Cold Micro Metal Forming

Lecture Notes in Production Engineering
Frank Vollertsen
Sybille Friedrich
Bernd Kuhfuß
Peter Maaß
Claus Thomy
Hans-Werner Zoch Editors
Cold Micro
Metal Forming
Research Report of the Collaborative
Research Center “Micro Cold Forming”
(SFB 747), Bremen, Germany
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Frank Vollertsen Sybille Friedrich
• •
Bernd Kuhfuß Peter Maaß

• •
Claus Thomy Hans-Werner Zoch

•
Editors
Cold Micro Metal Forming

Research Report of the Collaborative
Research Center “Micro Cold Forming”
(SFB 747), Bremen, Germany
Final report of the DFG Collaborative Research
Center 747
Editors
Frank Vollertsen Sybille Friedrich
BIAS—Bremer Institut für angewandte BIAS—Bremer Institut für angewandte
Strahltechnik GmbH Strahltechnik GmbH
Bremen, Germany Bremen, Germany
Bernd Kuhfuß Peter Maaß

Fachbereich Produktionstechnik Zentrum für Technomathematik
Universität Bremen Universität Bremen
Claus Thomy Hans-Werner Zoch

BIAS—Bremer Institut für angewandte Stiftung Institut für Werkstofftechnik
Strahltechnik GmbH IWT
ISSN 2194-0525 ISSN 2194-0533 (electronic)

ISBN 978-3-030-11279-0 ISBN 978-3-030-11280-6 (eBook)
https://doi.org/10.1007/978-3-030-11280-6
Library of Congress Control Number: 2018967417
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Preface
This book gives an overview of the main research results, which are valuable to
enable a stable and understood mass production with lot sizes of more than
1,000,000 metal parts by micro forming. The results have been gained in the years
2007 to 2018 within the framework of the German Collaborative Research Center
(CRC) “Micro Cold Forming—Processes, Characterization, Optimization” (SFB
747 “Mikrokaltumformen—Prozesse, Charakterisierung, Optimierung”) of the
University of Bremen.
Chapter 1 of this book covers the motivation for the research on a reliable
production as well as information about the structure and the partners within the
collaboration and gives an overview of the main results, which were gained for
mastering effects occurring in mass production. Besides processes and methods for
improving the forming processes itself, also the mastering of the complete pro-
duction line and the aspect of high flexibility in the design of processes and pro-
duction systems are addressed. Within this overarching description, references for
more detailed information in the following chapters are given.
Each of Chaps. 2–6 focuses on a field of competence covered by the CRC.
Fields of competence are micro forming, process design, tooling, quality control
and characterization as well as materials, especially designed for micro forming.
Within this frame, all subprojects of the third funding period present their results in
Sects 2.1–6.4 in more detail, and each subproject is giving answers to a special
aspect, which allows mastering mass production of micro parts. The interdisci-
plinary cooperation between the researchers from production engineering, mathe-
matics and physics, who are working in several institutes, is an excellent base for
research in the demanding field of micro metal forming.
All the editors of this contributed book are the members of the executive board
of the CRC. Head of the board and of the CRC is Frank Vollertsen. All the authors,
who contributed to this book, work in the relevant fields of the CRC. They are
directors or staff members of the collaborating research institutes. This book
extends the knowledge presented in the more fundamental book “Micro Metal
Forming” (Ed. F. Vollertsen, published by Springer).
v
vi Preface
A prerequisite for successful cooperation is the funding of manpower and

equipment, which was granted by Deutsche Forschungsgemeinschaft (DFG) and
the University of Bremen. We gratefully acknowledge this support. The editors
appreciate the powerful collaborations of the researchers within the CRC, which
have been the key for the successful work.
On behalf of the editors
Bremen, Germany Frank Vollertsen

November 2018 Head of the CRC (SFB 747 Mikrokaltumformen)
Acknowledgements The editors and authors of this book like to thank the Deutsche
Forschungsgemeinschaft (DFG), German Research Foundation, for the financial support of the
SFB 747 “Mikrokaltumformen—Prozesse, Charakerisierung, Optimierung” (Collaborative
Research Center “Micro Cold Forming—Processes, Characterization, Optimization”). We also like
to thank our members and project partners of the industrial working group as well as our inter-
national research partners, for their successful cooperation.
Contents
1 Introduction to Collaborative Research Center Micro Cold

Forming (SFB 747) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Frank Vollertsen, Sybille Friedrich, Claus Thomy,
Ann-Kathrin Onken, Kirsten Tracht, Florian Böhmermann,
Oltmann Riemer, Andreas Fischer and Ralf B. Bergmann
2 Micro Forming Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Bernd Kuhfuss, Christine Schattmann, Mischa Jahn, Alfred Schmidt,
Frank Vollertsen, Eric Moumi, Christian Schenck, Marius Herrmann,
Svetlana Ishkina, Lewin Rathmann and Lukas Heinrich
3 Process Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Claus Thomy, Philipp Wilhelmi, Ann-Kathrin Onken,
Christian Schenck, Bernd Kuhfuss, Kirsten Tracht, Daniel Rippel,
Michael Lütjen and Michael Freitag
4 Tooling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Frank Vollertsen, Joseph Seven, Hamza Messaoudi,
Merlin Mikulewitsch, Andreas Fischer, Gert Goch, Salar Mehrafsun,
Oltmann Riemer, Peter Maaß, Florian Böhmermann,
Iwona Piotrowska-Kurczewski, Phil Gralla, Frederik Elsner-Dörge,
Jost Vehmeyer, Melanie Willert, Axel Meier, Igor Zahn,
Ekkard Brinksmeier and Christian Robert
5 Quality Control and Characterization . . . . . . . . . . . . . . . . . . . . . . . 253
Peter Maaß, Iwona Piotrowska-Kurczewski, Mostafa Agour,
Axel von Freyberg, Benjamin Staar, Claas Falldorf, Andreas Fischer,
Michael Lütjen, Michael Freitag, Gert Goch, Ralf B. Bergmann,
Aleksandar Simic, Merlin Mikulewitsch, Bernd Köhler,
Brigitte Clausen and Hans-Werner Zoch
vii
viii Contents
6 Materials for Micro Forming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311

Hans-Werner Zoch, Alwin Schulz, Chengsong Cui, Andreas Mehner,
Julien Kovac, Anastasiya Toenjes and Axel von Hehl
Contributors
Mostafa Agour BIAS—Bremer Institut für angewandte Strahltechnik GmbH,

Bremen, Germany;
Faculty of Science, Department of Physics, Aswan University, Aswan, Egypt
Ralf B. Bergmann BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
University of Bremen, Bremen, Germany;
Physics and Electrical Engineering and MAPEX Center for Materials and
Processes, University of Bremen, Bremen, Germany
Florian Böhmermann Laboratory for Precision Machining—LFM, Leibniz
Institute for Materials Engineering—IWT, Bremen, Germany;
Leibniz-Institut für Werkstofforientierte Technologien—IWT, University of
Bremen, Bremen, Germany
Ekkard Brinksmeier LFM Laboratory for Precision Machining, Leibniz-Institut
fur Werkstofforientierte Technologien—IWT, Bremen, Germany
Brigitte Clausen Leibniz-Institut für Werkstofforientierte Technologien, Bremen,
Germany
Chengsong Cui Leibniz Institute for Materials Engineering—IWT, University of
Frederik Elsner-Dörge Labor für Mikrozerspanung—LFM, Leibniz Institute for
Materials Engineering—IWT, Bremen, Germany
Claas Falldorf BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Andreas Fischer BIMAQ—Bremen Institute for Metrology, Automation and
Quality Science, University of Bremen, Bremen, Germany
Michael Freitag Faculty of Production Engineering, University of Bremen,
Bremen, Germany;
BIBA—Bremer Institut für Produktion und Logistik GmbH, Bremen, Germany
ix
x Contributors
Sybille Friedrich BIAS—Bremer Institut für angewandte Strahltechnik GmbH,

University of Bremen, Bremen, Germany
Gert Goch BIMAQ—Bremen Institute for Metrology, Automation and Quality
Science, University of Bremen, Bremen, Germany;
The University of North Carolina at Charlotte, Charlotte, USA
Phil Gralla Center for Industrial Mathematics, University of Bremen, Bremen,
Germany
Lukas Heinrich BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Marius Herrmann Bremen Institute for Mechanical Engineering (bime), Bremen,
Germany
Svetlana Ishkina Bremen Institute for Mechanical Engineering (bime), Bremen,
Germany
Mischa Jahn Zentrum für Technomathematik, Bremen, Germany
Bernd Köhler Leibniz-Institut für Werkstofforientierte Technologien, Bremen,
Germany
Julien Kovac Leibniz Institute for Materials Engineering—IWT, University of
Bernd Kuhfuss Bremen Institute for Mechanical Engineering (bime), University
of Bremen, Bremen, Germany
Michael Lütjen BIBA—Bremer Institut für Produktion und Logistik GmbH,
Peter Maaß Zentrum für Technomathematik, Bremen, Germany;
Center for Industrial Mathematics, University of Bremen, Bremen, Germany
Andreas Mehner Leibniz Institute for Materials Engineering—IWT, University
Salar Mehrafsun BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Axel Meier Labor für Mikrozerspanung—LFM, Leibniz Institute for Materials
Engineering—IWT, Bremen, Germany
Hamza Messaoudi BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Merlin Mikulewitsch BIMAQ—Bremen Institute for Metrology, Automation and
Eric Moumi Bremen Institute for Mechanical Engineering (bime), Bremen,
Germany
Contributors xi
Ann-Kathrin Onken Bremen Institute for Mechanical Engineering (bime),

Iwona Piotrowska-Kurczewski Zentrum für Technomathematik, Bremen,
Germany;
Lewin Rathmann BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Oltmann Riemer Leibniz-Institut für Werkstofforientierte Technologien—IWT,
University of Bremen, Bremen, Germany;
Laboratory for Precision Machining—LFM, Leibniz Institute for Materials
Daniel Rippel BIBA—Bremer Institut für Produktion und Logistik GmbH,
Christian Robert LFM Laboratory for Precision Machining, Leibniz-Institut für
Werkstofforientierte Technologien—IWT, University of Bremen, Bremen,
Germany
Christine Schattmann BIAS—Bremer Institut für angewandte Strahltechnik
GmbH, Bremen, Germany
Christian Schenck Bremen Institute for Mechanical Engineering (bime),
Alfred Schmidt Zentrum für Technomathematik, Bremen, Germany
Alwin Schulz Leibniz Institute for Materials Engineering—IWT, University of
Joseph Seven BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Aleksandar Simic BIAS—Bremer Institut für angewandte Strahltechnik GmbH,
Bremen, Germany
Benjamin Staar BIBA—Bremer Institut für Produktion und Logistik GmbH,
Bremen, Germany
Claus Thomy BIAS—Bremer Institut für Angewandte Strahltechnik GmbH,
Anastasiya Toenjes Leibniz Institute for Materials Engineering—IWT, University
Kirsten Tracht Bremen Institute for Mechanical Engineering (bime), University
Jost Vehmeyer Center for Industrial Mathematics, University of Bremen, Bremen,
Germany
xii Contributors
Frank Vollertsen Faculty of Production Engineering-Production Engineering

GmbH, University of Bremen, Bremen, Germany;
BIAS—Bremer Institut für angewandte Strahltechnik GmbH, University of
Axel von Freyberg BIMAQ—Bremen Institute for Metrology, Automation and
Axel von Hehl Leibniz Institute for Materials Engineering—IWT, University of
Philipp Wilhelmi Bremen Institute for Mechanical Engineering (bime), University
Melanie Willert Leibniz-Institut für Werkstofforientierte Technologien—IWT,
Igor Zahn Bremer Goldschlaegerei (BEGO), Bremen, Germany
Hans-Werner Zoch Leibniz Institute for Materials Engineering—IWT,
Chapter 1
Introduction to Collaborative Research
Center Micro Cold Forming (SFB 747)
Frank Vollertsen, Sybille Friedrich, Claus Thomy,

Ann-Kathrin Onken, Kirsten Tracht, Florian Böhmermann,
Oltmann Riemer, Andreas Fischer and Ralf B. Bergmann
1.1 Motivation
Frank Vollertsen*, Sybille Friedrich and Claus Thomy

Micro systems technology is one of the key enabling technologies of the 21st century
[Hes03], with increasing relevance due to a general trend towards miniaturisation in
many industries. The main boosters for this trend are currently the consumer and
communication electronics market and—to a lesser extent—medical technology
(especially microfluidic devices, which had a market volume of approx. $2.5B in 2017
[Cle17]). As an example, for the companies organized in the industry association
F. Vollertsen (&) S. Friedrich C. Thomy R. B. Bergmann (&)

BIAS—Bremer Institut für angewandte Strahltechnik GmbH, University of Bremen,
Bremen, Germany
e-mail: info-mbs@bias.de
R. B. Bergmann
e-mail: Bergmann@bias.de
A.-K. Onken K. Tracht (&)
e-mail: tracht@bime.de
F. Böhmermann (&) O. Riemer (&)
Laboratory for Precision Machining—LFM, Leibniz Institute for Materials
e-mail: boehmermann@iwt.uni-bremen.de
O. Riemer
e-mail: riemer@iwt.uni-bremen.de
A. Fischer (&)
BIMAQ—Bremen Institute for Metrology, Automation and Quality Science,
e-mail: andreas.fischer@bimaq.de
© The Author(s) 2020 1

F. Vollertsen et al. (eds.), Cold Micro Metal Forming, Lecture Notes
in Production Engineering, https://doi.org/10.1007/978-3-030-11280-6_1
2 F. Vollertsen et al.
IVAM Microtechnology Network, medical technology is by far the most important

market [NN14]. Nevertheless, in the context of electromobility, autonomous driving,
and industry 4.0, there should also be a significant increase in the demand for existing
MEMS (micro electromechanical systems) including connectors, as well as a need for
further improvement, miniaturization and functional integration.
A typical example of the benefits and challenges of miniaturization is the ABS
(anti-blocking system) in modern cars. Whilst the weight could be decreased to
approx. 10% of the weight of the first system, the part complexity has significantly
increased. This is indicated by the decrease in the number of parts by approx. 90%
in current systems, compared to the first versions [Nos14], even though additional
functions are integrated. The trend towards an increase in miniaturization can also
be illustrated using the example of HF (high frequency) connectors, where nowa-
days the minimum pin diameters commercially available off the shelf are in the
range of 0.7 mm, with allowable tolerances for functional features of several µm.
As in most of the applications discussed above, significant quantities of parts
ranging from several thousands to literally billions (e.g. for resistor end caps) have
to be produced, micro cold forming is among the dominant production processes.
Examples of components (containing) micro parts produced by cold forming are
(listed by their application areas):
Medical technology/chemical technology: Hearing aid devices, cardiac pacemakers,
micro pumps and micro pump couplings, microfluidic reactor devices;
Automotive technology: ABS and other advanced assistance systems based on
MEMS, contacts and connectors, fuel pumps, injection nozzles;
Electronics: Battery caps, displays, diodes, electrodes, connectors, resistors, noz-
zles, contactors;
General industry: sensors (e.g. for pressure), hydraulic and pneumatic connectors,
micro pumps, micro valves;
Consumer electronics: smartphone speakers, electric blades, compact cameras,
microphones.
As a first conclusion, we find three main trends: an increase in miniaturization,
an increase in functional integration, and an increase in total batch sizes. Moreover,
common to many of these applications is the need for zero-defect quality. This is
often due not only to cost considerations, but also to the safety criticality of many of
the components (ABS, medical devices).
Consequently, and as most micro forming parts are produced under extreme cost
pressure, the complete process chain has to be optimized to enable further
cost-efficient miniaturization. This means that not only aspects relating to the micro
cold forming process as such (e.g. non-systematic scatter in material properties), but
also preceding and succeeding process steps (e.g. heat treatment) as well as
materials handling have to be considered and optimized along the process chain.
Moreover, in order to increase process stability and part quality, novel tool mate-
rials and tool production processes have to be investigated to minimize tolerances
and improve wear behavior. Finally, and this is among the most urgent industrial
needs in view of zero-defect requirements, methods and systems for 100% inline
measurement and inspection at production rates of from 60 to 300/min and more are
1 Introduction to Collaborative Research … 3
required (depending, of course, on the part complexity). This is especially true for
systems allowing the optical inspection and measurement of complex features,
which are often inside longer cavities.
Research on micro metal forming in Germany was developed by Engel and
Geiger, starting in the 1990s in Erlangen. Discussion of the scientific advances,
achieved also in other countries like Japan and the USA, was held (not limited to but
also) in The International Academy for Production Engineering (CIRP), document-
ing the milestones in numerous papers and 2 keynote papers. These keynote papers
‘Microforming’, [Gei01] and ‘Size effects in manufacturing of metallic components’
[Vol09] are key documents about the development of micro metal forming. The
relevance of size effects is due to the fact that these effects are the reason why
knowledge from (macro) metal forming cannot be transferred easily to the micro
range. These effects have been the topic of a Priority Program (SPP 1138) funded by
the Deutsche Forschungsgemeinschaft (DFG) in the period from 2002 to 2008.
Three categories of size effects are specified, taking their names from the feature
that is kept constant: density, shape and structure. Fundamental knowledge con-
cerning size effects is documented in the book “Micro Metal Forming” [Vol13].
Specific features are:
1. The size or at least one of the dimensions of the produced parts is comparable
with the grain size of the material used, resulting in hard to control material
behavior.
2. The very small volume of the parts changes the failure behavior due to different
probabilities of the occurrence of a defect in a particular workpiece, if homo-
geneous defects with low density exist in the raw material.
3. The very low weight (typically between 100 lg and 10 mg) of the (raw) parts
makes handling difficult due to, for example, adhesion effects. Therefore parts
should integrate multiple functions to reduce the number of components in an
assembly and to minimize the number of handling and joining operations. On
the other hand, the small weight might allow the use of more expensive
materials or enable new processes.
4. Quality assurance becomes more difficult compared to macro parts, as many
methods usually employed cannot be used for the measurement of micro part
dimensions. Also the (scaled down) tolerances interfere greatly with the preci-
sion of the metrology, making the use of methods like statistical process control
(SPC) impossible.
Research in Collaborative Research Centers (CRC) started in 1998 by several
CRC, each addressing a special aspect of micro technology. The aim of SFB 440
was the Assembly of Hybrid Microsystems, SFB 499 focused on the development,
production and quality assurance of molded micro components of metallic and
ceramic materials and SFB 516 addressed the design and production of active
microsystems. From 2010–16 a research group “Small Machine Tools for Small
Workpieces” made new approaches for machine tools. In the period 2007–2018 the
Collaborative Research Center “Micro Cold Forming” (SFB 747) with about 60
scientists worked on topics relevant for the further development of mass micro
metal forming.
1.2 Aim of the SFB 747

Frank Vollertsen* and Sybille Friedrich
The central concern of the Collaborative Research Center (CRC) “Micro Cold
Forming” is the provision of processes and methods for the production of metal
micro parts by forming, whereby all essential aspects for the forming process, from
material development through component testing to process design, are included.
With the resulting knowledge of the mechanisms and correlations, a purposeful
process design is made possible for the process-reliable production of metallic
components with a size of less than 1 mm and the necessary tools. Batch sizes over
1 million parts are in focus. As a basis for this, the CRC serves industrial
requirements with a manufacturing frequency of typically 300 parts/minute. By
definition [Gei01], micro forming deals with parts having dimensions less than
1 mm in at least two directions. For further limitation of the research program, sheet
thicknesses of 10–200 µm and wire diameters of 200–1,000 µm are specified.
The Collaborative Research Center focuses on micro components that are pro-
duced in unit quantities or batch sizes over 1 million parts. The increase in the
number of variants results in the need for the reconfigurability of the production
lines with the aim of making the production of micro parts more flexible. There is
demand for individual processes that are easy to handle and flexible in use and thus
support a modular production. Here, the planning of the processes, the definition of
the interfaces and the monitoring strategies are of particular importance in order to
be able to quickly realize economically the start-up of the production of different
micro parts. The materials used in the central process chains are steel (1.4301),
aluminum (99.5) and copper (E-Cu58), as well as their alloys. The microstructure in
terms of homogeneity, grain size and isotropy plays an important role in the
formability. These factors are of particular importance for the alloys of the metals
listed above, since the production-related variables determine them. In addition,
other materials and combinations of materials are used, which can exploit the
opportunities offered with regard to component and workpiece design. The goal is
the production of the already mentioned micro technical components. Microsystem
technology (MST) and micro electromechanical systems (MEMS) are explicitly not
the subject of the CRC research.
1.3 Structure and Partners
Frank Vollertsen* and Sybille Friedrich

The research program gives the Collaborative Research Center a broad basis, from
the development of materials through the processes and their optimization to the
planning aspects of micro forming technology production. In order to visualize the
internal collaboration, three perspectives on the structure of the CRC were defined,
by means of which the CRC is presented as a whole (see Fig. 1.1). As a super-
ordinate element, a demonstrator was realized, on which all subprojects describe
their research progress in terms of the hardware, concept or virtual contribution.
Research work was coordinated using two further structural elements—the project
structure and the content relation.
The CRC offers a comprehensive overview of all aspects of micro forming
technology for sheet metal and massive forming with regard to the safe production
of micro components. Based on this objective, the structure of the Collaborative
Research Center with the project areas processes, characterization and optimization
results. Table 1.1 shows the project structure of the Collaborative Research Center.
A—Processes
Project area A of the CRC “Micro Cold Forming” deals with fundamental questions
of the single processes. The forming processes themselves are examined, as well as
Fig. 1.1 Perspectives of the

structure of the CRC allowing
optimal internal interaction
and collaboration
Table 1.1 Project Structure of the Collaborative Research Center (SFB 747). Line 1: DFG Short
number and title, Line 2: Running Head(s) of the project, Line 3: Duration of the project (start and
end), Line 4: Link for further details
A: Processes B: Characterization C: Optimization T: Transfer
A1 PVD-sheets B1 Deformation C1 Tool T2 Refining
Zoch, Mehner behavior Materials Kuhfuß
2007–2018 Vollertsen Partes 2015–2016
Section 6.3 2007–2010 2007–2013 Section 2.4
[Hu10] [Feu13]
A2 Heat treatment B2 Distribution based C2 Surface T3 Micro cavity
Zoch simulation optimization Bergmann,
2007–2018 Brannath, Schmidt, Hunkel Riemer, Maaß Lütjen
Section 6.4 2007–2014 2007–2018 2015–2016
[Lüt14] Section 4.5 Section 5.3
A3 Material B3 Tool duration C4 T4 Micro milled
accumulation Vollertsen, Bergmann Simultaneous dental products
Vollertsen, 2007–2018 Engineering Riemer, Maaß
Schmidt Section 4.2 Lütjen 2015–2017/1.
2007–2018 2007–2018 Hj. Section 4.6
Section 2.2 Section 3.3
A4 Material B4 Material strength C5 Linked parts T5 TEC-Pro
displacement Zoch, Clausen Tracht, Kuhfuß Vollertsen
Kuhfuß 2007–2018 2011–2018 2015–2016
2007–2018 Section 5.5 Section 3.2 Section 4.4
Section 2.3
A5 Laser contour B5 Safe processes C6
Goch, Vollertsen Bergmann, Goch, Lütjen Spray-graded
2007–2018 2007–2018 tool steels
Section 4.3 Section 5.2 Schulz
2011–2017
Section 6.2
A6 Friction B7 Process stability
polishing Vollertsen
Brinksmeier 2011–2018
2007–2017 Section 2.5
Section 4.6
further process steps before and after the forming step. At the beginning of the
interacting processes is the production of semi-finished products for the micro
forming production.
B—Characterization
With regard to new materials, tools and processes for micro forming, an exact
knowledge concerning the material behavior of both the workpieces and the tools
and their interaction is essential. This is subject of the project area B characteri-
zation of this Collaborative Research Center.
C—Optimization
In order to meet the precision and speed requirements of a reliable and
cost-effective production process, this project area uses the results of process
development and the characterization of basic material properties and product
parameters to optimize the key production steps.
T—Transfer
Research enhancing the basic research results of the CRC is examined in transfer
projects, each realized in cooperation with an industry partner.
The results of the complete funding period of all projects running in 2016 or later
are described in Sects. 2.1–6.4. In addition, a special approach for in situ geometry
measurement in fluids, using confocal fluorescence microscopy, is presented in
Sect. 5.4.
Internal Cooperation
Collaborating Institutes
Eight institutes, located on the campus of the University of Bremen, collaborate
with their special knowledge to achieve the collective aim. They are listed in
alphabetical order together with the most important research areas covered within
the CRC. The names of the actual responsible heads of the projects are given in
brackets:
BIAS—Bremer Institut für angewandte Strahltechnik: Laser material processing,
sheet and bulk metal micro forming (Prof. Dr.-Ing. Frank Vollertsen); optical
metrology (Prof. Dr. rer. nat. Ralf Bergmann).
BIBA—Bremer Institut für Produktion und Logistik: Logistics and simultaneous
engineering (Dr.-Ing. Michael Lütjen).
BIMAQ—Bremer Institut für Messtechnik, Automatisierung und
Qualitätswissenschaft: Process control including metrology, quality assurance
(Prof. Dr.-Ing. Andreas Fischer, Prof. Dr.-Ing. Gert Goch).
bime—Bremer Institut für Strukturmechanik und Produktionsanlagen: Bulk
metal forming including machine development (Prof. Dr.-Ing. Bernd Kuhfuß);
process chain layout and automatization (Prof. Dr.-Ing. Kirsten Tracht).
IfS—Institut für Statistik: Monte-Carlo simulation and statistics (Prof. Dr. Mag.
rer. nat. Werner Brannath).
Leibniz—IWT Leibniz-Institut für Werkstofforientierte Technologien: Physical
vapor deposition, heat treatment and mechanical testing (Prof. Dr.-Ing.
Hans-Werner Zoch, Prof. Dr.-Ing. Brigitte Clausen, Dr.-Ing. Andreas Mehner, Dr.-
Ing. Alwin Schulz, Dr.-Ing. Martin Hunkel).
Leibniz—IWT (LFM) Leibniz-Institut für Werkstofforientierte Technologien,
Laboratory for Precision Machining: Cutting, machining and polishing (Prof. Dr.-
Ing. Prof. h.c. Dr.-Ing. E.h. Ekkard Brinksmeier, Dr.-Ing. Oltmann Riemer).
ZeTeM—Zentrum für Technomathematik: Industrial mathematics (Prof. Dr. Dr.
h.c. Peter Maaß), simulation systems (Prof. Dr. Alfred Schmidt).
Fields of Competence
The global approach, which spans a bridge from the base materials to the finished
component in terms of micro forming technology, is a specialty of this
Collaborative Research Center. Two exemplary cycles are shown in Fig. 1.2.
Within the fields of competence, working meetings focused on material aspects, on
process design including the demonstrator and on the aspects of component char-
acterization as well as on tool-specific issues.
In Chaps. 2–6, more can be learned about the knowledge gained in the fields of
competence micro forming, tooling, quality control and characterization, as well as
concerning new materials for thin sheets and adapted tools, which were especially
developed to fulfill the needs of micro forming aspects.
Communication with the International Scientific Community
An essential device is the discussion of research results at relevant conferences and
congresses, as well as publications in international journals and books. In addition,
there are contacts with renowned scientific networks, such as acatech, AGU,
AHMT, AWT, CIRP, euspen, ICFG, IDDRG, I2FG, GCFG, GQW, MHI, SME,
WAW, WGP und WLT by the principal investigators and participating institute
directors.
The book “Micro Metal Forming”, written by the scientists of SFB 747 and
edited by F. Vollertsen, was published by Springer in the book series “Lecture
Notes in Production Engineering” in 2013 [Vol13].
Materials Friction polishing Tools

Tool materials (SLM)
Laser contour
Spray-graded tool steels
Surface optimization
PVD sheets
Tool durability
Heat treatment Process stability
Material accumulation Micro forming Material displacement
Safe processes
Linked parts
Distribution based simulation
Component strength Simultaneous Engineering
Quality control and characterization Process design

Tool cycle
Workpiece cycle
Fig. 1.2 Exemplary display of one workpiece and one tool cycle within the fields of competence
of CRC (for space reasons without transfer projects)
Further, the research of the CRC has been sustainably supported by numerous
impulses gained by close collaboration with international partners in relevant
research fields, such as:
Micro forming (Prof. Ming Yang, Tokyo Metropolitan University, Japan)
Laser material processing and micro milling (Prof. Frank E. Pfefferkorn,
University of Wisconsin-Madison, USA)
Microstructuring of polycrystalline diamond (Dr. Yiqing Chen and Prof. Liagchi
Zhang of the University of New South Wales in Australia)
Wear (Prof. Hans Norgaard Hansen and Dr. Guido Tosello of the Technical
University of Denmark (DTU))
Mathematical methods (Prof. Pham Quy Muoi, The University of Danang,
Vietnam; Dr. Jonathan Montalvo-Urquizo, CIMAT Centro de Investigación en
Matemáticas, Guanajuato, Mexico; Prof. Eberhard Bänsch, University Erlangen).
The CRC (co)organized the following scientific conferences:
The national Colloquium Micro Production has taken place biannually since
2003. The joint organization of the collaborative research groups of micro tech-
nology and their follow-up projects have the overall objective of micro technical
questions. The conference was hosted in Bremen in 2009 and 2017. The event was
also used intensively by the industrial partners for the exchange of information.
Since 2014 the CRC has established a session “micro forming technologies” at the
International Conference on Nanomanufacturing (nanoMan), which is biannually
organized by the International Society for Nanomanufacturing. The International
Conference on New Forming Technology (ICNFT) is an inspiring forum for
researchers and professional practitioners to discuss aspects of leading-edge novel
forming technologies. The steering committee of the conference comprises mem-
bers from BIAS, Germany, Harbin Institute of Technology, China, the University of
Birmingham, UK and the University of Strathclyde, UK. The CIRP and DFG
sponsored 5th ICNFT 2018 took place in Bremen, Germany. In 2018, special
sessions focusing on micro cold forming were included. Within this scope, the CRC
held its final Colloquium in exchange with international specialists.
Additionally, the CRC presented itself at fair trade stands, for example at the
International Conference on Technology of Plasticity (ICTP) in 2011 and 2017.
Around 700 international, mainly scientific, participants were informed about the
collaborative focus and research results.
Cooperation with Industry
In addition to the scientific national and international networks, an industrial
working group was established in the first funding period, with the aim of trans-
ferring the research results to industry and orienting the scientific research to current
needs. Members of the industrial workgroup are:
BEGO Medical GmbH, Robert Bosch GmbH, Uni Bremen Campus GmbH,
Felss GmbH, Harting Applied Technologies GmbH & Co. KG, Hella
Fahrzeugkomponenten GmbH, Huber und Suhner AG, IFUTEC GmbH, Keyence
GmbH, Philips Consumer Lifestyle B.V., SITEC Industrietechnologie GmbH, SLM
Colloquium Micro Production Int. Conference on New Forming Technology

biannual –ICNFT
with final
in Bremen: colloquium
2009 SFB 747
2017 2018
Industrial meetings Int. Conference on Technology of Plasticity
International
–ICTP
National
annual
2011
2017
Trade Fair for Production in the North Hannover Trade Fair

–NORTEC
2010
2014 2013
2017 2018
Fig. 1.3 A selection of national and international conferences and exhibition stands on trade fairs
for research and industry, (co)organized by SFB 747
Solutions GmbH, Stüken GmbH & Co. KG, Tyco Electronics GmbH & Co. KG,
Wafios Umformtechnik GmbH, Werth Tool MT GmbH, Weidmüller Interface
GmbH & Co. KG.
The consortium has been regularly provided with information from the CRC and
an annual industry colloquium was held to identify co-operation issues. From this
consortium also the transfer themes emerged (Fig. 1.3).
Definition of Demands on Mastering Mass Production of Micro Parts
Research with the aim of providing new processes and methods especially adapted
to the production of micro parts in high numbers took place in three funding periods
(see Fig. 1.4).
From 2007 to 2010, the researchers developed new processes and methods that
are especially designed for micro forming. The findings were improved in the
second period (2011–14) to be more stable and to be used for the production of
more complex products, while the processes were kept as easy as possible. In the
last period, the knowledge was increased by upscaling the number of parts and the
transfer to multistage processes.
The challenges arising from the goal of mastering the mass production of micro
parts, which are to be solved with different weighting in the individual subprojects
(see Table 1.1), consisted in the shortening of the process times, the increase in the
forming speed, the modification of the tribology and the heat balance, as the higher
clock rates result in an effectively higher power dissipation in the process zones.
This is followed by the demand for faster transport, faster measurement and control
processes, mastery of the tribology, thermal balance of the processes, and the
dispersion of material properties (see Fig. 1.5). The main results of the
1. period 2. period 3. period
New processes and Improve complexity Upscaling the number

methods and stability of parts and
multi stage forming
forming forming
materials materials Mastering the speed of
tools tools process
characterization characterization production
process design process design innovation
2007-2010 2011-2014 2015-2018
Fig. 1.4 Funding periods and their main research focus
innovation process production

speed speed speed
measurement and
process design tribology quality control
scatter handling
design of
production
systems thermal aspects
Fig. 1.5 Mastered aspects for a high quality and economic mass production of more than one
million batches/micro parts
Collaboration Research Center “Micro Cold Forming” concerning mastering these

aspects of innovation speed, process speed and production speed are summarized in
Sect. 1.4.
1.4 Main Results
1.4.1 Innovation Speed
1.4.1.1 Process Design
Ann-Kathrin Onken and Kirsten Tracht*

The design and development of new products and production processes is
time-consuming. For faster design of parts, and hence a higher innovation speed,
knowledge about the manufacturing processes, parts and their interdependencies is
required. This knowledge also enables the simulation and modeling of processes
and process steps.
To speed up the design of parts, one opportunity is the development of a
modular design system, as shown for linked parts in Sect. 3.2. Linked parts are left
in the material they are made of, for example, foil or wire. The remaining material
of the interconnection can be used for the implementation of functions that assist in
manufacturing processes. Besides the orientation of the parts, the interconnections
are appended with functional elements, which are relevant for the handling, such as
for the positioning of parts as concerned in the modular design system.
Basic knowledge about the process parameters and their influence on the
workpiece are major results from the CRC 747 and build an important basis for fast
adaptation to other products, parts or manufacturing processes.
Laser-based free-form heading (Sect. 2.2) is an alternative process chain in the
micro range for the production of conventional upsetting and metal forming. It can
be applied on rod and on thin metal sheet. With this method, which only works in
the micro range, thermal upsetting relations to 500 are possible. The aim of three
hundred line-linked parts per minute are realized, which can be formed in a further
step. A validated 3D simulation enables the parameter identification and process
analysis for free form heading.
Rotary swaging, which is well implemented in the macro range, for example, for
producing parts for the automotive industry, has been adapted to the micro range.
The two main variations of the process, infeed and plunge rotary swaging, were
investigated in the CRC (Sect. 2.3). In order to increase the productivity in the
micro range, the process speed can be increased. However, this could lead to
failures, particularly due to inappropriate material flow against the feed direction.
The findings show that, with additional measures, both the radial and the axial
material flow can be controlled, and in both cases the productivity in micro rotary
swaging can be increased by up to a factor of four. Furthermore, adjusting the axial
positioning of the workpiece during plunge rotary swaging allows a higher diversity
to be achieved for the geometry of the swaged part.
On the basis of rotary swaging, the refining (Sect. 2.4) deals with the condi-
tioning of wire semi-finished products for the subsequent forming processes. The
results show how the formability and the geometrical diversity of semi-finished
parts are prepared by process modifications in rotary swaging tools and kinematics.
These results can be adapted to other forming processes like deep drawing and
extrusion.
In the case of single and multistep deep drawing, the prediction of the influence
of the process parameters and tools on the geometrical properties of parts is also an
aim of the investigations about the process stability (Sect. 2.5). The objective is the
definition of the interaction of the tool geometry and the stability of a multi-stage
micro-drawing process. The results show how to determine allowable and
achievable manufacturing tolerances, and wear of the tools’ geometry to ensure a
stable manufacturing process while producing very large quantities.
Within the competence field of tools, especially the progress in laser chemical
machining (Sect. 4.3) enables precise quality control during the manufacturing of
metallic micro forming tools. The combination of thermal modeling to define the
temperature regime for a disturbance-free removal and closed-loop quality control
to compensate the deviations of quality features opens up the possibility of
dimensionally and geometrically flexible micro machining. In addition, a developed
machining strategy consisting of roughing and finishing steps is used to improve
both the microstructural and the topographical tool quality.
By developing the method of non-linear inverse problems, it was possible to
allow optimized process parameters for the manufacturing process of tribologically
optimized micro forming dies (Sect. 4.5).
The impact of the process parameters on the material properties is presented by
the results of two investigated processes. The results of the PVD sheet production in
Sect. 6.3 show how magnetron sputtering is established for the generation of thin
foils with high strength and good forming behavior. The results clarify how the
thickness of the coating is adjustable by changing the transport speed and the size of
the exposure area.
In the micro range, heat treatment in a drop-down tube furnace, where the parts
are heat-treated as they are falling, is possible because of the size effects (Sect. 6.4).
The investigations make it possible to retain the accuracy of the shape as well as the
specific setting of properties. Therefore, parameters like the falling time, tempera-
ture areas within the furnace, and quenching medium are considered.
Several manufacturing processes for forming tools with tailored material prop-
erties that lengthen the tool lifetime were established. One option is tool manu-
facturing by selective laser melting [Flo16]. Co-spray forming with selective heat
treatment afterwards allows adapted tool steels and properties in the specific regions
of the tool, with a gradual material transition in between to ensure good bonding
(Sect. 6.2).
1.4.1.2 Design of Production Systems

The planning and configuration of process chains constitutes a major factor of
success for the industrial production of metallic micromechanical components, due
to the occurrence of size effects, the inherently small tolerances, and the small
geometrical dimensions of the workpieces. For this reason, methodologies and
recommendations for the design of production systems for micro mass production
are required. Within this context, CRC 747 focuses on two different aspects with
two different perspectives.
The first is the widening of the tolerance field (Sect. 3.2). This methodology
follows a super-ordinated point of view on the process chain. Based on measured
geometrical dimensions of linked parts, trends occurring that are, for example,
caused by wear are used for matching, and design adjustments. Therefore, a
reduction of surplus parts as well as the increased durability of tools is achieved.
The production of linked parts is crucial for this methodology. Due to the retention
of the production order, the parts are measured to identify trends concerning geo-
metrical deviations, which are used for building homogeneous trend sections. These
sections are used for matching linked parts for building assemblies. Hence a soft-
ening of the tolerances, similar to selective assembly, is achieved. Selective
assembly is usually applied to scenarios where processes are hard to control. In
micro mass production, this specific matching enables a widening of the tolerance
field. The feedback loop to the design stage enables further increases in the outcome
by a stepwise adjustment of the nominal value and new combinations of parts. With
the adjusted nominal value, the identified sections, and matchings, further batches
are produced and assembled.
The second perspective focuses on detailing the interdependencies between and
within processes by considering the effects of single parameters on the production
result. Small variations in single parameters can have significant influences along
the process chain and finally interfere with the compliance with tolerances. For this
reason, the µ-Process Planning and Analysis methodology (Sect. 3.3) covers all
phases from the process and material flow planning to the configuration and
evaluation of the processes and process chain models. The process configuration
relies on so-called cause–effect networks, subsuming the relevant logistic and
technical parameters of the corresponding processes and describing their relation-
ships to each other. By using these networks, µ-Process Planning and Analysis
enables a fast evaluation of different process configurations (e.g. the use of different
materials or different production velocities) already during the planning stages. The
networks enable an assessment of the impacts of different choices on the follow-up
processes or the production system in general. Thereto, µ-Process Planning and
Analysis can directly reflect changes to the configuration in the integrated material
flow simulation and evaluate these configurations, e.g., regarding work-in-progress
levels, lead times or the products’ estimated qualities.
1.4.2 Micro Mass Forming
1.4.2.1 Tribology
Florian Böhmermann* and Oltmann Riemer*

Tribology is one major concern in the development of micro cold forming pro-
cesses. Size effects lead to changes in the predominant friction mechanism towards
adhesion, as well as a reduction of the effectiveness of lubrication. This is asso-
ciated with an increase of friction and has an impact on the wear behavior.
Furthermore, micro forming dies and work pieces show anisotropic behavior in
wear or non-predictable malfunctions, as the geometrical features and micro
structure are of about the same size. Thus, the development of robust micro cold
forming processes presumes an understanding of the mechanisms of friction and
wear in the micro regime. The main work within CRC 747 was first to determine
the wear mechanisms in micro cold forming processes and to derive measures to
avoid and reduce wear (Sect. 4.2). The second area of investigation was the
development of dry micro deep drawing processes utilizing textured forming dies.
The work here comprised the development of new and geometrically scaled down
experimental setups for tribological investigations and the generation and appli-
cation of textured surfaces with friction-reducing properties (Sect. 4.5).
Investigation and Avoidance of Wear
The investigation of forming die wear in micro deep drawing was carried out within
a combined blanking and deep drawing process on a high dynamic forming press
with two linear direct driven axes. Here, up to 300,000 micro cups were machined
in a row. Replication techniques were applied to allow for an ex situ forming die
wear investigation and the forming die to remain in the machine. The combined
blanking and forming die suffered from failure of the cutting edge rather than
abrasive wear of the drawing edge radius (see Sect. 4.2). The dies’ malfunction was
traced back to the comparatively coarse grain of the applied cold working steel. The
application of forming dies made from fine-grained tool steel generated by powder
metallurgy helped to overcome this issue.
Furthermore, a combined blanking and forming die from the alternative material
Stellite was introduced. The die was manufactured by laser selective melting
(SLM) and micro grinding for contour finalization. Comparatively high hardness
and excellent toughness allowed for the successful forming of 231,000 micro cups
in a row (see Sect. 4.5 and [Flo16]).
With regard to the investigation of adhesive wear in micro rotary swaging, dry
machining of aluminum Al99.5 workpieces was carried out. Distinct amounts of
cold-welded aluminum were found on the dies after the experiments (Sect. 2.3).
With the aim of avoiding adhesion, a fracture-tough, tungsten-doped diamond-like
carbon (DLC) hard coating system was developed suitable for the particular
application on micro rotary swaging dies with small geometric features (Sect. 6.3).
Subsequent dry micro rotary swaging experiments against aluminum workpieces

applying DLC hard coated forming dies showed a distinct reduction in adhesive
wear. This allowed the feed velocity to be doubled, achieving higher degrees of
deformation in a single process step and increasing the forming die life by a factor
of three.
With the aim of providing wear-resistant tool steels with improved and locally
adapted mechanical properties, a new material generation process was developed:
co-spray forming. In co-spray forming, melts of different materials are sprayed onto
a substrate, forming a deposit with the finest microstructure and gradient zones
between different material layers. Subsequently, the generated material is hot rolled
and heat treated. Micro rotary swaging dies were made from co-sprayed material
composed of two different hot working steels. Subsequently, these dies were suc-
cessfully applied in infeed rotary swaging experiments (Sect. 6.2).
The application of cemented carbides as material for micro forming dies is a
promising measure to reduce the abrasive wear and plastic deformation of forming
dies. This is due to cemented carbides’ significantly higher hardness compared to
hardened tool steels, together with their toughness against impact loads. However,
machining of cemented carbides in small geometrical dimensions with features
sizes down to 100 µm is challenging, e.g. due to strong geometrical limits to the
application of grinding. Micro milling applying novel ball endmills with cutting
edges from binderless polycrystalline diamond (PCD) is an alternative approach
that provides both comparatively high material removal rates and a sufficient sur-
face finish. Machining experiments with binderless PCD ball endmills were carried
out on tungsten carbide samples of different compositions. It was found that
especially fine-grained materials (grain sizes <1 µm) provide the best machining
results. Crack-free machining was achieved and ductile inter-crystalline cutting was
identified as the predominant material removal mechanism. Further work showed
the distinct dependence of the machining result, i.e. the surface roughness, on the
machining strategy: this is up- and down-milling. Down-milling provoked distinct
chatter and reduced the machining quality. Furthermore, wear mechanisms of the
applied micro endmills were identified in dependence on the process parameter feed
per tooth. This allowed suitable machining parameters to be derived for the
machining of micro forming dies from cemented carbide with a geometrically
defined cutting edge (Sect. 4.5).
On top of these measures with respect to channeling and avoiding wear in micro
forming, the application of diamond as a tool material has been advanced. The
outstanding properties of diamond, with a low friction coefficient in tribological
contact with metals, were applied beneficially, and additionally the diamond tool
surfaces were micro-structured for friction control. Therefore, a friction polishing
process was developed and the principal mechanisms governing the machining of
diamond by using thermo-chemical effects were elucidated (Sect. 4.7).
Micro Tribometry
Micro deep drawing processes, obviously, are characterized by only small areas of
contact between the tool—this is the die and the blank holder—and the workpiece.
Even though the nominal process forces are low, the reduced interface provokes
significant loads on the microscopic level determining friction and wear.
Tribological investigation in the micro regime is crucial, for example, for the
development of dry deep drawing processes utilizing novel textured forming dies.
This requires sensitive instruments and well-developed methodologies to guarantee
meaningful results.
For the micro tribological investigation within CRC 747, a new methodology
using a micro tribometer in ball-on-plate configuration with balls exhibiting facet
areas was developed. Applying the micro tribometer allowed the successful
determination of the impact of the micro geometry of textured surfaces on their
friction coefficient under dry conditions (Sect. 4.5).
The in-depth tribological investigations of micro deep drawing processes were
carried out on a specialized forming press equipped with piezo-electric force
measurement equipment to precisely determine the blank holder and punch force in
dependence on the punch’s position. The aerostatic bearings of the machine, fur-
thermore, helped to minimize the impact of frictional losses during machine
movement. Tribological investigations were carried out to determine the impact of
the tool geometry, i.e. the drawing edge radius geometrical inaccuracies as a result
of the micro machining process, on process forces and the drawing ratio.
Furthermore, they were used to confirm the results of the finite element method
(FEM)-based development of multistage deep drawing processes (Sect. 2.5).
Micro Textured, Tribologically Active Surfaces
The micro geometry or roughness of interfacing surfaces is of greatest relevance for
the development of dry micro deep drawing processes. The micro geometry
determines the real area of contact, the predominant friction mechanism—adhesion
or abrasion—and thus the friction and the wear behavior. Micro milling, as the most
common process for the manufacture of micro forming dies made from hardened
tool steels, due to its kinematic and size effects, allows textured surfaces to be
generated. The design of these textures is most dependent on the hardness of the
machined material, the feed per tooth, and the line pitch. The friction-reducing
properties were shown in strip drawing tests and micro tribological investigations
using a micro tribometer. It was found for dry strip drawing tests on stainless steel
strips that textured surfaces allow the friction to be reduced by up to 20% compared
to a polished reference sample. Such textures were also transferred to the surfaces of
micro forming dies for the deep drawing of rectangular cups. However, an increase
of, for example, the achievable drawing ratio has so far not been found (Sect. 4.5).
The derivation of the most suitable textured surfaces generated by micro milling
still remains a research topic. To cover this demand, micro contact and friction
modeling is applied. With the purpose of micro modeling, for the first time the
combination of a stochastic micro contact model, i.e., the model of Greenwood and
Williamson, and feature parameters according to the ISO 25178 standard was
shown. This allows for the implantation of actual textured surfaces, e.g., generated
by micro milling, into the model and thus the calculation of micro contact condi-
tions in dependence on the normal load. For selected textured surfaces, the contact
parameter real area of contact and average force acting on a single roughness peak
were calculated. The results show excellent correlation with the frictional properties
of the surfaces. For the smallest real area of contact, the lowest friction was mea-
sured in ball-on-plate tribological experiments. This new expanded Greenwood and
Williamson model builds the foundation for the development of a comprehensive
friction model for the derivation of the most promising textured surfaces design,
allowing the reduction of friction in dry deep drawing. The friction modeling is the
subject of ongoing research (Sect. 2.5).
1.4.2.2 Scatter
Andreas Fischer*
Dispersion (or scatter) indicates the distribution of the available data of a physical
quantity. It can be characterized by different measures, e.g., variance, standard
deviation, quantile or span. Dispersion is quantified and interpreted using stochastic
methods (probability theory and statistics). It can be used, for example, to evaluate the
stability of processes and process parameters, the uncertainty in the characterization
of materials and components, as well as the efficiency of signal processing algorithms.
Due to the increasing influence of the grain structure of metals in micro production,
dispersion plays an even more important role than in the production of macro parts. It
has to be considered in all components of the micro process chain (see Fig. 1.6).
Fig. 1.6 Dispersion affects all components of a production process, the geometric or material
properties of the workpiece, the process capability, the measuring process, and finally propagates
to the quality features of the micro part. Considering the example of producing a foil with the
thickness d, the probability density functions (PDF) shown visualize the scaling effect with respect
to the dispersion. When scaling down the macro process (top) to smaller foil thicknesses (bottom),
the (also scaled) tolerances (black dashed lines) are exceeded. Since the dispersion of the micro
part feature results from the superposed dispersions of the material parameters, the production
process and the measurement system, all three components have to be considered in order to
minimize the resulting dispersion of the produced micro part and to fulfill given tolerances
Within the CRC, dispersions were considered

(a) to characterize material properties and processes,
(b) to optimize process chains, and
(c) to assess a measuring system for geometric micro features.
(a) The presentation of the characterization of material properties and processes is

chronologically divided into the steps of a general process chain. The dispersion of
two primary shaping processes and the material parameters, respectively, are dis-
cussed first. The dispersion attributed to the main forming process is described next,
followed by the dispersion occurring in a subsequent process step such as heat
post-treatment.
In the production of thin foils as semi-finished parts for micro deep drawing, it is of
primary importance that the thickness is homogeneously distributed. Indeed, foils, like
other components with dimensions of less than one millimeter, are subject to size effects.
In particular, the strength and ductility and thus the drawability of thin foils significantly
decrease when the thickness is reduced. Therefore, foils with a non-homogeneous
thickness distribution may result in a higher number of waste parts in micro deep
drawing due to locally weaker drawability. In order to reach a more homogeneous
thickness distribution of thin foils, the magnetron sputtering process was optimized by
an oscillating or rotating substrate holder (see Sect. 6.3). As a result, the standard
deviation of the foil thickness was reduced by a factor of 9 from 4.7 to 0.5 µm.
Laser-based free form heading is a further original forming process, where
dispersion effects were identified and reduced. The resulting preforms of the pro-
duced parts have a random eccentricity, i.e., the location of the intermediate shape
relating to the shaft varies for each workpiece. The eccentricity of the preform
depends on the applied laser intensity. For intensities where the absorption can be
described by the model of Fresnel, the process design causes more material to melt
on the laser beam affected side of the rod and results in a random variation of the
eccentricity. When using higher intensities, the absorption over the entire rod
cross-section is more uniform due to the keyhole formation and the dispersion of
the eccentricity is reduced by about 40%. However, this requires a narrow process
window, since the keyhole effect causes higher dynamics within the melt, which
can also lead to an eccentric positioning of the solidifying melt (see Sect. 2.2).
Independent of the laser process, the span of the eccentricity can also be reduced
from a maximum of 100–30 µm by the subsequent forming step. Thus, the impact
of the dispersion of the first process stage on the accuracy of the final part geometry
is small as a result of the self-calibration during the second process stage.
The interaction between the dies and the workpiece during forming leads to
material modifications, e.g., with respect to the microstructure and the mechanical
properties. The dispersion of the Martens hardness of the part after micro rotary
swaging reaches as much as *250 N/mm2 compared to about *160 N/mm2
before forming (see Sect. 2.3). The increased dispersion occurred because of the
inhomogeneity of the microstructure (austenite soft, strain-induced martensite hard)

as well as the distribution of the hardness across the diameter of the cylindrical
workpiece. The observed distributions can be explained by the strain being inho-
mogeneously distributed over the diameter. The results of cyclic tension tests of
micro rotary swaged parts show a dispersion over almost 4 decades (see Sect. 5.5).
The effect can be explained by a size effect. In small volumes, the appearance of a
critical failure is less probable than in a larger volume. The hypothesis is confirmed
by the lower fatigue strength of macroscopic swaged parts. As a consequence, the
fatigue strength of the micro rotary swaged parts should be defined as the value
with a lower probability of failure (e.g. 10%) than the usual 50%.
Finally, it was observed that the heat treatment by means of a drop-down tube
furnace produces high dispersions of the micro hardness of the processed micro
cups. This finding is also a result of the size effect, as the relation between gravity
and flow forces in the process is different for micro cups compared to macro parts.
This leads to high variations in the falling time of the parts through the furnace,
resulting directly in different material properties. In order to reduce this effect by
stabilizing the heat treatment time in the furnace, an opposing gas flow was inte-
grated into the process (Sect. 6.4).
(b) Concerning the optimization of process chains, the high dispersion in process
parameters inherent to micro manufacturing leads to additional challenges during
the planning of complete manufacturing process chains. For this reason, the method
“Micro-Process Planning and Analysis” (µ-ProPlAn) was developed that enables
process planners to plan and configure stable process chains (Sect. 3.3). µ-ProPlAn
includes stochastic methods to characterize the expected value and the variance of
the input process parameters based on an experimentally obtained dataset. The
dispersion of productions can be improved by evaluating different configurations of
the entire process chain and by using µ-ProPlAn’s so-called cause–effect networks
to estimate the required mean values of the input process parameters, as well as the
resulting variances of the production output quantities.
The stochastic modeling approach in µ-ProPlAn is mainly based on a forward
model of the process chain. In order to find suitable process parameters for a given
production aim (e.g. the specified geometrical features of the product), however, the
forward model has to be inverted. Since many forward models are ill-posed,
meaning they cannot be inverted as they are non-injective or tend to amplify small
deviations in the output, regularization methods such as Tikhonov regularization
from the area of inverse problems are applied. In addition, existing, classical
approaches have been altered to consider uncertainties when solving the inverse
problem. As a result, process parameters can be identified that not only fulfill a
given expected output but also stay within a given range (tolerance). Further
information on this topic can be found in Sects. 4.5 and 4.6.
(c) Beside the manufacturing processes, dispersion also plays an important role in
quality inspection. The dispersion of the measurement results is characterized by
the measurement uncertainty. In micro production, the proportion of the geometric
feature of the workpiece to be measured to its tolerance and the measurement
uncertainty is different compared with the inspection of macro parts. In addition,

high aspect ratios in small dimensions, steep surfaces and gradients, as well as a
limited accessibility are challenging for the acquisition and evaluation of surface
measurement data. To cope with these boundary conditions, a measurement system
was developed within the CRC, which captures the part’s three-dimensional surface
with a digital holographic microscope setup and automatically evaluates its geo-
metric features by a holistic approximation, as well as surface defects by means of a
convolutional neural network. The details of this system are described in Sects. 5.2
and 5.3. Increased uncertainties in the evaluation of incomplete geometric features
are reduced by acquiring as much as possible of the part’s surface out of 4 direc-
tions in one shot. Another problem is the holographic reconstruction of optically
rough surfaces, if the height variations exceed one quarter of the wavelength.
Therefore, the two-wavelength contouring technique was applied. In addition, a
method to reduce speckle decorrelation noise was implemented based on averaging
the results obtained from multiple measurements with varying directions of illu-
mination. Finally, by applying convolution-based low pass filtering, the standard
deviation of the depth measurement could be reduced from 4.4 to 1.5 µm.
Regarding the subsequent automatic evaluation of geometric parameters out of the
surface point cloud of a micro cup, the holistic approximation approach was ver-
ified to yield measurement uncertainties below 0.5 µm.
1.4.3 Mastered Production
1.4.3.1 Measurement and Quality Control
Ralf B. Bergmann*
At the start of the CRC, there was no method available that enabled the mea-
surement of the shape or deformation of micro parts with a complex geometry that
is at the same time precise (low measurement uncertainty in the µm or sub-µm
range), fast (typically less than a second) and robust (capable of operating outside a
measurement lab). In the course of the CRC, a digital holographic measurement
system was realized that uses four simultaneous directions of observation and
enables optical measurement to be done within approx. 120 ms. The measurement
and fully automated evaluation of 3D geometry and surface defects of a micro cup
proceed within around 12 s. The dominant time fraction of 11 s is required for data
transfer and hologram analysis to obtain the 3D point cloud which is used as input
for geometry and surface defect analysis. Next, measurement algorithms are used
for an automatic evaluation of dimensional deviations by combining a least squares
approximation with an optimal decomposition of the point cloud into elementary
geometries and for an automated recognition of surface defects. The system
achieves an axial measurement uncertainty of 5 µm and a lateral resolution of
2 µm. In the framework of a transfer project, another holographic measurement
technique was set up, that enables the detection of defects with a minimum lateral
extent of 2 µm and a minimum depth of 5 µm within cavities of the micro formed
parts investigated. For further details refer to Sects. 5.2 and 5.3.
The characterization of the laser chemical machining (LCM) quality as well as
its comparison with competing processes were defined as key objectives toward
widespread industrial acceptance. Using confocal microscopy in combination with
the holistic approximation approach of the CRC to quantify geometric features, it
was demonstrated that LCM is particularly suited for the manufacture of micro
cavities with dimensions < 200 lm. In comparison with micro milling, laser
chemical machining shows higher shape and dimensional accuracy due to sharp
edge contours with mean edge radii of (11.2 ± 1.3) lm. However, the surface
finish quality of micro milling (with Sa = 0.2 µm) could not be achieved due to the
remaining surface waviness, which limits the LCM finishing to Sa > 0.7 µm. For
further details refer to Sect. 4.3.
Tool wear is usually measured by using optical measurements directly on the
tool. The challenge is, however, to determine the tool wear from a measurement of
the forming product. In this case, experiments in lateral micro upsetting were
carried out in which the tool wear is reproduced on the formed wire. The repro-
duced tool geometry on the wire was analyzed and compared to the original
geometry of the tool. Both the tool and the wire were measured with a confocal
microscope with the same measurement conditions. The development of this
technique allows the measurement of the tool wear history on the wire reproduc-
tions with a forming accuracy of down to 1.5 lm. For further details refer to
Sect. 4.2.
Prior to the CRC it was not possible to perform tensile tests or fatigue tests for
micro swaged wires with enhanced strength, since the wires tend to break in the
clamping device as a consequence of stress peaks. It was not possible to glue
adequate tubes to the samples ends to enhance the diameter of the shafts, since for a
sufficiently strong bond it is necessary to cure the adhesive at 180 °C, which leads
to an unwanted heat treatment of the sample. Within the project a special clamping
device for wires, following the approach for fibers, was constructed. The extreme
strength of the wires demands a very high surface hardness of the device, which
was implemented by a nitriding heat treatment. For further details refer to Sect. 5.5.
For the determination of a forming limit diagram, the ISO standard defines the
dimensions of the experimental setup. The ISO standard is, however, created for
material testing in the macro range and material thicknesses above 300 µm. Within
the CRC, a test was developed to measure the forming limit diagram for thicknesses
below 200 µm. For the detection of localized deformation, which occurs in the
micro range, the test setup was scaled down to a diameter of 6 mm for the forming
area. Thus the lateral resolution of the optical strain measurement is in the range of
the grain size and localized deformation can be measured. The optical measurement
method is based on a stereo camera system that uses digital image correlation for
the strain measurement. Due to the new measurement method, the determination of
the forming limit diagram in the micro range is simplified and the accuracy is
increased. For further details refer to Sect. 2.5.
1.4.3.2 Handling

Micro mass production with conventional handling technologies like vibratory
conveyors is limited by the sticking effects and small tolerances that occur. Basic
functions for handling parts in bulk are functions like separation, orientation,
positioning, and transfer. Hence, handling micro parts in bulk slows down the
manufacturing and assembly of micro parts. For this reason, the preparation of
micro parts has a major impact on the ability to produce micro parts in large
quantities. The handling of micro parts is simplified and sped up by interconnecting
the parts. Therefore, the linked parts are left in the material, such as foil or wire.
While manufacturing linked parts, handling functions such as orientation, separa-
tion, and positioning is already covered by the application of the linked parts
production method. The basic material of the parts offers the possibility of imple-
menting assisting elements for subsequent production stages.
Technologies for the handling of linked micro parts are speeding up their
manufacturing and assembly (Sect. 3.2). A fast transportation is enabled by specific
conveyor technologies, which transport parts at rates of up to 500 parts/minute. In
combination with referencing of the parts, a fast synchronization of pre-assemblies
is implemented. The storage of micro parts is also simplified by the interconnection.
Concepts ensure the safe buffering and long-term storage. For long-term storage,
the well-known concept of coiling is combined with the usage of layers between the
linked parts. This ensures fast and deformation-free storage. Buffering between the
stations facilitates especially the required flexibility. Due to the retention of the
orientation and position, simple concepts like extending the conveying distance
using guiding rollers are applicable.
The production as linked parts offers several advantages, simplifies the handling,
and significantly speeds up parts transport, but new challenges also result from the
linking of the parts. This has been investigated in cooperation with the processes of
laser melting (Sect. 2.2) and rotary swaging (Sect. 2.3). It was shown that the
application of the feeder to the tasks of transport, positioning and eventual feed
during processing results in different requirements, between which a compromise is
needed. Further, the structural connection of the parts leads to a transfer of forces
and the processes change the structure. The effects that occur are shown and
measured to deal with the resulting challenges.
1.4.3.3 Thermal Aspects
Frank Vollertsen*
Within the current research on micro forming, questions of thermal aspects were
mainly those where special effects occurred due to the upscaling of the production
rate. Higher production rates very often lead to shorter processing time, while the
total work (energy for a specific plastic deformation) per workpiece is held con-
stant. This results in an increased process power, which has to be transferred by the
tool. As a consequence of the dissipation of heat, which is the biggest share of
energy consumption in metal forming processes, the input power into the tools is
increased. As the tool dimensions and the tool material, i.e. its physical properties
like thermal conductivity and other, are held constant, the conditions for cooling are
unchanged. Only higher thermal gradients due to heating up to higher temperatures
will enhance the apparent cooling power, but in spite of that, higher temperatures
will result in tools and even in workpieces when scaling up the production rate. The
increased temperature of the workpieces and tools can have many different effects.
An increased tool temperature can have detrimental effects on tool wear, the
workpiece material might have another plastic deformation behavior, and the
increased temperature could affect lubricated and unlubricated friction. In order to
master this, the temperature fields in tools and workpieces, the damage mechanisms
and the development of the microstructure all have to be controlled. Therefore,
research has been done in two main fields to control the thermal aspects. First,
methods for the measurement, prediction and control of thermal fields were
developed. Second, detailed questions, which were mainly induced by the higher
production rates, were solved.
Within the first task, i.e., mastering thermal fields in micro metal forming,
experimental, analytical and numerical methods were developed. The process of
laser-induced chemical etching, which has already been used for two-dimensional
processing like cutting and drilling, had to be extended to three-dimensional pro-
cessing, i.e. to a process similar to free-form milling. As the basic chemical reaction
of the process is very sensitive to the local temperature, the temperature fields
should be known. Due to the difficulties of direct temperature measurements, the
temperature field was calculated. An analytical model was developed (Sect. 4.3)
that helps to keep the temperature above the threshold limit (typically in the range
of 65 °C for the given materials) and below the limit above which some distur-
bances of the process occur, like boiling of the electrolyte leading to inferior work
piece quality (slightly above 100 °C).
A method for the numerical simulation of a thermal process, e.g., thermal
upsetting, was also developed. Thermal upsetting of wire and sheet material to get
intermediate stages of the desired part was introduced within the research work. This
process does not need any solid tools. It uses local melting of the raw part and the
effect of surface tension, which is the dominant force component in the given range
of workpiece sizes. A multiphase simulation was developed for the analysis of the
thermal field during heating and cooling of the solid, liquid and gaseous material.
Using an experimental determination of the solidification speed (Sect. 2.2), the
anticipated transport mechanisms for the heat transfer were validated. In addition,
the influence of the method for the absorption of the energy (heat conduction mode
or keyhole mode) could be assessed concerning its influence on the overall cycle
time (Sect. 2.2).
Within the second task, the thermal impacts due to higher production rates were
analyzed with respect to the heat development, the impact on the microstructure of
tool and workpiece material, and also wear and fatigue properties.
Measurements of the frictional heat due to a misalignment of tool components in
deep drawing (Sect. 4.2) showed that the thermal impact can be measured, but is
rather low (temperature increase below 5 K) and will not affect the process or the
workpiece properties. Also, no critical effect on the tools was seen in rotary
swaging. The tool temperature induced by the process heat in rotary swaging was as
high as 300 °C (see Sect. 2.3), but an influence on the tool wear was excluded. This
is because the annealing temperature of the tool materials used is above 500 °C
(Sect. 6.2). For that reason, any impact on the tool properties, especially the wear
properties, was excluded.
Significant influences of the time–temperature course were observed in the
development of the microstructures of both the tool steel and workpiece materials.
Tool steels were produced by spray forming. The substrate was initially a flat plate,
which, in combination with spray forming of graded materials, led to excessive
heating and coarsening of carbides. By changing the shape of the substrate to the
form of a ring and thus increasing the surface during deposition, the cooling could
be enhanced and finer carbides resulted (Sect. 6.2).
While the heating of the tools in rotary swaging did not affect the tool wear, the
heating of the workpiece could have a significant influence on the workpiece
properties, e.g. hardness and fatigue behavior. This was seen after measuring the
material properties for samples which were processed by rotary swaging. Using a
high feed-forward speed results in a lower hardness and endurance limit. The
primary influences were strain hardening and strain-induced martensite formation
and therewith the resulting martensite content, which was lower after forming at a
higher speed (Sect. 5.5). Different mechanisms are discussed for this effect
observed for high alloyed steel. One assumption is that a slow, stepwise defor-
mation leads to higher martensite content than deformation in a few steps. The other
assumption is that a higher feed-forward speed increases the mean temperature of
the workpiece. This in turn leads to less strain-induced martensite (Sect. 2.3), which
can be fully suppressed at slightly elevated temperatures.
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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
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Chapter 2
Micro Forming Processes
Bernd Kuhfuss, Christine Schattmann, Mischa Jahn, Alfred Schmidt,

Frank Vollertsen, Eric Moumi, Christian Schenck, Marius Herrmann,
Svetlana Ishkina, Lewin Rathmann and Lukas Heinrich
B. Kuhfuss (&) E. Moumi (&) C. Schenck M. Herrmann S. Ishkina (&)

Bremer Institute for Mechanical Engineering (bime), Bremen, Germany
e-mail: kuhfuss@bime.de
E. Moumi
e-mail: moumi@bime.de
S. Ishkina
e-mail: ishkina@bime.de
C. Schattmann (&) F. Vollertsen L. Heinrich
BIAS— Institut für angewandte Strahltechnik GmbH, Bremen, Germany
e-mail: schattmann@bias.de
M. Jahn A. Schmidt
Zentrum für Technomathematik, Bremen, Germany
L. Rathmann (&)
BIAS—Bremer Institut für angewandte Strahltechnik GmbH, Bremen, Germany
e-mail: rathmann@bias.de

