Size Effects in Manufacturing of Metallic Components

CIRP Annals - Manufacturing Technology 58 (2009) 566587
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CIRP Annals - Manufacturing Technology

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Size effects in manufacturing of metallic components

F. Vollertsen (1)a,*, D. Biermann b, H.N. Hansen (1)c, I.S. Jawahir (1)d, K. Kuzman (2)e
a
Bremer Institut fuer angewandte Strahltechnik (BIAS), Bremen, Germany

Institut fur spanende Fertigung (ISF), TU Dortmund, Germany
Department of Mechanical Engineering, Technical University of Denmark, Kgs. Lyngby, Denmark
d
Department of Mechanical Engineering, University of Kentucky, Lexington, KY, USA
e
University of Ljubljana, Ljubljana, Slovenia
b
c
A R T I C L E I N F O
A B S T R A C T
Keywords:
Forming
Machining
Size effects
In manufacturing of metallic components, the size of the part plays an important role for the process
behaviour. This is due to so called size effects, which lead to changes in the process behaviour even if the
relationship between the main geometrical features is kept constant. The aim of this paper is to give a
systematic review on such effects and their potential use or remedy. First, the typology of size effects will
be explained, followed by a description of size effects on strength and tribology. The last three sections
describe size effects on formability, forming processes and cutting processes.
2009 CIRP.
1. Introduction
2. Basics
Rules for up- or down-scaling are extensively used in uid

dynamics, enabling experiments with smaller samples, which are
cheaper and much easier to conduct than real size experiments.
The theory of similarity describes the conditions which must be
satised for a successful up- or down-scaling for that purpose.
Pioneering work in this area was done by Pawelski [1,2], who
worked on the rules of similarity with respect to metal forming,
reportedly the earliest [3,4]. It was shown that the rules of
similarity can help to design proper experiments, for example, for
compression testing with lubrication [5]. But, due to the complex
nature of processes such as metal forming, Pawelski comes to the
conclusion that it is often not possible to obey all necessary rules of
similarity when up- or down-scaling a process [6], while the
results of those limitations lead to so called size effects. A recent
research work illustrates such effects in solid metal processing
through simulation [7].
Microtechnology is very prominent eld where size effects
play an important role. Reviews on micro forming highlight the
importance of size effects in this eld [8,9], where long-term
basic research is required to realise industrial applications [10].
Also in the assembly of micro systems, size effects are one of the
problems to be solved [11]. Also, it is evident from the recent
review on micro machining [12] that no major effort has been
made relating size effects, and no recent interdisciplinary
review on size effects was reported since then. The aim of this
paper is to comprehensively review the work done with respect
to size effects.
2.1. Denition
In order to establish the contents of this paper, size effects need
to be dened rst. This is done as proposed in [13] as follows.
Size effects are deviations from intensive or proportional
extrapolated extensive values of process characteristics which
occur, when scaling the geometrical dimensions.
Size effects occur due to the fact that the ratio among all
decisive features cannot be kept constant according to the process
requirements [13].
Intensive variables are those which do not change with the
mass, for example, temperature, density, etc.
Extensive variables are those which change with mass, for
example, heat content, inertia force, etc.
Scaling means to reduce (down-scaling), or increase (upscaling) all relevant length dimensions of the workpiece, the tools,
and/or the processing parameters in a geometrically similar way,
i.e., by a constant factor.
Geometrical dimensions might be workpiece, tool and/or
geometrical process dimension(s).
Size effects can be benecial, neutral or detrimental. Despite the
fact that such size effects can occur in all manufacturing processes,
this paper is limited to metallic parts and those processes, which
are based on plastic deformation, i.e., metal forming and
machining. It is also emphasized by the denition that size effects
are of somewhat surprising nature at the rst glance, as they occur
despite the fact that the length relationship between all geometric
features are held constant.
2.2. Typology
* Corresponding author.
0007-8506/$ see front matter 2009 CIRP.
doi:10.1016/j.cirp.2009.09.002
One early approach for a typology, e.g., a systematic order of

size effects in manufacturing is given in [14]. An update was given
F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587
Fig. 1. Categories for size effects [13].
in [7] by dening systematically the sources of the size effects. This

approach was recently revised [13], and the result is given in
Table 1. The classication is made into three categories, which are
in turn divided into subgroups.
The basic approach of the typology is to characterize the effects
using the kind of value, which is held constant during scaling and is
responsible for the effect. Based on this, density, shape and (micro)
structure effects can be distinguished, see Fig. 1.
Density effects occur, if the density as an intensive variable
is held constant during scaling (up or down). Three different kinds
of density can be distinguished, as the feature can be an interface
area, a line or a point. For example, consider a constant defect
density, e.g., pores, in a brittle material. In big samples, there will
be a large (absolute) number of such defects, resulting in low and
constant fracture strength. But, if one prepares very small samples
from the same material, some samples will contain no defect, while
others will contain one, resulting in a considerable difference in the
strength and scatter in strength between the big and small
samples. This effect is well known, and is described by the Weibull
distribution.
The category of shape effects comprise such effects that
occur due to the fact that the volume of a part is proportional to the
third power of its size r3 while the surface goes with the second
power r2. Changing the size r, while keeping the shape constant,
would result in an inevitable change in the relation of surface to
volume by 1/r. All effects which are based on volume-related and
surface-related values are summarized here. The two subgroups
of this category, distinguished by these effects, were the volumerelated values which are concurrent to surface-related ones (i.e.,
shape balance effects), and those where the observed value is a
sum of volumes dened and surface dened sub values, while the
relative amount of the two change due to scaling (shape sum
effects). One example of a shape balance effect is the size effect
in handling, for example, the sticking effect described in [11].
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This size effect, which makes it difcult to release small parts

from grippers, is due to the change of the relation (the balance)
between the surface-determined adhesion forces and the volumedetermined gravitational forces.
The group of microstructure effects comprise such effects
which occur due to the fact that it is (in practice) impossible to
scale all structural values simultaneously by the same factor. This
group can be subdivided into three categories, which distinguish
between those effects, where it is physically not possible to change
a characteristic length, where it is not practised to scale the micro
geometry and where secondary artefacts occur while trying to
scale in an appropriate way. One size effect of the characteristic
length type is the limited validity of the HallPetch relationship,
described in [15]. The grain size is the three-dimensional feature,
which is scaled down, while the diameter of dislocation loops is the
characteristic length. As explained in [15], the HallPetch relationship is not valid in copper below a grain size of about 50 nm, as
dislocation loops cannot be scaled down to such a grain size.
Further details about the typology are given in [13].
3. Flow stress
3.1. Experimental ndings
3.1.1. Methods for scaled strength determination
The measurement of the ow stress in scaled experiments, for
example, when the sheet thickness or rod diameter is reduced,
can become very difcult in the micro range, as the handling of
the small samples tends to introduce distortion and therefore
uniaxial stress conditions are difcult to guarantee. Furthermore,
machines are necessary which allow the adaptation of the loading
parameters (e.g., speed) to the sample size. One solution for such
a machine, which can be used for different types of tests, was
developed and described in [16].
As tensile tests might become difcult, plane-strain upsetting
tests using stacked sheet metal samples were evaluated [17]. It was
seen from the results that the kind of sample type (loosely stacked
sheets or glued sheet packages) strongly inuenced the result,
while the number of layers showed no signicant inuence on the
measured ow curve [17], if the same annealing condition is
applied to the material before the test.
Due to edge effects an increase of the ow stress with
decreasing sample width was sometimes observed. In order to
exclude such effects, the bulge test was investigated for scaled ow
stress determination. Picart et al. [18] used a hydraulic bulge test
with two different die diameters (20 mm and 50 mm, respectively), which were held constant during testing of different sheet
thicknesses. They showed that there is a signicant inuence of the
die diameter on the measured ow stress [18]. Kurosaki used
scaled tool dimensions for hydraulic bulge tests on copper foils
having a thickness between 5 mm and 1 mm [19]. He showed that
Table 1
Typology of size effects according to [13].
Category
Subgroup
Density
Interface area density

Line length density
Point defect density
Shape
Models
Examples for size effects
Weibull model
Scatter in ow stress
Yield strength of whiskers
Changing failure strength of brittle material
Relation between forces

Relation between heating and cooling
Relation between generation and effusion of gas
Surface grain model
Adhesion to grippers in microtechnology

Stronger heating of large samples during forming
Pore formation in large welds
Increase in ow stress with increasing size
Microgeometry
Strain gradient plasticity

Dislocation drain strengthening
Dislocation starvation effect
Lubricant pocket model
Secondary artefact
Composite model
Texture model
Hardness decrease with increasing indentation depth

Strength increase due to dislocation pile up at a surface layer
Tensile strength of whiskers
Increase of friction with decreasing size
Increase of normalized cutting force with decreasing cutting depth
Decrease in ow stress with increasing size
Decrease in ow stress with increasing size, if grain size >
sheet thickness
Shape balance
Shape sum
Structure
Characteristic length
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while X are the measured values (ow stress, yield stress,

coefcient of friction, etc.), l is the characteristic length, and
min and max denote the minimum and maximum values,
respectively. The maximum relative importance Ii shows the
importance of the effects, as it accounts for the fact that the
differences in mechanical strength could be small, but the range of
sizes might be also small, see e.g., [24], where a strong inuence is
seen, while other investigations with wide ranges of sizes show

only little effects (see e.g., [19]).
It was surprising that the analysis shows almost always clearly
separated elds for the most important size effects. A scientic
explanation for the reduction of the maximum effect strength with
increasing characteristic size cannot be offered here. It seems to be
obvious that a certain effect shows certain strength and appears in a
certain size span. Despite the fact that it is not fully unambiguous,
Fig. 2 is a kind of map which would help to identify size effects from
experimental ndings. It also shows whether there is the probability
for an interaction of different effects. As the HallPetch effect occurs
in a similar size span like the surface grain effect, but is much
stronger, experiments concerning the surface grain effect must
carefully exclude the occurrence of the HallPetch effect, normally
by working with a constant grain size. The interference with Hall
Petch might be the reason, why in some published work the surface
grain effect was not detected despite the fact that a wide span from
5 mm to 1 mm in sheet thickness was investigated [19]. Unfortunately, in that study the grain size was not constant for the various
sheet thicknesses, but decreased steadily.
The composite effect, the strain gradient plasticity and the
surface grain effect will be explained in more detail in Section 3.2.
The dislocation starvation effect denotes a very strong effect which
is especially seen at the strength of whiskers, but not limited to
that. Whiskers are known as single crystals having no mobile
dislocations. Due to this, the strength of real whiskers is very high
and approaches the theoretical shear strength (see e.g., [25]). On
the other hand, as shown in Fig. 3 (data from [22]), the strength
drastically drops with increasing size. A similar effect was seen in
compression tests on gold cylinders having a diameter from
300 nm to 7.5 mm [26]. It can be explained by a dislocation
starvation model [26] which basically says that there is a
dislocation movement without dislocation multiplication inside
the sample. Dislocations have to be generated at the free surface
and travel through the whole sample, leaving the lattice at the free
surface on the opposite side without any dislocation multiplication, as the travel distance in small samples is smaller than
that necessary for reproduction (which is about 1 mm for silver).
As dislocation generation at free surfaces needs high stresses,
the strength of samples being smaller than 1 mm increases
signicantly.
In some work (see e.g., [20,2729]) on the surface grain effect it
was surprising that the strength increased with decreasing size, as
opposed to what was observed from the surface grain effect, see
Fig. 4. This effect, which occurs for samples having a thickness less
than the grain size, is qualitatively explained by the texture
generated during the preparation of the samples and the inuence
of the individual grains on the measured strength [30,31]. Based on
this, it is called texture effect in this paper. It is assumed that
the recrystallization leads to a grain orientation which shows a
higher strength than the average orientation in a polycrystal [28].
While the data from Di Lorenzo et al. and Raulea et al. in Fig. 4
have been measured by using a variation of the grain size by
recrystallization, the data by Gau et al., which were essentially
Fig. 2. Size range of appearance and inuence strength of size effects on the strength
of materials (see [13] for details).
Fig. 3. Strength of Cu-whiskers as a function of their size (data from [22]).
for those experiments the HallPetch relationship was still valid. A

