rolled piece is thus furnishes with completely flat
not in flat condition and requires contact surface between rollers and
secondary operations to flatten it. workpiece as illustrated by the green
Such shape of rolling gaps in between strip with uniform thickness, as shown
the two rolls is likely leading to the in Fig. 13.4(b).
material flowing through the middle
section slower than those in either
end, and thus causing some defects
as described in next slides

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 Defects in Flat Rolling

Figure 13.8 Schematic

illustration of typical
defects in flat rolling: (a)
wavy edges; (b) zipper
cracks in the center of the
strip; (c) edge cracks; and
(d) alligatoring.

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 Defects in Rolled Plates and Sheets
Fig. 13.8 shows some typical defects in flat rolling. They include: (a) wavy edges, (b)
zipper cracks in centre of strip, (c) edge cracks, and (d) alligatoring .
1) Wavy edges and zipper cracks in
Under other conditions the strain
centre of strip Roll bending or defection
distribution produced by long edge
(Figure 13.4a) causes the edges of a
could produce short “zipper breaks” or
sheet or plate to elongate to a greater
cracks in the centre of the
extent in the longitudinal direction than
strip/sheet/plate shown in Fig. 13.8b.
the centre. When the edges are free to
move relative to the centre, material in
the zones will have higher straining with
situation as shown in Figure A(a) below.
However, the sheet/plate remains a
continuous body and the strains readjust
to maintain continuity. The result is that
the centre portion of the sheet/plate is
stretched in tension and the edges are
compressed in the rolling direction as
shown in Figure A(b) below. The usual
result is a wavy edge or edge buckle as
shown in Fig. 13.8a.

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 Defects in Rolled Plates and Sheets

2) Defects resulting from lateral spread

When a workpiece passes through the
rolls, all elements across the width
experience some tendency to expand
laterally (Fig. 13.5). Because the thickness
decreases in the centre of the sheet/plate
all goes into a length increase, while part
of the thickness decrease at the edges
goes into lateral spread, the sheet/plate
may develop a slight rounding at its ends
as shown in Figure B(a) below. Because
there is continuity between the edges and
centre, the edges of the sheet/plate are
strained in tension, a condition which
leads to edge cracking (Fig. 13.8c).

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 Defects in Rolled Plates and Sheets
3) Defects due to inhomogeneous
deformation
When the rolling conditions are such that The secondary tensile stresses created by
only the surface of the workpiece is the barrelling are a ready cause of edge
deformed (as in light reductions on a thick cracking. With this type of lateral
slab), the cross section of sheet is deformation, greater spread occurs toward
deformed into the shape shown in Figure the centre than at the surfaces so that the
B(b) above. In subsequent passes through surfaces are placed in tension and centre
the rolls the overhanging material is not is in compression. This stress distribution
compressed directly but is forced to also extends in the rolling direction, and if
elongate by the neighbouring material there is any metallurgical weakness along
closer to the centre. This sets up high the centre line of the slab, fracture will
secondary tensile stresses which lead to occur there to generate alligatoring
edge cracking (Fig. 13.8c). With heavy fracture (Fig. 13.8d). This alligatoring type
reduction, so that the deformation extends of fracture is accentuated if there is any
through the thickness of the sheet/plate, curling of the sheet/plate because one roll
the centre tends to expand laterally more is higher or lower than the centreline of the
than the surfaces to produce barrelled roll gap.
edges similar to those found in upsetting a
cylinder as shown in Figure B(c) above.

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 Production of Steel Balls

Figure 13.14 (a) Production of steel balls by the skew-rolling process. (b) Production of
steel balls by upsetting a cylindrical blank. Note the formation of flash. The balls made by
these processes subsequently are ground and polished for use in ball bearings.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Fig.13.14(b) illustrates the setup features
Production of Steel Balls of producing steel balls by upsetting
cylindrical blank.
Fig. 13.14(a) shows the production technique
with a skew-rolling process. The pair of short The setup consists of: (i) a pair of die
tapped rollers with grooves and rifts gradually cups, which have (ii) a pair of die inserts
deepening and heightening is slanted with with cavity taking the shape of finishing
certain level of skewing to each other. A ball; both die cups and die inserts have (iii)
cylindrical bar stock is cut to certain length and hole at sides to facilitate the sliding in of
pushed through the daylight of the pair of rollers. ejector pins.
The gradually narrowing rolling gap allows the
stock to fill up grove and rift edges penetrating After mounting the die pair onto a press,
into the stock, which slits the stock to blank and the cut off blank is place into the cavity of
forges in to ball shape when stock is dies. The closing up of the two halves of
progressively pushed into the daylight and the die pair squeezes the blank to fill up the
skew-rolls are continuously rolled. cavity. Subsequent opening of die pair and
Such processing system can continue producing pushing ejector pins to relief the forged
balls until the exhaustion of the stock bar, giving ball out from the die completes the
high productivity. The rolling and forging actions operations.
would polish ball surface, hence minimizing the
need of secondary operation in achieving The setup cost of this process is relatively
anticipated surface finishing. The tool and setup cheap and easily operated. However, the
cost are relatively high. It is hard to synchronize surface finishing of the ball may needs
the two rollers’ rotary speeds. additional processing. Furthermore, the
productivity of this process is relatively
low.
 Ring-Rolling

Figure 13.15 (a) Schematic illustration of a ring-rolling operation. Thickness reduction

results in an increase in the part diameter. (b-d) Examples of cross-sections that can be
formed by ring-rolling.

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 Ring Rolling
Ring rolling process is normally to change the rounding roll. Since the volume of the
dimensions of a ring produced by other ring remains constant during
process. Its setup mainly consists of (i) a main deformation, the reduction in thickness
roll which is powered to rotate; (ii) a rounding is compensated by the increase in the
roll which is free and likely set at position ring’s diameter and the depth of
where controls the outer diameter of the annular. To control such depth, the
finishing ring; (iii) an idler roll which can be pair of edging rolls is achieving such
freely rotated and also can be shifted to press task when the expanded ring is
a ring in the system against the rounding roll passing through their set distance.
and the main roll as shown in Fig. 13.15(a);
and (iv) a pair of conical edging rolls mounted With this process, various shapes(Fig.
oppositely to the main roll. 13.15(b-d)) can be ring-rolled by
suitable combination of shaped idler
In the ring-rolling process, a pre-fabricated and rounding rolls, and can be carried
thick ring is placed between main roll and idler out at room temperature or at elevated
roll. The driven main roll drives the ring to temperature. Typical applications of
rotate when the idler roll squeezes it against ring rolling are large rings for rockets
both main roll and rounding roll. Such and turbines, gearwheel rims, ball-
squeezing expands the ring with a large bearing and roller bearing races,
diameter and reducing cross-section by flanges and reinforcing rings for pipes.
thinning the annular with closer distance
between idler roll and main roll, and that with
 Cavity Formation in Bar

Figure 13.18 Cavity formation in a solid, round bar and its utilization in the rotary tube-
piercing process for making seamless pipe and tubing. (see also Fig. 2.9.)

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ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Tube-Rolling
Seamless Tube Production Fig. 13.18 shows the schematic illustration
of setup system for a process in rolling
Fig. 13.18 illustrate the operational various tubes. It consists of (a) a mandrel
principles of producing small size seamless with front end shaped in torpedo shape for
tube rolling, which is also termed piercing though the crack; and (b) a pair of
Mannesmann (attributing to its designer) shaped rolls for performing the rolling with
Process the mandrel. The setup can be seen in Fig.
Referring to Fig. 13.18a, the centre of a rod 13.18(c).
tends to form cavity (due to the induced
secondary tensile stresses in a solid round
During operation, a solid rod is pushed into
bar) when under a compression loading. By
the daylight between two shaped rolls and
pressing and rotating a round bar in a pair of
is rolled within the shaped rollers, which
flat dies as shown in Fig. 13.18b, the central
results in the generation of crack hole in
cavity can subsequently be enlarged
the middle of the solid rod. The mandrel
substantially. When a pair of suitably
with torpedo shaped end is thus pushed
shaped rolls that can create the rotary
through the crack from the opposite
motion and compression effect
direction with the torpedo situating at set
simultaneously replaces the pair of flat dies
position against the rolled and pushed
(Fig. 13.18c), the formation of the central
forward solid roll, as shown in Fig. 13.18(c).
cavity is thus possible. If a mandrel is used
to pierce the so formed central cavity during
the rolling, continuous hole can therefore be Tube diameters and thicknesses can also
formed. be changed by other processes, such as
drawing, extrusion and spinning.
 Thread-Rolling Processes

Figure 13.16 Thread-rolling processes: (a) and (c) reciprocating flat dies; (b) two-roller dies.
(d) Threaded fasteners, such as bolts, are made economically by these processes at high
rates of production. Source: Courtesy of Central Rolled Thread Die Co.
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 Thread-Rolling The workpiece is being roll-pressed to
Processes a stationary cylindrical die by a
moving cylindrical die. Subsequently,
Thread Rolling threads are transferred from rolling
The thread-rolling process is a cold- dies to the workpiece by the action of
forming process by which straight or roll-pressing. These processes are
tapered threads are formed on round rods, used extensively in making threaded
by passing them between dies. Usually,
threaded fasteners, such as bolts, are
fasteners at high rat es of production
made economically by the following
processes, at high rates of production. Internal threads
Fig. 11.16c shows a cold-form tap
External threads which is specifically for forming
Fig. 13.16a shows the production of strong threads in a hole. The winding down
threads at high rate by rolling of a pair of of the cold-form tap into the hole
reciprocating flat dies. The rolling of dies
displaces replicates the threads on
transfers the threads onto the workpiece.
the tap onto the hole surface.
Fig. 13.16b shows the processes of thread
rolling using two-roller dies with a
Generally, the production of threads is
workpiece resting on a work-rest. by replacing rather than removing
material.
 Machined and Rolled Threads

Figure 13.17 (a) Features of a machined or rolled thread. Grain flow in (b) machined and
(c) rolled threads. Unlike machining, which cuts through the grains of the metal, the rolling
of threads imparts improved strength because of cold working and favorable grain flow.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 rolled threads is the increase in the thread
Machined and Rolled Threads major diameter because material in those
How to determine a machined or rolled valleys of the threads is squeezed out to fill
thread those peaks of the threads. For the
machined threads, the valleys of the
Fig. 13.17(a) shows the threads on a rod.
threads are obtained by the removal of the
The identification of whether it is machined
material, thus the diameter of the peaks is
or rolled can be on the basis of how the
the same of the initial rod.
threads can be produced and the relevant
physics. Since machining requires to cut off By referring to Fig. 13.17b, it can be seen
materials from the rod and its outside or that the feature of the grain flow in the
major diameter remains as the originally machined threads shows discontinuity of
outer diameter of the rod, i.e. the shank or fibering due to the cut-through of the metal
bar diameter is equal to the major diameter grains. Due to the squeezing effect, the
of threads. For a rolled thread, the grain flow-line in the rolled threads appears
materials in thread valley are squeezed to to be bent (Fig. 13.17(c)), which
fill the region of peak. Hence, the shrnk subsequently increases the strength of the
diameter is smaller than major diameter of threads because the shearing of the
the rolled threads material requires firstly the breaking of the
bent fibres (It can thus conclude that the
rolling of threads causes improved
Feature and strength of machined and strength, because of cold working and
rolled threads favourable grain flow while cutting through
Grain flow lines can also be used to identify the grains of the metal by machining
if threads are machined and rolled. As causes discontinuity of grain line that
mentioned, the typical features of the weakens the strength of threads).
 Shape Rolling of an H-section part

Figure 13.12 Steps in the

shape rolling of an H-
section part. Various other
structural sections, such as
channels and I-beams, also
are rolled by this kind of
process.