28 B. Kuhfuss et al.
2.1 Introduction to Micro Forming Processes
Bernd Kuhfuss
The projects of this chapter describe micro forming processes that are studied as
single processes but can also be combined as process chains. Proven examples are
material accumulation and succeeding rotary swaging, or rotary swaging and
extrusion.
Micro forming differs from macro forming due to scaling effects, which can
mean both challenges and benefits. Problems may arise from the handling of fragile
parts or adhesive forces between the micro parts or friction effects.
Benefits from scaling effects are made use of in the project “Generation of
functional parts of a component by laser-based free-form heading”. The aim is a
material accumulation that is generated from short duration laser melting. This
material accumulation gives the basis for succeeding cold forming operations. The
first powerful application for the new technology was upsetting. In the macro range,
upset ratios of about 2.3 are achievable, but this is reduced in the micro scale due to
earlier buckling of the components. In the micro scale, where cohesive forces can
exceed the gravitational force, the molten material forms a droplet that remains
adhered to the rod. Thus, upset ratios of up to 500 were reached. The process
development was accompanied by a mathematical model and allows for a deep
insight into the thermodynamics of laser-induced material accumulation in the
micro range.
The laser molten material accumulation could, for example, be further processed
by micro rotary swaging. Though rotary swaging has been known in the macro
range for a long time and is nowadays an intensively used process in the automotive
industry to produce lightweight components from tubular blanks, there are only a
few scientific works that have addressed material characteristics like the work
hardening or residual stress that are linked to the process and machine parameters
and the resulting material flow. Due to micro scale specifics that follow from the
kinematics, i.e. relatively smaller stiffness against part buckling and wider tool gaps
in the opened state, the feed rates achievable cannot compete with high throughput
technologies that produce 500 parts per minute and more. One major aim of the
project “Rotary swaging of micro parts” was to increase the productivity for the
main process variants, namely infeed and plunge rotary swaging. This demanded
also process modeling to understand how parameter variations like friction between
tools and the work in the different zones of the swaging tools affect the process.
From the modeling and simulation, separate process variations were deduced
and investigated. For infeed swaging, a special workpiece clamping allows for
compensation of the pushback force, which results in a 10-fold increase of the
maximum feed rate. For plunge rotary swaging, an approach was tested to close the
tools gaps during opening using elastic intermediate elements that encapsule the
workpiece against the forming dies and enable a 4-fold increase of the radial feed
rate.
2 Micro Forming Processes 29
Micro rotary swaging could become a base technology for process chains.
Besides the combination with material accumulation, where the final geometry is
formed by swaging, swaging can also be a preliminary step for subsequent oper-
ations. This was in the focus of the project “Process combination micro rotary
swaging/extrusion”. In general, blanks for extrusion processes are produced by wire
drawing, which provides high velocities, good surfaces and a diameter with close
tolerances. Substitution of wire drawing by rotary swaging gives promising results
in some applications. Whereas rotary swaging cannot compete with respect to
process velocities, it can offer advantages when certain material properties are
needed. In addition, the swaging process can be designed in such a way that the
work surface shows micro lubrication pockets, which is also favorable in later
extrusion processes.
One effect of the downscaling of the forming of micro parts is the relatively
closer tolerances for production. In deep drawing processes, the geometries of the
punch, center deviation of the punch, drawing gap and blank position with respect
to the drawing die all influence the robustness of the process. These interdepen-
dencies are studied in the project “Influence of tool geometry on process stability in
micro metal forming”. In the micro range, friction between the work, punch and
drawing radius plays an important role and leads to variations that limit the usable
process windows. Numerical methods and experimental research allow the detec-
tion of the geometric influences and their individual contribution to the work quality
and process stability.
2.2 Generation of Functional Parts of a Component

by Laser-Based Free Form Heading
Christine Schattmann*, Mischa Jahn, Alfred Schmidt and Frank Vollertsen
Abstract To overcome the disadvantages like buckling in upsetting processes in

micro range, an alternative two-stage shaping process has been developed. This
two-stage process consists of a master forming and a subsequent forming
step. During master forming, a laser heat source is applied to a workpiece melting
the material. Because of size effects the melt pool, whose size depends on the
radiation time and the radiation strategy, stays connected to the part. After
switching off the laser, the solidifying melt preserves its shape to the so-called
preform. Finally, a subsequent forming stage ensures gaining the desired geometry.
Since the laser melting process is very stable, a constant part quality is reachable
even in linked part manufacturing. Here, cycle rates up to 200 parts per minute
enable an industrial application. The reached microstructure, which is defined by
the solidification process, has good properties for the subsequent forming process.
Thus, a high formability can be achieved.
Keywords Laser Cold forming Finite element method (FEM)
Miniaturization is becoming increasingly important for the generation of functional

parts. Due to the decreasing the size and increasing the range of the functions of
many components, new manufacturing processes are necessary to overcome diffi-
culties that arise when processes such as bulk metal forming are transferred from
the macro to micro range. Conventionally, a multi-stage upsetting process with an
increased process complexity and number of cycles with high demands on handling
is necessary to achieve large plastic forming. This results in a time consuming and,
therefore, expensive process. Furthermore, the formability is reduced as the size of
the specimen decreases [Eic10], which is also true for the maximum value of
natural strain which leads to defects in grains [Tsc06]. While the advantages of the
bulk metal forming process upsetting are high output rates with small deviations
[Lan02] and low waste of material [Lan06], the maximum achievable upset ratio is
only about 2.3 in the macro range. Unfortunately, if applied to workpieces in the
micro range, the upset ratio reduces to less than 2 [Meß98]. This happens due to
buckling effects that occur faster because it is based on the shape inaccuracy of the
specimen and of the tool as well as their perpendicularity to each other [Vol13]. To
overcome these issues, a new laser-based upsetting process has been developed
[Vol08].
The new process consists of two stages: the master forming step, generating a
material accumulation; and a subsequent micro cold forming step, in which the
specimen reaches its final geometry. In the master forming process, a laser is used
to melt a metallic workpiece. Due to the shape balance effect [Vol13], the molten
material tends to form a spherical melt pool and remains connected to the work-
piece for as long as the surface tension exceeds the gravitational force. This
sphere-like shape is conserved even after solidification and the generated material
accumulation is called a preform. The process is limited by the maximum thermal
upset ratio, which is achieved just before the molten material detaches from the
workpiece. In the second process stage, rotary swaging or die forming are used to
form the solidified preform into the desired geometry.
The laser-based free form heading process is applicable for two workpiece
geometries: within or at the end of a thin rod, and on the rim of a thin sheet. The
main investigation areas of the first process stage are the radiation strategy, the
energy balance including the laser melting as well as the solidification of the fluid
melt pool, and the reproducibility. Afterwards, during the second process stage, the
formability, including the yield stress and the natural strain, are significant to reach
the final part geometry. Given that handling of micro parts is challenging [Chu11],
linked-part combinations are required to process the usually high number of micro
parts to different manufacturing machines.
2.2.1 Laser Rod End Melting
The laser rod end melting process consists of two stages. The first step is the
thermal upset process, which generates the material accumulation at the end of the
rod. Here, the energy equilibrium and the solidification influence the reproducibility
and the microstructure of the preform. In the second step, die forming or rotary
swaging leads to the final geometry of the part. With regard to industrial applica-
tions, the manufacturing of linked part production is also implemented.
2.2.1.1 Thermal Upset Process
To avoid the disadvantages of conventional upsetting processes, a preform at a

cylindrical, metallic rod with diameter d0 1:0 mm can be generated by laser rod
end melting. This alternative process, which is shown in Fig. 2.1, is based on
applying a laser heat source to the end of the rod, thereby melting the material. The
size of the melt pool depends on the amount of energy absorbed by the workpiece,
and can be controlled by adjusting the laser beam power and pulse duration. Due to
the surface tension, the melt forms spherically to minimize its surface area. By
melting the material, the length of the stationary rod reduces and the spherical melt
pool, which stays connected to the rod, moves upwards during the process. Thus,
the thermal upset ratio given by u ¼ dl00 increases, where l0 denotes the molten length
and d0 the rod diameter. The thermal upset ratio is limited by the volume of the melt
by which the gravity force exceeds the surface tension causing the melt to drip off
(a) conventional upsetting (b) laser rod end melting
FP rod shaft
FP
FP
forming result
preform
l0
tool
FP
Brüning 2015 BIAS ID 180670
Fig. 2.1 Upsetting a multi-stage process conventional upsetting, b alternative process laser-based
free form heading with only two process stages [Brü16b]
the rod. With decreasing d0 it is possible to achieve high upset ratios u 100; for
example, u 500 for d0 ¼ 0:2 mm [Ste11]. Thus, the mechanical upset ratio of
less than 2 in micro range can be significantly exceeded by the thermal upset ratio
of the new process.
To avoid oxidation during the process, a shielding gas atmosphere with Argon is
created. After switching off the laser heat source, the melt solidifies rapidly.
Therein, the cooling rate has a significant effect on the microstructure and, thus, on
the formability of the generated preforms. The final geometry of the part is reached
during the subsequent forming process, such as rotary swaging or die forming. In
this regards, good reproducibility, high geometrical accuracies, and small reject
rates show the advantages for industrial applications in the micro range.
2.2.1.2 Process Stages and Radiation Strategy
The master forming process can be subdivided into three process stages: the radi-
ation stage, an intermediate or dead phase, and the cooling stage. To melt the
material during the radiation stage, two strategies are possible for the generation of
preforms at a rod: coaxial rod end melting and lateral rod end melting. The idea of
the coaxial approach is to orientate the rod and the laser heat source coaxially to
each other and keep both stationary [Vol08]. In the initial setup of this process
design, the rod is positioned in the focus plane of the laser, which is pointing to its
head surface, see Fig. 2.2a. In contrast, the lateral process design is based on
positioning the laser laterally to the rod and deflecting it along the material using a
laser scanner [Brü15a], cf. Fig. 2.2b. Both strategies have advantages, as will be
described in the following sections. After switching off the laser, the melting
process continues due to the surplus energy that is already added to the rod. This
process stage is called the intermediate or dead phase and its duration depends on
the amount of energy overheating the melt. When all of the remaining energy is
(a) coaxial (b) radial
x x
z z
r r z z
x x r r
focus plane
symmetry axis
Fig. 2.2 Radiation strategy: a coaxial orientated laser beam, b lateral orientated laser beam
[Brü16b]
consumed, the solidification process starts, which essentially determines the

formability of the produced specimen.
2.2.1.3 Modeling and Simulation of the Master Process
Due to its importance for the subsequent forming step and the final result, a detailed
analysis of the master forming process and the quantification of the impact of the
process parameters on the generated preform is required. Basically, the master
forming process and occurring effects can be described by analytical models and
result from the similarity theory [Brü12a]. However, a full continuum mechanical
model and a accurate corresponding finite element method (FEM) is needed to
perform the required throughout process analysis. The modeling and simulation
framework can then also be used to find suitable parameter ranges.
From a mathematical point of view, the process can be modeled by coupling the
two-phase Stefan problem [Ell81] and the incompressible Navier-Stokes equations
with a free capillary surface [Bän01]. Within the thermal problem, laser heating,
thermal conduction in the melt and the bulk, cooling described by the
Stefan-Boltzmann law, and also the forced convection caused by shielding gas have
to be considered to capture all of the relevant effects. The dynamics in the melt are
dominated by the movement of the solid-liquid interface and the thermal advection.
The resulting partial differential equation (PDE) system is coupled and non-linear
[Bän13].
Several finite element approaches have been developed to numerically simulate
the process, which are suited to take into account the different radiation strategies in
a computationally efficient way. A 2D rotational symmetric approach is used to
simulate the process based on a coaxial process design [Jah12a]. Therein, an
arbitrary Lagrangian-Eulerian method (ALE) [Bän13] is coupled with an approach

based on considering the enthalpy in the workpiece. The throughout analysis of the
numerical method is given in [Lut18]. Other than the coaxial process, the lateral
process design requires a full 3D simulation [Jah12a]. As a result of the findings in
[Lut18], an approach merely based on an enthalpy method was implemented
[Jah14b]. To analyze the cooling process and take into account the interaction of
melt and shielding gas, the extended finite element method (XFEM) can be used.
This method belongs to the class of unfitted approaches and it allows us to decouple
the physical domain from the discretization by extending the approximation space.
This has the advantage that it allows for a more precise simulation because not only
the workpiece but also its surroundings can be considered. In contrast, conventional
finite element approaches are based on representing the physical domain by the
computational mesh and, therefore, can only consider the impact of the workpiece
surrounding via boundary conditions.
After having been validated by comparing the numerical results to the experi-
mental data, such as in regards to the shape of the preform [Jah12], the solidification
process [Jah14b], and the energy balance with respect to the self-alignment capa-
bility of the process [Jah12a], the finite element simulations are used for parameter
identification and for further process analysis.
2.2.1.4 Energy Impact and Heat Dissipation Mechanisms
As previously mentioned, the results of the master forming step are primarily
dependent on the amount of energy available for the melting process [Brü12b]. This
energy depends not only on the total amount of energy E ¼ PL tL applied to the
workpiece but also on the composition of the energy, meaning the choice of the
laser power PL , and the radiation time tL to generate a certain energy E. This
happens because the laser power has a significant influence on the absorption rate
and the heat dissipation mechanisms. In addition, the divergence of the laser beam
has to be taken into account. All these aspects are highly dependent on the radiation
strategy and the chosen process parameters.
For laser-based processes, the absorption rate is typically given by the Fresnel
equations. For the process at hand, the absorption rate is then approximately 0.38
[Wal09]. However, by significantly increasing the laser beam power PL , and thus its
intensity, a vapor capillary can be created in the melt pool. In this capillary, which
is called keyhole, laser rays are reflected multiple times, which leads to abnormal
absorption and results in an increasing absorption rate of up to 0.80 (see e.g.
[Hüg09]).
A first approximation of the amount of energy ES needed to generate a preform
of volume VS can be derived using an adiabatic model consisting of a linear relation
of absorbed energy and preform volume [Vol08]. However, since this model
neglects the fact that energy is permanently dissipated by radiation and convection
and, moreover, transported into the non-melting part of the rod by conduction, it
only provides a rough estimate. Finite element approaches are used for a precise
Table 2.1 Process Rod diameter 0.40 mm

parameters for preform
Laser power 130 W
generation
Pulse duration 100 ms
Absorption coefficient 0.38
Shielding gas Argon
Deflection velocity 30 mm/s
analysis of the process and the prediction of the impact of different radiation
strategies or process parameters on the results.
The heat fluxes for the coaxial and lateral radiation strategy are compared by
using the process parameters specified in Table 2.1. The corresponding heat fluxes,
which are the absorbed laser energy and cooling caused by the Stefan-Boltzmann
law and convection, are and visualized in Fig. 2.3. Therein, one can see that the
energy available for the process in both situations differs significantly and, there-
fore, causes different preform volumes. The main reason for this is that in the
coaxial design, the laser heat source always affects the molten part of the rod so that
the energy has to be transported through it to melt more material. Thus, the overall
temperature of the melt rises permanently, thereby causing more heat dissipation so
that the efficiency of the process with respect to the applied energy decreases.
Moreover, the divergence of the laser beam has a high impact on the result when
using the coaxial radiation strategy. While the rod is initially positioned in the focal
plane of a defocussed laser beam that is pointing to its head surface, the melting
process shortens the rod. Consequently, the melt leaves the laser’s focus plane and
the defocussing of the laser beam causes a significant drop of the absorption rate. In
contrast, the deflection of the laser beam by a scanner in the lateral process design
can guarantee that the laser energy is always applied to the rod near the solid-liquid
interface. Furthermore, defocussing is no longer an issue since the lateral scanner
position keeps the focus on the rod surface. For the lateral process design, optimal
deflection velocities can be determined which depend on the rod diameter [Brü14b].
The results, visualized in Fig. 2.4, show that this velocity is proportional to the laser
power and anti-proportional to the square of the rod diameter.
Besides the radiation strategy and the laser beam intensity, a closer look at the
process analysis reveals that small changes of the terms of the energy losses can
already lead to different results. This happens because of the heat dissipation
mechanisms, which depend, partly in a highly non-linear way, on the difference of
ambient temperature and the temperature of the preform. In [Jah14], a throughout
study quantifying heat dissipation mechanisms for laser based rod end melting is
given. Therein, it has been shown that energy is primary dissipated during the
radiation stage by the cooling due to the Stefan-Boltzmann law while heat con-
duction and convection have only a small impact. Because the cooling due to the
Stefan-Boltzmann law involves the difference T 4 Ta4 , with T denoting the tem-
perature at the surface and Ta is the ambient temperature, using a high laser power
usually results in higher temperatures, which causes more dissipation of energy.
(a) Energy fluxes using coaxial radiation. (b) Energy fluxes using lateral radiation.
Fig. 2.3 Comparison of energy fluxes for the coaxial and lateral radiation strategy
400
d0 [mm] m -b
0,2 1,6 14,5

optimal deflection velocity
mm/s
0,3 1,1 18,2
0,4 0,6 12,7
200 0,5 0,4 9,6

1,0 0,1 5,7
Lin. Reg.
100
material 1.4301
0 vL
0 50 100 W
150 200
laser power
Brüning 2015
Fig. 2.4 Optimal deflection velocity for different rod diameters [Brü16b]
2.2.1.5 Solidification and Microstructure
After switching off the laser, the cooling process starts. This process stage, con-
sisting of the dead phase after switching off the laser and the subsequent solidifi-
cation process, is crucial for the industrial application of this process. One reason
for this is that its duration is the dominating factor of the total process time
[Brü13c]. Hence, decreasing the cooling time is mandatory to upscale the process
and rapidly generate a high number of preforms. Furthermore, this process stage
also defines the microstructure of the preform and, therefore, its formability.
Unfortunately, the duration of the cooling process cannot be considered inde-
pendently from the radiation stage because it highly depends on the temperature
distribution in the melt. In particular, the duration intermediate stage after switching
off the laser can be controlled by choosing adapted process parameters. Suitable
process values can be determined by combining the finite element simulation with
the concept optimization via simulation [Wan07].
In contrast to the melting process, where most energy is dissipated by radiation,
the cooling process is governed by convection. Consequently, it can be primarily
controlled by changing the shielding gas atmosphere. The duration of the cooling
and solidification process has been quantified in [Brü13a], where it has been shown
that the cooling time is highly dependent on the diameter of the preform.
The cooling process affects the generated microstructure of the preform, which
essentially depends on the temperature gradient at the solid-liquid interface and its
velocity [Kur98]. In general, a high interface velocity and a rather small gradient is
desirable because it leads to a globular microstructure. A rough estimate of the
microstructure can be obtained by an analytical model [Brü16b]: assuming a
constant heat dissipation due to radiation and convection, the dependency of the
secondary dendrite arm spacing SD on rod diameter d0 and the preform diameter
dPF is given by Eq. (2.1)
2 313
p qVPF HM
1
SD ¼ 5:5 B 4 5
1
2
3
d02 2 d0
2
4 T 4 þ a d 2 d 0 ðT T Þ
q_ HC 4 þ erS dPF 4 T m 1 PF 4 m 1
ð2:1Þ
with the solidification and material specific constant B and the solidification time,
described by the density of the material q, the volume of the preform VPF and the
melting enthalpy HM in the numerator and the different heat flows in the denom-
inator. Here, the heat conduction q_ HC , the emissivity e, the Stefan-Boltzmann
constant rS , the melting temperature Tm , and the ambient temperature T1 are
substituted in the calculation. The model for the expected solidification interval and
the secondary dendrite arm spacing shows good agreement with the experiments for
smaller solidification intervals, as shown in Fig. 2.5 [Brü16b].
2400
d0 [mm] PL [W]
1,0 235
MODEL: Solidification interval
1800
ms 0,5 147
0,4 126
0,3 103
1200 0,2 77
material AISI304
vSG = 5,6 m/s
600
0
0 600 1200 ms
1800 2400
EXPERIMENT: Solidification interval BIAS ID 180673
Brüning 2018
Fig. 2.5 Comparison of solidification interval between model and experiment for different rod
diameters [Brü16b]
2.2.1.6 Reproducibility
The laser rod end melting process is very stable with respect to small deviations in
the process design and choice of process parameters. For example, the coaxial
process has a self-aligning capability which means that the generated preform
volume is independent of deviations in rod diameter as long as the pulse energy and
the radiation time are scaled accordingly to results from the theory of similarity
[Brü12a]. In principle, the coaxial design is prone for a decreasing energy efficiency
due to defocussing because of the static position of the focus plane in this design.
Therefore, less melting volume can be gained for increasing thermal upset ratios,
because the rod shortening increases the distance between focus plane and melt
surface, see [Brü15a]. However, this issue can be resolved using a feeding system
for the rod. Then, the rod is continuously kept within the focus plane of the laser
and, as a result, the thermal upset ratio can be increased to a maximum of u 500
[Ste11b]. This means that the energy efficiency is doubled [Ste11a]. Despite this
improvement, there are still deviations in the thermal upset ratio compared to the
lateral radiation strategy. While the fluctuations of specific melting volume are
lower for coaxial radiation, the absolute volume in the lateral process design is still
generally higher, making this radiation strategy more energy efficient [Brü15a]. The
reasons for this are the different effects of the heat dissipation mechanisms, which
were previously described.
With regard to the positioning of the laser beam onto the rod in the lateral
process design, Brüning showed in [Brü13e] that positioning deviations up to
100 lm in vertical direction do not essentially affect the resulting preform diameter.
Moreover, if the total axial and radial positioning is considered, then the deviations
need to be significant less than 100 lm, thus a good initial situation for the sub-
sequent forming process is reached.
As described, the absolute preform volume is proportional to the applied pulse
energy [Brü12b]. Differences between the theoretical melting volume and the final
volume of the preform can be explained by material losses during the laser process.
Especially during the abnormal absorption, vaporization caused by keyhole for-
mation can take place introducing high dynamics into the process. This dynamic
can result in spatter formation and, hence, in material losses. Using the lateral
radiation strategy, relative mass losses between 0.5 and 2.6% related to the thermal
upset ratio and the rod diameter can be measured [Brü16b]. The volume of the
preform correlates with the diameter of the solidified preform. Using the coaxial
radiation strategy, an increase of preform diameter leads to decreasing eccentricity
with a decreasing standard deviation. If the lateral radiation strategy is considered,
then the eccentricity, see Fig. 2.6, is lower in a range of 40–60 lm but with a slight
fluctuation and a standard deviation of about 10 lm as stated in [Brü16a].
Fig. 2.6 Comparison of

simulation results for the laser
rod end melting process with
coaxial and lateral radiation
strategy
(a) Coaxial radiation. (b) Lateral radiation.
2.2.1.7 Formability
The preforms achieve their final geometry during the subsequent forming process.
Therefore, the yield stress, the natural strain, and the form filling behavior are of
interest. In [Brü13c], it is shown that for preforms with diameters between 1.1 and
2.1 mm, it is possible to reach a maximum average logarithmic natural strain up to
1.7 without damaging the forming tool. Further investigations based on simulations
of the forming process show that the influence of the friction coefficient on average
natural strain can be neglected [Brü14c]. Here, the distribution of natural strain is
inhomogeneous, primarily because the center of the preform interacts with the tool
and, thus, increases the centered natural strain. Experiments show that a preform
with an initial diameter of 420 m having a dendritic grain structure results in a
convex formed specimen with a height of 27 m, even though the surfaces of the
open die tool have been planar, as shown in Fig. 2.7. This investigation leads to a
maximum averaged natural strain of 2.75 without any occurring defects. Further
forming resulted in a plastic deformation of the tools due to strain hardening of the
specimen.
The yield stress level increases linearly with the increasing absolute value of
average natural strain. Furthermore, a higher secondary dendrite arm spacing leads
experiment simulation
100 μm
Schattmann 2018 BIAS ID 180674
Fig. 2.7 Part after open die forming (simulation of averaged logarithmic natural strain: blue 0, red
−2.5; the model consists of rigid surfaces)
globulitic dendritic
1 mm 1 mm
Fig. 2.8 Upsetting of cylinders in micro range with different microstructure depending on average
natural strain /, [Brü16b]
to a decreasing yield stress level, see [Brü14a]. Further yield curves arose using an
universal testing machine [Vol13]. Here, the yield strength of the preforms that is
investigated by upsetting experiments of cylinders is comparable to that of the same
material and size with different microstructure [Brü13d]. However, the forming
behavior changed with the different microstructure, such that the final geometry
after open die forming is different. Within the experiments using globular
microstructure inside the cylinder, only barreling occurs. Using the dendritic
microstructure of the preform, barreling occurs also, but the size of the front surface
is increasingly in homogeneously, as shown in Fig. 2.8 [Brü16b].
During master forming, the eccentricity of the preform with respect to the rod is
defined. During the experiments, deviations up to 100 lm depending on the rod
diameter can arise. However, the subsequent forming stage also includes a natural
calibration step, which reduces the eccentricity to less than 30 lm and which is
assumed to be related to the deviation of the coaxial alignment between the upper
and the lower die. Furthermore, if an oversized volume of preform is used, then the
forming process can be successful without any burr formation. This is possible
because the material flows not only inside the cavity but also in direction of the rod.
Thus, preform volumes of up to 125% of the die volume can fill the cavity com-
pletely without any burr, see [Brü15b].
Finally, it is possible to mold fine surface structures after the forming stage, such
as the surface roughness of the die, see [Brü14a], down to feature sizes of 500 nm
which is investigated in [Brü15c]. In Fig. 2.9 the different geometries of truncated
cone formed parts are shown. Here, the average of natural strain of the manufac-
tured parts is well recognizable.
2.2.1.8 Linked Part Production
Given that the handling of the micro parts is always challenging, different linked
part systems are investigated to improve the possibilities for mass production and
(a) (b) (c)
1mm
Fig. 2.9 Part after closed die forming using different averages of natural strain [Brü16b]
(a) (b) (c)
Fig. 2.10 Linked-part production: a line-linked, b comb-linked, and c plate-linked
upscaled output rates during manufacturing process. This includes line-linked parts
and comb-linked parts.
For line-linked parts, the thermal upsetting process is performed using a con-
tinuous rod, see Fig. 2.10a. The stationary laser process takes place in the middle of
a rod. Further rod material is fed into the process zone, so that a material accu-
mulation and thereby the preform arises. A variation of feeding times and laser
power result in different preform geometries, which can be formed from round to
flat [Sch17b]. Investigations show that the energy efficiency and the cycle time can
be improved so that more than 222 parts can be generated per minute [Sch17d].
Because the geometry of the preform is changed slightly due to the surface
tension, the comb-linked strategy can be an alternative. In Fig. 2.10b it is shown
that the workpiece rod is connected to a conveyor rod. After cutting the workpiece
rod, the preform can be generated as usual [Brü13b]. This comb-linked strategy was
tested for wire diameters from 0.2 up to 0.5 mm. Depending on the preform
diameter, the solidification time varies. Thus, the dead time between laser process
and feeding process should be adjusted, see [Jah13].
This linked strategy can be extended by placing the workpiece rods on a carrier
plate [Sch17a], as shown in Fig. 2.10c. This opens new possibilities of applications,
thus a metallic detachable connection can be introduced. Here, a shear stress of

69 N/cm2 can be transmitted by a metallic hook-and-loop fastener [Brü14c].
2.2.2 Laser Rim Melting
The laser melting process can also be applied to the rim of metal sheets. Using the
lateral process design, a laser beam is deflected with a defined machining depth
along the rim of a thin metal sheet [Woi15], as shown in Fig. 2.11. The material
starts melting and a molten drop arises which stays connected to the sheet because
of surface tension. By deflecting the laser beam along the rim, more material is
molten and the melt pool moves along the rim. Due to the physical dimensions of
the workpiece, the rear part of the melt solidifies rapidly so that the melt pool
always has a specific length which depends on the process parameters and the
thickness of the sheet. In general, the process can be used to generate continuous
cylindrical preforms and, thus, preforms with irregularities at sheet rims (see
Fig. 2.12b) are avoided (see Fig. 2.12a).
In [Brü17], the influence of the melt pool dimensions on the continuous gen-
eration of cylindrical preforms was investigated. Here, a length-to-height ratio of
3:0 0:4 of the melt pool was achieved for a blank thickness of 0.2 mm.
Furthermore, an analytical model taking into account the surface area of the melt
pool not only supports this result but is also able to predict the maximum allowable
melt pool length to gain a continuous cylindrical melt pool. Otherwise, instabilities
occur, which are comparable to the humping effect during laser welding. In
Fig. 2.13, it is apparent that the local frequency of periodical maxima in a con-
tinuous preform is influenced linearly by the laser power and by the deflection
velocity for sheet thicknesses of 25 up to 100 µm. Here, a high accordance to the
results of humping during laser welding by Neumann [Neu12] is viewable. This
happens despite the fact that Neumann conducted experiments with a laser power in
machining depth
in cooperation with ZeTeM sheet thickness
Schattmann 2018 BIAS ID180677
Fig. 2.11 Process laser rim melting including simulated heat distribution
(a) (b)
Fig. 2.12 Continuous preform on a metal sheet with a thickness of 70 lm: a cylindrical,
b irregular [Sch17c]
2.5
thickness power za
mm 25 µm 11 W 0.2 mm
50 µm 22 W 0.2 mm
70 µm 31 W 0.3 mm
period length
1.5
100 µm 38 W 0.4 mm
Source: Neumann 2012

1
velocity 6 … 30 mm/s
material AISI 304

0.5
defocus - 7.5 mm
y = 0.2388x + 0.2609 mm
0 R² = 0.9563
0 2 4 6 J/mm 10
energy per unit length Es
Fig. 2.13 Comparison between humping during laser welding [Neu12] and irregularities during
laser rim end melting
the range of some kW and much higher travel speed than used in the current rim
melting experiments.
The process can also be applied to closed rims, such as voids in metal sheets.
Using the results obtained for the generation of continuous cylindrical preforms, it
is for example possible to generate a preform with a height of 0.4 mm at a void of a
metal sheet with a thickness of 200 lm, cf. Fig. 2.14a for the simulation result.
Thus, it is possible to cut a thread of M2 inside [Sch17c]. Figure 2.14b shows the
corresponding scanning electron microscope (SEM) image of one thread with a
thickness of 400 lm.
500 µm
500 µm
(a) source: ZeTeM (b)

Fig. 2.14 Laser rim melting at void: a Simulation, b a M2 thread is cut into a continuous
cylindrical preform [Sch17c]
The wide range of possibilities for the laser-based free form heading process is
appreciated, which is expanded from the rod to the metal sheet, so that more new
applications can be exploited and industrial integration can be expected.
2.3 Rotary Swaging of Micro Parts
Eric Moumi*, Christian Schenck, Marius Herrmann and Bernd Kuhfuss
Abstract The incremental forming process of micro rotary swaging can be divided
into two process variations. During infeed rotary swaging the diameter of a
workpiece is reduced over the entire feed length of the workpiece. However, during
plunge rotary swaging the diameter is reduced within a limited section by radially
feeding the dies. Both variations feature limited productivity due to their incre-
mental nature. An approach to increase the productivity is by increasing the feed
rate. However, due to the fixed kinematics, a higher feed rate results in a larger
volume of deformed material per stroke, which could lead to failures particularly
due to inappropriate material flow. In infeed rotary swaging at a high feed rate, the
flow of the workpiece material against the feed direction can result in bending or
breaking of the workpiece. In both infeed and plunge rotary swaging, the workpiece
material can flow radially into the gap between the dies and provoke the formation
of flashes on the workpiece. For plunge rotary swaging the radial flow is also a
motion against the feed direction. Measures to control both the radial and the axial
material flow to enable high productivity micro rotary swaging are presented. An
adjusted clamping device enables an increase of the productivity by a factor of four
due to a reduction of the axial forces generated by the undesired axial material flow
in infeed rotary swaging. The radial material flow during plunge rotary swaging can
be controlled by intermediate elements. Thus, an increase of productivity by a
factor of three is possible. Furthermore, the geometry after plunge rotary swaging is
strongly influenced by the workpiece clamping and fixation, and the material flow
can be controlled by applying low axial forces to the workpiece on one or both sides
of the forming zone.
Keywords Forming Productivity Quality
2.3.1 Introduction
Micro rotary swaging is an incremental open die forming process to reduce the
cross-section of axisymmetric workpieces. Concentrically arranged dies are oscil-
lating with a given stroke frequency fst and a stroke height hT. The dies strike
simultaneously on the workpiece to deform it gradually from the initial diameter d0
to the final diameter d1 [Kuh13]. The main components as well as the kinematics
(white arrows) are presented in a front view of a rotary swaging machine in
Fig. 2.15.
The nominal diameter dnom is defined as the inside diameter of the forming zone
of a closed die set. The two main variants of the process are infeed rotary swaging
and plunge rotary swaging. During infeed rotary swaging the workpiece is axially
outer ring base jaw

hT
cylinder roller
rotation
roller cage
die
oscillation
with fst
Fig. 2.15 Front view of a rotary swaging machine without end cover
Fig. 2.16 Rotary swaging variants: a infeed; b plunge [Mou18b]
fed with the feed rate vf into the swaging unit and is reduced over a length l0 (see
Fig. 2.16a). However, during plunge rotary swaging the workpiece is processed
locally as the dies are fed radially with a feed rate vr while oscillating (see
Fig. 2.16b).
Besides the presented developments in micro rotary swaging, investigations on
rotary swaging by other authors were made in the macro range and focus on the
workpiece properties after forming and on new applications for the process. For
example, Alkhazraji et al. found that both tensile and fatigue strength are enhanced
in workpieces with ultra-fine grains made by rotary swaging [Alk15]. The process
was also analyzed for joining tubes [Zha14] or for plating axisymmetric metallic
parts [Sch16].
With regard to high productivity in the micro range, infeed rotary swaging can
already facilitate several hundred parts per minute by a continuous process, for
example as a preliminary stage for extrusion [Ish18]. But there is still potential for
further productivity increases. Plunge rotary swaging enables the manufacturing of
variable types of geometries. However, the productivity is considerably low
[Kuh09a], due to the low feed rates vr used to prevent an undesired flow of the
workpiece material into the gaps between the dies. Still, for both process variants,
high productivity can be achieved by controlling the material flow and the posi-
tioning of the workpiece.
The degree of incremental deformation ust is a common value in rotary swaging
to describe and quantify the deformation. It is defined by the initial diameter d0 and
the effective feed per stroke of the die hst (Eq. 2.2). For infeed rotary swaging hst
equals the axial workpiece feed per stroke lst, which itself depends on the die angle
a and on the ratio of the workpiece feed rate vf, over the stroke frequency fst
(Eq. 2.3). For plunge rotary swaging, hst depends on the ratio of the feed rate of the
dies vr over the stroke frequency fst Eq. 2.4.

d0 2hst 2
ust ¼ ln ð2:2Þ
d0
vf
hst infeed ¼ lst tan a ¼ tan a ð2:3Þ
fst
vr
hst plunge ¼ ð2:4Þ
fst
The previous equations show that the degree of incremental deformation ust
does not consider the final diameter d1. However, this parameter is involved in the
volume per stroke Vst, which represents the material volume formed by the dies at
each stroke. For an idealized forming, Vst for infeed rotary swaging can be deter-
mined with Eq. 2.5 and for plunge rotary swaging with Eq. 2.6. For plunge rotary
swaging the deformed volume of the workpiece is assumed to have a cylindrical
shape. In Eq. 2.6 k stands for k-th incremental step.
2
d0 d12
Vst infeed ¼ plst ð2:5Þ
4 4
ph i
Vst plungeðk Þ ¼ lform ðd0 khst Þ2 ðd0 ðk þ 1Þhst Þ2 ð2:6Þ
4
In order to improve the micro rotary swaging process, it is necessary to

understand and control the material flow. Three methods to improve the rotary
swaging in the micro range based on the material flow control are presented. In
infeed swaging a higher axial feed rate is enabled by using an adjusted workpiece
clamping [Mou18a]. In plunge rotary swaging the application of an elastic tube

prevents flash formation [Mou15b, Mou15b] and with the application of external
axial forces the part geometry can be controlled [Mou18b].
2.3.2 Process Limitations and Measures for Their

Extension
During micro rotary swaging different limitations to the process occur [Kuh08a].
Furthermore, process parameters like the workpiece material, the die geometry, and
the tribological conditions influence these limitations.
Typical limitations of the process can be divided into two categories (see
Fig. 2.17). The limitations in the first category lead to a termination of the process.
These are bending, torsion or breaking of the workpiece. The limitations in the
second category are those that affect the workpiece quality. Examples are flashes,
high surface roughness [Wil13] and shape deviation [Kuh09b]. A guiding element
with a hole slightly larger than d1 for the workpiece at the inlet in the swaging head
is used to prevent premature limitations due, for example, to vibrations occurring in
the process [Wil15]. Furthermore, the use of a guiding element, which is necessary
and specific for the micro range, reduces the risk of the workpiece getting into the
tool gap during the process and thus enables the application of higher strokes.
During rotary swaging material flow takes place predominantly in the axial and
radial directions. The axial material flow occurs in both the positive and negative
directions. Higher material flow against the axial feed direction induces an axial
load that bends the workpiece when the critical bending load Fb,crit. is reached. This
Fig. 2.17 Limitations of micro rotary swaging

Fig. 2.18 Range of feed rates 10

for forming different materials
with different dies without
failure. d0 = 1.0 mm mm/s steel
Failure
feed rate v fmax

Lubricant: Condocut KNR 22
6
4
Cu-ETP
2
Al99.5
0
0.3 0.4 0.5
dnom
is a specific problem in micro rotary swaging due to the low stiffness of the slim
workpieces. The application of a guiding channel for the workpiece minimizes the
risk of bending.
Depending on the workpiece material and the diameter reduction, different
maximal feed rates can be applied. Infeed rotary swaging experiments with three
materials (AISI 304 steel, Cu-ETP, Al99.5) were carried out and the maximum feed
rate with which 5 samples could be processed without process failure was deter-
mined. Workpieces with an initial diameter d0 = 1.0 mm and a length of 110 mm
were reduced by different tool sets with nominal diameters of 0.3, 0.4 and 0.5
[Kuh08b].
Forming was possible within a larger window of feed rate and thus higher Vst for
materials with higher Young’s modulus (see Fig. 2.18). Forming with feed rates
above the boundary (lines) for the specific material will lead to failure on the
workpiece. From the failures in Fig. 2.17, predominantly bending and torsion occur
in infeed rotary swaging.
The tribological conditions and the workpiece material influence the material
flow. Especially in micro rotary swaging, due to the slim workpieces, the surface-
to-volume ratio is very high, whereby the tribological conditions have a strong
influence. During infeed rotary swaging of workpieces from alloy 304 and from
Al99.5 with and without lubrication of the workpiece, opposite behaviors of the
achievable feed rate are observed [Kuh12b]. While under the dry condition (without
lubrication) lower axial feed rates than with lubricant can be achieved for alloy 304,
the forming of Al99.5 at higher true strain becomes possible without lubricant. In
some cases, Al99.5 rods can be formed only without lubricant, i.e. a reduction from
d0 = 1.5 mm to d1 = 0.5 mm and even to 0.4 mm.
However, during forming of aluminum without lubricant, adhesive wear can
occur on the tools due to the affinity between the workpiece and tool material. By
using tools with amorphous diamond-like carbon coatings, adhesive wear can be
avoided and the tool life considerably increased. The tools were coated using
magnetron sputtering. Pin-on-disk tests have shown that such coating results in a
considerable reduction of friction and wear against aluminum.
For high volume per stroke Vst, inadequate material flow in the radial direction
can lead to flashes on the workpiece. Because the material cannot flow completely
in the axial direction, the generated surplus flows against the direction of the closing
motion of the dies, which means into the gaps between the dies. This can be
observed both in infeed rotary swaging and in plunge rotary swaging. Furthermore,
the inadequate material flow can cause inaccurate geometries (incomplete filling of
cavities or asymmetry) or destroy the workpiece irreversibly.
2.3.3 Material Flow Control
2.3.3.1 High Productivity in Infeed Swaging
In order to control the material flow against the axial feed direction and thus prevent
process limitations like bending or even breaking, a spring-loaded clamping device
for the workpiece was developed [Mou18a]. The clamping device allows an axial
evasion of the workpiece. With a rotation lock, free rotation of the workpiece can
also be prevented. Thus, the device enables the axial feed rate in infeed micro rotary
swaging to be increased by more than four times compared to a fixed clamping.
Feed rates higher than vf = 100 mm/s were achieved. Particularly, incremental feed
length lst higher than the final diameter d1 could be fed into the swaging unit, which
is only realizable in the micro dimensions. However, the increased deformation per
stroke due to higher feed rates leads to a higher forming, and so to high loads in the
swaging head. The load leads to an elastic deformation of the outer ring and
therefore causes a diameter profile.
Fig. 2.19 Diameter 850 v

f 1 2 4 10 20 50mm/s
evolution at different feed
rates for AISI 304 steel µm
d0 = 1.0 mm
diameter d 1
dnom = 0.75 mm 800

hT = 0.2 mm. Lubricant:
Condocut KNR 22 775
750
725
0 10 20 30 40 50 60 70 mm 90
distance to tip Z'1
z‘
Figure 2.19 shows the final diameters after a reduction of rods from AISI 304
steel with an initial diameter of d0 = 1.0 mm using a die set with a nominal
diameter of dnom = 0.75 mm and a calibration zone of lcal = 20 mm. For low feed
rates (vf < 4 mm/s), d1 is constant over the workpiece length and close to dnom
[Mou18a]. At high feed rates, however, the diameter evolves over the workpiece
axis z’. The final diameter d1 increases with the feed rate and becomes inhomo-
geneous. An increase of d1 from the tip towards d0 can be noticed. The region with
the inhomogeneity is many times larger than the calibration zone of the dies.
Similar findings are also found for infeed rotary swaging of bars in the macro range,
but the inhomogeneous part is much shorter.
Haug explained the conical geometry of the tip of the workpiece with the
stiffness behavior of the swaging head and especially for high feed rates with a
material flow in the die gaps (flashes) [Hau96]. However, in the presented exper-
iments in the micro range no flashes occurred. Haug reduced the length of the cone
by increasing the preloading of the dies [Hau96].
In micro rotary swaging the evolution of the final diameter for high feed rates
can be influenced by an in-process adjustment of the radial position of the dies (see
Fig. 2.20). A combined axial workpiece feed and a radial die feed with constant
feed rates of vr = 0.008 mm/s and vf = 20 mm/s resulted in a more homogeneous
diameter evolution.
The stiffness of the swaging head plays a key role in the diameter evolution in
the micro range and it is therefore necessary to analyze it during the process. This
can be done by monitoring either the elastic deformation of the outer ring of the
machine with strain gages [Kuh11] or by monitoring the die closing with a
high-speed camera. With the strain gauge measurements, an increase of the elastic
deformation of the swaging head with the feed rate of vf 2 mm/s is observed.
For lower feed rates, the deformation remains constant as in the idle state before
forming. An explanation is the increase of the deformed volume per stroke Vst with
the feed rate. As a consequence, the outer ring of the swaging head expands more
and the dies do not close completely, as can be seen in Fig. 2.21b compared with
Fig. 2.20 Uncompensated

diameter evolution and
compensated with
vf = 20 mm/s,
vr = 0.008 mm/s Material:
AISI 304 steel d0 = 1 mm
dnom = 0.75 mm
Fig. 2.21 High-speed camera images of the dies: a in the idle state; b during forming of an AISI
304 steel with vf = 20 mm/s
the idle state in Fig. 2.21a. Due to the incomplete closing of the dies, the final
diameter of the workpiece increases.
A rough approximation of the gap between the dies at vf = 20 mm/s leads to a
gap width of 55 µm and about 94 µm at 50 mm/s. The two gaps are larger than the
corresponding maximal difference between the final diameter d1 and the die
diameter dnom (50 µm at vf = 20 mm/ and 75 µm at vf = 50 mm/s) (see Fig. 2.19).
Although a discrepancy exists between the final diameter and the approximated gap
width, which can be attributed to difficult accessibility and the measurement con-
ditions, the determined values point nevertheless to a correlation between both.
At high velocities the incremental volume increases. This has an impact not only
on the diameter evolution of the workpiece but also on the surface quality and the
roundness. However, for velocities up to 50 mm/s these workpiece properties
remain almost constant, as can be seen in Fig. 2.22 for the surface roughness. The
mean value of the roughness in that velocity range is 2 ± 0.6 µm. The roughness of
the small parts is determined from a cross-section of the workpiece. Using the Total
Fig. 2.22 Influence of feed 0.6

rate on the surface roughness.
surface roughness Sa
Infeed rotary swaging µm

d0 = 1.0 mm dnom = 0.75 mm
0.4
hT = 0.2 mm Lubricant:
Condocut KNR 22
0.3
0.2
0.1
0
0 10 20 30 40 mm/s 60
feed rate v f
Least Square Fits method, the roughness can be calculated from the extracted
contour data.
2.3.3.2 High Productivity in Plunge Rotary Swaging
The main process limitation during plunge rotary swaging is the formation of
flashes. Thus, to enable high radial feed rates, the radial material flow needs to be
controlled. A new concept was developed to prevent the material from flowing
radially into the gaps between the dies by the use of intermediate elements (IE). The
IEs could be made of super-elastic metallic or polymeric substances (see Fig. 2.23).
However, the elastic behavior of the currently available super-elastic metallic
materials is still too low to allow high deformation as in rotary swaging. The use of
elastomers in metal forming was summarized in [Thi93], and in [Chu14] a com-
parable approach for micro patterning was investigated.
Copper rods from Cu-ETP with d0 = 1.5 mm were reduced using dies with
dnom = 0.98 mm. The stroke was hT = 0.3 mm and different radial feed rates vr
were used. Furthermore, different IEs made of thermoplastic polyurethane with
three different hardness grades were tested (low hardness = ILH; middle
hardness = IMH and high hardness = IHH) [Mou18a]. For the reduction without
IE, a maximum radial feed rate of vr = 0.34 mm/s could be applied before flashes
or breaks occurred. The IEs with high hardness enabled an increase of the feed rate
up to about 300% (see Fig. 2.24a). The different IEs resulted in different final
diameters: for harder IE the diameter increased due to the higher extensions of the
outer ring of the swaging head. The extension was provoked by the IE that flowed
into the gaps and blocked the closing of the dies. This resulted in an increase of the
workpiece’s final diameter. The tested IEs were not reusable (see Fig. 2.24b).
Fig. 2.23 Formation of flashes during rotary swaging: a workpiece with flashes; b inserted elastic
intermediate elements
(a) (b)
1.2
radial feed rate v rmax mm/s
0.8
0.6
0.4
0.2
0
none ILH IMH IHH
intermediate element
Fig. 2.24 Plunge rotary swaging with elastic intermediate elements: a maximal radial feed rate for
different intermediate elements; b workpiece with intermediate elements after forming
Fig. 2.25 Influence of feed 1.0

rate and intermediate element
on the surface roughness.
surface roughness Sa
µm
Plunge rotary swaging
d0 = 1.0 mm dnom = 0.98 mm 0.6
hT = 0.3 mm Lubricant:
Condocut KNR 22
0.4
conventional
0.2 with IEs
0
0 0.2 0.4 0.6 0.8 mm/s 1.2
feed rate v r
The surface roughness Sa and the corresponding standard deviation of the

produced parts are higher than in the initial rods (Fig. 2.25). However, the increase
of the productivity through the IEs does not affect Sa negatively.
2.3.3.3 Application of External Axial Forces in Plunge Rotary Swaging
Controlling the axial workpiece displacement in plunge rotary swaging influences

the formation of the final geometry and the axial elongation of the workpiece.
A practical way to control the material flow is by applying external axial forces Fa
on the workpiece during the forming. These forces are in the order of a few Newton
in contrast to the radial forming forces, which are in the range of kN.
Fig. 2.26 Setup for micro rotary swaging with external axial forces
(a) (c)
radius of workpiece
radius of workpiece
800 800
µm µm
die die
600 600 Fa
500 500
0 10 20 mm 40 0 10 20 mm 40
actual position z in workpiece actual position z in workpiece
(b) (d)
radius of workpiece
radius of workpiece
800 800
µm Fa = 0.0 N
µm
Fa = 3.6 N die
600 Fa 600 Fa Fa
500 500
0 10 20 mm 40 0 10 20 mm 40
actual position z in workpiece actual position z in workpiece
Fig. 2.27 Workpiece geometry after plunge rotary swaging without and with external forces Fa:
a no Fa; b compression force on one side; c tension force on one side; d tension forces on both
sides [Mou18b]
Forming experiments were conducted with alloy 304 with d0 = 1.5 mm and a
reduction by Dd = 0.3 mm by otherwise constant swaging parameters. Four dif-
ferent configurations without (A) and with external forces (B, C and D) were used
with the setup illustrated in Fig. 2.26. In configuration B a compressive force was
applied in the front, in configuration C a tensile force was applied in the front and in
configuration D tensile forces were applied equally in the front and at the back of
the rotary swaging machine [Mou18b]. The arrows in Fig. 2.26 represent the tensile
forces in configuration D.
The geometry of the parts was investigated after forming. Symmetrical
geometries were generated only when the same axial tensile forces were applied on
both ends of the workpiece (see Fig. 2.27). Due to the freely moving workpiece in
the axial direction for configuration A, the geometry varied strongly. But with
external forces only on one end of the workpiece, the geometry shifted in one
direction. The material shift can be guided by the external axial forces and, thereby,
the produced geometry can be controlled without changing the dies.
2.3.4 Characterization of the Material Flow with FEM
Using the finite element method (FEM), the material flow during the process is
investigated. Two-dimensional axisymmetric simulations are commonly used to
simulate rotary swaging [Gha08]. The model for infeed rotary swaging consists of
two parts: the workpiece (deformable) and the die (rigid) [Mou14a].
One approach to characterize the material flow in rotary swaging is by analyzing
the behavior of the neutral zone (NZ). The NZ represents an area in the region of
the workpiece being deformed in which the workpiece material features no flow in
the axial direction. A position closer to the initial diameter means a higher material
flow in the direction of the feed motion. The location of NZ can vary due to the
tribology. With a higher friction coefficient, the position of the NZ is shifting in the
direction against the feed motion (−z) [Ron06]. Furthermore, the NZ is influenced
by vf as well other process settings, like the final diameter. It was found that the NZ
changes its position as well as its shape during a single stroke (see Fig. 2.28). The
gray area of the workpiece represents the material flowing against the feed direc-
tion, the bright area the material flowing in the feed direction and the boundary
between both is the NZ. By an increase of the coefficient of friction value µ, the
material flow in the feed direction within one stroke seems to increase. In order to
analyze the NZ, a stroke was divided into many small and constant time steps. The
number of detected NZ was found not to be equal to the number of time steps but to
vary with the friction, the strain and the feed rate. The number of NZ increased with
µ and furthermore a shift of the NZ in the negative z-direction was noticed (see
Fig. 2.28a and b). The increased number of NZ is a sign of more internal defor-
mation. As the NZ shape can change from concave to convex, the internal defor-
mations are cyclic. Less material flow against the feed direction was observed in
experiments without lubricant and thus with higher friction coefficients as in the
FEM (see Sect. 2.3.2). For higher axial feed rates a similar trend to that for higher
friction was observed, which can be explained by the higher volume per stroke
which is deformed (see Fig. 2.28b and c) [Mou14a]. From these results, the
improvement of the feed rate and strain range in the forming of the Al99.5 without
lubricant can be attributed to the material flow, and more precisely the behavior of
the neutral zone.
A further method to characterize the material flow dependent on the process
parameters is the history of the plastic strain development. The plastic strain at the
outer region of the workpiece is more sensitive to the friction coefficient value (see
Fig. 2.29). This can also be seen at the NZ, since the shape is more curved at the
surface for higher friction coefficients. But compared to rotary swaged rods in the
Fig. 2.28 Shape and position (a)

of the neutral zone in one
single stroke of the forming of Pos 9 Pos 10 μ = 0.1
Al99.5 rods: a vf = 1 mm/s
and µ = 0.1; b vf = 1 mm/s
and µ = 0.5; c vf = 5 mm/s
and µ = 0.5
Pos 11
(b)
Pos 1 Pos 2 Pos 3 Pos 4
μ = 0.5
Pos 5 Pos 6 Pos 7
(c)
Pos 1 Pos 2 Pos 3 Pos 4
5 mm/s
Pos 5 Pos 6 Pos 7
Fig. 2.29 Plastic strain

PEEQ over the workpiece
radius after deformation for
µ = 0.1 and µ = 0.2
macro range, at which only the outer 20% of the diameter is sensitive to friction
[Liu17], in the micro range the PEEQ (plastic strain) is influenced over almost the
complete radius. This can be explained by the small cross-section of the workpieces
in which the surface to volume ratio is very high, thus the tribological conditions
have a stronger influence.
2.3.5 Material Modifications
The interaction between the dies and the workpiece during forming leads to
material modifications, such as in the mechanical properties and the microstructure.
Figure 2.30 presents the Martens hardness in five different regions along a
deformed workpiece of alloy 304. The scatter of the Martens hardness after forming
(regions I to IV and beginning of V) reaches up to 250 N/mm2 compared to about
160 N/mm2 before forming (end of region V). The high scatter occurred because of
the inhomogeneity of the microstructure (soft austenite and hard strain-induced
martensite) and also the distribution of the hardness across the diameter, as can be
AISI 304 steel

I II III IV V d 0 : 1,0 mm
dnom : 0.75 mm
I II III IV V
4400
Indentations µm
4200
20 4000
d
3800
5 region II
3600
10 mm 0- r 2 core 4 + r6
Fig. 2.30 Martens hardness of the workpiece measured after forming in five different regions,
detailed sketch of the location and number of indentions, and three hardness profiles over the
diameter in region II with hardness values between 3800 and 4400 N/mm2
1800 70
MPa %
yield strength Rp0.1
martensite content
50
1200
40
900 yield strength Rp 0.1
martensite content 30
600
20
300 10
0 0
0 2 4 6 mm/s 10
feed rate v f
Fig. 2.31 Workpiece properties after forming: yield strength (tensile test) and martensite content
(magnetic induction) of AISI 304 steel
seen in detail in Fig. 2.30, where three hardness profiles in region II across the
diameter [−r, +r] are presented. The observed distributions reflect inhomogeneous
work hardening through the diameter.
Workpieces of AISI 304 steel after rotary swaging present a strong hardening, as
the yield strength increases significantly (Fig. 2.31). This increase is generally
attributed to work hardening during cold forming. However, further specific phe-
nomena like phase transition as well as dynamic effects influence the development
of the material properties.
As is known for AISI 304 steel, martensite usually develops during cold
forming. Using a Fischerscope MMS PC that works according to the magnetic
induction method, the martensite content can be estimated (Fig. 2.31). The devel-
opment of martensite with regard to the feed rate in the presented case can be
approximated by Eq. 2.7. The equation is derived from the profile in Fig. 2.31.
aM ¼ C vn
f ð2:7Þ
aM is high for low vf and decreases when vf increases. As the workpieces have the
same initial diameter and nominal true strain, this behavior can be attributed to the
number of strokes experienced by the workpiece and to an adiabatic heating during
forming. At each stroke, new volume fractions of austenite are transformed into
martensite, hence more martensite is present at low feed rates. When the feed rate
increases, the deformed volume at each stroke also increases, which means the
deformation work is higher. As a result, the workpiece temperature increases and
the martensitic transformation is reduced. The yield strength, determined by tensile
testing, is also high for workpieces manufactured at low feed rates and decreases
almost linearly for the feed rate range between 2 and 8 mm/s. While the amount of
martensite is reduced from 60 to 10%, the yield strength is reduced only by about
30% within the investigated feed rate range. Therefore, the martensite-induced
transformation in micro rotary swaging is sensitive to feed rate changes.
2.3.6 Applications and Remarks
Micro rotary swaging is an eligible convenient process when parts with high
strength and high surface quality are needed [Mou14b]. Due to its incremental
characteristic, it allows larger cross-section reductions compared to other forming
processes. Moreover, not only rotationally symmetrical cross-sections are possible
but also polygons. The smaller dimensions of the workpiece compared to the
dimensions of available machines open new possibilities for adjusting rotary
swaging for micro rotary swaging. Besides the manufacturing in linked parts
(Sect. 2.3.2) several workpieces can be formed at the same time (multi-forming)
with adequate die geometries. Figure 2.32 presents examples of micro parts gen-
erated by micro rotary swaging.
Important factors for generating good parts in micro rotary swaging are a deep
understanding of the flow behavior of dissimilar (a) or similar (b) materials; the
control of the relative motion between the workpiece and the dies (b), (c); the
control of the positioning in process and the tool design (e). The part (a) in
Fig. 2.32 shows a composite component made of two different materials (copper in
the core, and AISI 304 steel as shell) by infeed rotary swaging [Kuh10]. The softer
material in the core guarantees a tight connection of the two components [Kuh12a].
Fig. 2.32 Parts made by micro rotary swaging: a composite component consisting of a core from
Cu-ETP and a shell from AISI 304 steel; b, c triangular cross-sections from AISI 304 and Cu-ETP;
d axially joined parts by forming, e multi forming of notches
Part (d) was made by joining two rods [Mou14c] in plunge rotary swaging, using a
tube as the connecting component. In both cases (a) and (d), the connection
between the joining partners can be a form and a force fit. The correct relative
rotational motion between the workpiece and the dies not only allows further
material modifications (Sect. 2.4) but also leads to more possible geometry varia-
tions. For (b) and (c) this relative rotation was kept to zero and the calibration zones
of the dies were flat. Using a mandrel with tubes, polygons like (c) can be man-
ufactured. In (e) nine notches (depth 0.25 mm) manufactured in three steps are
presented. Because the notches are small the feed rates remain the same for one or
more elements when manufactured at the same time, but the productivity is
increased with regard to the number of geometries designed in the die.
By the control of the material flow in micro rotary swaging with different
measures, the process can be improved in the sense of productivity, the accuracy of
the final product or even material modifications. Using a spring-loaded clamping
device, the axial material flow in infeed rotary swaging can be controlled and thus
enables about four times higher axial feed rates. With intermediate elements around
the workpiece in plunge rotary swaging, an undesired radial material flow into the
gaps between the dies can be prevented and, as a result, the radial feed rate can be
significantly increased. Furthermore, external forces applied on one or both ends of
the workpiece allow the material shift to be guided, thus the final geometry of the
product can be influenced.
In infeed rotary swaging, the final diameter can be constant or have a profile over
the workpiece length, depending on the feed rate used. For low feed rates, the
generated diameter is closer to the nominal diameter of the dies dnom and is constant
along the workpiece length, besides the tip. At high feed rates, an inhomogeneity of
the diameter over the total part length is produced. The diameter increases with the
feed rate and from the tip to the end of the deformed part. The diameter increase can
be explained by the machine resilience, which leads to an incomplete closing of the
dies during the forming with high feed rates as in the idle state. However, the rising
value of the final diameter over the length of the workpiece can be overcome by
using another machine with less resilience or by controlling the position of the dies
by adding a radial feed during the infeed process.
In plunge micro rotary swaging, intermediate elements around the workpiece
enable up to three times higher radial feed rates vr compared to forming without
these elements. This is because flashes on the workpiece can be prevented.
However, the final diameter increases slightly, which depends on the stiffness of the
elastic intermediate element, with bigger diameters for harder elements. This fact
has to be considered during the die design.
A further approach to control the material flow during plunge rotary swaging
involves the external forces at the workpiece ends. The material flow reacts very
sensitively to these. Low forces at one side can direct the material flow so that it
occurs in a preferred direction. A symmetrical material flow is possible if equal
external axial forces are applied on both sides of the forming zone. Thus, the final
shape of the workpiece can be controlled.
For the process and especially for the material flow in micro rotary swaging,
specific micro effects have to be considered. The first particularity are the slim
workpieces, which tend to bend, break or even get into the die gaps, so a guiding
element needs to be applied during forming. Furthermore, the surface-to-volume
ratio is much higher and for that reason the friction condition has a greater effect on
the process. The friction influences, for example, the plastic strain in a thicker area
from the surface of the workpiece. In addition, the feasible axial feed rates reach
such high values that the feed length during one stroke exceeds the workpiece’s
initial diameter. For this reason, the radial forces are high and the outer ring of the
swaging head expands, which leads to an inhomogeneous diameter evolution. The
previous results present the potential of rotary swaging for micro manufacturing.
Latin
Variable Unit Explanation

C (−) Material constant
d0 mm Initial diameter
d1 mm Final diameter
dnom mm Diameter of the forming zone of a closed die set
fst s−1 Stroke frequency
Fa N External axial forces
Fb,crit N Critical bending load
hT mm Stroke height
hst mm Radial die feed per stroke
l0 mm Initial length of the deformed workpiece part
L0 mm Initial length of the workpiece
l1 mm Final length of the deformed section
L1 mm Final length of the workpiece
lcal mm Length of the calibration zone of the die
lform mm Length of the forming zone of the die for plunge swaging
lst mm Axial workpiece feed per stroke
n (−) Hardening behavior
vf mm/s Workpiece feed rate
vr mm/s Die feed rate
Vst mm−3 Volume displaced by the dies per stroke
Greek
a ° Tool angle
aM % Volume fraction of martensite
Dd mm Diameter difference
ust (−) Incremental deformation degree
µ (−) Friction coefficient
2.4 Conditioning of Part Properties
Svetlana Ishkina*, Christian Schenck and Bernd Kuhfuss
Abstract Micro rotary swaging is an incremental cold forming process that changes
the geometry and the microstructure of the swaged parts. Due to the opportunity to
produce parts with an accurate diameter and to influence the surface and the
mechanical characteristics by infeed rotary swaging, it is possible to prepare micro
parts for further forming processes such as extrusion. This targeted conditioning was
further enhanced by modifications of rotary swaging tools and kinematics. The
formability of the modified workpieces was reflected by the required forming force of
the subsequent extrusion process, where not only a force increase but also a force
reduction was observed with modifications in rotary swaging. In this section a process
chain “rotary swaging – extrusion” for austenitic stainless steel AISI304 is shown.
Keywords Incremental forming Microstructure Process modifications
2.4.1 Introduction
Cold forming of complex workpieces is usually accompanied by work hardening

and is usually realized by multi-stage forming processes. In addition, difficult to
form materials have to be annealed between the forming steps due to the strain
hardening. This heat treatment contributes to a substantial rise of costs for equip-
ment and energy supply. One possibility to avoid this intermediate heat treatment
and to improve the formability of the workpieces is a targeted conditioning of the
workpieces for further forming. This conditioning includes adjusting the forming
characteristics of the workpiece, the geometry (diameter) and the surface (rough-
ness, lubrication pockets). Very good formability with such characteristics as good
strength in combination with a sufficient ductility provide ultrafine-grained
(UFG) materials. Refining of materials can be generated by applying severe plas-
tic shear deformation, e.g. by pressing the workpiece into a die with an angular
channel [Val00]. Further improvement of the forming process can be achieved by
reducing the friction between the workpiece and the forming die. This can be
realized, for example, by modifying the profile and the surface topology of the
blanks [Ish17a].
Micro infeed rotary swaging not only changes the geometry and the surface of the
swaged parts, but also influences the microstructure and, thus, the mechanical
properties of swaged workpieces. Due to the special adjustments of the machine, it
was possible to vary the produced diameter [Kuh13] and the roughness of the swaged
parts [Ish15c]. Moumi et al. investigated the change of the microstructure after rotary
swaging depending on the feed velocity as well as the increase or decrease of the
martensite content with the variation of the forming temperature [Mou15a]. They
deduced that rotary swaging could provide the opportunity to adjust the forming
characteristics of the workpieces for further forming steps [Ish15a]. However, the
process was to be enhanced in terms of tool geometry and process kinematics.
2.4.2 Process Chain “Rotary Swaging—Extrusion”
2.4.2.1 Modifications of the Die Geometry
The usage of curve-shaped dies (CSD) is typical of rotary swaging of circular tubes
and rods (Fig. 2.33a). These dies feature a curved surface in the reduction zone,
where the diameter of the part is reduced, as well as in the calibration zone, where the
diameter of the part is defined. However, the simulation analysis with FEM software
showed that the shear strain distribution depended on the geometry of the dies
[Ish15a] (see Fig. 2.34). This planar model represented the reduction of the work-
piece cross-section at the forging zone (the part of the reduction zone where forming
occurred) after the first revolution of the dies and at the end of the reduction.
An increase of the shear strain (PE12) was observed in the simulations with flat
shaped dies (FSD) compared to the curve-shaped dies. These dies featured a curved
surface in the reduction zone and a flat surface in the calibration zone (Fig. 2.33b).
Further modifications of the die surface in the calibration zone were introduced with
double-flat-shaped dies (DFSD), which featured a flat surface in both the reduction
and the calibration zone (Fig. 2.33c).
(a) (b) (c)
calibration zone
reduction zone
round flat
Curve-Shaped Flat-Shaped Double-Flat-

Die Die Shaped Die
Fig. 2.33 Evolution of the swaging dies from curve-shaped dies (CSD) to double-flat-shaped dies
(DFSD) to increase the shear strain in the formed workpieces
0.5 mm
Curve-Shaped Dies Flat-Shaped Dies
Fig. 2.34 Distribution of the shear strain PE12 at the end of the reduction zone
(a) (c)
Sd
center of the
rotation
(b) (d)
14 mm
Fig. 2.35 Eccentric rotary swaging: a principal shift of center line; b eccentric dies; closed
double-flat-shaped dies for c centric rotary swaging; d eccentric rotary swaging
2.4.2.2 Modifications of Process Kinematics
Eccentric Rotary Swaging

Further increase of the shear strain in the workpiece was realized by eccentric rotary
swaging. For this aim, new swaging dies were designed (see Fig. 2.35). The aim of
these dies was to shift the center line with every stroke of the tools during their
rotation (Fig. 2.35a) [Toe18].
Control of the Stroke-Following Angle
Angular driving of the part allowed control of the stroke-following angle Δ/, which
was defined as the difference between the rotation angle of the workpiece and the
rotation angle of the dies during two consecutive strokes. When the angular velocity
(a) (b) (c) (d)
Fig. 2.36 Variation of the stroke-following angle Δ/: a without; b positive; c and d negative
of the tools was kept constant at xDie = 89.23 rad/s and the part was not rotating
(xWp = 0 rad/s), the stroke-following angle Δ/ between two successive strokes
(stroke frequency fst = 102 s−1) resulted in Δ/ = 51° (see Eq. 2.8):

360 xDie xWp
D/ ¼ ð2:8Þ
2p fSt
In the case of the same rotation speed of the workpiece and the flat-shaped dies, the
stroke-following angle Δ/ equals zero and the dies impact the workpiece at all times
at the same circumferential line (Fig. 2.36a). The result of this forming process is a
triangle. In other cases, the workpiece can rotate either in the same direction or
opposite to the dies rotation. When they rotate in the same direction, a positive
stroke-following angle Δ/ (Fig. 2.36b) is achieved when the workpiece rotates
faster than the dies. If the workpiece rotates more slowly, the stroke-following angle
Δ/ is negative (Fig. 2.36c). If the workpiece rotates in the other direction
(Fig. 2.36d), the stroke-following angle Δ/ remains negative as well.
2.4.2.3 Extrusion
Ten samples were examined in each series of experiments. For a comparison of the
forming characteristics, the samples “NS” (not swaged) in the initial stage were
turned from non-swaged parts. The diameter of the extrusion bore was d1m = 1.30
mm (Fig. 2.41a). The diameter of the lower bore was d2m = 1.00 mm. All parts were
radially preloaded in a metal sleeve. Forming was preceded with a manual
pre-lubrication of the extrusion die. The press force was obtained by a piezo-based
force sensor to characterize the formability of the swaged parts (Fig. 2.37b).
In order to regard the polygonal geometry and small variations in the diameter of
the samples d1, the forming force F was related to the cross-sectional area A of the
respective swaged workpieces. All curves had a similar gradient angle in the elastic
range (at the beginning of the process) and differed during the plastic deformation.
2.4.2.4 Experimental Design
The forming parameters for all experiment series are summarized in Table 2.2.
(a) swaged (b)
press force/cross-secƟon area

press force, F extruded
part part 4
d1m
kN
mm²
l1
2
135º
F/A
d1 1
d2m
0
A 0 0.5 mm 1.5
stroke of pressing punch s
Fig. 2.37 Forward extrusion process: a schema; b characterization curve
Table 2.2 Forming parameters: rotary swaging

Test Die Feed velocity Stroke- following Shift of the center line
number vf, mm/s angle Δ/ Sd, mm
I CSD 1.0 51° 0
I-a 2.0
II FSD 1.0
II-a 2.0
III DFSD 1.0
III-a 0.5 60°
III-b 51°
III-c 40°
III-d 30°
IV EFSD 1.0 51° 0.3
IV-a 2.0
For the extrusion, all the swaged parts with the diameter d1 = 1.28 ± 0.01 mm
were cut into small parts with a length of l1 = 3.0 mm. The samples were pressed
with a constant pressing velocity of v = 0.1 mm/s.
2.4.3 Results and Discussion
The analysis of the characterization curves reflected the possibility of conditioning

of part properties by means of modifications in rotary swaging. The influence of the
modifications in the swaging die design on the extrusion force is shown in
Fig. 2.38. The stroke s of the pressing punch varied with the actual initial length of
the samples. Curve NS represents the unswaged material during extrusion. The
analysis revealed that rotary swaging with curve shaped dies increased the required
extrusion force (curve I above curve NS). In contrast, using flat-shaped and
double-flat-shaped dies decreased the required forces significantly (curves II and III
press force/cross section area F/A NS not swaged

vf = 1 mm/s
6
kN I I
mm² CSD
NS
4 III
II
II FSD
2
III
DFSD
0
0 0.4 0.8 mm 1.6
Fig. 2.38 Characterization curves based on tool design. I: curve-shaped dies (CSD), II:
flat-shaped dies (FSD), III: double-flat-shaped dies (DFSD), NS: not swaged
are below curve NS). This difference can be explained by various aspects, for
example a change of the microstructure, a reduction of the grain size or martensite
and carbide formation [Ish17b].
The microstructures are shown in Fig. 2.39. Independent of the die design, a
clear grain refinement in the radial direction resulted from the swaging process.
However,, the grain boundaries after swaging with curve-shaped dies (Fig. 2.39b)
were more easily detectable than after swaging with flat- or double-flat-shaped dies
(see Fig. 2.39c and d).
Another aspect is the roughness and the topology of the surface. The surface
roughness of the initial stage samples revealed a value of Sa = 0.92 ± 0.16 lm.
The geometry (cross-section) of swaged stainless steel (alloy AISI304) specimens
using the curve-shaped dies as well as the flat- or double-flat-shaped dies featured a
circular geometry. However, the value of surface roughness Sa of the latter two
grew to Sa = 1.50 ± 0.35 lm and Sa = 1.11 ± 0.61 lm compared to the con-
ventional swaged workpieces with Sa = 0.41 ± 0.05 lm (settings II, III and I).
Hence, the workpieces swaged with curve-shaped dies tended to provide smoother
surfaces, but the flat- or double-flat-shaped dies promoted pocket formation on the
sample surface. Consequently, different die designs, curved or flat, led to signifi-
cantly different forming properties [Ish18].
Although flat-shaped dies allow a significant reduction of the yield stress
[Ish17b, Ish15a] and work hardening, an increase of feed velocity from vf = 1 mm/
s (settings I and II) to vf = 2 mm/s (settings I-a and II-a) decreased this improve-
ment. The required extrusion force increased when forming with flat-shaped dies
(curve II-a higher than curve II) (Fig. 2.40), while the feed velocity did not affect
the extrusion force when using curve-shaped dies (curve I equals curve I-a).
The roughness of the workpieces swaged with flat-shaped dies was influenced
by the feed velocity vf as well (decreased to Sa = 0.94 ± 0.23 lm), while swaging
(a) not swaged/ (b) DSC (c) FSD (d) DSFD

initial stage
200 µm 200 µm 200 µm
Fig. 2.39 Microstructure (cross-section) of the workpieces a before forming; and after rotary
swaging at the setting parameters b I, c II and d III
I
press force/cross section area F/A
CSD
6
I-a I vf = 1 mm/s
kN
mm² vf = 2 mm/s
4 II-a
II
II FSD
2 vf = 1 mm/s
vf = 2 mm/s
0
0 0.4 0.8 mm 1.6
Fig. 2.40 Characterization curves based on feed velocity vf (I and I-a: curve-shaped dies (CSD),
II and II-a: flat-shaped dies (FSD))
with curve-shaped dies at a higher feed velocity vf = 2 mm/s changed this

insignificantly (Sa = 0.58 ± 0.18 lm) (Fig. 2.41).
These results correspond to the martensite content, which was more influenced
by the feed velocity if flat-shaped dies were applied [Ish17b]. Additionally, the
number of strokes was higher with lower feed velocity. The number of strokes
influenced the cross-sectional shape more when using flat-shaped dies, due to the
pockets on the surface (see Fig. 2.45). The microstructure was refined more by the
higher degree of shear strain [Ish15a].
Another major influence on the extrusion characteristics was the modification of
the process kinematics. The use of the eccentric flat-shaped dies changed the
process kinematics by means of radial displacement of the center-line during the
process and thus resulted in a higher shear strain. Due to a significant reduction of
the grain size and the martensite content compared to the rotary swaging using

vf = 1 mm/s
6
kN
mm²
NS
III
4 III DFSD
IV
2
IV
EFSD
0
0 0.4 0.8 mm 1.6
Fig. 2.41 Characterization curves based on process kinematics: eccentric flat-shaped dies (EFSD,
setting IV) compared with double-flat-shaped dies (DFSD, setting III)
double-flat-shaped dies [Ish17b], a reduction of the required press force during

extrusion could be observed (Fig. 2.41, curve IV below curve III).
Eccentric rotary swaging influenced also the development of the microstructure.
As a result, the transformed martensite showed a strong reduction compared to the
amount of martensite after conventional rotary swaging. Thus, pre-forming of the
workpieces in this special way affected work softening, reduction of yield stress,
and increase of the plastic strain [Ish17b]. The grain boundaries were detectable in
the core area of the processed workpieces while they were not visible any more in
the outer regions (Fig. 2.42b). Furthermore, the specimens exhibited typical eddy
patterns and a spiral grain orientation, which were more pronounced with a feed
velocity of vf = 2 mm/s (setting IV-a) (see Fig. 2.42c). Moreover, the shape of
these workpieces was a polygon with eight corners. Using this method, the surface
roughness was also influenced by the feed velocity. The workpieces swaged at a
feed velocity of vf = 1 mm/s (setting IV) featured a roughness of
(a) not swaged/ (b) DSFE (c) DSFE

initial stage
200 µm 200 µm
Fig. 2.42 Microstructure (cross-section) of the workpieces a before forming; and after eccentric
rotary swaging at feed velocity of b vf = 1 mm/s (setting IV); c vf = 2 mm/s (setting IV)

vf = 0.5 mm/s
6
a III
kN DFSD
mm² c
NS
4 Δφ = 60°
d a
b c Δφ = 40°
2
d Δφ = 30°
b Δφ = 51°
0
0 0.4 0.8 mm 1.6
Fig. 2.43 Characterization curves based on process kinematics: stroke-following angle Δ/ using
double-flat-shaped dies (settings III-a to III-d)
Sa = 1.09 ± 0.26 lm, which rose at the increased feed velocity of vf = 2 mm/s
(setting IV-a) to a value of Sa = 1.36 ± 0.48 lm.
A variation of the stroke-following angle Δ/ allowed the production of parts
with polygonal geometries. The shape of the conventional swaged workpieces
using curve-shaped dies was actually circular. The usage of flat-shaped dies or
double-flat-shaped dies in combination with the targeted adjustment of the
stroke-following angle Δ/ delivered polygonally shaped parts with several facets.
The shaping correlates to Eq. 2.9, where n is the number of corners:
n ¼ 360 =D/ ð2:9Þ
With the increasing number of facets the characterization curves became flatter
(Fig. 2.43).
In dependence on the stroke-following angle Δ/, not only the microstructure but
also the surface roughness was influenced. A stroke-following angle Δ/ = 60°
(setting III-a) delivered a hexagon (see Fig. 2.44a), with a surface roughness of
Sa = 0.45 ± 0.16 lm. The round shaped workpieces formed by Δ/ = 51° (setting
III-b) featured the highest surface roughness value for these experiments with
Sa = 0.72 ± 0.26 lm. Workpieces swaged by Δ/ = 40° (setting III-c) developed
the shape of a nonagon (see Fig. 2.44c), and a surface roughness of
Sa = 0.66 ± 0.36 lm. All dodecagons were swaged by Δ/ = 30° (setting III-d)
(see Fig. 2.44d), and had a roughness of Sa = 0.53 ± 0.17 lm.
The workpieces swaged with curve-shaped dies revealed a circular cross-section
and a smooth surface (Fig. 2.45a). Swaging with the stroke-following angle of
D/ = 51° (non-rotating workpiece, setting III-b) using double-flat-shaped dies led
also to a round geometry (Fig. 2.44b), but many small bevels (see Fig. 2.45b),
Fig. 2.44 The influence of the stroke-following angle on the geometry and the microstructure
(cross-section) of the swaged workpieces using double-flat-shaped dies at feed velocity of
vf = 0.5 mm/s (settings III-a to III-d)
(a) workpiece without lubrica on pockets (b) workpiece with lubricaƟon pockets
1 mm 1 mm DFSD
CSD
Fig. 2.45 Influence of the swaging dies on the creation of lubrication pockets by non- rotating
workpiece Δ/ = 51°
which are dependent on the feed velocity vf. The swaging dies did not strike along
the same line of the workpiece any more and the resulting shape formed was not a
polygon. The surface roughness increased to the value of Sa = 0.72 ± 0.26 lm.
2.5 Influence of Tool Geometry on Process Stability

in Micro Metal Forming
Lewin Rathmann*, Lukas Heinrich and Frank Vollertsen
Abstract Deep drawing is a well-suited technology for the production of hollow

metallic micro parts due to its excellent qualities for mass production. However, the
downscaling of the forming process leads to new challenges in tooling and process
design, such as high relative deviation of the tool geometry and increased friction.
In order to overcome these challenges and use micro deep drawing processes in an
efficient production system, a deeper understanding of the micro deep drawing
process is necessary. In this investigation, an overview of the substantial influences
on process stability in micro deep drawing and a method for description, called
“tolerance engineering”, are presented.
Keywords Micro forming Deep drawing Tool geometry
2.5.1 Introduction
Deep drawing is a well-suited technology to produce such parts due to its excellent
qualities for mass production. However, the downscaling of the forming process
leads to new challenges in tooling and process design. Cheng et al. investigated how
the interaction of free surface roughening and the size effect affect the micro-scale
forming limit curve [Che17]. They modified the original Marciniak-Kuczynski
model by introducing free surface roughening to describe the decrease of the
micro-scale forming limit curve as a result of the geometry and grain size effects.
Saotome et al. showed that the process window decreases with increasing ratio
between the punch diameter and sheet thickness when thin foils are used [Sao90]. In
preparation for the deep drawing process, Gau et al. expanded the process window for
forming micro cups with cup height to outer diameter ratios by annealing stainless steel
304 sheets at temperatures not less than 900 °C for more than 3 min [Gau13]. In 2014,
a novel technique in micro sheet metal forming was presented by Irthiea et al. [Irt14].
They used a flexible die to produce micro metal cups from stainless steel 304 foils. The
die consisted of a cylindrical tank filled with a rubber pad. Forming parameters like
anisotropy of SS 304 material and friction conditions at various contact interfaces were
investigated experimentally as well as in simulation with this setup.
Messner et al. demonstrated that increasing punch forces can be expected in the
micro range due to increasing friction [Mes94]. Furthermore, Michel et al. showed
that the yield point and stress decrease with decreasing foil thickness [Mic03].
Besides material and friction, the geometry of the forming tools has a significant
impact on the process forces, stress states and the process window of the deep
drawing process.
macro micro
identical absolute
manufacturing deviation
10 mm 0.1 mm
Heinrich 2018 BIAS ID 180636
Fig. 2.46 Relative deviations in manufacturing of a forming tool due to identical absolute
deviations in macro and micro range
Aminzahed et al. present in [Ami17] a piezoelectric actuator as a new approach

in a deep drawing operation to draw rectangular foils. They also studied blank
holder effects on thickness distributions, punch force and spring-back and used
experiments and simulations to obtain results.
Wagner et al. demonstrated that the punch radius has a significant influence on the
process force and that higher punch radii are beneficial for the process [Wag05].
Thus, the quality of the produced parts depends on the choice of suitable geometric
parameters of the forming tools. In conventional deep drawing processes, manu-
facturing deviation in the sub-millimetre range in tooling do not affect the deep
drawing process since these deviations are neglectable in size compared to the
dimensions of the tools. Moreover, small deviations are compensated by the
formability of the workpiece material. Due to size effects, the tribology changes in
the micro range, which leads to smaller process windows in micro deep drawing
[Vol09]. If scaled down, the deep drawing process becomes more sensitive to
process deviations. This is due to the relative deviations of the tool geometry, caused
in tool manufacture. These increase with decreasing size in the micro range because
the accuracy of manufacturing reaches its limits [Hu09]. Figure 2.46 illustrates the
effect of larger relative manufacturing deviations in the micro range. Due to these
effects, micro forming processes cannot be simply transferred to the micro range and
further investigation is needed. Therefore, the aim of this study is to determine the
influence of tool geometry on micro forming processes to allow a specific process
design and improved process stability as well as a quantitative assessment of the
effect of wear- and production-related deviations of tool geometry.
2.5.2 Experimental Setup
For the deep drawing experiments described in this investigation, blanks were cut
out using a picosecond pulsed laser with a wavelength of 1030 nm in order to
prevent burr formation at the edge of the blank. The diameters were checked with a
Keyence VHX 1000 digital microscope. For the tools, ledeburitic
powder-metallurgical steel 1.2379 (X153CrMoV12) was used. The relevant geo-
metric parameters of the tools used in the experiment were measured using a laser
scanning microscope Keyence VK 9700. The drawing process was carried out on a
single-axis micro forming press with a maximum punch force of 500 N and a
constant punch velocity of 10 mm/s using HBO 947/11 as lubricant. The punch
force was measured with a Kistler 9217A piezo load cell with an accuracy of
0.01 N. The punch stroke was measured with a Heidenhain LS477 linear scale with
an accuracy of 1 lm. The press was driven by a servo motor controlled by a NI
9514 servo drive interface. The blank holder acts passively. It uses its own weight
and is supported by two springs. The blank holder pressure can be adjusted by
changing the spring tension. The blank positioning was realized by an automated
positioning system. The blank was positioned with a pneumatic gripper that is
driven by a linear direct drive cross table. The position of the blank was then
measured using an Allied Vision G 917 B monochrome CCD camera with a res-
olution of 9 MP equipped with a telecentric lens with built-in coaxial illumination
and a magnification of 0.75. With this setup the blanks can be positioned within a
radius of 10 µm from the center of the drawing die.
2.5.3 Numerical Models
The Finite Element Method (FEM) is a proven tool for routine calculation tasks and
is used in plant and mechanical engineering as well as in vehicle construction. This
method enables largely realistic statements in the stages of concept finding and the
development of components and structures using computer-assisted simulations of
physical properties. This results in a significant reduction of product development
time [Kle15]. For FEM analysis, the software Abaqus 6.14 was used.
A 3-dimensional model for micro deep drawing was used. All tools are defined as
analytical rigid shell objects and the blank was defined as a deformable body using
the 8-node linear brick 3D-stress element C3D8R for the mesh. Within the sheet
thickness four elements were used. In order to save computational time, only one
half of the blank was considered. For the elastic plastic material model of the foil,
tensile tests were performed to determine the required flow stress curves.
2.5.4 Circular Deep Drawing
The punch force presents an important parameter to assess the process stability of
deep drawing processes. In [Beh13] the influence of variation of the tool geometry
on the punch force is given. By using experimental data and FEM simulation, each
geometry variation is classified regarding its impact on the punch force and
therefore on the process stability, as shown in Fig. 2.47.
50% exp. sim.
change in maximum punch force

drawing gap
punch diameter
25% punch radius
die radius
0% standard:
punch diameter 1 mm
drawing gap 30 µm
-25% drawing radius 0.12 mm
punch radius 0.10 mm
blank material Al99.5
-50% foil thickness 20 µm
-50%-25% 0% 25% 50% blank diameter 1.7 mm
change in tool geometry blank holder pressure 1 N/mm2
Fig. 2.47 Influence of tool geometry variation on the maximum punch force in circular micro
deep drawing
Figure 2.47 shows that the change of punch diameter and drawing gap resulted
in the greatest impact on the punch force and therefore should be carefully con-
trolled during tool manufacturing. Changes in the punch radius, drawing die radius
and edge shape, on the other hand, proved to be of minor importance.
The limiting drawing ratio LDR describes the maximum value of the drawing
ratio that can be achieved under the given process conditions. A larger achievable
LDR acts as an indicator of a more stable deep drawing process and therefore
makes it attractive for industrial use. In [Beh16] the influence of the blank material
and tool geometry variation on the LDR is described. It is shown that, regardless of
the tool geometry, the austenitic steel 1.4301 enables the largest process window
compared to the foil materials Al99.5 and E-Cu58, and therefore proves to be most
stable in micro deep drawing processes, as shown in Fig. 2.48.
For all the materials used, the die clearance and die radius have the biggest
influence on the LDR. While the die radius should be increased, a decrease of the
drawing clearance below 1.25 times the foil thickness is beneficial to the drawing
process.
The investigation of the influence of a tool geometry deviation on the part
geometry is mentioned in [Hei17]. In this case, the influence of an uneven drawing
radius deviation was investigated for different drawing ratios using experimental
data and FEM simulation. The deviation of the die radius is described by the ratio of
curvature (ROC), which is defined as the ratio between the maximum and minimum
curvature of the die edge. This sort of variation has a significant influence on the
part shape, resulting in uneven cup height after the drawing process due to stronger
stretching of the cup wall at positions with a smaller die radius. This effect increases
with higher drawing ratios. Furthermore, it is shown that by using FEM simulation
an initial blank displacement sufficient to result in an even cup height can be found.
30 material and blank thickness s0

1.4301, s0 = 25 µm
MPa E-Cu58, s0 = 20 µm
Al99.5, s0 = 20 µm
blank holder pressure pb
20 punch diameter 1.00 mm

punch radius 0.10 mm
15 die diameter 1.06 mm
drawing radius 0.12 mm
10 punch velocity 10 mm/s
lubricant HBO 947/11
5 1.4301
E-Cu58
0
1.5 1.6 1.7 1.8 1.9 2.0
1 mm
drawing ratio β Al99.5
Behrens 2015 BIAS ID 180637
Fig. 2.48 Process window for different materials in micro deep drawing
However, the effect of an uneven drawing radius cannot be compensated entirely.