new method for the determination of ow curves for micro
specimen, the Aero-Bulge test, was introduced by Hoffmann et al.
[20]. Here the ow curve is measured by pneumatic bulging of the
foil, while the ow stress can be calculated from the applied
pressure and the shape of the sample as in hydraulic bulge tests. It
was pointed out that the ow curve determination is much more
precise than that from tensile tests.
Micro hardness tests can be used also as a measure for the ow
stress, as it was shown by Chen et al., for a CuZn alloy, where a
relationship between ow stress kf and hardness H like
kf
H
3
(3.1)
was found [21]. The tests were made with a test load of 1 N. Other
results for copper show that also for nano-indentation with loads
down to 3 103 N, a good correlation can be found between the
tensile strength of whiskers and the strength calculated from
hardness tests [22].
A method which is especially developed for thin samples such
as foils down to some mm in thickness is the bending and
unloading test. Provided that the Youngs modulus of the material
is known, the strength at a certain strain can be determined just
from the measurement of the curvature after unloading [23].
Different strains can be achieved by mandrels having different
diameters. Due to characteristic length effects (see Table 1)
differences occurred between the results from tensile tests and
from bending tests.
3.1.2. Inuences on the mechanical strength
Size effects on the strength of metallic material (pure metals
and alloys) were investigated in a wide range of sizes, which covers
6 orders of magnitude. It seems that neither the material itself
(pure nickel, gold, aluminium; brass, aluminium alloys or high
alloyed steel), nor the shape of the samples (sheet, wire or
rectangular blocks) is of primary meaning for the results. The most
important feature is the size range [13].
In Fig. 2 an overview of the extent of different size effects is
given. While the x-axis shows the range of the characteristic size
(typically, the sheet thickness or the wire diameter, but also
indentation depth) of the samples used for the particular
investigation, the y-axis reects the maximum relative importance
of the measured inuence, the inuence strength Ii. This inuence
parameter is dened as [13]:
Ii
X max X min =X max X min

lmax lmin =lmax lmin
(3.2)
Fig. 4. Inuence of sheet thickness to grain size on the strength (yield strength Rp,
tensile strength Rm) for aluminium (data from [28,30,31]).
generated from samples with different thickness, do not show the

texture effect.
The defect strength effect was observed in an investigation of
composite samples due to the fact that the severity of strength
determining defects was increasing with increasing sample size
[32]. Despite the fact that the maximum relative importance and
the size range are nearly the same, the defect strength effect must
not be mixed up with the well-known Weibull effect on the
strength of materials having statistically distributed defects. The
Weibull effect is based on the fact that the probability for the
occurrence of a large defect, which determines the strength,
increases with the size of the part, as for a constant density of
defects, the absolute number of defects in a volume V increases
with V (see e.g., [33] p. 77).
The friction effect [3437] is a typical microstructure effect
from the micro geometry, especially the surface roughness. As
shown by [37], the coefcient of friction increases with decreasing
size, resulting in an increased inuence of the friction on the
measured ow stress.
569
Fig. 6. Increase of hardness with penetration depth for sapphire. The sample was
exposed to water and tested under a water lm (data from [39]).
surface layer is almost constant, e.g., not dependent on the sample

size (e.g., width). An analysis, based on a rule of mixture (Taylor
averaging model) showed that the yield stress in the deformed edge
regions increased by a factor of up to 3.5 which results in the
reported manufacturing-induced size effect (see [38]).
Despite the fact that most examples for composite models
demonstrate a decrease in strength with increasing size, there are
also examples for the increase of strength. The hardness of
sapphire was shown to be dependent on the penetration depth, but
not as expected from the strain gradient theory with a decrease,
but an increase of hardness was found with increasing indentation
depth, see Fig. 6 [39]. It was explained by a soft layer built in the
surface. It was also shown that the preparation of metallic samples
has a strong inuence on the measured dependence of hardness on
the indentation depth [39].
3.2.1. Composite model

The inuence of the processing steps in sample preparation were
measured and empirically analysed by [38]. Samples from pure
aluminium (Al 99.999) were prepared by different methods (laser
cutting, shear cutting, grinding) and partly ground prior to tensile
tests. As shown in Fig. 5, the yield strength signicantly increased in
the cutting process, while the inuence increases with decreasing
sample width. A similar effect was found by [20]. The difference
between the samples of different width disappears with increasing
strain during tensile testing. The size effect was explained by the
strain hardening of the edges due to plastic deformation by the
cutting process (in laser cutting, the shielding gas pressure is
responsible for that deformation). The thickness of the affected
3.2.2. Passivation layer model

In the case of very thin hard layers, strong size effects can occur
even if the measured strength is corrected with respect to the
effect described by the composite model (i.e., the strength of the
hard layer was subtracted from the measured value of the
composite). As shown in Fig. 7 the passivation layer leads to a
large increase in the strength. This inuence was the strongest one
within all effects reported here, see Fig. 2.
The increasing difference in the yield stress of passivated
copper lms compared to unpassivated ones is explained by a
dislocation blocking mechanism at the passivated surface [24]. As
this is a short-range interaction between the passivation layer and
the dislocations inside the copper lm, the difference between
passivated and unpassivated lms disappears for lm thickness
above 1 mm. Over a half century ago, this effect was anticipated as
explanation for the strength of aluminium single and bi-crystals
[40], but due to the size of their samples being some millimetres in
thickness there is some doubt that the theory was applicable to this
case.
Fig. 5. Technical stresstrue strain curves of Al 99.999 after laser cutting (by
courtesy of [38]).
Fig. 7. Strength of copper lms having a thickness h of 0.34 mm up to 4.2 mm with

(passivated) and without hard coatings (by courtesy of [24]).
3.2. Description of size-dependent ow stress
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3.2.3. Strain gradient model

One of the big disadvantages of conventional methods to
describe the local ow stress is that the models predict a uniform
ow stress, which depends only on the (homogeneous) strain,
strain rate, temperature, but does not account for any strain
gradients. Therefore, the description of processes having high local
strain gradients, such as the deformation at crack tips, the
indentation of a cutting tool tip or the torsion of thin wires is
extremely difcult, if not impossible. The description of the size
dependence of hardness on the indentation depth became the
benchmark for theories related to the strain gradient model. Nix
et al. [41] give a good introduction to the development of the strain
gradient model by Ashby [42], Fleck and Hutchinson [43,44], while
Bazant et al. published a comprehensive review on the development of the strain gradient models [45].
The basic approach of the strain gradient models is that they
dene two groups of dislocations, the geometrically necessary
dislocations (GND) and the statistically stored dislocations (SSD).
The SSD are those which are accounted for in conventional models.
They are produced during plastic deformation and are stored
homogeneous when looking from a macro scale, but statistically
distributed on the micro scale. Depending on the process, GND are
necessary to accommodate for strain gradients, the easiest
example is plastic bending of a sheet, where large deformation
is introduced near the surface and no plastic deformation occurs in
the neutral layer. To accommodate such strain gradients, GND are
stored in the lattice having a distribution according to the strain
gradient. The interaction width of the GND with mobile dislocations is described using length scales. For example, Zhao et al. [46]
report length scales for six different materials (Al, Ag, Ni, Cu, a-TiAl
and g-TiAl, with length scales of 2.8 mm, 6.2 mm, 4.3 mm, 1.1 mm,
74 nm and 49 nm, respectively), while [41] found length scales of
12 mm and 5.8 mm for annealed and cold worked copper. The
differences between the values are not only due to the material,
but also due to the different theories. As the mobile dislocations
interact with GND and SSD in the same manner, and based on this,
plastic deformation within materials having strain gradients can
be described properly.
To simulate micro forming with consideration of size effects,
the theory of strain gradient plasticity was used in FE-simulation
for forming of thin sheet, improving the efciency of the
simulation [47,48]. Further improvements were achieved by
combining a strain gradient elasto-plastic model and a surface
grain model. It is concluded that the surface grain model helps to
describe the integral forces, while the concurrently applied
strain gradient plasticity approach removes the sensitivity of the
model on the FEM element size [49].
Based on the FleckHutchinson strain gradient plasticity
theory, a nite element method was used to predict the indenter
size dependent hardness [50]. A nonlocal micromechanical
damage model based on the strain gradient plasticity was used
for FE-computation of plastic deformation to predict the failure
behaviour of a vessel steel [51].
3.2.4. Surface grain model
The surface grain model describes a size effect which is a typical
shape sum effect, as it occurs due to the fact that the measured ow
stress of a sample is the sum of the share of volume grains and
surface grains. When changing the size of the sample while
keeping the shape (and the grain size) constant, the share of
surface grains increases, which results in decreasing ow stress
with decreasing sample size. Surface grains are those which have at
least one grain boundary on a free surface, volume grains are those
which are in contact with other grains at all its grain boundaries.
First systematic results with respect to micro forming were
given by Geiger et al. [52], showing a strong inuence of the sample
size on the ow stress. A systematic description of the effect was
proposed by Kals et al. [53] by dening a quantitative value for the
share of surface grains. An empirical formula for the ow stress in
dependence on grain size and scaling factor was proposed [54], but
Fig. 8. Change of ow stress with increasing share of surface grains; circles are values
measured from rod samples, rectangles are those from sheet samples (data from [53]).
despite the fact that the calculated values correlated well with
the experimental ones, this model had the typical weakness of
empirical models as the inuence of surface grains was only
accounted for by using experimental data. As the share of surface
grains is dependent of the geometry of the cross-section, differences for the ow stress of at and rod specimens are expected.
It is shown qualitatively that such differences exist. If one plots the
data from [53], such as shown in Fig. 8, the clear inuence of the
surface grains can be seen.
Using the size-dependent ow stress, a better correlation
between experimental and numerical results can be achieved [53],
which is also emphasized by other authors [55]. A model based on
the assumption of soft surface areas according to the surface grain
theory was demonstrated to enhance the FEM simulation in bulk
metal forming [56]. It must be emphasized that the reduction in
ow stress with decreasing size due to the surface grain effect must
be carefully applied in calculations for forming processes. In
bending processes, the surface layers exhibit higher strains than
the core layers, which led to the conclusion that the local ow
stress, instead of a mean ow stress, should be used in FEM
calculations [57]. In the case of tool contact, the effect of the surface
grains also disappears. Due to this, no surface grain effect is
observed in extrusion (nearly full contact at all surfaces), while in
plane-strain upsetting only a smaller fraction of the surfaces
compose free surfaces, thus, reducing the inuence strength to less
than 0.1, which can be seen from the results in Fig. 2 of [58].
3.2.5. Transition areas
There are two very important transition areas to be looked into in
modelling, as a change of the most important effect can occur there.
The related effects for the rst transition have been described in an
early paper by Armstrong [59], who additionally pointed out some
effects on scatter. If one starts with a large polycrystalline sample,
the material might be described as homogeneous and continuum.
For the strength of the material, the HallPetch relationship can be
applied. Reducing the size, for example, going from the right to the
left in Fig. 9, the rst transition occurs, when a characteristic length
Fig. 9. Transition from poly to single crystal [231].
571
Fig. 10. Stressstrain curves from brass having different number of grains in crosssection (by courtesy of [60]).
approaches the grain size. The material behaviour changes from