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ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Shape Rolling of an H-section part
SHAPE-ROLLING OPERATIONS
In addition to flat rolling, various shapes can be produced by shape rolling.
Straight and long structural shapes, such as solid bars with various cross-
sections, can be rolled by passing the stock through a set of specially designed
rolls (i.e. “H” channel bar rolling in Fig. 13.12).

Rolling “H” Channel Bar

Fig. 13.12 illustrates the stages involved in rolling H channel bar using different
formed roller-pairs. It includes pre-rolling processes by blooming rolls (Stage 1
in Fig. 13.12), edging rolls (Stage 2 in Fig. 13.12), roughing horizontal (for
rough-reducing thickness of web) and vertical (for rough-shaping of ribs) rolls
(Stage 3 in Fig. 13.12), intermediate horizontal and vertical rolls (for further
reducing web-thickness and shaping the ribs) (Stage 4 in Fig. 13.12), edging
rolls (Stage 5 in Fig. 13.13), and finishing horizontal and vertical rolls (for
achieving the accuracy of the final product) (Stage 6 in Fig. 13.12).

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 Various Tube-Rolling Processes

Figure 13.19 Schematic illustration of various tube-rolling processes: (a) with a

fixed mandrel; (b) with a floating mandrel; (c) without a mandrel; and (d) pilger
rolling over a mandrel and a pair of shaped rolls. Tube diameters and thicknesses
also can be changed by other processes, such as drawing, extrusion, and spinning.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Various Tube-Rolling Processes

Tube-Rolling
Fig. 13.19 shows the schematic illustration of different setups for various tube-rolling
processes: (a) shows the bisected section of a setup for reducing both inner and outer
diameter of a tube, which has been pre-produced by other process, with
fixed mandrel so that it thickens and produces uniform annular wall (its problem is the
length of mandrel because it creates instability if it is fixed too far away. If it is too close, it
limits the length of the tube to be rolled); (b) with moving mandrel. In which the tube is
inserted with mandrel and simultaneously rolled through the daylight of the formed rollers
(Major problems: taking off mandrel from rolled tube, and tube length limitation); (c)
without mandrel – It consists of two rolling stands, individually rolling the tube to certain
percentage of reduction so as to achieve maximal percentage of reduction. It is also
possible to roll tubes with different step sections); and (d) Pilger rolling over a mandrel
and a pair of shaped rolls. Tube diameters and thicknesses can also be changed by other
processes, such as drawing, extrusion and spinning.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
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 Forming of Solid Rocket Casings

Figure 13.20 The Space Shuttle U.S.S.

Atlantis is launched by two strapped-on solid-
rocket boosters. Source: Courtesy of NASA.

Figure 13.21 The forming

processes involved in the
manufacture of solid rocket
casings for the Space
Shuttles.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Examples of Rolled Products – Forming of Solid
Rocket Casings
• Fig. 13.20 shows Space Shuttle is on a launching platform and
being launched by two strapped-on solid rocket boosters. Their
casings can actually be rolled by the processes as indicated in Fig.
13.21.

• Fig. 13.21 illustrates the forming processes likely involved in the

manufacture of solid rocket casings for the Space shuttle, as shown
in Fig. 13.20. Basically, as-cast blank (Fig. 13.21(1)) is extruded
reversely to tubular shape with the sheared section (slug) (Fig.
13.21(2)) to be cut off. The reversely extruded tube is then mounted
into a ring rolling system, as illustrated in Fig. 13.16 (Slide 16), to
thin the annular wall and enlarge the diameter of both inner hole and
external surface (Fig. 13.21(3)), which is followed by roll formed to
shape the external profile as shown in Fig. 13.21(4).

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MBE 3119 Manufacturing Technology

(3) Some Extrusion and/or Drawing 
Processes

Manufacturing, Engineering & Technology, 
Fifth Edition, by Serope Kalpakjian and 
Steven R. Schmid.
ISBN 0‐13‐148965‐8. © 2006 Pearson 
Education, Inc., Upper Saddle River, NJ. All
 Extrusions and Products Made from Extrusions

Figure 15.2 Extrusions and

examples of products made by
sectioning off extrusions.
Source: Courtesy of Kaiser
Aluminum.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Extrusions and Products from Extrusions

• LHS of Fig. 15.2 shows some extrusions with typical features of

having same cross-sectional profile for certain length. The extrusion
in Fig. 15.2(a) can be cut to form brackets for some portal frame
structures or for the use as brackets for holding plank so as to build
up book shelves. The extrusion in Fig. 15.2(b) can be cut to serve
as light duty gears for electronic products. Extrusion shown in Fig.
15.2(c) can also be sliced to slide into cylindrical bar skeleton and
fastening with other bars so that the skeleton can be rigidly built.

• RHS of Fig. 15.2 illustrates various extrusion sections. It indicates

the complexity of the extrusion shapes with uniform cross-sectional
profile over sufficiently length. Their size can be very large as can be
seen in the RHS of Fig. 15.2.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Direct-Extrusion

Figure 15.1 Schematic illustration of the direct-extrusion process.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 3) Container liner which is sandwiched between
Direct Extrusion the inner surface of container and the outer
Depending on the extruding principles and surface of the workpiece. Its main function is to
the design of the extruders, available prevent the possible wear of the inner wall of
extrusion processes can be categorized as: container and to reduce its
(i) Direct (Forward) extrusion (Fig. 15.1), (ii) maintenance/replacement cost – Generally, the
Indirect (Backward or reverse) extrusion interfacial rubbing between the container inner
(Fig. 15.3(a)), (iii) hydrostatic extrusion wall and the workpiece outer surface only
(Fig. 15.3(b)), and (iv) lateral extrusion occurs on the inner wall of liner which can be
(Fig. 15.3(c)). changed cheaply and easily in comparison of
changing the container completely.
4) Die backer which is mounted and captures
Direct (Forward) Extrusion (Fig. 15.1):
rigidly the die to the front face of the container
As seen from Fig. 15.1, the design feature so as it can absorb the squeezing force from the
of a direct/forward extrusion includes: pressing stem in performing necessary
1) Billet is the corkpiece/rod/blank/tube/part deformation of the billet through the die
to be extruded so that its original shape 5) Pressing stem which is pushed against the
can be formed to the anticipated geometry billet so that it can move forwardly through the
of the accomplished component. die at where billet is deformed to form the shape
2) Container which mainly contains the required. The squeezing force is usually the
workpiece/rod/part to be extruded out sum of deformation force and the force required
through the die fastened in front of the to overcome interfacial friction between the liner
container outlet. inner wall and the outer surface of the billet

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Direct Extrusion (Con’t)

6) Dummy block which is usually sandwiched between billet and

pressing stem so as to avoid the indentation and/or damage onto the
pressing stem. As the replacement cost of the dummy block is easier
and cheaper, it reduces maintenance cost

When a billet is placed into the container after adequate mounting of

die and die backer in front of the container, the pressing stem is moved
forwardly and closely against the billet. Under the action of the pressing
stem, the billet is squeezed outwards from the container through the die
and shaped accordingly. Due to the out-coming material is under the
direct press of pressing stem and deformed to move out from the same
direction as the moving direction of the pressing stem, the process is
thus termed Direct or Forward Extrusion.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Types of Extrusion

Figure 15.3 Types of extrusion: (a) indirect; (b) hydrostatic; (c) lateral;

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Other Types of It is observed that: (i) clearance exists
between the tool stem and extruded billet,
Extrusion and (ii) deformation only takes place for the
material directly under the die. Hence, the
Indirect (or Reverse or Backward) Extrusion energy wasted in interfacial friction and in
(Fig. 15.3(a)) changing the flow direction in the billet is
Comparing the design features of Fig. 15.1 with reduced when compared with direct
those of Fig. 15.3 (for indirect extrusion process), extrusion.
it can clearly see that the die and the die backer
mounted in front of the container in the former are Hydrostatic Extrusion (Fig. 15.3(b))
missing in the latter. Instead a tool stem seated
Referring to Fig. 15.3(c) and Fig. 15.1, the
with a die in front is pushed inwards to the billet
design features of hydrostatic extrusion
sandwiched between the backing disc (which
have basic components almost similar to
replaces the pressing stem for the direct extrusion
direct extrusion except that (i) the container
process). The billet under the compression of the
liner for the setup of direct extrusion is
tool stem is deformed in the effective deformation
replaced by fluid (lubricant/grease)
zone, just in front of the die, and extruded
surrounding the billet and there is not any
backwardly through the inner tube of the tool stem.
direct contact between container inner wall
Due to the relative movement of the deformed
and billet outer surface; and (ii) there are
billet and the tool stem is in reverse direction, it is
seals replacing the dummy block on
termed reverse or backward extrusion. As the
pressing stem of the direct extrusion system
deformation occurs as a result of inward
and between components where leaking of
movement of tool stem instead of the inwardly
fluid would likely be resulted from the
moving of the backing disc, the process is also
system.
name indirect extrusion.
 Other Types of Extrusion
By doing so, the floor of working place may not be easily wetted to create
safety hazards. However, fluid is allowed to be dragged out through the
interface of die opening and the billet so as to reduce significantly
interfacial friction. Furthermore, the fluid surrounding the billet may apply
fluid pressure to deform the billet hydraulically before it is extruded out
from fluid chamber. In hydrostatic extrusion, the force from pressing stem
is transmitted through fluid to deform firstly the billet hydraulically and to
push the billet out from the die opening.