While an appropriate blank displacement results in an even cup height when an
uneven drawing radius is used, a significant difference in strain remains in the part,
as shown in Fig. 2.49. This is explained by the different mechanisms that result in
an uneven cup geometry. While blank displacement leads to material surplus on one
side of the cup, an unsymmetrical radius deviation on the other hand generates
uneven stretching of the cup wall. It can be concluded that the effect of an uneven
radius geometry proves to be of major importance to produce accurately shaped
micro cups.
The investigation of the interactions between individual sub-processes in
multi-staged micro deep drawing and their impact on the overall process is
time-consuming and cost-intensive when done only experimentally. Thus, a sim-
ulation model of a two-stage micro deep drawing process is developed in [Tet15]
and showed that this model can display the first and second stroke in one forming
simulation in accordance with the experiments conducted. Figure 2.50 shows the
overview of the two-stage micro deep drawing process simulation model. It consists
of two pairs of dies and punches with different diameters and a blank holder
impinging the blank with pressure. After the first stroke, the second punch clamps
the cup on the radius of the second die while the first punch and die move back-
wards. Then, the second punch with a smaller diameter starts moving, which draws
the first cup into the second die, which results in a second cup with a smaller
diameter and higher cup walls.
This model is the basis for further investigations with two-stage simulation
models with varied tool geometries. This enables an identification of the influence
ROC = 2.9; x = 0 µm ROC = 1; x = -15 µm ROC = 2.9; x = -15 µm
(a) (b) (c)
300 µm ROC = 2.9; x = -14 µm

low high
major strain (MPa)
300 µm
(d)
material 1.4301
-x +x
drawing ratio β 1.9 180º 0º
sheet thickness s0 25 µm
rz,min rz,max
punch diameter dp 1.01 mm cz,max rz,0 cz,min
drawing diameter dz 1.06 mm die cz,0
Fig. 2.49 Influence of uneven die radius described by the ratio of curvature ROC and blank
displacement x on micro deep drawing. Uneven die radius and centered blank (a), even die radius
and blank displacement (b), uneven radius compensated by blank displacement in FEM (c) and
experiment (d)
of opportune or inopportune in series connected tool geometry. The investigated

characteristics are the curvature of the rib, the mean wall thickness alteration and
the maximum punch force. The geometry is varied in the range of ±3.5% around
the initial tool geometry to investigate these influences. This variation represents
unpreventable deviations that occur when fabricating real tools. It also makes it
possible to use a maximum and minimum tool geometry in the simulation model.
Hence, these options are expressed in two adjustments. On the one hand, (+)
expresses the positive deviation of +3.5% to larger tool dimensions from the initial
tool geometry, while (−) represents the negative deviation of −3.5% to lower
dimensions. For example, a die with smaller dimensions (−) than the ideal is used in
the first stroke and combined with a die with greater dimensions (+) than the ideal
during the second stroke. As identified in [Beh13], the drawing gap variation has a
significant influence on the punch force. Consequently, the punch diameter is held
constant while the drawing gap is varied by using the two mentioned adjustments
for the die diameters during the simulative investigations. Moreover, the die radius
is varied in the same range as the diameter.
punch 1
software Abaqus v6-14
blank material 1.4301

blank holder drawing ratio 1 1.9
drawing ratio 2 1.2
punch diameter d1 876 µm

die 1 die diameter D1 1028 µm
blank
punch diameter d2 726 µm
die diameter D2 872 µm
punch 2
number of elements 207,306
die 2 number of nodes 330,893
Rathmann (Tetzel) 2015 BIAS ID 181645
Fig. 2.50 Simulation model of a two-stage micro deep drawing process
The first characteristic is the curvature c along the cup wall. The curvature is a
result that can be found in both the simulation and experiment and results from an
oversized drawing gap [Klo06]. It describes lip forming and bulge at the rib of a
cup, which are defects along the cup wall and thus criteria for whether a cup is
usable or not. This curvature is the maximum distance between a tangent and a
point A. Both are located at the outer cup wall. The tangent goes through two points
that mark the two local maximum peaks given by the lip forming and the rib of the
cup wall. The point A is between these two peaks and marks the local minimum of
the cup’s wall topography. Figure 2.51 gives a pictorial representation of the
curvature.
The influence of the adjustment of the first and second die diameters on the
curvature c is shown in Fig. 2.52. The abscissa labels the die diameter deviation
from the ideal geometry for a minimum (−) and maximum value (+), while the
ordinate displays the curvature in µm. Furthermore, the main influence of the
adjustment of D2 on c is represented by a black dotted line. The main influence of
D2 means that the influence of the adjustment of D1 on c is not considered. Two
courses happen and show that a large die diameter in the first stroke and a large one
in the second stroke reduce the curvature. For an explanation, it is important to
differentiate between the outer and inner cup wall. A close look at these two sides
reveals that the second stroke relocates the curvature from the outer to the inner
wall. Responsible for this is the second die radius, which shifts the curvature to the
inner wall by straightening the outer. The greater the curvature is after the first
stroke, the better this mechanism works. If the curvature is low after the first stroke,
first stroke: second stroke:
γ
γ A
A
software Abaqus v6-14 punch diam. d1 0.876 mm

die diam. D1 1.028 mm
blank Material X5CrNi18-10
drawing Ratio 1 1.9 punch diam. d2 0.726 mm
drawing Ratio 2 1.2 die diam. D2 0.872 mm
Rathmann 2018 BIAS ID 181218
Fig. 2.51 Pictorial representation of the curvature c at the cup wall due to a large drawing gap
this mechanism does not occur and the measured curvature after the second stroke
gets worse.
Another deep drawing quality feature is a homogeneous wall thickness over the
entire cup wall. As a measure for this, the mean wall thickness alteration D is used.
The development is shown in dependency on the adjustment of die diameter D1 in
Fig. 2.53. As in Fig. 2.52, the abscissa labels the die diameter deviation from the
ideal geometry for a minimum (−) and maximum value (+), while the ordinate
displays the mean wall thickness alteration in µm. Furthermore, the main influence
of the adjustment of D2 on D is represented by a black dotted line. It can be seen
that the mean wall thickness alteration is held almost constant by choosing a small
diameter D1 in the first deep drawing step and a small D2 in the second one.
Choosing a small die diameter leads to small drawing gaps in both deep drawing
steps. The small drawing gap effects a levelling on deviations of the large wall
thickness. Especially in the area of the punch radius at the cup wall, a thinner wall
can be found. Otherwise, the wall thickness increases at the end of the rib due to the
missing influence of the blank holder when the blank emerges under it. Between
those zones, the cup wall thickness is in the range of the initial blank thickness. If
this maximum deviation is reduced by applying a large die diameter in the second
stroke, the smaller drawing gap reduces the mean wall thickness alteration and
4 adjustment die diameter D1

+
µm -
main influence of die

curvature γ
2.4 diameter D2
ideal geometry:
drawing ratio β1 1.9
1.6 drawing ratio β2 1.2
punch diameter in
first stroke d1 0.876 mm
0.8 punch diam. second
stroke d2 0.726 mm
die diameter in first
stroke D1 1.028 mm
0
- + die diameter second
stroke D2 0.872 mm
adjustment die diameter D2
Fig. 2.52 Influence of the adjustment of die diameter D2 in second stroke on curvature c with
varied adjustments of die diameter D1 in first stroke
improves the homogeneity of the wall thickness distribution. Nevertheless, a small

thickness deviation remains due to the drawing gap being larger than the blank
thickness, leaving enough space for minimum alterations to occur.
The punch force is one of the most important considerations in metal forming.
This force correlates with the tool wear, surface quality and the parameters of the
conferred forces [Beh13]. Therefore, the influence of the adjustment of die diameter
D2 on the maximum punch force Fp,max is shown in Fig. 2.54. As in Fig. 2.52 the
abscissa labels the die diameter deviation from the ideal geometry for a minimum
(−) and maximum value (+), while the ordinate displays the maximum punch force
in N. Furthermore, the main influence of the adjustment of D2 on Fp, max is rep-
resented by a black dotted line. The diagram shows that a large diameter D1 in the
first stroke as well as a large diameter D2 in the second stroke lead to stronger
decreasing maximum punch forces than choosing a small D1 and a large D2. The
decrease in the force is due to the reduced contact between the tools and workpiece.
This contact does not only appear among the radii of the die and punch and the
blank, but it also counts for the inner walls of the die and the blank. Contact
connected with relative movement between a contact pair is always accompanied
by friction. In the micro range, the punch force is affected by friction between the
tool and workpiece [Beh13]. Therefore, a large diameter D2 decreases the punch
force, because it leaves enough space for the blank to avoid contact with the inner
die walls. Additionally, a larger diameter D2 reduces the contact pressure between
the blank and die radius. This pressure arises from the contact conditions between
the die radius and blank, ending in greater friction. And finally, a lower drawing
ratio decreases the punch force. The maximum punch forces for the second stroke
in dependency on D1 differ strongly, because of the remaining stresses in the cup
8 adjustment die diameter D 1

+
mean wall thickness alteration Δ µm -

6.8 diameter D 2
ideal geometry:
6.2 drawing ratio β2 1.2
punch diameter in
5.6 punch diam. second
stroke d2 0.726 mm
≈ die diameter in first
stroke D1 1.028 mm
5
0 die diameter second
- +
stroke D2 0.872 mm
Fig. 2.53 Influence of the adjustment of die diameter D2 in second stroke on mean wall thickness
alteration D with varied adjustments of die diameter D1 in first stroke
120 adjustment die diameter D 1

+
-
maximum punch force Fp,max
N
diameter D 2
60 ideal geometry:
punch diameter in
30
punch diam. second
stroke d2 0.726 mm
die diameter in first
stroke D1 1.028 mm
0
- + die diameter second
stroke D2 0.872 mm
Fig. 2.54 Influence of the adjustment of die diameter D2 in second stroke on maximum punch
force Fp,max with varied adjustments of die diameter D1 in first stroke
wall. A smaller D1 causes greater stresses than a larger D1. The punch must
additionally overcome more stress during the second stroke. This increases the
maximum punch force.
2.5.5 Deep Drawing of Rectangular Parts
Compared to deep drawing of circular parts, there is a significant increase in

complexity when rectangular parts are formed. As additional steps such as han-
dling, or trimming become increasingly difficult when scaling processes to the
micro range, it was the aim to produce accurately shaped parts only through deep
drawing. A commonly used method to achieve near net shaped parts in deep
drawing is blank shape optimization. However, due to size effects this method
cannot be transferred unadjusted for the optimization of micro deep drawing pro-
cesses. For example, there is a significant increase in friction with decreasing
process dimensions. This effect has a fundamental influence on the shape of the
final deep drawn part. In [Hu11] it is shown that, if the material model and friction
coefficient are adjusted to the actual condition in the micro range, it is possible to
determine the optimal blank shape in a size-dependent FEM simulation and
accordingly produce near net shaped parts in rectangular micro deep drawing, as
shown in Fig. 2.55.
Furthermore, the work carried out showed that material characteristics are even
more important than friction and that the results of the FEM simulation are in good
three different blank shapes

(a) (b) (c)
c B
A r
b b lb
a a la
resulting deep drawn parts
blank material E-Cu58 lubricant HBO 947/11

blank thickness 20 µm la 0.88 mm
initial blank holder pressure 2 N/mm2 lb 1.92 mm
punch area 2 x 1 mm2 r 0.96 mm
Behrens 2012 BIAS ID 181643
Fig. 2.55 Optimization of blank shape in FEM (a) and (b) and experiment (c) for deep drawing of
rectangular blanks
agreement with experimental findings. Using Al99.5, rectangular parts with no

remaining flange can be formed. In [Hu11] these findings can be transferred to
blanks made of E-Cu58 and 1.4301. The influence of tool geometry deviation on
the punch force in rectangular micro deep drawing has been investigated in Behrens
et al. [Beh15]. It is demonstrated that increasing the corner radius or decreasing the
die radius increases the resulting punch force and therefore has a negative effect on
the drawing process. Additionally, the results show that the influence of a die radius
variation on the punch force is far more prominent in rectangular deep drawing
compared to the forming of circular parts, which can be explained by the different
composition of the punch force.
2.5.6 Forming Limit
In order to enable the possibility of predicting component failure in deep drawing

like bottom fracture using FEM simulation in addition to experimental investiga-
tions, it is necessary to integrate the material failure as an input variable into the
simulation. Conventional methods like hydraulic or pneumatic bulge tests are
available to determine forming limit curves even for thin foil materials. With these
methods, only positive minor strains are measurable. Therefore, a scaled-down
Nakajima test was developed and described in Veenaas et al. [Vee15]. Using an
evaluation method adapted to the micro range, complete forming limit curves
(FLC) can be determined. Especially for deep drawing processes, negative minor
strains and the left side of a forming limit diagram are more important [Vee15]. It
was possible to determine forming limit strain curves for the micro range for the foil
materials Al 99.5, E-Cu58, 1.4301 and for PVD-sputtered Al–Zr, both for the
positive and for the negative side of minor strain, as shown in Fig. 2.56.
2.5.7 Change of Scatter
Tolerance engineering is an approach for assessing influences in multi-stage pro-

cesses but is also applicable in a single-stage process. The aim is the possibility of
extrapolating the permissible tool geometry deviations in every process step from
geometrical requirements on the final product geometry prescribed by operators.
This becomes necessary because each process step increases or decreases the actual
deviation of the workpiece. In order to describe this change of deviation, so-called
“tolerance functions” are formulated. These functions answer the question, what is
the necessary tolerance or admissible wear to get sound parts. For a process chain,
the outcome can be calculated by a series of tolerance functions.
An example of data useful for tolerance engineering is given in Brüning
[Brü15c] and is described by using upsetting of preforms with cone shaped cavities.
In this example, four different dies are compared regarding their forming results.
0.4 material and blank thickness s0

1.4301, s0 = 25 µm
E-Cu58, s0 = 20 µm
0.3 Al99.5, s0 = 20 µm
Al-Zr, s0 = 20 µm
major strain φ1
number of blank geometries 7

0.2 web width S 2.4 mm to 20 mm
amount of measurement
points 10
0.1 punch
blank holder
blank
die
0
-0.15 -0.05 0.05 0.15
minor strain φ2 CCD-cameras
Veenaas2015 BIAS ID 181646
Fig. 2.56 Forming limit diagram and the lower forming limit curves for different foil materials
These results depend on the radii of the dies and preforms after upsetting as well as
on the relative preform volumes. It is shown that the preforms generated by the laser
rod end melting process can be calibrated well within a single-stage cold forming
operation. Furthermore, for average natural strains u* 0.7, the tolerable
eccentricity of the preform is determined to 25 µm and increases with decreasing
relative volume of the preform. This volume can scatter within 3% without a
negative influence on the filling of the cavity. The influence of the calibration step
on the eccentricity of the preform after the laser rod end melting process for one die
is shown in Fig. 2.57.
The figure shows that the scattering field of the deviations regarding the position
in the z- and r-direction is subjected to a shift. This shift is in the direction of the
origin. Additionally, the scattering field of deviations after the calibration step is
much smaller than the one after the laser rod end melting process. As Fig. 2.57
shows, it is possible to improve the scattering field and the position of its centroid
by decreasing the field’s width and length and relocating the center point in the
direction of the origin.
According to tolerance engineering, it is now important to know the allowed
deviation of the laser rod end melting process so that the subsequent process step is
able to calibrate those deviations and create a sound part. Therefore, matrices are
used to transform the deviations from the cold forging process into the allowed
deviations of the previous step by multiplying them with damping factors and
subtracting the shift of the mean deviations of both processes. An exemplary
equation is shown in the following Fig. 2.58.
100 eccentricity after

preforming (input)
scattering field
centroid of scattering field
eccentricity z- direction µm forming (output)
scattering field
centroid of scattering field
0 rod material 1.4301
rod diameter d0 0.20 mm
preform diameter dZF 0.44 mm
-50 laser output PL 79 W
forming force FP 3 kN
-100
-100 -50 0 µm 100
eccentricity r- direction
source: Brüning 2016 BIAS ID 181595
Fig. 2.57 Influence of a calibration step on the eccentricity of the preform after the laser rod end
melting process
inverse calculation for i+1th step:
maximum allowed deviation after damping shifting of the

deviation of the forming process factors centroid of the
preforming process scattering field
process step parameter
: damping factors cold forging eccentricity 2.63 2.75
with
: decreasing
: increasing thermal upsetting
the scatter due to process i+1 (single factor) diameter 3.07 3.07
Fig. 2.58 Exemplary equation for tolerance engineering
On the left side of the equation, the mean deviation (ri zi) and the scatter of the
laser rod end melting process (±Dri/2 ±Dzi/2) are mentioned. The mean deviation
results from the movement velocity of the laser in the lateral direction to the rod,
while the scatter develops, for example, from the flow of the inert gas during
preforming. On the right side of the equation, the mean deviation of the cold
forging (ri+1 zi+1) and the scatter of this process (±Dri+1/2 ±Dzi+1/2) is mentioned.
In the case of the mean deviation, it results from positioning deviations of the upper
and lower die in relation to each other, and the scatter develops from differences in
the form filling of the die by the preform. The factors bi11þ 1 and bi22þ 1 are damping
factors with values greater than one if the (i+1)th process step decreases the scatter,
or with values greater than zero and less than one if the (i + 1)th process step
increases the scatter. These values result from the reverse calculation, which means
the calculation of the scatter of the (i − 1)th process step from the deviations of the
prior step. The factors have to be evaluated prior to the calibration process by using
simulations or experiments. In Fig. 2.58 two examples of the parameter b11 and b22
are given. In the first row the parameters for the cold forging process after the laser
rod end melting process are mentioned. In this case, the parameters show that the
scattering field is decreased. The second row includes the parameter for the scat-
tering field of the preform diameter after a thermal upsetting. As can be seen, the
values for the parameters are also greater than one and therefore describe a
decreasing of the scatter. Finally, the shifting of the centroid of the scattering field
from the cold forging to the laser rod end melting has to be considered. This shifting
is expressed by the difference between the two centroids.
If a process comprises more than two process steps, a series of tolerance func-
tions is used to calculate the necessary tolerance to get sound parts. An example of
such a series of functions is given by the following Fig. 2.59.
As can be seen, the left side of the equation in Fig. 2.59 is the same as in
Fig. 2.58 and so is the part of the equation in the tall square brackets, but with
different exponents and indices due to the three-stage process chain. This last part
still describes the transformation of the (i + 2)th scattering field of the final product
into the (i + 1)th scatter of the previous step. Now, the process chain consists of
three process steps and the transformation of the scatter from the (i + 1)th step into
the ith step has to be considered. The part between the tall square brackets can be
understood as the (i + 1)th centroid and its scattering field, and is now multiplied
with the damping factors for this (i + 1)th step and relocated by the last
inverse calculation for a process chain with three steps:
b11, b22: damping factors
with
: decreasing
: increasing
the scatter due to process i+2 and i+1
Fig. 2.59 Inverse calculation for a three-staged process chain

mathematical term. As before, the damping factors have to be evaluated in simu-

lation or experimentally in the first place.
To receive a tolerance function for an arbitrary n-stage process chain, the fol-
lowing steps have to be considered. Firstly, the starting point is always the math-
ematical description of the center point and the scatter of the nth process
step. Secondly, the first of the overall n − 1 shifts takes place. Therefore, the center
point and the scatter are multiplied with the damping factors of the (n − 1)th
process step. Then, the difference between the center points of the nth and (n − 1)th
steps is subtracted. The result is the center point and the scatter of the (n − 1)th
step. Thirdly, the (n − 2)th shift has to be done, and so on. This procedure is
repeated until the (n − (n − 1))th shift is done. Finally, a series of tolerance
functions is received that describes the development of the allowed deviations or
the tolerable tool wear through the overall process chain.
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Chapter 3
Process Design
Claus Thomy, Philipp Wilhelmi, Ann-Kathrin Onken,

Christian Schenck, Bernd Kuhfuss, Kirsten Tracht, Daniel Rippel,
Michael Lütjen and Michael Freitag
C. Thomy (&)
BIAS—Bremer Institut für Angewandte Strahltechnik GmbH, Bremen, Germany
e-mail: info@bias.de
P. Wilhelmi (&) A.-K. Onken C. Schenck B. Kuhfuss K. Tracht
Bremen Institute for Mechanical Engineering (bime), University of Bremen, Bremen,
Germany
e-mail: wilhelmi@bime.de
D. Rippel (&) M. Lütjen
BIBA—Bremer Institut für Produktion und Logistik GmbH, University of Bremen,
Bremen, Germany
e-mail: rip@biba.uni-bremen.de
M. Freitag
Faculty of Production Engineering, University of Bremen, Bremen, Germany

96 C. Thomy et al.
3.1 Introduction to Process Design Claus Thomy
The design of micro production processes and systems faces a variety of significant
challenges today. This is due both to economic and to technological challenges.
Generally speaking, in most industries micro production tends to be characterized by
mass production, meaning very high lot sizes from several thousands (e.g. in medical
technology) to literally billions (e.g. resistor end caps in the electronics industry).
Moreover, such micro parts are often produced under severe cost pressure, with the
market price for an individual part often being only a fraction of a € cent.
From an economic point of view, this means that the whole process chain has to
be designed such that the output or production rate (e.g. measured in parts produced
per minute) is maximized, whilst the defect rate (measured in ppm (parts per
million) rejected) has to be minimized. From a technical point of view, these
economic constraints are often very challenging, especially due to the specific
characteristics of micro production with regard to materials, processes and products.
Typical examples—in contrast to macro production—are a higher fragility of parts,
scatter in and anisotropy of properties of the materials and parts produced, the
highest tolerance requirements, and size effects.
In this context, and in order to deal with such challenges specific to micro
production, an integrated “Micro-Process Planning and Analysis” (µ-ProPlAn)
methodology and procedure with the required level of detail and complexity are
suggested and implemented in software (Sect. 3.3). With this prototype software,
the integrated planning of manufacturing, handling, and quality inspection at dif-
ferent levels of detail shall be enabled, reducing the overall effort and time for
designing micro production processes, also pursuing a Simultaneous Engineering
approach. Thus, three views with increasing levels of detail are provided: the
process chain view, the material flow view, and the configuration view. The latter
view is the closest to the part produced and the manufacturing process as such, and
incorporates both qualitative and quantitative cause-effect networks to combine
expert knowledge with statistical and learning-based data analysis methods. The
challenge is that, between and within all views, complex interrelations occur, which
are, for example, due to micro specific features such as high variances in properties.
The µ-ProPlAn software prototype shall support process designers during all stages
of planning from manufacturing process design to process configuration and the
evaluation of process chain alternatives by analyzing and optimizing the underlying
models, e.g. with respect to time- or cost-related parameters.
On a level closer to the actual micro manufacturing technology, in both bulk and
sheet metal forming, the micro specific challenges illustrated above have to be dealt
with, too (Sect. 3.2). In order to improve the planning especially of handling and
assembly operations and systems, a micro specific enhancement of data exchange
models on the basis of ISO 10303 is suggested. As handling of individual micro
parts is fairly difficult, it is proposed and discussed to produce, convey and store
3 Process Design 97
these parts in the form of linked parts (either line-linked, ladder-linked or

comb-linked). This reduces the effort for handling and storage (both long-term
storage and highly dynamic buffering), but increases the effort for referencing parts
with respect to their position and orientation at high production rates. Moreover, the
force transfer especially during forming between neighboring parts due to low
stiffness has to be considered, e.g. in the design of conveyors or (adaptive) guides,
and can have an effect on part quality and accuracy. Understanding and modeling
such scatter in accuracy can potentially allow us to widen the tolerance fields by
methods such as selective assembly, thus minimizing waste. However, a prereq-
uisite there is to master appropriate strategies for synchronization.
98 C. Thomy et al.
3.2 Linked Parts for Micro Cold Forming Process Chains
Philipp Wilhelmi*, Ann-Kathrin Onken, Christian Schenck, Bernd Kuhfuss

and Kirsten Tracht
Abstract The method of production as linked parts allows a significant increase of
output rates compared to the production of loose micro parts. In the macro range, it
is already applied to sheet metal forming, for example, in the production of
structural parts in the automobile or aviation industry, but a simple downscaling is
not appropriate. The goal of producing high volumes of high-quality parts requires
micro-specific methods. A holistic concept is presented considering planning and
production. The main aspects of planning are the design of linked parts and the
production planning. Furthermore, an approach is introduced to widen the tolerance
field for assemblies to the production of linked micro parts. This approach requires
the consideration of all affected process chains during planning. Linking of the parts
enables them to be conveyed as a string and thereby simplifies handling, but also
causes new challenges during production. Specific handling technologies are
studied to overcome these challenges. Finally, a concept for the physical syn-
chronization with regard to the investigation of tolerance field widening is
presented.
Keywords Handling ∙ Assembly ∙ Production Planning
3.2.1 Introduction
Achieving high production rates is the key factor for a profitable industrial pro-
duction of micro parts because of the typically low unit prices. Due to high tooling
costs, this is especially relevant for cold forming. In addition to the small tolerances,
fragility and sticking of the parts to each other or machine components make
handling a major bottleneck in this context. This is mainly related to the
surface-to-volume ratio, which increases with decreasing part size [Qin15]. The
strength and weight of the parts depend on the volume, while the adhesion forces
are related to the surface. Fantoni et al. have carried out extensive research in this
field related to grasping [Fan14]. In the literature many different concepts for the
handling of micro parts can be found, where grasping is involved at least for
orientation or fixation, as presented in [Fle11], for example. However, most of these
systems do not achieve the desired clock rates. Vibratory bowl feeders are the most
common systems applied in the industrial environment so far [Kru09]. They are
robust in their function and comparatively inexpensive, but only applicable for a
limited range of types of micro parts and do not allow the production in fixed cycle
times. The concept of production as linked parts, presented in [Kuh11], eliminates
or strongly simplifies most of the speed-limiting handling operations like
3 Process Design 99
separation, grasping, releasing, orientation and fixation of individual parts.

A linking structure keeps the parts interconnected and allows feeding of the parts as
a string throughout the whole of the production stages. Examples of the industrial
application of production as linked macro parts are mainly found in the manufac-
turing of sheet metal parts by punching, bending and deep drawing. The sheet is fed
stepwise as a strip and processed by progressive dies. Lead frames for
surface-mounted devices (SMD) or electrical connectors are produced as linked
parts with features in the micro range. The sheet thickness for these applications is
typically s 100 µm. In the MASMICRO project, the feeding and processing of
thinner sheet material with progressive dies has been investigated [Qin08].
Merklein et al. considered a concept for massive forming as linked parts. Before the
actual forming process, billets are formed from a metal strip (thickness: 1 mm s
3 mm) and remain therein [Mer12].
Until now, only single conceptual ideas were addressed. In the following, a
holistic concept for the production planning and production of micro parts as linked
parts is presented. This is done on the basis of two exemplary process chains
illustrated in Fig. 3.1. The involved processes of deep drawing (see Sect. 4.2), laser
rod melting (see Sect. 2.2) and rotary swaging (see Sect. 2.3) are considered in
detail in the mentioned sections. Process chain 1 deals with ladder-linked parts,
which are produced based on sheet material. Process chain 2 deals with the
wire-based line-linked parts and involves massive forming. In addition to the single
process chains, the synchronization of linked parts is included in the investigations.
In order to enable the mass production of different types of linked micro parts,
two major fields of research are addressed. The first one is the planning of linked
micro parts. In combination with the linking of the parts also micro-specific
planning methods are required. The buffering of processes as well as the arrange-
ment of the processes changes significantly, as shown in Sect. 3.2.2. The main
focus of the second field of research is on the production of linked parts. Due to the
linking of the parts, specific handling concepts are required. These are presented in
Sect. 3.2.3 together with the synchronization of parts for building pre-assemblies.
Fig. 3.1 Considered process chains

100 C. Thomy et al.
3.2.2 Design and Production Planning of Linked Parts
The planning and controlling of processes is required to ensure an economic pro-

duction. Considering the production of linked micro parts, the manufacturing and
assembly of parts in high quantities and quality is influenced by the interconnection
of the parts, the small dimensions, and low tolerances. Therefore, three subject areas
are addressed in the following. In the first area, the design of the linked parts as well
as a product model for deriving the data throughout the production stages are
presented (see Sect. 3.2.2.1). These results are required for deciding which kinds of
linked parts are applicable, and how to define the linking. Furthermore, the product
model and the connection of processes are important for the second field of
research. Due to the fact that every manufacturing stage influences the dimensions
of workpieces in a different way and that the statistical distributions of the macro
range are not applicable, micro-specific distributions are presented for the simula-
tion of process chains, as well as recommendations for the arrangement of process
steps for increasing the throughput (see Sect. 3.2.2.2). The third field involves the
control of the production stages. In contrast to conventional approaches, the
increase of assembled parts is reached by a design adjustment. The linking of the
parts enables the consideration of trends occurring, for example, as caused by wear.
The deviation of the geometrical properties is used for the identification of
assemblies and for playing back this information to the design, as shown in
Sect. 3.2.2.3.
3.2.2.1 Design and Product Model of Linked Parts
The design of linked parts is influenced by the production processes, and further
functions that can be derived by the linking of parts. In general, the handling of
parts in bulk requires functions like separation, orientation, positioning, and transfer
[Kuh09]. In the case of micro parts, furthermore, scaling effects such as the dom-
inance of adhesion forces increase the handling effort. The manufacturing and
assembly as linked parts overcomes these size effects [Kuh11] and eliminates
handling functions like the orientation of parts [Wek14a]. The transportation of
each type of linked part differs in the flux of forces. The three basic types are
line-linked parts, ladder-linked parts, and comb-linked parts. Line-linked parts are,
for example, interconnected by the wire they are made of. An example of
line-linked parts is shown in Fig. 3.2. Relevant design parameters for line-linked
Fig. 3.2 Example of line-linked spheres

3 Process Design 101
Fig. 3.3 Examples of the design of the border area of ladder-linked parts for absorbing forces
parts are the diameter of the spheres, the diameter of the wire, and the distance
between parts.
The flux of forces during transport of the linked parts runs through the parts
themselves. The ladder-linked parts have a border area that is used for conveying
the linked parts. The flux of forces does not run directly through the parts in this
case. An example of ladder-linked parts are cups, which are left in the metal foil
they are made of, as depicted in Fig. 3.3. Comb-linked parts are a hybrid type,
where the flux of forces does not run through the parts themselves [Tra13].
Besides the transfer of forces, such as the accelerating forces, the design of
linked parts could be used for providing further functions and assisting while
manufacturing parts. Especially the border areas of the ladder-linked parts could be
utilized for this [Wek14]. Examples of the utilization of the border areas are lateral
guide elements, pleats to increase the local stiffness, reference points, elements to
modify the feeding force transmission in a belt conveyor, and spacers to protect the
parts when they are coiled for storage [Kuh14]. Functional punching and elements
in the rim of ladder-linked parts are depicted in Fig. 3.3.
The linked parts are produced in multistage processes. For this reason, product
data models for a standard exchange of data are required. One possibility is the
application of ISO 10303 STEP, which is the abbreviation of “Standard for the
Exchange of Product Model Data”. Therefore, different methods, guidelines and
application protocols are used. ISO 10303 is divided into classified series [ISO04].
Special areas are defined in the 200-series like the AP 207, where a product data
model for sheet metal die planning and design is defined [ISO11]. Ladder-linked
parts are made of sheet metal. For this reason, they are manufactured using sheet
treating processes and could be integrated into AP 207 [Tra12].
Line-linked parts, on the other hand, have several requirements that are not
covered by the AP 207. For this reason, a new application model, which covers the
scope of micro forming is required. Therefore, the four steps of building an
application activity model (AAM), developing an application reference model
(ARM), mapping of the ARM, and developing an application interpreted model
(AIM) have to be made [Wek16]. Regarding line-linked parts, interviews with
researchers of the CRC 747 as process experts, and analysis of technical datasheets
are used for identifying the required application objects [Tra12a]. An extract of this
information is shown in Fig. 3.4 based on the example of line-linked parts.
102 C. Thomy et al.
Fig. 3.4 Information and data for plunge rotary swaging and laser melting
The identified application objects and their relation are the basis for the devel-
opment of the AIM of the production process for linked parts. For completing the
AIM, the geometry of the linked micro parts needs to be modularized. Therefore, it
is especially important to summarize the piece part instances and the linkage parts
instances [Wek16].
3.2.2.2 Production Planning
For achieving high output rates while guaranteeing an adequate part quality, it is
important to profoundly understand the whole production process with its inter-
faces, technologies, and process conditions [Vol04]. In the following, important
aspects for planning the mass production of linked micro parts are introduced,
based on the example of manufacturing and assembling linked spherical parts and
cups.
The occurrence of disturbances or scrap parts requires recommendations for
actions that can improve multi-stage processes. Due to the fact that the impact of
defects in shape, dimensions, and surfaces is much higher than in macro production
[Wek14a], micro-specific process properties have to be taken into account.
Simulation studies are an important tool in the planning of manufacturing lines even
in the micro range. For reliable simulation results, it is important to use
micro-specific distributions during the simulation of micro manufacturing pro-
cesses. Therefore, micro-specific statistical distributions of ladder-linked parts
[Wek13] and line-linked parts [Wek13a] are considered.
Looking at micro cups, the deviation of the rib thickness and the variability of
the rib altitude, for example, are used for measuring the quality of the cups. Under
consideration of the basic material, and the coating of the punching tool, the dis-
tributions for ladder-linked parts are investigated. In many cases, the burr distri-
bution is applicable [Wek13].
For determining the statistical distribution of defects and changes in the

geometry of line-linked parts, three different properties of line-linked parts are
investigated as examples for distributions of micro parts. The first one is the
diameter of the spherical preforms before processing by rotary swaging. The results
show that, in total, 12% of the diameters of the preforms are not in the tolerated
field. The second defect is the distance between the preforms. In total, 18% of the
preforms are not in the tolerated distance. As the statistical distribution for the
distance of preforms manufactured by laser rod melting, a Cauchy distribution is
appropriate. The third quality criterion, which is especially important for further
steps such as rotary swaging, is the volume of the parts. In this case, the Rayleigh
distribution is appropriate for simulation of the parts properties. Furthermore, the
results show that the volume of the produced parts more often exceeds the targeted
volume [Wek13a]. Due to the fact that deviations of the shape, dimensions, and
surfaces have a high impact on the production of micro parts, knowledge about
these changing distributions is crucial for simulating processes. The simulation
offers the possibility of analyzing different scenarios for the identification of
appropriate places and capacities for buffering and discharging stations, as depicted
in Fig. 3.5.
Due to the rigid linking of the parts, the processing steps are also rigidly linked.
Therefore, the configuration of buffers has a major influence on the throughput of
the system and balances the varying process times. Furthermore, scrap parts are also
present in the linked parts. Therefore, it is important to evaluate if the extraction of
only one part or even a whole charge is to be recommended. Due to the fact that the
unit prices are comparatively lower as in the macro range, it could be more prof-
itable to extract charges [Wek14a].
The distribution and the amount of scrap parts influence the way in which the
processes have to be arranged to improve the production of linked parts. In the
following, recommendations for process chains are presented that are investigated
by simulating the process chains of linked parts. In the case of a large amount of
widespread scrap parts, it is best to extract only single parts instead of batches, due
to the fact that there is a minor possibility of batches without defective parts. The
implementation of buffers has a positive impact on the output, due to the balancing
of the processes. Especially when scrap parts are extracted, it is important to buffer
these processes. The decision whether defective parts should be extracted or
manufactured in further steps is also dependent on the number of defective parts.
When there is a large number of scrap parts, the extraction of the scrap parts has a
positive impact on the throughput [Wek14a]. For a further increase of the number
Fig. 3.5 Simulation scenario of line-linked parts with and buffering and rejecting
104 C. Thomy et al.
of assembled good parts, the geometrical deviations, which are caused by the whole
manufacturing line, need to be considered. An approach to the widening of the
tolerance field is presented in the following section.
3.2.2.3 Tolerance Field Widening
The linking of the parts maintains the production order. This facilitates an inves-
tigation of the deviation of geometrical dimensions over the production time. The
knowledge of these deviations enables a widening of the tolerance field by iden-
tifying sections that could be assembled according to the fit [Onk17]. This approach
is similar to selective assembly, where parts are sorted and matched for assembly
according to their geometric characteristics. Several approaches to selective
assembly, like the identification of assembly batches [Raj11], and reducing surplus
parts using genetic algorithms [Kum07], are known. The adaptation of the pro-
duction based on selective assembly has also been focused on in research.
Approaches for selective and adaptive production systems offer the possibility of
adjusting the process parameters directly during production. Kayasa et al. offer a
simulation-based evaluation of adaptive and selective production systems [Kay12].
Lanza et al. provide a method for real-time optimization in selective and adaptive
production systems [Lan15].
Due to the fact that the adaptation of processes is especially used in
hard-to-control processes, the named approaches are not relevant for micro cold
forming processes. A further contrast to these approaches is that the widening of the
tolerance field enables a consideration of long sections of linked parts by using
trends of geometrical deviations to identify matchable sections [Onk17]. This is
applicable for two reasons. The first one is the sorted feeding by the interconnection
of parts. Small tolerances for assembly are often caused by the required inter-
changeability of loose micro parts. Due to the retention of the production order,
precise matching is feasible. The second reason is that in micro production,
assemblies like valves, in the case of a defective component, are exchanged as a
whole. Consequently, a widening of the tolerance field does not influence the
interchangeability for maintenance or repair processes. For widening the tolerances,
sequences of parts are matched under consideration of their fit. The methodology of
widening the tolerance field is divided into three steps. The steps of clustering,
matching and adjusting of the nominal value are performed after the production of
the first batch, as shown in Fig. 3.6 on the basis of the example of cups and spheres
[Onk17]. The results are used for the manufacturing and assembly of further bat-
ches. Within the first step, the trends are in focus. The consideration of the trend
enables long sections that are matched in the second step [Onk17]. This is important
for ensuring the mass production of further batches, due to the fact that a large
number of interruptions for the changing of sections will reduce the productivity
[Onk17a].
Linked parts clustering (LPC) is able to identify sections that are homogeneous
according to the trends occurring. Essential for clustering trends is that the
Fig. 3.6 Schemata of the tolerance field widening
algorithm has to consider the linking of the parts. This could be performed by using
cluster algorithms for networks. For building the clusters, similarity measures,
which compare the characteristics of the parts, are used. This is important for
considering the trends. The logic of the LPC is a basic configuration that could be
adapted to the trend changes occurring using the assigning Factor (F). The algo-
rithm is able to consider the linking of the parts and decides, on the basis of the
Euclidian distance and F, whether the parts should be assigned to the present cluster
or to a new one, as depicted in Fig. 3.7. The diameter of the parts is used for the
calculation of the Euclidian distance [Tra18].
In the second step, the parts are matched under consideration of the fit. Due to
the fact that the matching of these two parts is similar to bipartite graphs, matching
algorithms for bipartite graphs like the Munkres algorithm could be used [Onk17].
For the matching of clusters with varying lot sizes, these algorithms must be
enhanced by adding additional rows due to the fact that most of them require N N
matrices.
As the third step of the tolerance field widening, the nominal value is adjusted.
Due to the known development of the trends, an ideal nominal value can be
Fig. 3.7 Linked parts clustering [Tra18]

106 C. Thomy et al.
identified. This means that the ratio of the two trends enables a large number of
parts to be assembled. Therefore, after every adjustment of the nominal value, the
number of pre-assemblies achieved is verified by another matching [Onk17]. The
results of the tolerance field widening are influenced by the number of identified
sections for matching and the trends occurring. Simulation results showed that with
a larger number of sections also the number of mountable parts increases. The
results emphasize that there is a point at which an explicit increase of sections only
initializes a small increase of the number of pre-assemblies. Due to the fact that
micro parts have a comparatively low unit price, such a small increase of assemblies
is insignificant. Every interruption for changing sections leads to an increase of
handling operations and thus decreases the throughput. The clock rates of the
manufacturing and assembly of the parts are increased [Onk17a].
3.2.3 Automated Production of Linked Micro Parts
By applying the method of production as linked parts, on the one hand, time-critical
sub-functions of the handling task like the grasping of individual parts and part
orientation are avoided. On the other hand, by linking the parts, new challenges
arise that must be dealt with to achieve the desired high output rates. The posi-
tioning in the processing zone cannot necessarily be considered independent of the
transport. Processing may cause interactions and affect neighboring parts. Further,
when applying the linked parts method to the production of assemblies, different
process chains need to be synchronized. To ensure a stable material flow at high
cycle rates and at the same time adequate precision for the positioning in the single
production stages, specific equipment is necessary.
3.2.3.1 Handling Concept and Equipment
An approach for realizing a precise positioning in the macro range is to punch

reference holes in the first production stage. In the following stages, pilot pins,
which are integrated in the tools, realize a fine positioning. This approach, which is
typically applied in the aforementioned example of production with progressive
dies, hypothesizes that the general structure of the linked parts has a certain inherent
stiffness and that it does not change during production. However, for the manu-
facturing of micro parts on the basis of thin sheet (h 100 µm) and for massive
forming of line-linked parts, these requirements cannot be guaranteed. A further
measure to simplify positioning, which is applied in the progressive dies, is the
integration of all production stages into a compound tool. This allows low toler-
ances to be realized for the pitch between the single stages, which corresponds to
the part distance a. In this way, a certain number of neighboring parts can be
positioned and processed simultaneously. This is possible under the condition that
all production stages have a similar character and can be actuated by a single press.
Fig. 3.8 Multi-stage production of linked parts
The proposed new approach references the parts with a sensor before positioning
the processing zone. An example is illustrated in Fig. 3.8 by means of the inves-
tigated line-linked parts production. In production stage 1, preforms are generated
by laser rod melting and consequently formed by rotary swaging in production
stage 2. Without the referencing, a deviation from the desired distance a would lead
to a positioning error in production stage 2.
When supplying parts in bulk, the referencing of individual parts is a
multi-dimensional problem. Besides the part position, the orientation of the part
must be detected. Because of limitations in measuring rates as well as the pro-
cessing power of the data evaluation hardware, this may present a bottleneck with
regard to output rates. The linked parts approach reduces the problem to one
dimension, which is a linear shift in the feed direction. This is valid under the
assumption that, except for the feed direction, guides block all other degrees of
freedom. In this case, a stationary sensor can be applied for referencing the linked
parts during transport, as illustrated in Fig. 3.8. For that purpose, a
position-dependent trigger signal is generated on the basis of the position sensor
information of the conveyor. Each time the linked parts have moved a certain
distance Dxtrigger, the sensor is triggered and acquires data. This approach was
tested for three different measuring systems: an optical micrometer, a laser profile
scanner and a line camera setup. The optical micrometer [Kuh12a] and the laser
profile scanner [Kuh13] are both measuring systems based on image sensors and
optimized for standard measuring tasks. They show quite good performances with
respect to accuracy, but do not meet the requirements for the aspect of feed velocity.
The approach of building up a measuring system on the basis of a camera in
combination with suitable optics and illumination provides the best results in terms
of both the accuracy and the possible feed velocities. By introducing an interpo-
lation into the evaluation algorithm, the referencing is suitable for applications with
output rates of more than 400 parts/min. This is valid even under the conservative
assumptions of a part distance of Dxpart = 40 mm and a non-continuous conveyor.
Both increase the resulting maximum feed velocity, which is vfeed,max = 1.6 m/s.
Figure 3.9 illustrates the standard deviation of a measurement of the distance
a between parts at different velocities compared to a reference measurement. The
trigger distance was set to Dxtrigger = 50 µm in order to reach the desired cycle rate.
For each velocity, eight linked parts (dpart 700 µm, lpart 1100 µm) were
108 C. Thomy et al.
Fig. 3.9 Standard deviation in dependency on velocity for part distance measurement with part
referencing system (line camera), Dxtrigger = 50 µm
referenced and the seven distances between these parts were determined. The
measurements were repeated ten times. The standard deviation is below 2.2 µm up
to the targeted feed velocity of vfeed = 1.6 m/s. With higher feed velocity, the
standard deviation increases noticeably [Wil17].
The sensor is ideally located close to the machining position, where the possible
minimum distance depends on the actual machining process. Thereby, the applied
conveyor must show an adequate positioning accuracy only for that limited feed
distance. Two prototypes of conveyors were built and investigated during the
experiments for the production of linked micro parts (see Fig. 3.10). One is a belt
conveyor. The other conveyor works with two grippers, where one is stationary and
the other is mounted on the slide of a linear axis, which is actuated by a linear
motor.
Apart from the positioning accuracy of the conveyor, the linked parts influence
the positioning. The low bending stiffness of the linked parts, which counts espe-
cially for thin sheet material, may lead to buckling and cause position deviations. In
order to reduce this problem, the linked parts can be fed by pulling instead of
pushing. Further, a tensioning of the linked parts with the help of a hysteresis brake
or a second conveyor helps to solve this problem. Considering the accuracy of the
feed axis with the grippers, small deviations are introduced as a result of the
gripping. But, when assuming that after referencing no gripping is performed and
the relevant part is directly positioned, the accuracy depends mainly on the feed axis
and is in the sub-micrometer range. The belt conveyor has a large contact area
between the linked parts and the coated belts. Thereby, high feed forces can be
transmitted, and the local contact force may be reduced in order to avoid defor-
mations. The rotational motion is converted by a friction power transmission in a
linear feed. Consequently, different positional errors are introduced, for example, by
conversion of the motion measurement from rotation to linear shift or the appear-
ance of slip. Considering this, the feed axis shows a better performance in terms of
positioning accuracy. Nevertheless, the belt conveyor can achieve a positioning
accuracy in the lower micrometer range. One means of increasing the positioning
accuracy is a direct measurement of the shift of the linked parts. Due to the fragility
of the parts, contactless measurement is necessary. A sensor based on speckle
Fig. 3.10 Linked parts conveyors: a belt conveyor, b feed axis with grippers
correlation was investigated for that purpose and shows promising results, espe-
cially with regard to the achievable resolutions [Blo16].
Further, guides play an important role in the production as linked parts.
Depending on the processes and their sequence, the guides along the process chain
must fulfill different tasks. Besides the precise guiding of the linked parts transverse
to the feed direction, they must isolate the individual processes from vibrations
occurring in the other processes and damp the vibrations in the machining zones.
Furthermore, compact size matters in order to enable the integration of the guides in
the setups close to the machining zones. The guiding is particularly critical for
line-linked parts, because of their longitudinally varying diameter. Hence, a concept
for passive diameter adaptive guides for line-linked parts was developed [Wil17a].
The two variants illustrated in Fig. 3.11 were investigated under the aspects of
guiding precision, suppression, and damping of radial vibrations as well as the
influence on the feed force. Both variants were proven to enhance the guiding
precision compared to non-adaptive guides. Further, they are suitable for sup-
pressing the transmission of vibrations via the linked parts structure. Due to the
material properties, the elastomer shows a better performance for damping vibra-
tions in the machining zones. Nevertheless, form deviations of the linked parts from
the desired geometry may result in inaccuracies for the guiding. The passive nature
of the guides potentially introduces force peaks in the feed direction when a part
passes through the guide. However, as they were experimentally determined to be
below 0.1% of the applied feed forces, no negative effect is expected.
Fig. 3.11 Adaptive guide concepts: a elastomer; b spring load, bearing balls
110 C. Thomy et al.
Finally, the automated production as linked parts demands specific storage. Two
different types of storage are required: long-term storage after the production of
parts and buffering between the manufacturing stages. The two types of storage
differ mainly in their logistical properties, which are capacity and dynamic capa-
bilities. Apart from that, the storage design depends on the linked parts’ geometrical
properties (e.g. distance between parts, diameter and thickness) and mechanical
properties (e.g. tensile strength, tolerable winding radius). Concepts for buffering
are especially characterized by high process dynamics and low capacity. The linked
parts could be buffered by extending the length of the conveyor line by using guide
rollers as considered in [Rüc17]. Given that the required tensile stress is on the
linked parts, guide rollers are arranged in line and the conveying line is minimal.
The number of guide rollers defines the possible length of the buffer. For long-term
storage, the well-known concepts of spooling and unspooling are suitable [Onk17].
These concepts are characterized by a high storage volume and a minor process
flexibility. The line-linked parts are less sensitive to mechanical damage and can be
stored in multiple paths and layers, and only the winding diameter is critical.
Figure 3.12a illustrates line-linked parts on a spool. Spooling of ladder-linked parts
is easier in one path only and with a protective layer in between, as depicted in
Fig. 3.12b. This prohibits distortion of the ladder-linked parts caused by torsion.
Furthermore, the insertion of the layer material prohibits the deformation and
surface deformation of the sensitive parts [Rüc17].
3.2.3.2 Effects Resulting from the Production as Linked Parts
There are different challenges that result from the linking of the parts. One is related
to the fact that the feeder is applied for the transport, positioning and optional
feeding during processing. Further, the structural connection leads to a transfer of
forces between neighboring parts or the structure is changed by the processes. The
concrete form of the effects that occur depends strongly on the manufacturing
process applied.
Fig. 3.12 Storage of linked parts: a spooled line-linked parts, b ladder-linked parts spooled with
protective layer
For the production of line-linked preforms by laser rod melting (see Sect. 2.2),
the applied conveyor is used both for the feeding during the process and for the
transport afterwards. The requirements for these two tasks are different. Reaching
the target position fast and a high stiffness against disturbing forces are the crucial
points for the transport. For the laser rod melting, however, a good positioning
behavior with respect to the desired feed velocity and a small overshoot is assumed
to be favorable. The behavior of the conveyor and its effect on the production of
preforms as linked parts was investigated experimentally [Wil18]. In the case of the
control parameters, which are optimized for short transport times, the actual
velocity of the investigated conveyor shows a significant deviation from the desired
velocity especially for higher melting velocities. It could be shown that the process
is relatively robust against such deviations. Further, an online adaptation of the
control parameters can be applied as a countermeasure. The coupling of usually
separate functions does not necessarily need to have an adverse effect. Rather, it
could be proven that a further increase in the clock rate can be achieved by par-
allelization. Figure 3.13 illustrates the adapted process scheme for laser rod
melting.
The preheating and the closing of the grippers are parallelized to the forward
stroke. The effect of that adaptation on the cycle time is illustrated in Fig. 3.14, a
measured position curve of the parallelized process. The transport motion is merged
with the feed during melting. Thereby, the melting process can start earlier. In this
example, the cycle time could be reduced by about 24 ms. The maximum cycle rate
for laser rod melting of linked parts achieved with the described system is up to 300
parts/min. It is strongly influenced by the part volume and distance.
A change of the structure of the linked parts is especially observable in the case
of massive forming. It has been found that the material flow during plunge rotary
swaging leads to a significant elongation of the linked parts, which has a retroactive
effect on the process. Assuming that the processed linked part is clamped on one
side by the gripper of the conveyor and on the other side preloaded with a defined
force, the behavior illustrated in Fig. 3.15 is observed. Before the processing, the
linking structure is straight and the part is positioned in the center of the tool cavity.
During processing, the part is centered within the cavity and the material flow leads
Fig. 3.13 Process scheme of parallelized laser rod melting

112 C. Thomy et al.
Fig. 3.14 Position measurement of parallelized process
(a) (b)
Fig. 3.15 Material flow during rotary swaging: a before processing, b during processing
to an elongation of the linking structure or wire on both sides of the part. Due to the
low bending stiffness of the wire, this leads to buckling on the side of the conveyor
and a spring force that presses the part against one side of the cavity within the tool.
Thereby, inaccurate forming with asymmetric parts or even defects result [Wil15],
as illustrated in Fig. 3.16. It could be shown that the effect on the part geometry can
be more or less significant depending on the machine parameters. As shown in
[Mou18], a convenient control of the applied forces or a compensation of the
elongation improves the forming results and enables the production of symmetrical
parts without defects.
3.2.3.3 Synchronization of Linked Parts
In the here presented considerations related to synchronization, the main focus is

not on the aspect of cycle rates. The key point is that individual linked parts of one
type, or rather groups of linked parts of one type, are assigned to certain linked parts
of a different type. This is particularly important for the already presented method of
tolerance field widening. At the production level, synchronization means that
assignment of the linked parts is performed physically in a way that simplifies the
further handling. Instead of a direct assembly, also new types of linked parts can be
created and form a pre-assembly. In that case, there are the three options [Onk18]:
Fig. 3.16 Forming results: a bad part, b asymmetric part, c symmetric part
• directly joining both types of linked parts without separating them before;
• separating the linked parts of both types and creating new linkage;
• separating the linked parts of one type and joining them to the linked parts of the
other type.
Option one is the direct joining of two types of linked parts without separation,
which could cause problems in the further handling. An increased bending stiffness,
for example, complicates winding. Comparing options two and three, the separation
of only one type of linked part means less effort and therefore it is more convenient
in most cases. For that reason, this option was investigated in an experimental
setup. Figure 3.17 illustrates the basic function of the synchronization station. Both
types of linked parts are referenced and positioned in the synchronization point.
(The feed directions are indicated by arrows.) After that, they are welded via
capacitor discharge welding in order to maintain the relative position and assign-
ment between the synchronized parts for further handling. As the thin strip material
is more sensitive to mechanical damage, the structure of the ladder-linked parts is
kept and the line-linked parts are separated by mechanical shearing.
The complete setup is illustrated in Fig. 3.18. It requires all the previously
presented handling technologies. The conveyor for positioning the ladder-linked
parts is located on the left side of the central synchronization module. On the right
side, another conveyor applies a constant force in order to tension the ladder-linked
Fig. 3.17 Basic function of the central module of the synchronization station
114 C. Thomy et al.
Fig. 3.18 Complete setup—synchronization station
parts. The line-linked parts are fed orthogonally to the feed direction of the
ladder-linked parts, from the back to the front. The sensors for the referencing are
located in such a way that the linked parts are referenced close to the synchro-
nization point. The central synchronization module includes a pneumatically
actuated down holder, which fixes the linked parts after positioning and moves
down the welding electrodes and the upper part of the cutting tool. The synchro-
nization station is not only a concept for a possible synchronization setup, but also
demonstrates the collaboration of the developed technologies in a practical sce-
nario. It shows that, even with the inclusion of further technologies such as joining
and cutting, clock rates of more than 200 parts/min can be achieved.
3.3 A Simultaneous Engineering Method

for the Development of Process Chains in Micro
Manufacturing
Daniel Rippel*, Michael Lütjen and Michael Freitag
Abstract The occurrence of size-effects requires detailed planning and configura-

tion of process chains in micro manufacturing to ensure an economic industrial
production. Existing methods lack the required level of detail and complexity as
well as the handling of partly missing data and information, which is required for
the micro domain. Consequently, this chapter describes a methodology for the
planning and configuration of processes in micro manufacturing that aims to cir-
cumvent the mentioned drawbacks of the existing approaches. The methodology
itself provides tools and methods to model, configure and evaluate process chains in
micro manufacturing. Whereas the process design allows the detailed specification
of micro manufacturing processes, the configuration is performed by the application
of so-called cause–effect networks. Such cause–effect networks depict the interre-
lationships between processes, machines, tools and workpieces by relevant
parameters. Thereby expert knowledge is combined with methods from statistics
and artificial intelligence to cope with the influences of size-effects and other
uncertain effects.
Keywords Modeling ∙ Production planning ∙ Predictive Model
3.3.1 Introduction
During the last decades, the demand for metallic micro parts has continuously
increased. On the one hand, these components have become increasingly smaller
while on the other hand, their shape complexity and their functionality are con-
stantly increasing. Major factors contributing to this development are the increasing
number and complexity of applications for micro components as well as the
increasing demand for such components in the growing markets of medical and
consumer electronics [Mou13]. Besides the growing demand for
Micro-Electro-Mechanical-Systems (MEMS), which are generally produced using
methods from the semi-conductor industry, the demand for metallic microme-
chanical components is growing similarly. These micromechanical components are
used as connectors for MEMS, casings, or as contacts. They cannot be manufac-
tured using semi-conductor technology and are usually produced by applying
processes from the areas of micro forming, micro injection, micro milling etc.
[Han06]. In this context, cold forming processes constitute an option for the eco-
nomic mass production of metallic micromechanical components, as these
116 C. Thomy et al.
processes generally provide high throughput rates at comparably low energy and
waste costs [DeG03].
The efficient industrial production of such components usually requires high
throughput rates of up to several hundred parts per minute [Flo14], whereby very
small tolerances have to be achieved. These tolerances result from the components’
small geometrical dimensions, which, by definition, are below one millimeter in at
least two dimensions [Gei01]. Additionally, so called size-effects can result in
increasing uncertainties and unexpected process behaviors when processes, work-
pieces and tools originating from the macro domain are miniaturized [Vol08].
As a result, the planning and configuration of process chains is seen as a major
factor of success for the industrial production of metallic micromechanical com-
ponents [Afa12]. To cope with the occurrence of size-effects, companies require
tools and methods for highly precise planning, covering the complete process chain.
Thereby, they have to consider the interrelationships between processes, materials,
tools and devices. In micro manufacturing, small variations in single parameters or
characteristics can have a significant influence along the process chain and can
finally impede the compliance with the respective tolerances [Rip14].
In order to facilitate the planning and configuration process, this chapter presents
the “Micro-Processes Planning and Analysis” methodology which was designed to
support process planners with a tool to plan and configure manufacturing process
chains with the required level of detail. The methodology itself provides tools and
methods to model, configure and evaluate process chains in micro manufacturing.
Thereby, the configuration is performed by the application of so-called cause–effect
networks, detailing the interrelationships between relevant process, machine, tool
and workpiece parameters. These cause–effect networks combine expert knowledge
with methods from the areas of statistics and artificial intelligence to cope with the
influences of size-effects.
3.3.2 Process Planning in Micro Manufacturing
Within the literature, there are only very few approaches which allow the joint
planning of process chains as well as the configuration of the processes involved.
During the last few years, different articles have focused on the configuration of
specific processes. Thereby, the configuration relies on detailed studies of the
corresponding processes and is usually supported by very detailed physical models
in the form of finite element simulations (e.g. [Afa12]). Another approach found in
the literature focuses on the use of sample data (historical or experimental) as
templates for the configuration of processes. Although these approaches enable a
very precise configuration of a single process, the interrelations between different
processes cannot be considered easily. Moreover, the construction of finite element
simulations or the direct application of historical information requires a deep
understanding of the processes, which is often unavailable due to size-effects or the
novelty of processes.
Usually, classic methods like event-driven process chains, UML or simple flow
charts are used in the context of process chain planning. Whereas these methods do
not include the configuration of processes, Denkena et al. proposed an approach
that indirectly addresses this topic [Den06]. This approach builds upon the mod-
eling concept for process chains [Den11]. In this concept, a process chain consists
of different process elements, again consisting of localized operations. These
operations are interconnected by so-called technological interfaces that describe sets
of pre- or post-conditions for each operation. While these interfaces can be con-
figured manually, Denkena et al. also proposed the use of physical, numerical or
empirical models to estimate the relationships between the pre- and post-conditions
[Den06, Den14]. Although this approach enables configuration of the processes, the
design of these models again requires very detailed insights into the processes.
Moreover, within the micro domain, a single model can quickly be unsuitable to
capture all relevant interrelations between process, machine, tool and workpiece
parameters, particularly under the influence of size-effects, as its construction would
require tremendous amounts of data.
3.3.3 Micro-Process Planning and Analysis (µ-ProPlAn)
The methodology “Micro-Process Planning and Analysis” (µ-ProPlAn) is being

developed to support process designers in designing and configuring process chains
(see [Rip17] for a more detailed description of the methodology). The modeling
methodology µ-ProPlAn covers all phases from the process and material flow
planning to the configuration and evaluation of these models [Rip14]. In this
context, it enables the integrated planning of manufacturing, handling and quality
inspection activities at different levels of detail. It consists of a modeling notation, a
procedure model. and a set of methods and tools for the evaluation of the corre-
sponding models. The evaluation covers methods to ensure the technical feasibility
of the modeled process chains and production systems. Moreover, it includes a
component to execute µ-ProPlAn models directly in terms of a material flow
simulation to assess the modeled production system’s logistic performance.
The modeling notation consists of three views as depicted in Fig. 3.19, which
represents different levels of detail. The first view focuses on the top-level process
chains. This view’s notation closely follows the classic notation of process chains as
described in [Den11]. Unlike the classical approach, process elements and opera-
tions are connected using process interfaces. In addition to the original technical
parameters, these interfaces include logistic parameters. In an extension to the
classical approach, operations act as interfaces to the next view. The material flow
view further details operations by assigning those material flow objects used to
conduct the operation (e.g. machines/devices, workpieces, tools, operating supplies
or workers). This enables the modeling of specific production scenarios with
specified resources and therefore allows an evaluation of the models regarding
logistic aspects. For example, in the case of an existing production system,
118 C. Thomy et al.
µ-ProPlAn can be used to assess the impact of new process chains (e.g. new
products) on existing production plans or on the performance of the production
system. Therefore, µ-ProPlAn offers the option to conduct material flow simulations
based on the specified production system and the modeled process chains. This
allows the early detection of e.g. bottlenecks or other undesired effects early during
the planning stages. Consequently, it supports the selection of suitable resources,
machines or devices for the new process chain. The third view focuses on the
configuration of the processes and process chains using so-called cause–effect
networks. These networks enable the evaluation of different process configurations
(e.g. the use of different materials or different production speeds) and the assess-
ment of the impacts of different choices on follow-up processes. As the cause–effect
networks and material flow elements are closely connected, µ-ProPlAn reflects
changes to the configuration of the material flow simulation and evaluates these e.g.
regarding lead times, work-in-progress levels or the estimated product quality.
Moreover, µ-ProPlAn provides several methods to evaluate the configured models.
Besides the mentioned material flow simulation, the change propagation supports
the process chain configuration and enables an estimation of a product’s interme-
diate and final characteristics.
3.3.3.1 Modeling View: Process Chains
In general, process chains enable the structured modeling and planning of business
processes, and depict the logic-temporal order of manufacturing, handling and
quality inspection processes. Each process consists of one or more operations.
Operations transform a set of input variables into output variables. These variables
are called technological interfaces and describe the specific technical properties of
Fig. 3.19 Components of the µ-ProPlAn Methodology [Sch13]

the processed workpiece before and after each operation [Den11]. For example, a
hardening operation modifies the variable hardness, which serves as an input and an
output variable for the operation. On an aggregated level, processes provide and
require similar technical interfaces with regard to other preceding or succeeding
processes.
The notion of process chains provides an abstraction from material flow related
resources and thus from specific manufacturing techniques. The hierarchical
composition of the process chain enables the planning of the overall process chain
based on processes and parameters relevant to the final product. In order to integrate
the classic process chain models with the other views, the technological interfaces
are extended to include logistic parameters, e.g. process durations or costs.
Additionally, the operations themselves are extended to hold references of model
elements from the material flow view, further detailing which devices and resources
are involved in performing each single operation. At this, they directly provide the
connection to the material flow modeling view.
3.3.3.2 Modeling View: Material Flow
The material flow modeling view consists of two parts. On the one hand, it is used
to describe all the material flow elements within the considered system. On the
other hand, it allows specific resources to be assigned to operations. Furthermore, it
acts as an interface to the configuration or cause–effect view. Therefore, each
material flow element is required to provide a minimal set of cause–effect param-
eters that differs depending on its type. During the evaluation, the material flow
simulation uses these parameters to assess the logistic properties of the modeled
system. Machines, tools, workers, operating supplies and workpieces constitute the
major material flow elements. Table 3.1 summarizes the required parameters, which
are necessary to estimate the logistic performance of the modeled system. Each
operation requires at least one machine, a tool and a resulting workpiece. Additional
resources can be assigned if applicable. During the machine definition, a setup
matrix containing setup costs and durations has to be supplied.
Table 3.1 Mandatory parameters by resource (extended from [Rip14, Rip16])