polycrystalline to single crystalline behaviour. A drop in ow stress
and, due to readability not shown in Fig. 9, an increase in scatter can
be noted. Further reduction in the sample size will lead to a second
transition area, where the material behaviour has to be described on
an atomic level, and not as a single crystalline material. According to
Fig. 2, the rst transition takes place at about 10 grains in the crosssection, which is consistent with the ndings from [59] (less than
20). Other authors expect the transition for signicantly less grains,
as small as 2 [60] (see Fig. 10) or more grains of up to 50 [61].
A very comprehensive model by Justinger et al. [62,63] on the
scatter leads to the conclusion that 50 grains should be in the
deformed volume. The deformed volume is for example the crosssection of a tensile sample or a ring element in the ange during
deep drawing. If there are fewer grains in the relevant volume, the
scatter will increase. The model is then based on the calculation of
the Taylor factor, and it deduces the expected scatter for the
process force. The earlier onset of scatter (below 50 grains in the
cross-section) is not a contradiction to the noticeable reduction of
forces at a lower number of grains along the thickness.
The second transition is expected, if the characteristic size of
the objects approaches the characteristic length at which the
validity of the dislocation theory has its limits. This will be at
feature sizes of some mm, being relevant for micro cutting, but less
relevant for micro forming. According to Fig. 2, this is expected at a
dimension of 110 mm.
4. Tribology
4.1. Scalable friction tests
From the large variety of tests for the determination of the
coefcient of friction (COF), only a few were used in scaling
experiments. This is obviously due to the fact that many tests
demand the use of special equipment such as the DuncanShabel
test or the draw beam simulator, which cannot be directly used for
scaled experiments, but would demand a large number of scaled
devices. Therefore, the high costs for the equipment prevent the
application of many friction tests. Nearly all tests which are used in
scaled experiments are based on the numerical identication of the
COF or the friction factor m. No comprehensive work using direct
measurement of friction forces in scaled experiments was found in
the literature. Only Mori et al. used a direct measurement of the
COF and, and gave an in-depth analysis of the results, but only two
different sizes, with contact areas of 13 mm2 and 75 mm2, were
used [64].
The ring-upsetting test, which uses the friction-dependent
change of the inner diameter when upsetting a ring-like sample, is
one of the most frequently used tests in scaling experiments [65
67]. The identication of the COF or the ction factor m is mostly
done by FEM simulation. Especially, Geiger and Engel et al. make
Fig. 11. Changes in COF determined by a double deection stripe drawing test [74].
alternatively use of the double cup extrusion test [6870] for

scaled experiments.
For sheet metal forming, experiments conducted with scaled
deep drawing dies are used for the determination of the COF. In the
reported work, either the COF is determined from the maximum
force in deep drawing [71], or it is identied by a numerical
identication based on an analytical model for a stripe drawing
test with twofold deection [72,73].
4.2. Lubricated friction
4.2.1. Sheet metal forming
Generally, the COF appears to increase with decreasing size.
According to Fig. 11, the COF decreases with increasing contact
pressure up to a contact pressure of 5 MPa, above which the COF is
almost constant. For a scaling factor of 100, the COF increases by a
factor of 2.4 (at a contact pressure of 5 MPa), which probably can be
explained by the lubricant pocket model (see below). Due to the
importance of the friction in sheet forming, the FEM simulation can
be signicantly enhanced when using size-dependent COF [74].
Especially if the non-uniform pressure distribution is taken into
account, very good results are derived for different dimensions of
the workpiece [75].
The same order of magnitude and drop of the COF is measured
by the numerical identication from the maximum drawing force
[71]. In contrast to the results shown in Fig. 11, only one COF,
independent from the contact pressure is determined by this
method. However, the increase of the COF from 0.05 to 0.13 for
punch diameters of 50 mm and 1 mm, respectively, correlated well
with the other experiments.
Using the size-dependent COF, the change in the limiting
drawing ratio (LDR) in scaled experiments was interpreted [76]. It
was seen that the COF is one of the decisive, but not the only factor
for the changes in drawability.
4.2.2. Bulk metal forming
One of the rst investigations of scaling effects in bulk metal
forming, which showed a considerable inuence on the friction
behaviour, was done by Pawelski et al. [77]. A reduction in the
coefcient of friction with increasing size was found [3]. The trends
obtained in lubricated friction experiments in bulk metal forming
are the same as that in lubricated sheet metal forming, i.e., the
coefcient of friction [58] or the friction factor [68] increase with
decreasing size. All observations are explained by the lubricant
pocket model, while a model by Engel et al. also accounts for the
surface texture [78].
Scaled plane-strain compression tests were used to evaluate the
size effect on the COF in bulk metal forming with the aim of
application on at rolling [58]. Lubrication with oil was used for
572
Fig. 12. Size effect on the COF in bulk metal forming for plane-strain compression
tests (data from [58], OF-copper lubricated with drawing oil).
the detection of size effects, while tests using a combination of

PTFE foil and boron-nitride gave standard results with a COF of 0.1.
As shown in Fig. 12, the COF increases by a factor of 3.8, when
decreasing the size from 4 mm to 0.5 mm. Also rolling experiments
showed a similar trend, but due to some severe restrictions in the
scaling possibilities the observed effect in rolling was much less
pronounced [58].
The double cup extrusion test is applied for the determination
of the friction factor m in scaled experiments, where the difference
in sample size was only 4 [68] or 8 [79,80]. Nevertheless, a
signicant increase in the friction factor from 0.01 to 0.05 was
detected, which is equivalent to an inuence strength (Eq. (3.2)) of
1.1. The experiments were done using constant deformation rate
instead of constant sliding speed, but it was shown in [79] that the
inuence of the sliding velocity is rather small in the range of the
applied values.
Also, in upsetting tests of AA7075 a strong size effect was
observed. Scaled experiments, with MoS2-grease as lubricant,
showed an increase in the coefcient of friction from 0.03 to 0.09
when the diameter of the samples is decreased from 6 mm to 1 mm
[81].
4.2.3. Lubricant pocket model
The lubricant pocket model is the only one available model for
the explanation of size effects in lubricated friction. Pawelski et al.
[77] were the rst to offer a suggestion to explain experimental
data using the basic feature of this theory, but without offering a
quantitative description of this model. The basic feature of this
model is the fact that lubricant is entrapped in pockets between
the surface of the workpiece and the tool. If these pockets are fully
sealed by a surrounding uninterrupted direct contact of the two
surfaces, the lubricant cannot escape and a pressure can be built
up, which quickly achieves nearly the value of the local contact
pressure between the die and workpiece [82]. This lubricant bears
a part of the load, to which the workpiece is exposed by the tool. In
contrast to the load-bearing direct contact between tool and
workpiece, there is essentially no shear stress transferred by the
indirect load by the lubricant. At the free border of the macroscopic
contact area, the lubricant can pour out of the lubricant pockets, as
these have free surface parts, i.e., they are not fully sealed off.
Therefore, the lubricant in open pockets will not bear any load,
exhibiting the asperities of the workpiece to a higher pressure,
which will atten the asperities, increase the real contact area, i.e.,
the integral sum of all contact increments between the surface
asperities of the workpiece and the tool, and nally increase the
friction factor. A qualitative description is given in [10], and a
quantitative explanation was given by Engel [83,84], starting from
the Wanheim-Bay model. Due to the complex nature of the
changes of the real contact area, only an iterative numerical
solution of the model is possible. Based on the consideration of
open and closed lubricant pockets, the sheet surface was improved
for enhanced deep drawing behaviour [85].
There are some possibilities to validate the model. One is by the
type of lubricant. If it is true that the size effect is due to the loss of
Fig. 13. Normalized punch force for scaled forward extrusion for a liquid and solid
lubricant (by courtesy of [70]).
lubricant in the open pockets at the boundary, the size effect

should not be visible with solid lubricant. As can be seen from
Fig. 13, this is indeed the case.
A very comprehensive work for the validation of the model is
given by Tiesler [79]. If it is true that the open pockets at the border
of the contact area are only dependent on the contact pressure and
the surface topology, the relative amount should change not only
with a correct scaling of the samples, but also with a simple
reduction in height, if double cup extrusion is considered. It was
shown that there was also a drastic increase in the friction factor, if
only the height of the samples was reduced [79]. It seems also
plausible that the surface will be attened stronger, if there is a
larger effective contact pressure, i.e., in the area where open
lubricant pockets are dominant. Indeed, such a dependence of the
attening and other indicators for the validity of the model have
been shown by Tiesler [79].
The lubricant pocket model describes a micro geometry size
effect. One could argue that the size effect would disappear, if the
surface roughness is scaled down equivalent to the sample size,
which would be possible, at least to a certain extent. From the
ndings of Bay et al. (see for example, [82,86]), it is expected not to
be the case: the entrapped lubricant is squeezed out during the
sliding action, reducing the COF. If the surface structure is scaled
down at the same ratio as the sample size, a shape balance effect is
likely to occur: the surface area is reduced by r2, while the volume
of the lubrication pockets is reduced by r3. Thus, there will be less
lubricant in the micro than in the macro part, leading to worse
lubrication and again to an increase of the COF. This effect is known
from the lubricated sliding behaviour of polished surfaces.
4.3. Dry friction
Size effects in the friction behaviour for dry friction were only
investigated for bulk metal forming. The results are at the moment
not unambiguous, as some authors nd that there are no size
effects [65,64], while others state that the friction is either
increasing [87] or decreasing [67] when decreasing the sample
size. A very detailed analysis of the friction was done [64] to
explain the effects which were found in scaled forward extrusion
experiments using brass (Cu:Zn 70:30) by [88,89]. An experimental investigation of frictional behaviour in dry micro extrusion
of pins with diameters ranging from 0.57 mm to 1.33 mm was
conducted in [89]. Based on the comparison of the experimentally
measured ram force or the extruded pin length with FE-simulation
or analytical models, it was found that the COF decreased when the
size of extruded pins decreased (Fig. 14), except the case of
numerical identication of the COF from the pin length. A direct
measurement of the COF (unfortunately, only two values for each
573
grains. Additionally, the COF is proportional to the real contact