Lateral Extrusion (Fig. 15.3(c))

It is observed from the setup features of lateral extrusion (Fig. 15.3(c)) that
the die and its backer are mounted at the bottom side wall of the billet
container. The pressing down of punch transmits the extrusion force to the
billet and deforms the billet laterally out from the container. It is thus
termed lateral extrusion.
Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
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 Process Variables in Direct Extrusion

Figure 15.4 Process variables in direct extrusion. The die angle, reduction in cross-section,
extrusion speed, billet temperature, and lubrication all affect the extrusion pressure.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Process Variables in Direct Extrusion

Process Variables in Direct Extrusion (Fig. 15.4)

Fig. 15.4 shows some process variable in direct extrusion. The

extrusion die angle α determines the size of dead zone and may affect
the extrusion ratio. Ao is the original cross-sectional area of the billet
while its counterpart Af is the cross sectional area of the extruded
shape.
 Types of Metal Flow in Extrusion with Square Dies

Figure 15.6 Types of metal flow in extruding with square dies. (a) Flow pattern obtained at
low friction or in indirect extrusion. (b) Pattern obtained with high friction at the billet-
chamber interfaces. (c) Pattern obtained at high friction or with coiling of the outer regions of
the billet in the chamber. This type of pattern, observed in metals whose strength increases
rapidly with decreasing temperature, leads to a defect known as pipe (or extrusion) defect.
Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Types of Metal Flow in Extrusion with Square Dies
Metal Flow in Extruding with Square Die larger than those away from the opening,
(Fig. 15.7) implying the metal is under tensile
Experimentally, the flow of metal within deformation. The grids away from the
extrusion chamber can be studied by opening almost remain unchanged,
bisecting the billet longitudinally and gridding implying very little or no deformation taking
a surface with mesh. The gridded halves are place in the regions. The spacing of the
then welded and placed into the chamber, grids along the central line seems to be
which is then extruded through die. The relatively larger which implies tensile strain
extrusion can then be stopped and taken out taking place or material is squeezed to
the chamber after certain length has been move both forwardly and backwardly so as
through the die. The welded edge is then to create stretching in the middle zone
ground off and the distortion of mesh can be Under the relatively larger interfacial
observed. The phenomena that the mesh friction (Fig. 15.7(b)), the larger friction
distorted allow the identification of how the tends to slow down the forwarding flow
metal is deformed and flows. Friction and the accumulation of material at the
between the interface of die and billet affects interface results in higher level of
the flow pattern within the extrusion chamber squeezing which subsequently pushing
and closer to die opening. As seen in Fig the material in the centre more severely.
15.7(a), the grids of square meshes seem to Consequently, the material in the zone
be squeezed together slightly when entering closer to the die is squeezed to pull both
die opening (implying metal is under backwardly and forwardly to give tensile
compression), and the mesh in the zone at deformation mode. Furthermore, material
the vicinity of die opening has grids pacing around the zone, as indicated by die angle
• .
Types of Metal Flow in Extrusion with Square Dies
(Fig. 15.4), tends to create a dead zone where there is no flow of material taking place.
For an even higher friction (Fig. q5.7(c)), the dead zone is getting larger and extending
downwardly, which results severer accumulation of material and prompts for severer
squeezing of material closer to die and heavier compression of material in the center,
subsequently giving higher tensile strain for material in the core zone. The severer tensile
strain in this zone may lead to central burst if there is any hard impurity locating in the
zone or the tensile strain is so high that reaches the fracturing point of the material.

Extrusion Temperature Rangers for Various Metals

In metal forming, soft material is easier to deform/shape than its harder counterpart.
Depending on how complicated shapes of metals to be formed, some materials/shapes
are difficult to produce in room temperature (i.e. by cold working). Heating the metals so
as to soften them for easier shaping may be the suitable approach in forming harder
materials and/or more complex shapes. If the materials are formed at a temperature
approaching their crystallization temperature, it is termed hot working. Table on slide 22
gives the ranges of hot working temperature for various metals
 Extrusion in Creation of Intricate Parts

Figure 15.8 (a) An extruded 6063-T6 aluminum-ladder lock for aluminum extension
ladders. This part is 8 mm (5/16 in.) thick and is sawed from the extrusion (see Fig. 15.2).
(b-d) Components of various dies for extruding intricate hollow shapes. Source: (b-d)
After K. Laue and H. Stenger
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ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Extrusion in Creation of Intricate Parts

Components for Extruding Hollow Shapes (Fig. 15.9)

Fig. 15.9(a) illustrates a hollow part which can be extruded. Generally,

the extrusion of hollow components requires mandrel or hollow dies
which suitably channels or blocks the flow of material accordingly so as
to yield the anticipated geometry of a hollow component, as shown in
Fig. 15.9(b) to Fig. 15.9(d) which illustrate the different mounting of dies
in front of extrusion container and the different combination of dies for
producing them.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Design of Exruded Cross-Sections

Figure 15.9 Poor and good examples of cross-sections to be extruded. Note the
importance of eliminating sharp corners and of keeping section thicknesses uniform.
Source: J.G. Bralla (ed.); Handbook of Product Design for Manufacturing. New York:
McGraw-Hill Publishing Company, 1986. Used with permission.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Design of Exruded Cross-Sections
Design of Cross-Sections to be Extruded (Fig. 15.10)
Suitable design of cross-sectional geometry of an extrusion is important for
facilitating of: (i) achievement of balancing force on the dies; (ii) flow of material
in the chamber and through the dies; (iii) accomplishment of good quality
component in performing designated function; and (iv) safety in handling and
assembling, etc.

Fig. 15.10(a) shows an incorrect design of an extrusion. It does not balance the
flow, and thus generates unbalance force. Typically, the knife edge feature on
its right hand side surely results in difficulty of forcing material through and it
could be easily damaged, not safe to handle, even after extruded. Its tong and
sharp corners also problems in production because material is hard to fill. The
two holes at its bottom part have different size with the smaller one too small to
squeeze material through, and their wall in between is also too thin and easily
breaks. Its modification (Fig. 15.10(b)) overcomes the incorrect designs of
those shown in Fig. 15.10(a).

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Cold Extrusion Examples

Figure 15.11 Two examples of cold extrusion. Thin arrows

indicate the direction of metal flow during extrusion.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Cold Extrusion Examples
Examples of Cold Extrusion (Fig. 15.11)

• Fig. 15.11 shows examples of two cold extrusion processes. Basically, the
one in Fig. 15.11(a) is a combination of extrusion and forging process –
material in the die cavity is forged by the punch and extruded through to fill
the bottom part of the cavity. It is observed that there is not any obvious
clearance between the die cavity and punch. However, the one in Fig.
15.11(b) has sufficient clearance between die wall and punch for material to
move backwardly while some material is filling the cavity on the bottom
punch. The process is a combination of backward extrusion and forward
extrusion. As mentioned previously, cold extrusion is usually operated to
extrude soft material or relatively hard for simpler geometry. Hot extrusion is
normally used when material is hard or complex geometry is anticipated.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Impact-Extrusion Process

Figure 15.14 Schematic illustration of the impact-extrusion process. The extruded

parts are stripped by use of a stripper plate, because they tend to stick to the punch.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Impact-Extrusion Process
Impact Extrusion (Fig. 15. 14 and Fig. 15.15)

Normally extrusion is working on the principles of continuously

squeezing of a workpience which deforms to take the geometry of die
opening for the products. Impact extrusion takes the advantage of
converting potential energy of a punch to kinetic energy, then to
deformation energy. Fig. 15.14 shows the features and operational
principles of an impact extrusion. A shallow die is placed with blank and
a punch is raised up to certain height to acquire its potential energy,
which is released and dropped down to hit on the blank. Under the
impact, the blank is deforming and material is moving backwardly up
along the outer wall of the punch taking the shape of the outer bottom
profile of the punch. The stripper plate is then moving down to strip off
the extrusion down from the punch.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Impact Extrusion

Figure 15.15 (a) Impact extrusion of a collapsible tube by the Hooker process. (b)
and (c) Two examples of products made by impact extrusion. These parts also may be
made by casting, forging, or machining. The choice of process depends on the
materials involved, part dimensions, and wall thickness, and the product properties
desired. Economic considerations also are important in final process selection.
Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Impact Extrusion

• Due to the depth of the die cavity is shallow, the interfacial contact
between cavity wall and outer surface of the workpiece moving
upwardly is limited. It thus effectively reduces the interfacial friction.
Furthermore, it the punch body is so shaped to release further the
interfacial contact. Friction force can substantially be reduced
further. Subsequently, impact extrusion can be used to extrude
complex part as shown in Fig. 15.15(a), It is also widely applied to
produce tubes, i.e. the dental paste tube as shown In Fig. 15.15(b)
and Fig. 15.15(c). In the forming of dental tube, the bottom section
of the punch is suitably shaped to assist the metal flow and to
reduce surface friction (free of contact between the inner wall of the
tube and the outer surface of the punch).

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
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 Chevron Cracking

Figure 15.16 (a) Chevron cracking (central burst) in extruded round steel bars.
Unless the products are inspected, such internal defects may remain
undetected and later cause failure of the parts in service. This defect can also
develop in the drawing of rod, of wire, and of tubes. (b) Schematic illustration
of rigid and plastic zones in extrusion. The tendency toward chevron cracking
increases if the two plastic zones do not meet. Note that the plastic zone can
be made larger either by decreasing the die angle or by increasing the reduction
in cross-section (or both). Source: After B. Avitzur.
Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
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 Chevron Cracking
Chevron Cracking (Fig. 15.16)
Ref to the description for Fig. 15.7 above, the formation of severe and large squeezing zone
closer to the die opening usually leads to the severe tensile strain in the middle zone, which
results in the formation of central burst (Chevron Cracking – Note: Chevron is an engineering
scientist who firstly discovered the existence of such crack) if there is any buried hard impurity
or tensile strain is so large to reach its fracture limit. Fig. 15.16 shows such phenomenon.