Machines Tools, workers, supplies Operations
• Downtime on failure • Investment costs • Duration
• Downtime on • (Tool) Service time in • Probability of causing defect
maintenance operations • Probability of detecting defect
• Maintenance intervals • (Worker) Costs while • Probability of falsely detecting
• Setup times and costs processing defect
• Mean time between
failures
• Costs while processing
• Costs while idle
120 C. Thomy et al.
3.3.3.3 Modeling View: Configuration (Cause–Effect Networks)
To further detail each material flow element, µ-ProPlAn uses cause–effect net-
works, describing the interrelationships between relevant process parameters. Each
network consists of a set of parameters and a set of cause–effect relationships,
forming a directed graph. The set of parameters consists of all technical and logistic
characteristics that are relevant to describe the object’s influence on the production
process and at least consists of the parameters given in Table 3.1. In the case of
workpieces, these include material properties, costs per piece or geometrical
characteristics. As for production devices, these parameters include production
speeds, forces or other characteristics that can be set, calculated or measured (see
Fig. 3.20 for an example). From a modeling perspective, the cause–effect networks
are hierarchical. Each material flow object (workpieces, machines, tools, workers,
etc.) has its own cause–effect network, or at least a set of describing parameters.
When combining these single elements into operations, process elements or process
chains, higher-level cause–effect networks are created by describing additional
relationships between the parameters of the networks or by connecting them to
previously specified process interfaces (see Fig. 3.20).
The design of cause–effect networks is divided into two steps: qualitative
modeling and quantification. The qualitative model of the network is created by
collecting all relevant parameters and denoting their influences among each other
(see Fig. 3.20). Thereby, the process expert can facilitate the creation of the net-
works by pointing out the most relevant parameters and by indicating the rela-
tionships. Another option to attain a qualitative cause–effect network is the
application of data mining techniques. For example, if experimental or production
data are available, an analysis of this data can deliver preliminary insights into the
cause–effect relations.
Fig. 3.20 Hierarchy of

cause–effect networks—
Example of composition of a
rotary swaging operation from
the networks of the
corresponding machine, tool
and workpiece (after
[Rip14a])
The second step concerns the quantification of the cause–effect networks. The
objective is to enable the propagation of different parametrizations throughout the
network. For example, this propagation allows the estimation of the outcome of
processes for different materials or machining strategies. In Fig. 3.20, the use of a
different material for the forging tool will result in a different surface roughness,
thus influencing the overall output diameter of the processes. Through quantifying
the cause–effect relationships, it is possible to estimate the results of parameter
changes for all connected parameters along complete process chains.
3.3.3.4 Basic Quantification of Cause–Effect Networks
In the case of simple or well-known relations, µ-ProPlAn allows the implementa-

tion of mathematical functions to calculate a parameter’s value, based on its input
parameters’ values. For example, a continuous manufacturing process will have a
duration according to the total length of the workpiece divided by the selected feed
velocity. More complex but well-established cause–effect relations could be
included from the literature. Nevertheless, in the area of micro manufacturing,
different parameters can have a more significant impact than in the macro domain,
resulting in the inclusion of parameters that can usually be neglected. In addition,
size-effects may induce a different behavior than usually observed. Therefore, it is
often impossible to describe all the parameters and cause–effect relations compre-
hensively. As a result, µ-ProPlAn provides the capabilities to quantify cause–effect
relations from experimental or production data by applying methods from the areas
of data mining and statistics. Therefore, the qualitative cause–effect network is
divided into a set of sub-problems. Each of these consists of one single dependent
parameter and its independent parameters. To achieve a quantification, µ-ProPlAn
utilizes a set of statistical regression or learning methods further detailed in
Table 3.2. While statistical regression methods usually calculate a mathematical
function to describe the expected value of the considered dependent variable,
learning methods usually provide a more abstract model for a mean estimator
(l(x)). While these estimators can predict the value of the dependent variable, their
models usually provide less insight into the mechanics behind the cause–effect
relation and thus represent “black-box” models. Despite this disadvantage, they
excel in their ability to learn arbitrary relations without prior knowledge of the
relations shape (no prototype of the function has to be provided) and regardless of
the problem’s dimensionality. In practice, the application of locally weighted linear
regression (or interpolation) models has yielded good results in estimating complex
relations.
3.3.3.5 Characterization of Local Variances
While the application of the described methods enables the cause–effect networks to
predict the estimated (mean) value of a parameter, they do not support the
122 C. Thomy et al.
Table 3.2 Regression and learning methods included in µ-ProPlAn [Rip14a]

Method Description
Linear regression As a fundamental multivariate regression function, µ-
ProPlAn offers the option to perform a linear
regression on the data provided. Additionally, µ-
ProPlAn offers functionality to linearize e.g.
exponential or logarithmic data
Polynomial regression In the case of univariate cause–effect relations, a
polynomial regression can be conducted
Tree/Rule regressions (e.g. [Hol99]) In contrast to the methods above, tree- or rule-based
approaches do not result in a single analytic function.
In general, they divide the search space into smaller
segments for which a regression can be performed.
Usually both methods use linear regressions for each
segment
Locally weighted linear regression LWL constitutes an abstract prediction model, which
(LWL/LOESS) (e.g. [Fra03]) performs a locally weighted linear regression each
time a prediction is requested. Thereby, a kernel
function is used to weight adjacent data points and
finally a linear regression is performed. This method
particularly excels in interpolating missing data in
between available data points
Support vector regression(e.g. Support vector machines are usually used as
[Pla98]) classifiers. Thereby, they learn models, which separate
a set of data points into classes, maximizing the
distance between each data point and the classification
curve. The same method can be used for regression,
particularly if the data provided contains strong
variances
Artificial neural networks A neural network usually consists of a number of
layers, each containing a defined number of so-called
perceptrons. The perceptrons of each layer are
interconnected. During the supervised training of the
network, these connections’ weights are adapted to
recreate the desired output on the last layer
characterization and use of variances. Nevertheless, coping with these variances

poses a major task for the configuration of process chains in micro manufacturing,
in order to achieve a stable and efficient production. Moreover, the variance of a
process can change for different parametrizations, requiring a localized approach.
For example, when using a laser-chemical ablation process, the variance can change
according to the flow rate of the chemicals. Therefore, µ-ProPlAn provides an
estimated distribution as a prediction for a parameter’s value instead of a single
mean value. Using these distributions, the process designer can e.g. try to select
configurations with less variance, resulting in a more stable process/process chain,
or assess the impact of less tolerated materials on the process chain.
Local calculation of the variance of each sampling point

In addition to the mean estimator, the local variance is computed for each point of
the available sample data based on the corresponding standard deviation (r). The
method uses a set of experiments, each consisting of a number of independent
variables (sampling points/configurations) x = (x1, x2,…) and a corresponding
dependent variable (measurement). In the case of repeated measurements, each
sampling point x corresponds to several values for the dependent variable, resulting
in a vector yx where the number of values |yx| equals the number of measurements.
In a first step, the mean estimator l(x) over all experiments is acquired using
regression or learning techniques as described before. As a second step, the
approach first determines a localized value for the standard deviation at each given
point of sampling data and then further interpolates this information to enable a
prediction of the variance for arbitrary points/configurations (r(x)). The localized
standard deviation for each sampling point is thereby calculated as usual, whereby
the target vector y and the matrix source Xmn, with n = |y| and m = |x|, are
specifically constructed using a newly introduced parameter t to control the degree
of locality. In general, the algorithm only tries to incorporate measurements for the
single sampling point/configuration x. In cases where the number of repeated
measurements yx for x are insufficient (|yx| < t), the algorithm incorporates additional
sampling points into the calculation. On the one hand, small values for t ensure a
very high locality, focusing on single sampling points or at least on very small areas
around them. While a strong locality reduces the window size, it can negatively
influence the estimation precision, as a precise estimation of the standard deviation
requires a sufficient amount of data. On the other hand, a broader window size can
usually yield better estimation results, while smoothing local changes in the stan-
dard deviation.
In the case of normally distributed values, this approach provides an accurate
estimation of the overall standard deviation for each sampling point. Nevertheless,
several practical applications require the estimation of skewed distributions. In this
case, µ-ProPlAn estimates distinct standard deviations for both sides of the esti-
mated mean value. Therefore, each vector of repeated measurements yx is separated
into two vectors, one containing all values smaller than the estimated mean value
and the other containing all values greater than the estimated mean value for that
given sampling point. The only exception are values that are equal to the estimated
mean. If such a measurement is available within the data, its value is added to both
vectors. Afterwards, the local standard deviation is calculated for each of these
vectors as rUi(xi) and rLi(xi). This separation enables the estimation of different
standard deviations for both sides of the curve at the cost of precision. Due to the
reduction of the available data points, the window size will inevitably increase,
resulting in a stronger smoothing for each sampling point. The only option to
counteract this would be the inclusion of additional repeated measurements.
124 C. Thomy et al.
Interpolation for arbitrary points and example

By applying the described local approach, µ-ProPlAn can characterize each of the
provided sampling points by its mean and its estimated local standard deviation. In
order to achieve an estimation of the standard deviations for arbitrary points, an
interpolation takes place. Figure 3.21 depicts an example of an application of the
local approach to a dataset containing 230 measurements of an ablation process.
The dependent variable y depends on two independent variables x1 and x2.
Figure 3.21a depicts the mean estimation obtained by using a locally weighted
linear regression using an Epanechnikov kernel spanning approximately eight
neighboring points. Figure 3.21b additionally depicts the estimated 95% probability
intervals as green and red grids respectively, assuming the measurements were
normally distributed.
In general, µ-ProPlAn uses these standard deviations to describe the stability of a
process in terms of its variance and its adherence to tolerances. In addition, it
includes a technique to generate probability distributions based on these values. If
only a single standard deviation was estimated, or if rUi(xi) and rLi(xi) are close
together, a normal distribution Ɲ(l(x), r(x)2) is generated. If they differ from each
other, a Gumbel distribution is generated (also known as Extreme-Value
Distribution). Therefore, a large number of sampling points is generated using
two normal distributions derived as ƝL(l(x), rL(x)2) and ƝU(l(x), rU(x)2).
The resulting probability distributions can be used for further sampling, e.g. to
calculate process capability indices cp and cpk. Therefore, µ-ProPlAn employs a
Monte-Carlo simulation, whereby for a provided process configuration (e.g.
materials, forces etc.) all dependent parameters along the process chain are sampled
Fig. 3.21 Example of application on a three-dimensional problem. a The heat-map colored

surface depicts the mean estimator. b Additional green and red grids depict the 95% confidence
interval
and, if appropriate, used as input for the remainder of the cause–effect network. By
repeating this several times, the behavior of the overall process chain can be esti-
mated in terms of e.g. quality-relevant target parameters like diameters or surface
properties. The overall process capability indices are then calculated using Eqs. 3.1
and 3.2, with USL and LSL being the upper and lower specification limits
according to the specified tolerances.
USL LSL
Cp ¼ ð3:1Þ
6r

USL l l LSL
Cpk ¼ min ; ð3:2Þ
3r 3r
3.3.3.6 Simultaneous Engineering Procedure Model
To guide users through the process of model creation, a procedure model accom-
panies the methodology. This procedure model utilizes concepts of Simultaneous
Engineering [Rip14]. In general, “Simultaneous Engineering describes an approach
in which the different phases of new product development, from the first basic idea
to the moment when the new product finally goes into production, are carried out in
parallel.” [Sch02]. By parallelizing the development of the product and of the
manufacturing processes, all characteristics and demands regarding the product’s
complete life cycle can be taken into account early on. Ignoring such issues can lead
to high costs in later stages of the product development or manufacturing [Pul11].
The application of Simultaneous Engineering techniques enables the early deter-
mination of these problems, which would usually only emerge during later stages of
the production planning [Rei12].
The procedure model comprises three phases: process specification, configura-
tion and analysis. The first two phases in particular should be conducted in parallel
to the product development. Whenever the product design is extended or changed,
these modifications should be integrated directly into the process chains.
The top-level process chain is designed during the process specification phase.
First, the designer aligns all the required manufacturing processes with respect to
the product design and defines the process interfaces. In a second step, the designer
integrates quality inspection processes in between the manufacturing processes. As
a last step of the specification, the designer integrates the required handling pro-
cesses and operations. Some cases may require complex handling processes (e.g.
the separation of single products or samples), while other cases can be satisfied by
the integration of handling operations into existing processes. During the process
configuration, suitable technologies for each process should be identified, as they
determine or at least influence the process interfaces.
After defining the process chain and the according interfaces, the designer
configures the processes. Based on the selection of technologies, he integrates
relevant production parameters into the model and describes the parameters’
126 C. Thomy et al.
interdependencies (cause–effect relations). For each parameter, the designer spec-

ifies tolerances, which describe the range of allowed parameter values, in order to
guarantee the required output values. In a second step, the parameters are set, thus
describing concrete values for all production-relevant parameters in the process
chain. By first specifying the tolerances, the designer is able to select resources
according to the requirements of the process. Consequently, the process is aligned
to the product’s quality requirements.
The last phase of the procedure is the analysis. Partially, it can occur in parallel
to the specification of the material flow. Whenever a parameter is set to a specific
value, the impact on the complete process chain can be analyzed according to the
modeled cause–effect relations. As a result, the impact on later processes can be
estimated and, if necessary, the designer can select other technologies or resources
and adapt the model accordingly. In cases where no available technology is suitable
to satisfy the product’s requirements, modifications to the product design or the
development of new technologies can be addressed. Due to the proposed parallel
development of the product and the design of the manufacturing process, such
incompatibilities can be detected early on in the development process and higher
costs can be prevented. In the last step of the analysis, technically feasible process
chains can be simulated, using a material flow simulation, to determine their logistic
performance and their behavior. The designer can compare different setups or
processes and select the best option. In particular, if certain tools or workstations
have to be purchased, the simulation can facilitate the decision between options
[Sch08].
3.3.3.7 Geometry-Oriented Modelling of Process Chains
The geometry-oriented process chain design aims to provide an alternative way of

modeling and designing process chains in µ-ProPlAn. The procedure model
described before assumes a manual modeling and evaluation of each alternative
chain. The geometry-oriented approach focuses on additional annotations to already
modeled operations, in order to select and combine suitable processes. Thereby,
each operation is annotated with information on the processes’ capabilities and
limitations. In addition, workpieces can be specified by their geometrical features.
Using a constraint-based search, suitable processes can be selected, combined and
evaluated automatically. For these annotations, additional parameters are intro-
duced to the cause–effect networks. These describe which geometries can be
achieved by a process. Basically, µ-ProPlAn is adapted twofold. First, processes
need to be annotated with their type (what they do). Second, each process requires
the annotation of which geometrical features can be achieved under which
circumstances.
The type of a process describes its function according to the standards DIN 8580
and VDI 2860. For manufacturing processes, the type describes if it is a (primary)
forming process, a separating or joining process, if it is a coating process or if it just
modifies the workpiece characteristics without changing the geometry. For handling
processes, the type determines e.g. if it is a positioning or conveying process.

Besides the definition of the type (optical, tactile, acoustic), quality inspection
processes additionally require information on whether the process is in-line or
destructive and about its resolution and measurement uncertainties.
The second adaptation describes the pre- and post-conditions of each process
with respect to the geometrical features. Thereby, each process is annotated with a
set of workpieces that can serve as input to the process, as well as a set of work-
pieces, which result from the process application to an input. In extension to the
current model, each workpiece has a base geometry, describing e.g. if the work-
piece is a sheet, a sphere, a wire etc. Each base geometry can be combined with
additional base geometries to compose more complex workpieces. Figure 3.22, for
example, shows a combination of a wire with a cone-shaped base geometry to
represent a workpiece that could act as a plunger for a micro valve. Each base
geometry can be assigned zero or more geometrical features like holes, steps,
pockets or notches. These features and their parameters conform to the STEP-NC
standard. Each of these features can again be assigned zero or more features on their
own in a hierarchical manner.
By using these annotations, it becomes possible to apply constraint-based search
algorithms to select suitable processes. During the modeling process, the designer
specifies the hierarchical order of the base geometries and geometrical features
required for the product. The software tool can search through all the stored pro-
cesses within the model and select those that can achieve each feature. In the
example in Fig. 3.22 there is only one alternative to join a sphere to a wire
(melting). In contrast, there exist two alternatives to form this sphere into a cone. As
the characteristics of each base geometry and each feature are expressed as
parameters integrated into the processes’ cause–effect networks, the configuration
of each alternative process chain can be performed in the usual way.
Fig. 3.22 Example of the geometry based annotations and generated process chain alternative
128 C. Thomy et al.
3.3.3.8 Analysis and Model Optimization
As mentioned before, µ-ProPlAn supports different methods to evaluate the process

chain models using simulation-based and model-based evaluations. Technical
characteristics (e.g. material or surface properties) or process capabilities can be
estimated through the cause–effect networks, while logistic properties and the
dynamic behavior of different alternatives can be estimated by transforming and
simulating the different alternatives using the integrated discrete-event material flow
simulation jasima [Hil12]. Using the respective results, the process designer can
adapt the model and perform a manual optimization of different process chains, or
compare different manufacturing scenarios. Nevertheless, a manual configuration of
the processes can be time-consuming and prone to error. Therefore, µ-ProPlAn
supports the configuration by providing methods to identify suitable values for
input parameters, given a set of desired output values (e.g. for geometrical features)
using meta-heuristics (i.e. a genetic search algorithm) and a pruned-depth first
search algorithm. Both methods provide multiple settings, which are able to achieve
the desired result within the specified tolerances. Moreover, Gralla et al. proposed a
method to invert the cause–effect networks’ prediction models [Gra17] using
techniques from the mathematical field of inverse modeling. The results show more
reliable results in shorter times using these inverted cause–effect networks in
combination with mathematical optimization techniques [Gra18].
The proposed methodology supports process designers during all stages from the
manufacturing process design, the process configuration until the evaluation of
process chain alternatives. In combination with the software prototype, it can be
applied to different topics, e.g. for cost assessments of different configurations
[Rip14], for the evaluation of different machining strategies [Rip14a], for the
process characterization and configuration [Rip17b], or even as an abstraction for
physics-based finite-element simulations to enable fast and precise process planning
[Rip18a]. In addition, the methods underlying the cause–effect networks can easily
be extended to utilize time-related information, thus enabling a re-training of cause–
effect networks to cope with a lack of initial training data [Rip18] or in the context
of predictive maintenance [Rip17a].
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Chapter 4
Tooling
Frank Vollertsen, Joseph Seven, Hamza Messaoudi,

Merlin Mikulewitsch, Andreas Fischer, Gert Goch, Salar Mehrafsun,
Oltmann Riemer, Peter Maaß, Florian Böhmermann,
Iwona Piotrowska-Kurczewski, Phil Gralla, Frederik Elsner-Dörge,
Jost Vehmeyer, Melanie Willert, Axel Meier, Igor Zahn,
Ekkard Brinksmeier and Christian Robert
F. Vollertsen (&) J. Seven (&) H. Messaoudi (&) S. Mehrafsun

e-mail: info-mbs@bias.de
J. Seven
e-mail: seven@bias.de
H. Messaoudi
e-mail: messaoudi@bias.de
F. Vollertsen
Faculty of Production Engineering-Production Engineering GmbH, University of Bremen,
Bremen, Germany
M. Mikulewitsch A. Fischer G. Goch
G. Goch
University of North Carolina, Charlotte, USA
O. Riemer (&) M. Willert
Leibniz-Institut für Werkstofforientierte Technologien—IWT, University of Bremen,
Bremen, Germany
e-mail: riemer@iwt.uni-bremen.de; oriemer@lfm.uni-bremen.de
O. Riemer
LFM—Laboratory for Precision Machining, Leibniz Institute for Materials
P. Maaß I. Piotrowska-Kurczewski P. Gralla J. Vehmeyer

4.1 Introduction to Tooling
Frank Vollertsen
Forming as a shaping process, in which the tool is used as an analog memory for the
workpiece geometry, requires precise tools. Especially in micro forming, it is not
only the geometry of the basic tool bodies that plays a role, but also their surface
topology, since it can be used considerably to control the material flow. The
determination of the permissible tolerances has so far been an only empirically
solved problem, whereby the applied trial-and-error methods in the development of
tool kits end up being costly in the tool development for new workpiece geometries.
The method of tolerance engineering described in Sect. 2.5 (Influence of tool
geometry on process stability in micro metal forming) provides a remedy for this
with regard to the scatter occurring as a result of the forming processes. In addition,
the wear of the tools has to be taken into account, which is the topic in Sect. 4.2
(Increase of tool life in micro deep drawing). In Sect. 4.2 the various issues of tool
wear are discussed, including the measurement and the results of the wear, which
determine the tool life.
Knowledge about tool wear and protection methods like hard coatings (see
Sect. 4.2 for test results) are used to design forming tools. For the manufacture of tool
elements, which have typical dimensions of some mm and feature sizes in the range of
some 10 μm, both new and enhanced standard methods are applied. One new method
is the 3D laser directed chemical etching (laser chemical etching, LCM). This method
was initially used in a 2D variant for cutting thin sheet from delicate materials like
nitinol. The control of the cutting depth is limited in these cases to ensure an appro-
priate cutting depth for complete material separation. 3D shaping makes proper
control of the removal process in all three dimensions necessary. Section 4.3
(Controlled and scalable laser chemical removal for the manufacturing of micro
forming tools) introduces the process development towards a fast process for 3D
removal without disturbances and a path planning method for optimized workpiece
(i.e. tool) quality. One of the features of the process is the ability to generate sharp
edges. Section 4.4 (Process behavior in laser chemical machining and strategies for
industrial use) addresses one problem with the introduction of the LCM method into
F. Böhmermann F. Elsner-Dörge A. Meier

Labor für Mikrozerspanung—LFM, Leibniz Institute for Materials
I. Zahn
Bremer Goldschlaegerei (BEGO), Bremen, Germany
E. Brinksmeier C. Robert
LFM Laboratory for Precision Machining, Leibniz-Institut für Werkstofforientierte
Technologien—IWT, University of Bremen, Bremen, Germany
I. Piotrowska-Kurczewski
4 Tooling 135
industrial use. While the process is very attractive to industry as it uses a low power cw
laser instead of expensive ultra-short pulse lasers, there might be problems due to the
usage of sulfuric acid or phosphorus acid as etchants. Therefore, alternative etchants
like citric acid and others were tested and are presented in Sect. 4.4. Section 4.4 also
shows the feasibility of optimizing the cell layout for the process by FEM simulation.
Computational fluid dynamics (CFD) is used to design the cells for a laminar and
homogeneous flow across the workpiece.
While it is shown in Sect. 4.3 that sound control of the overall geometry of the
tool is possible using laser chemical etching, the control of the surface microstructure
appears to be difficult with this method. Due to the fact that the surface structure
plays an important role in the material flow in (micro) forming, two sections present
results on that. The standard method of tool-making by milling was investigated in
respect to the development of surface structures and their prediction and control by
optimization methods. The results in Sect. 4.5 (Flexible manufacture of tribologi-
cally optimized forming tools) show the structures that develop and how to predict
the processing parameters, starting with the desired structure in an inverse opti-
mization. One problem which had to be solved to master this inverse calculation was
tool deflection by passive forces during cutting and tool wear during the milling
process. Different tool wear models were tested and compared concerning accuracy
and calculation time. Due to the small dimensions of the cutting tool, the deflection is
much more pronounced than in conventional cutting. An additional size effect is the
transition between the interaction modes of the tool and workpiece, i.e. ploughing or
cutting appears, depending on the actual conditions. The related knowledge from
Sect. 4.5 was used in Sect. 4.6 (Predictive compensation measures for the preven-
tion of shape deviations of micromilled dental products) to optimize the milling of
small free-form parts, i.e. dental prostheses. Like the work in Sect. 4.4, also the work
in Sect. 4.6 was done together with industrial partners, having a discrete problem to
be solved. This kind of knowledge transfer was also done in other work; see e.g.
Sect. 2.4 (Conditioning of part properties) and Sect. 5.3 (Inspection of functional
surfaces on micro components in the interior of cavities). The challenge in the work
shown in Sect. 4.6 was to develop a method for optimized tool paths independent
from the actual machine tool.
The second method for the control of the surface structure of tools was again a
new method, which is elaborated in Sect. 4.7 (Thermo-chemical-mechanical shap-
ing of diamond for micro forming dies). It is well known that diamond coatings and
solid diamond tools (see Sect. 4.2) are suited for forming, especially for aluminum
alloys, therefore the surface structure of such tools is of interest. On the other hand,
diamond surfaces are very durable and therefore difficult to machine. Starting from
the assumption that chemical wear of diamond cutting tools is dominant when
cutting iron parts, experiments were conducted to use the diffusion of carbon into
iron as a measure for structuring the diamond surface. This work led to a method
based on a mechanism with thermal, mechanical and chemical aspects. The mech-
anisms and the achievable structures in diamond surfaces are explained in Sect. 4.7.
4.2 Increase of Tool Life in Micro Deep Drawing
Joseph Seven* and Frank Vollertsen

Abstract Micro metal parts are usually produced in large lot sizes at high pro-
duction rates. In order to achieve sufficient product quality, excessive tool wear has
to be avoided. In the micro range, so-called scaling effects and their influence on
tool wear in micro forming have not been investigated so far. For the investigation,
tests in micro deep drawing were carried out with metal sheets (s < 50 μm) of pure
aluminum Al99.5, a copper alloy E-Cu58 and stainless steel 1.4301. The failure
mechanisms of the micro cups produced were identified as bottom fracture and cup
wall damage, and tool wear was measured and characterized with optical mea-
surements and EDX analyses. Moreover, micro cups can be produced by DLC- and
PVD-coated tools in a dry forming process. To investigate the wear behavior in a
continuous process, a forming tool was developed with an integrated blanking and
deep drawing die. The tool wear was measured optically, and the wear mechanisms
could be identified in a combined micro and deep drawing process. As a result, the
tool could be modified by a manufacturing in selective laser melting and the tool
life increased by 290%. Furthermore, a method for tool wear examination in
long-term tests was developed. In lateral micro upsetting, the tool wear history can
be examined by analyzing the formed product. Several tool materials and coatings
were tested with up to 500,000 strokes.
Keywords Deep drawing ∙ Micro forming ∙ Tool wear
4.2.1 Introduction
A long tool life is an important requirement for cost-efficient mass production. The
tool life defines how long the tool can be used in production, which determines the
downtime and productivity. Wear mechanisms during macro forming experiments
have been studied. However, experiments in the micro range revealed that so-called
scaling effects [Vol08] influence the tool wear behavior [Gei01]. Scaling effects
comprise technical and physical properties that do not correlate linearly with a
linear change of the tool geometry. In deep drawing experiments, the influence of
scaling (1–8 mm punch diameter) was first analyzed by Justinger et al. [Jus07].
They determined that the tool size influences the friction. The results show that the
friction increases with a decreasing punch diameter. In order to understand the wear
mechanisms in this range, Manabe et al. [Man08] manufactured a combined
blanking and deep drawing die. With this tool, circular blanks were cut in a first
step and in the second step deep drawn to micro cups. These tests were performed
as single tests as well as under static conditions. However, the dominant tool wear
mechanisms and the influence on tool life in mass production have not been
investigated so far.
4 Tooling 137
Thus, the goal of this work is to increase the tool life for cost-efficient mass
production in micro deep drawing. First, the tool life is defined in simple micro
deep drawing experiments. The tool life is determined by micro cup failures. To
further analyze the tool, a setup is constructed that allows a continuous mass
production of micro cups. A forming tool was manufactured with an integrated
blanking and deep drawing die. In these long-term tests, the tool life was increased
by the characterization of tool wear and the subsequent modification of the dies.
Furthermore, a simple method was developed to determine exactly the tool life. In
lateral micro upsetting, a wire is penetrated by a punch in a long-term test. As the
tool geometry is reproduced on the formed wire, the tool wear history of the tool
can be examined. This method allows a simple investigation of different tool
materials and serves as a simplified method for the selection of the tool material.
It is shown that the wear mechanisms in deep drawing depend on the
microstructure, which also influences the tool life. Moreover, it is demonstrated that
the tool can be modified according to the dominant wear mechanisms, which
increases the tool life. The experiments also reveal that it is possible to substitute
the deep drawing with a fast and economical lateral micro upsetting method to
investigate tool wear mechanisms and the influence on tool life.
4.2.2 Definitions
4.2.2.1 Tool Life
In this section, the tool life of micro deep drawing dies is defined by how long
micro cups can be produced without cup failures. In deep drawing, there are two
typical cup failures – bottom tears and wrinkle formations. These failures occur
when the tool geometry or blank holder pressure is not chosen properly.
Furthermore, the process conditions can be changed during the production as a
result of tool wear [Hu10]. If so, the friction between the tools increases, which
leads to higher process forces and bottom tears. Another cup failure is cup wall
damage, which can occur due to worn areas on the die radius [Hu10]. In this case,
the circular blank cannot be uniformly deep drawn, which results in a cup with
non-uniform cup walls.
4.2.2.2 Dry Forming
Dry forming comprises forming technologies without using lubricants. For eco-
nomic and geo-ecological reasons, it is important to use lubricant-free forming
processes in future [Vol18]. In the dry forming process, the friction is typically
reduced by surface modifications like coatings and structures. Especially in the
micro range, surface modifications have a great potential for efficient forming
technologies [Hu11a]. Due to scaling effects, the influence of lubrication is
reduced [Vol08]. Another advantage of lubricant-free forming is that an additional
process step can be omitted, because cleaning of the lubricated products is not
necessary. Cleaning of micro parts is especially difficult because the surface tension
of the lubricant is relatively high compared to the macro range, which leads to the
adherence of the micro parts.
4.2.3 Experimental Setups
4.2.3.1 Reciprocating Ball-on-Plate Test
A ball-on-plate test was applied to examine the friction coefficient of a

sample [Hu11a]. The principle of the experimental setup is shown in Fig. 4.1.
A counter tool of X5CrNi18-10 mounted on a vertical spindle is moved to the
workpiece and loaded with the force Fz = 5 N. The workpiece is mounted on a
linear table, which is reciprocating at an oscillating distance of 5 mm and a velocity
of 1 mm/s. The forces in x- and z-direction Fz and Fx are measured and recorded
with a force sensor integrated into the spindle. The workpiece and the counter tool
were cleaned before each experiment with 2-propanol. The experiments were car-
ried out in dry conditions.
4.2.3.2 Micro Deep Drawing
Single tests in micro deep drawing were performed to identify the process
parameters and characteristics of the wear behavior of micro deep drawing dies.
load cell
Process and geometry parameters
Movement Reciprocating
Counter ball 10 mm diameter
Counter ball material X5CrNi18-10
counter ball
Oscillation distance 5 mm
sample
Load 5N
Velocity 1 mm/s (sample)
linear table Temperature Room temperature
oscillating movement, x-axis Lubricant None
Hu 2012 BIAS ID 180957
Fig. 4.1 Principle of the experimental setup for a ball-on-plate test

4 Tooling 139
Fig. 4.2 Principle of

experimental setup for micro upper slide
deep drawing
punch
blank force sensor
holder
die work piece press table
lower slide
Hu 2011 BIAS ID 180959
Furthermore, the tool life and the failure mechanisms are determined. The exper-
iments were carried out on a highly dynamic micro forming press [Sch08b] with
two axes. The machine axes are driven by electrical linear motors with a maximum
acceleration of 10 g and a maximum velocity of 3.2 m/s. The positioning error is
below 3 μm at maximum acceleration and the positioning error is below 1 μm up to
a stroke of 8 mm. The tool for the deep drawing process [Hu10] is shown in
Fig. 4.2. Circular blanks are applied as workpieces for the deep drawing process.
The blank holder, which is moved by the lower axis of the press, applies a pressure
on the workpiece. The circular blank is deep drawn through the punch to a micro
cup. The punch is moved by the upper axis. Both the forming punch and the blank
holder are linked to a piezo force sensor, type Kistler 9311B, which has a mea-
suring accuracy of 0.01 N.
4.2.3.3 Combined Blanking and Deep Drawing
The continuous mass production of micro cups requires a forming tool that can both
cut and draw a foil. In a first step, the tool cuts the foil to a circular blank and in the
second step the circular blank is deep drawn to a micro cup [Hu10]. The tool is built
into a highly dynamic micro forming press [Sch08b]. This press with the integrated
tool can produce micro cups in high quantities with 200 strokes per minute. For the
progressive production, a feed system and sample reels are deployed for the feed of
the sample foils. Figure 4.3 shows the steps inside the tool [Flo14a].
First, the blank holder is open and the blank (red line) can be transported by the
feed system. Then the blank holder is closed and a pressure is applied on the blank
(step 2). The combined blanking and deep drawing die cuts a circular blank (step 3)
1 punch 2
blank
blank holder
blanking and
deep drawing
blank feed die blank holding
3 4
deep drawing 5 mm
blank holder
circular
blank
micro cup
blanking deep drawing
Flosky 2014 BIAS ID 180960
Fig. 4.3 Production steps in a combined blanking and deep drawing process
Table 4.1 Tool geometries Punch diameter 0.9 mm

for the combined blanking
Blanking diameter 1.7 mm
and deep drawing
Inner diameter of deep drawing die 1.0 mm
Drawing gap 0.075 mm
Die radius 0.15 mm
and in step 4 the deep drawing punch deforms the circular blank. This production
cycle is repeated until no micro cups can be produced any more. The tool
geometries are listed in Table 4.1.
To investigate the running-in behavior at the beginning of the process, ther-
mocouples are used and fixed in the tool [Flo14b]. The temperature is measured in
a process with 400 strokes per minute without workpiece. Due to a wrong posi-
tioning of the tool, friction occurs through the contact between tool and tool guide.
In the first 10 s, the temperature increases by 2 K and during the next 2 min there is
a further increase of 1 K. Without positioning errors, the temperature remains
almost constant and fluctuates with 0.5 K.
4 Tooling 141
4.2.3.4 Lateral Micro Upsetting
Wear measurements in long-term tests requires a tool, which includes a long

installation of the setup as well as expensive micro tools for only one test series.
Moreover, the punch force cannot be attributed to the wear behavior, as the punch
force is influenced by different parameters separately. Therefore, a method was
developed to investigate the wear behavior [Sev18]. A lateral micro upsetting is
used. The setup and process of the method is shown in Fig. 4.4. A punch penetrates
a wire with a defined forming depth and a measured forming force. Then the punch
reverses. As this is a progressive process, the wire is fed by a feed system so that the
punch can deform the wire in a continuous process with different strokes per
minute. To ensure that the forming process is reducible, the wire is fed through the
wire guide. Compared to the combined blanking and deep drawing process, the
lateral micro upsetting can be built simply and fast, the sample can be attributed for
each punch force, and the micro tools per test series are cheaper. This method is
used for the wear examination of different tool materials and coatings in a con-
tinuous dry forming process. Additionally, the tool geometry is measured by
negative reproduction in polyvinyl siloxane without dismounting the punch.
4.2.4 Measurement Methods
4.2.4.1 Confocal Microscope
An optical and contact-free 3D laser scanning microscope Keyence VK-X210 is

used for the recording of the tool state and surface measurements. The microscope
has a maximum total magnification of 24,000 with a measurement uncertainty of
1 nm. The pictures can be analyzed with the software VK-Analyzer.
Fig. 4.4 Principle of setup punch wire guide

and process of lateral micro
feed direction
upsetting
wire
counter plate
forming force FU punch width bSt
forming depth h
progressing edge
Schultz 2015 BIAS ID 152100
4.2.4.2 Negative Reproduction of Tool Geometry with Silicone
During the continuous micro cup production, the tool needs to be investigated for
any tool wear. Dismounting and mounting the blanking and deep drawing die takes
too much time and causes additional downtimes. Moreover, it could lead to unin-
tentional defects in the process. The tool wear could be influenced additionally by
wrong positioning when remounting the die. So a quality control without dis-
mounting and remounting is necessary [Flo15]. The negative reproduction with
polyvinyl siloxane offers a fast and simple investigation, of which an example is
shown in Fig. 4.5 [Flo15]. Compared to a dismounting and mounting (duration of
up to 1 h) this method takes only a few minutes.
On both microscopic pictures, there is the same tool pattern. Wear characteristics
like grooves, spalling and deformations are all reproduced and can be measured in the
negative reproduction with a confocal microscope. The red circle in the original picture
shows residues of the cleaning material. The forming accuracy of the silicone repro-
duction is proved by a nominal-actual comparison of the geometry between the original
tool and tool reproduction [Flo15]. Wear characteristics are measurable down to 1 μm,
but the roughness cannot be reproduced with this measurement method.
4.2.5 Materials
4.2.5.1 Workpieces
Aluminum EN AW-1050A (Al99.5), copper alloy Cu-ETP (E-Cu58) and stainless

steel 1.4301 were used as workpiece materials. For the reciprocating ball-on-plate
500 µm 500 µm
original (after 2100 cups) reproduction (after 2100 cups)
Fig. 4.5 Comparison between original tool (left) and tool reproduction (right)
4 Tooling 143
test, the plates were made of 1.4301. In micro deep drawing, circular blanks of
1.4301 with a thickness of 25 μm were deep drawn. The circular blanks were cut by
a nanosecond pulsed Nd:YAG laser with a wavelength of 1064 nm. In a combined
blanking and deep drawing process, foils of Al99.5, E-Cu58 and 1.4301
(s = 50 μm) were cut to circular blanks, which were deep drawn to micro cups. In
lateral micro upsetting, a 300 μm thick wire of 1.4301 was formed.
4.2.5.2 Tools
The tools in this work were made of conventional cold work steel 1.2379, Co–Cr
alloy Stellite 21, high-speed steel 1.3343, powder metallurgical high-speed steel
ASP23, hard metal MG30 and diamond. In the reciprocating ball-on-plate test, a
ball of 1.2379 was on the plate. In micro deep drawing, the deep drawing die was
made of 1.2379. Figure 4.6a shows a micro deep drawing die. Furthermore, a
diamond deep drawing die is used for dry experiments.
In a combined blanking and deep drawing process, both 1.2379 and Stellite 21
were used for the manufacturing of a combined blanking and deep drawing die (see
Fig. 4.6b). The blanking and deep drawing die of Stellite 21 was manufactured by
selective laser melting (SLM) [Flo16]. A CAD model of the tool is transformed into
a sliced model with a defined layer thickness and generated in a powder bed.
The SLM technology is near-net-shape, but the tool must be micro milled and micro
ground in a finishing process step. The advantage of the powder metallurgical
materials used is the homogeneous microstructure with fine carbides. The relative
density of Stellite 21 is above 99.95% and the hardness 38 HRC.
For the experiments in lateral micro upsetting, several materials can be used
because of the simple geometry of the punch. Punches of 1.2379, ASP23, HSS and
HM were manufactured.
(a) (b)
10 mm 5 mm
Seven 2018 BIAS ID 180969
Fig. 4.6 Micro deep drawing die (a) and combined blanking and deep drawing die (b)
4.2.5.3 Coatings
Coatings are a potential method to reduce tool wear. In the ball-on-plate test, the
plate of 1.2379 was modified with a DLC coating from Plasma-Consult (coating
type PlascoDur). The hardness of the coating was measured before the tribotest with
a Fischerscope H100VP XP from Fischer Types. The hardness of the DLC coating
reached a maximum of about 2000 HV at the indentation depth of about 0.2 μm
and decreased with further indentation down to 1400 HV at the indentation depth of
0.8 μm. This DLC coating was also used on a deep drawing die in micro deep
drawing tests (see Fig. 4.7a). Furthermore, a PVD coating of TiN was applied on a
deep drawing die and tested (Fig. 4.7b). For the lateral micro upsetting of the wire,
hard metal punches were coated with the materials AlCrN, TiSiN, TiN and AlTiN
(Fig. 4.7c).
4.2.6 Results
4.2.6.1 Characteristics of Tool Wear in Micro Deep Drawing
The tool life in the experiments is defined by the time micro cups within specifi-
cations are produced [Hu10]. For the experimental setup, the micro deep drawing is
used. Figure 4.8 shows the maximal punch force and the failure rate of the micro
cups depending on the number of experiments. The micro cups from the first 100
experiments have a failure rate of 0–20%, which might have resulted from the
non-uniform properties of the thin foil used. After the first 100 experiments, there is
a failure rate of 100%. The failures found are bottom tears and cup wall damage
(see Fig. 4.8). Bottom tears are a result of a too high punch force [Hu10]. Tool
wear causes higher friction, which leads to larger punch forces and bottom tears.
In the subsequent experiments, the worn area becomes smoother as a result of
adhesion between the blank and tool, while some other worn areas are much
worse [Hu10]. The result is a non-uniform distribution of friction along the forming
(a) (b) (c)
10 mm 10 mm 10 mm
Fig. 4.7 DLC (a)- and PVD (b)-coated micro deep drawing dies and PVD-coated punches for
lateral micro upsetting (c)
4 Tooling 145
Blank material 1.4301 bottom cup wall

Blank thickness 25 µm fracture damage
Punch diameter 1 mm
Punch radius 0.1 mm
Drawing radius 0.12 mm
Lubricant HBO 500 µm 500 µm
Punch velocity 1 mm/s
max. punch force

max. punch force
failure rate
failure rate
number of experiments
Hu 2011 BIAS ID 180963
Fig. 4.8 Maximal punch force and failure rate of micro cups depending on number of
experiments
zone. Thus, the circular blank is deep drawn non-uniformly into the die resulting in
micro cups with cup wall damages. Figure 4.8 shows an example of a micro cup
with cup wall damage. The maximum punch force of cups within specifications and
with wall damage is almost equal. Therefore, tool wear cannot be detected by a
change of punch forces and the tool life does not correlate with the maximum punch
force.
The abrasion and adhesion between the tool and workpiece strongly influence
the wear behavior. Therefore, the comparison of the tool wear is analyzed with a
confocal microscope before and after several deep drawing cycles [Hu10]. The
change of the roughness is visible in a before-and-after comparison and can be
measured optically with the confocal microscope. Moreover, residues of the blank
material on the draw radius caused by adhesion are measurable [Hu10]. Figure 4.9
shows the die radius of a micro deep drawing die with a residue of the circular
blank. The residue is shown with a scanning electron microscope and characterized
with an EDX analysis. The EDX analysis shows parts of Ni which are contained
only in the blank material 1.4301 (X5CrNi18-10) and not in the tool material
1.2379 (X153CrMoV12). These residues cause cup wall damage as the circular
blank is not properly deep drawn over the draw radius. Thus, the main wear
mechanism occurring on the draw radius is adhesion.
Ø 1.06 mm
100 mm
EDX analysis
of residue
20 µm
Hu 2011 BIAS ID 180964
Fig. 4.9 EDX analysis of a residue on the draw radius of the die
4.2.6.2 Wear Behavior of Combined Blanking and Deep Drawing Dies
Compared to the single tests in micro deep drawing, there is an additional blanking
of the foil in the combined blanking and deep drawing process. The blank is fed
from the sample reel to the tool. With this setup, the combined blanking and deep
drawing die produces micro cups with 200 strokes per minute.
In a continuous process with the lubricant Lubrimax Edel C from Steidle GmbH,
80,000 cups of Al99.5, 210,000 cups of 1.4301 and 300,000 cups of E-Cu58 could
be produced [Flo14a]. After these strokes the tools failed. Figure 4.10 shows
examples of the main characteristics of the wear behavior for the continuous
blanking and deep drawing process. On the left, there is the surface of a new
blanking and deep drawing tool. In the right picture, wear patterns are visible. The
outer diameter is clearly smaller as a result of abrasive wear. Due to a wrong
positioning of the tool, there is a bigger contact and stronger abrasion between the
tool and blank holder. Other defects are edge disruptions caused through surface
4 Tooling 147
decrease of outer diameter
1.7 mm
edge disruption
500 µm 500 µm
new tool tool after 300000 strokes
Punch diameter 0.9 mm Blank thickness 0.05 mm
Punch radius 0.12 mm Blank material E-Cu58
Drawing gap 0.075 mm Lubricant Lubrimax Edel C
Die radius 0.15 mm Tool material 1.2379 (63 HRC)
Fig. 4.10 New tool (left) and tool after 300,000 produced cups (right)
fatigue [Flo14a]. In cross-section, these tools show a high density of scattered pores
and carbides with sizes up to 35 μm [Flo13]. Carbides in this range act as notches
and can cause pitting and edge disruptions. For all tool material and workpiece
material combinations, similar wear mechanisms were identified.
Furthermore, different drawing ratios were used for the production of Al99.5
cups [Flo13], one tool with a 1.6 mm outer diameter (drawing ratio 1.78) and one
tool with an outer diameter of 1.7 mm (drawing ratio 1.89). The smaller tool
(1.6 mm ≙ 1.78) failed after 20,000 strokes and the larger one (1.7 ≙ 1.89) after
80,000 strokes. So the wear of a smaller tool is larger. The smaller the tool surface
the greater the influence of scattered carbides and pores [Flo13]. Moreover, a
smaller tool surface leads to a higher contact pressure, which causes a higher
dynamic stress. Related to the tool failure, it was observed that significant wear
occurred just on the blanking edge and not on the draw radius.
The given results show that continuous micro cup production in a combined
blanking and deep drawing is possible. The dominant wear mechanisms of the
blanking and deep drawing die are identified with the decrease of the outer diameter
through abrasion and edge disruptions on the blanking edge. The tool wear is
mainly dependent on the microstructure, as carbides and pores can lead to pitting
and edge disruptions. Compared to the failure mechanism in micro deep drawing,
the tool life does not end through adhesion on the die radius. In a combined
blanking and deep drawing process, the cup production is determined due to edge
disruptions on the blanking edge.
4.2.6.3 SLM Tool in Combined Blanking and Deep Drawing
Carbides and pores in big sizes act as metallographic notches resulting in edge
disruptions. The tool of the powder metallurgical material Stellite 21 generated by
SLM [Flo16] has a homogeneous structure with fine carbides. The relative density
of Stellite 21 is above 99.95% and the hardness is 38 HRC. In the following
long-term test, the workpiece material Al99.5 (s = 50 μm) is tested with the
lubricant Lubrimax Edel C and the same conditions as in Table 4.1. With the tool
material 1.2379, 80,000 micro cups were produced. Compared to this, a total of
231,000 micro cups could be produced with the SLM tool, which means an increase
of 290% [Flo16].
Figure 4.11 shows a comparison of the tool failures between the conventional
(1.2379) and the powder metallurgical (Stellite 21) tool [Flo16]. The hardness of
1.2379 (63 HRC) is higher than the hardness of Stellite 21 (38 HRC). The harder
material is more brittle, which is proved by the chippings on the blanking edge (red
circle, 1.2379). Due to the broken blanking edge, the circular blank is cut tilted by
the die. The tilted circular blank causes a micro cup failure as the tilted circular
blank cannot be deep drawn properly [Flo16]. The surface and the edge of the SLM
tool show some deformations. As Stellite 21 has a higher ductility and a fine
microstructure, there are no edge chippings. The influence of edge chippings on
1.2379 after
80000 cups
500 µm 300 µm
Stellite 21 after
231000 cups
500 µm 300 µm
Fig. 4.11 Comparison of tool failures between 1.2379 and Stellite 21

4 Tooling 149
tool life is greater than that of edge deformations because of the tilted cut of the
circular blanks [Flo16]. Accordingly, tool materials with fine and homogeneous
microstructures are required for the desired long tool life.
4.2.6.4 Dry Forming Processes
Coatings are a potential method to optimize the wear behavior. DLC and TiN
coatings were used to reduce friction and wear. In a reciprocating ball-on-plate test,
a sample of 1.2379 was tested with and without a DLC coating [Hu12] (see
Fig. 4.12).
The tests were carried out in dry conditions. The balls are made of 1.4301 with a
diameter of 10 mm. At a normal load of 5 N, the friction coefficient of the uncoated
sample increases after 100 s steeply from 0.3 to more than 0.7. The friction coef-
ficient for the DLC-coated sample is clearly lower with μ = 0.166. Moreover, no
damage due to the eggshell effect, cracks or spalling is observed on the DLC-coated
sample [Hu12].
This DLC coating was applied on a deep drawing die to investigate the appli-
cation in a dry micro deep drawing process. No damage on the produced micro cups
was detected [Hu12]. The punch force of the DLC-coated die was measured and
compared to a process with a lubricant and an uncoated die. In Fig. 4.13 the
average punch force over the punch stroke is shown for both processes [Hu12].
The punch force of a lubricated process with an uncoated die is higher than a dry
forming process with a DLC-coated die. Hence, the DLC coating can reduce the
friction between the blank and die better than a lubricant. A similar result was
achieved with a TiN-coated die, whereas the friction was higher than by a
DLC-coated die [Hu11a]. Moreover, a dry and lubricated forming process was
carried out with a TiN-coated die which reveals nearly no influence of the lubricant.
According to the results, the DLC and TiN coatings can be used for application on
micro deep drawing dies in dry forming processes. The punch force can be reduced
Process and geometry parameters

uncoated 1.2379
Movement Reciprocating
Counter ball 10 mm diameter
friction coefficient
Counter ball material X5CrNi18-10

DLC-coated 1.2379 Temperature Room temperature
Load 5N
Velocity 1 mm/s
Oscillation distance 5 mm
Lubricant None
time
Hu 2012 BIAS ID 180958
Fig. 4.12 Ball on plate test of uncoated and DLC-coated 1.2379

60
uncoated, Punch diameter 1 mm
N
lubricated Drawing radius 0.12 mm
punch force 40 Punch velocity 1 mm/s
30 DLC-coated, Drawing ratio 1.8
20 without lubricant Tool material 1.2379
10
Blank thickness 25 μm
Blank material 1.4301
0
Lubricant HBO
0 0.1 0.2 0.3 0.4 mm
0.5 0.6
Blank holder 1 N/mm2
punch stroke
pressure
Hu 2012 BIAS ID 180967
Fig. 4.13 Comparison of punch force versus punch stroke curves of micro deep drawing with
DLC-coated and uncoated tools
in a dry process with a coated die better than in a lubricated process with an
uncoated die.
Besides DLC- and TiN-coated deep drawing dies, a cubic diamond with the size
of 3.5 3.5 2 mm3 and a bore with 1 mm diameter (see Fig. 4.14b) are used as
tool material for single experiments in deep drawing [Vol15]. Figure 4.14a shows
the tool holder, in which the diamond is put and glued. The die radius is produced
by an ultrashort pulse laser. In Fig. 4.14c, a cup of 1.4301 is shown with a diameter
of 1 mm and a sheet thickness of 25 μm. The cup can be produced with the
diamond die without any cup failures. The advantages of diamond dies are the
material costs and the tribological properties.
Especially in the micro range, much less material is needed for the production of
tools. The disadvantage lies in the difficult manufacturing of diamond tools with
complex geometry due to the difficult processing of diamond.
Next to ball-on-plate and micro deep drawing tests, cups of Al99.5 were pro-
duced in a dry blanking and deep drawing process [Flo14]. The same conditions as
in Table 4.1 were applied with the tool material 1.2379 and a blank thickness of
(a) sharp-edged bore (c)

in diamond
(b) laser beam
1 mm before after
200 mm
bore in diamond with with diamond

holder diamond edge rounding produced cup
Fig. 4.14 Tool holder for diamond die (a), diamond die with laser-produced die radius (b) and
with diamond die produced cup (c)
4 Tooling 151
flakes
100 μm
Fig. 4.15 Area influenced by flakes (left) and flakes on the surface of the blanking and deep
drawing die (right)
50 μm. The result shows that micro cups can also be produced in a dry process, but
the tool failed after 30 cups. Flakes are formed through the blanking process and
get between the tool and blank holder (see Fig. 4.15, red line). Resulting from the
higher friction, the blanking forces increase so that bottom tears appear and the tool
fails. The flakes can be detected on the surface of the blanking and deep drawing die
with an EDX analysis. To investigate the wear in a continuous test without the
influence of flakes, the tool was cleaned with ethanol after every 10 micro cups.
4,300 micro cups were produced until tool failure [Flo14a]. Furthermore, obser-
vation of the quality of the dry formed micro cups indicates that there is no sig-
nificant difference compared to micro cups produced with lubricant.
The results show that coatings can be used for reducing the friction in a
ball-on-plate test and the punch force in micro deep drawing in dry conditions.
Micro cups can be produced in a dry forming process with and without coatings.
Due to the small tool size in the micro range, diamond tools are a cost-efficient
method for producing micro cups. In a combined blanking and deep drawing
process, a lubricant is necessary for the transport and removal of the flakes, as flakes
cause higher friction and bottom tears. Thus, the tool life in a dry combined
blanking and deep drawing process is mainly dependent on the removal of the
flakes.
4.2.6.5 Wear Behavior in Lateral Micro Upsetting
In lateral micro upsetting, long-term tests were carried out to examine the wear
behavior of several tool materials with and without coatings. The punches penetrate
a wire with a forming velocity of 18 mm/s and 350 strokes per minute. The tool
materials used are 1.2379, 1.3343, ASP23 and hard metal. Moreover, punches made
of hard metal were coated with the materials AlTiN, TiSiN, TiN and AlCrN in a
PVD process by Oerlikon Balzers. After 500,000 strokes, the tool wear was
measured with a confocal microscope and compared in Fig. 4.16.
140 1.2379 ASP23

120
μm
HSS HM
max. depth b
100
AlTiN TiN
80
60
TiSiN AlCrN
40 punch
20
0 a
0 50 100 150 μm 250 wire
200 b
max. width a
feed
Wire material 1.4301 Forming speed 18 mm/s
Wire diameter 300 μm Number of strokes 500000
Punch width 500 μm Strokes per minute 350
Forming depth 150 μm Substrate for PVD-coatings HM
Fig. 4.16 Tool wear of different tool materials with and without coating after 500,000 strokes
The quality of the tool materials correlates with the expected wear behavior.
1.2379, with a hardness of 780 HV and an inhomogeneous structure, shows the
highest tool wear after 500,000 strokes. ASP23 has a hardness of 880 HV and the
structure is more homogeneous and finer than the structure of 1.2379. In the micro
range, the quality of the structure is more important with a highly dynamic, per-
manent load (see Sect. 4.2.6.2). Thus, the tool wear of ASP23 is lower. Hard metal
has both a high hardness (1520 HV) and a fine structure, which results in lower tool
wear. The PVD-coated hard metal punches, due to the improved hardness (2300–
3500 HV), show the best wear behavior. In a comparison of the coated punches, it
was found that a surface with a higher roughness leads to higher tool wear.
Moreover, a high influence of the substrate is observed by testing a punch of HSS
(800 HV) with the coating AlTiN (3300 HV). The coating is damaged due to
eggshell effects, which leads to a strongly progressive wear and results in the
highest tool wear of the coated punches.
Analysis of the wire surfaces assumes that punch features are formed into the
wire while penetrating the wire. The hard metal punch after 500,000 strokes is
measured with a confocal microscope and compared to the wire surface of the
500,000th stroke (see Fig. 4.17).
On both surfaces, similar features as disruptions are visible. The yellow marked
line shows a disruption with a depth of 5 μm. The feature within the red square
contains a depth of 1 μm. As a result, by a penetration depth of 150 μm in lateral
micro upsetting, punch features up to 1 μm are reproduced on the formed wire.
Furthermore, the forming accuracy of the reproduction was determined by a
comparison between the height profiles of the tool and wire [Sev18]. The repro-
duction of the geometry allows the investigation of tool wear for each stroke. As a
4 Tooling 153
Tool material Hard metal
feed
feed
Wire material 1.4301
Wire diameter 300 μm
punch wire Forming velocity 18 mm/s
Penetration depth 150 μm
Number of strokes 500000
Strokes per minute 350
punch
100 μm 100 μm wire
>1x1μm >1μm deep >5μm wide >10μm long feed

Hartmann (Flosky) 2016 BIAS ID 180973
Fig. 4.17 Reproduction of punch features on wire surface in lateral upsetting
result, the tool wear can be tracked by the wire reproductions and the tool wear
history determined in lateral micro upsetting. Through the tool wear history, it is
possible to determine exactly when the wear occurred and exactly when the tool life
is ended. In Fig. 4.18, two reproductions on the wire through the AlTiN-coated
punch are shown in microscopic pictures.
The left wire reproduction belongs to the 200,000th stroke and the right one to
the 250,000th stroke. After 200,000 strokes, no tool wear on the surface or edge can
be measured, whereas after 250,000 strokes an edge disruption has occurred (see
Fig. 4.18, white arrow). Hence, the punch is used in this experiment up to
200,000 strokes without any tool wear. To identify the exact stroke when wear first
appears, the wire surface of each stroke has to be measured between the 200,000th
and 250,000th stroke.
The investigations showed that lateral micro upsetting is a potential method to
measure tool wear inline by using the analysis of wire reproductions. The tool
geometry is reproduced on the wire with a forming accuracy below 1.5 μm. Thus,
Tool material Hard metal

Wire material 1.4301
Wire diameter 300 μm
Forming velocity 18 mm/s
50μm Penetration depth 150 μm

40 Strokes per minute 350
30 PVD-coating AlTiN
20
punch
10
0 wire
50 μm 50 μm
wire after 200000th stroke wire after 250000th stroke feed
Fig. 4.18 Tool wear history of AlTiN-coated punch in lateral upsetting

the tool wear history can be analyzed by every wire reproduction of each stroke,
which allows the exact determination of the tool life. Furthermore, there are several
advantages of measuring tool wear by analyzing the formed product instead of
analyzing the tool itself. No stopping of the production is necessary, which leads to
reduced downtimes, the accessibility on the formed product is better, and no
positioning errors occur from dismounting and remounting the tool.
4 Tooling 155
4.3 Controlled and Scalable Laser Chemical Removal

for the Manufacturing of Micro Forming Tools
Hamza Messaoudi*, Merlin Mikulewitsch, Andreas Fischer,

Gert Goch and Frank Vollertsen
Abstract Laser chemical machining (LCM) is a promising micro processing

method that is based on laser-induced thermal activation of anodic material dis-
solution and enables a gentle and selective micro structuring of metallic materials.
However, profound understanding of the removal mechanisms as well as com-
parative studies with competing processes regarding quality and efficiency are still
required to use this process, not only for 2D cutting but also for 3D removal and to
further widen the industrial acceptance of the LCM process. For this reason, an
analytical modeling to calculate the temperature distribution at the workpiece
surface is developed. The spatial correlation with the resulting removal geometry
makes it possible to determine the limit temperatures for a disturbance-free regime,
as well as the boiling-related gas bubble formation and adhesion as the main cause
for the occurring removal disturbances. Moreover, a closed-loop quality control
based on inverse process models and an adaptive controller is designed to com-
pensate the deviations of quality features of single or sequences of removals. Using
post-production measurements, it is shown that the desired geometry can be
achieved with shape deviations of 2.4 lm within only 3 pre-production steps.
Furthermore, comparison of the machining quality with micro milling reveals that
the LCM process is characterized by a high dimensional accuracy and sharp edge
radii (11.2 ± 1.3 lm) especially for structure sizes <200 lm. Besides, additional
examples of LCM-manufactured micro forming tools in different materials are
presented to prove the process flexibility and diversity. Thereby, the achieved
removal velocities in LCM of up to 1.25 mm/min in self-passivating metals are
found to be comparable with those obtained in electrochemical machining.
Keywords Laser micro machining ∙ Predictive model ∙ Quality
4.3.1 Process Fundamentals
Laser irradiation is used in laser chemical machining as a localized and selective

heat source that can induce a suitable thermal impact for the activation of a
heterogeneous chemical reaction between a liquid environment and a metallic
surface, and results in an anodic metal dissolution under the formation of hydrogen
and water-soluble metallic salts following the chemical reaction [Bae11]:
Me þ 2H þ ! Me2 þ þ H2 " ð4:1Þ
In LCM, the laser-induced heat impact can induce or enhance reactions at the
metal-liquid interface via changes in the electrochemical Nernst potential. The
locally induced temperature gradients result in the generation of a thermobattery,
allowing a current flow within the metal between the center of the incident laser
light and its periphery. Despite the low generated electromotive forces (some 0.1 V
for a temperature rise of 100 K), the electric field strengths are very high due to the
small battery dimensions [Bae11]. Thus, self-passivating metals lose their natural
passivation property, allowing then the dissolution of the base material [Ste10].
Within the LCM process the laser-induced temperatures define both the proton
activity within the redox reaction and the electrochemical potential at the workpiece
surface [But03]. It is therefore evident that certain threshold temperatures are
required in order to realize a material removal above the background etching rate
(<10−8 μm/s) [Now96]. Thereby, the laser-induced temperatures depend on dif-
ferent factors that include the laser, material and electrolyte parameters, as illus-
trated in Fig. 4.19.
Beside the temperature, the electrochemical potential also depends on the
chemical activity of the dissolved metal ions and on the mass transport limitation
[Ste10]. The latter mainly determines the removal speed within the aqueous elec-
trolytes. Further, the convective flow also represents an important factor by
determining the transport of reaction products as well as the provision and exchange
of reactants. Increased convection can enhance the reaction rates by several orders
of magnitude. At high laser intensities, electrolyte boiling can occur, resulting in the
Fig. 4.19 Schematic

illustration of the relevant LASER MATERIAL
parameters and the dominant
induced factors in laser beam profile thermophys.
chemical machining +chemical
wavelength properties
laser
thickness
power
irradiation surface
duration quality
spot size
type viscosity
concentration flow velocity

laser light absorption
ELECTROLYTE
Messaoudi 2018 BIAS ID 180628
4 Tooling 157
(a) (b)
laser beam laser beam
reaction gas flow reaction gas light (total)
bubbles direction bubbles reflection
boiling-caused
bubble
workpiece workpiece heat conduction

Messaoudi/Mehrafsun 2018 BIAS ID 180629
Fig. 4.20 LCM process with a disturbance-free removal and b disturbed removal caused by
adhering boiling-related gas bubble
formation of vapor gas bubbles. In addition to Yavas et al. [Yav94], it has been
reported that the bubbles formed result in removal disturbances that impede the
controllability of the LCM process [Meh13]. Figure 4.20 shows a schematic
illustration of the effect of adhering boiling gas bubbles on the LCM process.
Depending on its size and dynamics, the bubble affects the amount and distribution
of the deposited laser energy differently. It can shield the workpiece surface against
the electrolyte, resulting in a reduced material dissolution reaction [Mes17a] and in
the deposition of metallic salts and oxides [Eck17a]. However, the thermal impact
due to the laser-workpiece interaction results in a lateral heat conduction towards
the periphery, which explains partially the W-like removal profile. With increasing
gas bubble size, the effect of light (total) reflection is assumed to increase too due to
the transition from an optically dense medium (electrolyte) into an optically thinner
medium (gaseous volume of gas bubble). The adhering bubble can act like a
scattering center and deflect a part of the incoming laser beam to its periphery (light
deflection effect). While the shielding effect results in a reduced removal depth and
the deposition of metal salts and oxides, the light reflections lead to a broadening or
a dislocation of the removal cavity [Meh18].
4.3.2 LCM Machines Concepts
Depending on the production requirements, two LCM process variants are used.
For micro tool fabrication and deep structuring, the electrolyte-jet based LCM
(JLCM) method using a coaxial electrolyte jet-stream with respect to the laser beam
is suitable (Fig. 4.21). The etchant jet–stream provides a fast exchange of reactants
which is assumed to enhance the removal rates. The feed velocity vfeed of the
workpiece is controlled by an xyz-linear stage that allows the workpiece to be
adjusted with respect to the focal position [Meh13].
laser mirror
focusing lens
inverse
beam expander protective
glass
chemical cell
nozzle
pump electrolyte
Z workpiece
X
x-y-z-linear
Y stage system
Hauser (Messaoudi) 2016 BIAS ID 160913
Fig. 4.21 Schematic illustration of the main components of the electrolyte-jet based LCM
machine (JLCM)
inverse beam
expander galvano-
scanner
CCD
F-Theta
power- objective
meter
protective
glass
beam
attenuator chemical
cell
workpiece
laser
pump
Messaoudi (Eckert) 2018 BIAS ID 180630
Fig. 4.22 Schematic illustration of the main components of the scanner-based LCM machine
(SLCM)
For surface finishing and texturing, the scanner-based LCM (SLCM) can be
applied, as depicted in Fig. 4.22 [Eck17a]. This is based on a closed process cell
and a scanner system and allows flexible and safe machining of the metallic
workpiece surface. In comparison to the JLCM setup, the workpiece is mounted in
an etching chamber, where the electrolyte is pumped as a cross-jet through a
25 mm 2 mm cross-section with a maximum velocity vflow of 2 m/s.
One of the key challenges in laser chemical processing is to ensure a controllable
and homogeneous laser energy deposition on the workpiece, considering the
4 Tooling 159
propagation throughout the aqueous etchant environment. In both concepts, fiber

lasers emitting continuous-wave (cw) laser irradiation at a wavelength of
k = 1080 nm were used. The focus diameter dspot of the incident laser beam can be
varied between 24 and 74 lm in the JLCM machine and between 30.5 and 110 μm
in SLCM using a flexible setting on an inversely positioned beam expander.
4.3.3 Influence of the Process Parameters on the Material

Removal
4.3.3.1 Influence of the Electrolyte
The electrolyte is a decisive factor for the material dissolution reaction. Often,
aqueous acid solutions such as phosphoric (H3PO4) and sulfuric (H2SO4) acids are
used as electrolyte media. These ensure the highest efficiency, as was demonstrated
by Nowak et al. [Now96] and Stephen et al. [Ste11]. However, more environ-
mentally friendly electrolytes such as sodium chloride (NaCl) and sodium nitrate
(NaNO3) solutions were tested and compared with the acidic solutions [Hau15a].
The results will be discussed in more detail in Sect. 4.4.
Beside the nature and concentration of the electrolyte, the flow velocity vflow and
the wavelength-dependent transmission coefficient sE also represent important
parameters in laser chemical removal. On the one hand, it was demonstrated that the
increase of electrolyte feed rate from 0.5 to 20 m/s improves the aspect ratio (depth/
width) in dependence on the laser power by factors up to 5 due to the ever nar-
rowing cavities with the feed rate [Ste11]. On the other hand, the transmission
coefficient of the electrolyte is mainly determined by the length of laser light
propagation through the electrolyte [Mes14]. For example, the transmission coef-
ficient sE decreases from 96 to 55% when the propagation path through a 5 molar
phosphoric acid solution increases from 2 to 50 mm.
4.3.3.2 Influence of the Material
With respect to the electrolyte solution, the self-passivation of the material used is
usually required in laser chemical machining. In many works, a wide range of
materials has been determined to be well machinable. These included titanium
[Hau15a], memory shape alloys (e.g. nickel-titanium alloys) [Ste10], stainless steel
[Now96] and cobalt-chromium alloys (Stellite 21) [Mes17b].
Thereby, the amount and quality of the material dissolution is dependent on the
chemical reactivity of the material elements. In [Hau15a] it was shown that the
LCM of titanium in a 5 molar H3PO4 results in up to 39% higher removal rates and
up to 30% deeper cavities in comparison with Stellite 21. This can be explained by
the higher electronegativities of cobalt (63%) and chromium (25%), as the main
elements in Stellite 21, in comparison with that of titanium. Higher electronega-

tivity impedes the tendency to release electrons and thereby slows down the speed
of the chemical reaction.
Moreover, the formation of gas bubbles, which could be related to the chemical
reaction and to the electrolyte boiling, is on the one hand dependent on the material
used and on the other hand exerts a significant influence on the machining quality
[Meh16b]. For example, the machining of titanium in phosphoric acid solution was
found to be much more vulnerable to removal disturbances compared with that of
stainless steel [Meh18]. This confirms also the experimental observation in
[Meh16b], in which records of the interaction zone in both materials revealed
higher gas bubble activity in titanium than in stainless steel. This can be traced back
in part to the smaller size of the gas bubbles formed in stainless steel due to the
higher atomic number of iron (zFe < zTi) [Qia14]. In addition, the adhesive
Van-der-Waals force considering equal bubble size is lower in stainless steel than in
titanium due to the lower related atom radius (rFe < rTi) [Bob08]. Both the lower
gas bubble sizes and Van-der-Waals force explain the reduced shielding effect in
stainless steel in comparison with titanium.
The machining of tool steels without a self-passivation layer was investigated in
[Mes18a]. There, the background etching rates in high-speed steels (HSS) were
determined within phosphoric and sulfuric acid solutions in dependence on the
cobalt contents (8–12%), interaction time and electrolyte temperature. As depicted
in Fig. 4.23, the highest background etching rates amount to 0.135 μm/s at an
electrolyte temperature of 60 °C after an interaction time of 1 h. Their continuous
50
µm/s laser power PL:
40 . W
0,8 . W
1,0
1,2
· W 1,4
· W
removal velocity
35
30
25 at: 20 °C 40 °C 60 °C
20 1
etching velocity
15
Background
10 µm
5 s
0 10-2
0 1 2 3 s 6
4 sek
interaction time 10-3
1 2 3 hrs 24
material: HSS-Co 10 interaction time
electrolyte: H3PO4 laser: cw – fiber

concentration 5 mol/l λ 1080 nm
flow velocity 600 ml/min dspot 25 µm
Brand (Messaoudi) 2018 BIAS ID 180631
Fig. 4.23 Comparison between the LCM removal velocities and the background etching velocity
of high-speed tool HS10-4-3-10 in 5 molar H3PO4 solution in dependence on the interaction time
4 Tooling 161
increase at room temperature can be explained by an enhanced electrochemical

potential due to the increased amount of metallic salts in the electrolyte solution and
the availability of enough reactants. However, the background etching tends to get
saturated at higher temperatures due to the fast consumption of reactants. In con-
trast, the laser-induced chemical machining results in a dependence on the
parameters used in removal rates up to 50 μm/s. This provides evidence of the
possible machinability of non-self-passivating metals without an external voltage
supply and under consideration of the limited machining. Examples of laser
chemically fabricated micro tools from HS10-4-3-10 are shown in Sect. 4.3.5.2.
4.3.3.3 Influence of the Laser Parameters
In previous works, the LCM of thin metallic foils was performed with an Ar+-laser
(wavelength of 514 nm) [Now96] and a Nd:YAG-laser (wavelength of 1064 nm)
[Ste11] in several metallic materials. Although different absorption coefficients,
laser spot sizes and laser powers, the removal results show a strong dependence on
the effective absorbed laser power Pabs as well as a negligible influence of the laser
wavelength. The material removal is found to be scalable with the laser power PL
and the spot size dspot following the quotient PL/dspot [Mes17a]. Thereby, the
disturbance-free removal in different materials such as titanium, stainless steel or
cobalt-chromium alloys within a 5 molar phosphoric acid environment was ensured
at PL/dspot between 20 and 50 mW/μm. The laser chemical machining of
self-passivating metals takes place when a certain threshold laser power is applied.
This was determined to be between 0.6 W and 0.7 W for LCM of titanium and
stainless steel in a 5 molar phosphoric acid solution with a laser spot size of 30 μm
[Mes17a]. Once the material dissolution is initiated, the material removal increases
linearly in width and depth with the laser power. This is characteristic of a
disturbance-free removal, which is labeled by a bell-like profile. A further increase
of the laser power (over the electrolyte boiling point) results in removal distur-
bances [Meh13]. These are characterized by cross-sectional W-like or curved zig-
zag 2D removal profiles, which are related first to the electrolyte boiling and second
to the insufficient transport of reaction products, as well as the exchange of new
reactants. Although reducing the processing quality, the removal rates in general
continue to increase with the laser power [Ste11].
In addition, the feed velocity is also a key parameter in LCM process. Without
consideration of the removal quality, it was shown that the removal depth decreases
exponentially with the feed velocity [Ste09a]. Based on this, only feed velocities
of <40 μm/s are used during the JLCM process [Ste09a]. In contrast, a single scan
with feed velocities >100 μm/s leads, at suitable laser powers, to a non-visible
material modification at the workpiece surface. However, the roughness peaks at
the surface are chemically attacked and slightly removed. This is shown in
[Eck17b], where a reduction of the surface roughness in titanium was achieved after
some 10 scan repetitions with a feed velocity vfeed = 2 mm/s. Thus, surface fin-
ishing can be realized with the combination of higher feed velocities and
multi-scans. It has to be mentioned that an areal mean roughness Sa of about

0.1 μm could be achieved when first the roughness peaks were removed and
subsequently the remaining isolated surface valleys were leveled. This usually
necessitates a removal depth of some 10 μm, depending on the initial surface
roughness [Eck18].
Furthermore, the influence of lateral overlapping should be considered for
large-area LCM. Hauser et al. [Hau15] have shown that constant absorption con-
ditions can be presumed only for the first removal path. Due to the changed surface
topography, the removal in the following path is different. Enhanced absorption due
to multi-reflections on the inner walls of the first path as well as higher electrolyte
dynamics result in deeper removal in the subsequent path. Moreover, the suitable
lateral overlapping is found to be dependent on the removal width of a single path
and on the material used [Mes18a]. Due to the Gaussian laser beam profile, the
roughness Sa at the cavity ground is usually >2 μm [Mes17b]. This makes a
subsequent finishing step necessary. Therefore, a two-step strategy with a roughing
step based on single scans with velocities <40 μm/s and a finishing step based on
multi-scans with feed velocities >50 μm/s is assumed to be the expedient approach
[Mes18]. The results hereof are discussed in Sect. 4.3.5.
4.3.4 Strategies Towards a Controllable Laser Chemical

Machining
4.3.4.1 Modeling of Laser-Induced Temperature Fields
Model Assumptions
As shown in Fig. 4.19, the laser-induced temperature field is dependent on different
influence factors and is the subject of a complex interaction (chemically, physically
and flow dynamics). To better understand the interrelations occurring, it is essential
to precisely determine the induced surface temperature distribution. Therefore, the
following assumptions were made in [Mes17a]:
– The laser beam is a TEM00-mode with a Gaussian intensity distribution.