area. Decreasing the diameter d of the ring-shaped sample
increases the relative amount of edge grains according to 1/d,
which results in an increase in the relative real contact area, and
therefore an increase in friction [87].
Ring compression tests using magnesium alloy AZ31 at elevated
temperatures (350450 8C) show a decreasing friction factor with
decreasing size [67]. The effect was less pronounced at the higher
temperatures. Unfortunately, until now there is no satisfactory
explanation for this effect. A comparison of lubricated and dry
friction in at rolling was done by van Putten et al. [58]. They show
the known effect of increasing COF in lubricated friction, while in
dry friction the COF is independent of the size.
Finally it seems that there might be different explanations for
the results, but it appears to be very doubtful that a general model
explaining differences for the COF in dry friction can be found.
Therefore, it can be concluded that a general size effect, as
described in lubricated friction, does not exist for dry friction.
5. Formability
5.1. Sheet formability in tension
Fig. 14. Change in friction behaviour (a: Coulombs law identied by FEMsimulation; b: friction factor, identied by two different analytical models) in
extrusion (by coutresy of [89]).
varied parameter were used) using a at ring on disk-experiment

showed that there is no statistically signicant inuence of the
grain size (32 mm and 211 mm), contact pressure (22 MPa and
250 MPa) or contact area (13 mm2 and 75 mm2) [64]. The
differences which are shown in Fig. 14 were explained to be
due to the fact that for the two small samples there are less than 5
grains across the diameter of the extruded pins. This results in an
individual behaviour of the particular pins which cannot be
described with the models used in numerical identication, as
these models assume a continuum material [64].
A numerical identication of the COF from scaled dry ring
compression tests for brass (Cu:Zn 85:15; inner diameter from
0.5 mm to 4.25 mm) reveals an increase in friction with decreasing
size at least for coarse grained material [66], see Fig. 15. It was
explained by a shape sum effect (see Table 1) from the importance
of the real contact area for the COF. It was argued that the soft
grains at the edge of the ring compression samples show a faster
attening than the harder grains in the middle of the contact area.
As a result of this, the real contact area is larger for the soft edge
Through tensile and bending tests it is found that: for T/D > 1
(T: thickness, D: average grain diameter), the yield strength and
tensile strength decrease with the decrease in T/D ratio; for T/
D < 1, the yield strength and tensile strength increase with the
decrease in T/D ratio. The lower the T/D ratio, the worse is the
formability [30].
Scaled tensile tests were performed to investigate the size
effects on ow curves and fracture strain for Cu foils [90], Al 99.0
99.5% [29] and for CuZn36 [91]. The experimental results show a
decrease in the yield strength and the maximal true strain with a
decrease of specimen thickness, see Fig. 16.
Numerical results in biaxial stretching of mild steel, annealed
aluminium and annealed 70/30 brass show that limiting strains
decreased as the ratio of thickness/grain size decreased [92].
Simulations of uniaxial tension and three-point bending tests
involved a study of different orientations of grains and showed that
a decrease in sheet thickness leads to a decrease in formability [93].
Tensile tests of metal foils (SE-Cu 58) show that strain to fracture
decreases with foil thickness as a result of increasing inhomogeneity of the microstructure with decreasing the ratio of the foil
thickness to grain size [94].
5.2. Forming in upsetting
The effects of specimen size and loading rate on the ow stress
and failure behaviour of workpiece under compressive loads were
investigated. The inuence of temperature changes at different
strain rates within scaled experiments was discussed. It was found
out that for one Al and Ti alloy, the failure strain depends on both a
geometrical and process variables [37,95], see Fig. 17.
Fig. 15. COF determined by numerical identication from dry ring compression
tests; L: grain size; D0-values are slightly shifted on the x-axis to make the scatter in
COF visible (by courtesy of [66]).
Fig. 16. Engineering stressstrain diagram for copper foils and different processing
conditions presenting size dependence on fracture strains (by courtesy of [90]).
574
Fig. 19. Inuence of sheet thickness on forming-limit curve (from [97]).
Fig. 17. Size- and time-dependent compressive deformability of (a) Ti-6-22-22S and
(b) Al7075-T6 (by courtesy of [95]).
5.3. Forming limit diagram (FLD)

It has been found experimentally that the level of FLD increases
with sheet thickness s0 and strain hardening exponent n. Keller
and Brazier [96] have approximated this effect by
FLD0 n1 0:72s0 for n 0:2
(5.1)
FLD0 0:21 0:72s0
(5.2)
A new exible micro sheet metal forming process micro

incremental forming was investigated. The geometrically similar
experiments using different sheet thicknesses also provided lower
forming limits for thinner sheets [98]. FLDs obtained by bulge tests
(Fig. 20) showed the decrease in formability with decreasing the
sheet thickness [99]. Size effects on ow stress and the inuence of
grain dimension on material formability were investigated
through tensile tests and formability tests with specimens in
different sizes. It has been found that ner grains have a positive
impact on the position of FLD [31] as demonstrated in Fig. 21. This
The results are plotted in Fig. 18. As shown in Fig. 19, Hasek and
Lange [97] experimentally conrmed the impact of sheet thickness
on the FLD for mild steel.
Fig. 18. Effect of sheet thickness on FLDs (from [96]).
Fig. 20. FLDs of ne grained (25500 mm) SE-Cu 58 and Al 99.5 obtained by bulge
test (by courtesy of [99]).
575
was shown that the maximum forming force can be determined

from
F max;2 m F max;1
Fig. 21. FLD at the varying of grain size (sheets from AA1050 with thickness 0.5 mm)
(from [31]).
was conrmed by other experiments, where the grain size was

held constant and the sheet thickness was varied between 500 mm
and 25 mm. A signicant decrease in the maximum strain (at
e1 = e2) from 0.25 (at sheet thickness of 500 mm) to 0.05 (at 25 mm)
was detected [100].
Deep drawing with different specimen thickness and different
ratios of punch diameter/specimen thickness was carried out. The
limiting drawing ratio (LDR) decreased with increasing ratio of
punch diameter/specimen thickness [101].
Using dies with different diameters, bulging tests with sheets of
different materials in different thickness were performed to
investigate the effect of thickness on the restoration of bulged
specimens [102]. It has been ascertained that the thinner the sheet
metal, the greater is the effect of buckling on the formation of
wrinkles.
The study of micro deep drawing sheets from Al 99.5 with
thickness from 1 mm to 0.02 mm show that the LDR in micro deep
drawing is signicantly smaller than in macro deep drawing [76],
which is not only due to the changes in friction behaviour. Lee et al.
pointed out the importance of the ratio of sheet thickness to grain
size. If this ratio drops below 10, a signicant decrease in the LDR
was observed [103].
6. Forming
Forming operations cover bulk and sheet metal forming both in
cold conditions and at elevated temperatures. In [8], a comprehensive description of the state-of-the-art in micro forming is
given. Table 2 indicates the types of micro forming processes that
have been investigated with respect to size effects. In the following
sections size effects related to forming forces and stresses,
processing windows and accuracy will be described. It is clear
that specic experimental work will be related to specic process
and material conditions. However, the present section will use
selected cases to illustrate the general ndings in the literature.
6.1. Forming force and stresses
A very early work on the inuence of the size of the workpiece
in bulk metal forming was done in backward can extrusion [104]. It
Table 2
Typical micro forming operations.
Cold
Elevated temperature
Bulk
Closed die forging

Coining
Extrusion
Upsetting
Wire bending
Extrusion
Embossing (laser assisted)
Sheet
Deep drawing
Blanking
Bending
Bending (laser assisted)
k f ;2
k f ;1 l
(6.1)
where Fmax is the maximum force, kf is the ow stress, and l is the

length scale factor. The correction factor m was determined to lie
between 0.6 and 1.1 and is considered to be a quantitative measure
for the sum of different size effects. One of these effects was based
on the surface to volume effect (shape balance in Table 1), yielding
stronger heating of the material by the deformation work in case of
the larger samples [104]. Grain size effects play obviously no role,
as the sample size was above 20 mm.
6.1.1. Bulk
A general observation in micro cold forming operations in
closed dies is that a decrease in part dimensions will result in an
increase in punch pressure dened as punch force divided by crosssection area of punch [8]. This is explained by the increase in
friction, and this has been conrmed by both experimental and
numerical investigations. As previously stated, the effect of grain
size relative to dimension also plays an important role. Extrusion
experiments with different die diameters were performed to
investigate the friction behaviour. Three different coated dies were
used to reduce the friction, and consequently the extrusion force
[88]. An implementation of processes at elevated temperatures
decreased the necessary forming forces in the example case
reported in [105]. Micro embossing with laser assistance has also
been carried out. The results show the potential advantages in
reducing the forming force and the risk of tool fracture, when a
high power laser was used [106].
6.1.2. Sheet
Two different size effects were observed in the analysis of the
micro deep drawing process detailed in [107]. The maximum
relative punch forces were found to be independent of the scaling
factor (which describes the ratio of the actual punch diameter to a
reference punch diameter of 8 mm), but were dependent on the
grain size to sheet thickness ratio. The maximum punch forces of
the bigger cups decrease with increasing velocity, while the punch
forces for the smaller cups do not. A thermally coupled FEsimulation show that this could be partially related to the thermal
inuence caused by heat generated from plastic dissipation and
friction, in combination with the differences of the surface to
volume ratio for the different scaling factors. Investigations in
[108] show that the design of micro deep-drawing processes (e.g.,
force) is subject to a heavier inuence of production-determined
deviations concerning the design contours of the tool than in the
case of conventional, large-sized parts. Therefore, these production-determined deviations from the ideal geometry need to be
taken into account in the process design.
Investigations on the bending process were carried out in scaled
experiments. The inuence of grain size and orientation on the
bending force and strain distribution was investigated. It was
pointed out that it is impossible to develop a universally applicable
FEM model [109]. In [57] size effects on ow curve and bending
force were investigated. These effects were explained in terms of
the change in the grain size/specimen size ratio.
The effect of grain size and orientation of the specimen on the
process force and strain distribution within micro blanking and
bending tests was investigated. It was concluded that it is
impossible to develop a universally applicable FEM model
although signicant work was subsequently undertaken on this
subject [110].
6.1.3. Scatter of forces
Another remarkable size effect is the general increase of scatter
of forming forces when dimensions are decreased [10]. [111]
reports on a decrease in the observed scatter of forces when using
576
Table 3
Parameters investigated in [114].
Temperature
Grain size
Punch velocity
Lubrication
Pin diameter
Lower limit
Upper limit
20 8C
Fine (28 mm)
3 mm/min
None
0.5 mm
200 8C
Coarse (80 mm)
30 mm/min
Drawing oil
2.0 mm
ultrane-grained copper compared to coarse grained material in a