In Fig. 15.16(a), the cross-section of an extruded circular solid bar is bisected and observed
under microscope. It has been found some crack occurring on the surface. Fig. 15.16(b)
illustrates the forming mechanism of such crack. Generally, incoming material flows horizontally
from the back of container and hits on the inclined die wall at where it changes direction to
move along the die surface. Such change of direction blocks and changes the material flowing
from the back which subsequently forms the rigid zone as shaded in Fig. 15.16(b). If this
shaded zone is small, material sandwiched in between in large and the squeezing effect
becomes insignificant (i.e. the tensile strain is small and can be pushed through the die opening
by the incoming material from the back uccessfully). Under such circumstance, the central burst
may not occur. When the rigid zone is so large that they touch each other at the center of the
die opening, the central burst is also successfully suppressed. However, when the rigid zone is
ranging between the former two conditions, the material at the central core not touching each
other and also not too much, the squeezing of the rigid zone creates sufficiently large tensile
train reaching the fracture limit or the existence of hard impurity to create material separation
taking place, central burst thus appears.
 Tube-Drawing Operations

Figure 15.19 Examples of tube-drawing operations, with and without an internal

mandrel. Note that a variety of diameters and wall thicknesses can be produced
from the same initial tube stock (which has been made by other processes).

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Tube-Drawing Operations
Process Variable in Wire Drawing (Fig. 15.18)
Differing to extrusion process which has squeezing force to push material in container out through the
die opening, drawing usually involves the application of force in front of the die opening to pull material
out from the die. As a result, the container wall at the back of opening normally found in extrusion
process is not there for drawing process. It thus effectively reduces contract friction. However, the
drawn part may susceptibly break if the design of die is incorrect and the pulling force is excessive to
the effort of the cross section of the drawn part. Fig. 15.18 shows the various variables commonly used
in wire drawing.

Examples of Tube-Drawing Operations (Fig. 15.19)

Fig. 15.19 shows various approaches to draw tubes with larger inner diameter to smaller diameter and
also to thin the wall thickness of the tubes. Basically, Fig. 15.19(a) illustrates how a larger and thicker
tube is drawn to smaller and thinner tube through the design of die only. The deficiency of the process
is its difficulty in control the uniformity of the inner diameter and thickness throughout the drawn tube.
Fig. 15.19(b) illustrates a stationary mandrel is placed between the die opening and the drawing tube
to control the inner diameter and the thickness of the wall exiting from the deformation zone. However,
process as such limits the length of the tube to be drawn by the length of stationary mandrel. To
overcome the problem associated with the stationary mandrel, floating mandrel is introduced (Fig.
15.19(c)). It releases the constraint of mandrel length with suitable design of the mandrel to be held at
the deformation zone. Fig. 15.19(d) shows the mandrel is put inside the inner diameter of the tube and
drawn together with the drawn part. Surely, the process releases the length constraints of the process
in Fig. 15.19(b). Its difficulty is the requirement of stripping off the mandrel after each draw and also
how to ensure that the moving mandrel can be machined straight.
 Extruded Channel on a Draw Bench

Figure 15.22 Cold drawing of an extruded channel on a draw bench to

reduce its cross-section. Individual lengths of straight rods or of cross-
sections are drawn by this method. Source: Courtesy of The Babcock and
Wilcox Company, Tubular Products Division.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 Extruded Channel on a Draw Bench

Cold Drawing (Fig. 15.22)

• Like most of other bulk metal working processes, drawing can be

performed at room temperature which is named cold drawing, or
with temperature just below the recrystallization temperature of the
drawpiece which is termed hot drawing, or any temperature in
between cold and hot working which is termed warm drawing. Fig.
15.22 shows the design and setup of a drawing bench for cold
drawing. Although the hot drawing may be similar to cold drawing
except that it may involve the attachment of furnace to heat up the
drawpiece before drawing.

Manufacturing, Engineering & Technology, Fifth Edition, by Serope Kalpakjian and Steven R. Schmid.
ISBN 0-13-148965-8. © 2006 Pearson Education, Inc., Upper Saddle River, NJ. All rights reserved.
 MBE 3119 Manufacturing 
Technology
Some Sheet Metal Forming Processes
Examples of Some Sheet 
• Figure 16.1  shows some examples of 
Metal Parts sheet‐metal parts ((a) Courtesy of Aphase
II, Inc.  (b) Courtesy of Hialeah Metal 
Spinning, Inc.)
• Those examples in Fig. 16.1(a) are 
generally die‐formed and cut stamped 
(a) parts.  Those parts in Fig. 16.1(b)  are 
usually produced by spinning. 
• Die‐forming often involves with the use of 
a pair of die and punch to apply force  in 
shearing of sheet metal beyond their yield 
or fracturing point.  Typical processes are: 
punching, blanking, slitting, shaving, deep 
drawing,  perforating  and bending, etc.
(b) • Spinning normally involves with the use of 
mandrel and follower. Blank is  pressed 
against nose of mandrel and follower is 
pressing the blank tightly against mandrel 
so as to shear along its surface. It may also 
involve  the sleeve of prefabricated tube 
Figure 16.1   onto cylindrical mandel and being shorn 
Examples of  either internally or externally for forming  
sheet‐metal  different profiles  on either outside or 
parts.   inner suface or both surfaces. 
 Sheet Metal Fabrication  in (a), it shows a piece of strip stock of sheet metal 
Processes with some different features to be punched/pierced 
out from the strip. Typically, two pairs of small 
• As shown below, there are many sheet metal 
fabrication processes available in industry,  holes, one at either side of punched narrow slots, 
they are: are firstly made, followed by blanking  off the strip 
progressively. As the punched out part is kept while 
strip material peripherally surrounding the part is 
scrap off, it is called blanking (see (a)‐2). Reversely, 
the keeping of the peripheral strip material and 
scraping off the punched part is termed punching 
(see (a)‐1).

In (b), the slitting and/or punching some features or 
materials off from strip edges  is called NOTCHING 

In (c), slitting or punching off a complete piece of 
strip into several pieces of parts with some specific 
features along the  slit or punched edges, one after 
another, without any scrap is called slitting  or 
parting without scrap
• (a)‐1                                                       (a)‐2
• : 
In (d), a piece of strip is separated into several parts 
with those under the parting punch to be scraped is 
termed as parting with scrap. 
 Sheet Metal Fabrication Processes 
(Con’t)
• Following is parts fabricated from sheet/strip/blank of metal (illustration to  • In (a) shows the process of lancing and forming. It involves firstly slitting  a 
be continued from the slide 3). feature detaching from two sides of a piece of strip while the third side is 
still kept in attach with the strip. The detached edges are then shifted to 
bend downward  or upward along  the attaching edge. The process in 
making this feature is termed lance and form.

• In (b), a profiled blank with some  formed features on could be bent or 
stamped to U shape

• With available pair of die and punch readily made to shape, a circular blank 
can be placed onto the top surface of die and properly shaped punch is 
lowering down to press and deform the blank into the die hole, which is 
termed deep drawing process (as seen in (c)).

• The deep drawing may results in flange which may not be specified in the 
design of a part and needs to be removed/trimmed off. Trimming off by 
conventional machining processes is normally time consuming and skill 
depending. To release skill dependency some techniques are used to 
quicken such trimming process and effectively reduce the required level of 
skill. As shown in (d), a deep drawn part is mounted with its second 
stepped annular tightly inserted with bottom die. A ring punch with sharp 
inner edge is pushed to trim off the flange along the inner edge of the 
flange.

• In (d), it shows how surface patterns on coin can be fabricated. Basically, 
bottom surface of a punch is engraved with the reverse pattern as that on 
top coin, similarly for the pattern on top die surface and that of bottom 
surface of coin. When there is not any pattern around coin edge, it can be 
performed as shown in LHS of (e). When the rim surface us patterned, it 
requires retaining engraved with inverse pattern as that on rim surface to 
set up as shown in RHS of (e) to be performed. 
 Shearing with a 
Punch and Die

Punch force, F 0.7TL UTS

Figure 16.2  (a) Schematic illustration of 
shearing with a punch and die, indicating 
some of the process variables.  Characteristic 
features of (b) a punched hole and (c) the 
Manufacturing, Engineering &  slug.  (Note: The scales of the two figures are 
Technology, Fifth Edition, by  different.)
Serope Kalpakjian and Steven 
R. Schmid.
ISBN 0‐13‐148965‐8. © 2006 
Pearson Education, Inc., Upper
 the reduction of attaching surface area in the 
Shearing with Punch and Die periphery of the punched hole diminishes the 
allowable shearing stress. It thus initiates  the 
commencement of fracture pushing down the 
Fig. 16.2(a) illustrates some process variables of  punch with its side peripheral surface rubbing the 
shearing. The basic variables include the diameter  sectional surface while penetrating into the sheet 
of solid punch A, the thickness of sheet T, clearance  until reaching the regional bottom surface  and 
between die and punch c, the penetration depth of  thus resulting in the burning region. Due to 
punch into sheet C, die corner B, and contact point  gradual reducing peripheral cross‐sectional area 
of sheet with die D and punch C. All these variables  along the shearing plane CD between the punch 
affect the magnitude of shearing force and quality  corner C and the die corner D (Fig. 16.2(a)), its 
of the shear. Typically, the large clearance between  fracturing tear gives  rough opening inclined edge 
die and punch results in stretching effect and the  as shown. Final tearing of punched slug off the 
fracture surface of slug and sheet, as seen in the  bottom edge of sheet thus gives burr as shown, 
inset in Fig. 16.2(a). Furthermore, the penetration  with breakout dimension larger than and tapping 
depth of punch into sheet changes the attaching  upward to the burnished region. 
sectional surface between slug and sheet, which is 
surely influenced the shearing force required to 
fracture their attaching surface.  Fig. 16.2(c) characterizes the features of slug to 
be shorn off. Due to tearing off from the bottom 
hole, the top has burr around its peripheral rim, 
Fig. 16.2(b) demonstrates the characteristic  which is followed with rough fractured edge 
features of a punched hole in the sheet. It  inclining downwardly with almost the same as 
illustrates that the penetration depth consisting of  that along the rough fracture angle as the hole in 
a region of rollover depth, and a region of burnish  Fig. 16.2(b). The bottom of slug has a region of 
depth. The rollover depth has downward bell  smoothly burnished surface which is generated 
shape, which is formed due to  initially elastic  during the burnishing duration at the top 
deformation and stretching plastic deformation.  counterpart region of the hole. It is also noted 
The depth reduces the peripherally shearing area  that the slug is having a curving shape along BD, 
to resist shearing. At the magnitude of applying  and dishing profile (with flat middle section and 
shearing force at the instant when the bottom  tilting upward at the rim connecting the burred 
surface of punch is at the interfacial boundary of  rim, The bottom curved shape is due to 
rollover region and burnish region, the reduction of stretching, and the flat middle at the top is 
mainly compressed by the punch during shearing. 
Shearing with Punch and  Shear Angles
Die
When punch bottom is flat and is 
having perimeter of L, it is used to 
shear a sheet metal with thickness T 
and having ultimate tensile stress at 
UTS. The shearing/punching force F 
required to shear off the component 
is thus expressed as
Figure 16.10  Examples of the use of shear angles on punches and dies.
Punch force, F 0.7TL UTS
(Eq. 1) Fig. 16.10(a) illustrates a flat die with shear angles at either 
side from a protruding mid‐central line – the shear angle has 
depth equal to blank thickness. Hence, the initial punch will 
From  Eq. (1), it is possible to reduce  have L = the width of mid protruding zone and it reduces 
the punch force if the perimeter L  when penetrating though. Unfortunately, it leads to stretch‐
during shear is possibly to decrease  bending and is thus affecting the quality of shearing.
at the instance of shearing. This can 
be achievable by implementing some  Fig. 16.10(b) is with bevel shear on the punch so that it shears 
shear angles on the bottom surface  off blank at right and gradually propagating to left hand side.
of punch (Fig. 16.10(a)‐(c)) or on the  Fig. 16.10(c) with double bevel shear on either side leads to 
top surface of die (Fig. 16.10(d)),  initial shear taking place at the tip of bevel and propagating to 
correspondingly. both sides of bevel. Stretching occurs in the cases of (a) to (c).
Fig. 16.10(d) shows the achievement of shear angles on die 
surface instead of punch. The die is made with convex shear 
and this allows the lowering of punch progressively pressing 
down of sheet blank down without creating stretching. 
 Quality of shearing operations with shear angles
Below shows the shear operations with shear  Following shows the quality of blanked pieces with 
angle added onto punch shear angle added onto die surface.