– The workpiece is moving with a constant speed vfeed in the x-direction.
– The material is assumed to be isotropic with temperature-independent proper-
ties. Moreover, phase changes, such as melting, are excluded.
– The effectively absorbed laser power Pabs = PLsEaabs, where PL is the incident
laser power, sE the electrolyte transmission coefficient and aabs the absorption
coefficient of the metallic material.
– Heat transfer into the etchant solution is considered through constant heat
transfer coefficients H of the electrolyte.
4 Tooling 163
Model Description
The thermal model developed is described in detail in [Mes17a]. It is based on the
solution of the dimensionless heat equation W(X, Y, 0, s) using a Green-function
approach and provides the following description of surface temperature rise T(x, y, 0, t):
Zs ðXl/Þ2 þ Y 2
PL aabs sE 1 a
T¼ pffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi e 1 þ 4/ d/
4p j l 1 þ 4/ ða 1Þ pa / þ pa2 / þ a2
2
0
Zs ðXl/Þ2 þ Y 2
PL aabs sE 1
h e 1 þ 4/
4p j l 1 þ 4/
0
Z1
a
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi
Z0 Z0
0 ða 1Þ p 4/ þ H2 / þ HZ 0 þ p 4/ þ H2 / þ HZ 0 þ a2
Z0 2 0
e 4/ eaZ dZ 0 d/
ð4:2Þ
Thereby, the first term in Eq. 4.2 represents the lossless heat equation, whereas
the second one includes the heat losses when considering heat transfer into the
electrolyte (i.e. H > 0). The list of the symbols used is illustrated in Table 4.4.
Modeling Results
On the example of machining titanium (3.7024) and stainless steel (AISI304) in a
5 molar phosphoric acid environment, the surface temperatures were calculated
depending on laser power PL and feed velocity vfeed. The main process parameters
and the properties of the materials and electrolyte used are listed in Table 4.2.
Influence of Laser Parameters:
As described in Eq. 4.2, the induced surface temperature is proportional to the applied
laser power. Thus, the surface temperatures increase linearly with the laser power.
Moreover, it is found that the temperature rise becomes faster when the laser spot
diameter is increased. At a power density of 50 kW/cm2, the peak temperatures
achieved in titanium amount to 51 °C, 88 °C and 130 °C with spot diameters of
30.5 μm, 68 μm and 109 μm, respectively [Mes17a]. This indicates that the laser
intensity (PL/(0.25pd2spot)) cannot be taken as a reference parameter. Instead, laser
chemical machining is governed by a two-dimensional heating process that follows
the quotient PL/dspot. This indicates that the surface temperature is one determinant
factor in the LCM process. Regardless of the laser spot diameter, the thermal evolution
of the LCM removal is unique for a defined electrolyte-metal combination [Mes17a].
Influence of Feed Velocity:
The thermal modeling reveals that the induced temperature fields with feed
velocities up to some cm/s can be treated as quasi-static and quasi-symmetric.
Table 4.2 List of process parameters used for both modeling and experimental investigation
Properties Unit Value
Titanium (3.7024) Thermal diffusivity D m²/s 6.810−6
Thermal conductivity j W/(mK) 21
Absorption coeff. at NIR aabs – 0.4
Stainless steel (AISI304) Thermal diffusivity D m²/s 410−6
Thermal conductivity j W/(mK) 15
Absorption coeff. at NIR aabs – 0.35
Laser beam Wavelength k nm 1080
Focus spot diameter dspot μm 30.5
Feed velocity vfeed μm/s 10 … 200
Laser power PL W 0.5 … 2.5
Phosphoric acid (H3PO4) Concentration C mol/l 2.5, 5, 7.5
Boiling temperature TBoiling °C 104
Flow speed vflow m/s 2
Transmission coefficient sE – 0.96
Heat transfer coefficient H W/(m²K) 3103 (T < 90 °C)
5104 (T > 90 °C)
In this velocity range, no significant influence either on the temperature rise or on

the shape could be observed. Starting at velocities >10 cm/s, the temperature dis-
tribution becomes asymmetric. Here, it is observed that the temperature rise (for
x > 0) is faster than the temperature decay (for x < 0). Moreover, the peak tem-
perature decreases with the feed velocity and is located farther and farther behind
the center of the passing laser beam at x < 0.
Influence of Material:
The comparison of material-related energy conversion indicates that, despite similar
absorption coefficients, the heat impact in titanium is lower than in stainless steel
due to the higher thermal conductivity (jtitanium > jsteel). Moreover, the difference
in the peak temperatures achieved augments with either increasing the laser power
or reducing the feed velocity.
Influence of Electrolyte:
In the thermal modeling the influence of the electrolyte is considered through the
transmission coefficient sE and the heat transfer coefficient H. For the definition of
the heat transfer coefficients, the water flow in a micro pipe was chosen as a
reference case due to the micro range of the interaction area (dspot < 110 μm).
Depending on the electrolyte temperature, two different heat transfer coefficients H
were defined [Whi11]:
– H = 50,000 W/(m2K) for the case of water boiling. It was applied for temper-
ature distributions with Tmodel,peak > 90 °C. De Silva et al. [Sil11b] have shown
that the risk of electrolyte boiling is extremely enhanced starting at 90 °C.
4 Tooling 165
– H = 3,000 W/(m2K) representing an enforced convection within a moderate

water flow. This value was applied for temperature distributions with
Tmodel,peak < 90 °C.
The modeling results in [Mes17a] show that the heat transfer into the electrolyte
during the LCM can be neglected for surface temperatures between 20 and 200 °C.
The calculated thermal losses in titanium were between 1.5 and 3 K with dspot =
30.5 μm and between 4 and 10 K with dspot = 109 μm.
Experimental Validation
Limit Temperatures for a Disturbance-Free Removal:

A spatial correlation of the temperature distribution with the removal profiles of the
machined cavities, as depicted in Fig. 4.24, can be used to define the process
characteristics. Thereby, the temperature at the distance wrem/2 (half of the removal
width) corresponds to the lower limit temperature TR,min, at which the laser
chemical machining is initiated. Moreover, the temperature at the maximum
obtained depth (T(x=depth,max)) represents the upper limit temperature TR,max. In
comparison with the temperature at the center position (T(x=0)), it can be stated that
the removal is disturbance-free as long as TR,max = T(x=0). In contrast, a removal
disturbance can be presumed if TR,max < T(x=0), because the maximum removal
depth is shifted from the center position x = 0 to the periphery [Mes17a].
regime I: regime II: regime III:

no removal disturbance-free disturbed removal
removal
height profile
5 5 wrem 5 wrem
0 0 0
µm µm µm
-10 -10 -10
x0 x0 x0
°C TR,max °C TR,max °C TR,max

temperature
surface
TR,min TR,min TR,min
20 20 20
x0 x0 x0
distance from x0 distance from x0 distance from x0
legend: x(wrem/2) TR,min

xdrem,max TR,max
Fig. 4.24 Schematic illustration of the spatial correlation between removal profile and
temperature distribution at the workpiece surface
Figure 4.25 shows the LCM limit temperatures TR,min and TR,max determined for
titanium and stainless steel in a 5 molar H3PO4-environment. Within the identified
disturbance-free regimes it is found that the lower limit temperature TR,min amounts
on average to 65 °C ± 5 °C in titanium and 59 °C ± 4 °C in stainless steel.
Further, it is observed that the removal width within the disturbed removal regime
becomes broader and correlates with lower temperatures down to 47 °C, especially
in titanium, which can be explained by light deflection occurring on adhering gas
bubbles in titanium (see Fig. 4.20). This additional heat impact, which is not
included in the thermal modeling, leads to a broadening of the removal cavity and
to a shift of the limit temperature TR,min.
The upper limit temperature TR,max that is defined to be located at the maximum
depth is compared with the temperature T(x=0). There, it is observed that TR,max is
equal to T(x=0) within the disturbance-free removal (between 0.75 W and 1 W for
stainless steel titanium

150 150
°C °C
limit temperature
90 90
60 60
30 30
20 50 100 150 200 °C 300 20 50 100 150 °C 250
300 250
°C °C
limit temperature
200
150
150
100
100
50 50
500 100 150

100 1 0 200
200 2°C0 300
30 0
50 100
100 1 0
150 200
°C 2
250
peak temperature T(x=0) peak temperature T(x=0)
0 0.5 1 1.5 W 2.5 0 0.5 1 1.5 W 2.5
laser power laser power
feed velocity vfeed: 5 µm/s 30 µm/s 100 µm/s
laser: electrolyte:
l 1080 nm type H3PO4 (5mol/l)
dspot 30.5 µm τE 0.96
Fig. 4.25 Correlated limit temperatures TR,min and TR,max the laser chemical removal of titanium
and stainless steel in a 5 molar phosphoric acid solution; for temperatures >150 °C the influence
of adhering gas bubbles is not considered
4 Tooling 167
stainless steel and 0.75 W and 1.25 W for titanium), which means that the maxi-
mum depth is located at the center of the incident laser beam. In contrast, the two
materials reveal different behaviors when removal disturbances occur. In titanium it
is observed that TR,max < T(x=0) at induced temperatures T(x=0) > 145 °C, which
corresponds to the transition boiling regime and indicates a W-like removal profile
with a shift of the maximum removal away from the center.
In contrast, the first deviations from T(x=0) are observed in stainless steel starting
with temperatures >150 °C. However, TR,max remains located close to the center
position x = 0 up to higher laser powers of 2 W. Thereby, TR,max decreases with the
increased feed velocity. At a laser power of 2.5 W TR,max-values of 272.5, 245.5
and 197.5 °C were determined at feed velocities of 5 μm/s, 30 μm/s and 100 μm/s,
respectively. These high temperatures are assumed to be related to a lower influence
of electrolyte boiling at the surface of stainless steel, as described in Sect. 4.3.3.2.
In general, it can be summarized that the induced temperature distribution
determines the interaction area and thereby the removal zone, as seen from the fact
that the removal widths remain constant. In contrast, the removal evolution into the
material, represented by the removal depth, is mainly determined by the interaction
time, which is inversely proportional to the feed velocity and can be described as:
spot size dspot ½lm

interaction time tinter ½s ¼ ð4:3Þ
feed velocity vfeed ½lm=s
As demonstrated in [Meh18], the removal depth increases following a nearly

exponential function with the rising interaction time (i.e. it decreases exponentially
with the feed velocity). However, the removal velocity shows a different behavior.
For self-passivating materials, the highest removal velocities are obtained at
interaction times around 1 s. This will be discussed in more detail in Sect. 4.3.6.
Furthermore, it has to be noticed that the increase in removal depth slows down and
tends to be saturated independent of the interaction time at induced surface tem-
peratures >140 °C, which is characteristic of the beginning of film boiling e.g. gas
bubbles adhering on the metal surface.
4.3.4.2 Quality Control System for Laser Chemical Machining
Factors such as laser-energy absorption dynamics, heat accumulation, chemical

reactions, and hydrodynamic transport phenomena cause various disturbances
during the material removal process of laser chemical machining (LCM) [Zha15].
In order to achieve competitive shape and surface quality in applications such as
rectangular micro-forming dies, where the produced bottom surface requires a
certain flatness and roughness, control of the workpiece manufacturing is impera-
tive. The design and application of a high quality control scheme for the LCM
application are presented in this section.
Control Specifications
The aim of LCM quality control is to govern the geometry of a single removal path
as well as the workpiece geometry produced by multiple removals. Thus, a
cross-path control is required for the entire process chain. Considering the geometry
G of the workpiece as the superposition of multiple removal paths, it is difficult to
achieve direct control of the workpiece quality features by adjusting all the process
input parameters from every removal path, because of the many degrees of freedom
and the non-linear process behavior.
In order to reduce the degrees of freedom, only the shape parameters A of every
path j = 1, …, Npath are varied in the control loops. The shape parameters of Npath
paths are gathered as the control variables A = (a1, …, aNpath) and the process input
parameters of multiple paths as the actuating variables U = (u1, …, uNpath).
The general cross-process quality control concept shown in Fig. 4.26 has already
been successfully applied in different process chains, such as a bearing ring pro-
duction process chain [Zha12]. An inverse process model and a process chain
prediction present the basis of the feed-forward control. For this purpose, the shape
parameters of the single removal and the geometry of the workpiece are charac-
terized and a mathematical model is derived to describe the relationship between the
shape and the process input parameters. Both are combined with optimization
algorithms to realize an inverse model and a process chain prediction based on
artificial neural networks (ANN).
The feedback loop consists of a post-production measurement, an observer for
rebuilding the control variables from the measurements, and an adaptive P-controller
to achieve stability over the entire operating range of the LCM process. It should be
noted that the quality control for LCM was implemented production-discrete,
because the development of an in situ measurement technique is still the focus of
Pseudo-linear
controlled process
Path plan Inverse
process model
Simulation Discrete
I-controller Model of LCM
of process
- with adaptive single process
chain
gain K removal
Optimization Optimization Interactions
between
Observer paths
Simulation of
process chain 3D-laser scanning
microscope
Optimization
Fig. 4.26 LCM quality control concept with path plan, controller, inverse process model and
observer
4 Tooling 169
ongoing research [Mik17]. Production-discrete in this context means that the control
loop is closed by post-production measurements with a confocal microscope after
each production iteration i = 1, …,Nprod. With this control loop, the process
parameters are continuously optimized for the subsequent productions.
The challenges to be faced by this control concept are as follows:
• The LCM process is a multi-inputs-multi-outputs (MIMO) system.
• The interactions between overlapping removal paths are complex and partly
unknown.
• The relationship between the process input parameters (actuating variables U)
and the shape parameters of one removal (control variables A) are non-linear
and can cover a broad range.
Cross-Path Interactions:
Due to the effective thermal energy distribution, the removal cross-section of the
processed geometry is assumed as a superposition of single Gaussian curves.
However, the angle-dependent laser energy absorption as well as the thermal and
hydrodynamic condition can lead to a reduced removal rate at a sloped surface
(flank), compared to a flat surface. Hence, a cavity produced by a simple over-
lapping of single paths does not necessarily meet the predicted geometry.
Figure 4.27 shows a measured cavity cross-section (black curve) of two overlap-
ping removal paths produced by identical process parameters with a center position
distance xd of 50 μm [Zha15]. The cavity cross-sections produced are measured by
a confocal scanning microscope and show a distinctive deviation from the removal
cross-section predicted by a process chain simulation with overlapping removal
paths.
Removal in parallel direction Removal in opposite direction

(a) (b)
xd = 50 µm xd = 70 µm
7W
6 µm/s
500 ml/min
Path 1 Path 2
Path 1 Path 2
Fig. 4.27 Angle-dependent flank effect: Measured cross-section (black) and superposition (gray)
of the Gaussian approximated removal paths with a distance xd of 50 and 70 μm as well as the
simulated prediction without consideration of the flank angle (dashed)
To produce a flexible geometry, an optimal combination of overlapping removal

paths is calculated by minimizing the deviation in the z direction between the
cross-section of the desired geometry GT and the superposition GS of the approx-
imated individual Gaussian curves, considering the influence of the flank angle or
the center position distance by a functional dependence. In this way, the path
planning acts as a cross-process quality controller. Within the path planning, the
flank effect is compensated by adjusting the quality features, the Gaussian form
variables, in the removal depth and width.
Adaptive Gain Controller:
According to the calculated shape deviations of every path in the previous pro-
duction, the process parameters for the subsequent production are adapted by the
quality controller. A P-controller with proportional gain Kp is the simplest solution
for this MIMO control system that is able to cope with the non-linear behavior of
the LCM process. Thereby, an appropriate gain is based on a compromise between
control speed and stability, as a low value of Kp normally results in a stable system,
but a slow control speed. The use of a controller with a constant gain factor Kp for
the LCM process has revealed that the stability and a satisfactory control speed
could not be ensured simultaneously in the whole operating area. For this reason, an
adaptive controller with the gain Kp(i), was designed considering the previous set
value of the shape parameters Atheo(i − 1) and the measured shape parameters
Ameas(i − 1). This adaptive controller was verified by a simulated production
shown in Fig. 4.28 and reveals a stable and fast control.
Experimental Validation
The quality control concept developed was validated by producing a micro forming
tool having a rectangular shape (500 200 100) μm3 that needs a processing
Fig. 4.28 Verification of the

Removal width a1 in µm
controller with a single path

production. The set values of
the shape parameters are
a1 = 60 μm and a2 = 50 lm.
The process chain simulation
is applied
with adaptive
with constant
desired value
Removal width a2 in µm
Number of production
4 Tooling 171
time of about 5 min. The quality features characterized were the removal depth drem
(based on the arithmetic mean of the measured depths zm at the positions xm) as well
as the cross-sectional straightness S of the produced bottom surface (with heuris-
tically defined boundaries). The straightness is determined using a Chebyshev
approximation [Goc08]:
( rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi)
n
XM
S ¼ min lim m¼1 m
en ð4:4Þ
c1 ;c2 n!1
where em describes the orthogonal distance of the points (xm, zm) from a linear
function z(x) =c1 x + c2. The manufacturing tolerances of these quality features
were defined to be Ddrem = ± 5 μm and S = ± 2 μm. The path plan and the mean
cross-sections of the first three control iterations are shown in Fig. 4.29. The
resulting mean depth drem = 101.1 lm and the straightness = 1.2 lm are deter-
mined as the average values obtained from different cross-sections. After two
optimization iterations (i.e. two discrete productions), a workpiece with shape
deviations that satisfy the manufacturing tolerances was produced. The maximum
deviation of the mean depth, for instance, could be reduced from the initial 33.1 lm
(without closed-loop control) to 2.4 lm (with closed-loop control) [Zha17]. The
shape deviations of the produced micro dies from the desired geometry are thus
shown to be distinctly reduced with the quality control developed.
This result demonstrates that the process-discrete control system, which is based
on inverse models and a P-controller with adaptive gain, is able to cope with the
non-linearity of the LCM process. It ensures a stable processing quality and exhibits
satisfactory control speed and shape deviations. However, due to the reduced
degrees of freedom, the control of single paths for complex geometries such as edge
rounding is no longer possible. In addition, the post-process control system cannot
(a) (b)
Δdmax,3
x
x
Δdmax,2
Δdmax,1
x
Fig. 4.29 Productions of a rectangular die using 4 paths: a path plan; b mean cross-sections of the
produced workpieces for the first 3 optimization loops of the quality control [Zha17]. The
maximum depth deviations for the 3 produced profiles are Ddmax,1 = 33.1 lm, Ddmax,2 = 10.3 lm
and Ddmax,3 = 2.4 lm
compensate random deviations along the material feed direction within one removal
path. Therefore, a real-time quality control including in situ metrology techniques
should be targeted in the future.
4.3.5 Tool Fabrication
4.3.5.1 Manufacturing of Stellite 21 Micro Forming Dies
Manufacturing Task
As demonstrated in the previous section, laser chemical machining can be con-
trolled and its quality can be predicted precisely. The developed and validated
temperature and control models represent two key aspects towards the high-quality
manufacturing of metallic micro parts. Another important aspect is the experimental
characterization of the quality achieved. Next, the tool material Stellite 21 (a cast
cobalt-chrome alloy) is used to show the dimensional accuracy and the surface
quality of laser chemically machined forming cavities, which are of interest for
micro cold forging. Here, square micro cavities with side lengths of 150 and
300 μm and depths of 60 lm were targeted [Mes18].
To examine the manufacturing quality, the geometrical properties (side length
LK, removal depth drem) and the shape accuracy were recorded and characterized
using a laser scanning confocal microscope (Keyence VHX970) and a scanning
electron microscope (SEM, EVO M10-Zeiss). For the determination of the edge
radius re, which describes the edge between the non-machined workpiece surface
and the cavity wall, a 2D holistic approximation was used [Lue12], while the areal
surface roughness Sa on the cavity ground was measured in accordance with
ISO 25178.
Manufacturing Strategy
A detailed investigation was performed based on the results described in Sect. 4.3.4
in order to identify the influence of the relevant process parameters on the removal
quality. With respect to the targeted dimensions, suitable laser and scan parameters
were selected (see Table 4.3). Thereby, the cavity manufacture consists of two
steps. As the first step, a roughing is applied to achieve the required removal depth.
Table 4.3 Summary of the selected parameters for the laser chemical manufacture of the micro
cavities [Mes18]
PL x sE [W] vfeed doverlap nscan tprocess
[μm/s] [μm] [–] [min]
LCM roughing 0.6 10 6 2 12.5/50
LCM finishing 0.3 50 6 30 37.5/150
PL x sE: laser power (after the propagation through the electrolyte), vfeed: feed velocity
doverlap: lateral overlapping, nscan: scan repetitions, tprocess: processing time
4 Tooling 173
Table 4.4 List of the symbols used

Symbol Description Unit
a Approximation constant (a = p/(p–2)) –
A Control variable –
Atheo Target shape parameter –
Ameas Measured shape parameter –
Cp Specific heat capacity kJ/(kg K)
doverlap Lateral overlapping μm
D Thermal diffusivity m²/s
drem Removal depth μm
dspot Laser spot diameter μm
G(X, Y, Z) Green function –
G Geometry parameter –
H Heat transfer coefficient W/(m² K)
i Production iteration –
I Laser power density W/cm²
Kp Gain factor –
l Absorption depth nm
lfeed Feed length μm
nscan Number of scan repetitions –
PL Laser power W
Pabs Absorbed laser power W
r Laser beam radius μm
ri Atom radius 10−12 m
re Edge radius μm
Rrem Removal rate mm3/min
Sa Areal arithmetic surface roughness μm
S Cross-sectional straightness –
T Temperature rise °C
TBoiling Electrolyte boiling temperature °C
Tmodel,peak Peak surface temperature (model) °C
TR,max Upper limit temperature for material removal °C
TR,min Bottom limit temperature for material removal °C
t Time s
tL,tinter Irradiation time (interaction time) s
tprocess Processing time s
U Actuating variable –
vfeed Feed velocity μm/s
vflow Electrolyte flow velocity m/s
vrem Removal velocity μm/s
wrem Removal width μm
XYZ Dimensionless coordinates –
(continued)
Table 4.4 (continued)

Symbol Description Unit
xyz Dimensional coordinates m
zi Atomic number –
a Dimensionless quantity (r/l) –
aabs Wavelength-related absorption coefficient of Ti –
h Dimensionless quantity (Hr/j) –
j Thermal conductivity W/(m K)
k Laser wavelength nm
/ Integration variable/ substitution quantity (s-s’) –
q Density Kg/m³
s Dimensionless time coordinate –
sE Transmission coefficient of the electrolyte –
W Dimensionless temperature rise –
Ddrem Removal difference/tolerance μm
In the following step, laser chemical finishing is applied to improve the surface
quality (Table 4.4).
Manufacturing Results
Figure 4.30 shows examples of the captured SEM images of laser chemically
roughened and finished micro cavities with the targeted dimensions of
(300 300 60) μm3. The measured removal geometries have shown that the
top view (0°) top view (60°)

LCM roughing
100 µm 100 µm
LCM finishing
100 µm 100 µm
Fig. 4.30 SEM images of the laser chemically manufactured cavities (side length 300 lm),
including the two steps roughing and finishing (top views under 0° and 60°)
4 Tooling 175
LCM roughing results in mainly achieving the cavity dimensions, while the LCM
finishing provides the final contouring and smoothing of the cavity surface. Indeed,
sharp and accurate contours were successfully realized.
The quantitative characterization of the defined quality parameters revealed that
the applied LCM strategy ensured the required depth of 60 μm, whereby the
removal depth was increased by the LCM finishing step by an additional 10 μm.
Moreover, the mean edge radii of the cavities amount to (10.5 ± 1.6) μm and
(11.2 ± 1.3) μm for roughing and finishing, respectively. Depending on the
machining task, an enhanced material removal, which is characterized by a poor
surface quality, can be assured with slow scan velocities [Mes18]. Besides, con-
trollable and low removal rates can be realized with increased scan velocities and
reduced laser powers [Eck17b]. This combination was applied during the ensuing
finishing step and led to an improved surface quality.
The mean roughness Sa was reduced from >2 μm down to 0.7 μm, while the
peak roughness Sz was improved from 45 μm down to 8 μm. Moreover, the
analysis of the chemical composition at different regions by energy dispersive X-ray
spectroscopy indicates that the roughing step results in a noticeable deposition of
metallic salts and oxides, whereas the finishing step results not only in a surface
smoothing but also in removing the residues of oxygen and phosphor and thereby in
resetting the conditions of the base material [Mes18].
4.3.5.2 Other Examples of Laser Chemically Machined Micro Tools
The square cavities shown in the previous section can be varied in size and
replicated with high reproducibility. Figure 4.31a shows the logo of the CRC 747
patterned with the different square cavities in Stellite 21. Besides, hexagonal cav-
ities with side lengths of 250 μm were also manufactured in Stellite 21, as reported
in [Mes17b]. Following the aim of high removal rates and cavity depths of >200
μm, multiple scans with feed velocities <20 μm/s and relatively high quotient PL/
dspot between 60 and 100 mW/μm were used. There, the occurrence of electrolyte
boiling and related removal disturbances were not considered. The results show that
cavity depths up to 450 μm can be achieved, while the edge radius increases with
the removal depth up to 30 μm. Moreover, high shape accuracy at the surface is
demonstrated with form deviations <3%.
In addition, as demonstrated in Sect. 4.3.4, the machining of
non-self-passivating materials such as high-speed steel is possible considering the
limited processing time (of some hrs). Based on this, micro cavities were machined
in HS10-4-3-10, following the same strategy used to manufacture Stellite 21
[Mes18a]. Figure 4.31b shows square cavities with different side lengths from 150
Fig. 4.31 Examples of LCM

fabricated micro forming (a)
tools: a CRC logo written
with square micro dies in
Stellite 21, b square micro
dies in high-speed steel
HS10-4-3-10 with different
side lengths from 150 μm to
2 mm and c micro textured
friction tool (stainless steel 1 mm
1.4310)
(b)
2 mm
(c)
120
µm
80
60
40
20
0
1 mm 250 µm
to 2 mm. Due to the immediately induced reaction at the metal-electrolyte interface,

higher removal rates up to 50 μm/s were achieved. Moreover, similar edge radii of
15 μm on average were measured. However, due to the unequal chemical disso-
lution rates of the different alloy elements/phases with respect to the electrolyte
solution used, an intensified grain boundary attack was observed during the fin-
ishing step, which led to an increase of the mean areal roughness Sa from 1.5 μm
(after the roughing step) to 2.3 μm.
Among others, LCM was also used to fabricate molding micro tools (1 mm
1 mm) from stainless steel 1.4310, as shown in Fig. 4.31c. As reported in [Rob17],
these tools were used for the structuring of monocrystalline diamond by
ultrasonic-assisted friction polishing (see Sect. 4.7). Therefore, periodic circular
and linear free-standing bridges <100 μm in width and >30 μm in height were
realized. Thereby, it was found that the removal with a circular movement increases
with a smaller radius and is more intense than with the linear one.
4 Tooling 177
4.3.6 Comparison with Other Micro Machining Processes
Taking electrochemical machining (ECM), electrical discharge machining

(EDM) and micro milling as competing methods, the maximum removal velocity
and rates were defined as follows:
feed velocity vfeed

removal velocity vrem;max ¼ removal depth drem;max ð4:5Þ
spot size dspot
feed velocity vfeed

removal rate Rrem ¼ removal volume Vrem ð4:6Þ
feed length lfeed
Figure 4.32 shows examples of the maximum removal velocities vrem,max and
rates Rrem determined within the disturbance-free regime (T(x = 0) < 150 °C) in
titanium and stainless steel (AISI 304) in a 5 molar H3PO4 environment. In both
max. removal velocity vrem
stainless steel titanium

1.5 1.55
mm mm
min min
0.9 0.95
0.6 0.6
0.3 0.35
0 0
01
0.1 0.5 1
1 s 5 10
10 01
0.1 0.5 11 s 5 10
10
2.4·10-30 2.4·10-3
mm3 mm3
removal rate Rrem
0
min min
1.2·10-30 1.2·10-3
0.6·10-30 0.6·10-3
00 0
0.1 0.5 1 s 5 10 0.1 0.5 1 s 5 10
Interaction time Interaction time
peak temperature T(x = 0): peak temperature T(x = 0):
96 °C (PL = 0.75 W) 84 °C (PL = 0.75 W)
121 °C (PL = 1.25 W) 104 °C (PL = 1.25 W)
147 °C (PL = 1.5 W) 124 °C (PL = 1.5 W)
laser: electrolyte:
λ 1080 nm type H3PO4
dspot 30.5µm C 5 mol/l
Fig. 4.32 Determined maximum removal velocities vrem and removal rates Rrem during LCM of
stainless steel (AISI 304) and titanium in a 5 molar phosphoric acid solution in dependence on the
interaction time under different thermal loads
materials it is observed that the removal velocity/rate increases first with the thermal
input and the interaction time and achieve a maximum at interaction times between
0.6 s and 1.5 s. In general, the highest removal is observed around tinter 1 s. In
combination with a suitable thermal input, which is defined to be achieved with a
temperature field having T(x = 0) = 125 °C, removal velocities up to 1.25 mm/min
in titanium and 1 mm/min in stainless steel can be realized. The related removal
rates Rrem amount to about 1.2510−3 mm/min in both materials. Similar behavior is
observed also in LCM of Stellite 21 [Mes18a], where maximum removal velocities
of 0.75 mm/min were obtained at an interaction time tinter 1.2 s. In contrast, the
LCM of the non-self-passivating alloy HS10-4-3-10 in a 5 mol/l H3PO4 electrolyte
solution is characterized by a continuous decrease of vrem with increasing interac-
tion time [Mes18a]. In comparison with the self-passivating materials, the removal
velocities obtained in HS10-4-3-10 including the background etching amount to
2 mm/min at tinter 1 s.
Moreover, these determined LCM removal velocities of some mm/min within
the disturbance-free removal regime are comparable to the feed speeds usually
applied in the ECM process. Despite the much higher removal rates (some mm3/
min), which are related to the size of the electrodes used, the ECM of titanium- and
nickel-base for aero engine components is ensured with feed velocities between
0.5 mm/s and 1.5 mm/min, as reported by Klocke et al. [Klo13]. Taking similar
interaction zones (some 104 μm2), as is the case in micro-ECM, it can be stated that
LCM shows higher removal efficiency. Han et al. [Han16] have determined feed
velocities of 0.4 to 1 μm/s in micro-ECM of micro rods made of stainless steel
(AISI304).
With the same target dimensions, as described in Sect. 4.3.5.1, micro square
cavities in Stellite 21 were also manufactured by micro milling using hard coated
tungsten carbide ball-end mills with diameters of 0.2 and 0.1 mm. A detailed
description of the machining procedure comprising roughing and finishing steps can
be found in [Mes18]. The cavities resulting here have undergone the same char-
acterization as the laser chemically machined ones. Comparison of the two pro-
cesses reveals that laser chemical machining (consisting of roughing and finishing
steps) is more suitable for manufacturing cavities with dimensions <200 lm due to
the higher shape accuracy with stable mean edge radii of (11.2 ± 1.3) lm, as can
be seen in Fig. 4.33. However, the finish quality of micro milling with mean surface
roughness Sa of 0.2 lm could not be achieved with laser chemical machining. Due
to in-process induced waviness (at spatial wavelengths between 20 lm and
100 lm), the surface quality could only be improved from >2 μm down to 0.7 μm.
Further, the metallographic analysis of the near-surface layers reveals that both
manufacturing processes ensure gentle machining without any noticeable
microstructural impact [Mes18].
In view of the machining time, micro milling appears much more efficient than
laser chemical machining, e.g., 5 and 200 min are needed for the machining of one
cavity of (300 300 60) lm3 using micro milling and LCM, respectively.
However, when considering the tool interaction area (31.5103 lm2 for the 100 lm
ball-end mill and 2103 lm2 for the laser beam), which is about 16 times larger for
4 Tooling 179
top view (60°)
micro milling
50 µm 20 µm
top view (60°)

LCM roughing + finishing
50 µm 20 µm
Fig. 4.33 Top view SEM images of a micro milled (above) and laser chemically machined
(below) cavity with targeted dimensions of (150 150 60) lm3 as well as under 60 °
magnified sections showing the cavity wall
micro milling, the LCM removal rates are close to those of micro milling. With
regard to the tool area, the average removal rates within the applied machining
conditions amount to 2.7 10−5 mm3/min for LCM and 6.75 10−5 mm3/min for
micro milling.
In general, the presented examples show the diversity and flexibility of laser
chemical machining as well as its efficiency, which is comparable to that of
well-established processes such as micro milling and ECM.
4.4 Process Behavior in Laser Chemical Machining

and Strategies for Industrial Use
Salar Mehrafsun, Hamza Messaoudi* and Frank Vollertsen

Abstract Laser chemical machining (LCM) is a competitive processing method in
comparison with electrochemical machining (ECM) and micro milling for the
manufacture of micro tools especially with structure dimensions <200 μm.
However, the processing window for a disturbance-free removal is limited to only
some 100 mW due to the process sensitivity to electrolyte boiling and related
hydrodynamic effects. In this section, we focus on the environmental friendliness
and the machine handling as two additional key aspects towards a transfer to
near-production use. Therefore, alternative sustainable electrolytes, usually used in
ECM, such as sodium-based solutions are applied. The resulting removal behavior
and rates are compared and discussed with respect to the use of acidic etchants.
Furthermore, monitoring concepts that ensure an automatic workpiece alignment
and in-process removal control as well as the development of a fast and safe
workpiece exchange are presented. Moreover, it is shown that fluid dynamic sim-
ulations can be used to improve the design of the chemical cells and to ensure a
homogeneous electrolyte flow. The strategies presented enable an automated,
user-friendly and safe operation.
Keywords Laser micro machining ∙ Laser chemical machining ∙ Concurrent
engineering
4.4.1 Introduction
Electrochemical machining (ECM) processes are gaining in importance in the

manufacturing of micro components because they avoid heat-affected zones and
thermal stresses compared with conventional machining [Geo03]. To further
increase the removal rates as well as the processing quality, the trend toward
hybridized ECM is expected to increase [Gup16]. This includes the combination of
ECM with other processes such as electro discharge machining (EDM) or laser
machining (LM). In the case of laser-assisted ECM, a laser beam of 100 to 300 μm
in diameter is coupled in a coaxial arrangement to the electrolyte stream through a
nozzle electrode with a diameter of 1 mm [Paj06]. Due to the laser-assistance the
removal rates of different metallic materials, such as stainless steel, aluminum,
nickel and titanium alloys, have been increased up to 50% in comparison to those
obtained with ECM [Sil11a]. Furthermore, Bäuerle has proved that an electrodeless
ECM especially of metals within an electrolyte environment can be initiated by
laser irradiation [Bae11]. Thereby, the laser-induced temperature field can be
generated by a localized thermobattery that allows a current flow within the metallic
4 Tooling 181
surface and can thereby change the electrochemical potential to the range of an
anodic material dissolution. Based on this knowledge, laser chemical machining
(LCM) was developed especially for the micro machining of metallic surfaces.
A similar concept is used by the Fraunhofer Institute for Solar Energy Systems
(Fraunhofer ISE) to machine silicon-based photovoltaic elements. There, the laser
beam is guided via total refection onto a liquid jet with a diameter of 30 to 80 lm
generated in a nozzle with pressures up to 500 bar. Depending on the electrolyte
solution, the laser heating or ablation can be combined with physical-chemical
reactions such as etching, doping or deposition [Kra08]. A different method uses
wet-chemical-assisted laser ablation, in which semiconductors such as gallium
nitride (GaN) are irradiated with a fs-laser in hydrochloric acid (HCl) solution in
order to realize micro channels. Nakashima et al. have demonstrated that the pro-
cessing in a liquid environment results in smooth structures with sizes of some
100 nm [Nak09].
LCM and ECM have quite similar mechanisms of dissolution and surface
modification. These processes have the common feature that material removal is
based on the chemical dissolution on an atomic scale [Meh16a]. In LCM the
material removal is accomplished by the laser-induced chemical reaction between
an electrolyte and the metallic surface of the workpiece [Now94] and is mainly
dependent on the laser-induced temperature distribution over the workpiece surface
[Mes17a]. Besides, the thermophysical properties of the metallic material, the
electrolyte characteristics (light absorption, concentration, flow direction and
velocity, etc.) as well as the chemical reactivity of both are additional factors that
influence the removal quality and rate. The influence of these factors is described in
detail in Sect. 4.3. In general, laser chemical machining enables non-contact
material processing using low laser power densities compared to the laser ablation
process [Meh12]. Depending on the material-electrolyte combination, the material
removal can be realized on the one hand by self-passivation or by means of an
applied potential, resulting in a thin passivation layer. According to Nernst, the
electrochemical potential is proportional to the temperature, and therefore to the
laser power applied [Ste10].
In Sect. 4.3 the competitiveness of laser chemical machining (LCM) in com-
parison with electrochemical machining and micro milling for the manufacture of
micro tools was demonstrated, especially for structures with dimensions <200 lm
[Mes18]. Using thermal and closed-loop models, a profound understanding of the
LCM removal mechanisms with the aim of avoiding removal disturbances has been
developed. This opens up the opportunity for a predictable and controllable removal
quality. However, the environmental aspects as well as the machine handling are
still key aspects to consider prior to widespread industrial acceptance of the LCM
process. For this reason, the use of alternative sustainable electrolytes frequently
used in ECM, such as sodium-based solutions, is investigated and compared to the
acidic etchants regarding the removal characteristics (width and depth) and quality.
Furthermore, automation concepts for workpiece alignment, in-process removal
control as well as fast and safe workpiece exchange are presented. In addition, fluid
dynamic simulations are performed with the aim of improving the design of the
chemical cells and to ensure a homogeneous electrolyte flow.
4.4.2 Materials and Methods
For the experimental investigations, self-passivating and technologically relevant

(in the aerospace industry and medical technology) metallic materials, e.g. titanium
(3.7024), stainless steel (1.4310), cobalt-chrome alloy Stellite 21 and the tool steel
X100CrMoV8-2 (in hardened and tempered condition) were machined in different
electrolyte solutions. Thereby, the passivation layers prevent corrosion or chemical
dissolution of the material in direct contact with the electrolyte and enable the
investigation of the laser-induced chemical reaction behavior without additional
external currents. For greater environmental friendliness, the LCM process was
performed in aqueous solutions usually used in electrochemical machining, such as
sodium nitrate, sodium chloride and citric acid. For comparison, removal investi-
gations were also done in phosphoric and sulfuric acid solutions. Table 4.5 pro-
vides an overview of the applied electrolytes and their concentrations.
The laser chemical machining was carried out in electrolyte-jet based (JLCM)
and scanner-based (SLCM) LCM machines, which are described in detail in
Sect. 4.3. To analyze the removal geometry, including width, depth and volume,
laser scanning confocal microscopy (Keyence VK-9710) as well as a light micro-
scopy (Keyence VHX-1000) were used. In addition, scanning electron microscopy
(SEM) and energy dispersive X-ray spectroscopy (EDX) were used to analyze the
chemical composition of the machined cavities.
4.4.3 Sustainable Electrolytes for LCM
The JLCM system (see Sect. 4.3.2) was used in machining titanium and Stellite 21
in different electrolytes [Hau15]. Thereby, it was found that titanium exhibits up to
30% deeper cavities and up to 40% higher removal rates than Stellite 21 when
machining both in a 5 molar phosphoric acid solution. In addition, citric acid
Table 4.5 Overview of the Electrolyte Concentration [mol/l]

materials and electrolytes
used for the experimental Phosphoric acid (H3PO4) 2.5/5/7.5
work Sulfuric acid (H2SO4) 1.9
Citric acid (C6H8O7) 5
Sodium chloride (NaCl) 2/5
Sodium nitrate (NaNO3) 2/5
4 Tooling 183
(1 M C6H8O7) was identified as a suitable environmentally friendly electrolyte,

especially for the machining of the tool steel X110CrMoV8-2. However, the
resulting etching reaction is significantly limited, which can be explained by the
limited dissociation of citric acid within water and thereby by the lower number of
reactants that can be provided for the chemical reaction. Compared to the LCM
removal in phosphoric acid [Ste09b], the resulting cavity depths were about 80%
lower [Hau15].
Using the SLCM setup (see Sect. 4.3.2), the threshold power required for
laser-induced material removal was determined for different electrolyte-workpiece
combinations. Phosphoric acid and sodium nitrate solution with concentrations of
5 mol/l as well as sodium chloride solution having a concentration of 2 mol/l were
used as electrolyte environments during the machining of titanium (3.7024).
Thereby, the resulting cavities were analyzed with respect to their removal volume
Vrem after a constant irradiation time of 1 s and a gradual increase of laser power PL.
Depending on the electrolyte, the material removal starts at different laser powers,
as can be seen in Fig. 4.34.
Using phosphoric acid, material removal is observed at threshold laser powers of
0.7 W. In contrast, material removal in sodium nitrate and sodium chloride solu-
tions takes place at higher laser powers of 1 W and 1.7 W, respectively. To dif-
ferentiate between the chemically driven and the thermally driven effects, the
interaction between the titanium surface and laser irradiation was investigated
additionally under an argon atmosphere. As mentioned in Sect. 4.3, the cooling
effect of the liquid in LCM is rather low and can be neglected, making this com-
parison valid. In Fig. 4.34 it is shown that the first material removal, which is
x 103
50
µm3 PL/dspot 23 72.1

removal volume Vrem
[mW/µm]
30
20
10
0 PL/dspot 49.2 78.7

[mW/µm]
Fig. 4.34 Removal volume Vrem in titanium in dependence on the laser power and electrolyte
processed with SLCM
removal rate vrem
Fig. 4.35 Removal velocity vrem in titanium in dependence to the laser power and electrolyte
processed with SLCM
related to molten titanium, starts at laser powers of about 2.4 W. This removal is
mainly the result of melt pool dynamics that throw out molten material from the
center to the outer sides and is governed by temperatures that exceed the melting
point of titanium (>1668 °C). This can be explained by a sudden jump in the
absorption coefficient by temperatures >800 °C from 40% to >70% [Kwo12].
Figure 4.35 shows the resulting removal velocities vrem in titanium in depen-
dence on the electrolyte used. In the phosphoric acid environment, the removal
velocity vrem increases linearly between laser powers of 0.7 W and 1 W up to
values of 4 μm/s. For PL > 1 W, the removal rate decreases first before it continues
to increase again with the laser power, with rising standard deviations showing a
non-homogeneous removal. This is in accordance with the correlated surface
temperatures (see Sect. 4.3.4) showing the first disturbances within the transition
boiling regime (T between 104 and 140 °C) [Mes17a]. For the case of sodium
nitrate and sodium chloride solutions, the removal rates indicate a similar behavior.
At PL = 1 W, etching rates <0.1 μm/s have been determined. These reach their
maximum at PL of 2.1 W, showing values of about 2 μm/s. These removal rates are
significantly lower in comparison to those obtained in phosphoric acid. Thus, a
higher irradiation time is required for an equally deep removal. With respect to the
surface temperature, it becomes clear that the removal occurs first after the elec-
trolyte boiling, which indicates the involvement of gas bubbles in the etching
process.
A closer look at the SEM records of the resulting cavities in titanium (compare
Figs. 4.36 and 4.37) shows the differences of the removal quality depending on the
electrolyte used.
The removal of titanium in sodium nitrate NaNO3 (Fig. 4.36, left) and sodium
chloride NaCl (Fig. 4.36, right) is labeled by a pronounced intergranular corrosion,
as already described by Wendler et al. [Wen12]. In accordance to [Uen08], the
removal is assumed to comprise intergranular penetration and grain dropping
occurring by turns. In contrast, the laser-induced chemical removal using acidic
aqueous solution, e.g. phosphoric acid (H3PO4), results in much smoother surfaces
4 Tooling 185
Hövermann (Eckert) 2016 BIAS ID 161186
Fig. 4.36 Removal cavities in titanium processed with SLCM and (left) NaNO3 and (right) NaCl
as electrolyte
Fig. 4.37 Removal cavities in titanium processed with SLCM and H3PO4 as electrolyte
without any significant intergranular corrosion effects (Fig. 4.37, left). However,
the resulting cavity geometry depends on the processing parameters used. At higher
laser powers, removal disturbances can take place in the cavity center (Fig. 4.37,
right). The analysis of their chemical composition using energy dispersive X-ray
spectroscopy revealed that within the disturbance-free removal only Ka and Kb
titanium peaks can be detected, while the mushroom-like pile that fills the center of
removal depth drem
removal depth drem

Fig. 4.38 Removal depth drem in titanium in dependence on the electrolyte and its concentration
processed with SLCM
the disturbed cavities (Fig. 4.37, right) is additionally characterized by significant

phosphor and oxygen peaks [Eck17a]. As reported by Gutfeld et al. [Gut86] and
Nowak et al. [Now96], an etching in the periphery while plating in the laser beam
center and vice versa can take place in dependence on the metal-electrolyte com-
bination as well as on the laser and electrolyte parameters. Which process is
dominant depends on the temperature gradient as well as on the type and con-
centration of the dissolved reaction products.
Figure 4.38 shows the influence of the electrolyte concentration on the resulting
removal depth in titanium using NaCl and NaNO3 solutions. Thereby, it can be
clearly determined that material removal using NaCl is only possible with a con-
centration of 2 mol/l. This can be traced back to the enhanced salt crystallization
due to local solution boiling at high concentration. Hence, this salt film formed on
the surface can slow down or prevent the material dissolution at the workpiece
surface [Dat87]. In comparison, similar removal depths are measured in NaNO3 for
the concentrations of 2 mol/l and 5 mol/l, which reveal no significant influence of
the concentration for this etchant.
4.4.4 Strategies for Industrial Use of LCM
4.4.4.1 Automatic Workpiece Alignment for JLCM
For a further increase in the process stability and reproducibility of the LCM
processing different strategies are pursued. One of these strategies is to increase the
degree of automation with the aim of enabling more flexible and faster processing.
Investigations have shown that the quality of laser chemical machined micro tools
4 Tooling 187
laser camera
collimator
coaxial jet
processing head
process cell
lifting system portal system

Mehrafsun 2016 BIAS ID 170155
Fig. 4.39 JLCM system with integrated image processing for automatic workpiece alignment
is highly dependent on the positioning and alignment of the semi–finished products

in the processing room (chemical cell). A first approach to improve the repro-
ducibility is to implement automatic workpiece positioning using image processing.
Therefore, the position of the workpiece within the processing cell is detected by
means of reference points and compared with the predetermined position of the
CAD data and the path planning algorithm. The system determines the positioning
error by using image processing techniques and permits automatic alignment of the
ideal starting and workpiece position with an accuracy of <1 μm with respect to the
laser focal position. Thus, reproducible starting conditions for laser chemical
machining can be ensured. This results in fewer parameter adjustments during
processing and contributes to a reduced processing time. Figure 4.39 shows the
design of the JLCM system with automatic workpiece alignment.
4.4.4.2 In-Process Monitoring and Fast Workpiece Exchange for SLCM
To provide a constant manufacturing quality, it is necessary to monitor and control

all relevant process parameters, such as the pressure, workpiece potential, laser
power and electrolyte flow rate. Otherwise, changes of these parameters over time
could affect the machining behavior and result in losses in quality (see Fig. 4.40).
Several factors limit the economic efficiency of the process. The conventional
removal rates enable the use of only low process speeds (some μm/s), which means
long processing times. Furthermore, as sample changing is performed manually,
both the machining precision and speed are affected. To avoid this related downtime
and to ensure user-friendly and safe operation, the system design must be
trouble-free and low-maintenance. The development of an industry-compatible
process cell was carried out in accordance with VDI 2221.
This cell, as depicted in Fig. 4.41, is based on a pneumatic locking system in
combination with a modular workpiece holder that allows safe workpiece exchange
with minimum contact with the electrolyte within a maximum of 30 s. Using a
material Stellite 21
(a)
laser power PL 4.9 W
focus diameter df 24 µm
100 µm feed velocity v 10 µm/s
electrolyte 5 M H3PO4
(b)
flow velocity u 2.3 m/s
a) constant flow
100 µm
b) flow disturbance
Mehrafsun 2016 BIAS ID 170156
Fig. 4.40 Example of LCM removal path in Stellite 21 processed with phosphoric acid (5 mol/l)
a without and b with disturbance in electrolyte flow velocity
scanner
pneumatic
lock system
processing
cell
Eckert (Mehrafsun) 2016 BIAS ID 170157
Fig. 4.41 SLCM system with pneumatic lock system for fast workpiece exchange
safety valve in the fluid circuit and locking units in the closure system, the process
cell is protected from over-pressure and leakage of electrolyte during processing.
4.4.4.3 Demand-Oriented Multi-channel Flow in SLCM
As mentioned before, trouble-free and high-quality processing as well as reduced

process times are essential for industrial implementation of LCM. Moreover, the
removal rates must be enhanced to ensure that the machining is competitive.
However, the increase of reaction rates is mainly accompanied by an increased
formation of hydrogen [Meh13]. In addition, it necessitates the use of higher laser
powers that can induce high surface temperatures and result in electrolyte boiling
[Sil11a]. As a result, undesirable gas bubble formation and thereby removal dis-
turbances can occur [Meh13].
Another source of disturbance could be the high saturation of the electrolyte
during the LCM procedure. For industrial use of LCM, these factors should be
taken into account, as well as the electrolyte flow behavior. Investigations have
shown that the geometry of the process cell could affect the flow behavior, induces
turbulence and gas bubbles, and results in a reduced processing quality (see
4 Tooling 189
velocity:
0 0.1 m/s 0.3
return flow
inlet
outlet outlet
inlet
sections with low flow
velocities
Eckert 2016 BIAS ID 161289
Fig. 4.42 Numerical fluid dynamic simulation of electrolyte flow within the process cell (half of
the cell) before optimization
plan view
velocity
5
m/s
plan view cross section

2
area of workpiece flow direction

Fig. 4.43 Numerical fluid dynamic simulation of electrolyte flow within the process cell, (plan
view above) electrolyte flow from inlet to outlet, (plan view below) flow distribution on workpiece
surface, (cross-section) three cross-sections of flow distribution on workpiece surface
Fig. 4.42). Considering these factors, numerical fluid dynamic simulations

(CFD) were performed to define a suitable cell geometry and electrolyte flow
behavior.
The CFD simulation results are shown in Fig. 4.43. As can be clearly seen, the
newly developed fluid system is able to ensure a constant and homogeneous stream
profile at a flow velocity of 2.5 m/s. These flow conditions can guarantee a constant
electrolyte exchange and continuous transportation of the gas bubbles that emerge,
and thereby a stable machining operation. Further, it is possible to reduce or expand

the interior of the process cell depending on the workpiece size using inserts, as
well as to set the electrolyte flow velocity by switching on or off the inlet and outlet
channels with respect to the pump setting parameters.
4 Tooling 191
4.5 Flexible Manufacture of Tribologically Optimized

Forming Tools
Oltmann Riemer*, Peter Maaß, Florian Böhmermann, Iwona

Piotrowska-Kurczewski and Phil Gralla
Abstract In this work, mathematical and engineering methods are applied in union
for the manufacture of efficient micro-forming dies exhibiting tribologically active,
textured surfaces by micro-milling. This comprises the extension of analytical
process models to wear characteristics of milling tool for die making and
micro-tribological investigations. These models allow us to derive optimized pro-
cess parameters for the manufacturing process of tribologically optimized
micro-forming dies by using the non-linear inverse problems method. These opti-
mized forming dies exhibit micro-textured surfaces and have a distinct impact on
the micro-contact conditions between the die and the work piece, and thus leads to a
reduction in dry friction during the actual forming process.
Keywords Surface ∙ Cutting ∙ Optimization
4.5.1 Introduction
Metal cutting is one of the most widely used methods to produce the final shape of
manufactured products in macro dimensions [Alt00]. Therefore, its application for
micro-parts is a logical step. However, due to size effects in the micro-regime, new
challenges arise and need to be addressed for a successful application [Vol10].
Serendipitously, size effects in metal cutting can also offer new opportunities. The
inconsistencies in material removal when undershooting the minimum uncut chip
thickness in micro-milling leads to the generation of regular micro-textures. These
micro-textured surfaces have been shown to reduce friction in dry tribological
contact, which can be explained by changes in the micro-contact conditions
determining the predominant friction mechanisms. The transfer of micro-textured
surfaces generated by micro-milling is seen to be one key steps towards the
development of robust dry deep drawing processes. The concept of micro-forming
dies exhibiting textured surfaces (e.g. generated by micro-milling) can be seen in
Fig. 4.44. However, identifying the most suitable textures offering minimum dry
friction and finding the associated process parameter for their generation in
micro-milling is not trivial.
Process modeling can help to overcome these issues. In this work, a process
model based on sweep volumes incorporating the continuous change from chipping
to plowing is presented. This addresses the unique mixture of material removal
mechanisms that allow for the manufacture of regular surface textures in hardened
tool steel where the texture’s design is first of all determined by the process
Fig. 4.44 Dry friction in a mold used for micro-cold forming
parameters feed per tooth and line pitch. Suitable process parameters for the
manufacture of desired textured surfaces are identified by means of inverse simu-
lation, while taking into concern inverse problems. Classic inverse problems
identify the source of observed data. For example, in a computed tomography scan
an image is reconstructed from a sinogram, which is the measured density via
x-rays over multiple angles. One way to solve such an inverse problem is to use
Phillips-Tikhonov-Regularization by minimizing a Tikhonov functional:
1 p 1
p;q
Ta;d ðuÞ :¼ FðuÞ vd Y þ a Rq ðuÞ ð4:7Þ
p q
where F represents a forward model, u the parameter, vd a perturbed data, a the

regularization parameter and Rq the regularization. Most current research deals
with numerical implementation [Mor11] and aims to find suitable regularization
[Jin12]. In the presented work, the discrepancy term is altered to account for
tolerances in the data. The necessary forward model is a combination of analytical
and statistical methods. In addition, special attention is paid to the wear of the
cutting tool and its influence on the cutting process and machining results. The
challenge in this work was to incorporate the size effects in micro-milling, namely
the continuous change in material removal mechanism form chip removal towards
micro-plowing in dependence on the cutting depth.
The second part of the presented method deals with analytical contact and
friction modeling, taking into concern meaningful parameters derived from ISO
25178 are seen to be the key to more precise derivation of input values for inverse
process simulation. This represents the basis for the predictive machining of
functionalized forming dies with locally adapted tribological characteristics by
process parameter manipulation utilizing the previously presented process model.
The work flow of the presented methodology is depicted in Fig. 4.45.
4 Tooling 193
Fig. 4.45 Work flow of computational engineering for micro-milling
4.5.2 Variation, Dispersion, and Tolerance in Inverse

Problems
Classical Tikhonov functionals (4.7) consist of two terms, a discrepancy and a

regularization term. By minimizing both terms, weighted with a coefficient a on the
regularization term, a suitable approximation of the true parameter is found; that is,
the parameter that causes the given or observed data. Let V be the space in which
the process model F maps onto and all data resides. The discrepancy term then
describes the distance of given or observed noised data vd to the predicted data FðuÞ
for the parameter u 2 U. The regularization term Rq ðuÞ uses some a priori infor-
mation and maps the parameter u onto the positive real numbers. A common choice
for Rq is (4.8) based on an Lq distance, where u0 is often set to 0. For prediction
models, this is changed to u0 6¼ 0 and instead a density point of known data is used
to avoid extrapolation in prediction.
Rq ðuÞ :¼ ku u0 kqq ; 1q2 ð4:8Þ
In this work, process models are not only restricted to value estimation of the
outcome but can also provide a variance or dispersion, as was applied in Sect. 1.4.2.
Furthermore, the given data can include a variance, such as through multiple
measurements. Both cases are addressed by allowing the provided data to not be a
single measurements but instead be a closed set of feasible data points. This set will
be denoted as the tolerance area of the point vd . To compare two sets while
maintaining good numerical properties, the distance measurement given in (4.9) is
used. This distance is continuous and measures the overlapping area; that is, it is
only equal to zero if S1 is a subset of S2 . This is important to ensure that the
determined parameter is within the tolerance area if this parameter exists.
Z
dðS1 ; S2 Þ ¼ minkx ykdx ð4:9Þ
y2S2
S1
In the following, SFðuÞ denotes the tolerance set of FðuÞ. The tolerance set of vd
will be denoted by Svd .
For quality management, the three sigma area is a common choice to define a
process quality if an additive normal error is assumed [Whe92, Cas12]. To perform
the parameter identification, the functional (4.10) is minimized. The minimizer of
(4.10) is then the identified parameter.
p;q
Ta;d ðuÞ ¼ dp ðSFðuÞ ; Sd Þ þ aRq ðuÞ ð4:10Þ
The minimization of (4.10) is done numerically using a standard non-linear

solver, such as gradient descent with adaptive step size, inner point algorithm or
sequentially quadratic problem solver. Depending on the properties of F, the solver
may need to be adapted to be able to minimize the functional [Boy04, Ber99]. In all
cases, only a local minimum is identified, which may not be global minimum
because all algorithms are of iterative nature and depend on the starting value.
Different strategies, such as hill climbing and trust region, can be used to soften the
dependency on the starting value but they have a higher numerical cost.
4.5.3 Computational Engineering
Computational engineering is applied to further comprehend and adjust the

micro-milling process. Computational engineering deals with the development and
application of computational models and simulations to solve complex physical
problems arising in engineering analysis. An example of computational engineering
for turning processes can be found in [Bra12].
In this present work, a mathematical model of the cutting process was designed
and analyzed. This model is based on physical properties and observed measure-
ments. It combines analytical and data based approaches to ensure that it is accurate
and manageable at the same time. The obtained model allows us to simulate the
cutting process and predict the outcome of the process for different process
parameters and setups. In addition to prediction, it can also be used to find ideal
process parameters for a predefined output via parameter identification using
methods from inverse problems. This parameter identification can be used to find
the cause for an observed data, such as the current wear on the cutting tool.
4.5.3.1 Process Model with Wear on Cutting Tool
The process model in this work is based on sweep volumes to map process
parameters, including tool path, feed velocity vf and cutting tool geometry, onto a
finished surface. It is not a finite element or volume method and it differs from these
approaches. Its main components are models of the work piece, tool and the tool
path. The tool moves along its tool path and a sweep volume is generated. This
sweep volume and a model of the workpiece are used to calculate the material
4 Tooling 195
removal process and change of the workpiece itself. While this method can be
applied in the macro scale (see the Chapter Predictive compensation measures for
the prevention of shape deviations of mircomilled dental products for one example),
it is extended to reproduce size effects in micro-scale. These size effects are the
occurrence of plowing when undershooting the minimum uncut chip thickness, as
well as a considerably increased cutting tool deflection. More detail into the model
generation [Pio11], validation, and simulation process is given in [Veh15b,
Veh17a]. The process model focuses on the finishing step of micro-milling where
the last layer of material is removed. This can be applied to all stages of
micro-milling. Since size effects are most influential in the last finishing step, a
macro model can be used for earlier stages to reduce computational effort and
reduce computation times.
The cutting tools used in milling process are also affected by the process. The
wear of the tools alters the characteristics of produced surfaces. For micro-milling
the shape of the cutter highly influences the surface quality. Progressive tool wear
ultimately leads to a decrease in the quality of the work result. Once product
specifications (which are the geometrical accuracy and the roughnesses of work
pieces) can no longer be obtained, the milling tool will be replaced to provide the
desired work result.
In this section, a process model for micro-milling is outlined and the modeling of
wear on the tool is explained. Further detail on how to find parameters with respect
to wear are given, including how it can be integrated into the theory of inverse
problems.
Process Model
The micro-milling process is modeled in three consecutive steps. The first step is
the implementation of the process kinematics. The kinematic of a milling cutter is
described by a composition of the rotational and translational motion of the tool.
This composition describes how the tool is rotating around itself and moving along
a given tool path. To account for dynamical changes occurring during the process, a
dynamical force model is applied. This is accomplished with a system of ordinary
differential equations. The model is presented in details in [Pio11]. Moreover, it is
assumed, that the reader is familiar with kinematics of the micro-milling process. If
otherwise, refer for example to [Alt06].
To obtain the surface, additional information is needed, such as the shape of the
cutting tool, material and size of the workpiece and the material to be machined.
Additionally, the material removal mechanism has to be included. For ball-end
micro-scale machined surfaces, the minimum chip thickness has to be considered.
This means that the chip formation is divided into three parts, see [Veh15b]. Below
a certain minimum cutting depth, material is elastically deformed and thus no
material is removed; that is, no chip is formed. Above a certain cutting depth,
material is completely removed and the chip thickness is equal to the cutting depth.
The third stage describes the transition between the former two stages.
A visualization of the three different stages and its model are given in Fig. 4.46
according to [Veh15b]. Because the cutting depth is different at all points of the
Fig. 4.46 Three stages of the micro-cutting process according to [Ara09], and visualization of the
function for the implementation of the chip removal in dependence on the cutting depth into the
process model
milling tool and only cutting depth smaller than the tool radius are used for the last
milling step, all three stages are constantly present. This results in micro-structures
on the produced surface, depending on the process parameters.
The forward model generates a detailed map of the generated surface. Thus, it
can be used to compare characteristics of surfaces from different input parameters.
To allow a comparison of different surfaces and their tribological characteristics a
characterization of the surface is needed.
One way to compare surfaces is to divide deviations into six categories, as defined
by DIN: 760:1982-06 from the Deutsche Institut für Normierung (DIN Standards).
Deviations of the third and fourth categories describing the roughness of a surface are
of special interest. This is further specified in DIN EN ISO 4287, where the so-called
one-dimensional characteristics are defined. These include peak-to-valley value,
median roughness, average roughness and more. These values are only statistical
height parameters, whose calculation is based on every data point. Those parameters
that do not include any information about the number of peaks, distribution of peaks
and so on, are not sufficient for the application in this work.
For a more precise classification, the Abbott-Firestone-Curve or bearing area
curve can be used; some alternative procedures are introduced later in this chapter.
The Abbott-Firestone-Curve describes the ratio of the surface at a given height and
allows to compare surfaces and their properties. From a mathematical perspective, it
4 Tooling 197
Fig. 4.47 SEM images of a cutting tool as an example of the wear on a ball-end tool
is a cumulative probability density function of the surface’s profile height. For the
rest of this chapter, it is assumed that all of the data are provided as bearing area
curves.
During the manufacturing process, the cutting tool wears out. This results in a
change of the cutting tool shape, as depicted in Fig. 4.47. The figure shows a
ball-end cutting tool after use. Without wear, the front view would show a circle
segment. In the top view (bottom two pictures) the white spots mark the wear. Due
to the forces acting on the cutting tool during the manufacturing process, it starts to
flatten out. A simple way to model this behavior is to flatten the tool shape over the
time. A more accurate way is to consider the actual forces in each point and then
model the material removal and deformation of the cutting tool. Two models for the
wear over time are included. The first model uses a predefined wear depending on
the time. The second model simulates the wear depending on the force applied on
the cutting edges. The programming of the first model is less elaborate and it
substantially reduces simulation time, whereas the second model is more accurate.
To understand how wear of the cutting tool influences the process itself, use of the
second model is advised. For ideal parameter identification and adjustment of
process parameters during manufacturing, use of the first model is advised.
To identify the wear and exact shape of a cutting tool from a surface measure-
ment, a parameter identification can be performed. This parameter-identification
does not depend on the chosen model for wear on the cutting tool because no change
in the wear is assumed. For measurements over a long time interval, separate
parameter identifications for different points in time are done. The cutting tool in the
model is described in polar coordinates and discretized over the radius to allow a
Fig. 4.48 Profile of a

simulation of nonuniform
wear on a ball-end tool
equidistant discretization on the cutting edge (see Fig. 4.48 for a nonuniform wear
on a ball-end tool).
The mathematical operator is extended with the model of wear on the cutting
tool and takes an additional input t. This additional input defines how long the
cutting tool has been used prior and thus provides the wear on the tool at the
beginning of the simulated process. The exact shape of the tool at the time t can also
be mapped. In the following two sections, a simple wear model is applied incor-
porating the flattening of the cutting tool over time.
Minimize Deviation Over a Fixed Time Interval
For a fixed time-interval, t 2 ½0; c, the overall deviation from the desired tolerance e
can be calculated via
Zc

Fðp; tÞ gd dt;
L2 ðXÞ;e
0
where F is the process model, p process parameters, t the time the cutting tool is
used; that is, the degree of wear on the tool, and gd the desired or measured surface
as Abbott-Firestone-curve. This term measures how much the output will deviate
over the whole time interval but does not hold any information at which point in
time the output will not lie within the given tolerance. Therefore, a soft boundary is
considered in the sense that a local minimum unequal to zero might have no point in
time for the condition