backward extrusion operation. A numerical mesoscopic model was
developed, with which a size-dependent simulation can be realised
[112]. Experimentally it was observed that increasing scatter of the
grain size results in increasing scatter of the forming force [113].
6.2. Processing windows
6.2.1. Extrusion
In [114] a full backward extrusion process was investigated
experimentally using a full factorial design of experiments in a high
conductivity copper (Cu-ETP). Five main parameters were investigated: temperature, grain size, punch velocity, lubrication and pin
diameter (see Table 3 for details). Among these factors, the
temperature and the pin diameter were found to be the most
signicant along side with the lubrication. In particular, the
interaction between temperature and pin diameter was investigated
with ne grain size, no lubrication and punch velocity 3 mm/min.
Experiments were performed with a max force of 200 N. This second
level interaction was the only one found to be signicant at a 95%
condence level. Fig. 22 illustrates the obtained aspect ratios of a
2.0 mm and a 0.5 mm pin diameter at 20 8C and 200 8C, respectively.
In [115] a comparison of processing windows between two
different material types is presented for a combined forward
extrusion and embossing process. A 1.5 mm billet is extruded
down to 1 mm, and a pattern is embossed on the top surface of the
component. The component was successfully manufactured in a
silver alloy using a two-step forming procedure in cold conditions
yielding forming loads of up to 15 kN. Furthermore, the
components were also realized in a bulk metallic glass
(Mg60Cu30Y10, amorphous) in a one-step forming procedure at
elevated temperatures (170 8C). The forming force was signicantly lower than in the previous case, but the necessary forming
Fig. 22. Full backward extrusion. Effect on aspect ratio of pin diameter and
temperature (by courtesy of [114]).
time was considerably higher (approximately 1 min). This example

illustrates the tremendous differences observed in processing
windows when changing the workpiece material from crystalline
to amorphous.
6.2.2. Deep drawing
In [116] experiments at various punch speeds ranging from
0.01 mm/s to 100 mm/s were performed on CuZn37 foils in asdelivered and annealed conditions (3 h/600 8C) with thicknesses
ranging from 300 mm down to 40 mm. The blank diameters were
scaled corresponding to the thickness. Wall thickness distributions
were measured on the produced cups using a microscope. The
experiments show that the punch velocity has only a small effect
on the cup geometry. The cup geometry seems to be more affected
by the microstructure. Under annealed and coarse-grained
conditions, the thinning of the cup walls became more pronounced
for smaller cups, although the ow stress curves of all annealed
materials are nearly in the same range.
Micro deep drawing with different punch diameters was
experimentally and numerically investigated [117]. The inuences
of friction coefcient, deviations of transverse anisotropy and
deviation of tool geometry on the process were discussed. Scaled
deep drawing was carried out. The punch force acquired in FEMsimulation agreed closely with the experimental results. The
velocity of the punch showed effect on the punch force only by the
punch diameter of 8 mm [118]. Size effects in sheet drawing were
determined by means of multi-grain model based on crystal
plasticity theories, which accounts for the interaction among the
individual grains [119].
6.2.3. Upsetting and coining
Micro coining of thin sheet metal in different thicknesses was
experimentally investigated, using a FE-analysis [120]. The
distribution of non-dimensional forming height in coining with
micro cavities was found to be different for different micro cavity
diameters. This effect was explained by relative sliding and, it was
shown that the law of similarity cannot be applied to this case
[121].
6.3. Accuracy
6.3.1. Bending angle
Bending angle and spring-back angle have been the subject of
signicant research during the last decade. The reason for this is
the obvious industrial interest in such processes. In [94] two size
effects related to bending processes are described. The rst one is
caused by an increasing share of surface grains in the overall
volume when the workpiece dimensions are scaled down. The
resulting effect is a decrease in material strength. The second size
effect is caused by large strain gradients appearing when the foil
thickness is decreased. This results in an increase in material
strength. Experimental and numerical investigations in [94]
indicate that the rst effect is dominant down to a scaling factor
of 0.2 (decrease in spring-back angle), and for lower scaling factors,
the second effect is dominating (increase in spring-back angle), see
also Fig. 23. The same conclusions are presented in [99]. In an
earlier work by the same authors free bending with different foil
thicknesses were carried out. The correlations such as spring-back
angle vs. thickness and spring-back angle vs. bending angle were
acquired [122]. Scaled free bending tests were carried out. The
spring-back angle increased when decreasing specimen thickness
or decreasing grain size [123].
Several other relevant results have been reported. In what
follows, a few will be summarized. The size effects in sheet metal
forming were investigated through tensile tests, bending and
blanking processes. The effect of grain size was analysed [29].
Bending tests were carried out using specimens with different
thicknesses. The effects of the ratio thickness/grain size on the
tensile strength, microhardness and spring-back were analysed
[124].
577
6.3.4. Downscaled equipment

In the pursuit of achieving the desired accuracy, efforts have
been made to downscale the manufacturing equipment in order to
pursue a higher absolute precision. The main reasons are the
decrease in heat deformation of machine tools with the decrease in
their sizes, decrease in vibration amplitudes and decrease in space
and energy consumption [134].
A micro superplastic backward extrusion machine was developed, with which microgear shafts of 1050 mm were fabricated
[135].
A laser-assisted micro forming setup was developed, on which
the semi-hot embossing experiments were carried out. The risk of a
fracture of the tool is lower and the quality of specimen is better
[136].
In [137] and [138] a modular approach to the realisation of a
high precision, exible press for micro forming is described.
7. Cutting
7.1. General
Fig. 23. Dependence of spring-back angle on the scaling factor. Bending angle 458
(by courtesy of [94]).
Though scaled tensile test, air bending and punching, the size
effects were investigated [125]. The causes for the size effects
occurring in tensile tests were analysed and transferred to the air
bending and punching [126]. A model for FE-simulation of micro
bending process was described. The inuence of punch radius, die
radius, specimen thickness, etc., on the nal parts geometry were
investigated [127]. The spring-back behaviour of brass was
investigated by three-point bending with different thicknesses.
The correlation between spring-back and the thickness/grain size
ratio was discussed [128]. The effects of grain size and specimen
size on nal bending angel within the V-bending were investigated. The larger the grains size, the lower the spring-back [129].
6.3.2. Surface appearance
Aiming at development of a similarity law for the spinning
process, the correlations between surface quality and contact
pressure, sliding velocity and strain were investigated [130]. In
[61] an attempt to model the surface evolution due to contact
loading was presented. With the help of the proposed model, the
inuence of grain size and orientation as well as strain rate have
been veried and quantied.
6.3.3. Shape accuracy
Shape accuracy is an important quality parameter in micro
forming processes since net shape processes are the ultimate goal
also in micro forming.
A very impressive example of the inuence of a size effect on
the shape accuracy was shown in [64]. The occurrence of curved
samples was assumed to be an effect of inhomogeneous
deformation in the coarse-grained samples, while the ne-grained
ones did not show the curvature even in multiple repeated
experiments. It was reported in [89] that using the same smallest
extrusion die which reduces the diameter from 0.76 mm to
0.57 mm (marked with 0.76:0.57 mm), specimens with 32 mm
grain size resulted in all straight pins, while 60% of pins with an
original grain size of 211 mm showed an uncontrolled curvature in
the nal extruded pins. These results indicate that the size,
orientation, and distributions of grains play an important part in
the extrusion process. A more detailed analysis of local hardness
and microstructure of deformed pins to illustrate the size effect can
be found in [131]. The importance of the local ow behaviour of
individual grains for the shape accuracy is shown by Geidorfer
et al., who did backward extrusion in the micro range using a partly
transparent tool. The homogeneity of material ow decreased with
increasing ratios of grain size to extruded wall thickness [132,133].
Generally, in literature the term size effect in metal cutting is

understood as the non-linear increase of the specic cutting energy
with decreasing the undeformed chip thickness. Backer et al. [139]
were among the rst to determine the energy consumed in
deforming a unit volume of a ductile material (SAE 1112 steel), and
develop a relationship between the shear energy per cubic volume
and the specimen size. They showed the decreasing trend in shear
energy per unit volume for three major manufacturing processes:
grinding, micromilling, and turning (see Fig. 24). It is to be noted
that after over four decades, Taniguchi [140] conrmed this
relationship through his extensive research showing the size
effects observed in a range of processes including tensile test, the
results are also plotted in Fig. 24. Shaw [141], in a recent analysis of
size effects revisited his earlier explanation and describes the
origin of size effects as resulting from a short-range inhomogeneities present in all commercial engineering metals.
7.2. Orthogonal cutting
7.2.1. Early work on experimental ow elds and strain-hardening
models
Palmer and Oxley [142] showed the ow around the rounded
cutting edge using cine lming techniques for chip formation at a
low cutting speed. They showed the existence of a shear zone
and developed a slip-line model for chip formation and the
material ow around this rounded cutting edge by considering the
strain-hardening property of the work material. Their model and
the experimental observations correlated better compared with
Fig. 24. Variation of shear stress on shear plane when cutting (data from [140] and
for SAE 1112 steel from [139]).
578
Fig. 25. Experimental ow eld obtained using cine lming method for material
ow around the rounded cutting edge (from [142]).
previous rigid-plastic shear plane models. An experimentally