The LHS shows concave shear is applied on the long 
The top LHS shows the setup of shear angle and 
side of the rectangular die, and flat bottom punch. 
its RHS counterpart illustrates the orientation of 
The blanked pieces from such setup seem to be flat 
shear force components and resultant, and the 
and straight. The middle one shows the setup of 
cross‐sectional shape of punched slug which 
convex shear on the top surface of die and flat 
seems to be tilted with the inclination of shear 
bottom surface of punch. It also provides with flat 
angle.
blanked pieces. 
The bottom LHS shows the double bevel with a 
The RHS demonstrates setup of flat top surface of 
flat width on the tip bevel and its RHS 
die with concave bottom surface on punch. Such 
counterpart illustrates the slug piece also with 
setup tends to give bent blank in shape of concave 
tilting along the inclination walls.
form as shown. 
 Effect of clearance on  Fig. 16.3(a) illustrates the effect of clearance 
between die and punch on the edge quality during 
shearing shearing. As shown, the punch is in blue and die in 
green while the gridded meshes on the yellow 
workpiece have been pre‐scribed. Consequently, 
the pressing down of punch results in the 
deformation of gridded traverse section of blank 
along the fractured line. The observation and 
analysis of the distortion of those grids facilitate the 
understanding of how the clearance affecting the 
shear quality. Typically, in (a)‐1 the fractured line 
seems to be still straight and the top surface of 
blank on die is with smaller curving, indicating the 
pulling into die to be much smaller. In (a)‐2 the 
fractured line is almost within a grid column only, 
and distortion of the grid mesh is even lesser than 
that in (a)‐1 although level of pulling into die is 
Figure 16.3  (a)  Effect of the clearance, c, between 
punch and die on the deformation zone in shearing.   higher. In (a)‐3 more severe distortion of grid 
As the clearance increases, the material tends to be  meshes is observe along the fractured line with 
pulled into the die rather than be sheared.  In  serious pulled into die is identified. 
practice, clearances usually range between 2 and  Fig. 16.3(b) shows the hardness distribution along 
10% of the thickness of the sheet.  (b)  
the fractured zone in slug (LHS) and blank (RHS). 
Microhardness (HV) contours for a 6.4‐mm (0.25‐in.) 
thick AISI 1020 hot‐rolled steel in the sheared region.   The distribution indicates sheet is hardening along 
Source: After H.P Weaver and K.J. Weinmann. and at the vicinity of the fractured line. Such 
hardening strengthens the shorn edge of the hole 
and slug. 
 Conventional Versus Fine‐ Components in Fig. 16.5(a) compare the quality of 
shorn edge of conventional blanking  (left) with 
Blanking that of fine blanking (right(. It can be seen that the 
left one is with relatively larger regions of rough at 
the top and bottom sandwiching a narrow region 
of smooth surface in the middle. The right one 
with fine blanking has large region of smooth 
surface at the bottom, which is just below a 
narrow band of rough surface region on the top. 
This implies the achievement of good quality blank 
with fine blanking technique.

Fig. 15.5(b) illustrate the setup features of fine 
blanking technique. Comparing with conventional 
blanking (Fig. 16.2(a), Slide 5), it has additional 
upper pressure pad pressing down onto blank so 
as to prevent any possible slipping. It has also an 
extra lower pressure cushion moving in 
synchronizing with the down penetration of the 
Figure 16.5  (a)  Comparison of sheared edges  blanking punch (left of Fig. 16.5(a)). Such 
produced by conventional (left) and by fine‐ configuration and operation constrain relative 
blanking (right) techniques.  (b)  Schematic  slipping between die and blank, and stretching to 
illustration of one setup for fine blanking.   fracture of the blank so as to limit the fracture 
Source: Courtesy of Feintool U.S. Operations. surface between sheet and slug (Right Fig. 16.5(b))
 Some design considerations from the studies of 
shearing/blanking
Optimize the utilization of materials by getting 
For shearing/blanking greatest number of blanks from a given sheet 
area
Shear/blank force on punching a sheet of 
thickness T and ultimate tensile stress UTS  Die should be made to size and clearance taken 
varies with its perimeters. Reduction of punch  off from counterpart punch
force is possible by suitably reducing the 
instantaneously shearing surface by 
implementing shear angle on either punch or  Blanking  force or pressure generally varies with 
die.  the strength of stock and the penetration depth 
of shearing, and also with the peripheral length of 
a blank at the instance of shearing – suitable 
For blanking design of shear angle allows reducing its 
As die cost varies with the contour and intricacy  magnitude
of blank, hence: (i) designed contour should be 
as simple as possible; (ii) building up complex  If punch face contour is convex in shape, metal is 
part by several parts may be cheaper; and (iii)  often stretched before shearing takes place. Such 
designing blank with corner radii prolonging  stretch distorts the flatness and straightness of 
tool life and reducing tool cost in comparing  the blank. However, convex on die can effectively 
with designing blank with straight‐side and  reduce blank force and still retain straight and flat 
square corners. blank.

Always select materials with commercially  Deep drawing can be effectively optimized with  
available shapes and sizes blanking to give fine dimensions of blank.
 Stock layout techniques and  Example of Stock layout and material 
material utilization utilization, i.e. Nesting 

Material utilization m can be defined as:
m = Wc/Wm
in which:
Wc is the weight of the component
Wm is the weight of material used to 
make the component

For sheet metal with uniform thickness, m can 
be defined as:
m = Ac/Am
The arrangement as in left wastes large amount 
In which:
of materials while as in right reducing wastes.
Ac is the area of the component
Am is the area of material used to 
make the component
 Sheet Metals Forming : Stressing a sheet metal beyond its yield 
point so as to change its dimensions or shape permanently
Formability of sheet metals – It is the ability of a 
sheet metal which is capable to be deformed 
without appearance of sight of fracturing

Cupping test is a technique widely used for 
experimental valuation of the formability of a 
sheet. It can perform as described below and 
illustrated in Fig. (a) on the right hand side.

The setup of the cupping test is shown in Fig. 
(a). It consists of a die, a top sheet clamping 
block, a punch and a ball. A sheet metal is 
clamped between the die and the top sheet 
clamping block. The punch is then pressing the 
sheet specimen down to form cup by an 
applied force until fracture initiates on the 
sheet surface at a punch penetration d. Larger 
the d value is, higher the formability. As the 
test has firstly been proposed by Erichsen and 
bulge is the deformation shape, it is thus 
called Erichen and Bulge‐tests
 Sheet Metals Forming (Formability of sheet metals –
Cont’d)
Bulge‐tests results on sheets of various  The width of sheet specimen influences 
widths. The specimen farthest left is  the size of bulge in Erichsen and Bulge‐
subjected to, basically, simple tension.  tests (see the figure at RHS). Generally, 
The specimen farthest right is subjected  the stretching in the narrower sheet 
to equal biaxial stretching tends to approach closer to simple 
tension. The wider specimen tends to be 
strained closer to biaxial stretching 
condition.

• Note: The depth of bulge for the 
narrower specimen is deeper and 
that for the wider specimen is 
shallower
 Sheet Metals Forming (Formability of sheet metals –
major and minor strain)
Strains in deformed circular grid patterns It can also be observed that the minor 
diameter of the ellipse is smaller than its 
original circle, which may lead to certain 
level of thickening to compensate the 
thinning strain in the major direction. 