Fðp; tÞ gd ¼0
L2 ðXÞ;e
The benefits of minimizing deviation over a fixed time interval is that it can be
directly applied as a discrepancy term in the Tikhonov functional (4.7) and that the
integral can be approximated via known rules, such as the Simpson rule.
Maximizing Machining Time Within Tolerance
To actually maximize the timespan in which a cutting tool can be used with the
same parameter set before it needs to be replaced or new process parameters need to
4 Tooling 199
be determined, the ending time of the time-interval has to be flexible. The ending
time c is then calculated through
8 c 9
< Z =
c ¼ arg max cj Fðp; tÞ gd L2 ðXÞ;e dt ¼ 0 :
: ;
0
In the case that there is no c 0 that fulfills the condition, c ¼ 0 will be set. This
provides the maximum time before the simulated output is outside the desired
tolerance for the first time. As long as the parameter does have a discrepancy greater
than zero in the initial case without wear (i.e. t ¼ 0), the maximum stays zero. Thus,
the argmax cannot be used to replace the discrepancy term in (4.7), as was the case
for fixed time-interval, because parameter sets that minimize only the penalty term
might be favored over terms that minimize discrepancy and penalty term.
This results in a min-max problem where the discrepancy and penalty have to be
minimized while the time interval has to be maximized. While being more accurate
for the application, this approach also yields higher computational effort due to
finding the argmax for each functional evaluation.
4.5.3.2 Numerical Implementation
The necessary minimization and maximization are done numerically. Numerical

methods are often used for parameter identification, especially for complex models.
Various methods exist and can be used depending on the properties of the math-
ematical operator representing the model. An overview on existing methods can be
found in [Boy14].
The operator F in this work is non-linear and thus iterative methods have to be
applied. In each iteration, the Tikhonov functional and the maximum time-interval
length has to be evaluated. In addition, the evaluation of the operator F is com-
putationally expensive.
One solution for these problems is to apply a two term strategy to solve the
min-max problem. First, the Tikhonov functional with incorporated tolerances is
minimized to find a starting point for the min-max problem within the given tol-
erance. Using this starting point, the min-max problem is solved by maximizing the
time interval and minimizing the penalty term to keep regularization. The former
discrepancy term is now used as a non-linear boundary condition on the feasible set.
This ensures that all requirements of the inverse problem are still fulfilled while
optimizing the process parameter further. It also reduces the number of evaluation
of the maximum time-interval length and thus reduces computational effort.
For each of the two steps, a different solver can be applied. To solve the initial
inverse problem, the REGINN algorithm with a conjugate gradient method is used
[Lech09]. This algorithm linearizes the operator and uses the conjugate gradient
algorithm to solve the linear problem. A new iteration is then started with the found
solution as the point where the operator is linearized.
If the algorithm is able to find a parameter set that produces a simulated surface
with the given tolerance to the provided data, then the non-linear optimization for
maximizing the end-time as described in Sect. 4.5.3.1 is performed. However, this
step cannot be solved by using the REGINN algorithm because the full min-max
problem does not fulfill all requirements and a gradient method is used instead. This
method is slower but has fewer conditions on the mathematical operator, which
allows the application.
Overall, the two step approach reduces the amount of performed operator
evaluation by utilizing a fast converging algorithm to solve the non-linear inverse
problems without wear on the tool, which then provides a good start estimation for
the more complex min-max problem at hand.
4.5.4 Tribologically Active Textured Surfaces
Metal forming processes are generally subject to friction. Friction (e.g., in

micro-deep drawing) predetermines process feasibility, work piece quality, or the
achievable drawing ratio b0 [Nie18]. In the micro-regime, friction becomes even
more crucial to forming processes because of the size effects associated with a
relative increase of adhesive forces [Vol10]. Friction in forming processes is a result
to the effectiveness of lubrication, surface chemistry, velocity of relative motion
between die and work piece, temperature, the dies’ macro geometry, and funda-
mental friction mechanisms. These friction mechanisms are the adhesion, the plastic
deformation [Bhu04], plowing (two- and three-body) [Suh87], and elastic hys-
teresis [Czi10]. The predominance of each of the mechanisms is directly determined
by the contact state of the interfacing surfaces on microscopic level. The contact
conditions are a function of the applied forces, the material properties, and the
microscopic surface geometry. Friction control in forming processes usually
involves lubrication, surface chemistry manipulation, and the adaption of the die’s
macro and micro-geometry. With regard to the development of dry forming pro-
cesses, texturing of forming die’s surfaces has become a major topic in research.
The following sections deal with the generation of textured surfaces using
micro-milling, methodologies for function orientated surface characterization, and
approaches for the selection of most suitable surface textures to achieve minimum
friction in dry micro-deep drawing processes.
4.5.4.1 Micro-Milling to Generate Textured Surfaces
Micro-milling is subject to plowing because the uncut chip thickness becomes the
same order of magnitude as the cutting edge radius rb , resulting in a larger pro-
portion work piece material to be elastically and plastically deformed rather than to
be removed in the form of chips; see Fig. 4.46 [Ara09]. Even though plowing is
4 Tooling 201
associated with an increase of cutting tool wear and losses in dimensional accuracy,
this particular effect can be utilized to generate a regular micro-textured surface,
associated with friction reducing properties [Twa14]. This allows us to apply
micro-milling for both the manufacture the forming die’s geometry and the tribo-
logical active micro-structured surfaces carried out in a single process step.
The prerequisite for the textured surface generation through micro-milling is the
application of micro-ball-endmills with diameters in the range of 0.5 to 2.0 mm and
a cutting tool alignment normal to the machined surface. The actual design of the
regular texture is determined by the properties of the machined material; that is, the
material hardness, the cutting strategy (up- or down-milling), and the machining
parameters width of cut ae and feed per tooth fz [Twa14].
4.5.4.2 Micro-Tribological Investigation
Reliable and significant tribological investigations are the premise for the selection
of suitable tribological active surface textures and thus the successful development
of, for example, dry micro-deep drawing processes applying micro-textured
forming dies. The aims of this investigation are the assessment of short-term and
long-term frictional behavior and wear. However, tribological assessment in the
micro-regime is challenging due to size effects, such as the dominance of adhesion,
and also the application of delicate samples and experimental setups. This led to the
development and application of specialized equipment for micro-tribological
investigations. With regard to design and complexity of these experiments, the DIN
50322 defines six categories of setups linked to sheet metal forming processes.
These categories range from I, representative for the actual forming process in
industrial environment, to VI for model like experiments with simple sample
geometries and equipment. The accessibility to the surfaces under test and the
simplicity of the setup is improved for higher category numbers, although the
comparability and transferability of the investigation’s results to the real forming
process is limited. Precise micro-forming presses have been developed for category I
tribological experiments [Sch08a, Beh15]. Equipped with additional linear encoders
and piezo-electric force measurement systems, these machines allow for the deter-
mination of punch- and blank holder forces with a resolution of 0.01 N and the punch
stroke detection with a resolution of 1 l m when micro-deep drawing. Work carried
out in the Collaborative Research Center 747 comprised the first deep drawing
experiments using rectangular micro-deep drawing dies with textured surfaces
made by micro-milling, see Fig. 4.49. The aim of this work was to increase the
achievable drawing ratio b0 by providing favorable tribological conditions [Böh14].
However, a clear increase in forming die performance due to surface texturing was
not observed. This was drawn back to inaccuracies in die machining and
punch-die-alignment, and also manual positioning of the blanks over the drawing
cavity [Böh16].
Furthermore, geometrically scaled down strip drawing tests were carried out in
the Collaborative Research Center 747 (tribological experiment category V)
Fig. 4.49 Micro structured micro-deep drawing die a, design of drawing cavity b, and topography
of micro-structured area c (in accordance with [Böh16])
[Bri10]. Various textured samples made from hardened tool steel that was machined
by micro-milling, which were applied against strips of austenitic stainless steel. The
texture design was determined by the tool diameter d and the line pitch ae . A clear
dependence of the confection of friction on the arithmetical mean height Sa of the
textured samples was found. Compared to a polished reference sample, the coef-
ficient of friction was reduced by about 20% when applying micro-textured samples
with arithmetical mean heights of about Sa = 200 nm [Bri10].
Micro-tribometers, due to their simplicity in setup and the capability to reduce
testing time compared to strip drawing experiments, are well suited for the tribo-
logical investigation of micro-textured surfaces, especially under dry conditions.
A methodology for the reliable tribological investigation using a micro-tribometer
in ball-on-plate configuration (tribological experiment category VI) was presented
by the researchers of the Collaborative Research Center 747 [Böh18]. The spheres
used as tribological counterparts were undergoing run-in procedures in preparation
for tribological investigations. Here, equilibrium facet areas on the spheres are
formed due to initial wear. The final size of the facet areas is determined by the
sphere material and the applied normal force FN . Once a steady state of the facet
area is reached, reliable tribological investigations can be carried out without the
impact of crucial changing wear and friction mechanism to the experimental result.
Tribological investigations using a micro-tribometer in ball-on-plate configura-
tion with spheres from aluminum alloy Al99.9 exhibiting equilibrium facet areas
were conducted under dry conditions. A polished reference sample and various
textured samples made by micro-milling made form hardened tool steel were used
in the experiments. The surface plots of four exemplary samples are shown in
Fig. 4.50. The experimental setup and determined coefficients for each of the four
surfaces are shown in Fig. 4.51.
The results of the micro-tribological investigations displayed in Fig. 4.51b,
which clearly indicate that the surface roughness of the samples (i.e., the contact
conditions at the sample-sphere-interface on microscopic level) has a distinct
influence on the dry frictional properties. For the presented material combination,
hardened tool steel and Aluminum Al99.9, the tribological active sample surface
should ideally exhibit an arithmetical mean height Sa of about 150 nm to achieve
minimum friction. A lower sample roughness leads to an increase in friction, which
4 Tooling 203
Fig. 4.50 Surface plots of samples applied in tribological testing: a polished reference sample R
(Sa = 24 nm), b sample #1 (Sa = 148 nm), c sample #2 (Sa = 470 nm), and d sample #3
(Sa = 741 nm) (in accordance with [Böh16])
Fig. 4.51 a Ball-on-plate setup for frictional testing on a micro-tribometer and b average
coefficients of friction for forward and backward motion as a function of the sample number and
the associated arithmetical mean height Sa (in accordance with [Böh16, Böh18])
can be traced back to an increased impact of adhesion. Roughness greater than

150 nm is expected to promote interlocking of surface’s asperities also associated
with an increase of friction. However, a deeper understanding of the correlation of
the surface topography and dry friction, and their mathematical description inevi-
tably requires function orientated surface characterization ahead of common sta-
tistical roughness parameters, including suitable contact modeling.
4.5.4.3 Function Orientated Surface Characterization
The precise description of the interrelationship of the topography of a surface and

their functional properties, such as the friction provoked in dry tribological contact,
requires for sufficient roughness measurement and analysis techniques. The
well-established, two-dimensional profilometry is not sufficient, especially when
taking into concern tribological problems of micro-cold forming processes [Gei97,
Ver01]. For example, profilometry does not allow to reliably distinguishing a dent
from a scratch on a technical surface [Gei97]. Rather, areal measurement and
characterization of surfaces is necessary. The first appropriate areal roughness
measurement systems such as confocal microscopes or white light interferometers
(WLI) were introduced in the ninetieths of the last century. Together with the
ISO 25178 standard Geometrical product specification (GPS)—surface texture:
areal for areal roughness analysis, released in 2012, there is today a powerful
toolbox for sufficient and function orientated surface characterization.
The ISO 25178 standard distinguishes between two categories of parameters for
surface characterization: areal field parameters and areal feature parameters
[Lea13]. Areal field parameters comprise first of all of the statistical surface
parameters (or height parameters) such as the arithmetical mean height Sa. Those
parameters originate form two-dimensional profilometry and were transferred to
areal surface characterization. All areal field parameters have in common, that their
calculation is based on the use of every data point measured and filtered over the
surface evaluation area. With regard to function orientated surface characterization
the function related parameters (a sub-category of areal field parameters) are of
greater relevance [Veh15b]. Function related parameters mainly comprise those
parameters derived from the Abbott-Firestone curve or material ratio curve such as
the material ratio corresponding to a section height Smr(c) or the Sk parameters
determined by graphical construction. For surface characterization using areal
feature parameters (these are e.g. the peak density Spd or the arithmetical mean of
peak curvature Spc) only beforehand determined features on the surfaces are taken
into account [Lea13]. These features are categorized by the areal features hills
(H) and dales (D), line features such as ridge lines (R), and the punctual features
peak (P) and valley (V). The determination of feature parameters from a filtered
surface is carried out using watershed segmentation [Blu03]. To avoid over seg-
mentation additional Wolf-pruning is applied [Wol84, Wol93]. Wolf-pruning
removes all fractions of the surface of interest below a predetermined threshold
height value. The threshold value is defined as percentage of the maximum height
difference of the filtered surface Sz and is 5% by default. With regard to
micro-contact and friction modeling the determination of the hills (H) and related
parameters of surfaces are of greatest relevance, as they directly determine the
contact state on microscopic level when interfacing with another surface and thus as
4 Tooling 205
Fig. 4.52 Surface plot of an exemplary micro-textured surface generated by micro-milling and
associated areal feature parameters
expected the dry frictional conditions. Figure 4.52 shows the exemplary segmen-
tation of a textured surface generated by micro-milling to derive the feature
parameters hill (H) and the associated surface characteristics.
4.5.4.4 Surface Micro-Contact Modeling
The rough nature of a surface provokes the formation of discrete, microscopic

contact areas, when interfacing with another surface. Therefore, the fine finish of a
technical surface has a considerable impact on its functional characteristics, such as
friction and wear. The predetermination of these particular characteristic requires
the precise description of the micro-contact state of two interfacing surfaces. This
demand led to the development of various statistical micro-contact models
throughout the past decades. Even though there are more sophisticated models, the
contact model of Greenwood and Williamson remains the most famous and most
cited model.
Greenwood and Williamson’s model describes the solely elastic contact of a
rough surface with an ideally flat surface [Gre66]. The micro-geometry of the rough
surface is described by some idealized properties. It is assumed that the topography
consists of a large number of spherical hills or asperities, which are all of the same
curvature radius bz (coinciding with the parameter Spc) and that their heights are
distributed normally. Together with mean asperity height lz and standard deviation
of the asperity height rz , the height distribution can be expressed by the specific
probability density function Eq. (4.11).
Fig. 4.53 Contact of a rough

with an ideally flat surface
ðzl Þ 2
1 2i
UðzÞ ¼ pffiffiffiffiffiffiffiffiffiffi e 2rz ð4:11Þ
2pr2z
If the surfaces are pressed together until the ground level of the rough surface
and the ideally flat surface are separated by a distance d, then every asperity of the
rough surface will make contact with the ideally flat surface whose height was
originally greater than d, see Fig. 4.53.
The probability of any asperity of the height z making contact with the flat
surface can be calculated by Eq. (4.12).
Z1
Pðz [ dÞ ¼ UðzÞdz ð4:12Þ
d
If the rough surface comprises of N0 (coinciding with the parameter Spd) asperities
in total, then the number of contacts will be:
Z1
N¼ N0 UðzÞdz: ð4:13Þ
d
The real area of contact can be derived from Eq. (4.14).
Z1
A¼ N0 pbz ðz dÞUðzÞdz ð4:14Þ
d
Taking into concern Hertzian theory of non-adhesive elastic contact and the
elastic material properties of both the surfaces in contact expressed by the effective
elastic modulus E*, the total load FN is:
Z1
4 pffiffiffiffiffi 3
FN ¼ N0 E bz ðz dÞ2 UðzÞdz ð4:15Þ
3
d
4 Tooling 207
The applicability of the Greenwood and Williamson model to the micro-contact

modeling of actual technical surfaces is limited due to the over-simplified
assumptions regarding the micro-geometry of the rough surface. In addition, the
implementation of actual technical surfaces into the Greenwood an Williamson
model based on well-established parameters from two-dimensional profilometry or
from the more recently introduced areal field parameter is not feasible.
Serendipitously, the particular surfaces of interest (that is, micro-textured surfaces
generated by micro-milling) exhibit a regular arrangement of asperity-like surface
features. The assessment of these surfaces using areal feature parameters allows
their implementation into the Greenwood and Williamson model, and thus
micro-contact modeling for moderate loads and predominantly elastic contact
behavior.
Let us consider the four surfaces (#R, #1, #2, and #3) introduced in Sect. 4.5.3.2
for micro-tribological investigation. The parameters total number of asperities N0 ,
mean of curvature radius bz , mean asperity height lz , and standard deviation of the
asperity height rz were evaluated for all four surfaces using areal feature parameter
analysis according to ISO 25178. The parameters were transferred to the
Greenwood and Williamson model and, subsequently, the number of asperities in
contact N and the real area of contact A were calculated for normal forces in a range
from 1 N to 5 N assuming a projected interface area of 1 mm2 and a material
combination of hardened tool steel and aluminum Al99.5 ðE ¼ 57; 079 N=mm2 Þ,
see Fig. 4.54a and b. Additionally, the average force acting on an asperity Fi was
calculated in dependence on the applied normal force and is shown in Fig. 4.54c).
A distinctive correlation of the friction coefficients of the surfaces measured in
the micro-tribological experiments and the three evaluated parameters N, A and FI
can be derived from the diagrams in Fig. 4.54. An increase of the asperities in
contact generally coincides with a decrease in friction, an increase in the real area of
contact A generally coincides with an increase in friction. The same correlation was
found for the average force acting on a single asperity FI and the coefficient of
friction l. From the impressive consistency of the results shown, it can be con-
cluded that the even though simple model of Greenwood and Williamson is
Fig. 4.54 Contact of a rough with an ideally flat surface according to [Gre66]
Fig. 4.55 Work flow of inverse modeling for optimized forming die manufacture
well-suited for the micro-contact modeling of textured surfaces generated by

micro-milling in tribological contact. This approach builds a sound foundation for
the development of scale dependent friction models, for example, based on the
work of Bhushan and Nosonovsky helping to determine best suited textured sur-
faces for friction reduction in dry micro-sheet metal forming [Bhu04]. The appli-
cation of the friction model of Bhushan and Nosonovsky with regard to micro-sheet
metal forming was shown previously by and Shimizu et al. before [Shi15].
4.5.4.5 Inverse Modeling for Optimized Forming Die Manufacture
All of the introduced concepts and models are combined to find ideal process
parameters for optimized forming dies. A desired friction lS is set and surface
parameters derived from set friction. The process model is used as the forward
operator in an inverse problem to find a suitable set of process parameters. These
process parameters are then used in the real physical process to produce a work
piece with the desired friction. The work flow is visualized in Fig. 4.55.
Overall this approach allows us to optimize manufactured forming dies by using
process parameters that result in a desired friction.
4 Tooling 209
4.6 Predictive Compensation Measures for the Prevention

of Shape Deviations of Micromilled Dental Products
O. Riemer*, P. Maaß, F. Elsner-Dörge, P. Gralla, J. Vehmeyer, M. Willert, A.

Meier and I. Zahn
Abstract Micro-milling is widely applied for the manufacture of dental prostheses

because only this process guarantees geometrical accuracy and adequate surface
topographies compared to novel methods such as selective laser melting. Dental
prostheses require hard and tough materials like cobalt-chrome alloys or ceramics
due to the demands of the application. When machining, static and dynamic
interactions between the milling tool and the workpiece govern the cutting process
and may worsen the work result, especially the geometrical accuracy. The deflec-
tion of the tool has a significant influence. However, deflections can be compen-
sated through adapted manufacturing strategies by adjusting the process parameters
or by optimizing the tool path, therefore increasing the quality of the final product.
In the work presented, the deflection of the milling tool is compensated by read-
justing tool positioning before the actual process to ensure the nominal tool position
and eliminate form deviations of the workpiece. The interaction between tool and
workpiece is investigated with help of micro- and macroscopic surface simulations,
supported by experimental data and parameter identification. The optimization is
performed through mathematical methods from the area of inverse problems,
applying regularization with sparsity constraints.
Keywords Milling ∙ Simulation ∙ Optimization
4.6.1 Introduction
Micro-milling as part of micro-machining offers high efficiency and adaptability

regarding machinable geometries and materials, while maintaining relatively high
material removal rates [Veh15a]. Deploying these advantages, micro-milling is an
established process for the manufacture of mold inserts and also dental prostheses
(see Fig. 4.56), which require hard and tough materials, such as cobalt-chrome
(CoCr) alloys, ceramics or titanium alloys.
Because mating surfaces of dental prostheses are often seated in narrow cavities
with steep inclines, milling tools with large length-to-diameter ratios (up to l/
d = 18) are necessary to machine these functional surfaces. However, these fine
tools are prone to deflection as a direct outcome of the acting process forces. Shape
deviations up to several tens of micrometers can be caused by the deflections and
can eventually lead to a rejection of the prosthesis. Thus, applicants of
micro-milling processes are obliged to enhance their technology if they wish to stay
competitive.
Fig. 4.56 Dental bridge from

CoCr alloy (Courtesy of Bego
Medical GmbH)
A promising and universal method to meet these production challenges is to

prepare an adjusted tool path via Computer Aided Manufacturing (CAM), which
can help to reduce shape deviations. However, these preparations are difficult to
reproduce because they always depend on the individual capabilities of the pro-
grammer and do not necessarily consider all factors responsible for shape devia-
tions. To this day, apart from the workpiece geometry given by a CAD model, only
the tool geometry and the machining strategy are considered within CAM systems,
whereas material properties and the interaction of tool and workpiece leading to
variable process forces and, therefore, hard to predict tool deflections are not yet
considered in these systems.
Here, aiming for a better comprehension of the process itself and to investigate
possible correlations between process forces, tool deflection and shape deviations,
defined abstracted geometries are machined, which inhibit most the critical con-
ditions in the manufacture of dental prostheses. The forces and the resulting shape
are measured and compared for a variety of machining conditions. The obtained
insights were then employed for a predictive optimization method using modeling
and simulations elaborated in preliminary works [Pio15, Pio11].
The simulation based approach requires a calibration of the existing model.
Subsequently, a validation and the application of the model for the process opti-
mization are carried out. The implementation follows the diagram shown in
Fig. 4.57.
First, a sufficiently precise forward model is required. Based on the work in the
SFB 747-subproject Flexible Manufacture of Tribologically Optimized Forming
Tools (Sect. 4.5), the data based model was expanded for the dental material CoCr
and appropriate tools. The acquisition of the empirical data base was realized by
means of a model geometry, which was developed together with the industrial
partner BEGO Bremer Goldschlägerei Wilh. Herbst GmbH & Co. KG (BEGO).
The calibration was carried out as an iteration, as can be seen in Fig. 4.57a; the
actual optimization follows Fig. 4.57b. The calibrated model is applied for the
calculation of the optimal machine control by minimizing
4 Tooling 211
Fig. 4.57 Overview of the working steps and participation
kAðu þ dÞ y0 k: ð4:16Þ
A comparison between CAD geometry and actual measured geometry serves to

evaluate the results and the model validation.
4.6.2 State of the Art and Aim
CAD/CAM-process chains for the manufacture of dental prostheses have been

made possible through the expansion of cutting processes towards a miniaturization
of tools and through an enhancement of machine tool precision. The main differ-
ence between micro-milling and conventional milling is the size of the applied tools
and the associated structures that can be manufactured. Generally, tool or structure
size range in dimensions smaller than a millimeter [Cam12].
Regarding machine tools, the manufacture of micro-components or workpieces
inhibiting micro-features requires adapted machine behavior and process control.
Because of the diameters of these small tools, high spindle speeds of several ten
thousand up to a few hundred thousand rpm are essential to achieve adequate
cutting velocities. Aside from high-frequency main spindles, means for higher
position accuracy, higher stiffness and improved thermal stability of the machine
system are decisive. Consequently, machine tools for micro-milling rely on tech-
nologies such as hydrostatic bearings, linear direct drives, precision scales, active
cooling and controlled compensation of thermal expansion [Che10].
In contrast to conventional cutting, which employs a variety of cutting materials,

micro-cutting and particularly micro-milling are almost solely performed with
cemented carbide tools. For the machining of hard and tough materials, a physical
vapor deposited (PVD) coating (e.g. TiAlN) is applied to reduce tool wear [Ara08].
Tool suppliers have to meet the demands for the provision of defined cutting edges
because powder metallurgic tools are limited in their achievable cutting edge
sharpness. In conjunction with the small chip thickness in micro-milling, effects can
occur that may result in a plastic deformation (ploughing) in addition to mere cutting,
in case the chip thickness falls below a critical minimum. Consequently, process
forces can increase and often be the cause of unpredictable tool damage [Uhl14].
Tool deflection during micro-milling was examined by Dow et al. by machining
slots with a linearly varying depth and circular grooves with a radius of 80 mm and
a depth of 0.50 mm in hardened tool steel. In the first case, a non-linear relationship
between the machining force and the tool’s deflection was discovered. In the second
case, the sweep angle in combination with the tool feed direction was determined as
a significant factor for the tool’s deflection. The eligibility of their developed model
regarding compensation of the deflection was proven [Dow04].
In a study conducted by Kim et al., similar results were obtained. Here, a
half-cylinder was machined by ball end milling with 10–16 mm diameter tools and,
therefore, cannot be ranked among micro-milling processes [Kim03].
4.6.3 Applied Materials and Methods
Workpiece Materials
To parameterize the surface model established in Sect. 4.5 [Pio11, Veh12, Veh15a,
Veh17b], the model inherent cold work steel was machined with a milling tool
inhibiting a large length-to-diameter ratio of l/d = 12, cf. Tables 4.6 and 4.7.
Subsequently, the adapted model was transferred to the machining of
SLM-generated CoCr dental material.
Machine Tool, Force Measurement and Position Measurement
The machining experiments were for the most part carried out on a DMG Sauer
Ultrasonic 20 linear micro-milling center, as depicted in Fig. 4.58. The tool path
was programmed with the commercially available CAM software CimatronE. For
a comparison of the achievable accuracy (cf. Fig. 4.64), experiments were also con-
ducted on a Röders RXP500 using DentMILL as CAM software.
Forces were measured with a Kistler multicomponent dynamometer with a
sampling rate of 10,000 Hz. A method for the synchronized recording of force and
position was developed to enable a subsequent correlation of geometry, forces and
the resulting shape deviations. Therefore, the force signals of the multicomponent
dynamometer were recorded simultaneously with the analogue position signals of
the x-, y- and z-axes and plotted synchronously to allow for an allocation of forces
to distinguish the geometric features of the machined elements.
4 Tooling 213
Table 4.6 Material data of the applied workpiece materials

Material Cold-work steel CoCr
Specification 1.2379 (X 155CrVMo-12-1) Wirobond® MI+
Alloy elements C (1.55) Co (63.8)
Si (0.4) Cr (24.8)
Mn (0.3) W (5.3)
Cr (11.8) Mo (5.1)
Mo (0.75) Si (<1)
V (0.82)
Hardness Max. 64 HRC 36.6 HRC
Density 7.7 g/cm3 8.5 g/cm3
Tensile strength >2,000 N/mm2 (hardened) 970 N/mm2
Table 4.7 Milling tool specification for machining of hardened steel and CoCr
Hardened steel CoCr
Type Cemented carbide ball end Cemented carbide ball end
Tool radius r 0.25 mm 0.5 mm
Length l 6 12 mm
Number of flutes z 2 2
Coating (Al, Ti, Si)N TiAlN
Spindle speed n 36,000 min−1 38,000 min−1
(a)
machine tool DMG Sauer

ULTRASONIC 20 linear
structure 5-axes-portal
max. rpm 60,000 min-1
(b) max. feed rate 40,000 mm/min
travel X / Y / Z 200 / 220 / 280 mm
Fig. 4.58 a Machine tool; b machining setup

Fig. 4.59 SEM images of applied ball end mills in fresh and used condition
Applied Milling Tools

Cemented carbide two edged ball end mills with a TiAlN coating were applied for
the experimental procedures, both for the hardened steel and CoCr workpiece
materials. Because the different manufacturers could not provide corresponding tool
geometries, a compromise was made by maintaining a matching length-to-diameter
ratio of l=d = 12 for both materials, whereas the radius r and length l are larger by a
factor of 2 for the CoCr milling tools, as given in Table 4.7 and shown in Fig. 4.59.
Tool wear was investigated by scanning electron microscopy after an approximate
cutting distance of 3000 mm, as shown in Fig. 4.59. While the milling tools for
hardened steel showed slight coating flaws in the delivered condition, which indi-
cated by the brighter areas on the cutting edge, the tools for CoCr were in a faultless
condition. Both tool types showed a similar wear characteristic after machining. On
the cutting edge, the coating has worn off and the highest tool wear can be located in
proximity to the tool center, as expected due to the contact conditions during
machining. Additionally, the CoCr showed signs of wear on the rake face and flank
but no critical thresholds were exceeded for any of the applied tools.
4 Tooling 215
Fig. 4.60 a Geometry of cone; different machining strategies: b spiral pressing cut, c spiral
pulling cut
Test Geometries, Machining Parameter/Strategy and Metrology

To make a comparison between the different CAM-programs (CimatronE and
DentMILL) and machine tools (DMG Sauer and Röders) regarding the achievable
accuracy, application oriented geometries in the form of concave cones dimen-
sionally in the range of connective elements of dental implants were machined, cf.
Fig. 4.60. Two different strategies were applied (spiral pressing cut and spiral
pulling cut).
The workpiece geometry for the subsequent experimental investigations (pa-
rameterization etc.) was a linear arc ridge consisting of two plane faces and three
segments of a circle with the same radius merging into each other, as shown in
Fig. 4.61. These defined abstracted geometries represent the critical conditions in
the manufacture of dental prostheses, while at the same time an easy metrological
assessment is possible. These geometries were machined into the cobalt-chrome
alloy manufactured by selective laser melting (SLM).
The arc ridges were machined according to different strategies. As described in
[Rie16, Rie17b], the tool was moved alongside the ridge (longitudinal) and across
Fig. 4.61 a Geometry of the arc ridge for CoCr (geometry for steel was half the dimensions);
b machining strategy
Table 4.8 Machining parameters

Material Cold-work steel CoCr
ae (mm) 0.010 0.015 0.020 0.025 0.04 0.08 0.12 –
vf (mm/min) 500 500 500 500 1,000 1,300 1,600 1,900
(transverse) to reveal influence of deflections for pulling and pressing cut, and to
analyze different contact conditions of the tools’ cutting edge and the workpiece.
Additionally, a series of experiments were carried out where only the transverse
strategy with pulling cut was applied.
The finishing cut was the final cut after a rough cut and a pre-finishing cut.
Rough cuts and pre-finishing cut were the same for each arc ridge and only the
finishing cut was conducted with different parameters. According to Fig. 4.61, the
symmetric arc ridge was divided into six segments. The outer segments were kept
in the state after the rough cut, the segment next to it in the state after pre-finishing
and only the inner segments were finished. This was done to guarantee a com-
parison of the shape before and after finishing.
For the test series with hardened steel as workpiece material, the spindle speed
was kept constant at n = 36,000 min−1. The same applied for the axial infeed and
feed rate, which were kept constant at ap = 4 lm, vf = 500 mm/min respectively.
Radial infeed ae was varied according to Table 4.8.
For the test series with CoCr as workpiece material, the spindle speed was kept
constant at n = 38,000 min−1. The same applied for the axial infeed, which was
kept constant at ap = 20 lm. Radial infeed ae and feed rate vf were varied
according to Table 4.8. For all materials and parameter variations, up milling was
chosen to incite significant force signals. The inclination angle of the tool was kept
constant at b ¼ 0 .
The tool path was programmed with CimatronE CAM software. In total, 24 arc
ridges were micro-milled. The resulting shape was measured with a KLA Tencor
profilometer P-15 and compared to the target geometry. The resulting shape after
machining—that is, the measured surface profile (dotted orange line Fig. 4.62b)—
was measured tactilely with the profilometer. Reference geometries in the form of
two radial grooves, as depicted in Fig. 4.62, were machined in advance into the
plane surfaces of the arc ridge to align the measured surface profile with the target
geometry in x- and y-direction by removing the offset and thus guaranteeing an
exact fit of target geometry and measured geometry.
The results for the steel experiments regarding force measurements show that
surface roughness will be recapitulated briefly ahead because their relevance to the
subsequent simulations and optimization is subordinate. Generally, the results show
a qualitative resemblance to the results obtained with the CoCr material, which will
be discussed in detail in the following chapters. The progression of the vertical
force across the arc ridge geometry was almost symmetric, with the highest values
registered on the plane surfaces and the peak. The force increased with radial infeed
ae from Fz = 1.5 N up to Fz = 3 N. The same applies to the surface roughness,
4 Tooling 217
Fig. 4.62 Schematic principle of shape deviation evaluation
where a dependency between radial infeed and roughness value Ra can be con-
firmed. Ra increases from Ra = 225 nm up to Ra = 400 nm with increasing ae
according to Table 4.8. The obtained insights were applied for the parameterization
of the model established in the SFB 747-subproject C2.
Simulation and Modeling
The simulation-based method consists of a geometric surface model and a kine-
matic process model. Therefore, geometric data processing for workpiece and tool
volumes, and for concepts for offsetting path manipulators are applied [Veh17b].
The estimation of cutting forces is based on regression [Den14]. The surface model
mainly provides the interface surface between the workpiece volume and the swept
volume of the moving tool. The interface can be calculated for both microscopic
and macroscopic scale. The differences are not primarily the sampling accuracy of
the underlying computation grids but are more closely related to simplifications in
modeling; that is, size effects like the minimum chip thickness, accuracy of cutting
edge approximation and simplification in kinematics [Veh12]. From a mathematical
point of view, both scales differ in the regularity and, therefore, in numerical
treatment of the optimization.
The surface model is also applied to determine the geometry of the contact zone
between tool and workpiece to estimate the load F. The interaction is modeled by a
one mass oscillator, equation
m€d þ d d_ þ kd ¼ F ð4:17Þ
with tool deflection d and cutting force F. The physical constants m, d, k depend on
the process dynamics and are treated as scalar model constants, identified with help
of parameter identification methods.
Mathematical Optimization and Parameter Identification

The obtained mathematical model is used to find process parameters that will
reduce the deviation of the surface. For parameter identification in calibration and to
reduce deviation in the manufacturing process, mathematical optimization and
inverse problem methods are used. The forward model is noted with A and takes the
parameter u 2 U as input, which is mapped onto the measurement v 2 V by the
model A. In parameter identification, F and v are known and a suitable u has to be
found. This can be done by minimizing
kAðuÞ vk; ð4:18Þ
which in the ideal case has a minimum of 0. If only the right-hand side of the
equation
AðuÞ ¼ v ð4:19Þ
is of interest, then the resulting problem is a optimization problem. If the parameter

u itself is of interest, for example for indirect measurements or to find true model
parameters, then the problem at hand is an inverse problem [Rie03, Lou01]. The
boundaries between these two cases are not strict and some methods are used for
both aspects of parameter identification. In the subproject C2 of the SFB 747
inverse methods were used to identify model parameters from experiments through
indirect measurements. This still holds true for the model parameter selection in this
subproject T4 because it is based on the same model. In addition, the field of
inverse problems addresses the issue of noised data and ill-posed problems. Noised
data means that instead of ideal data v or measurements, a small perturbed version
vd is known. An ill-posed problem refers to characteristics of the model A, which
will result in large deviations of the reconstructed u if vd has small perturbations. In
combination, this leads to small error in measurements to large error in the
parameter identification. To solve this issue, several different types of regulariza-
tions are used to handle the ill-posed nature of the model. In Fig. 4.63, the forward
model and inverse problem are visualized.
The micro and macro models used in this work are both ill-posed and need
regularization for parameter identification. Tikhonov’s method with classic and
Fig. 4.63 Visualization of inverse problems

4 Tooling 219
sparsity penalty terms are used to handle the ill-posed nature of the model at hand.
For Tikhonov Regularization a functional
1 p 1
p;q
Ja;d ðuÞ ¼ AðuÞ vd p þ a <q ðuÞ ð4:20Þ
p q
is minimized. This functional consists of two terms: a discrepancy term that min-
imizes the distance between simulated and given data and a penalty term on the
parameter u that stabilizes the parameter identification. A classical choice for <q is
<q ðuÞ ¼ kukqq with q ¼ 2 or sparsity regularization a certain structure of few active
basis elements for the parameter in a defined basis of the space U is assumed. While
a l0 -norm on the basis coefficient would best represent this idea, it is not very
practical for numerical computation. Instead, a l1 -norm on the basis coefficients of
is used as penalty term (for more information on sparsity see [Jin12]).
Since the model A is non-linear, iterative methods are used to find the desired
minimizer. Depending on the parameter type different methods are used. For small
dimension vector parameters, a sequential quadratic programming (SQP) and gra-
dient descent solver are used [Boy14]. To compensate the deviation of surface, the
cutting tool path needs to be adjusted. This leads to a high dimensional parameter
and, therefore, too many cost intensive iterations for a SQP or gradient descent
method. To reduce the dimension, a greedy approach is used by dividing the tool
path into i intervals of equal length. Therefore, the parameter u is a composition of
parameters uk on the defined intervals. Instead to finding u at once each uk is found
in succession of the prior Uk1 . This leads to multiple minimization problems
which are based on solutions found on the first intervals. This way the dimension of
each minimization problem is reduced; however, the resulting composition of all uk
might not be a local minimum on the whole tool path.
Processing the row data is essential for comparison and application in opti-
mization. Because simulation and measurement need to be aligned, a shift on the
x; y; z -axis and rotation of the measurement is determined by comparing simulated,
vs , and measured, vm , data by minimizing
Z
ðvs ðsÞ Sðx; y; z; rotz ðu; vm ðsÞÞÞÞ2 ds ð4:21Þ
X
over x; y; z; u, where S is the shifting operator on the x; y; z-axis and rotz ðu; Þ a
rotation around the z-axis by u in radian. This minimization is done once for a
measurement. The noised data for parameter identification is then
vd ¼ Sðx; y; z; rotz ðu; vm ÞÞ: ð4:22Þ
Through this adjustment, the shape of simulated and measured surface can be
compared directly. While this is enough in practical applications, it hides sym-
metrical under and overcuts in the process. For the arc ridge, this means that under
and overcut can be partly compensated by a single shift in y -axis. To understand an
underlying cause of deviation in surface profile, this compensation is unwanted.
Therefore, two parallel cuts on the left and right of the arc ridge were made and
used to find the shift and rotation of the measurement. Consequently, process
deviations are being looked at rather than shape deviations. The actual shape
deviations will be less or equal to the process deviations.
4.6.4 Results
Comparison of Machined Cones

The machined cones were measured with a coordinate measuring machine, a
Ferranti Merlin MK 2 Twin Star. The diameter was measured at three different
heights with each 36 measurement points and compared among each other and to
the nominal value, cf. Fig. 4.64. The deviation from the ideal circular form was also
determined and subjected to comparison.
While in no case the nominal value of the diameter could be attained, it is apparent
that the spiral pressing cut provides better results than the spiral pulling cut, both
regarding the diameter and regarding the shape deviation. Comparing the facilities at
BEGO and LFM, both can approximately deliver the same results, which is crucial
for a possible transition of optimization methods between the two partners.
Force/Position Measurements for CoCr
On the basis of priority, the results for the longitudinal strategy will not be dis-
cussed here but are described in detail in [Rie16, Rie17a]. While in x- and
y-direction signals were for the most part overlaid by noise, the most explicit
signals were obtained in z-direction for the vertical force Fz. Here, every milling
line can be recognized (s. Fig. 4.65a) and detailed progression of Fz for a single line
can be achieved by zooming in, see Fig. 4.65.
A simultaneous plot of the z-position together with Fz over time provides com-
prehension about the coherence of acting forces depending on the position of the tool,
as depicted in Fig. 4.65b. Obviously, the force changed depending on the geometry
of the arc ridge, and thus the contact conditions of the tool. To allow for a position
specific evaluation of the force, the arc ridge was divided into five sections in the
x-direction, compare Fig. 4.65b. Observing the process from the middle of the arc
ridge in Sect. 3, the forces showed an almost symmetric progression. A comparison
of the average vertical force Fz in all five sections is given in Fig. 4.65. High forces
were recorded on the plane surfaces in arc ridge sects. 1 and 5 as well as on the
convex arc in Sect. 3 but it decreased in the circle segments (concave arcs in Sects. 2
and 4). The forces for Sect. 4 are slightly higher than those for Sect. 2, which can be
traced back to the downward movement of the tool in Sect. 4.
Regarding the influence of the machining parameters, the maximum vertical
force reaches up to Fz, max = 3 N for a radial infeed of ae = 0.04 mm. For the higher
radial infeed of ae = 0.08 mm the maximum vertical force reaches up to
Fz, max = 9.5 N. Comparing the minimal and maximal values for the different feed
rates, two circumstances are remarkable. In general, higher feed rates result in
4 Tooling 221
Fig. 4.64 a Measured diameter and comparison to target diameter; b measured deviation from an
ideal circle
higher forces although the force values for feed rates vf = 1,300 mm/min and
vf = 1,600 mm/min are very similar for both radial infeeds (Fz, min = −0.5 N;
Fz, max = 4.5 N). For vf = 1,900 mm/min. Meanwhile, the force for ae = 0.08 mm
is particularly high with a maximum of Fz, max = 9.5 N (Fig. 4.66).
The influence of the radial infeed ae is more distinct. The difference between
ae = 0.04 mm and ae = 0.08 mm is at least DFz = 3 N in-between the plane and
convex arc section. In the concave arc sections, the forces are lowest and also differ
only marginally for all parameter combinations.
Fig. 4.65 a Force

measurement plot of five
milled lines and zoomed
single milling line;
b correlation of average
vertical force Fz (blue) and
z-position (red) and sections
of actual arc ridge geometry
shown below (not true to
scale)
For all progression of forces, Fz, max is registered in Sect. 3 of the arc ridge but
not on the peak of the arc ridge. In all cases, the highest force has a displacement to
the right (i.e. in the direction of Sect. 4), which is most likely caused by a bending
of the milling tool.
Surface Roughness
The surface roughness was investigated by white light interferometry and the
parameters Sa and Sq were derived (Gaussian filter ISO 11562; 80 lm cut-off) to
evaluate the influence of the machining parameters on the surface quality. The
average roughness ranges from Sa = 130 nm to Sa = 390 nm and, respectively,
from Sq = 170 nm to Sq = 480 nm, as shown in Fig. 4.67. Except for the lowest
feed rate vf = 1,000 mm/min, the surface roughness increases with a higher radial
infeed ae . The influence of the feed rate itself does not become as apparent but a
tendency for higher roughness when applying higher feed rates is visible.
Correlating the surface roughness to the forces in the preceding chapter, it becomes
obvious that higher forces indicate a higher surface roughness.
4 Tooling 223
Fig. 4.66 Average vertical force Fz for different sets of vf and ae in the five sections of the arc
ridge (transverse machining strategy)
Fig. 4.67 Surface roughness Sa and Sq depending on the feed rate vf and the radial infeed ae
(transverse machining strategy)
Fig. 4.68 Simulation setup

for the transversal machining
campaign
Simulation Results
In the first step, process dynamics were analyzed and, therefore, the transversal tool
path was chosen. The simulation setup is illustrated in Fig. 4.68.
In Fig. 4.69a the simulated function of uncut chip thickness is shown and the
removed volume along the ridge is visualized in Fig. 4.69b. Due to the cavity in the
order of the tool diameter, the plotted function indicates peak forces at the transition
from flat to sloped shape, which can be explained by the sudden engagement of the
outer parts of the cutting edges. Furthermore, a slight difference between pulling
and pressing cut can be stated from Fig. 4.69.
The simulated and the reference surface profiles are shown in Fig. 4.70a, the
distance of both is plotted together with measurement results in Fig. 4.70b. The
measurement is represented by a tolerance area, which is determined through three
experiments. Measurements and simulation show a good agreement with neglected
dynamics of the cutting tool; that is, m ¼ d ¼ 0 in the dynamic behavior of the
4 Tooling 225
Fig. 4.69 a Simulated function of uncut chip thickness; b removed material volume along the
ridge
Fig. 4.70 a Simulated surface profile and reference; b form deviation (distance) of the reference
and the final surface (simulation and measurement)
cutting tool. However, this does not mean that there is no deflection of the tool in
the model. The dynamic behavior has a delay effect on the deflection with small
effects on the surface and does not improve the conformity in the range of the
chosen cutting parameters. The longitudinal milling strategy is generally insensitive
to oscillations of the cutting tool. The static method is used for further simulations.
4.7 Thermo-Chemical-Mechanical Shaping of Diamond

for Micro Forming Dies
Ekkard Brinksmeier, Oltmann Riemer* and Christian Robert
Abstract Diamond reveals outstanding properties such as high hardness, low wear
against mechanical load, high chemical inertness against most aggressive chemical
liquids and a very low friction coefficient against metals. Therefore, diamond
appears as a suitable material for micro forming tools, especially when provided
with micro-structured surfaces; thus, the results of forming processes will be
improved compared to tools with smooth surfaces. For machining single crystal
diamond, the thermo-chemical effect between diamond and selected carbon-affine
metals like iron or nickel at high temperatures was exploited. Major findings of this
investigation reveal that, besides graphitization, the diamond removal is governed
by oxidation, while diffusion was not detected. This thermo-chemical-mechanical
shaping process was successfully applied for micro-structuring of single crystal
diamond.
Keywords Diamond ∙ Thermo-chemical machining ∙ Material removal ∙ Micro

structure
4.7.1 Principles of Diamond Machining by Using

Thermo-Chemical Effect
Although diamond is mostly chemically inert, there are materials which react with
diamond, causing excessive wear of the diamond. This effect is based on the reaction
kinetics of diamond, which is metastable under normal conditions. Figure 4.71a
shows the pressure–temperature phase and the transformation diagram for carbon
[Che13]. The solid line (Berman–Simon line) which starts at 1.7 GPa and 0 K (point 1)
represents the equilibrium phase boundary between stable diamond plus metastable
graphite (region A) and stable graphite plus metastable diamond (region E). Region C
shows the liquid phase of carbon. The dashed line above triple point 2 marks the
temperature/pressure threshold of the very fast and complete solid–solid transforma-
tion of graphite to diamond [Bun96]. Above this dashed line, marked as region B,
transformation yields cubic-type diamond. Region D represents a full graphite trans-
formation. Furthermore, Fig. 4.71a shows the typical high-pressure–high-temperature
regime (region f) for commercial synthesis of single crystal diamond by catalysis
[Bun96] and the typical chemical vapor deposition (CVD) regime (region h) for the
synthesis of diamond [Ass02]. Region g represents the fast temperature–pressure
regime of diamond–graphite transformation.
4 Tooling 227
(a) (b) energy

25 Transition state complex
(no catalyst)
20
pressure in GPa
B Metal-carbon complex
15 (MC)
2 Ea
10 A g Metal-carbon-oxygen
C mc
f Eacat omc complex (OMC)
5 E Eacat
1 D
h
0
0 1 2 3 4 K 5 ΔE
temperature in K x103 graphite
Fig. 4.71 Pressure–temperature phase and transformation diagram of carbon according to [Ass02,
Bun96] (a); and energy reaction diagram of diamond to graphite [Pau96] (b)
At normal conditions (room temperature and normal pressure), diamond is

thermodynamically metastable. Nevertheless, a transformation of diamond to gra-
phite under normal conditions is not detectable, due to the required high activation
energy (Fig. 4.71b; transition state complex). Even so, there are some catalytic
metals like iron, nickel, molybdenum or vanadium that can decrease the required
activation energy to graphitize diamond (Fig. 4.71b; metal–carbon complex). Paul
et al. [Pau96] proposed that transition metals with unpaired d-shell electrons
decrease the required activation energy. Furthermore, they suggested that the
number of unpaired d-shell electrons is proportional to the transformation rate
obtained during diamond machining experiments. Thus, for example, iron with four
unpaired d-shell electrons should produce a higher transformation rate than cerium
with one unpaired d-shell electron. Measurable quantities of diamond–graphite
transformation start under normal pressure at around 700 °C. Once the diamond
comes into contact with the transition metal at elevated temperature, the C-C bonds
are stretched and afterwards destroyed. Unbound carbon atoms can subsequently
diffuse into the transition metal, graphitize, react with ambient oxygen to form CO
or CO2 (Fig. 4.71b; metal–carbon–oxygen complex), or react with the metal to
form carbides [Pau96].
This effect of increased diamond transformation in contact with transition metals
has been used by different researchers to polish single [Tat16] and polycrystalline
diamond [Wei01] by the technique of dynamic friction polishing. The principal
setup of this technique is a fast rotating metal plate made of carbon-affine metals
like iron, nickel, manganese or molybdenum, which is pressed against the diamond.
To increase the contact temperature between the metal plate and the diamond, the
contact force is increased or external heating is used to heat the metal plate or the
diamond, respectively. A typical setup for dynamic friction polishing is shown in
Fig. 4.72 to polish single crystal diamond [Suz03].
Chen et al. [Che09] utilized the thermo-chemical polishing technique to machine
polycrystalline diamond composites with a diameter of 12.7 mm. The specimens
contained about 75% diamond particles with a grain size of about 25 μm and an
initial surface roughness of Ra = 1.7 μm. The remainder of the specimens consisted
MC spindle
(a) (100) (b) MC spindle
SUS304 disc tool
Diamond
Disc tool Spark
P vs Diamond
0.7
Linear motion guide
with air cylinder
Holder Diamond
30
Tool dynamometer Air
Linear
NC table of machining center motion guide
Fig. 4.72 Schematic illustration of dynamic friction polishing method (a) and polishing
experiment on a machining center (b) [Suz03]
of SiC and Si and were pressed against a metal plate made from 1.4301 steel. The
contact pressure between the diamond and metal plate was chosen between
2.2 MPa and 5.5 MPa, and the sliding speed of the rotating metal plate between 8
and 31 m/s. To characterize the technique of friction polishing without external
heating for polycrystalline diamond composites, Chen et al. were able to develop a
material removal map and determined three different working regimes, which are
divided into zones with low material removal rates, safe removal and a cracking
zone, depending on the contact pressure and sliding speed. By using experimental
parameters (e.g. 25 m/s and 2.7 MPa), the diamond removal rate amounts to
0.084 μm/min and the achieved surface roughness of the diamond reaches down to
Ra = 50 nm after 18 min polishing time.
To understand the influence of the ambient gas during dynamic friction pol-
ishing, Suzuki and co-workers [Suz03] investigated the diamond removal mecha-
nism in various atmospheres. Non-heated polishing experiments were carried out on
single crystal diamonds (0.6 mm 0.6 mm 5 mm) which were pressed with
100 MPa against a rotating metal plate (sliding speed vs = 2500 m/min) made from
1.4301 steel. As the ambient gas, air, oxygen, argon and nitrogen were applied.
Suzuki et al. could show that polishing in air and under argon atmosphere led to
similar diamond removal rates of 900 μm/min and 920 μm/min respectively.
Polishing under oxygen atmosphere enhanced the diamond removal rate to
1480 μm/min, whereas a nitrogen atmosphere reduced the diamond removal rate to
820 μm/min. These high diamond removal rates are attributable to the high contact
pressure, which generates a high contact temperature. With respect to the experi-
ments performed and the subsequently executed investigations, the authors con-
cluded that there is no effect of oxidation under argon and nitrogen atmospheres.
The basic mechanism in this experiment is a rapid diffusion of carbon into the
stainless metal plate, while oxygen increases the diamond removal strongly.
To exploit the higher diamond wear affected by ambient oxygen, Wang et al.
[Wan06] investigated thermo-chemical polishing assisted by a mixture of oxidizing
agents, which are KNO3, NaOH, KNO3 + NaOH and KNO3 + LiNO3. The
chemical vapor deposited diamond films exhibited a surface roughness of 8 and
17 μm before polishing. Aluminum was chosen as the material for the metal plate,
4 Tooling 229
which has no thermo-chemical effect on the diamond. Therefore, the diamond wear
potential of the oxidizing agents can be identified separately. As the second plate
material, iron was used to investigate the interaction between iron and the oxidizing
agent. For all experiments the metal plate was preheated to 350 °C. Wang et al.
could show that all oxidizing agents have a diamond removal effect after 3 h of
polishing at a pressure of 0.1 MPa and a rotating speed of 81 rpm. The highest
diamond wear was achieved with the mixture of LiNO3 + KNO3 with 1.2 mg/cm2/
h. When using the iron plate and the LiNO3 + KNO3 mixture, the diamond wear
increased to 1.7 mg/cm2/h with a final surface roughness of Ra = 0.4 μm. A similar
approach to improve the diamond surface was pursued by Kubota et al. [Kub16].
They investigated the potential of various tool materials in an H2O2 solution to
smooth single crystal diamond. It was shown that, by adding H2O2 solution, nickel
generates the highest material removal rate of 33.35 nm/h at room temperature,
followed by iron with 4.29 nm/h, copper with 1.33 nm/h and 1.4301 steel with
1.28 nm/h. The best surface roughness (Ra) for all tool materials was very similar,
in the range between 0.157 nm (copper) and 0.165 nm (steel).
All the studies described confirm that diamond wear with diamond polishing of
flat surfaces is possible. The achievable removal rates of diamond and the surface
qualities depend on the applied experimental parameters. Due to the experimental
setup of the dynamic friction polishing, a micro-structuring of single and poly-
crystalline diamond is not possible. To overcome this restriction, Imoto et al.
[Imo17] proposed a non-moving technique of thermo-chemical patterning, which
used graphitization and diffusion of carbon atoms into the tool material. Therefore,
they pressed a micro-structured nickel mold (1 mm 1 mm) for 15 min at
approximately 30 MPa and 60 MPa, respectively, against a single crystal diamond
at a temperature of 800 °C. To avoid oxidation of the nickel mold, argon gas was
pumped into the experimental chamber. The machined diamond surface showed a
rough, rugged and tessellated texture [Imo17]. This surface texture was caused by
the nickel mold, which creates a rugged surface texture during heating at 800 °C.
The transferred depth of the micro-structures into the diamond surface was deter-
mined to be 20 nm (± 5 nm) and 83 nm (± 12 nm) at a pressure of 30 MPa and
60 MPa, respectively.
The authors compared mischmetal (composition in Table 4.9) and pure iron
(99.5%) in a contact test with single crystal diamond at elevated temperatures
[Bri09]. The motivation for this investigation was the higher solid solubility of
carbon in mischmetal than in iron, as described by [Jin93]. Thus, if diamond
material removal is limited by the solubility of carbon in the metal, higher solubility
should produce a higher removal rate.
Table 4.9 Composition of mischmetal alloy as provided by the manufacturer

Element Ce La Fe Nd Pr Mg Zn
mass% 40.3 23.6 20.0 10.2 3.3 1.97 <0.5
(a) (b) (c) 2

0
-2
Depth in µm
-4
-6
-8
-10
-12
-14
100 µm
-16
250 µm 100 200 300 400 500 600 700
Distance in µm
Fig. 4.73 Diamond surface after contact test with mischmetal at 750°C and 20 h (a) and iron at
850 °C and 5 h machining (b) and profile section of iron machined diamond (c) [Bri09]
It was found that mischmetal has no diamond removal effect for temperatures at
600 °C and holding times up to 24 h [Bri09]. Initial removal effects were deter-
mined at temperatures of 750 °C and holding times of 16 h or more. No removal of
diamond material appeared over the complete contact area, and only certain loca-
tions on the diamond surface were etched. Contact tests with iron at 850 °C showed
a diamond removal over the entire contact area with an increasing diamond removal
as the holding time rose from 3 to 5 h. The authors showed that solid iron is a better
catalyst material for defined shaping of single crystal diamond than mischmetal
[Bri09] (Fig. 4.73).
4.7.2 Ultrasonic Assisted Friction Polishing
Previously performed investigations showed that machining of diamond with

transition metals is possible. The methods used so far, i.e. dynamic friction pol-
ishing and non-moving thermo-chemical patterning, appear to be unsuitable pro-
cesses due to the experimental setup or low diamond wear rates. To achieve higher
diamond removal rates to shape complex diamond surfaces in a short time, the
authors developed the technique of ultrasonic assisted friction polishing [Rob17a].
Therefore, a 20 kHz, 700 W ultrasonic generator was used to oscillate the metallic
friction tool; a piezo ceramic converts the electrical voltage into a mechanical
longitudinal vibration and the booster amplifies the amplitude. The friction tool was
clamped in a non-amplifying sonotrode with an amplitude of about 8 μm in the
z-direction. The machining setup is depicted in Fig. 4.74, which shows a schematic
illustration (a) and the realized setup (b); for the machining, a single crystal dia-
mond was fixed in a holder and pressed against the friction tool. The diamond
holder was fixed on a dynamometer to control the force acting between the diamond
and the friction tool. To prevent bending of the oscillating friction tool, a second
diamond was fixed on the opposite side and pressed against the friction tool as a
4 Tooling 231
(a) (b)
cooling nozzle
Z 20 kHz
Y ~ sonotrode
X pyrometer
F F camera system
heating elements
micro actuator in Z-direction micro actuator in X-direction dynamometer

(c) cylindrical F F
(d)
single crystal
friction tool diamond: single crystal
1.6 mm
of Fe, Ni diamond with
and Mo workpiece machined
with 4 mm counter part groove
diameter
Fig. 4.74 Experimental setup of ultrasonic assisted friction polishing with pure metals: overall
machining setup (a); realized setup (b); workpiece and tool engagement (c); machined single
crystal diamond (d)
counterpart. In order to realize the required reaction temperature, heating elements

were integrated in the holder close to the diamonds. The temperature of the
machined diamond was determined by an optical pyrometer with a wavelength of
1.6 μm. For this wavelength, single crystal diamond is almost fully transmissive
and thus the temperature in the contact zone between the diamond and metal is
measurable. The experiments were performed on synthetic single crystal diamonds
of type Ib with dimensions of 1.6 1.6 1.4 mm3 in the preferred (100) direc-
tion. As described above, the metal friction tool is used as the catalyst and the
unbinding carbon from the diamond lattice can diffuse into the metal tool with the
possibility of forming carbides, reacting with ambient oxygen to form CO and CO2
or to transform into a graphite layer.
4.7.2.1 Diamond Removal by Ultrasonic Assisted Friction Polishing

Using Pure Metals
The objective of the first part of this work was to determine the capability of the
three different pure metals, iron (min. 99% Fe), nickel (min. 99% Ni) and
molybdenum (min. 99% Mo) as catalyst materials, to increase the diamond removal
rate. With respect to the formerly discussed theory from Paul et al. [Pau96],
molybdenum has five, iron four and nickel two unpaired d-shell electrons.
Experimental investigations were performed with a friction tool with 4 mm
diameter which was pressed against the single crystal diamond during machining.
After machining, grooves with different removal depths could be detected.

A schematic illustration is shown in Fig. 4.74.
Initially, the authors studied the influence of the different removal mechanisms:
oxidation, diffusion and carbide forming, graphitization and possible mechanical
abrasive diamond removal by the ultrasonic assisted friction polishing. To separate
the effective diamond removal mechanism, a concept of varying experimental
setups was developed as depicted in Fig. 4.75. By this concept, a separation of the
effective diamond removal mechanisms and, therefore, a determination of the
diamond removal caused by the mechanisms becomes possible. The basis of this
concept is the ultrasonic assisted friction polishing process, which is carried out
under atmosphere and in a high vacuum chamber. During polishing in atmosphere,
all the diamond removal mechanisms (oxidation, diffusion and carbide forming,
graphitization as well as mechanical diamond removal) are acting at the same time.
When polishing in high vacuum, oxidation of cracked carbon atoms is prevented.
To avoid a mechanical abrasive diamond removal, pure contact tests with
non-moving contact parameters at elevated temperatures were performed.
The friction polishing experiments in atmosphere were conducted in a contact
temperature range between 20 and 450 °C and in high vacuum between 20 and
300 °C. This means that the measured contact temperature during machining was
kept constant. Due to the ultrasonically assisted friction tool, the contact temper-
ature may increase lightning-fast for infinitely small areas; these localized tem-
peratures are not detectable. Therefore a median temperature in the contact zone
was measured. For each start of machining, the diamond was heated up externally
diamond removal
regime experimental set-up aim
mechanism
oxidation
thermo- friction
polishing in diffusion
chemical-
mechanical atmosphere graphitization
abrasion determination of
diamond removal
caused by oxidation
thermo- friction
polishing under diffusion
chemical-
mechanical high vacuum graphitization
abrasion determination of
diamond removal
caused by abrasion
thermo- contact test diffusion

chemical under inert gas graphitization
Fig. 4.75 Illustration of the experimental procedure for separating the diamond removal
mechanism in machining of diamond
4 Tooling 233
to the desired temperature and subsequently machined between 10 and 60 min with
the moving friction tool. The contact load for all diamond removal tests with pure
metals was kept at 5 N.
In addition, contact experiments were carried out in nitrogen atmosphere to
avoid oxidation of carbon atoms in the heated chamber. During the contact tests, the
diamond was fixed in a holder and a metal rod with 4 mm diameter was pressed
against the diamond with a dead weight of 0.5 kg. Experiments were conducted in a
temperature range between 600 and 850 °C with holding times between 0 and
60 min. Holding times of 0 min were used to determine the diamond removal
which was achieved by solely heating and cooling the test sample. Diamond
removal volumes without holding time were subtracted from each measurement
with higher holding times and the same contact temperature.
After finishing all the machining experiments, the diamond was cleaned by
etching with aqua regia at 100 °C for 60 min to dissolve residues from the diamond
surface. Subsequently, a white light interferometer was used to measure the
machined diamond surface; subsequently, the removed diamond volume at a length
of 1 mm was evaluated by using SPIP software. The removed diamond volumes
were plotted in 3-dimensional diagrams including a fit plane.
4.7.2.2 Experimental Results
Friction polishing experiments in ambient atmosphere with pure iron showed that,
for all parameters, diamond removal was observed (Fig. 4.76). The removed dia-
mond volume was measured between 6.18 100 μm3 for 20 °C, 10 min, and
7.04 106 μm3 for 450 °C, 50 min. These values lead to a median cavity depth of
0.25 μm and 19.76 μm, respectively. The results confirm the strong influence of the
contact temperature. With rising temperature, the removed diamond volumes
increased. Experiments without preheating showed the lowest diamond removal
and a rough surface (condition A). With increasing temperature, the surface
roughness decreased to a minimum (condition B) and rose with further increase of
the contact temperatures (condition C). These different roughness values can be
attributed to the varying regimes and varying diamond removal mechanisms, as
well as the changing material properties of the friction tool condition for higher
temperatures. Nevertheless, different mechanisms are acting in parallel. For
experiments at lower contact temperature, the machined diamond shows a rutted
surface with grooves in the direction of the vibration. In contrast to this, diamond
surfaces machined at the contact temperature of 300 °C show a smooth surface with
almost no surface fissuring. These results imply that at lower contact temperatures
mechanically induced diamond wear takes place simultaneously with the
thermo-chemical mechanism. The increasing surface roughness at elevated contact
temperatures is due to the fact that the friction tool loses its mechanical strength. As
a result, surface disruption occurred and the diamond surface mirrored the deteri-
orated surface of the tool. Further significant data points for iron as the tool material
are summarized in Table 4.10 and will be discussed in the following.
(a) thermo-chemical-mechanical thermo-chemical induced thermo-chemical induced

induced diamond wear diamond wear diamond wear
A B C
1000 1000 Z [µm] 1000
Z [µm] 800 Z [µm] 800 800
0 600 0 600 0 600
10 400 10 400 10 400
0 200 0 200 0 200
200 200 Y [µm] 200
400 Y [µm] 400 400 Y [µm]
600 0 600 0
polishing in atmosphere
X [µm] 600 0 X [µm] X [µm]

20 °C; 35 min; 5N 300°C; 60 min; 5N 450°C; 20 min; 5N
Sa = 102 nm Sa = 65 nm Sa = 204 nm
x106 10 x106
8
removed diamond
µm3 B 7
5
volume
6
2,5 5
0 C 4
60
A 3
min 2
20 1
400
200 °C 0
0 100
0
(b) (c) x105

x105 x105
x105
polishing in vacuum
contact experiments
I
removed diamond
6
removed diamond
10 3 10
µm3 2,5 µm3 5
4
volume
F 3 5
volume
5 G
2,5 E 1,5 2,5 H 3
0 1 0 2
60 60 1
0,5 min
min D 0 0
20 300 20 850
100 200
°C
0 700 750 °C
0 50 600 650
Fig. 4.76 Machined diamond surfaces after polishing in atmosphere and diamond removal
diagram for polishing in atmosphere (a), polishing in high vacuum (b) as well as for contact test
with pure iron (c)
Table 4.10 Significant data points with iron as tool material for different experimental setups and
machining conditions
Polishing in Polishing in high Contact test
atmosphere vacuum
Machining condition A B C D E F G H I
Contact temperature [°C] 20 300 450 20 20 300 800 850 850
Contact time [min] 35 60 50 35 60 60 60 30 60
Surface roughness [nm] 102 65 204 82 196 68 1751 621 1004
Diamond removal x106 [μm³] 2.72 4.26 7.04 0.05 0.04 0.14 0.22 0.43 0.93
4 Tooling 235
Table 4.11 Diamond removal rates for polishing in atmosphere with iron as tool material
Contact temperature [°C] 200 300 400
Contact time [min] 10/30/40/60 10/30/40/60 10/30/40/60
Diamond removal rate 141/127/127/103 186/156/134/151 456/206/251/179
[μm³/min/μm²]
To analyze the effect of possible carbon diffusion into the tool material, the
diamond removal rates were studied for experiments with contact temperatures of
200, 300 and 400 °C for machining times of 10, 30, 40 and 60 min (Table 4.11). To
achieve comparable results for all contact temperatures, the diamond removal rates
were related to 1 μm2 of the machined diamond area. The experiments showed that
the diamond removal rate after 10 min machining time is the highest for all contact
temperatures compared to longer machining times.
With increasing machining time, the removal rate decreased slightly to similar
diamond removal rates (Table 4.11). The slightly higher diamond removal rates for
short machining times can be attributed to the cylindrical shape of the friction tool.
At the beginning of the machining, the cylindrical friction tool is pressed against the
diamond in line contact, which results in a higher contact load. After a short time,
the tool is slightly flattened and the contact load decreases compared to the contact
load with longer machining times. For experiments with a contact temperature of
400 °C, the diamond removal rates showed a much higher variability. Longer
machining times showed no significant influence of the diamond removal rate,
which is an indication that diffusion of carbon atoms into the tool material is
negligible. For further proof, a metallurgical element analysis was carried out to
identify the raised carbon content in the subsurface of the friction tool. For the
analysis, a friction tool which was used at 300 °C and 60 min was chosen. The tool
was cut and 10,000 measurements in an area of 0.5 mm 0.1 mm from the contact
zone into the tool material were taken as the depth profile. The investigation found
no carbon atoms in the tool material, which underlines that diffusion is insignificant.
To investigate the influence of oxygen, polishing experiments were carried out in
a high vacuum condition with 1 10−6 Pa and contact temperatures between 20
and 300 °C. Higher contact temperatures led to breakouts on the diamond surface,
starting at the edge. In contrast to the experiments in atmosphere, the highest
diamond removal was identified for machining conditions D and E without pre-
heating. The removed diamond volume was two times higher than the diamond
removal in atmosphere. Preheating of the diamond to contact temperatures reduced
the diamond removal. With a further rise to 300 °C, the diamond removal increased
again and the formation of graphite on the diamond surface was detected by Raman
analysis, which is shown in Fig. 4.77. For lower contact temperature, the formation
of graphite could not be detected.
In addition to polishing experiments, contact tests in a nitrogen atmosphere were
conducted to analyze the possibility of diamond removal by graphitization and
diffusion. The experiments were conducted at contact temperatures between 600
and 850 °C. Experiments with lower contact temperatures showed no (600 °C) or a
(a) (b)
Iron
Metal debris Diamond Graphite
T = 300 ºC; t = 60 min; F = 5 N
100 µm counts 200 400 600 800 1000 1200 1400 1600 1800 2000
Raman shift cm -1
Fig. 4.77 Polished diamond surface in high vacuum (a) and Raman analysis (b)
very low (650°C) diamond removal. With increasing contact temperature up to 800
°C, the diamond removal increased steadily. Contact tests at a temperature of 800 °
C (condition G) showed a lower diamond removal compared to vacuum experi-
ments with a highest contact temperature of 300 °C (condition F). When increasing
the contact temperature up to 850 °C, the diamond removal increased significantly.
These results reveal that the formation of CO and CO2 is the significant mechanism
for ultrasonic assisted polishing of single crystal diamond in contact with pure iron.
Experiments in atmosphere show up to 30 times higher diamond removal rates
compared to experiments in high vacuum. With increased contact temperatures, the
formation of graphite has a more relevant role under the elimination of oxygen.
Lower contact temperatures in ambient atmosphere and in high vacuum lead to a
strong abrasive diamond removal (Table 4.12).
In further experiments, nickel was used as the tool material for friction polishing
at ambient atmosphere (Fig. 4.78). The removed diamond volume was measured
between 3.63 104 μm3 for 20 °C, 10 min and 3.25 106 μm3 for 300 °C,
60 min. These parameters led to a median cavity depth of 0.75 μm and 8.25 μm,
respectively.
In contrast to experiments without preheating and with iron as the tool material,
nickel showed an almost nine times higher removed diamond volume (condition A).
With rise of the preheating temperature and time, the removed diamond volume
increases to the maximum at condition B and decreases slightly with a further rise of
Table 4.12 Significant data points with nickel as tool material for different experimental setups
and machining conditions
Polishing in Polishing in high Contact test
atmosphere vacuum
Machining condition A B C D E F G H I
Contact temperature [°C] 20 300 450 20 200 300 750 850 850
Contact time [min] 35 60 50 35 60 60 50 30 60
Surface roughness [nm] 505 109 2344 127 106 / 153 240 239
Diamond removal x106 [μm³] 0.23 3.25 2.98 0.18 0.10 0.01 0.01 0.06 0.07
4 Tooling 237
(a) thermo-chemical-mechanical thermo-chemical induced thermo-chemical induced

induced diamond wear diamond wear diamond wear
A B C
1000 1000 Z [µm] 1000
Z [µm] 800 Z [µm] 800 800
0 600 0 600 0 600
10 400 10 400 10 400
0 200 0 200 0 200
200 200 Y [µm] 200
400 Y [µm] 400 400 Y [µm]

600 0 X [µm] 600 0 X [µm] 600 0
X [µm]
20 °C; 35 min; 5N 300°C; 60 min; 5N 450°C; 50 min; 5N
Sa = 505 nm Sa = 109 nm Sa = 2344 nm
3,5 x106
x1066
B 3
removed diamond
µm3 C
2,5
volume
2 2
0 2,5
60 1
A
min 1,5
20 400 0
°C
0 200
0 100
(b) x105
(c) x104
x105 x105
contact experiments
removed diamond
polishing in vacuum
7
removed diamond
10 3 10
µm3 2,5 µm3 6
5
volume
3
volume
5 5 4
2,5 F 1,5 2,5 I
3
0 1 0 G H 2
60 60
D E 0,5 1
min min 0
0
20 300 20 850
100 200
°C
0 700 750 °C
0 50 600 650
Fig. 4.78 Diamond removal for polishing in atmosphere (a), polishing in high vacuum (b) and for
contact test (c) with pure nickel as well as machined diamond surfaces after polishing in
atmosphere
preheating (condition C). The reduction of the ability to remove diamond is probably
caused by the formation of nickel oxides. Experiments without preheating showed a
rough surface and declined strongly with increasing temperature to a minimum at
condition B. A strong rutted diamond surface was identified for condition C.
Compared to the experiments with iron, nickel led to a higher diamond surface
roughness after machining. For all the investigated contact temperatures, the dia-
mond removal rates identified show a similar curved shape. For shorter machining
times (10 min), the diamond removal rates showed high values. With increase of the
machining time to 60 min the diamond removal rates decrease significantly for all the
contact temperatures used. This means that nickel quickly loses the capability to
remove diamond (Table 4.13).
Table 4.13 Diamond removal rates at polishing in atmosphere with nickel as tool material
Contact time [min] 10/30/40/60 10/30/40/60 10/30/40/60
Diamond removal rate 227/106/124/72 285/244/201/127 212/113/147/120
[μm³/min/μm²]
In addition to friction polishing experiments at ambient atmosphere, the ability

of nickel to remove diamond in the absence of oxygen in a high vacuum was
investigated in a temperature range between 20 and 300 °C. Similar to experiments
with iron, the removed diamond volume decreased substantially with increasing
preheating temperature (Fig. 4.78b). The contact test for experiments with a contact
temperature of 600 °C revealed a negligible removed diamond volume (Fig. 4.78c).
With increased contact temperature, the removed volume increased slightly to
0.0125 106 μm3 for condition G, which is eight times lower than the equivalent
experiments with iron (0.0926 106 μm3). A rise of contact temperature up to
850 °C (conditions H and I) increased the removed diamond volume further.
Overall, the diamond removal for nickel is about one order of magnitude lower than
for iron (Table 4.13).
Friction polishing experiments at ambient atmosphere with molybdenum
revealed the lowest capability to machine diamond (Fig. 4.79 and Table 4.15).
Experiments without preheating exhibited no diamond removal at all. With
increasing preheating temperature, the removed diamond volume increased slightly
to a maximum at condition C, which is more than 20 times lower than the results
obtained from the use of iron. The maximum diamond removal rates were identified
for the shortest machining time of 10 min. With higher preheating temperatures, the
diamond removal rates decreased for all the contact temperatures used.
Furthermore, the removed diamond volumes exhibited a strong dependence on the
contact temperature and machining time and showed for all parameters strong
grooves aligned in the direction of vibration. The surface roughness was measured
with Sa = 104 nm (condition A) and increased with rising preheating temperature
to 551 nm (condition C). Higher contact temperatures did not lead to an increase of
the surface roughness (Table 4.14).
Table 4.14 Significant data points with molybdenum as tool material for different experimental
setups and machining conditions
Polishing in atmosphere Polishing in high
vacuum
Machining condition A B C D E F
Contact temperature [°C] 125 200 450 20 200 300
Contact time [min] 50 30 50 35 30 60
Surface roughness [nm] 104 305 551 190 202 351
Diamond removal 106 [μm³] 0.02 0.04 0.31 0.19 0.18 0.33
4 Tooling 239
(a) thermo-chemical-mechanical thermo-chemical-mechanical thermo-chemical-mechanical

induced diamond wear induced diamond wear induced diamond wear
A B C
1000 1000 Z [µm] 1000
Z [µm] 800 Z [µm] 800 800
0 600 0 600 0 600
10 10 400 10 400
400
0 200 0 200 0 200
200 200 Y [µm] 200
400 Y [µm] 400 400 Y [µm]
0 X [µm] 600 0 600 0
X [µm] 600 X [µm]

125ºC; 50 min; 5N 300ºC; 60 min; 5N 450 ºC; 50 min; 5N
Sa = 104 nm Sa = 348 nm Sa = 325 nm
x105
x105
2,5
removed diamond
2,5
µm 3 B 2
volume
1,5
1 1,5
0 A
60 C 1
min
0,5
20
400
200 ºC 0
0 100
0
(b) x105
(c) temperature: 850 ºC; time: 50 min; force: 5N
x105 150
polishing in vacuum
contact experiments
100Y [µm]
removed diamond
10 3
µm 3 2,5 50
F B 0
2 A
volume
5 5
2,5 1,5 0 Z [µm]
0 1 -5
60 E 0,5 500 400 300 200 100 0
D
min 0 A B-0
20 300
º C -50 Z [nm]
0 50 100 200
-100
500 400 300 200 100 0
Fig. 4.79 Diamond removal for polishing in atmosphere (a) and polishing in high vacuum
(b) with pure molybdenum. Diamond surface and profile after molybdenum contact test (c) with
holding temperature of 850 °C and holding time of 60 min
Table 4.15 Diamond removal rates for polishing in atmosphere with molybdenum as tool
material
Contact time [min] 10/30/40/60 10/30/40/60 10/30/40/60
Diamond removal rate [μm³/min/μm²] 26/22/20/14 38/16/40/19 50/15/27/27
In contrast to the experiments at ambient atmosphere (Table 4.15), molybdenum

showed a high removed diamond volume in high vacuum. The contact test with
molybdenum showed no effect on the diamond surface. Only for the highest contact
temperature of 850 °C and the longest holding time of 50 min a nearly negligible amount
of removed diamond volume was detected with a maximum cavity depth of 112 nm.
These results exhibit that oxygen and diamond graphitization do not play a
dominant role in removing diamond in a lower temperature range. Only in a higher
temperature range oxygen does play a significant role. At lower temperature zones
mechanically induced diamond wear is the key factor.
4.7.3 Micro-Structuring of Single Crystal Diamond Using