observed ow eld is shown in Fig. 25.
Based on his earlier work on the use of a centered fan slip-line
model for machining with a restricted contact tool [143], Johnson
developed an admissible slip-line eld for cutting with a double
edge tool representing the rounded cutting edge. An interesting
feature of this early work is that Johnson [144] was able to show a
range of solutions for the plastic ow of the work material along
the machined surface at varying velocities. Contemporary experimental work by Nakayama et al. [145] shows the microchip
formation at the asperity on the tool ank resulting in a plastically
deformed, interrupted machined surface in cutting of a soft
material with a hard tool. Larsen-Basse and Oxley [146] subsequently showed that the size effects are a consequence of material
strengthening due to the increase of strain rate in the primary
deformation zone when the undeformed chip thickness decreases.
In a pioneering analytical work using plane-strain slip-line models
and the associated hodographs (velocity diagrams) for the stress
and velocity elds, Challen and Oxley [147] from single and double
edge chords representing the rounded cutting edge show the
existence of three specic regimes: (a) rubbing, (b) wear, and (c)
cutting. This work shows an analytical formulation with the use of
similarity mechanics involving a non-dimensionalized parameter
of the ratio of undeformed chip thickness to tool edge radius.
Kopalinsky and Oxley [148] show the size effect as resulting from
the strain rate and temperature-dependent ow stress properties
of the work material. In a further work, Kopalinsky et al. [149]
show the generation of tensile stresses on the machined surface
due to the severe plastic deformation.
7.2.2. Ploughing effects and force models
An early work by Masuko [150] reports the effects of cutting
edge radius through a cutting force analysis. Albrecht [151]
developed a ploughing force model to explain the size effect. By
dividing the toolchipwork contact region of the cutting tool into
four sections, he developed a force relationship for the cutting
process involving a rounded cutting edge tool (see Fig. 26). He
Fig. 26. Integrated force diagram for machining with and rounded edge tool under
ploughing conditions (from [151]).
showed an experimental method to separate the ploughing force

from the cutting force. He also correlated the ploughing force with
the chip curl and the residual stresses generated in machining.
Armarego and Brown [152], using their experimental results
from machining of aluminium alloy 50-St-5 and steel 1022
with HSS rectangular tool show that specic cutting energy
reduces as the undeformed chip thickness reduces, and after
reaching a certain value, it increases exponentially with
further reduction in undeformed chip thickness, for 1022 steel.
Shaw argues in the discussion of this paper that circular and
rectangular tools might differ in the way the force, and hence the
specic cutting energy, is generated in machining, and that
the formation of a small built-up edge may have caused this
variation from the conventionally observed trends of continuous
increase of specic cutting energy when the undeformed chip
thickness reduces.
Nakayama and Tamura [145] developed a force-based analysis
to describe the size effects in cutting at small depths, and feeds
and demonstrated it experimentally by showing that the size
effect is attributed to the subsurface plastic work, implying the
surface integrity in terms of subsurface metallurgical and
microstructural changes. Khaet and Vasilyuk [153], through a
series of experimental work with a range of work and tool
materials, showed the optimum value of the ratio of undeformed
chip thickness and tool edge radius to provide the maximum tool
edge strength.
Abdelmoneim and Scrutton [154] showed the existence of
plastic recovery behind the cutting tool in machining with a
negative rake tool and attributed this to the intending action of the
cutting tool edge. In their subsequent work, Abdelmoneim and
Scrutton [155] developed a theory for cutting with a rounded
cutting edge tool by assuming the existence of a stable built-up
edge ahead of the cutting tool, and show the dependence of the
specic cutting pressure on the ratio of undeformed chip thickness
to edge radius. Taminiau and Dautzenberg [156], through a series
of analytical and experimental work veried the model by
Abdelmoneim and Scrutton [155] in high precision cutting by
plotting the specic cutting and thrust force against the ratio of
undeformed chip thickness and tool edge radius.
Lucca and Seo [157] conducted an experimental study of
orthogonal cutting of Al6061-T6 alloy to examine the dissipation of
mechanical energy in cutting at small depths of cut, and show the
transition from cutting to ploughing and report the signicant
effects of tool edge radius in cutting. In a subsequent work [158],
they show the signicant effect of cutting edge geometry on the
cutting force components and the plastically deformed machined
layer.
More recently, Arsecularatne [159] used Oxleys predictive
machining theory [160] to investigate the ploughing force, and
separated the cutting force from the ploughing force, and used it
in the calculation of toolchip interface stress distributions.
Dinesh shows that if the ow stress of a material is dependent
on a strain gradient parameter, size effects should be expected
when machining this material, i.e., increasing specic cutting
force with decreasing undeformed chip thickness, which is
also related to indentation size effects [161]. A further cutting
model accounting for the edge radius size effect is given by
Bissacco et al. [162].
7.2.3. Chip formation
Clos et al. [163] experimentally investigated the strain
localisation in cutting as an adiabatic shear banding mechanism.
In orthogonal cutting experiments, a change in the chip forming
process from continuous to segmented chip formation with
increasing undeformed chip thickness was found [164].
A changing chip formation was also found when scaling the
undeformed section of cut in turning processes with large corner
radii. The changed chip formation mechanisms were accounted for
the higher specic cutting forces. A model for the description of
chip formation is currently under development [165].
7.2.4. Cutting edge radius

The cutting force and feed force in hard turning by different
ratios of rb/h (cutting edge radius/undeformed chip thickness)
were experimentally investigated [166]. In addition, scaling effects
of the process parameters, e.g., undeformed chip thickness h and
cutting edge radius rb on the chip formation, cutting force and
surface quality in hard turning was investigated [167]. It was found
out that cutting force and feed force rise rapidly with increasing
cutting edge radius. In further investigations, a scaling of the
cutting edge radius and the undeformed chip thickness in
orthogonal machining was carried out. Chip formation, degree
of segmentation and shear band width are affected by the scaling of
the cutting edge radius [168]. The inuence of a scaling of cutting
edge radius or chamfer and depth of cut on the burr formation in
orthogonal machining was investigated by [169]. Through
experiments and a FE-simulation, non-linear inuence of the size
of a cutting edge chamfer on the temperature, the mean stress in
the burr shear zone and on the size of the hydrostatic bowl were
found.
579
Fig. 28. Variation of specic cutting energy with uncut chip thickness at 240 m/min
(from [174]).
7.2.5. Analytical and numerical models and experimental validation
relative contributions of these two factors to the increase in

specic cutting energy when the undeformed chip thickness is
reduced. Also shown is an analysis of the nite element orthogonal
cutting model which performs simulations on Aluminium 5083H116, which has a small strain rate hardening exponent, thus
minimizing strain rate effects.
(a) Analytical models and experimental validation
(b) Slip-line models and experimental validation
There has been signicant effort to model the micromachining

process using various analytical modelling methods including
molecular dynamic modelling, multi-scale modelling and mechanistic modelling. A good summary of these modelling methods are
given in a recent CIRP keynote paper by Dornfeld et al. in 2006
[170].
Manjunathaiah and Endres [171] developed a new model for
orthogonal machining with an edge radius tool. This model
consisted of a geometry model and a force model. They show that
the increase in specic cutting energy with edge radius is
substantially due to the energy expended in shearing the chip
due to the apparent more negative effective rake angle. They also
attribute this increase, and hence the size effect, to increases in
strain and strain rate. This work was extended to an extensive
experimental study of orthogonal machining of zinc involving a
range of edge radius tools [172]. They tested the two traditionally
known methods for extracting the ploughing force: extrapolation
method, and dwell method, and show that neither of these two
methods yields to a consistent material behaviour.
Joshi and Melkote [173] modelled the primary deformation
zone through a simple parallel-sided conguration using the strain
gradient plasticity theory, and explained the occurrence of size
effects in machining. By extending this work to include the
secondary shear zone, in a subsequent work, Liu and Melkote [174]
compared the variation of maximum temperature (see Fig. 27), and
compared the specic cutting energy developed with strain
gradient model and without strain gradient model (see Fig. 28).
This paper shows two material strengthening factors: (i) the
decrease in the secondary deformation zone cutting temperature,
and (ii) strain gradient strengthening. This work also shows the
Early work on the use of slip-line models for orthogonal cutting

at small depth of cut and for the polishing processes shows the
material ow around the rounded cutting edge using single and
double edge chords [147] to represent a range of frictional
conditions and tool edge radius. Account is also taken of
lubrication conditions. Based on their earlier slip-line model for
negative rake angle cutting [175], Abebe and Appl [176] developed
a new model for the ploughing abrasive process using effective
planes to represent the three-dimensional machining process
through slip-line and upper bound models.
More recent work by Fang [177] involves a rounded cutting
edge and multiple cutting edge chords, and this work is based on
the extended application of the universal slip-line model developed for machining with a restricted contact tool [178]. More
recently, Wang and Jawahir [179,180] show an admissible slip-line
model with the corresponding hodograph for machining with a
restricted contact grooved tool having a rounded cutting edge
represented by double cutting edge chords, BS and SN see Fig. 29.
The non-linear system of slip-line model is based on the ve
slip-line angles u1, u2, C, h1, h2 and their ve equations:
8
f mb F 0x F 0y 0
>
>
> 1
>
>
f 2 M 0 F 0x CC 1 F 0y CC 2 0
>
>
>
<
2
f 3 h X f g f Y f b f 2 X f b f Y f g f 2 0
(7.1)
02
>
>
f 4 h X lhl Y lhl 2 X lgl Y lgl 2 0
>
>

0
>
>
>
> f Ru t 2 sing h GW 0
:
5
g
2
2
2
The non-dimensionalized (similarity mechanics-based) resultant force (F) developed is shown as
*
FA A
FA A
FI A
FI C
FC D
FD B
FB B
F
3 2 2 1 1 1 1 1 1 1 1 1 1 2
kt1 w kt1 w kt1 w kt 1 w kt1 w kt1 w kt1 w kt1 w
*
F B2 M 1 F M 1 M 2 F M 2 N
kt1 w
kt 1 w
kt1 w
(7.2)
The ploughing force P was derived as