In the far right illustration, the blue colored 
ellipse represents the circular one stretched 
under the biaxial directions with the force 
in the major one larger than its minor 
counterpart. As the stretched grid surface 
area is  larger than the “before stretching” 
circular grid, it generally becomes much 
Let’s take a circular grid (see the circle  thinner thorough. Subsequently, it is more 
“Before stretching” in the LHS illustration  susceptible to fracture than the one in the 
above) on a meshed sheet which is  far left illustration. 
stretched in an uniaxial direction, the 
circular grid will be elongated to form an  Generally, both major strain and minor 
ellipse. The strain in the major diameter of  strain are the principal strains.
the ellipse is Major Strain while that in the 
minor diameter is termed Minor Strain.
 Sheet Metals Forming (Formability of sheet metals –
major and minor strain)
In determining the ability of a sheet 
metal to be deformed so as to 
facilitate the forming design of a 
sheet metal, the combined use of 
cupping test and grid meshes on 
sheet specimen is the popular 
experimental technique. Generally, 
grid patterns are etched onto the 
surface of a sheet before being 
placed onto the cupping equipment 
to be stretched. After the stretching, 
Example: The deformation of the grid 
the level of distortion of the  pattern and the tearing of sheet metal 
individual grids are measured and  during forming. The major and minor 
axes of the circles are used to determine 
the corresponding strains are  the coordinates on the forming‐limit 
estimated by the existing formula for  diagram.
plotting forming‐limit diagram.
 Formability of sheet metals ‐ Forming‐limit diagrams
Diagram below illustrates the forming‐ Construction of FLD allows idea of under 
limit diagram (FLD) for various sheet  what straining conditions a sheet fails. 
metals Although the major strain is always 
positive (stretching), the minor strain 
may be either positive or negative. In the 
lower left of the diagram, R is the normal 
anisotropy of the sheet. 

Generally, straining on the FLD lines 
represents at the verge of fracture, 
below the lines represents successful 
forming (safe zone) while above means 
the occurrence of fracture (failure zone). 
In LHS, the dashed line in the minor 
strain region represents under pure 
shearing conditions. The purple chain 
line means under simple tension with 
anisotropy R=1. In RHS, the brown chain 
line means under equal (balanced) 
biaxial straining conditions.
 Drawing Drawing
It is a process of cold forming a flat pre‐cut metal 
blank into a hollow vessel without excessive 
wrinkling, thinning or fracturing. Fundamentally, it 
consists of a die with circular hole of diameter Dd
in the middle and solid circular punch of diameter 
d, in which Dd > d. A flat circular blank of outer 
rim diameter D is place on top of the die. Punch is 
subsequently moved down through the die hole 
(see (a)), which subsequently draws the blank 
down through the die hole (see (b)). The drawing 
down of blank accompanies with blank edge to be 
pulled towards the punch,  which drags annular of 
large area to smaller area and thus results in 
wrinkling as shown in (c). The further drawing by 
punch penetrating into the die hollow hole thus 
leads to elongate the drawn body and thus forms 
long cylinder. Generally, such wrinkling may be 
minimized by the use of pressure plate slightly 
pressing on the top of circular blank, so as to 
increase interfacial friction and reduce the 
shrinkage rate of outer annular to the inner.

The Figure in left hand side shows the progressive 
stages of drawing a cup. (a) The metal 
deformation is mainly that of bending. (b) The 
This Figure illustrates the progressive operations  deformation is bending, straightening and radial 
of deep drawing of an initially flat blank to a long  compression. (c) a continuation of all the steps of 
body cylindrical cup, which can be soft drink  part (b)
cans, etc.
 Deep Drawing  Fig.(b) below shows the features and 
operational principles of the process in 
In deep drawing, a flat sheet metal blank  deep drawing a cylindrical cup.
is formed into a cylindrical or box‐shaped 
part by means of a punch that presses  Operations: A circular sheet blank with a 
the blank into the cavity (see Figure (a)  diameter Do and thickness to is placed 
below) over a die opening with a corner radius 
Rd. The blank is held in place with a 
blankholder, or hold‐down ring, with a 
certain force. A punch with a diameter 
Dp and a corner radius Rp movers 
downwards and pushes the blank into 
the die cavity, thus forming a cup.

(b)
 Deep Drawing  in deep drawing of a cylindrical cup. (a) 
Die corner radius too small; typically, it 
Maximum punch force
should be 5 to 10 times the sheet 
One simple and approximate formula for  thickness. (b) Punch corner radius too 
calculating the punch force is: small. Because friction between the cup 
(Eq. (2)) and the punch aids in the drawing 
operation, excessive lubrication of the 
Eqn. (5) does not include friction, the  punch is detrimental to drawability
corner radii of the punch and die, or the 
blank holder force.
Calculation  Example:
Effect of die and punch corner radii on 
fracture in deep drawing
Deep Drawing (Con’t
from Calculation 
Example) 
Bending
 Bending operations The level of bend varies with the penetration of the punch 
V‐die bending: ‐ downwardly. 
As shown in (a), it consists of a v‐die with opening W and 
a v‐punch with the v of die minus the sheet thickness.  Roll bending: ‐
After placing blank on the top surface of v‐die, the  The setup in (d) is a three roll bending system for bending 
pressing down of v‐punch bends the blank to v shape.  sheet metals into different diameter tubular sections. It 
involves with two side rolls: one is driven and another is 
Wiping die bending: ‐ free to  rotate. A top roll can be moving up and down along 
the vertical plane in the middle of blank span. The down‐
The setup in (b) shows the configuration features of 
pressing of top roll thus forms curvature section between 
wiping die bending process. It consists of a bottom die 
the two bottom rolls, hence activating the driven roll 
block (grey color) and a top pressure block (in red color), 
facilitates the bending of cylindrical hoop with a smaller 
and a wiping die in blue color. A blank (green color) is 
straight of the bridging length between middle to the free 
firstly clamped between the bottom and top die blocks 
driven roll. Welding of tubular edges to form a single tube, 
with the edge of top block protruding a W (die opening 
which can be rolled again in the system to rectify its 
dimension, which is measured from the fillet edge of top 
circularity.
surface of bottom block) out from the bottom die block. 
The wipe die is subsequently moved down against tightly 
the vertical surface of the top block to bend the blank  Bending with a 4‐roll machine:‐
down against the vertical wall of the bottom die block, as  The machine consists of a solid cylindrical rod (in blue 
illustrated in rhs illustration in (b).  color), a half cylindrical cavity bottom die, two side die 
blocks (in brown color) and a top die block (in red color) – of 
Air bending: ‐ the three die blocks formed another half cylindrical shape 
as shown in (e). During operations, a sheet blank is properly 
The setup in (c) shows the air bending of a blank, which is 
placed to align on the top surface of bottom die, and the 
supported by two bottom die blocks (or by the
solid rod is pressed down to bend the blank filling up the 
edges of a die hole). A top punch is then moving down to  clearance between them. The two side die blocks are then 
press down the  blank in its middle span as illustration.  moving inwardly to against the solid rod, which is followed 
by pressing down the top die block to complete the bend. 
 Ref to the figure in Slide 33, 
Springback the bend allowance before and after bending is the 
same. Its relationship for pure bending is thus 
expressed as:
The elastic recovery of a bend Bend _ allowance [ Ri (t / 2)] i Rf (t/ 2 ) f
after unloading is termed Springback. It 
makes bend radius larger than its  (SB1)
anticipated one (see Fig below) From this relationship, ks is defined as

(SB2)

It shows ks dependent on R/t ratio. Ks=1 indicates no 
springback while ks =0 indicates complete elastic 
recovery (see Fig in Slide 40). 
As amount of springback varies with stress 
level and modulus of elasticity E of the material, the 
approximate formula to estimate springback is thus:
Fig. S
(SB3)
Note: The material tends to recover toward 
its originally flat shape. However, there are  In which Y is the unaxial yield stress of the material at 
situations where the materials bends  0.2% off set
further upon loading (negative springback)

Analysis:
A quantity characterizing springback is the 
springback factor, ks, which is determined 
as follows.

29
 Shear spinning process
Spinning (Also known as power spinning, flow turning, 
hydrospinning, and spin forging)
Conventional spinning process An axisymmeric conical or 
A circular blank of flat or  curvilinear shape is generated in a 
preformed sheet metal is held against a  manner whereby the diameter of the 
rotating mandrel while a rigid tool  part remains constant (see Fig.(b) below)
deforms and shapes the material over 
the mandrel by actuating the tool either 
manually or with a hydraulic system (see 
Fig.(a) below)

Note: In shear spinning, the diameter of 
the spun part is the same as that of the 
blank whilst, in conventional spinning, it 
is not so.

30
 Spinning Parts by shear spinning
Parts typically made by this 
process include rocket‐motor casings and 
Parts by conventional spinning
missile nose cones. 
Typical shapes produced by the 
The process generates little 
conventional spinning process. Circular 
material waste and the operation is 
marks on the external surfaces of 
completed in a relatively short time.
components usually indicate that the 
parts have been made by spinning, such 
as aluminum kitchen utensils and light  As seen by the complex profile 
reflectors. of the products, intricate shapes of sheet 
metal products are possible to produced 
by the spinning operations as long as 
mandrels are possibly fabricated. 

31
 The part may be spun forward 
Tube spinning or backward, similar to a drawing or 
backward extrusion process.
In tube spinning process, tubes are 
Various internal or external 
reduced in thickness by spinning them  profiles can be produced by controlling 
on a mandrel, using rollers. The  the path of the roller during its travel 
operation may be carried out internally  along the mandrel. 
or externally.

32
 Calculation examples
Question 1:
A straight bead is being formed on a 1‐mm thick  Note that 
aluminum sheet, having E=70 GPa, in a 20 mm 
diameter die cavity, as shown in the accomplanying 
figure. Let Y = 150 MPa. Considering springback, 
calculate the outside diameter of the bead after it is  Therefore, Eq.(SB3) on Slide 41 yields
formed and unleaded from the die.

and 

Solution: Hence, the final outside diameter will be 
For the aluminum sheet, we have Y=150 MPa and E = 
70 GPa. Using Eq. (SB3) on Slide 41 for springback, 
and noting that the die has a dieameter of 20 mm 
and the sheet thickness is T = 1 mm, the initial bend 
radius is:

33
 Calculation examples
Question 2: Substituting the value from Question 1 in the 
Inspect Eq.(SB3) on Slide 41 and substituting  previous Slide,
in some numerical values, show whether the 
first term in the equation can be neglected 
without significant error in calculating 
springback. which is

Solution:
As an example, consider the situation in 
Question 1 on Slide 43 where it was shown  Clearly, the first term is small enough to 
that ignore, which is the typical case.

Consider now the right side of Eq. (SB3) on 
Slide 41. 

34
The End

35
What are manufacturing processes and 
machining?
Manufacturing processes can be considered as the techniques which 
aggregate with a series of steps and/or procedures in converting a bulk 
of raw material to an anticipated product.