Ultrasonic Assisted Friction Polishing
The second part of this report addresses the capability of the ultrasonic assisted
friction polishing process to micro-structure single crystal diamond for linear
[Rob17b] and circular [Rob17c] polishing. Therefore, 1.4310 steel was used as a
favorable tool material due to its high hardness, higher elevated temperature
strength and better machinability against pure metals. The composition of the
stainless steel 1.4310 is shown in Table 4.16.
Ultrasonic assisted friction polishing tests were carried out to investigate the
capability of steel 1.4310 to remove diamond in the same procedure as described
above for pure metals. Experiments were conducted with contact temperatures in a
range of 200 to 400 °C with a machining time between 20 and 120 min and a
contact load of 5 N. Additionally, diamond removal experiments were carried out
with contact loads of 2 N, 5 N, 8 N, 12.5 N and 25 N to investigate the influence of
the contact load. These experiments were performed at contact temperatures of 125,
200, 300 and 400 °C and a machining time of 40 min.
Diamond removal tests in contact with steel 1.4310 showed similar results as for the
experiments on pure iron. Figure 4.80 shows that the diamond removal is strongly
dependent on the temperature and time. The maximum volume of removed dia-
mond was identified for condition C. In addition to a predictable removed diamond
Table 4.16 Composition of stainless steel 1.4310 (data provided by supplier)

Element C Si Mn P S Cr Mo N Ni
Min mass% 0.05 – – – – 16.00 – – 6.00
Max mass% 0.15 2.00 2.00 0.045 0.015 19.00 0.80 0.110 9.50
4 Tooling 241
A B C
1000 Z [µm] 1000 Z [µm] 1000
Z [µm] 800 800 800
0 600 0 600 0 600
20 20 400 20 400
400
0 200 0 200 0 200
200 200 200
400 Y [µm] Y [µm]
400 Y [µm] 400

600 0 X [µm] 600 0 X [µm] 600 0
X [µm]
200 º C; 90 min; 5N 300 ºC; 90 min; 5N 350 ºC; 90 min; 5N
Sa = 163 nm Sa = 64 nm Sa = 327 nm
x106 x106
removed diamond
20
20
µm3
volume
10
5 10
C
0 B
A
5
100
min
50 0
25 400
ºC
0 300
0 250
Fig. 4.80 Diamond removal for polishing in atmosphere with steel 1.4310
volume, knowledge of the minimum diamond surface roughness was important to

use efficient parameters to micro-structure single crystal diamond. The minimum
surface roughness was detected in the temperature range between 250 and 300 °C
with the lowest surface roughness at condition B.
In addition to the contact temperature and machining time, the contact load plays
an important role in micro-structuring single crystal diamond. To identify the
influence of the contact load on the removed diamond volume and surface
roughness, experiments with five different contact loads (2 N, 5 N, 8 N, 12.5 N,
25 N) were conducted.
Figure 4.81 shows that the removed diamond volume is strongly dependent on
the contact load. In the temperature range between 125 and 300 °C, the removed
diamond volume increased slowly with the increasing contact temperature, apart
from the experiments with 25 N. With an increase of the preheating temperature to
400 °C, the removed diamond volume increased to around 4.2 106 μm3 for all
the contact loads used (except for 25 N). Experiments with a contact load of 2 N
and 5 N showed the lowest surface roughness with Sa = 45 nm (200 °C) and
52 nm (300 °C), respectively. At the high pressure of 25 N, the friction tool lost its
strength and a very rough diamond surface with Sa = 603 nm was generated.
x106 9
83
µm
removed diamond volume

7
6
5
contact load
4
3
25 N
2 12.5 N
8N
1 5N
0 2N
1
125 2
200 3
°C 4
400
polishing contact temperature T
Fig. 4.81 Diamond removal depending on contact load and contact temperature by polishing with
steel 1.4310 as tool material
4.7.3.2 Setup for Micro-Structuring Single Crystal Diamond
To micro-structure single crystal diamond, the shape of the friction tool was
changed. The transformed tool featured two flat and parallel sides, where one side
exhibited a small pin of 1 1 1 mm3. The parallel exterior side of the pin,
which was perpendicular to the centerline of the friction tool, was micro-structured
by micro milling. The experimental setup is shown in Fig. 4.82.
Two different kinds of micro-structure, convex and concave, were chosen as
shown in Fig. 4.83 (left column a–d). Figure 4.83a represents a linear convex
micro-structure of 600 μm 200 μm 120 μm (length, width, height) which is
aligned in the direction of the vibration. The friction tool with a concave
micro-structure possesses the same parameters and is shown in Fig. 4.83b. To
characterize a “smear effect” based on the tool motion during the ultrasonic assisted
friction polishing, an L-shaped structure was chosen (Fig. 4.83c and d) with the same
dimensions. With respect to the polishing and contact load experiments, a preheating
temperature of 250 °C, a machining time of 120 min and a contact load of 4 N for the
concave and 2 N for the convex micro-structured friction tools was chosen.
The experimental results exhibit for all four micro-structures the possibility of
shaping single crystal diamond by ultrasonic assisted friction polishing (Fig. 4.83
lateral view top view
F F single crystal
micro- diamond:
structured
friction tool workpiece
counterpart
Fig. 4.82 Experimental setup of ultrasonic assisted friction polishing for micro-structuring single
crystal diamond
4 Tooling 243
micro-structured friction tool micro-structured single-crystal diamond
(a) A (e) C
Z [µm] Z [µm]
100 100
0 0
-100 -100
800 800 800 800
600 B 600 600 D
600
X [µm] 400 400 X [µm] 400 400
Y [µm] Y [µm]
200 200 200 200
A-B 0 0 C-D 0 0
43 µm
0
110 µm
120
Z [µm]
-40
Z [µm]
80
40 -80
0 -120
0 200 400 600 800 0 200 400 600 800
X [µm] X [µm]
(b) E (f) G
Z [µm] Z [µm]
100 100
0 0
-100 -100
800 F 800 800
H 800
600 600 600 600
X [µm] 400 400 X [µm] 400 400
Y [µm] Y [µm]
200 200 200 200
E-F 0 0 G-H 0 0
80 µm
0
Z [µm]
120
Z [µm]
-40
80
25 µm
-80
-120 40
0
0 200 400 600 800 0 200 400 600 800
X [µm] X [µm]
(c) I (g) K
Z [µm] Z [µm]
100 100
0 0
-100 -100
800 800 800 L 800
600 J 600
600 600
X [µm] 400 400 X [µm] 400 400
Y [µm] Y [µm]
200 200 200 200
I-J 0 0 K-L 0 0
33 µm
120 0
120 µm
Z [µm]
Z [µm]
80 -40
40 -80
0 -120
0 200 400 600 800 0 200 400 600 800
X [µm] X [µm]
(d) M (h) O
Z [µm] Z [µm]
100 100
0 0
-100 -100
800 N 800 800 800
600 600 P 600
600
X [µm] 400 400 X [µm] 400 400
Y [µm] Y [µm]
200 200 200 200
M-N 0 0 O-P 0 0
0
92 µm
Z [µm]
120
Z [µm]
-40 80
20 µm
-80 40
-120 0
0 200 400 600 800 0 200 400 600 800
X [µm] X [µm]
Fig. 4.83 Micro-structured friction tool a–d and micro-structured single crystal diamond e–h
right column e–h). It can be seen that the shape of the transferred micro-structure on
the top of the diamond has sharp edges and has the same dimensions as the friction
tool. This confirms that the micro-structure is transferred accurately into the dia-
mond and the micro-structured friction tool can keep the geometry during pro-
cessing. Convex micro-structured diamond surfaces show a deeper micro-structure
(43 μm + 33 μm) than concave micro-structured diamond surfaces
(25 μm + 20 μm). This result is based on a better oxygen feed to the convex
micro-structured friction tool than to the concave micro-structured friction tool with
a plane surface which has a tight contact with the diamond surface.
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4 Tooling 251
Chapter 5
Quality Control and Characterization
Peter Maaß, Iwona Piotrowska-Kurczewski, Mostafa Agour,

Axel von Freyberg, Benjamin Staar, Claas Falldorf, Andreas Fischer,
Michael Lütjen, Michael Freitag, Gert Goch, Ralf B. Bergmann,
Aleksandar Simic, Merlin Mikulewitsch, Bernd Köhler,
Brigitte Clausen and Hans-Werner Zoch
P. Maaß I. Piotrowska-Kurczewski (&)

Zentrum für Technomathematik, Bremen, Germany
e-mail: iwona@math.uni-bremen.de
M. Agour (&) C. Falldorf R. B. Bergmann A. Simic (&)
e-mail: agour@bias.de
A. Simic
e-mail: simic@bias.de
M. Agour
Faculty of Science, Department of Physics, Aswan University, Aswan, Egypt
A. von Freyberg A. Fischer M. Mikulewitsch (&)

e-mail: m.mikulewitsch@bimaq.de
B. Staar M. Lütjen M. Freitag
BIBA—Bremer Institut für Produktion und Logistik GmbH, Bremen, Germany
G. Goch
The University of North Carolina at Charlotte, Charlotte, USA
R. B. Bergmann
Physics and Electrical Engineering and MAPEX Center for Materials and Processes,
B. Köhler (&) B. Clausen H.-W. Zoch
Leibniz-Institut für Werkstofforientierte Technologien, Bremen, Germany
e-mail: koehler@iwt-bremen.de

254 P. Maaß et al.
5.1 Introduction to Quality Control and Characterization
Peter Maaß and Iwona Piotrowska-Kurczewski*
The increasing demand for miniaturization is having an immense impact on

manufacturing technologies and is leading to the development of many novel and
innovative production processes for high-precision micro parts. Industrially feasible
micro production requires fast quality assurance control mechanisms, which need to
take into account the micro-specific properties.
In this chapter several innovative technologies for quality control of production
processes for high-precision micro parts will be presented. The proposed innovative
solutions also address the need to ensure the quality of final products, which should
be manufactured with approved (specified) materials and within certain perfor-
mance requirements. Therefore, careful quality control is required during each
production step.
Micro production processes and related techniques for quality control and
characterization need to take into account the size effects that occur at the micro
level, which lead to different scaling of forces and additional manufacturing errors
that do not occur in macro processes. As a consequence, the conventional control
methods for macro processes may fail, or become much more complicated or
unreliable when applied to micro processes. In order to guarantee efficient quality
assurance, possible error classes must be redefined and evaluated.
Moreover, in order to achieve an upscaling in the number of produced parts, the
semi-finished products must be examined for mechanical properties. Micro pro-
duction is characterized by a low aspect ratio of components to microstructure,
which can dominate the mechanical behavior by means of the surface defects. It
turns out that fatigue strength is an important component property.
This chapter presents some technical and methodological solutions for quality
control and characterization measurement, with respect to size effects and
up-scaling in micro production.
Digital holographic measuring systems (DHM) have the potential for complete
(100%) and fast quality testing. Such a system is described in Sect. 5.2 together
with fast algorithms for geometric evaluation and surface defect detection. The
proposed method is demonstrated by inspecting cold formed micro cups.
This system is suitable for the automated examination and classification of micro
deep drawn parts in an industrial environment. Together with automatic error
detection, which uses the knowledge of the shape of the object, it allows the reliable
inspection of components with a measuring speed of about one part per second.
Further reduction of time is possible by additional optimization of the error
detection algorithm. Section 5.3 shows the inspection of the interior of micro parts
in the industrial environment.
5 Quality Control and Characterization 255
To guarantee consistent production parameters for semi-finished products, which

are subsequently used for the production of micro components, a characterization of
their physical properties is of particular importance. Due to the often oligocrys-
talline character of these semi-finished products and components, it is necessary to
use a suitable testing technique for static and dynamic investigations, as the
mechanical properties are not transferable from the macroscopic point of view.
In addition, the micro semi-finished products and components often show
inhomogeneities induced by the manufacturing process. On the one hand, these are
directly reflected in the microstructure and on the other hand they have an effect on
quantities such as hardness or residual stresses, which play a decisive role in the
application. Mechanical testing, conventional metallography, SEM, EBSD,
ultra-microhardness testing and X-ray residual stress analysis were used as mea-
suring and analysis techniques suitable for the sub-millimeter range. In Sect. 5.4 the
possibilities and limitations of two of these methods are illustrated using the
example of mechanical testing and electron backscatter diffraction (EBSD).
Micro forming tools with high strength and hardness can be produced by means
of laser chemical machining (LCM). The in situ geometry measurement of
micro-structures during this process is based on the fluorescence of a liquid medium
and principles of confocal microscopy. Section 5.5 focuses on that measurement
technique, based on confocal fluorescence microscopy. It turns out that the
model-based approach is suitable to detect the geometry parameter step height with
an uncertainty of 8.8 lm for a step submerged in a fluid layer with a thickness of
2.3 mm.
256 P. Maaß et al.
5.2 Quality Inspection and Logistic Quality Assurance

of Micro Technical Manufacturing Processes
Mostafa Agour*, Axel von Freyberg, Benjamin Staar, Claas Falldorf, Andreas
Fischer, Michael Lütjen, Michael Freitag, Gert Goch and Ralf B. Bergmann
Abstract Quality inspection is an essential tool for quality assurance during pro-
duction. In the microscopic domain, where the manufactured objects have a size of
less than 1 mm in at least two dimensions, very often mass production takes place
with high demands regarding the failure rate, as micro components generally form
the basis for larger assemblies. Especially when it comes to safety-relevant parts,
e.g. in the automobile or medical industry, a 100% quality inspection is mandatory.
Here, we present a robust and precise metrology method comprised of a holo-
graphic contouring system with fast algorithms for geometric evaluation and sur-
face defect detection that paves the way for inspecting cold formed micro parts in
less than a second. Using a telecentric lens instead of a standard microscope
objective, we compensate scaling effects and wave field curvature, which distort the
reconstruction in digital holographic microscopy. To enhance the limited depth of
focus of the microscope objective, depth information from different object layers is
stitched together to yield 3D data of its complete geometry. The 3D data map is
converted into a point cloud and processed by geometry and surface inspection.
Thereby, the resulting point cloud data are automatically decomposed into geo-
metric primitives in order to analyze geometric deviations. Additionally, the surface
itself is checked for scratches and other defects by the use of convolutional neural
networks. The developed machine learning algorithm makes it possible not only to
distinguish between good and failed parts but also to show the defect area
pixel-wise. The methods are demonstrated by quality inspection of cold formed
micro cups. Defects larger than 2 lm laterally and 5 lm axially can be detected.
Keywords Digital holographic microscopy Geometry Surface defect
5.2.1 Introduction
Quality inspection is an essential tool for quality assurance during production.

Generally, the precise geometrical and surface inspection of a test object plays a
decisive role for developing and/or optimizing the manufacturing process. In the
microscopic domain, where the manufactured objects have a size of less than 1 mm
in at least two dimensions, very often mass production takes place with high
demands regarding the failure rate, as micro components generally form the basis
for larger assemblies. Especially when it comes to safety-relevant parts, e.g. in the
automobile or medical industry, often a 100% quality inspection is mandatory
[Kop13].
Achieving 100% quality inspection is especially challenging in the

micro-domain, e.g. when measurement uncertainty has to be in the range of a few
microns, as there is usually a trade-off between precision and speed [Ago17].
Processes like micro cold forming, however, allow for production rates of multiple
parts per second [Flo14]. Presently, no solutions exist that are fast, precise and
suitable for in-process measurements at the same time [Ago17b]. Actually, most
industrial quality inspection processes of micro parts rely on manual sampling using
confocal microscopy. This means also that no automatic data processing regarding
the geometry and surface inspection is applied because such measurements are
affected by strong image noise.
Due to these industrial requirements, methods such as tactile, confocal micro-
scopy and phase retrieval [Fal12a] by means of multiple illumination directions
[Ago10] are not suited for the inspection task since they are much too slow. In
contrast to these methods, interferometric methods are established for a full field
measurement. Examples of interferometric techniques include digital holography
(DH) [Sch94], white-light interferometry (WLI) [Wya98] and computational shear
interferometry (CoSI) [Fal15]. These methods are based on the determination of the
optical path difference (OPD) of light scattered by or transmitted through a test
object. Since available cameras can only measure intensities of light, the OPD must
be encoded consequently. Based on the encoding technique utilized and the geo-
metrical complexity of the test object, measurement uncertainties down to a fraction
of the illumination’s wavelength can be achieved [Mar05].
Here, we present a robust, fast and precise metrology method comprised of a
holographic contouring system, as well as fast algorithms for geometric evaluation
and surface defect detection, that paves the way for the inspection of metallic micro
cups in less than a second. The holographic system is composed of four
two-wavelength digital holographic microscopy setups. It uses four directions of
illumination in order to enable the simultaneous observation of the whole object
surface and for speckle noise reduction as well as two-wavelength contouring to
collect form data. Spatial multiplexing, coherent gating, is used to capture four
holograms by each camera in a single shot [Ago17]. Moreover, it utilizes a tele-
centric microscope objective instead of a standard microscope objective to com-
pensate scaling effects and wave field curvature, which distort reconstruction in
digital holographic microscopy. In order to enhance the limited depth of focus of
the microscope objective, depth information from different object layers is stitched
together to yield 3D data of its geometry utilizing the auto-focus approach pre-
sented in [Ago18].
The 3D data map is converted into a point cloud. The resulting point cloud data
are automatically decomposed into simple geometric elements with a holistic
approximation approach in order to analyze geometric deviations. In addition,
surface defects are detected with a convolutional neural network. The measurement
and data evaluation approaches are demonstrated by quality inspection of cold
formed micro cups. As a result, defects larger than 2 lm in the lateral and 5 lm in
the axial (depth) dimension can be detected.
258 P. Maaß et al.
The present section is organized in the following three subsections: Sect. 5.2.2
describes the measurement approach for dimensional inspection that allows the
geometric features of deep-drawn micro cups to be characterized. Section 5.2.3
describes the dimensional inspection that allows for an automated dimensional
analysis of prismatic surface data, where the surface can be a combination of
different simple geometric base bodies (cylinder, plane, torus, etc.). Section 5.2.4
describes the detection of surface defects using convolutional neural networks
(CNNs), which achieve high accuracy with only a few training samples.
5.2.2 Optical 3D Surface Recording of Micro Parts Using

DHM
5.2.2.1 Holographic Contouring
Common engineering objects are much larger than the optical wavelength used for
inspection, and the surfaces exhibit peaks and steps larger than one quarter of the
wavelength of light. Such surfaces are therefore optically rough, and the measured
phase values vary within the interval [−p, p]. The evaluation process becomes
ambiguous and the measurement is not unique. The solution to this dilemma is the
use of a synthetic wavelength much larger than the optical (natural) wavelength. In
this approach, two phase distributions are retrieved from two measurements asso-
ciated with two different wavelengths k1 and k2. Calculating the phase difference
Du between the reconstructed phase distributions corresponding to the two mea-
surements, the 3D height map zp of the test object can be directly calculated by
utilizing [Fal12]
2p
Du ¼ zp ð1 þ cos aÞ: ð5:1Þ
K
Here, a is the angle between the observation and illumination direction and K is
the synthetic wavelength
k1 k2
K¼ : ð5:2Þ
j k2 k1 j
The resulting phase difference for a single measurement using K is given by

Eq. 5.1. A measurement that covers the sample surface results in a map that con-
tains fringes and is referred to as the phase contouring map. Adapting the difference
between the two wavelengths k1 and k2 is required to enable the investigation of
objects with step heights of several millimeters.
5.2.2.2 Digital Holographic Microscopy
The digital holographic microscope schematically sketched in Fig. 5.1 is used to

capture the required two holograms with two different wavelengths. The setup
contains a long-distance microscope objective (LDM) with a magnification of 10,
a numerical aperture (NA) of 0.21 and a working distance (WD) of 51 mm. Optical
fibers are used to illuminate the test object and to provide the required reference
wave. A beam splitter (BS) is used to combine the object wave, light diffracted from
the surface under investigation, and the reference wave, resulting in a hologram
which is captured across the camera plane. It is noted that there exists an angle a
between the observation and illumination direction (see Eq. 5.1). Numerically, the
phase distribution which corresponds to each measurement is reconstructed utiliz-
ing the spatial phase shifting method, where the carrier frequency is controlled by
shifting the position of the reference wave with respect to the optical axis [Ago17].
Thus, the setup is used to register the phase information in a plane which is close to
the surface of the object under test.
In the following, the 3D surface measurements of the micro cup based on digital
holographic microscopy will be discussed; this is the backbone of geometric
inspection.
Figure 5.2 shows an image of an experimental setup consisting of four DHMs
based on the sketch of the individual DHM shown in Fig. 5.1. Four laser diodes are
Fig. 5.1 Digital holographic microscope setup (DHM): To image the surface of the test object
onto the utilized camera sensor, a long-distance microscope objective (LDM) with a 10
magnification, a numerical aperture N.A. = 0.21 and a working distance of 51 mm is employed.
Optical fibers serve to illuminate the object under test and provide a spherical reference wave. For
simplicity, only one illumination and one reference is shown. A beam splitter combines the object
and the reference waves, producing a hologram across the camera plane
260 P. Maaß et al.
Fig. 5.2 Digital holographic microscopy (DHM) setup based on the scheme of the individual
DHM shown in Fig. 5.1. The setup consists of four DHM units distributed around the test object
shown in the coherence tomography image in the inset with a diameter of approximately 1 mm and
a depth of 0.5 mm. Each unit delivers a measurement of a part of the test object. These four parts
are then used to reconstruct the whole 3D shape of the test object. The long-distance microscope
(LDM) is an object side telecentric objective with a numerical aperture of 0.21, a magnification of
10 and a working distance of 51 mm. The camera sensor has 2750 2200 pixels with a pixel
pitch of 4.54 µm
used, two with k ¼ 638:13 nm and the other two with k ¼ 644:08 nm. According
to Eq. 5.2, a synthetic wavelength of 69.07 µm results for the evaluation. Utilizing
a fiber switch and a 1 2 fiber splitter, object and reference waves are formed.
A digital hologram captured using the DHM is utilized for recovering the phase and
the real amplitude of a monochromatic wave field across the object plane. The
hologram generated across the output plane of the DHM is given by
HðXÞ ¼ UO ðXÞ þ UR ðXÞ; ð5:3Þ
where UO and UR represent the complex amplitudes of light diffracted from the test
object and a reference wave across the recording plane. Here, X = (xi, xj) denotes
the spatial coordinate vector at the recording plane. Equation 5.3 can be generalized
as
X
N
Hkn ðXÞ ¼ ðUOkn ðXÞ þ URkn ðXÞÞ; ð5:4Þ
n¼1
representing the N holograms captured separately via the coherence-gating prin-

ciple [Ago17]. The intensity of the hologram recorded by the DHM’s camera is
N h
X i
IðXÞ ¼ jHkn ðXÞj2 ¼ AðXÞ þ UOkn URkn ðXÞ þ UOkn URkn ðXÞ : ð5:5Þ
n¼1
Here, |…|2 denotes the intensity of the wave field
N
X
AðXÞ ¼ jUOkn j2 þ jURkn j2 ð5:6Þ
n¼1
that represents the dc term which is the incoherent superposition of the object and
reference waves and * refers to the complex conjugation. Using the spatial
phase-shifting method, the complex amplitude which corresponds to each wave-
length can be determined. Based on the shifted reference point sources with regard
to the optical access, the diffraction terms of Eq. 5.5 are separated. To show this, it
is necessary to transform the intensity from the spatial domain to the frequency
domain by implementing the fast Fourier transform (FFT). Performing the FFT (=)
on Eq. 5.5 results in
N h n
X o
^
ÎðtÞ ¼ AðtÞ þ = UOkn URkn ðtÞ d t þ t0;kn
n¼1 ð5:7Þ
n o i
þ= UOkn URkn ðtÞ d t þ t0;kn ;
where t = (ti, tj) is a vector in the frequency domain, d(…) refers to the Dirac delta
functions and indicates the corresponding shifted t0,kn across the Fourier domain,
which shows the effect of the shifted reference point sources, and ⊗ is the con-
volution symbol.
Figure 5.3a shows an example of a hologram captured by illuminating a micro
cup from four different directions using the DHM setup. And Fig. 5.3b shows the
spectrum of the single hologram, which contains object information for the four
directions of illumination. It is noted here that there is no cross-talk between the
four different holograms, which are recorded in a single shot camera image. Each
object’s information related to a certain illumination direction is shifted according
to Eq. 5.7 to an exact position t0,kn.
It is noteworthy that the test object is illuminated from four different directions
and four holograms are recorded on a single shot using four reference waves by
applying the digital holography multiplexing principle [Ago17]. These holograms
are used to reduce speckle noise in two-wavelength contouring. Accordingly, each
holographic unit from the four units will capture two successive multiplexed
holograms. The two successive multiplexed holograms are captured, one for each
wavelength. In the following, the results that were obtained using the four obser-
vation directions will be presented and discussed. The time required for the cap-
turing process and for the switching between the two wavelengths is 120 ms. Using
262 P. Maaß et al.
Fig. 5.3 a shows a single hologram, which contains object information for 4 directions of
illumination and b shows the corresponding spectrum with four ± first order and the central dc
components
the spatial carrier frequency method [Ago15], one can numerically reconstruct the
phase distributions /k1 and /k2, which correspond to the two measurements.
Figure 5.4 shows the recovered complex amplitude. The phase difference D =
/k2−/k1 between the two reconstructed phase distributions across the capturing
plane that represents the countering map across that plane is shown in Fig. 5.4b. As
can be seen in Fig. 5.4b, fringes are only sharp across the area of the object in
focus, which can be clearly recognized from the real amplitude shown in Fig. 5.4a.
This is as expected, since the microscope objective has a limited depth of focus. In
contrast to microscopy, digital holography offers the extension of the objective
depth of focus, and since holograms give access to the complex amplitude, digital
refocusing across the whole object by means of numerical propagation is possible.
Thus, in order to completely reconstruct a sharp contouring propagation, autofocus
algorithms are used. For fast evaluation, an automated process was proposed and
implemented within a graphics processing unit (GPU). The autofocus algorithm is
implemented by scanning within small windows throughout all the propagated
planes to define where the object is in focus by estimating the standard deviations of
D, which are relatively high within these windows, where the object is out of focus
because of the speckle decorrelation. The result of this process is shown in Fig. 5.5
for only one observation direction. In both contouring maps, Figs. 5.4b and 5.5b, a
surface defect (dent) is clearly shown.
The contouring phase map shown in Fig. 5.5b is then unwrapped. Then the
values are substituted into Eq. 5.1 to determine the 3D height map. The result is
shown in Fig. 5.6. Eleven seconds are required for data transfer and hologram
analysis to obtain the 3D point cloud which is used as input for the geometry and
surface defect analysis. Defects with lateral extensions from 2 µm and a minimal
Fig. 5.4 a Image of the real amplitude of the reconstructed complex amplitude across the
capturing plane of the recorded hologram for k ¼ 638:13 nm. b Image of the phase difference
D = /k2−/k1 between the two reconstructed phase distributions across the capturing plane. The
image size is 2200 2200 pixels with a pixel pitch of 4.54 µm
Fig. 5.5 a Image of the real amplitude, which represents a sharp image of the micro cup under test
with respect to the observation direction. b Image of the phase difference distribution, which
represents a sharp contouring phase map across the whole object
depth of at least 5 µm can be detected [Ago17]. Such a height map is converted to a

3D point cloud which is used as the input for both the dimensional and the surface
inspection process, which will be discussed in the next section.
264 P. Maaß et al.
Fig. 5.6 The 3D height map

calculated after unwrapping
the countering phase maps
obtained from the four
holographic systems
5.2.3 Dimensional Inspection
Dimensional inspection implies the evaluation of surface data with respect to

dimensional, form and position deviations of certain geometric features. These
deviations are compared to the specified tolerances in order to decide whether the
workpiece meets the quality requirements or not. The following subsections give a
brief survey of the state of the art in evaluating point clouds and present the holistic
approximation as the method of choice for the dimensional inspection of optically
acquired surfaces of micro parts.
5.2.3.1 State of the Art
Optical measurement data contain a high number of surface coordinates of one or

multiple observation directions and represent either a free-form surface or a com-
bination of several geometric elements. The evaluation of free-form surfaces, on the
one hand, consists in aligning the measurement data to the nominal CAD data
[Sav07] and calculating and visualizing the deviations of each measurement point.
For this kind of quality inspection, several commercial solutions exist. On the other
hand, in order to analyze the optical measurement data regarding geometric
parameters like dimensional or shape deviations, the measured points have to be
segmented. This means assigning the individual measurement points to the
approximating geometric elements. However, a manual segmentation is
time-consuming and not suitable for automated analysis within a mass production.
Only by an automated segmentation of the measurement data, the individual
measuring points can be assigned in a reproducible and optimal way to the
corresponding geometric elements. Two approaches are known for such an auto-
mated segmentation:
1. Neighboring measurement points are rated based on their curvature and assigned
to corresponding geometric elements [Wes06]. This method can provide accu-
rate solutions, but it is sensitive to noisy data and not able to distinguish between
spheres and cylinders with certain radii.
2. A holistic approximation can evaluate a composed set of data under the present
boundary conditions in a single approximation task [Goc91]. By the definition
of separating functions, an optimal assignment of the measurement points to the
corresponding geometric elements (segmentation) can be carried out simulta-
neously. The method is presented for different applications, e.g. for a 2D
combination of lines and circles [Lüb10], or for micro punches as a 3D com-
bination of a cylinder, a torus and a plane [Lüb12].
It was proved that the holistic approximation with automated segmentation
(second approach) is only slightly sensitive regarding the initial values of the
approximation and at the same time converges reliably within wide ranges [Lüb10].
Furthermore, this method was successfully tested for the evaluation of
micro-measurements [Zha11], and it allows the automatic detection of outliers by a
combination with statistical methods [Gru69]. Thus, the second approach is par-
ticularly suited for noisy optical measurement data. However, the algorithms have
not yet been implemented for the evaluation of optical data acquired with DHM.
5.2.3.2 Method
The holistic approximation will be described for the evaluation of micro cups,
whose surface is acquired by DHM. The part’s geometry is a combination of a
cylinder with radius rc, a (quarter) torus with wall radius rw and a plane (see
Fig. 5.7). These radii form a vector of shape parameters !
a g , while the position of
Fig. 5.7 Cross-section of micro cup model composed from geometric primitives (cylinder, torus,
and plane) in the workpiece coordinate system (WCS) with segmentation elements according to
the geometric model
266 P. Maaß et al.
the elements is included in a transformation vector !

a p . The detailed principle of the
holistic approximation is described in [Goc91] for 2D combinations and in [Lüb12]
for a 3D application. The approximation is performed by minimizing the L2 norm
ncyl
P 2 Pntor 2
min di;cyl !a p; !
ag þ di;tor !a p; !
ag
a p ;!
! ag i¼1 i¼1
1=2 ð5:8Þ
npla
P 2
þ di;pla !a p; !
ag ;
i¼1
where ncyl, ntor and npla are the numbers of points assigned to the cylinder, the torus
and the plane, respectively. A single point has the index i, and its orthogonal
distance to the assigned geometric element is di. During the approximation, not only
the degrees of freedom (transformation ! a p and shape parameters ! a g ) are opti-
mized, but also the assignment of the measurement points to the geometric ele-
ments. This implies that the numbers of elements in Eq. 5.7 vary during the
iterative calculation. The geometric assignment itself is based on a geometric
model, which is presented as a cross-section in Fig. 5.7. It consists of a cylinder
with radius rc, whose axis represents the z-axis, a quarter of a torus in the x–y-plane
with wall radius rw and ring radius rr = rc − rw as well as a plane parallel to the
x–y-plane at z = −rw. This model contains certain geometric constraints, e.g.
coaxiality of the cylinder and the torus axis, which are again perpendicular to the
plane, as well as tangential transitions between all elements. These constraints result
from the workpiece design and reduce the degrees of freedom to five transformation

parameters ! a p ¼ Dx; Dy; Dz; ux ; uy and two shape parameters ! a g ¼ ½rc ; rw . As
the geometry is axially symmetric, the rotation uz around the z-axis remains
disregarded.
Out of the geometric model, the decision rules shown in Fig. 5.8 are derived and
implemented in the algorithm. All transformed points with a positive z-coordinate
belong to the cylinder. The remaining points are distinguished by their polar radius,
points with a radius ri < (rc − rw) are assigned to the plane, and the residual points
are assigned to the torus.
5.2.3.3 Verification and Measurement Results
For the verification of the algorithms, the geometry of the measuring object was
simulated as a combination of a cylinder, a torus and a plane. The cylinder radius
was defined to rc,0 = 412 µm and the wall radius of the torus was rw,0 = 126 µm.
These dimensions were chosen according to the application. The cylinder was
formed by 300,000 equidistant points, the torus by approximately 100,000 points
and the plane by 379,000 points, each element with a uniformly distributed noise in
the normal direction of the nominal surface with different intervals [−ae/2, ae/2] in
seven steps between ae = 0.0 … 5.0 µm. Each case was simulated n = 100 times
Fig. 5.8 Decision rules for assigning the measured points to the geometric primitives. All points
with a positive z-coordinate are assigned to the cylinder; the remaining points are distinguished by
their polar radius. Points with a radius ri < (rc − rw) belong to the plane, the residual points are
assigned to the torus
Fig. 5.9 Approximation results for simulated data (ca. 800,000 points) with different intervals
of noise ae: mean values of the radius deviations for cylinder d rc ¼ rc rc;0 and torus
d rw ¼ rw rw;0 with standard deviations
and automatically evaluated by the holistic approximation. The results of the

holistic approximation of the simulated data are presented in Fig. 5.9.
To analyze systematic deviations, a one sample t-test is performed with the
hypothesis that the approximated radii rc and rw are equal to the set values rc,0 and
rw,0 in the simulation. For this purpose, the radius deviations d rc ¼ rc rc;0 and
d rw ¼ rw rw;0 are introduced and the coverage factors
268 P. Maaß et al.
pffiffiffi pffiffiffi
drc n drw n
tc ¼ and tw ¼ ð5:9Þ
rc rw
are calculated for the mean radius deviations drc ¼ rc rc;0 and drw ¼ rw rw;0 ,
respectively, based on the mean approximated radii rc , rw of the cylinder and the
torus as well as their standard deviations rc, rw.
The maximum value for the cylinder radius is tc,max = 0.74, whereas it is
tw,max = 0.92 for the torus radius. According to the t-distribution for a probability of
95% (a = 0.05) and a degree of freedom of f = n−1 = 99, the critical value is
tcrit = 1.984. As both calculated coverage factors are below this critical value, it can
be stated that the verification results do not disagree with the hypothesis with a
probability of error of 5%. Thus, it can be assumed that no systematic influence
within the holistic approximation leads to significant deviations of both the
approximated radii.
The random deviations can be characterized by the standard deviations of the
calculated radii. In absolute numbers, the standard deviation of the cylinder radius
is rc < 22 nm in this simulation, while the standard deviation of the torus radius is
rw < 2.87 µm. The random deviations of the torus are 2 orders of magnitude
higher than those of the cylinder radius, which is assumed to result from the
approximation of only a part of the geometric torus object and agrees with earlier
findings, e.g., the error of a spherical center approximation depending on the size of
the measured spherical cap [Bou93], or the increased diameter [Fla01] or center
uncertainty [McC79] with decreasing arcs of a circle. A second reason for the
increased standard deviation of the torus radius might be the number of evaluated
points. The torus was simulated with approximately 100,000 points, which is only a
third of the number of points on the cylinder. Nevertheless, for both parameters the
standard deviation is only a fraction of the initial amplitude of noise due to the high
number of data points available.
In order to demonstrate the holistic approximation, the data acquired with DHM
were evaluated based on the geometric model in Fig. 5.7. The three-dimensional
approximation results with a measured cylinder radius of 497 µm and a torus radius
of 234 µm are illustrated in Fig. 5.10 for a cross-section through the symmetry axis
of the micro cup. Systematic deviations between the measured and approximated
surface points occur, which are a result of real deviations of the cylindrical part of
the three-dimensional micro cup from the desired geometry. Hence, the holistic
approximation allows the identification of geometric deviations and, thus, the
automatic quality inspection of geometric features in micro production. However, a
crucial point is a tailored geometric model. Depending on the inspection task, the
degrees of freedom of the geometric model can include the desired geometric
parameters only (workpiece quality) or additional parameters for quantifying typical
manufacturing errors (manufacturing process).
Fig. 5.10 Cross-section of the acquired data (measurement data, see Fig. 5.6) with the result of
the holistic approximation. Note that shape deviations of the cylindrical part of the
three-dimensional micro cup are responsible for the systematic deviations between the measured
and approximated data points in the cross-section shown
5.2.4 Detection of Surface Defects
Surface defects such as scratches or dirt might be too small to cause a detectable
change in the measured phase distribution. Hence, reliable detection necessitates
additional methods, which incorporate the measured amplitude image.
5.2.4.1 State of the Art
Currently, algorithms for automatic surface inspection are to a large extent based on
manually engineered features [Xie08], most commonly statistical and filter-based
[Neo14]. While the introduction of expert knowledge often allows for the creation
of powerful features, this process is laborious and might be necessary for each new
product. General solutions that can automatically adapt to new problem sets could
thus yield significant time and cost advantages. One such solution is convolutional
neural networks (CNN). These have become the driving factor behind many recent
innovations in the field of computer vision and allowed significant advances in
various applications, such as object classification [Kri12] or semantic image seg-
mentation [Yu15]. CNNs have also recently been successfully applied for industrial
surface inspection [Wei16].
5.2.4.2 Methods
The core building block of CNNs is the convolutional layer. Instead of processing,
e.g. an image all at once, it is divided into small (usually) overlapping windows and
fed piece-wise into a neural network. Each window is thus mapped to a vector of
270 P. Maaß et al.
activations of a shared neural network. Convolutional layers hence automatically

learn a set of filters in the form of the networks weights.
In the most common framework, convolutional layers are combined with
pooling layers, usually max-pooling layers. Max-pooling layers summarize the
extracted features by taking the maximum activation for each unit over a small area.
Deep CNNs are built by stringing together multiple convolutional and pooling
layers. With increasing depth, the network thus extracts increasingly complex
features for increasingly large image areas or receptive fields. The application of
max-pooling thereby yields multiple advantages. By scaling down the input, the
number of parameters is decreased, which increases the computational efficiency.
At the same time, the receptive field sizes are increased and hence the amount of
context that can be integrated by each unit of the neural network. Additionally, the
use of max-pooling yields a small degree of translation invariance, which increases
the network’s robustness towards these operations. One disadvantage, however, is
that, by scaling down the input, spatial resolution gets lost. This becomes an issue
when the goal is spatially precise defect detection. To solve this problem, multiple
solutions have been proposed in the field of semantic image segmentation, e.g. the
use of dilated convolutions [Yu15], the U-Net architecture [Ron15] and the
LinkNet architecture [Cha17].
One solution is to augment the classical CNN architecture with a second network
for upscaling the spatial resolution. High-level, low-resolution features are thereby
up-sampled and merged with the corresponding low-level, high-resolution features.
This architecture is largely known as U-Net [Ron15]. The advantage is that it
harnesses the benefits of max-pooling while still being able to give precise defect
labels.
Here we implemented a modified version of the U-Net. Aside from accurate
defect detection, our objective was thereby to keep the hardware requirements and
computing time of the network as low as possible. To achieve this goal, we
employed three recently developed methods. Firstly, our architecture is heavily
inspired by densely connected CNNs [Hua17]. Secondly, we opted for depth-wise
separable convolutions [Cho16]. Finally, our network takes inspiration from the
LinkNet architecture [Cha17].
The basic idea behind densely connected CNNs is to feed into each new layer
the activation of each previous layer. This allows a significant decrease of the
number of connections in each layer as all the information from previous layers can
be directly accessed instead of having to be repeated over each layer. Figure 5.11a
illustrates the blocks of densely connected layers used in this work. Each layer
propagates its activations to all the successive layers within a block. Filter sizes
were chosen to be 5 5 for layers one and three in each block and 1 1 for layers
two and four as well as the final output layer. Each layer thereby uses h units. In our
experiments h was set equal to 12. As a bottleneck, we only concatenate the
activations of all layers within the block to produce the blocks output, i.e. the input
to a block is not propagated after the block. Implementation details are given in
Table 5.1.
Fig. 5.11 a Densely connected block as used in this work. The Input (blue) is fed into all
successive layers of the block. The activations of each layer (red, green, orange, gray) are fed into
all successive layers. The output is constructed by concatenating the activations of all layers of the
block (red, green, orange, gray), but not the input. b Decoder block to integrate low- and high-level
features. Input 1 (upper left): Low-level features are subjected to one non-linear (exponential linear
unit: elu) and one linear 1 1 convolution. The number of features is thereby reduced by a factor
of 0.25. Input 2 (lower right): High-level features are subjected to one non-linear and one linear 1
1 convolution and then sampled up to match the resolution of the low-level input. The number
of features is thereby also reduced to match the reduced low-level features
Table 5.1 Layer types, filter sizes, number of units and input/output dimensions for each layer
within a block (W: width, H: height, SC: separable convolution)
Layer type Filter size # units Input resolution Output resolution
Input d – W H d
SC 55 h WHd W H h
SC 11 h W H h+d W H h
SC 55 h W H 2∙h+d W H h
SC 11 h W H 3∙h+d W H h
Output – W H 4∙h
The second method for increasing the model efficiency is the use of depth-wise
separable convolutions [Cho16]. The principle behind depth-wise separable con-
volutions is that, instead of performing convolutions over all channels within a
spatial window simultaneously, the spatial and the depth/channel-wise convolutions
are performed separately. This allows for a significant decrease in the amount of
network connections.
272 P. Maaß et al.
The third method for increasing the model efficiency takes inspiration from the
LinkNet architecture [Cha17]. There are two ways in which LinkNet increases the
efficiency of the standard U-Net architecture. Firstly, high- and low-level features
are merged via addition instead of concatenation. Secondly, the number of features
is also reduced before the summation. Our implementation of this procedure is
shown in Fig. 5.11b.
The final network consists of a down-sampling and up-sampling part. The spatial
resolution of the input image is thereby down-sampled from 512 512 to 8 8
and then up-sampled again to 512 512. The down-sampling part consists of
densely connected blocks followed by a 4 4 max-pooling operation and batch
normalization [Iof15]. In the up-sampling part, we use decoder blocks as illustrated
in Fig. 5.12 to efficiently integrate low- and high-level features.
Fig. 5.12 Dense U-Net as implemented for this work. The picture on the upper left shows the
input image of the test part to be inspected, while the result on the upper right shows the predicted
defect position. In the down-sampling part, the input is fed into blocks of densely connected
convolutional layers (see Fig. 5.11a), followed by 4 4 max-pooling and batch normalization.
The up-sampling part uses decoder blocks as described in Fig. 5.11b. The spatial resolution is
restored via up-sampling and concatenation with the corresponding layer of the down-sampling
part as well as another densely connected block
As activation functions, we used exponential linear units (elu) [Cle15] in all but
the output layers. For the output layer, we used sigmoid units to constrain the output
to the interval [0, 1]. The network was trained by minimizing binary cross-entropy
(also known as log-loss) using the Adam optimizer [Kin14]. The learning rate was
initialized at 0.001 and automatically reduced by a factor of 0.1 when no decrease
in loss was observed for more than 10 epochs. The mini-batch size was set to eight.
All experiments were conducted using the keras library for Python.
To improve the defect labeling, we automatically created a mask for background
subtraction for each measurement. The steps are shown in Fig. 5.13. First we
applied a strong low-pass filter to the measurement (i.e. convolution with a 55 55
matrix of ones). We binarized the resulting image using its mean as a threshold. In
the resulting binary matrix, the largest contour was detected using methods pro-
vided by the OpenCV software library [Bra00]. The background mask was directly
fed into the CNN and multiplied with its output layer. This allowed the network to
learn features only for the relevant parts of the image.
Fig. 5.13 Background removal: In order to improve defect detection, the background was
removed from the final classification result. The measurement (upper left) was low-pass filtered.
The resulting image (upper right) was thresholded by its mean value. In the resulting image (lower
left) the largest contour was detected and used as a mask for background removal (lower right)
274 P. Maaß et al.
We evaluated our method by using 64 samples for training and the remaining 5
samples for evaluation. To increase the amount of training data artificially, we used
the following operations: horizontal flipping, vertical flipping, random rotations,
and scaling the size by a factor between 0.9 and 1.1 (cropping or adding the
additional/missing pixels at the boundaries).
5.2.4.3 Validation
Figure 5.14 shows the resulting defect maps for the testing data. All defects are
detected and marked correctly. However, it should also be noted that the defect
labels are still rather coarse, especially around the borders.
Defect detection for a single input image takes <130 ms on our test system
(AMD Ryzen Threadripper 1900X 8-Core Processor 16, 64 GB RAM,
GeForce GTX 1080 Ti). Additional speed gains can be achieved by processing
multiple images at once, as this would decrease the amount of data transfer towards
and from the Graphics Processing Unit (GPU).
Fig. 5.14 Network prediction for all five test measurements. Top row: input measurement after
background subtraction. Middle row: defect masks. Bottom row: defect predictions. All defects are
marked correctly
5.3 Inspection of Functional Surfaces on Micro

Components in the Interior of Cavities
Aleksandar Simic*, Benjamin Staar, Claas Falldorf, Michael Lütjen, Michael

Freitag and Ralf B. Bergmann
Abstract A fast and precise solution for the inspection of the interior of micro parts
using digital holography is presented in this chapter. The system presented here is
capable of operating in an industrial environment. For this purpose, a compact
Michelson setup in front of the imaging optics is used, so that the light paths of the
object- and reference arm are almost identical. This makes the system less vul-
nerable to mechanical vibrations. A further improvement is obtained using the
two-frame phase-shifting method for the recording of a complex wave field. This
enables the usage of two cameras in order to allow the recording of a complex wave
field in a single exposure. With the help of two-wavelength contouring, optically
rough objects with a synthetic wavelength of approximately 93 µm are investi-
gated. The measurement results make it possible to determine the shape of the
interior surface and faults such as scratches with a resolution of approximately
5 µm. In order to fully utilize the measurement speed of the setup, a fast and
reliable solution for automatic defect detection is required. For a profitable indus-
trial application, it is therefore crucial to reliably detect all defective parts while
producing little to no false positives (i.e. pseudo-rejections). This is realized by
utilizing prior knowledge about the object shapes to implement fast phase
unwrapping for defect detection. Defects are then reliably detected by identifying
consecutive areas of deviation in relative depth. The evaluation of measurements
taken in an industrial environment shows that this approach reliably detects all
defects with a false-positive rate of less than one percent.
Keywords Quality control Optical monitoring Digital holography
5.3.1 Introduction
Micro cold formed parts are produced in high quantities, as many of such are
incorporated inside a complete system. The mass production of micro parts can
only be efficient if the quality inspection of these parts is incorporated within the
production line. Optical metrology offers the opportunity to determine the shape of
the structures of such parts and allows for quality control. Automated quality
control with the help of an automated optical system within the industrial pro-
duction line reduces the costs and time that would otherwise be required for a
sophisticated manual inspection. Up to now, tactile methods have been used to
inspect components on a sample basis, but these are not suitable for fast quality
inspection in the production line as they are too slow and might alter the sample.
276 P. Maaß et al.
Among the non-tactile methods, confocal microscopy is commonly used for

inspection but is clearly too slow for an automated 100% inspection. An overview
of such methods can be found in [Ber12, Kop13]. Alternatively, white-light
interferometry (WLI) is suitable, as it measures with high speed and is highly
precise. For a review of WLI, see [Gro15]. However, WLI requires a comparatively
large number of recordings, commonly by depth scanning, to capture depth
information.
Digital holography (DH) is precise and only requires a small number of
recordings to obtain the object shape, as shown in [Fal15]. This makes it a good
candidate for the fast three-dimensional inspection of micro parts. Usually DH uses
the method of temporal phase-shifting for phase evaluation, which is generally
realized with a piezoelectric device. To realize a system which exhibits an even
higher robustness, the method of two-frame phase-shifting is used to measure the
object shape in two consecutive exposures.
5.3.1.1 Digital Holography
Historically, an interference pattern of an object- and reference wave was recorded

on holographic plates and evaluated afterwards. However, such holographic plates
can only be used a single time and require wet chemical processing. With the rise of
computational methods and image-processing methods with the use of CCD and
CMOS cameras, classical holography was replaced by digital holography and
digital holographic microscopy (DHM) for the inspection of microscopic objects.
An interference pattern arising from the light scattered by the investigated object
and a reference wave is recorded in the CCD plane to extract the complex wave
field of the object under investigation (see Fig. 5.15).
The intensity distribution of the interference pattern is given by
Ið~
rÞ ¼ jUO ð~
rÞ þ UR ð~
rÞj2
ð5:10Þ
¼ jUO ð~ rÞj2 þ UO ð~
rÞj2 þ jUR ð~ rÞURð~rÞ þ UR ð~
rÞ
where ~ r is the position vector and UO ð~rÞ and UR ð~ rÞ are the object- and
reference-wave fields respectively, with UO ð~
rÞ and UR ð~
rÞ being the particular
conjugated wave fields. When multiplying this interference pattern with the com-
plex amplitude of the reference wave, the following fundamental equation is
obtained:

Ið~
rÞ UR ð~
rÞ ¼ jUO ð~
rÞj2 þ jUR ð~ rÞ þ UO ð~
rÞj2 UR ð~ rÞ UR ð~
r Þ2
ð5:11Þ
þ UO ð~
rÞjUR ð~
r Þj 2 :
The first term of Eq. 5.11 represents the DC term, which can be observed in the
center of the recorded picture as the brightness of the image. The second term
Fig. 5.15 Sketch of a

conventional setup in digital
holography. The object
(micro part) is illuminated and
the image is magnified with
the help of a microscope
objective and projected on a
CCD camera. At the same
time, the CCD is illuminated
with a reference wave. The
arising interference pattern
gives the opportunity to
extract the complex wave
field [Ago17]
describes an inverted image UO ð~

rÞ UR ð~
rÞ2 of the object. The last term represents a
virtual image of the object. The phase U of the wave field UO ð~ rÞ contains infor-
mation on the form of the object. The height h of the observed object can be
calculated with the phase U from
2p
U¼ 2h ð5:12Þ
k
5.3.1.2 Two-Wavelength Contouring
Two-wavelength contouring is an established method for the form recognition of

diffusely reflecting objects. Falldorf et al. managed to significantly enhance the
signal-to-noise ratio of the holographic measurement of optically rough objects with
the help of this method [Fal12]. For objects that have a roughness larger than half of
the wavelength of the illuminating light, there will be ambiguous results according
to Eq. 5.12, as the phase only varies in the range of −p to p. In two-wavelength
contouring, two light sources are used to perform the measurement with slightly
different wavelengths, k1 and k2 . The corresponding phase distributions are
278 P. Maaß et al.
subtracted and the resulting phase difference can be interpreted as a single mea-
surement with a synthetic wavelength [Fal15] of
k1 k2
K¼ ð5:13Þ
j k1 k2 j
The synthetic wavelength can be chosen to be much larger than the surface
roughness by adjusting k1 and k2 to resolve the ambiguity problem.
5.3.1.3 Two-Frame Phase-Shifting
The recorded digital hologram from Eq. 5.11 only contains object information in
the virtual image, and the remaining inverted image and DC term are generally not
of interest. Therefore, only a small part of the camera resolution can be used with
this method. To use the complete spatial bandwidth, the method of temporal
phase-shifting is used, where the phase is shifted by a fractional amount of the
wavelength to generate several equations and extract detailed phase information.
The recorded interference pattern from Eq. 5.10 can be expressed with the help
of the phase difference DU of the involved wave fields, to extract 3D-information
on the considered object by using
Ið~
rÞ ¼ jUO ð~rÞ þ UR ð~r Þj 2
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð5:14Þ
¼ IO ð~
rÞ þ IR ð~
rÞ þ 2 IO ð~ rÞIR ð~ rÞcosðDUÞ
This equation contains the three unknown variables IO ð~ rÞ; IR ð~

rÞ; DU; which
makes it impossible to extract the phase difference DU. To solve this problem the
phase difference DU of the interference pattern produced is shifted with a known
factor D to obtain a system of at least three equations from the corresponding
recorded intensities. This process is generally accomplished with the help of a
piezoelectric device in the setup. The resulting phase distribution is wrapped in the
bounded interval [0, 2p] and has to be unwrapped to determine the continuous
behavior.
To incorporate this method in an industrial environment, its robustness is
improved by replacing the piezoelectric device. To maintain the complete space–
bandwidth product of the detected signal, it is vital to find a way of using temporal
phase-shifting in a single camera exposure. For this purpose, the temporal
phase-shifting method is used with the help of only two recorded interference
patterns. This is accomplished by using circular polarized light from the object and
linear polarized light from the reference mirror. Nozawa et al. have already used
this system for single-shot and highly accurate measurements of complex amplitude
fields with a simple optical setup [Noz15].
For the recorded interference patterns in the CCD plane, the wave field
UG ð~r ¼ z0 Þ in the CCD plane can be written as
UG ¼ ðI1 I0 Þ þ iðI2 I0 Þ; ð5:15Þ
with I1 and I2 being the phase-shifted single recorded interference patterns shifted
by p=2, respectively. Liu et al. showed that the DC term I0 is given by [Liu09]
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 2
2R2 þ I1 þ I2 2R þ I1 þ I2 2 I21 þ I22 þ 4R4
I0 ¼ ; ð5:16Þ
2 2
with the amplitude of the reference wave R.
5.3.2 Experimental Alignment
For the inspection of the interior of a micro deep drawing component with DHM, a
Michelson interferometer based setup, shown in Fig. 5.16, is constructed with the
object in one arm and a plane mirror in the other arm to provide a reference wave.
The Michelson interferometer has been placed as close to the object as possible in
order to minimize the lengths of the separated light paths. The object is introduced
to the setup with the help of a positioning apparatus, constructed by the industrial
partner Stüken Corp. Furthermore, the usage of polarization optics and two cameras
enables the simultaneous recording of two phase-shifted images. In this configu-
ration, the setup is more stable with respect to exterior disturbances compared to a
setup using a piezoelectric device.
After leaving the fiber switch, the light is parallelized with the help of a colli-
mating lens and is linearly polarized. A k/4 plate then polarizes the light circularly
and illuminates the object through a beam splitter. At the same time, half of the
intensity is redirected and linearly polarized again to illuminate the reference
mirror. After traveling through a microscope with 5x magnification, the light is
again divided with the help of a polarization-sensitive beam splitter to lead it to two
camera targets at the same time. By using such a beam splitter, two interference
patterns are projected on the camera targets, shifted by 90°.
As light sources, two diode lasers with output powers of P1 ¼ 70 mW and
P2 ¼ 20 mW and with wavelengths k1 ¼ 642:2 nm and k2 ¼ 637:8 nm are used.
With that, the camera exposure times were set to 8 ms to fully illuminate the camera
targets. With the employed wavelengths, the synthetic wavelength amounts to K ¼
93:1 µm. To avoid coherent amplification and to minimize speckle noise, laser light
with coherence lengths of less than 1 mm is used.
Figure 5.17 shows a sketch of the investigated parts, which have a functionality
area that is vital for the component. This area must not exhibit scratches or
280 P. Maaß et al.
Mirror
Pol-Filter
Fiber
Laser 1 Neutral-Density Filter
Coupler
Beam Splitter
4-plate
Fiber Switch
Fiber
Laser 2
Coupler
Collimating Pol- Object
Lens Filter
Microscope
Objective
Polarizing
Beam Splitter
CCD
CCD
Fig. 5.16 Setup for the internal inspection of micro deep-drawing parts. Before entering the
interferometer shown in the right part of the drawing, the light is polarized circularly with a k/
4-plate. The interferometer consists of a mirror in one arm and an object in the other arm. With the
help of a polarizing filter, the reference light is polarized linearly while the object wave has a
circular polarization. The image is magnified 5x using the microscope objective. By using a
polarizing beam splitter, two interference patterns are projected on two cameras at the same time,
being shifted by 90°
imperfections and therefore has to be inspected. 247 parts were inspected, of which
230 were defect-free and 17 were bad parts which were identified prior to the
measurement.
The setup was implemented in the department for quality assurance of Stüken
Corp., a producer of micro deep drawing parts. The recorded phase distribution
displays the inner form of the object and allows for a classification of the func-
tionality. Figure 5.18a shows the phase of the functional area of the component
presented above. Two consecutive fringes indicate a height difference of K/2 on the
object surface. Any deviation of the concentric inner form shows potential faults in
the functional area, which can be seen in Fig. 5.18b, for example.
The phase can be unwrapped to obtain metric data with the help of Eq. 5.12. The
unwrapped area around the defect can be seen in Fig. 5.19. Eight points on the
dashed red line inside the defect were considered and compared with eight points on
the parallel dashed red line outside the defect to calculate the mean depth of the
error. Figure 5.19 contains measured values for the phase difference of the
Fig. 5.17 Sketch of the investigated micro part. The area marked in light red around the lower
hole serves as a functional area and has to be inspected. Taken from [Sim17]
Fig. 5.18 a Phase distribution of the recorded functional area of the inspected micro part, which is
an acceptable part. In b one can see the function area with a potential fault. Taken from [Sim17]
measured wave field. To convert the measured values into metric data, Eq. 5.12 is
used with respect to a doubled light path as the light is reflected from the object.
Then the mean depth d of the error can be calculated using the averages of the phase
difference DU1 ; DU2 at the dotted lines of
282 P. Maaß et al.
Fig. 5.19 Defect detected in

the functional area after
unwrapping the detected
phase. The mean depth of the
scratch is calculated on the
dotted lines and amounts to d
(x, y) = (20.2 ± 1.5) µm.
Taken from [Sim17]
1 ðx; yÞ DU
DU 2 ðx; yÞ
dðx; yÞ ¼ K ¼ ð20:2 1:5Þlm: ð5:17Þ
4p
With this system, a lateral as well as a depth resolution of 5 µm can be achieved.
5.3.2.2 Comparison with X-Ray Tomography
For validation, the functionality area of the bad part from the last section was
inspected using X-ray tomography. Figure 5.20 shows the measurement result,
which depicts a scratch with a depth of 23 µm at the marked spot. With that, the
result from Eq. 5.16 can be validated.
Fig. 5.20 a Measured spot on the functional surface with X-ray tomography. b Cross-section with
the result of the depth measurement
5.3.2.3 Different Batches of Material
Different batches of materials were investigated with the presented system to

evaluate the method. These were glossy parts, oily parts and heat-treated parts.
A comparison of those three material types is shown in Fig. 5.21. Especially glossy
parts do not scatter the incoming light and directly reflect most of it instead.
Therefore, the signal-to-noise ratio decreases especially for the glossy parts, making
further evaluation therefore impossible.
5.3.3 Automatic Defect Detection
For the effective utilization of the setup’s measurement speed, manual evaluation of
the measurements is not feasible. Hence a solution for automatic defect detection
was developed. Thus the challenge was threefold: Firstly, the method had to be fast,
as a slow algorithm would be detrimental to the fast measurement system.
Secondly, defect detection had to be very accurate, with zero false negatives (un-
detected defects) and less than 4% false positives (intact parts falsely labeled as
defective). Thirdly, due to the well optimized process, the number of defective
samples was very small. Consequently, the application of state-of-the-art machine
learning methods, like e.g. convolutional neural networks, which have been applied
by Ronneberger et al. [Ron15] and Weimar et al. [Wei16] for example, was not
feasible.
The detection of the measured part is achieved by detecting circles in the phase
distribution DU. Potential defects are then filtered out by applying a low-pass filter
(LPF) in a circular motion. The resulting prototype is then subtracted from the
measured DU to identify deviations via the application of a threshold. The whole
defect detection pipeline is schematically shown in Fig. 5.22.
Fig. 5.21 Measurements of the same part of different batches of a heat-treated, b oily and c glossy
material. The signal-to-noise ratio decreases for oily and glossy parts and does not allow a precise
evaluation
284 P. Maaß et al.
Fig. 5.22 Defect detection pipeline. a: phase distribution image DU. b: Circles are detected in the
phase distribution image DU via thresholding and contour detection. c: A defect-free prototype,
DUprototype , is created by mapping DU to polar coordinates, yielding DUpolar and applying a LPF in
the angular direction. d: Phase unwrapping is realized by subtracting the prototype DUprototype from
DUpolar , yielding the depth deviation image Dd. e: Defects are identified from Dd and marked
accordingly (mapped back to Cartesian coordinates for better visualization)
5.3.3.1 Preprocessing
In order to decrease noise, DU was filtered by applying a sin/cos LPF. Since DU is a

phase distribution, low-pass filtering in the complex plane may be applied, i.e. to
the complex phasor f c ðxÞ ¼ eif ðxÞ which exhibits unit amplitude and f ðxÞ as the
phase. This approach prevents filter artifacts at the phase transitions.
5.3.3.2 Part Detection
While objects are positioned close to the center of the measured image, there are
significant deviations that do not allow the assumption of a fixed center without
notable loss of accuracy. For the problem at hand, the measured part of the object is
circular and the measurement is taken orthogonally. This is manifested in the
resulting phase distributions as nearly concentric circles. The measured part’s center
can hence be located by the detection of these circles. This was implemented by
first applying a strong sin/cos LPF to DU, yielding DU0 and subsequently applying
a binary threshold to DU0 ; resulting in two images T1 and T2 with:
1; DU0i;j 0 0; DU0i;j 0
T1 ¼ T2 ¼ ð5:18Þ
0; DU0i;j [ 0 1; DU0i;j [ 0
An example is shown in Fig. 5.22b. Subsequently, contours in T1 and T2 are

detected and sorted by area. The largest contours are then fitted by their minimal
enclosing circle. As a robust estimate of the object’s center, the median of the
resulting centers is taken, yielding the center ðcx ; cy Þ.
5.3.3.3 Prototype Creation and Phase Unwrapping
In order to detect defects, the measured phase distribution DU is compared to an

ideal prototype of that measurement. Expecting the measured part to have a smooth
surface, prototype creation is achieved by the application of a sin/cos low-pass filter
in a circular motion. One could think of this as virtually regrinding the object to
smooth out defects. The detailed steps for this process are as follows:
First DU is mapped to polar coordinates with respect to the object’s center
detected in the previous step. The result is an b r image DUpolar whereby b marks
the angular resolution and r the radius.
h i
DUpolar ½x; y ¼ DU y cos xb2p þ cx ; y sin xb2p þ cy
x ¼ 1; . . .; b 2 N ð5:19Þ
y ¼ 1; . . .; r 2 N
Low-pass filtering in a circular motion can thus be achieved by applying a sin/

cos LPF to DUpolar , yielding DUprototype (for an example see Fig. 5.22c). The m n
filter matrix was thereby chosen to be much larger in angular direction m than in
radial direction n. The reasoning is that, due to phase transitions, high-frequency
components are expected in the radial direction even for smooth surfaces. In the
angular direction, however, a smooth surface should only exhibit low-frequency
components, as there should not be any phase transitions. Deviations in depth can
thus be calculated via (Fig. 5.22d)
Dd ¼ DUprototype DUpolar : ð5:20Þ
5.3.3.4 Defect Detection
Potential defects are marked by deviations from zero in Dd. Due to roughness of the
measured part’s surface that lies within tolerance, there might exist multiple such
areas, even for intact parts. To differentiate between this background noise and
actual defects, two different features are used. Firstly, errors are assumed to be
marked by larger connected areas of deviations from zero, i.e., the area of an actual
defect exceeds a certain threshold. Secondly, it is assumed that for defective areas
the mean deviation from the background exceeds a certain threshold.
Accordingly, the defect detection routine searches for connected areas of devi-
ations from zero in Dd with areas above an area threshold tA where the mean
deviation exceeds a depth threshold tD . An example is shown in Fig. 5.22e.
286 P. Maaß et al.
5.3.3.5 Detecting Loss of Focus
Larger defects in the measured part’s geometry as well as environmental influences

might cause the measured phase distribution to be out of focus. However, the defect
detection routine does not necessarily capture this case. Therefore, an additional
method for detecting loss of focus was implemented. As a marker for focus, the
orientation of gradients in DUpolar is employed. The underlying assumption is that
well focused parts of DUpolar show homogeneous orientation of gradients, while
unfocused areas show gradient orientations that are more or less random. Focused
areas are hence marked by low standard deviation in the gradient orientations, while
unfocused areas are marked by large standard deviation. The gradient orientation in
DUpolar is calculated in the following way. First, the Sobel derivatives [Sob90] are
calculated by convolution with Sobel operators Sx and Sy , resulting in
2 3
1 0 1
Gx ¼ Sx DUpolar ¼ 42 0 2 5 DUpolar ð5:21aÞ
1 0 1
and
2 3
1 2 1
Gy ¼ Sy DUpolar ¼4 0 0 0 5 DUpolar : ð5:21bÞ
1 2 1
Large derivatives caused by phase transitions (Fig. 5.23b) are then removed by
looking for entries in Gx and Gy with absolute values above five times the median

absolute deviation (mad), i.e. jGx j [ 5mad ðjGx jÞ and Gy [ 5mad Gy respec-
tively. The identified values are then replaced by the respective median value
(Fig. 5.23c).
Subsequently, the gradient orientation (Fig. 5.23d) is calculated via

H ¼ arctan Gy ; Gx : ð5:22Þ
Then the local standard deviation std ðHÞ of H over windows of 25 25 pixels
is calculated
stdðHÞ ¼ ðH ðH KÞÞ K ð5:23Þ
with a 25 25 unit matrix K as the convolution kernel. The normalized sum f of

the values in stdðHÞ then serves as an indicator value on how focused the image is
(Fig. 5.23e):
Fig. 5.23 a: Polar coordinate image DUpolar of the phase distribution DU. b: Result of calculating
Sobel derivative of DUpolar in x- and y-direction (Gx and Gy respectively). c: Result of removing
outlier derivatives caused by phase transitions. d: The gradient orientation image H. e: Local
standard deviation of gradient orientation image H. Blue marks low values while red marks large
values
1X r X b
f¼ stdðHÞij ð5:24Þ
rb i¼1 j¼1
If f exceeds a certain threshold tfocus , the measurement is said to be out of focus.
5.3.3.6 Results
In total, this defect detection routine has the four parameters shown in Table 5.2
with the thresholds for area tA , depth tD and focus tfocus . After evaluating different
settings manually, the set of parameters shown in Table 5.2 was used for further
work
Table 5.2 Parameter set for Parameter Variable Value

defect routine
Angular resolution b 1800 pixels
Threshold: area tA 1000 pixels
Threshold: mean depth tD 0.1 (Range: 0–2 p)
Threshold: focus tfocus 0.07
288 P. Maaß et al.
Defect detection was evaluated on 296 measurements of 247 parts (230 parts of
those were previously inspected and found to be acceptable and 17 parts were
identified as bad parts) in the department of quality assurance of Stüken Corp. with
a measurement speed of approximately one part per second. Defective parts were all
measured at least 3 times with different orientations to verify reproducible defect
detection. Out of the 296 measurements, all the defective parts were reliably
detected (true positive), while eleven intact parts were sorted out. Of these eleven
parts, nine were correctly sorted out due to the measurement being out of focus,
leaving two false positive detections.
5.4 In Situ Geometry Measurement Using Confocal

Fluorescence Microscopy
Merlin Mikulewitsch* and Andreas Fischer
Abstract Due to the challenging environment of micro manufacturing processes

such as laser chemical machining (LCM) where the workpiece is submerged in a
fluid, a contactless in situ capable measurement is required for quality control.
However, the in situ geometry measurement has several challenges for optical
measurement systems because the high surface gradients of the micro geometries
and the fluid environment complicate the use of conventional metrology. Confocal
fluorescence microscopy allows for the determination of the surface position by
adding an isotropically scattering fluorophore to the fluid and detecting the signal
drop at the boundary layer between the measured object and the fluid. This tech-
nique, capable of improving the measurability of metallic surfaces with strong
curvatures, is evaluated for suitability as an in situ measurement method for the
LCM process. Unlike in thinner layers, however, the signal with fluid layers
1 mm, as needed for LCM in situ applications, shows strong dependencies on the
fluorophore concentration and fluid depth. Thus, a physical model of the fluores-
cence intensity signal was developed for the evaluation of the surface position. To
validate the method for the in situ measurement of geometry parameters, the step
height of a submerged reference step was determined by measuring the surface
positions along a line over the step. The step height measurement results in an
uncertainty of 8.8 lm that is verified by deriving the potential measurement
uncertainty of the model-based measurement approach. Further investigation of the
uncertainty budget will allow a reduction of the measurement uncertainty and
enable in situ monitoring and control of the LCM process.
Keywords In situ measurement Confocal microscopy Signal modeling
5.4.1 Challenges of Optical Metrology for In-Process

and in situ Measurements
Laser chemical machining (LCM) is a promising alternative process that allows for
inexpensive manufacturing of micro geometries in hard metals, such as dies for
micro forming, without heat damage or structural alterations to the material
[Mik17]. Laser chemically machined geometries can reach structure sizes between
10 lm and 400 lm, with steep slopes and a surface roughness of up to 0:3 lm
[Ste10]. However, factors in the process environment, such as chaotic thermal
interactions between the fluid and workpiece geometry, complicate the manufacture
of a desired geometry, necessitating a closed-loop quality control [Zha17] with an
290 P. Maaß et al.
in situ measurement feedback to improve the manufacturing quality (see Sect. 4.3).
The challenging conditions of the LCM process, such as the requirement that the
workpiece needs to be submerged by a fluid layer (typically 1‒40 mm thick), hinder
the in situ application of many measurement methods. The general lack of acces-
sibility to the workpiece, for instance, requires the use of contactless measurement
methods based on optical acquisition.
Conventional micro-topography measurement techniques can be separated into
interferometric methods (e.g. displacement interferometry, digital holography
[Kop13]) and other techniques, such as conventional laser-scanning confocal
microscopy [Han06]. Conventional confocal microscopy is hindered, however, by
the in situ conditions of high surface angles of the specimen [Liu16].
Interferometric methods were also investigated as a means of control feedback
[Zha13], but were found to be unsuitable: The tested measurement systems inte-
grated the interferometer directly into the machining head of the laser jet system as
a two-beam interferometer according to the Michelson principle in order to increase
the signal strength. The measuring beam was guided coaxially to the etchant and
processing beam onto the surface of the workpiece. To obtain the path difference
from the interferogram, the number of interference fringes was determined with
phototransistors. If the measuring and reference arms are in different ambient
media, a correction with the refractive indices of the media is also required.
Evaluating the interferometer with samples of different surface roughness, it was
determined that the measuring signal strength decreases with increasing surface
roughness [Ger10]. In the end however, successful in situ measurement application
proved to be unfeasible due to the formation of thermal gradients and gas bubbles
that act as moving micro lenses and cause strong disruptions of the measuring beam
[Ger10]. Thus, a suitable in situ measurement method capable of dealing with the
process-induced currents, thermal gradients, and refractive index fluctuations is
needed to improve the feasibility and acceptance of laser chemical machining as a
competitive manufacturing process. A method based on the confocal detection of
the fluorescence emitted by the fluid shows promise for in situ measurement
application. The measurement is based on detecting the boundary position of the
specimen surface and the fluid through the change in fluorescence signal while the
confocal detection volume is scanned vertically through the fluid [Mic14].
5.4.2 Principle of Confocal Microscopy Based