*
FB B
FB M
F M1 M 2 F M 2 N
P
1 2 2 1
kt1 w kt 1 w kt1 w
kt1 w
kt 1 w
Fig. 27. Variation of maximum temperature in the primary and secondary shear
zones at 200 m/min cutting speed (PSZ: primary shear zone; SSZ: secondary shear
zone) (from [174]).
(7.3)
where k is the shear ow stress and w is the width of cut. This

model predicts cutting forces, chip thickness, chip up-curl radius,
temperatures and ow stresses at the primary shear zone and at
the toolchip interface, etc. Predictive modelling of size effects
using the above slip-line model for machining with a rounded
cutting edge tool shows the effects of cutting edge radius on
580
Fig. 29. Extended slip-line model and hodograph for machining with a rounded
edge restricted contact grooved tool (from [180]).
stresses, strains, strain rates and temperatures developed in

cutting along with cutting forces, chip curl radius, chip thickness,
etc., with experimental validation [181].
(c) Numerical models
During the past decade, there has been a surge in numerical
modelling of orthogonal cutting to predict the various machining
parameters including the size effects in nish machining at small
cutting depths (undeformed chip thickness). A nite element
method was developed to predict the temperature and the stress
distribution in micro machining [182]. The inuence of the cutting
edge radius was considered in this model and the results conrm
that the cutting edge radius is one of the major causes of the size
zel and Altan [183] show the effect of edge radius on
effects. O
forces and stresses developed in machining. Yen et al. [184] in a
follow-up work, used a range of tool edge congurations including
chamfer and hone radius conditions and simulated the material
ow by calculating the stresses, strains and temperatures. They
showed the ploughing effect and related the edge radius with the
resulting force, temperature and stress conditions.
Using a thermal elasticviscoplastic nite element model, Ee
et al. [185] predicted the residual stresses induced by machining
when using edge radius tools. Simoneau et al. [186,187], Liu and
Melkote [188] studied the size effects inuenced by the tool edge
radius in microcutting of A15083-H116 alloy using the ABAQUS
nite element software with strain gradient plasticity formulation.
Weber et al. [189] used a thermo-mechanically coupled nite
element method to study the problem of size effects in normalized
steel AISI 1045 and annealed AISI 02 using the ABAQUS/Explicit
having a provision for modelling the viscoplastic behaviour of the
work materials with a range of dimensionless similarity mechanics
parameters representing the material law in the model. They show
the effects of cutting speed and the cutting edge radius on size
effects.
Size effects in metal cutting concerning the cutting force and
roughness were experimentally investigated. A FEM-simulation
including the use of similarity mechanics to establish the
parametric inuence of various factors was attempted [190].
Hochrainer et al. [191] carried out a 2D FE-simulation of
orthogonal cutting using similarity mechanics approach, and
investigated the correlation between normalized specic cutting
force and similarity number as well as relative sharpness. Size
effects inuenced by the specic cutting force are described in
terms of strain hardening, heat distribution in front of the cutting
tool and by non-linear increase in the plastically deformed surface
layer. Machining with multiple passes requires the effect of
previous pass in the newly generated surface layer which inuence
the specic cutting force and the depth of plastic deformation
[192]. Also, experimental and numerical investigations to determine the inuence of the friction coefcient on the specic cutting
force were carried out. A linear dependence of the specic cutting
force on the friction coefcient was shown, which leads to an
intensication of the size effect for higher friction components
[193].
Outeiro [194] measured experimentally and established the
effect of cutting edge radius on the thermo-mechanical conditions
developed in metal cutting. In particular, he found that increasing
the ratio of undeformed chip thickness to cutting edge radius (h/rb)
leads to an increase in the temperature developed in the cutting
zone, and a greater part of this heat is conducted into the
workpiece and the tool, this resulting in high temperatures and
thermally affected layers being produced on the machined surface.
This usually induces higher residual stresses on the machines
surface, or causes a phase change in the material [195].
Wanigarathne et al. [196] developed a nite element method
for studying the effects of cutting temperatures and the cooling
effects in nish machining of AISI 1045 steel with multi-layer
coated tools having a rounded cutting edge under conditions
producing size effects. They extended the JohnsonCook model to
incorporate the changes studied.
n
s A Bey p 1 C lne
y p
yp
103 e100e
1 T m
(7.4)
where A, B, C are the material constants, e the strain and T is the

temperature.
They showed the effects of cutting speed, coating thickness,
coating thermal conductivity, cutting edge radius, toolchip
interface friction, etc., on the resulting machining performance.
Fig. 30 shows the simulated results, and the temperature elds
developed are correlated with the higher residual stresses and the
size effects produced.
(d) Experimental ndings
Subbiah [197] attributes the size effect to a component of the
cutting force, which remains constant with decreasing undeformed chip thickness. By machining with very large rake angles
(up to 708) the shear inuences in the chip could be minimized and
the constant cutting force component could be isolated. Chip
formation with these high rake angles occurs mainly by ductile
fracture or ductile tearing ahead of the cutting edge. The value of
the constant force component is in the range of the force of ductile
fracture and crack formation. This work is consistent with the
581
Fig. 30. Simulated cutting temperature proles along the contact regions of the
cutting tool in machining of AISI 1045 steel with coated and uncoated tools (from
[181]) (yc 300 m=min and a = 0.25 mm/rev).
theory of Atkins [198] which attributes the size effect to the energy
which is needed for the formation of a new surface by ductile
fracture. This energy is independent from the cutting force, and
therefore, responsible for the size effect. The increasing of specic
cutting force with decreasing of cross-section of undeformed chip
was observed and analysed [199].
7.3. Turning operations
Shawky and Elbestawi [200] developed a mechanistic cutting
force model for turning which included the effects of ploughing
force. The comprehensive CIRP collaborative work on modelling of
machining operations presents the shortcomings of all current
models in accurately predicting the edge effects in turning [201].
Redetzky et al. [202] presented a generic predictive model for chip
ow and cutting forces which combined a geometric model and a
force model. This model included the cutting edge effect and
considered the size effects.
Signicant effects that could be attributed indirectly to the size
effect phenomenon can be seen in some complex machining
operations such as contour turning. In an experimental study of
contour turning of two aluminium alloys (6061-B and 2011-T3),
Balaji and Jawahir [203] observed that there are drastic changes in
machining performance measures such as cutting forces, chip-ow
and chip formation, and surface roughness induced by the
continuously varying geometry due to the complex geometry of
the contour shape. Balaji and Jawahir [203] tested two cutting tools
(a at-faced polycrystalline diamond tool (PCD) and a grooved CVD
diamond-coated carbide tool (DCG)). In contour turning, there are
continuous changes in the effective depth of cut and effective feed
along the contour, which leads to drastic changes in the effective
mechanics of the machining operation. The signicant changes in
effective depth of cut and feed also lead to continuously varying
size effect conditions along the contour. In this particular study, the
at-faced PCD tool was relatively up-sharp with no signicant
hone to its cutting edge, whereas the diamond-coated grooved tool
(DCG) has an edge-hone to provide edge strength and stability to
the cutting edge. The changing effective geometry of the cutting
conditions and the cutting edge impose size effects in the surfaces
generated. Surface roughness was measured at discrete locations
along the contour prole for the nish machining case. An
interesting observation was that the diamond-coated grooved tool
largely produced a rougher surface when machining the 6061-B
alloy, but ended up being far superior to the PCD tool when
machining 2011-T3 alloy. The role of size effect in inuencing
different surface texture when machining different alloys with
different tools remains an interesting area for future study of the
fundamental mechanics of material removal.
More recent comprehensive analysis of the cutting edge radius
effects in turning includes development of a new model for
predicting the apparent area of contact in the cutting edge
region [204]. A typical apparent undeformed area of cut (view on
Fig. 31. Apparent undeformed area of cut in nish turning (not to scale) [204].
tool reference plane Pr) is shown in Fig. 31 for a nish turning

process.
According to the position of the given point S (S = A, B, C, D, E) on
the circular cutting edge, the entire undeformed area of cut can be
divided into four regions:
Region 1: ABJ, Region 2: BEIJ, Region 3: ECFI, and Region 4: CFD.
The total apparent area of cut for each region is calculated by
adding the apparent area of cut generated from the rounded
cutting edge and the apparent area of cut generated from the rake
face together. Based on the mathematical derivation, the effect of
cutting edge radius on the apparent area of cut can be calculated
and 3D visualized (Fig. 32). This theoretical work was followed by
an experimental validation process for specic cutting energy
versus the ratio of feed and cutting edge radius. An interesting
similarity was observed in the pattern of apparent contact regions
for all four edge radius tool groups considered. Also, an analysis of
machined surface quality was done. Three patterns of machined
surfaces named as acceptable, marginal and unacceptable (Fig. 33)
were observed in all tests.
All machined surfaces from DLC insert are found to be
acceptable. But for Diamond tool inserts, all machined surface
for the ratio of feed/edge radius smaller than 0.8 are either
Marginal or Unacceptable. As a result, DLC inserts generate much
more acceptable machined surfaces than diamond inserts. This
indicates the complex tribological interactions that are taking
place in the cutting regions of these tools.
7.4. Drilling operations
Using the drills with and without web thinning, the inuence of
the chisel edge length on the cutting torque and feed force was
Fig. 32. Effect of cutting edge radius on apparent area of cut [204].
582
Fig. 33. Machined surface patterns [204].
investigated. It was found that a downscaling of the tool diameter

leads to a non-linear increase of the specic feed force [205].
Furthermore, a non-linear scaling effect on the related feed force
was observed in drilling tests by downscaling of drill diameter.
With a proposed 3D-FE-model, the experimentally determined
scaling effects are well predicted [206].
Based on the interaction between the cutting mechanisms in
shearing and ploughing, a new analytical approach was developed
to determine the minimum undeformed chip thickness and to
predict the observed non-linear size effect in specic cutting
energy (Fig. 24). Also, a 3D-FE-model was developed, and
successfully validated to predict chip formation, feed force, cutting
torque and temperature in drilling [207,208].
Lugscheider et al. [209] developed a FE-model to simulate the
contact between a drill and specimen in micro drilling. The effect of
PVD hard coatings geometry on the micro drills was discussed. The
inuence of a scaling of the coating thickness on microdrilling tools
was investigated in [210]. The thickness of the coating inuences
the bending and torsional stiffness, and therefore the dynamic
behaviour of the tools.
Dix et al. [211] studied the Burr formation and the temperature
distribution in drilling processes with scaled tool diameter. They
found the existence of size effects in the burr formation process
where they showed that the burr height and the burr type do not
change linearly with the tool diameter, but, the maximum
temperature varies non-linearly with the tool diameter.
Paris et al. [131] developed a new cutting force model for
undeformed chip thickness close to zero, called as fractional
Model for drilling and milling, and validated it experimentally and
against the traditionally known exponential function. They
showed that the accuracy of this proposed new model was
superior to those obtained by the exponential function.
7.5. Milling operations
Ko [212] developed a model to predict cutting forces for end
milling by considering the size effect through the use of
instantaneous cutting coefcients and validated it experimentally.
The values of the cutting force components are determined
empirically or semi-empirically. Wang and Zheng [213] proposed
an analytical force model with dual shearing and ploughing
mechanisms for end milling.
Other signicant FEM work includes work by Vogler et al. [214]
where the authors developed a cutting force model for microend
milling, and by incorporating the minimum chip thickness
concept, they were able to predict the effect of cutting edge
radius on cutting forces. Finite element simulations were
performed to calibrate the various machining parameters for
micromilling force model. Their model incorporated the metallurgical microstructural features.
Bissacco et al. [215] investigated size effects on the surface
generation when downscaling the tool diameter in milling
processes. Size effects occur when the ratio of cutting edge radius
to undeformed chip thickness be-comes critical.
Fig. 34. Measured (continuous line) and simulated (dotted line) cutting force
progressions for different tool diameters (material: AISI P20, cutting speed:
yc 35 m=min, feed per tooth fz = 0.01 d, depth of cut: ap = 0.04 d) [218].
Weinert et al. [216,217] also studied the inuence of the cutting