Machining is aggregation of techniques which use tools to remove 
away those region on a raw material not specified in a set of designed 
engineering drawing, or shaping a bulk of material some profiles 
according to the specifications of the drawings.  
MBE 3119 Manufacturing 
Technology
Machining 
l
Turning
Reference
Chapters 21‐ 23 in the textbook:
Kalpaljian, Serope and Schmid, Steen, “Manufacturing Engineering and 
Technology”, 5th edition, Prentice Hall, Pearson, ISBN 0‐13‐107639‐7
Commonly Available Machining Operations
(a) in LHS figure shows the operations to remove layers of
material from a circular rod and to cut‐off/make‐shoulder on the
rod. The rod is mounted into holding chuck in spindle of a lathe
and turned accordingly. (b) in LHS figure shows the use of a
narrow and long cutter to remove materials from a particular
region. The complete removing of materials from that region
results in separating the rod piece into two individual pieces.
(c) in LHS figure shows layer of a piece of slab to be removed by
a cutter mounted onto the horizontal spinning shaft in a
horizontal milling machine. The profile of cutter and its
mounting, and the relative movement of mounting shaft and
workpiece mean vertically straight finishing edge to be hardly
achievable. Furthermore, surface of the finishing edge may be
stepped and not smooth.
(d) in LHS figure shows an end mill being mounted in a vertical
cutter holder, which is moved transversely and longitudinally
from the end surface of workpiece in profiling some features
from the end surface inwardly. Due to major diameter over the
effective cutter is the same, it can assist to cut slot and open the
end region with vertically straight edge and smooth surface for
each cut.
 The lhs figure illustrates the schematic of 
Schematic illustration of  turning process. It involves with 
Turning mounting/clamping a cylindrical rod rigidly 
in the chuck of a spindle, which can be 
rotated. A cutter, which is rigidly mounted 
on a tool post (which is driven along a 
threaded shaft mounted in the lathe bed 
and with axis parallel to the longitudinal 
direction of the rod), can be moved 
transversely across to face or shorten the 
rod, or longitudinally towards to chuck to 
reduce the diameter of the rod by 
removing surface layer from the 
workpiece. Depending on the geometry of 
the cutter, and its moving direction, it can 
turn off layers from the rod surface, 
produce stepped shaft, cut shoulder on a 
shaft, parting some length from the rod, 
Schematic illustration of turning setup end drill hole on the end of the rod., and 
etc.
 The LHS figure illustrates the setup features of a cylindrical 
Turning Operation sold rod to be turned off a depth of cut from its free end. 
The cutting tool is supposed to mount onto a tool post, 
which is driven to give a longitudinal feed in mm/rev (or 
in/rev). Due to the rotary effect is synchronizing with the 
feed of cutter in longitudinal direction, the cutting path on 
rod surface is usually spiral around the cutting surface, 
which can be obviously magnified and seen if the depth of 
cut and the feed of cut are both large, as illustrated in the 
cutting end of the rod in LHS figure.
Setup features: Circular rod mounted in turning lathe, 
Cutter mounting/supporting seat (blue color) moved along 
a guide‐slide rod on the lathe, cutter (red color) mounted 
on the tool support seat or tool post on a compound rest 
on carriage which is connected to Apron, which is designed 
to move transversely and/or longitudinally in relative to the 
cylindrical sold workpiece.
Operational Principles: After the proper mounting of rod 
piece onto spindle (with tailstock quill to center and steady 
its end if necessary) and setting of the tooling, the 
powering on the lathe turns the guide‐slide rod which 
drives the carriage with tool‐post moving forwards to the 
spindle. By suitable setting of feed (mm/rev) and depth of 
Schematic illustration of turning  cut (mm) with the use of adequate geometry of cutter, it 
operation showing various features allows the forming of various feature profiles on the 
cylindrical solid rod piece.
Feed marks and surface finishing on  In the LHS figure, it shows the exaggerated surface 
a turned surface profile on a turned rod surface. It illustrates the 
marks left on the surface varies with the effective 
cutting zone of the cutter and the feed in relation to 
the cutting edge angle. As mentioned, the combined effect 
of depth of cut and longitudinal feed of cut gives different 
traces of spiral cut path on workpiece surface. Its resulted 
turned traces affect the surface finishing. Other influential 
factor determining the turned surface is the nose of the 
cutter. Physically, with constant rotational speed and feed, 
the variation of a cut trace is smaller with larger tool nose 
radius, as lesser change within the measurable region can be 
detected. Hence, those replicated marks constituting of the 
surface roughness of the rod can basically be evaluated by 
the following equation:
Surface roughness:
f2
Ra
8R
where
Schematic illustration of exaggerated 
f feed
feed marks on a turned surface
R tool - nose radius
 Turning Tools and Inserts In the top LHS figure, (a)  shows the schematic illustration of 
right‐hand cutting tool, its features and relevant 
terminologies.  Generally, the various end cutting edge 
angles on these tools affect the machining quality and 
features.  This is because it determines the cutting nose 
radius and tip, and also the displacement of chips which 
may create problems of cooling and rubbing on the cutting 
tool and the cut surface. Such actions are often 
deterministic to the durability of tool life too. Although 
these tools traditionally have been produced from solid 
tool‐steel bars, individual geometries of cutting tools imply 
high replacement cost involved. Approach is thus sought to 
minimize such cost. Hence, making a common toolholder to 
be fixed with various tool inserts which are made with 
Schematic of and terminologies involved with the turning  different end cutting angles and cutting nose radii, as 
tools and inserts shown in (b). Such approach allows to replace the cutting 
tool in (a) largely with those inserts as shown in (b), so as to 
save the tooling cost. These inserts are generally made of 
carbides and other materials of various shapes and sizes. 
In the bottom LHS figure, some typical carbide inserts with 
various shapes and chip‐breaker features:  Round inserts 
are also available, as can be seen in the following two 
figures in next slide.  The holes in the inserts are 
standardized for interchangeability in toolholders

Some typical carbide inserts
 Mounting and strength of  The top LHS figure shows the methods 
of mounting inserts on toolholders. It 
inserts generally involves with:  (a) clamping 
and (b) wing lockpins.  However, in (c), it 
gives examples of inserts mounted with 
threadless lockpins, which are secured 
with side screws
The bottom LHS figure illustrates the 
relative edge strength and tendency for 
chipping of inserts with various shapes.  
In view that tool inserts generally 
experience shearing force and they may 
be shorn to fracture if weak. Design with 
large cross sectional area to resist shear 
or with geometry to exert smaller shear 
Mounting of inserts on toolholders is supposed to be stronger. Hence, 
strength is frequently referred to as the 
cutting edge indicated by the included 
angles. The top arrow suggests that the 
inserts are getting stronger from smaller 
angle to larger angle. In view that chips 
tend to be entangled if smaller clearance 
space between workpiece and cutter is 
allowed to releasing. Such entanglement 
results in increase in friction and 
roughening the cutting surface. Hence, 
the increasing chipping and breaking is 
as shown in the bottom arrow.
Relative strength of insert shapes
Cutting Screw Threads The LHS figure shows setup features and principles of 
cutting screw threads with turning machine. 
Sub Fig. (a)  illustrates that for cutting screw threads on a 
lathe with a single‐point cutting tool. Generally, the 
minimization of spinning effect which likely results in 
more materials to be cut off at largest spin envelope. End 
spindle is thus pushed to hold the free end of the 
workpiece. Note that  the shape of cutter tip is invert ”v”  
and body width is narrow. The depth of valleys can be 
increased gradually by a series of passes. 
Sub Fig. (b)  shows the sequence for cutting screw 
threads with a single‐point tool in several passes, 
normally utilized for large threads.  The small arrows in 
the figures show the direction of the transverse feed into 
workpiece, and the broken lines show the position of the 
cutting tool as time progresses.  Note that in radial 
cutting, the tool is fed directly into the workpiece.  In 
flank cutting, the tool is fed into the piece along the right 
face of the thread.  In incremental cutting, the tool is first 
fed directly into the piece at the center of the thread, 
then at its sides, and finally into the root. 
Sub Fig. (c)  demonstrates a typical coated‐carbide insert 
in the process of cutting screw threads on a round shaft. 
Sub Fig. (d)  illustrates the approach for cutting internal 
screw threads with a carbide insert.
Lathe Cutting 
Operations
Although all parts to be cut with lathes need to be 
circular or properly known as axisymmetric. 
Miscellaneous cutting operations, as illustrated in 
LHS figure,  that can be performed on a lathe. 
However, the tools used, their shape, and the 
processing parameters are different as 
demonstrated in the figure at left hand side. 
Noting: for straight turning the tool shape and 
feed direction (a) is different with those of taper 
turning (b); likewise those for profiling (c) differ 
with those for turning and external grooving (d) 
even‐though the tooling is the same; those for 
facing (e) are  obviously differing with those in 
face grooving (f); forming certain profile on a 
section (g) can be done with a form tool; boring 
and internal grooving (h) requires a sufficiently 
large hole to be drilled first (i); cutting off (j) a 
section off the rod can be done with narrow cutter 
to be moved transversely (j); threading on the rod 
can be achieved with inverse “v” tool (k); knurling 
a part of workpiece (l) requires the use of a 
knurling tool against the surface of a workpiece. 
 Drilling

The top figure illustrates various types of drills and drilling and reaming operations. Note: Drilling with drill has sharp cutting edge 
and tip bit – It is used to drill solid material initially without any through‐hole in and finishes with a taper end in a relatively deep 
hole. The step drilling with relatively blunt blade edges and stepping, which is not for drilling deep hole. Core drilling, 
counterboring, countersinking, and reaming usually are performed with an hole drilled by drilling first, which is either enlarged or 
sunk with large end to burry or to encapsulate the bold head of a fastener. Central drill is just for drilling for locating centre for 
further drilling with bigger diameter drill. The gun drilling is originally for supplying coolant water in drilling action. However, it may 
deepen hole to certain extent if the pressured coolant has sufficiently high force production.
It can be seen that drilling processes like core drilling, counterboring, countersinking, and reaming usually require through holes or 
blinded holes of certain depths being pre‐drilled first. This is because their relevant tools have no sharp cutting tip bit to displace 
materials beneath them. 
Helical Reamer and Inserted‐Blade Adjustable Reamer