edge radius to the process. When scaling the undeformed chip
thickness subject to the tool diameter, the cutting edge radius has a
major inuence to the process because it cannot be scaled down in
the same range as tool diameter. A small undeformed chip
thickness, in combination with a big cutting edge radius, prevents a
well-dened cutting of the material and leads to ploughing effects.
The inuence of a downscaling of tool diameter and chip
thickness on the cutting forces in micromilling was experimentally
investigated by Biermann et al. [218]. Non-linear rising specic
cutting forces with decreasing chip thickness were found. A
geometric simulation was used to calculate the cutting forces,
which matched well with the experimental results (Fig. 34).
Bissacco et al. [162] presented a theoretical model for cutting
force prediction in micro milling by taking into account the size
effect related to the decreasing ratio between undeformed chip
thickness and cutting edge radius. This model is based on a revised
implementation of the Unied Mechanics of Cutting. The
comparison of measured and predicted cutting forces showed a
good agreement. A recent analytical modelling work shows
accurate prediction of cutting forces and their experimental
validation in milling of 316L stainless steel and TiAl6V4 alloy at
small undeformed chip thickness [131].
An important factor in downscaled milling processes are the
tools. A decreasing tool size, related to the tool diameter, leads to
an increasing deviation of the tool geometry from the tool design
[219]. Another size effect which occurs is the increasing tool
deection with decreasing tool radius caused by the cubically
decreasing section modulus subject to the diameter of the tools.
Investigations show contour deviations of machined webs up to
30 mm when machining with a 0.4-mm tool with a length of 4 mm,
while the parts machined with a 2-mm tool show almost no
deviations of the desired contour [216]. This behaviour was
conrmed by Uhlmann et al. [220] who examined the scaling in
milling of tungstencopper composites. A size effect was found in
the tool displacement which showed a non-linear dependency on
the tool diameter.
Furthermore, size effects on process force, speed, tool drift,
surface roughness and natural frequencies of the tool were
investigated in scaled milling of tungsten copper composites.
583
strengthening of workpiece subsurface. Lowering the cutting

speed at constant chip thickness additionally increases the specic
grinding energy because of microploughing effects [228]. Heinzel
and Bleil [229] showed the promising possibility of using size
effects involving the increased specic grinding energy in surface
layer work-hardening of metallic parts by showing their effects on
the resulting compressive residual stresses.
Fig. 35. Inuence of the size of the tungsten particles on the chip formation
(material: WCu 60/40, tungsten particle size dk = 3 mm (left) and dk = 30 mm (right),
cutting speed yc 0:01, uncut chip thickness h = 100 mm) (by courtesy of [222]).
A non-linear behaviour of the process when using tool diameters

below 1 mm was detected [221]. In further investigations, the
inuence of a scaling of the size of the tungsten particles and the
percentage of tungsten in the WCu specimen on the process was
also determined. An increase in cutting forces with decreasing
tungsten particle size was observed while a higher percentage of
tungsten leads to higher cutting forces. In quasistatic chipping
tests, a scaling of the tungsten particle size also leads to a change in
chip formation (Fig. 35) [222].
Another important factor, which has to be taken into account
when downscaling the tool diameter, is the dynamic behaviour of
the milling process. Biermann and Kahnis [223] investigated the
dynamic behaviour by analysing the tool tip motion. They found
out that at low depths of cut only a few experiments showed the
occurrence of chatter. But, also in the experiments where the
process was stable, differences in the vibration amplitude and the
mean tool tip displacement were noted. A decreasing tool diameter
leads to increasing vibration amplitude and tool tip displacement.
An example for a surface where chatter occurs during the
machining process can be seen in Fig. 36.
Lai et al. [224] developed a model to predict cutting forces and
the chip formation in micro milling, which considers size effect,
cutting edge radius and minimum chip thickness. The model is
based on a modied JohnsonCook approach using strain gradient
plasticity. As a result, the simulation was able to determine the
minimum undeformed chip thickness. Also, the proposed model
could explain material strengthening behaviours which are found
to be the main causes for the size effect. The increasing specic
shear energy when machining at undeformed chip thickness
smaller than the minimum undeformed chip thickness was largely
due to ploughing effects.
7.6. Grinding operations
Size effects in grinding, i.e., the increase in the specic energy
and the average specic grain energy with decreasing chip
thickness, were investigated in early work by Kannappan and
Malkin [225] and by Malkin [226], and more recently, Brinksmeier
and Giwerzew [227] discussed about a possible application for a
controlled strengthening of workpiece subsurface via workhardening. Therefore, an advanced grinding process of abrasive
material removal, in combination with plastic deformation, has
been designed, which could be used successfully for a controlled
Fig. 36. SEM picture of a machined slot with tool vibrations (cutting parameters:
d = 0.5 mm, yc 60 m=min, ap = 0.05 mm, fz = 0.007 mm, material: X6CrNiMoTi1712-2) [223].
7.7. Size effects and surface integrity

In recent times, there has been a great interest in studies on
surface integrity developed on the machined surface and subsurface, particularly in view of its inuence on the life and functional
performance of machined components. Over the years, signicant
effort has been made by the research community in developing
quantitative understanding of the surface integrity issues and
their controlling factors. Among all well-known surface integrity
parameters such as surface nish; macrostructure (10 or less)
macrocracks, macroetch indications, etc.; microstructure
microcracks, plastic deformation, phase transformation, intergranular attack, pits, tears, laps, protrusions, built-up edge,
melted and redeposited layers, selective etching, etc.; microhardness, the machining-induced residual stresses have been
shown to signicantly inuence the functional performance of the
machined component, particularly the fatigue life. Numerous
publications have reported on current and past attempts to
develop analytical means to predict the residual stresses in
machining in terms of machining parameters (cutting conditions),
tool geometry and the work material property, and to devise
experimental methods to measure residual stresses in 2D and 3D
machining processes. The impact of scaling down the machining
operation to micro and even nanolevel machining and the effects
of reduced feeds and depths of cut producing large specic cutting
energy are still being established. How the size effects will affect
the surface integrity and the resulting product life including the
overall performance of the machined component has therefore
become a major research topic in the research circle. A recent
paper by Outeiro et al. [230] discusses some interesting new
research directions while the newly formed CIRP Working Group
on Surface Integrity and Functional Performance of Components
has embarked on paving the way for international cooperative
research in this area.
8. Conclusions
It is shown by this review that size effects have a strong
inuence on production processes. The knowledge about size
effects is essential for a proper process control. The main features
of size effects, which can be divided into three groups of density,
shape and structure effects, are:
1. The ow stress of material is inuenced by different types of size
effects, which are dominant in different size scales. Both an
increase and decrease in strength can be observed with
increasing size, while the effects are well understood. The
extent of the effects increases with decreasing size.
2. In tribology, all size effects observed in lubricated friction can be
explained by the lubricant pocket model. Size effects in dry
friction seem to be questionable.
3. The formability decreases with decreasing size, making micro
forming processes more difcult to control. This is especially
true, if the grain size to thickness ratio increases.
4. Size effects in forming generate effects on the forming forces and
the accuracy of the parts, including spring-back and shape
distortions.
5. The most important effect in machining is the increase of the
normalized cutting force with decreasing undeformed chip
thickness. Despite the fact that the effect itself seems to be
always the same (e.g., increase of normalized force) it is of
different nature depending on the experimental conditions. A
584
wide variety of different models can be applied to explain these

effects.
6. In forming and in cutting a shape balance effect, e.g., the balance
between volume heating by deformation and cooling via the
surface plays an important role.
Acknowledgements
The authors like to thank the following scientists for
contributing actively to this paper.
M. Arentoft and N. Bay (Denmark); E. Brinksmeier; U. Engel, M.
Geiger, P. Groche, G. Hirt, H. Hoffmann, F. Klocke, K. Lange, L.W.
Meyer, R. Kopp, V. Schulze, and K. Weinert (Germany); P. Jenssen
(The Nederlands); J. Cao, D.A. Lucca, S. Melkote, and A.K. Balaji
(USA).
Furthermore, special thanks are devoted to the Deutsche
Forschungsgemeinschaft for nancial support of many of the
reported work, especially within the SPP 1138 and Dr.-Ing. Zhenyu
Hu for the preparation of the initial literature survey.
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CIRP Annals - Manufacturing Technology 58 (2009) 566587

Contents lists available at ScienceDirect

CIRP Annals - Manufacturing Technology

Size effects in manufacturing of metallic components

Bremer Institut fuer angewandte Strahltechnik (BIAS), Bremen, Germany

Rules for up- or down-scaling are extensively used in uid

One early approach for a typology, e.g., a systematic order of

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

Fig. 1. Categories for size effects [13].

in [7] by dening systematically the sources of the size effects. This

This size effect, which makes it difcult to release small parts

Interface area density

Examples for size effects

Relation between forces

Adhesion to grippers in microtechnology

Strain gradient plasticity

Hardness decrease with increasing indentation depth

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

while X are the measured values (ow stress, yield stress,

seen, while other investigations with wide ranges of sizes show

Fig. 3. Strength of Cu-whiskers as a function of their size (data from [22]).

for those experiments the HallPetch relationship was still valid. A

X max X min =X max X min

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

generated from samples with different thickness, do not show the

surface layer is almost constant, e.g., not dependent on the sample

3.2.1. Composite model

3.2.2. Passivation layer model

Fig. 7. Strength of copper lms having a thickness h of 0.34 mm up to 4.2 mm with

3.2. Description of size-dependent ow stress

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

3.2.3. Strain gradient model

Fig. 9. Transition from poly to single crystal [231].

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

approaches the grain size. The material behaviour changes from

alternatively use of the double cup extrusion test [6870] for

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

the detection of size effects, while tests using a combination of

lubricant in the open pockets at the boundary, the size effect

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

grains. Additionally, the COF is proportional to the real contact

varied parameter were used) using a at ring on disk-experiment

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

Fig. 19. Inuence of sheet thickness on forming-limit curve (from [97]).

5.3. Forming limit diagram (FLD)

FLD0 0:21 0:72s0

A new exible micro sheet metal forming process micro

Fig. 18. Effect of sheet thickness on FLDs (from [96]).

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

was shown that the maximum forming force can be determined

was conrmed by other experiments, where the grain size was

Closed die forging

Bending (laser assisted)

where Fmax is the maximum force, kf is the ow stress, and l is the

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

ultrane-grained copper compared to coarse grained material in a

time was considerably higher (approximately 1 min). This example

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

6.3.4. Downscaled equipment

Generally, in literature the term size effect in metal cutting is

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587

previous rigid-plastic shear plane models. An experimentally

showed an experimental method to separate the ploughing force

F. Vollertsen et al. / CIRP Annals - Manufacturing Technology 58 (2009) 566587