In drilling, sometimes the available drill is smaller than the specified hole, and 
the taper bottom of a drilled hole is needed to be removed. Hence, boring 
and reaming may be undertaken. The above figure shows the construction of 
the available reamers and illustrates in (a)  for the terminology of a helical 
reamer, and in  (b)  for the configuration of an inserted‐blade adjustable 
reamer.
Proper Methods of Applying Cutting Fluids
During cutting, heat is generated which tends
to soften the cutting tool. This adding to the
rubbing of tool and workpiece results in tool
wear. Furthermore, the high temperature of
workpiece surface also leads to roughening
surface on the workpiece. As the integrating
consequence of this, the quality of the cutting
surface is not as good as expected.
Furthermore, the durability of cutter is
significantly shortening. Hence, proper
application to effectively carry out heat from
both surfaces is essential. The LHS figure shows
the schematic illustration of the proper
methods of applying cutting fluids (flooding) in
various machining operations: (a) turning, (b)
milling, (c) thread grinding, and (d) drilling. As
illustrated in LHS figure of (a) and the RHS
figure of (a), cutting fluid should be applied as
close to the cutting region whatever possible.
Likewise it is also the same for milling process
as shown in (b), for grinding as illustrated in (c),
and for drilling as shown in (d). Although flow
Techniques to apply cutting fluids rate of cutting fluids enhances cooling
efficiency, the setup features of any system
usually limit the admissible flow rate effectively.
Machining (2)

MBE 2106
Milling
Book to refer to
Chapter 24 in the textbook:
Kalpaljian, Serope and Schmid, Steen, “Manufacturing Engineering and 
Technology”, 5th edition, Prentice Hall, Pearson, ISBN 0‐13‐107639‐7
 LHS figure is the schematic illustration of 
Milling machines (a) a horizontal‐spindle column‐and‐knee 
type milling machine (An arbor bridges 
the column and the mounting block at 
the free end of overarm. Cutter is 
fastened through the arbor) and (b) 
vertical‐spindle column‐and‐knee type 
milling machine (Cutter is mounted into 
spindle in the head and spins to cut 
workpiece in T‐slot on the mounting 
table). 
For (a), the cutter is mounted onto the 
horizontal arbor with diameter of cutting 
blade in vertical plane. Although the 
design and mounting of (a) provide 
rigidity, it constrains certain materials 
removal operations.
For (b), the cutter is mounted into the 
vertical chuck in head, forming a free 
end cantilever system. Hence, its rigidity 
is relatively poorer than that for (a)
 Cutters Ref to the last slide (Slide 17), the features for 
mounting cutter on arbor in parallel to its head 
for the horizontal milling, which is similar to a 
built‐in beam structure, make the system 
becomes more rigid. It is thus possible to have 
relatively higher rate of metal removal when 
compared with vertical milling machine (which 
has cutter mounting feature as in cantilever 
system mode). However, the cutting wheel in 
vertical plane means that the stopping of the 
cutting wheel anywhere in the workpiece leads to 
sloping edge and its surface may not be smoothly 
finishing, as shown at the cutting front in (a). 
Hence, it is widely used in peripheral cutting with 
heavy removal rate. With two cutters mounted 
with space in between, it is possible to have 
straddle milling as in (a), and form milling as in 
(b). The use of wide cutting breadth of a cutter 
allows slotting of a heavy groove as in (c). Correct 
Design features of special cutters for (a) straddle milling, (b) form milling, (c) 
use of cutting breadth facilitates slitting of 
slotting, and (d) slitting with a milling cutter different thicknesses of plates (d).
Milling Cutters and Milling Operations LHS figure shows some basic types of milling cutters 
and milling operations.  (a)  Peripheral milling with 
horizontal milling machine.  (b)  Face milling with 
vertical milling machine  (c)  End milling with the 
use of vertical milling machine.  (d)  Ball‐end mill 
with indexable coated‐carbide inserts machining a 
cavity in a die block with vertical milling machine.  
(e)  Milling a sculptured surface with an end mill, 
using a five‐axis numerical control machine. 
Among these milling operations, (a) peripheral 
milling and (b) face milling are conducted with 
horizontal milling machine so that they take the 
advantages of high rigidity and high removal rate, 
which tends to give better dimensional accuracy. 
The operations in (c) end milling, (d) ball end 
milling, and (e) end milling for sculpturing surface 
are often undertaken with vertical milling machine. 
This is mainly because vertical milling gives high 
level of accessibility of removing materials, and also 
furnishes with vertically right angle milled wall. 
Although it is hard to remove high rate of materials, 
its indexability caters possibility of automating the 
milling processes with computer aided control or 
with the use of computer numerical control milling 
operations. 
Milling operations

The above figure shows: (a)  Schematic illustration of conventional milling and 
climb milling.  (b)  lab‐milling operation showing depth‐of‐cut, d; feed per 
tooth, f; chip depth‐of‐cut, tc; and workpiece speed, v.  (c)  Schematic 
illustration of cutter travel distance, lc, to reach full depth‐of‐cut
Face Milling Operations

The above figure shows some face‐milling operations: (a) action of an insert mounted 
in cutter in face milling; (b) climb milling with rotational blade teeth pointing in the 
same direction as workpiece sliding direction; (c) conventional milling with rational 
blade teeth of cutter in the opposite direction as workpiece sliding direction; (d) 
dimensions in face milling.  The width of cut, w, is not necessarily the same as the 
cutter radius, depending on cutter radius and the specific width of cut anticipated.
Face‐Milling Cutter with Indexable Inserts

LHS figure shows a face‐milling cutter mounted with indexable 
inserts and its relevant terminology: notes that it has end cutting 
edge angle, axial rake, end relief, corner angle, and radial rake for 
cutting and chip relief. 
T‐Slot Cutting and Shell Mill The LHS figure illustrates (a)  T‐slot cutting with 
a milling cutter, which involves firstly with 
cutting the slot to anticipate depth and size, 
followed by the second cut with a shell mill 
fastening at the end of cutter for the production 
of T‐slot.  (b)  A shell mill, which is used to cut 
the T‐slot.
As T slot is difficult to be produced by horizontal 
milling machine because of its constraint in 
setting up features, vertical milling machine is 
often used. The cutting of T slot can be 
performed by two stages: (i) selecting a cutter 
with diameter almost equal to the small slot 
width, and milling almost to the depth of the T 
slot; (ii) mounting the shell mill cutter in (b) to 
the end of chuck and properly setting the top 
holding sleeve, above the top surface of the 
shell mill cutter, to a height of the smaller depth, 
which is then moved unblocked to the far end of 
the milled small slot, and subsequently 
activating the movement of the workpiece table 
to slide relatively to the vertical chuck to 
complete the milling. 
 It shows some typical parts that can be made on 
Parts Made on a Planer a planer.
Generally, planer can be achieved by either 
horizontal or vertical milling machine.  It 
commonly involves with shaping a workpiece 
into planes and then making some features 
like slots or grooves on the planes as 
illustrated in (a) and (b). The milled inclining 
features along either edges in (a) are 
achievable with special cutting blade or 
inclining the workpiece platform to certain 
angle if horizontal milling machine is used. 
When vertical milling machine is used instead, 
the chuck spindle can be suitably adjusted to 
the required angle or tilting the workpiece 
holding platform to the angle. After milling, it 
can be slit off to the anticipated length 
accordingly. 
In milling of planer (b), both horizontal and/or 
vertical milling machine can be used. It can be 
firstly planed and then slot on each plane is 
milled or slotted accordingly. This is then 
followed by slitting the part to many parts 
with anticipated length. 
Broaching It shows (a)  some typical parts made by 
internal broaching.  (b)  some parts made by 
surface broaching.  (Note: Heavy lines indicate 
broached surfaces).  (c)  A vertical broaching 
machine for broaching those parts in (a) and in 
(b) sometimes.
The internal features in the cylindrical part are 
usually broached, which normally involves with 
turning of the outer profile, drilled the internal 
hole, then broaching tools up and down in the 
internal holes and broaching the inner holes to 
the designed features as shown in (a) by 
different sequences and tools. 
In (b), the internal features of the parts are 
made by other machining processes first, 
which is followed by broaching the external 
surface of the parts for the achievement of 
various external features.
In (c), it shows the design of an broaching 
machine. 
Broach Geometry and Chipbreaker Features on Broaches

LHS Figure: (a)  Cutting action of a broach showing the progressively 
broaching of various features.  (b)  Terminology generally used for a broach; 
RHS Figure: Chipbreaker features on (a) a flat broach and (b) a round broach.
Part with Internal Splines  LHS figure illustrates an example of a 
Made by Broaching part with internal splines produced 
by broaching. The external profile is 
processed by other manufacturing 
operations. The internal splines in 
the through hole  in the middle are 
broached from LHS to RHS with the 
use of adequate broaching 
machinery.
Sawing Operations The LHS figure demonstrates some
examples of various sawing operations
for sawing off different features from
workpieces. Features on sheet metals or
metallic plates or block /rod can be
sawing off by various sawing operations.
Typically: it can cut off the workpiece
into two parts by ripping (a), sawing off
internal features somewhere on
workpiece which is termed internal cuts
(b), sawing some inclination features
from a bendpiece as angular cuts (c),
contour cutting some features from a
block materials which is termed contour
cutting (d), sawing off a stack of profiled
sheets individually into two or three
separate parts is called stack cutting (e),
and sawing a disk plate from a single
crystal ingot with sawing blade as shown
in (f).
Saw Teeth

LHS figure shows the (a)  
Terminology for saw teeth.  (b)   RHS figure shows the saw teeth of (a)  
Types of tooth sets on saw teeth  High‐speed‐steel teeth welded on a 
staggered to provide clearance for  steel blade.  (b)  Carbide inserts 
the saw blade to prevent binding  brazed to blade teeth
during sawing
Involute Spur Gear

Nomenclature for an involute spur gear
Gear Generating 
with Various Cutters

LHS Figure showsL (a)  
Producing gear teeth on a 
blank by form cutting.  (b)  
Schematic illustration of gear 
generating with a pinion‐
shaped gear cutter.  (c) and 
(d)  Gear generating on a gear 
shaper using a pinion‐shaped 
cutter.  Note that the cutter 
reciprocates vertically.  (e)  
Gear generating with rack‐
shaped cutter
Bevel Gears

It shows how setup for (a)  Cutting a straight bevel‐gear blank 
with two cutter.  (b)  Cutting a helical bevel gear
Finishing Gears 
by Grinding

It shows various 
setups and tools used 
in finishing gears by 
grinding:  (a) form 
grinding with shaped 
grinding wheels; (b) 
grinding by 
generating with two 
wheels.