Measurement
The principle of measurement as shown in Fig. 5.24 is based on the detection of the
fluorescence intensity emitted from the fluid covering the specimen using a con-
focal microscopy setup [Mik18]. The light of a green diode laser (k = 532 nm) is
expanded by a Keplerian beam expander and redirected by a beam splitter to the
objective lens (NA = 0.42, WD = 20 mm), exciting the fluorescent fluid (aqueous
solution of Rhodamine B) submerging the specimen. The specimen container is

positioned using a 3-axis linear stage to enable the scanning of the focus position
through the fluid. Only the fluorescence light emitted by the fluid (k = 565 nm) is
collected by a charge-coupled device (CCD). The confocal principle causes light
not originating from a volume around the focus of the objective (confocal volume)
to contribute less to the detected fluorescence signal. Scanning the confocal volume
Fig. 5.24 Schematic diagram of the experimental setup and measurement principle of the
confocal fluorescence microscopy system. Moving the confocal volume vertically through the
fluid, a characteristic fluorescence intensity signal is generated (bottom right) [Mik18]
292 P. Maaß et al.
of the excitation laser vertically (in the z-direction) through the fluorescent fluid
produces a characteristic fluorescence intensity signal (see Fig. 5.24, bottom right).
Since the excitation light is filtered out, only light that is emitted by the fluid
inside the confocal volume is detected. Only for values of z inside the boundaries of
the fluid (z0 < z < z1, see Fig. 5.24) will a significant signal be produced, since no
fluorescent fluid is present to generate light when the confocal volume is fully
located in either air or the specimen. The signal does not decay abruptly at the
boundary but gradually, depending on the vertical extent of the confocal volume.
The exact determination of the surface position z0 is not trivial, as opposed to the
case of very thin fluid layers, where the depth response is more similar to that of
conventional confocal microscopy where the intensity peak corresponds directly to
the surface position. For the case of thicker fluid layers, the properties of the
fluorescence signal depend strongly on the fluorophore concentration and the fluid
depth. With high fluorophore concentrations or thick fluid layers, the Lambert–Beer
law of absorption causes less excitation light to reach far into the fluid, resulting in
the decay of the fluorescence signal before the confocal volume reaches the spec-
imen surface. This effect is negligible for thin fluid layers, but needs to be taken into
consideration when choosing the fluorophore concentration for measurements in
thicker layers. For the purpose of determining the surface position of the specimen
from the fluorescence signal, a physical model of the fluorescence signal is used.
5.4.2.1 Model Assumptions
In order to solve the inverse problem of how to determine the surface position of the
specimen from the acquired fluorescence intensity signal, a model of the fluores-
cence signal formation was developed [Mik18]. The model is based on several
assumptions:
1. The detected fluorescence intensity is only generated in the confocal volume
2. The shape of the confocal volume is simplified to a 3D Gaussian function
3. The shape of the confocal volume is not affected by refraction
4. The specimen surface is non-reflective
5. The fluid surface does not move
6. A constant and uniform fluorophore concentration
7. A constant excitation power
8. The confocal volume is cut off by the horizontal surface element
The model assumptions are the source of model uncertainties that propagate into
the uncertainty of the geometry parameter determination. However, it could be
shown [Mik18] that even this simplified model is capable of enabling the surface
position to be determined within thick fluid layers. The advantage of these sim-
plifications is the existence of a closed mathematical formula to describe the
fluorescence intensity signal (see Eq. 5.27).
5.4.2.2 Model Description
To model the fluorescence signal, the confocal volume in which it is generated

needs to be described first. Since the confocal microscope only detects light from
inside the confocal volume, the signal rapidly decreases if this volume moves
outside the fluid that generates the fluorescent light. The spatially distributed
contribution of each infinitesimal volume element to the detected fluorescence light
power can be characterized in a first approximation by the three-dimensional
Gaussian function [Rüt08]

2 z2
I ðr; zÞ ¼ I0 exp 2 r2 þ 2 ; ð5:25Þ
w0 j

x
with r ¼ :
y
This confocal volume function has a width of w0 in the xy-direction and jw0 in
the z-direction, where j [ 1 is a constant factor dependent on the confocal
setup. The parameter I0 describes the maximum fluorescence light power deter-
mined by the excitation power and fluorophore concentration. Because the signal is
generated by scanning the confocal volume through the fluid, a weighting factor,
which is zero outside the boundaries of the fluid and follows the Lambert–Beer law
of absorption inside the fluorophore, needs to be considered. The fluorescence
intensity signal IF ðzÞ detected at position z (see Fig. 5.25) is obtained by integrating
the total contribution described by weighting the confocal volume function over all
dimensions. The integral over the confocal volume function can be thought of as a
Z1
vertical (z) convolution of the horizontal (x, y) integral I ðr; zÞdr with the
1
weighting function gðzÞ of the fluid
Fig. 5.25 Measured fluorescence intensity signal and fitted model function IF ðzÞ, (see Eq. 5.27).
The surface position parameter z0 (see diagram in Fig. 5.24) resulting from the non-linear
least-squares fit is marked with a circle
294 P. Maaß et al.
Z1
I F ð z Þ ¼ gð z Þ I ðr; zÞdr; ð5:26Þ
1
expðe ðz z1 ÞÞ z0 z z1
with gðzÞ ¼ :
0 otherwise
Evaluating the convolution integral from Eq. 5.26 with the confocal volume
function I ðr; zÞ from Eq. 5.25 gives the model function of the fluorescence intensity
signal IF ðzÞ as

z z0 z z1
IF ðzÞ ¼ ~I0 erf þ en erf þ en expðe ðz z1 ÞÞ þ C; ð5:27Þ
2n 2n
jw0 I0 w20 np2 3

with n ¼ p ; ~I0 ¼ exp e2 n2 :
2 2 4
The surface position z0 is then determined by a non-linear regression of the

measured fluorescence intensity signal with the model function IF ðzÞ using a least
squares method. The approximation parameters are the amplitude ~I0 , the offset C,
the fluorophore concentration-dependent attenuation coefficient e, the confocal
volume shape parameter n and the position parameters z1 (fluid surface) and z0
(specimen surface).
5.4.3 Experimental Validation
The in situ measurement technique was validated by measuring the geometry

parameter step height of a referenced step object [Mik18]. The fluorescence
intensity signal resulting from the measurement of a single point on the
step-specimen is shown in Fig. 5.25.
In order to obtain the geometry parameter step height, the fluorescence intensity
signal (see Fig. 5.25 for the signal of a single point) of 23 points along a line
perpendicular to the edge of the step-specimen was acquired (i.e. performing a z-scan
for each ðx; yÞ-point). The surface position z0 was determined from each measured
intensity signal, with a least-squares approximation using Eq. 5.27. The resulting
specimen surface positons z0 are shown in Fig. 5.26. After correcting the tilt of the
step and the focus shift due to refraction at the fluid surface, the step height h was
determined by the difference of the mean surface positions of each step surface
h ¼ hupper hlower : ð5:28Þ

Fig. 5.26 Result of the surface position measurements for the step object. The geometry
parameter step height h was determined by the difference of the two mean surface positions of each
step surface, resulting in h ¼ ð258:2 8:8Þ lm [Mik18]
Comparing the step height result of h ¼ ð258:2 8:8Þ lm with the tactile ref-
erence measurement of ð253:5 0:2Þ lm shows no significant systematic devia-
tions. Since the positions on each step surface show a relatively large stochastic
scattering (up to 20%), the uncertainties are most likely caused by the general
surface condition or uncertainties in the fitting model. The measurement technique
based on confocal fluorescence microscopy was thus shown to be capable of
determining the geometry parameter step height for microstructures submerged in
thick fluid layers >100 lm, which demonstrates the suitability of the model-based
approach for in situ application. However, the sources of the uncertainty of 8:8 lm
need to be further characterized in order to reduce it to the desired 1 lm. In order to
find the lower boundary of uncertainty for the confocal microscopy-based geometry
measurement of submerged micro-structures, a determination of the measurement
uncertainty with the approximation of the signal model is necessary.
5.4.4 Uncertainty Characterization

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
To obtain the fundamental uncertainty of the surface position rz0 ¼ Varðz0 Þ from
the measurement with the non-linear least squares approximation method, the
covariance matrix of the estimator
h iT
^hI ¼ Î0 ; C;
^ ^; ^n; ^z0 ; ^z1 ; ð5:29Þ
F
based on the fit function IF ðzÞ (see Eq. 5.27) needs to be calculated. Applying an
uncertainty propagation calculation to the least squares estimator gives the fol-
lowing relation for the estimator’s covariance matrix [Kay93]:
296 P. Maaß et al.
Fig. 5.27 Calculated uncertainty of the surface position z0 as a function of the fluid depth df . The
minimum uncertainty for each different attenuation coefficient is shown as a black cross
1
Cov ^hIF ; ^hIF ¼ HITF C~I1
F
HI F
; ð5:30Þ
where HIF denotes the Jacobian matrix with the partial derivatives of the approx-
imation function with respect to ^hIF at each position zi of the measured fluorescence
intensity signal ~IF ðzi Þ, and C~IF the covariance matrix whose main diagonal contains
the variance r2IF of each zi of the fluorescence signal ~IF ðzi Þ, since the covariance
between the individual values is assumed to be zero.
To calculate the surface position uncertainty rz0 of the measurement using the
non-linear regression of the model function IF ðzÞ (see. Eq. 5.27), the aver-
age variance of the measured fluorescence signal around the model curve, i.e.
r2IF ¼ 1:26 109 (in units of detected photons), is used. The calculation results in an
uncertainty of 8.56 lm for the surface position z0 and 3.75 lm if propagated into an
uncertainty for the step height (based on 23 surface position measurements,
according to the results from Fig. 5.26). The uncertainty of the experimental result
of 8.8 lm is still larger than the calculated uncertainty by a factor of 2.3, suggesting
varying conditions during the measurement, such as the form of the fluid surface or
the micro topography of the specimen. To analyze the effects of the parameters fluid
depth df ¼ z1 z0 and concentration-dependent attenuation coefficient , the
uncertainty rz0 is determined as a function of the fluid depth df for different
attenuation coefficients , shown in Fig. 5.27. The calculation reveals, that for each
, a fluid depth exists where the uncertainty of the surface position rz0 is at a
minimum (marked as a black cross).
The minimum decreases with higher attenuation coefficients and lower fluid
depths df , which allows a suitable concentration (i.e. ) to be chosen for any
particular application-dependent fluid depth to achieve optimal uncertainty.
A Monte-Carlo (MC) simulation of the surface position determination (fitting an

artificial signal with equivalent noise 10,000 times) was used to verify the results of
the uncertainty calculations. To determine the theoretical limit of the achievable
uncertainty, the variance r2IF of the fluorescence intensity is decreased to its theo-
retical minimum. For this, an ideal, shot-noise limited signal with a Poisson dis-
tributed variance is considered, resulting in a surface position uncertainty of
rz0 ¼ 0:07 lm for the 23 position measurements of the experiment (see Fig. 5.26).
As a result, the shot-noise limited uncertainty is two orders of magnitude lower than
the currently achieved measurement uncertainty. However, if the variance of the fit
residuum is considered, the theoretically achievable uncertainty of the surface
position for a fluid thickness of 2:6 mm amounts to rz0 ¼ 8:56 lm, which corre-
sponds to a step height uncertainty of rh ¼ 3:75 lm. These results demonstrate the
untapped potential of the measurement technique and suggest that the step height
uncertainty of the model-based measurement approach is only limited by the natural
variation of the surface or effects not considered in the model (model uncertainties).
Hence, a sub-micrometer precision seems feasible with the proposed confocal
fluorescence microscopy technique, if the model uncertainties are decreased and the
signal-to-noise ratio is maximized in future investigations.
298 P. Maaß et al.
5.5 Characterization of Semi-finished Micro Products

and Micro Components
Bernd Köhler, Brigitte Clausen* and Hans-Werner Zoch
Abstract The mechanical properties of semi-finished micro products and micro

components cannot easily be extrapolated from macro material. The effects of
microstructure and surface conditions have a strong influence on the reliability of
measuring results and on the material properties. To evaluate new approaches in
micro wire and foil production new testing techniques had to be applied.
Furthermore, the suitability of bonding techniques in production processes had to
be tested dynamically. Finally, the mechanical properties of micro components
produced with the newly developed techniques had to be validated.
Keywords Microstructure Tensile strength Fatigue
5.5.1 Introduction
Acquiring the mechanical properties of micro samples demands additional aware-

ness concerning the effects of microstructure, surface, and alignment influences. In
both tensile and fatigue tests of thin sheets, the edges of samples have to be very
smooth and without micro notches to prevent them from early failure [Köh10b]. It
is even more important to observe a correct alignment of the samples than for
common samples, since eccentricity in the driving direction can lead to wrinkling
and accelerate failure [Hon03]. Frames to place them into the testing device
[Hon03] can additionally support especially sensitive samples. The ratio between
the sample dimensions and the spatial extent of micro structural features causes size
effects on, for example, the yield strength.
The strongest influence is caused by the inhibition of dislocation movement due
to surface effects and a lack of dislocation sources. For sample sizes between 1 and
10 µm, this effect causes a strong increase of the yield strength. Furthermore, strain
gradient plasticity effects influence the yield strength, due to additionally generated
geometrically necessary dislocations (GND). Assuming a length scale of possible
interactions with mobile dislocations between 10 nm and 100 µm, the plastic
deformation in micro samples can be described satisfactorily [Vol09]. The surface
grain model [Kal96] takes into account the difference between the influence of the
surface grains and the influence of core grains on the yield strength. The plastic
deformation of surface grains occurs more easily than for core grains due to a
smaller contribution to strain hardening. The effect is measureable in sample sizes
less than 20 times the average grain size [Kal96]. Among the different approaches
to calculation, Köhler et al. [Köh13] summarized the yield strength dependencies
from structural features. They show that for micro metal forming applications, the
temperature and strain rate dependence on the yield strength can be neglected. For
samples with less than 20 grains in the cross-section, an increasing yield strength
effect in comparison to single crystals occurs due to the different orientation of
grains towards the applied stress and the lack of strain continuity across grain
boundaries. The increase can be calculated by a crystal orientation factor mor
[Tay56]. For samples with more than 20 grains in the cross-section, the Hall–Petch
relation works well to calculate the grain size influence. An additional term taking
the grain boundary resistance (GBR) into account effects a further increase of yield
strength. Kim et al. [Kim07], using an extended Hall–Petch relation, provided a
combination of both.
Since the local microstructure gains a higher influence on the mechanical
properties, the natural scatter in the local microstructure results in larger scatter in
the mechanical properties (see Sect. 1.4.2.2 Scatter).
5.5.2 Equipment for Testing Micro Samples
5.5.2.1 Mechanical Testing
The results depicted in the following were produced on an electrodynamic testing

machine Instron® ElectroPuls™ E1000 type powered by a linear motor, described
thoroughly by Köhler et al. [Köh10b]. Its control allows a wide range of specimens
and specimen stiffnesses to be tested in dynamic mode with loads up to ±1000 N as
well as in static mode with loads up to ±710 N. The cyclic tensile tests were carried
out under sinusoidal load at a stress ratio R = 0.1 and a frequency f = 20 Hz. Spark
erosion and an additional barrel finishing process could achieve the required high
surface quality of dynamically tested sheets with a thickness of about 10 µm. The
parameters of this finishing process are the results of internal investigations. The
testing of micro wires required the development of new clamping systems, since a
conventional clamping of wires would provoke an early failure caused by the notch
effect. Quasi-static testing of soft samples allows the application of a reinforcement
at the clamping ends to avoid breakage at the clamps. For samples with higher
strength and dynamic tests, the demand was solved by a concept known from
testing fibers. The incrementally formed wire is guided two turns around a roll at
both ends and only mechanically clamped at the end (Fig. 5.28). In this way, the
force is dissipated via the friction of the wire on the rollers and the notch effect at
the end of the clamping can be neglected.
Ultra-micro hardness measurements on the rotary swaged wires made of 304
stainless steel showed that they undergo a strong work hardening due to the forming
process and have a surface hardness up to 550 HV 0.03 [Köh17]. To ensure a
satisfactory endurance of the rollers, a nitriding steel (31CrMoV9) was chosen as
material. After manufacturing, the rolls were quenched and tempered (870 °C 2 h/
oil/550 °C 2 h) and nitrided (510 °C 24 h) up to a nitriding depth of about 0.3 mm.
A surface hardness of 900 HV 0.1 or 65 HRC, respectively, was achieved.
300 P. Maaß et al.
Fig. 5.28 Clamping device

used for the quasi-static and
cyclic testing of wires
5.5.2.2 Metallographic Investigations
The change of microstructure due to deformation and heat treatment has to be

documented and interpreted to understand the mechanisms occurring in micro cold
forming. Besides classic metallographic methods, an electron backscatter scanning
diffractometer (EBSD) was used to obtain the grain sizes in aluminum sheets,
recognize the anisotropic microstructure, and scan the phase distribution. For this
purpose, a Philips XL30 scanning electron microscope (SEM) with an EBSD
detector EDAX DigiView IV was available. The sample preparation for optimized
EBSD imaging was dependent on the material to be analyzed. To avoid misinter-
pretation due to preparation failures, an investigation of the influence of different
preparation techniques on the results of the EBSD micrographs was started. The
results were published by Köhler et al. [Köh18].
5.5.3 Tensile Tests on Micro Samples
The first results from tensile tests on thin DC01 sheets with a chemical composition
Fe-0.027C-0.047Al-0.005Si-0.190Mn-0.007P-0.009S (mass%) and a thickness of
about 50 lm demanded an appropriate model to explain the unexpected
dependence on the grain size [Köh10a]. The first received results are displayed in
Fig. 5.29. The high yield strength in the cold worked state can easily be explained
by the high dislocation density due to cold working in the forming process. The
dislocation density was reduced by heat treatment for 15 min at 850 °C in a salt
bath from 1010 to about 2 108 m−2. An elongation of the holding time at the heat
treatment temperature caused no further reduction of the dislocation density.
To explain the deviance towards the Hall–Petch relation due to the small number
of grains in the cross-section of the tensile test samples, a model inspired by Janssen
[Jan07] was applied successfully [Köh11a]. A simple Taylor approach assigning
different yield strengths to the core and surface provides a satisfactory description
of the yield strength of the sheets:
rsheet
p0:2 ¼ a rp0:2 þ ð1 þ aÞ rp0:2
surface core
ð5:31Þ
with a representing the volume fraction of the surface grains. The yield strengths
rsurface
p0:2 and rcore
p0:2 in the Hall–Petch relation are extended by the hardness-dependent
contribution c ðHV 150Þ (see Eqs. 5.32 and 5.33), wherein c is a
material-dependent parameter. A hardness of 150 HV is assumed for the soft
annealed state of the mild steel. The differing grain sizes d and grain boundaries
resistances of surface and core grains, ksurface and kcore, as well as the friction stress
r0 are explicitly taken into account:
ksurface
rsurface
p0:2 ¼ r0 þ cðHV 150Þ þ pffiffiffiffiffiffiffiffiffiffiffiffiffi ð5:32Þ
d surface
Fig. 5.29 0.2% yield strength of DC01 sheets in dependence on heat treatment and grain diameter
compared to the theoretical yield strength due to Hall–Petch relation. The cold worked sheets were
annealed at 850 °C in a salt bath for the given time [Köh10a]
302 P. Maaß et al.
k core
p0:2 ¼ r0 þ cðHV 150Þ þ pffiffiffiffiffiffiffiffiffi
rcore ð5:33Þ
d core
Using the measured values and values from the literature [Hut63], the relations
could be completed for DC01sheets to:
pffiffiffiffiffiffiffi
MPa 382 MPa lm
rsurface
p0:2 ¼ 56 MPa þ 2:7 ðHV 150Þ þ pffiffiffiffiffiffiffiffiffiffiffiffiffi ð5:34Þ
HV d surface
pffiffiffiffiffiffiffi
MPa 696MPa lm
rcore
p0:2 ¼ 56MPa þ 2:7 ðHV 150Þ þ pffiffiffiffiffiffiffiffiffi ð5:35Þ
HV d core
With this newly developed relation, the dependence of the 0.2% yield strength of
micro sheets on the grain size could be predicted with a satisfactory accuracy
[Köh11a].
The characterization of the first thin films generated by physical vapor deposition
required the simultaneous consideration of the test result and the microstructure
[Sto10]. Typical deposition effects, like hillocks, explained the unusually high
differences in the results of nominally equal batches. The enhancement of the
process quality resulted in more homogeneous tensile test results, suitable to adjust
the process parameters of the sputter process [Kov17].
A customized clamping technique for micro wires was successfully applied on
the incrementally forged samples. As expected, the specimen failure occurred
predominantly within the gauge length. In the tensile test results, the scatter was
tolerable, though the results were sometimes unexpected.
Rotary swaging of micro wires produced from 304 stainless steel causes the
transformation-induced formation of martensite [Kuh15]. The fraction of martensite
increases with decreasing feed rate in the forming process. Though the hardness
increase is in accordance with the martensite fraction, the tensile test results show
an almost diametrical tendency [Köh17]. The ultimate strength and the yield
strength increase slightly with the increasing feed rate (Fig. 5.30). The increase can
be explained by the strength hardening of the samples due to the forming process. It
should be mentioned that the scatter of the strength values of these samples is
comparatively small.
5.5.4 Endurance Tests on Micro Samples
In contrast to the tensile test results, the results of the fatigue test on rotary swaged
micro wires show a considerable influence of the feed rate [Köh17]. With 1 and
3 mm/s feed rates, the results show an increase of the endurance limit re with an
enormous scatter, which is represented by the scattering parameter T = re,10%/
re,90%. With 5 mm/s, the scatter and the endurance limit decrease significantly in
Fig. 5.30 0.2% yield

strength rp0.2 and ultimate
tensile strength ru of rotary
swaged micro wires produced
from 304 stainless steel as a
function of feed rate [Köh17]
accordance with the decrease in hardness (Fig. 5.31). The scatter of the results is
significantly higher than in the initial material. A comparison of these results with
results gained on macro swaged samples showed that, though the scatter of the
results is much lower, the mean value of the macro swaged samples lies well below
the results for the micro swaged samples [Gan96]. This result can be explained by
the statistical influence of the appearance of failure on the fatigue values. The less
commonly a critical failure appears in the material, the more the scatter and the
Fig. 5.31 Woehler diagram of rotary swaged micro wires produced from 304 stainless steel for
varied feed rates supplemented by calculated failure probabilities PF (● = run out, ○ = failure)
[Köh17]
304 P. Maaß et al.
Table 5.3 Fraction of failure occurrence in surface, volume and at non-metallic inclusions of the
dynamically tested rotary swaged micro wires produced from 304 stainless steel
Initial state (%) 1 mm/s (%) 3 mm/s (%) 5 mm/s (%)
Surface 0 20 27 22
Inclusion 12 10 15 0
Volume 88 70 58 78
Fig. 5.32 Superposition of micrographs (with martensite proof etchant), position of failures with
highest probability, and hardness curves of rotary swaged micro wires produced from 304 stainless
steel for different feed rates (feed rate from left to right: 1, 3, and 5 mm/s) [Köh17]
mean value for the endurance limit re increase, and the more samples have to be
tested to receive a loadable result.
An additional interesting point is discovered in the origin of the failure of the
fracture (Table 5.3). Stereo microscopy and additional scanning electron micro-
scopic (SEM) investigations of the fracture surface showed that the fracture mainly
does not start from a non-metallic inclusion or from the surface, as normally
expected, but from under the surface.
A comparison of the results of the hardness measurements, metallographic
investigations and the failure origins position in the fractured samples showed that
the fracture starts predominantly in areas with an increased martensite fraction and
the highest hardness values. In Fig. 5.32 the micrographs of the wires are super-
imposed with the position of the highest probability of failure (colored rings = mean
value of failure probability; surrounding dotted rings = mean value +/− standard
deviation) and the hardness measured across the cross-section. Residual stress
measurements revealed additionally an increase of residual stresses in the marten-
sitic phase below the surface. The position of the maximum residual stresses cor-
relates with the fracture initiation position of the dynamically tested samples
(Fig. 5.33).
Fig. 5.33 Residual stresses in the surface of rotary swaged micro wires produced from 304
stainless steel with a feed rate of 5 mm/s
5.5.5 Microstructure Analysis with EBSD on Rotary

Swaged Samples
Köhler et al. [Köh18] published the results of the comparison of preparation

techniques for EBSD measurements. The most interesting result was that the
indexability of grains depends not only on the quality of preparation but also on the
degree of deformation of the grains due to the forming process. Any distortion to
the crystal lattice within the diffracting volume produces a lower quality due to
more diffuse diffraction patterns. This enables the parameter to provide a qualitative
description of the strain distribution in the microstructure, if the underlying struc-
tures can still be dissolved in principle [War94]. However, severe deformation can
also cause ultra-fine grains, which can also be the reason for insufficient resolution
of the diffraction patterns. An example of the effect of severe deformation on the
image quality is shown in Figs. 5.34 and 5.35. Figure 5.34 shows the image quality
and the EBSD image of the microstructure of a 304 stainless steel wire in the initial
state before forming. The image quality is very good and there are only a few dots
along the grain boundary that cannot be indexed correctly. Figure 5.35 shows the
same steel wire after rotary swaging with a degree of deformation u = −1.46. The
grains have been deformed differently according to their alignment to the main
shear stresses. Between the deformed grains, large black areas appear, which are not
indexable and which indicate a severe deformation or the formation of nano-grained
structures.
306 P. Maaß et al.
Fig. 5.34 Image quality (left) and EBSD image (right) of 304 stainless steel wire microstructure
in the initial state
Fig. 5.35 Image quality (left) and EBSD image (right) of 304 stainless steel wires microstructure
in rotary swaged state with degree of deformation u = −1.46
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Chapter 6
Materials for Micro Forming
Hans-Werner Zoch, Alwin Schulz, Chengsong Cui, Andreas Mehner,

Julien Kovac, Anastasiya Toenjes and Axel von Hehl
H.-W. Zoch (&) A. Schulz (&) C. Cui A. Mehner (&) J. Kovac A. Toenjes (&)
A. von Hehl
Leibniz Institute for Materials Engineering—IWT, University of Bremen, Bremen, Germany
e-mail: zoch@iwt-bremen.de
A. Schulz
e-mail: aschulz@iwt-bremen.de
A. Mehner
e-mail: mehner@iwt-bremen.de
A. Toenjes
e-mail: toenjes@iwt-bremen.de

312 H.-W. Zoch et al.
6.1 Introduction to Materials for Micro Forming
Hans-Werner Zoch
Thin metallic foils with a thickness below 50 µm are required for deep drawing of
sub millimeter micro components. Commercial metallic foils for deep drawing are
typically made of highly ductile materials such as pure aluminum, copper or
stainless steel. Yet these materials are not suited for deep drawing of high strength
micro components. Alloys with high mechanical strength are not available as thin
foils below 50 µm due to significant strain hardening during the cold rolling pro-
cess. Therefore, an alternative process based on physical vapor deposition
(PVD) was developed, in order to produce thin metallic foils with improved
mechanical properties. Thin foils of high strength aluminum alloys containing
scandium and zirconium (Al–Sc–Zr), heat treatable martensitic chromium steels
(X70Cr13) and high manganese austenitic steels (X5MnSiAl25-3-3) were produced
by PVD magnetron sputtering onto thin substrate foils which were removed by
selective etching after the PVD deposition process. Microstructure, mechanical
properties and the effect of post annealing of these monometallic PVD foils were
studied in order to find optimized processing parameters for deep drawing of micro
components with advanced mechanical properties. Additionally, bimetallic PVD
foils were produced and successfully tested for deep drawing of high strength micro
components. Also, a prototype device for continuous physical vapor deposition
onto thin metallic substrate tapes for an industrial scalable production of thin
bimetallic PVD foils was developed, built and successfully tested.
Heat treatment processes within the manufacturing chain of micro components,
either have the target to restore ductility or deformability after a cold rolling or deep
drawing process, or are used to increase the final strength of the finished compo-
nent. For single piece production and high volume production as well, short-term
heat treatment processes have advantages compared to long-term heat treatments.
Because of the very small dimensions of the micro components and their dis-
tortion sensitivity, a new furnace design was developed—the drop-down tube
furnace. Parts falling through an indirect heated tube of 6 m height are heated by
radiation during falling down. As there is no mechanical contact, no distortion or
damage of the parts occurs. Surface reactions are prevented by protective gas, e.g.
when components see a short recrystallization annealing to recover deformability
after cold working. Cooling in air or nitrogen gas at the furnace outlet allows to
martensitic harden heat treatable steels. In the case of precipitation hardening of
aluminum alloys, the heating times are too short for solution annealing, yet aging
treatments during falling down of still supersaturated alloys as created by PVD
sputtering processes are possible to increase strength.
In forming processes for micro components specific properties are required for
the raw materials. If the principal dimensions of the workpiece and the corre-
sponding tool are reduced to the micro scale these requirements are even more
pronounced. Especially for the tools the microstructural phase distribution should
6 Materials for Micro Forming 313
be fine and very homogenous. When hard carbides are necessary for wear resistance
powder metallurgical methods are suitable to achieve the desired properties. Among
those technologies spray forming has the capability to produce free-standing near
net shape products from the melt. The combination of two spray-forming assem-
blies, the so called co-spray forming, gives the opportunity to produce bulk
materials with different local chemical compositions and a gradient in between. This
allows the design of tools with different properties in specific areas. Using tool
steels gives additional possibilities by adjusting hardness via specific heat treat-
ments. In this chapter co-spray forming is shown to produce graded high-alloyed
tool steels. The challenge of simultaneously hardening of different microstructures
is solved by induction heat treatment, finally leading to materials that could be hard
machined to swaging tools. These tools have been used for micro swaging of wires
from austenitic stainless steels.
6.2 Tailored Graded Tool Materials for Micro Cold

Forming via Spray Forming
Alwin Schulz* and Chengsong Cui
Abstract In micro cold forming, the tools are loaded differently in various func-
tional areas, and tailored material properties are therefore required. To meet this
requirement, different tool steels can be applied in the specific regions of the tools,
with a gradual material transition in between to ensure a good bonding. These kinds
of composite material can be produced via two newly developed material manu-
facturing processes: co-spray forming and successive spray forming. The
spray-formed materials have been hot formed to eliminate porosity and break up the
carbide network. Moreover, a selective heat treatment based on middle frequency
induction heating has been developed to simultaneously austenitize the tool steels at
different temperatures since the different steels may require different heat treatment
conditions. Finally, micro rotary swaging tools made of graded tool steels have
been precisely machined in hardened condition due to the fine and homogeneous
microstructure in the steels. The tools have been successfully applied to form wires
of AISI 304 stainless steel.
Keywords Manufacturing process Tool steel Spray forming
6.2.1 Introduction
In cold forming of micro metallic components, the loads on the forming tools vary
in different functional regions, so tailored material properties in the specific regions
are required. For example, the reduction zone of an infeed rotary swaging tool
should be hard and wear-resistant to ensure high compact pressure and high fric-
tion, while the calibration zone of the tool should be strong but also micro-
machinable, since the radius of the calibration zone is smaller than 1 mm. To meet
these requirements, different tool steels may be applied in the specific regions of the
tools. A gradual material transition in between is expected to reduce critical stresses
at the interface and ensure good bonding of the different materials.
Components adapted to the specific loads in different areas by material modi-
fication or sequential construction have long been manufactured by means of
plating, cladding, thermal spraying, electroplating, PVD and CVD. These methods
have in common that a relatively sharp transition between the base material and
functional layer is formed. The chemical bonding at the interfaces is weakened due
to different crystal structures and lattice parameters [Wan96]. Process-related
residual stresses at the interfaces further limit the loading capacity of the composites
[Sun01]. In addition, different thermal expansions of the base material and the
functional layer at elevated temperatures, e.g. as a result of unlubricated frictional
contact, lead to additional thermal stresses [Kho00]. These limitations are coun-
teracted by an intermediate layer between the functional layer and the base material,
which serves to mediate differences in the crystal structure, lattice parameters and
thermal stresses [Mus92]. If the functional layer is formed by the reaction of several
components, as in the case of TiN layer via PVD or CVD, gradients can be built up
within a layer. Graded layer structures can also be generated during thermal
spraying by mixing different powders in the flame [Mus92]. These gradients are
metal–matrix composites (NiCr–ZrO2) with different mixing ratios, but the grading
is limited by the particle size, since the fine powders are difficult to process [Peu05].
Moreover, the thermal cycles during thermal spraying are so short that homoge-
nization of the material is hard to achieve by mixing of the melts or by diffusion
over longer distances [Söl92].
Spray forming is an advanced material manufacturing process, in which a stream
of alloy melt is atomized and the resultant small droplets are spray-deposited on a
moving substrate, resulting in a near-net-shaped product with fine and homoge-
neous microstructure [Hen17]. As a new development of the process, two different
alloys are melted simultaneously, and broken up into droplets in two spray cones
via two free-fall atomizers, resulting in two-layered flat deposits as shown in
Fig. 6.1a [Mey09]. If the two spray cones partially overlap, a gradient zone is
generated in the two-layered flat deposits [Cui13]. An alternative spray forming
process to produce graded materials is to spray two different alloys into a
ring-shaped deposit (see Fig. 6.1b) [Cui16]. A gradual material transition can also
be generated in the deposit if the two melts are mixed incrementally in the tundish.
These two spray forming processes, which overcome the problems encountered by
the conventional processes mentioned above, are expected to result in graded tool
(b) Melt 1 Crucible Melt 2
Crucible
(a) Melt 1 Melt 2
Tundish
Gas atomizer
Tundish
Gas atomizer Spray cone
Deposit 2
Spray cone
Gradient Deposit 1
Deposit 1 Substrate
Preheating Substrate
Fig. 6.1 Schematic drawings of a co-spray forming of a flat graded deposit, and b successive
spray forming of a ring-shaped graded deposit [Cui16]
materials that meet the requirements of micro cold forming. In the following sec-
tion, these two spray forming processes will be introduced, and the spray-formed
graded tool materials will be characterized and evaluated.
Moreover, a selective heat treatment based on middle frequency induction
heating and inductor oscillation has been developed and tested to simultaneously
austenitize the tool steels at different temperatures since the different steels may
require different heat treatment conditions to achieve optimal material properties.
Finally, the machinability of the graded tool materials will be assessed and the
performance of the graded tools in micro cold forming will be demonstrated.
6.2.2 Production of Graded Tool Materials
6.2.2.1 Materials Selection
Three tool steels have been selected for the spray forming of graded tool materials
for micro cold forming. The nominal chemical composition of the steels is listed in
Table 6.1. The large amount of vanadium-rich carbides in the high-speed steel
HS6-5-3C is responsible for its high hardness and excellent wear resistance. The
HS6-5-2C is similar to the HS6-5-3C, and it shows relatively higher fracture
toughness due to lower contents of V and C and hence a smaller amount of
carbides. Compared with the high-speed steels, the cold work tool steel
X110CrMoV8-2 has an even lower content of hard carbides and significantly
higher fracture toughness, which leads to better micro-machinability and fracture
toughness. In this study, two material combinations for the graded tool materials
have been investigated: HS6-5-3C/HS6-5-2C, and HS6-5-3C/X110CrMoV12.
6.2.2.2 Spray Forming of Graded Tool Materials
Spray forming of graded tool materials is illustrated in Figs. 6.1 and 6.2: co-spray
forming of flat deposits [Cui13], and successive spray forming of ring-shaped
deposits [Cui16].
During the former process two tool steels are melted and gas-atomized sepa-
rately and co-spray-deposited on a translating flat substrate, resulting in a flat
Table 6.1 Nominal chemical Steel grade Chemical element, wt%

composition of tool steels
Description AISI type C Cr W Mo V
HS6-5-3C M3:2 1.3 4.2 6.3 5.0 3.0
HS6-5-2C M2 0.9 4.0 6.4 5.0 1.9
X110CrMoV8-2 – 1.0 8.0 – 2.5 0.3
Fig. 6.2 Photographs of a co-spray forming of a flat graded deposit, and b successive spray
forming of a ring-shaped graded deposit
composite deposit with a gradual transition of the chemical composition in between

when the two spray cones partially overlap [Cui13a]. By this method, different
microstructure and mechanical properties can be combined in a single deposit. In
addition, fine and homogeneous microstructure can be achieved in the spray-formed
materials due to rapid solidification and droplet fragmentation during the spray
forming process.
During the latter process two different tool steels are also melted separately in
two crucibles. One melt is poured first into a tundish, followed by gas atomization
and spray deposition on a rotating tubular substrate, resulting in a ring-shaped
deposit (inner ring). When the first crucible is empty, the second steel melt is
poured into the same tundish, gas-atomized and spray-deposited on top of the inner
ring to form an outer ring. If there is still a quantity of the first melt in the tundish
when the second melt is poured into it, they mix in the tundish and the proportion of
the second steel increases gradually as it is continuously added. Consequently, a
gradient is also generated inside the deposit, depending on the gradational mixture
of the two melts in the tundish. In comparison with the co-spray forming process,
the successive spray forming process is more suitable for the manufacture of thick
deposits since less heat is accumulated in the deposit during spray forming due to
rotation of the deposit, and therefore lower thermal stresses and lower distortion are
generated in the deposit.
Co-spray forming of the graded tool steels was carried out in the facility SK1+ at
the University of Bremen. Firstly, flat deposits of HS6-5-3C/HS6-5-2C and
HS6-5-3C/X110CrMoV8-2 with a thickness of approx. 30 mm were spray-formed
(Fig. 6.3a). The tilting angles of the spray cones were varied at 6°, 9° and 12° to
achieve different thicknesses of the gradient zone. In addition, the atomization gas
pressure was adjusted to achieve different thermal conditions, which influence the
porosity and the microstructure of the deposits. Secondly, flat deposits with a
thickness of 55–60 mm (Fig. 6.3b) were produced by reducing the translational
speed of the substrate; therefore, after hot deformation, the graded materials are still
thick enough for making micro forming tools. In order to provide thicker
semi-finished materials for fabricating the micro forming tools and to further
increase the degree of deformation of the deposits, the co-spray forming process
was modified to produce flat graded deposits with a thickness of about 100 mm
(Fig. 6.3c). This modified spray forming process consisted of two phases. In the
first phase, co-spray forming was conducted, similar to that for the deposits with a
thickness of 55–60 mm. In the second phase, the substrate moved backward when
the melt for the lower layer of the deposit was ended, and the melt for the upper
layer of the deposit was continuously sprayed over the graded deposit.
Consequently, thicker deposits were produced.
Successive spray forming of graded tool steels was also carried out in the facility
SK1+ [Cui16]. During this process, the tool steels (HS6-5-3C and X110CrMoV8-2)
were melted separately and spray-deposited successively on a rotating tubular
substrate, resulting in a ring-shaped graded deposit with an outer diameter of about
335 mm and an inner diameter of 114 mm.
To reduce the hardness and remove stresses, the spray-formed deposits were soft
annealed by heating to 840 °C at the rate of 50 K/h, holding for 4 h, followed by
cooling to 500 °C at the rate of 20 K/h and uncontrolled cooling in the furnace to
room temperature.
6.2.2.3 Densification of Graded Tool Materials
Porosity is an unavoidable characteristic of spray-formed materials [Hen17]. Four

approaches have been applied for the densification of the spray-formed graded tool
steels:
(a) (b) (c)
Fig. 6.3 Transverse sections of flat deposits of different thickness around a 30 mm, b 60 mm, and
c 100 mm
(1) Samples from the 30 mm thick flat deposits were HIPped at 1140 °C under the
pressure of 100 MPa for 3 h. Generally, the porosity is eliminated by HIPping.
However, for deposits with open porosity, the HIPping should be conducted in
capsule. It was also found that the carbide networks in the spray-formed
deposits remained unchanged after HIPping, which would impair the fracture
toughness of the materials.
(2) Samples from the 30 mm thick flat deposits were hot rolled on a lab rolling mill
to eliminate porosity and break up the carbide network [Cui14]. The samples
(thickness 24–28 mm after milling) were preheated in a furnace to 1100 °C,
held at that temperature for 10–30 min, and rolled in three passes to a final
thickness of approximately 10 mm. For each rolling pass, the true strain and the
true strain rate of the rolled samples were in the range of 0.2–0.4 and 2–3 s−1,
respectively. The total strain of the samples was about 0.9. Samples from the
60 mm thick flat deposits were also hot rolled on this lab rolling mill. The
samples (thickness 44–49 mm after milling) were preheated to 1100 °C and
rolled in three passes to a final thickness of approximately 24 mm. For each
rolling pass, the true strain and true strain rate of the sample were 0.2–0.3 and
1–2 s−1, respectively. The total strain of the sample was around 0.7.
(3) The 100 mm thick flat deposits were hot forged to eliminate porosity and break
up the carbide network. The deposits were forged in a temperature range from
1150 °C to 950 °C to a thickness of approximately 50 mm and cooled slowly
in dry sand.
(4) The spray-formed ring-shaped deposit was machined to a ring preform
(318 mm OD 125 mm ID 50 mm), and forwarded to a rolling mill for
direct ring production. The deposit was preheated in a furnace to 1100 °C and
rolled to the final dimensions (543 mm OD 431 mm ID 39 mm). The
area reduction of the ring was 2.23. After ring rolling, the sample was cooled
slowly in the furnace from 860 °C to room temperature.
6.2.2.4 Heat Treatment
The different materials in the graded deposits usually require different heat treat-
ment conditions. For example, the recommended austenitization temperatures for
high-speed steels are much higher than those for cold work tool steels. If the graded
deposits are austenitized at high temperatures, too much austenite may be retained
in the cold work tool steels and the grain structure would be coarsened. If the
graded deposits are austenitized at low temperatures, insufficient dissolution of
carbides may hinder the secondary hardening of the high-speed steels. Due to that,
for the graded deposits made of different steels, any compromise for heat-treating in
a furnace should lead to insufficient hardening results.
To demonstrate this, samples of the graded deposits were austenitized in a
vacuum furnace at 1080 °C for 20 min or at 1180 °C for 10 min, and quenched
with nitrogen at 0.6 MPa, followed by triple tempering at 550 °C for 2 h. It was
found that the austenitization temperature of 1180 °C was suitable for the
HS6-5-3C and HS6–5-2C, but too high for the X110CrMoV8-2 (see Fig. 6.11).
The appropriate austenitization temperature for X110CrMoV8-2 must not exceed
1080 °C. Therefore, the traditional austenitization in a furnace is not suitable for
hardening of graded materials like HS6-5-3C/X110CrMoV8-2.
To overcome this problem, a selective heat treatment based on induction heating
with an oscillating inductor has been developed, as shown in Fig. 6.4. An oscil-
lating ring-shaped inductor is used to heat the cylindrical sample. The upper region
of the sample is HS6-5-3C and the lower region is X110CrMoV8-2. Between the
two alloys is the gradient zone. The desired austenitization temperatures for
HS6-5-3C and X110CrMoV8-2 are T1 and T2, respectively. Middle frequency
induction is applied for a thorough heating from the surface to the core of the
sample. The induction heating process is divided into three phases:
Phase 1: The complete sample is heated up to the temperature T2 (desired for
X110CrMoV8-2) by oscillating the inductor over the complete sample.
Phase 2: The inductor continues to oscillate over the complete sample but the
inductor current is reduced, so that the sample temperature is held at T2.
Phase 3: The inductor oscillates over the upper region (HS6-5-3C) and the local
temperature is further increased to T1 (desired for HS6-5-3C). In order to
HS6-5-3C (T1) Phase

Inductor 1 2 3
... … ...
50 mm
Gradient
X110CrMoV8-2 (T2)
HS6-5-3C Gradient X110CrMoV8-2

Phase
1 2 3
& Sample temperature
IInd.
Inductor current
T1
Temperature
(Phase 3)
T1
T2
T2
Time Length of sample
Fig. 6.4 Schematic of the selective heat treatment of a cylindrical sample of the graded material
HS6-5-3C/X110CrMoV8-2 based on middle frequency induction heating and oscillation of the
inductor [Cui17a] Copyright 2017 by MS&T17. Used with permission
hold the temperature of the lower region at T2, the inductor must also
oscillate over the complete sample after several oscillations over the
upper region. This combined oscillation is repeated and a tailored
austenitization of the composite material is achieved.
In this study, cylindrical samples (∅20 mm 50 mm) were machined along the
thickness of the hot rolled ring for the selective heat treatment. The HS6-5-3C
region was approximately 10 mm long, the gradient zone 10 mm, and the
X110CrMoV8-2 region 30 mm. For temperature measurement, initial tests were
done with samples with ∅1.1 mm holes of different depths for placing sheath
thermocouples (∅1 mm, type K).
The induction heat treatment facility used in this study was a
VL1000 SINAC 200/300 S MFC from EFD Induction GmbH (see Fig. 6.5). The
inductor was a water-cooled single turn copper coil with an inner diameter of
22 mm, a cross-section of 6 6 mm2, and a wall thickness of 1 mm. Thermal
insulation (glass fiber) was applied at both ends of the sample to reduce heat loss. In
all experiments, an infrared pyrometer (KTR 1075 from Maurer) and a 2-color
(ratio) pyrometer in combination with a video camera with a short wavelength
infrared filter (ISR 6-TI Advanced, LumaSense) were used to measure the surface
temperature of the sample during the heat treatment.
Sample
Inductor
Pyrometer Isolator
Video camera
Thermocouples
Thermal camera / 2-color Pyrometer
Fig. 6.5 Setup of the selective heat treatment of a cylindrical sample of the graded material
HS6-5-3C/X110CrMoV8-2 based on middle frequency (14 kHz) induction heating and oscillation
of the inductor
After induction heating, the samples were cooled in air since the tool steels are
air hardenable. Finally, the composite samples were tempered three times in a
protective atmosphere at 550 °C for 2 h.
The influence of the inductive process parameters (inductor current, motion of
inductor, etc.) on the temperature distribution and the result of hardening of the
graded materials have been investigated. The microstructure and hardness of the
graded materials have been correlated with the austenitizing conditions. More
details of the experiments can be found in [Cui17a].
6.2.3 Evaluation of the Graded Tool Materials
6.2.3.1 Co-spray-Formed Material
The distributions of the chemical elements in the co-spray-formed graded materials

are most clearly represented by the element vanadium. The measured contents of
vanadium over the deposit thickness are given in Fig. 6.6. For both material
combinations, the concentration profiles are similar. The effect of the tilting angle of
the atomizers on the gradient zone is significant. Tilting the atomizers leads to
overlapping of the spray cones and a mixing of the droplets of the two different
steels.
Representative microstructure of the graded deposits after hardening and tem-
pering is presented in Figs. 6.7 and 6.8 [Cui13]. The micrographs exhibit equiaxed
grain structures with fine carbides, as well as a carbide network at the primary
austenite grain boundaries. For both material combinations, there are more MC type
carbides in the HS6-5-3C than in the HS6-5-2C or X110CrMoV8-2. The gradient
zone shows some intermediate microstructure.
Porosity and carbide networks, which impair the fracture toughness of the
materials, have been frequently observed in the spray-formed tool steels. After hot
(a) (b)
3,0 3,0
Content of vanadium (wt.%)
Content of vanadium (wt.%)
2,5 2,8
2,6
2,0
2,4
1,5
2,2
1,0 Tilting angle 6° Tilting angle 6°
2,0
Tilting angle 9° Tilting angle 9°
0,5 1,8
Tilting angle 12° Tilting angle 12°
0,0 1,6
0 5 10 15 0 5 10 15
Distance from deposit base (mm) Distance from deposit base (mm)
Fig. 6.6 Distribution of the element vanadium in the spray-formed graded deposits of 30 mm
thickness depending on the tilting angles of the spray cones: a HS6-5-3C/110CrMoV8-2, and
b HS6-5-3C/HS6-5-2C [Cui13]
Fig. 6.7 Microstructure of a graded deposit of 30 mm thickness, hardened at 1080 °C and triple
tempered at 550 °C: a X110CrMoV8-2, b X110CrMoV8-2+HS6-5-3C, c HS6-5-3C [Cui13]
Fig. 6.8 Microstructure of a graded deposit of 30 mm thickness, hardened at 1180 °C and triple
tempered at 550 °C: a HS6-5-2C, b HS6-5-2C+HS6-5-3C, c HS6-5-3C [Cui13]
deformation, the porosity has been essentially eliminated, and the coarse carbides
have been broken into small pieces. During hot deformation the grain structure
might experience a dynamic recrystallization, too. This also resulted in a fine and
homogeneous microstructure, as shown in Figs. 6.9 and 6.10.
The hardness values of the graded deposits after hardening as well as after
hardening plus tempering are shown in Fig. 6.11:
Fig. 6.9 Microstructure of a graded deposit of 30 mm thickness, hot rolled to 10 mm, hardened at
1080 °C and triple tempered at 550 °C: a X110CrMoV8-2, b X110CrMoV8-2+HS6-5-3C,
c HS6-5-3C
Fig. 6.10 Microstructure of a graded deposit of 30 mm thickness, hot rolled to 10 mm, hardened
at 1180 °C and triple tempered at 550 °C: a HS6-5-2C, b HS6-5-2C+HS6-5-3C, c HS6-5-3C
(a) (b)
80 Hardening Hardening+Tempering Hardening Hardening+Tempering
80
HS6-5-3C
70 HS6-5-3C 70 HS6-5-2C HS6-5-3C HS6-5-3C
X110CrMoV8-2 HS6-5-2C
60 60
Hardness [HRC]
Hardness [HRC]
50 50
X110CrMoV8-2
40 40
30 30
20 20
10 10
0 0
1180 °C 1080 °C 1180 °C 1080 °C
Austenitization temperature Austenitization temperature
Fig. 6.11 Hardness of graded deposits after hardening and tempering: a X110CrMoV8-2/
HS6-5-3C, and b HS6-5-2C/HS6-5-3C [Cui13]
(1) The hardness of the as-hardened X110CrMoV8-2 with the austenitization

temperature of 1180 °C is very low (around 34 HRC). Its hardness increases to
62 HRC with the austenitization temperature of 1080 °C. This indicates that
carbide dissolution in the matrix of X110CrMoV8-2 is too high during
austenitization at 1180 °C. It results in a very low martensitic transformation
temperature and therefore too much retained austenite after quenching. The
hardness of the as-hardened HS6-5-3C with the austenitization temperature of
1180 °C is about 66 HRC. It is nearly the same for the austenitization tem-
perature of 1080 °C due to the high carbon content and high alloying element
content of this steel. After three times of tempering at 550 °C, the hardness of
the X110CrMoV8-2 austenitized at 1180 °C increases to 40 HRC, indicating
further transformation of retained austenite. For the X110CrMoV8-2 austeni-
tized at 1080 °C, its hardness remains nearly the same after tempering. For the
HS6-5-3C austenitized at 1180 °C, its hardness decreases slightly after tem-
pering. However, for the HS6-5-3C austenitized at 1080 °C, its hardness
decreases significantly to about 61 HRC. The relatively low austenitization
temperature leads to a higher degree of softening during tempering of the

high-alloyed steel, and this could not be compensated by secondary hardening
because fewer carbides were dissolved during austenitization. It is therefore
concluded that a tailored austenitization for this material combination is needed
to achieve the optimal material properties for both steels.
(2) For the graded steels HS6-5-3C/HS6-5-2C, the hardness of both steels is higher
than 60 HRC in the hardened condition as well as in the tempered condition.
When austenitized at 1180 °C, the hardness of both the as-hardened steels is
around 66 HRC. After tempering, it is about 65–66 HRC because secondary
hardening occurs. When austenitized at 1080 °C, the hardness values of the
as-hardened HS6-5-2C and HS6-5-3C are about 62 HRC and 66 HRC,
respectively. Fewer carbides dissolve in the austenite matrix at this temperature,
and particularly the highly stable carbides like tungsten and molybdenum
carbides do not dissolve. After tempering, their hardness reduces to approxi-
mately 60 HRC due to decomposition of martensite and less secondary hard-
ening. To achieve high hardness, the austenitization temperature of 1180 °C is
preferred for this material combination.
6.2.3.2 Successive Spray-Formed Material
The distributions of the main alloying elements C, Cr, Mo, W and V in a

ring-shaped graded material (HS6-5-3C/X110CrMoV12) via successive spray
forming and ring rolling are presented in Fig. 6.12. The gradient zone between the
inner HS6-5-3C and the outer X110CrMoV8-2 is approximately 10 mm thick,
starting at the position about 12 mm from the inner surface of the ring. The slope of
the gradient of the elements depends on the level of mixture of the two steel melts
in the tundish. If there is less melt of the first steel in the tundish when the second
steel melt is added, or the second melt is added more quickly, the gradient zone in
the spray-formed ring would be narrower.
Fig. 6.12 Distributions of 9

C
main chemical elements in the HS6-5-3C X110CrMoV8 -2
8
Cr
as-rolled ring-shaped graded 7
deposit HS6-5-3C/ Mo
6
Content (wt.%)
X110CrMoV12 [Cui16] W
5
V
4
3
2
1
0
0 5 10 15 20 25 30 35
Distance from the inner surface of the deposit (mm)
The microstructure of the graded materials after the selective induction hard-
ening and tempering, as described before, is presented in Fig. 6.13 [Cui17a]. The
MC-type carbides were precipitated in the HS6-5-3C region, and mainly eutectic
carbides were observed in the X110CrMoV8-2 region. In the gradient zone, a
mixed structure of the two steels was constituted. With high austenitization tem-
peratures (1220 °C/1120 °C), the X110CrMoV8-2 region showed coarse marten-
site and a large amount of retained austenite, while the gradient zone showed very
coarse austenite grains and very little martensite. The microstructure of the graded
materials austenitized at 1180 °C/1080 °C and 1150 °C/1050 °C looked similar,
except that the microstructure in the gradient zone was somewhat coarser under the
austenitization condition at 1180 °C/1080 °C. It was hard to find retained austenite
in the graded materials processed under these conditions.
The hardness profiles of the graded materials processed under various induction
heating conditions are shown in Fig. 6.14. The maximum austenitization temper-
atures reached in the various regions of the samples are also plotted in the diagrams.
It can be summarized as follows:
(1) Graded temperatures are achieved in all the samples. The relatively broad
temperature gradients are caused by the heat conduction from the high tem-
perature region to the low temperature region. To reduce the temperature
gradient, the heating time for the samples should be shortened.
1220 °C / 1120 °C 1180 °C / 1080 °C 1150 °C / 1050 °C

HS6-5-3C
Gradient
X110CrMoV8-2
Fig. 6.13 Microstructure of the graded tool steels after selective induction hardening and
tempering [Cui17a] Copyright 2017 by MS&T17. Used with permission
T HRC (as-hardened) HRC (as-tempered)

(a) (b) T HRC (as-hardened) HRC (as-tempered)
Hardness in HRC
Hardness in HRC
70 70
60 60
max. Temperature in °C
1200 50 1200 50
1150 40 1150 40
1100 30 1100 30
1050 1050
1000 1000
HS6-5-3C Gradient X110CrMoV8-2 HS6-5-3C Gradient X110CrMoV8-2
950 950
0 10 20 30 40 50 0 10 20 30 40 50
Length of sample in mm Length of sample in mm
(c) T HRC (as-hardened) HRC (as-tempered)
Hardness in HRC
70
60
1200 50
1150 40
1100 30
1050
1000
HS6-5-3C Gradient X110CrMoV8-2
950
0 10 20 30 40 50
Length of sample in mm
Fig. 6.14 Hardness and maximum austenitization temperature of the graded tool steels processed
under various induction heating conditions (target temperatures): a 1220 °C/1120 °C, b 1180 °C/
1080 °C, and c 1150 °C/1050 °C [Cui17a] Copyright 2017 by MS&T17. Used with permission
(2) The hardness of the gradient zone in the as-hardened condition is low. It
increases as the maximum austenitization temperature decreases due to reduced
retained austenite. If the austenitization temperature is too high, for example
above 1150 °C, excessive dissolution of carbides in the matrix lowers the
martensite transformation temperature and results in excessive retained
austenite.
(3) The hardness of the gradient zone increases after triple tempering at 550 °C.
This is due to the precipitation of fine carbides and further transformation of
retained austenite to martensite during the tempering at high temperature.
However, if the austenitization temperature is too high, carbide precipitation
and further transformation of retained austenite to martensite would be insuf-
ficient due to stabilization of the austenite, resulting in a soft gradient zone (see
Fig. 6.14a).
(4) In Fig. 6.14b the maximum austenitization temperature is approximately
1180 °C in the HS6-5-3C region and 1060 °C in the X110CrMoV8-2 region.
After induction hardening the hardness of the HS6-5-3C steel and the
X110CrMoV8-2 steel can reach 65 HRC, while the hardness of the gradient
zone is low (52 HRC at the length position 17 mm). After tempering, the
hardness of the gradient zone increases to 62–65 HRC. At lower austenitization
temperatures (target temperatures: 1150 °C/1050 °C), the hardness of the
gradient zone is further increased (Fig. 6.14c). After tempering, the hardness
profiles are similar to that shown in Fig. 6.14b.
(5) If the austenitization temperature for X110CrMoV8-2 is very low (for example
below 1050 °C), secondary hardening is insufficient and its hardness decreases
after tempering (position around 40 mm in Fig. 6.14b, c). A high austenitiza-
tion temperature is preferred for HS6-5-3C since it contributes to carbide dis-
solution and secondary hardening.
6.2.4 Fabrication of Micro Cold Forming Tools
Micro forming tools have been fabricated from the co-spray-formed graded steels.
For plunge rotary swaging tools the tool surface consisted of HS6-5-3C (hard and
wear-resistant), the tool body of X110CrMoV8-2 or HS6-5-2C (fracture-resistant
and tough), with the gradient zone in between. For infeed rotary swaging tools, the
reduction zone consisted of HS6-5-3C (wear-resistant, high friction) and the cali-
bration zone of X110CrMoV8-2 or HS6-5-2C (fracture-resistant and highly
micro-machinable), and the gradient zone was located between (see examples in
Figs. 6.15 and 6.16).
Micro rotary swaging tools were manufactured in the hardened state by means of
micro milling. The machining was carried out on a DMG Sauer Ultrasonic 20 linear
machine tool. The machining operation comprised multiple consecutive roughing
and finishing steps. CAD/CAM programming was used for tool path generation. In
micro machining, the procedure of tool path generation is essential to achieve the
desired shape accuracy and surface finish [Bri13]. Conventional path planning with
a projected line pitch is not sufficient, as this would result in an inhomogeneous
contour of the micro rotary swaging tools. In this study, the tool path generation
was carried out with the line pitch arranged tangential to the targeted contour of the
rotary swaging tools to meet the required machining quality. A detailed overview of
all machining operations for the generation of the rotary swaging tool’s micro
contour can be found in [Cui17].
(a) (b)
forming
transition freezone
forming zone
freezone
gradient
zone
forming
zone
Fig. 6.15 Micro plunge rotary swaging tools of graded tool steel (X110CrMoV8-2/HS6-5-3C)
processed by co-spray forming and hot deformation: a tool segments; and b different functional
zones of the tools [Cui15]
(a) (b)
outlet
calibration
zone
gradient
reduction zone
Fig. 6.16 Micro infeed rotary swaging tools of the graded tool steel (HS6-5-2C/HS6-5-3C)
processed by co-spray forming and hot deformation: a tool segments; and b different functional
zones of the tools
The functional surfaces of the forming tools after micro milling were investi-
gated by means of scanning electron microscopy. Stereoscopic images were used to
retrieve 3D information on the tool surfaces (using MeX software from Alicona), as
seen in Fig. 6.17. It shows that the tool surfaces were smooth and the fine geo-
metrical structures of the tools were precisely machined. Only slight traces of micro
milling were observed at the tool surfaces. The excellent micro-machinability of the
graded steels was guaranteed due to their fine and homogeneous microstructure.
Fig. 6.17 Functional zones of a set of micro infeed rotary swaging tools (X110CrMoV8-2/
HS6-5-3C) after micro milling: a reduction zone; b calibration zone
Refinement of the hard carbides by faster cooling during spray forming and more
fracture of the carbides during heavier hot deformation would further improve the
micro-machinability of the tool materials.
6.2.5 Performance of Micro Forming Tools
Rotary swaging is an incremental forming process for tubes, bars and wires. The
workpieces are deformed in the swaging head by the forming tools (at least two
segments), which rotate around the workpieces and perform radial oscillating
movements at high frequency. There are two main variations of the process: plunge
rotary swaging and infeed rotary swaging [Kuh08]. The diameter of the workpiece
is reduced over the complete fed length during infeed rotary swaging, and it allows
only local diameter reductions during plunge rotary swaging.
Sets of micro forming tools, which were fabricated from the graded tool steels,
were tested in the micro rotary swaging machine (Type Felss HE 3/DE). Wires of
stainless steel 1.4301 (AISI 304) in annealed state (surface hardness 300 HV0.1)
were used for the test. The functional surfaces of the forming tools before and after
the rotary swaging were investigated by means of scanning electron microscopy.
In plunge rotary swaging, the diameter of the stainless steel wires was reduced
from 1.0 mm to the final diameter of 0.8 mm. The tool oscillated with a frequency
of 100 Hz and the radial displacement was set to 35 µm/s. The total strain of the
wires was 0.45. The gradient zone in the tool segments did not show signs of
fracture or cracking after the test (up to 2500 pieces).
Transition zone
Adhesive wear Edge deformation 500 µm

Forming zone
after micro milling after 125 workpieces after 1000 workpieces after 2500 workpieces
Fig. 6.18 Functional zones of the micro plunge rotary swaging tools before and after deforming
workpieces of austenitic steel 1.4301 (forming zone Ø = 0.8 mm) [Cui15]
The functional surfaces of a forming tool segment (X110CrMoV8-2/HS6-5-3C)

before and after micro rotary swaging are shown in Fig. 6.18. Slight adhesion of the
workpiece on the tool surfaces and slight deformation/abrasive wear in the transi-
tion zone appeared. The forming zone of the tools was almost unchanged after
processing 2500 workpieces. The shape, dimensional accuracy, and surface quality
of the processed wires were satisfactory.
In infeed rotary swaging, the diameter of the stainless steel wires was reduced
from 1.0 to 0.5 mm in one step, which corresponds to a total strain of 1.38. The tool
oscillation took place with a frequency of 100 Hz and the workpiece axial feed
velocity was 3 mm/s, which also means a displacement of 0.03 mm per stroke. The
tools were investigated after forming wires of 5, 15, 35 and 85 m, respectively. The
graded tool segments survived the test, and no fracture or cracking in the gradient
zone was observed.
The functional surfaces of a forming tool segment (HS6-5-2C/HS6-5-3C) after
micro infeed rotary swaging of AISI 304 wire of different lengths are shown in
Fig. 6.19. The geometrical structures and the surface quality of the forming tools
were not significantly changed by the swaging process. Slight abrasion in the
reduction zone occurred after cold forming 5 m of wire. Slight adhesion of the wire
on the tool surface was also observed both in the reduction zone and in the cali-
bration zone. The abrasion and adhesion in the reduction zone are more pronounced
than in the calibration zone since the loads (impact forces during swaging) and the
friction between the wire and the tool were much higher in the reduction zone.
The degree of deformation and wear of the forming tools increased with the
increasing number/length of workpieces. This might lead to poor surface roughness,
low size and shape accuracy of the workpieces and even complete failure of the
deformation (fracture of the workpieces). In order to reduce the deformation and
Reduction zone
Abrasion 1.4301Adhesion 500 µm

Calibration zone
after micro milling after 5 m after 35 m after 85 m
Fig. 6.19 Functional zones of the micro infeed rotary swaging tools before and after deforming
workpieces of austenitic steel 1.4301 (forming zone Ø = 0.5 mm) [Cui16]
wear of the swaging tools, several strategies have been proposed to further improve
the behavior of the swaging tools: (1) applying stronger tool materials in the tool
surfaces, (2) reducing the deformation ratio of the workpieces, (3) reducing the
temperature of the tools by coolant, and (4) improving the lubrication of the tools to
reduce the friction between the workpieces and the tools.
6.3 Production of Thin Sheets by Physical Vapor

Deposition
Andreas Mehner*, Julien Kovac and Hans-Werner Zoch
Abstract Thin metallic foils with thicknesses below 50 µm are required for the
production of hollow micro components by deep drawing. The production of such
foils by conventional metallurgical methods and cold rolling requires highly ductile
materials such as pure aluminum, copper or stainless steel. Hardenable
high-strength alloys are not available as thin foils due to the limited manufacturing
process for such materials. Therefore, an alternative process based on physical
vapor deposition (PVD) was developed in order to produce thin metallic foils with
improved mechanical strength. The PVD-based production process and the micro
structure and mechanical properties of the resulting thin metallic foils will be
presented for several hardenable high strength aluminum alloys and steels. Selected
foils were successfully tested for deep drawing of high-strength sub-millimeter
micro cups.
Keywords Sheet metal Composite Physical vapor deposition (PVD)
6.3.1 Introduction
There is an increasing industrial demand for micro parts with enhanced mechanical
properties and reliability. Micro deep drawing of submillimeter parts with complex
shapes requires thin metallic foils with a thickness below 50 µm. Common metallic
foils for deep drawing are produced by cold rolling of ductile materials such as pure
aluminum, copper or stainless steel [Beh16]. These materials are characterized by
high ductility and low mechanical strength. Although a few authors have investi-
gated the drawability of some special high-strength materials [Had13], these
materials are generally difficult to obtain as thin foils with a thickness below 50 µm
because cold rolling of high-strength materials is very limited due to strain hard-
ening, which requires a series of multiple cold rolling and annealing processes in
order to restore the ductility of these materials after each cold rolling process.
Physical vapor deposition (PVD) and particularly magnetron sputtering have
been proposed as an alternative process to produce thin foils of high-strength alloys
[Sto10]. Such PVD thin foils were obtained by deposition of the considered
materials onto substrate foils which were removed by chemical etching after the
deposition process, in order to obtain freestanding thin foils. Research was nec-
essary to find appropriate process parameters as well as a suitable method to sep-
arate the deposited films from the substrate foils. There are several methods to
separate the deposited films from a substrate. Firstly, there is the use of
non-adhesive substrates such as oxidized steel or the deposition of soluble
interlayers such as NaCl that easily dissolve in water after the deposition process
[Mat02]. A second method is removing the substrate by etching. The etchant has to
be selected carefully so that the coating material remains undamaged. Muggleton
has provided a variety of appropriate substrates and etchants to produce thin
freestanding PVD films for different materials [Mug87]. Instead of removing the
metallic substrate foils, it is also possible to use PVD-coated substrate foils as
bimetallic foils. The mechanical strength of the substrate foils made of conventional
ductile materials such as pure aluminum, copper or austenitic stainless steel could
be increased by the deposition of thin layers of high-strength aluminum alloys or
martensitic steels, resulting in high-strength bimetallic foils. It was shown that some
mechanical properties of bimetallic sheets or foils are deduced from rules of mix-
tures. Hence, for aluminum/stainless steel bimetallic sheets, the apparent elastic
modulus, the tensile strength and the yield strength coefficient (according to
Hollomon’s law) follow rules of mixtures, whereas the uniform elongation and the
strain hardening exponents are deduced by force weighted laws of mixtures
[Lee88]. In each case, a significant increase of strength and ductility compared to
pure aluminum was observed. The deep drawing behavior of aluminum/stainless
steel bimetallic sheets was investigated by various authors. Parsa et al. investigated
the evolution of the limit drawing ratio in single drawing and redrawing for
bi-layered sheets with various layer ratios of aluminum and stainless steel through
simulation and experiments [Par01]. They found that with increasing steel layer
thickness (i.e. decreasing aluminum layer thickness) the limit drawing ratio
increased. The limit drawing ratio also depends on the orientation of the sheets in
the experimental setup. It was lower if the aluminum layer faced toward the punch.
Promising alloys for micro cold forming are high-strength aluminum alloys such
as scandium- or zirconium-containing aluminum alloys. Aluminum–scandium
alloys are used for several high tech applications, in particular in the construction of
aircraft parts, where the combination of light weight and high strength is particu-
larly important. Among the different alloying elements for aluminum alloys,
scandium is the one that results in the best increase of hardness per fraction of
element [Roy05]. Alloying aluminum with scandium leads to the formation of
nanometer-scale spheroidal Al3Sc precipitates which efficiently impede the motion
of dislocations due to their high coherency with the aluminum matrix and their high
dispersivity. The Al3Sc precipitates increase the mechanical strength, hardness and
also the recrystallization temperature of these alloys. It was also shown that the
addition of scandium improves the corrosion resistance and weldability of these
alloys. A possible way to reduce the price of these alloys is partial substitution of
the rare and expensive scandium by zirconium, which is much less expensive. In
thermodynamic equilibrium, aluminum–zirconium alloys contain Al3Zr precipitates
with a tetragonal lattice structure which are less coherent with the aluminum matrix
compared to Al3Sc, resulting in limited reinforcement [Mur92]. However, during
heat treatment, metastable cubic Al3Zr precipitates form primarily and the tetrag-
onal equilibrium phase only appears after long annealing times [Kni08]. The
metastable cubic Al3Zr precipitates have similar properties to those of the Al3Sc
precipitates and thus also increase the mechanical strength, though a little less than
scandium. Another issue of aluminum–scandium alloys is that the size of the

precipitates rapidly increases. Beyond a critical radius, they become incoherent,
resulting in a decrease of hardness. In order to overcome this issue, aluminum
alloys containing both scandium and zirconium were developed. As a result, small
amounts of zirconium are incorporated into Al3Sc precipitates. Al3(Sc1-xZrx) pre-
cipitates are more stable and coarsen more slowly due to the reduced diffusivity of
Zr in aluminum [Ful05]. Moreover, a substantial increase of strength has been
reported for Al–Sc–Zr alloys compared to pure Al–Sc alloys [Son11].
6.3.2 Methods
6.3.2.1 The Magnetron Sputtering Process
In the following, the PVD magnetron sputtering process to produce thin Al–Sc–Zr
foils will be presented. Magnetron sputtering is a physical vapor deposition
(PVD) process for the deposition of thin films or coatings. The most common
applications are the deposition of hard coatings for cutting and forming tools, hard
coatings for wear and corrosion protection, low friction coatings, conducting and
semi-conducting thin films for microelectronic devices, and photovoltaic cells or
special coatings for medical applications. Sputtering is based on the evaporation of
target materials by low-pressure plasmas. The vaporized target materials condense
onto the substrates and also on the walls of the vacuum chamber. The sputtering
process is performed in a vacuum chamber. After evacuation to about 10−6 mbar
residual pressure, an inert gas (usually argon, neon or xenon) is introduced into the
chamber until a working pressure of about 10−3 mbar is achieved. The metallic
targets are connected to the cathode of a generator with a negative voltage of
several hundreds of volts, whereas the rest of the chamber and the substrate are
electrically grounded. A low-pressure plasma is created in front of the target due to
collision ionization of the inert gas atoms by accelerated electrons emitted from the
cathode (target). The positively charged inert gas ions created, such as Ar+, are
accelerated into the direction of the negatively charged target and hit with high
kinetic energy onto the target where the surface atoms are sputtered (evaporated).
The sputtered atoms move in the opposite direction to the substrate and progres-
sively form a coating. Magnetron sputtering is an advanced sputtering process using
permanent magnets behind the targets in order to concentrate the low-pressure
plasma in front of the target, which increases the sputter and deposition rate
[Tho86]. A more detailed description of the process can be found in reference
books such as those of Matox [Mat02] or Ohring [Ohr02].
For conventional direct current magnetron sputtering, the maximum plasma
power density is limited due to the formation of arcs if the plasma power density
exceeds approx. 25 Wcm−2. The risk of arc formation is reduced if the plasma
power is pulsed. Pulsed DC magnetron sputtering (DCMS) allows an increase of
the maximum plasma power density up to approx. 50 Wcm−2. For pulsed DCMS,
the duration of the pulse and off-cycle are comparable. The pulse frequency is in the
range from 20 to 70 kHz. High-power impulse magnetron sputtering (HiPIMS) was
developed for a further increase of the plasma power density [Sar10]. For HiPIMS,
the duration of the power pulse is much shorter than the duration of the off-cycle.
The duty cycle is defined as the ratio of the duration of the pulse to the duration of
the whole cycle. For HiPIMS, the duty cycle is typically between 1% and 20%. For
low-duty cycles, the power density could be increased up to 1000 Wcm−2. For
example, in a HiPIMS process with a defined frequency of 1000 Hz, a duty cycle of
0.2 ms (20%) and an average power of 2 kW, the maximum peak power could be
increased up to 10 kW. The principal advantage of HiPIMS is the higher kinetic
energy of the sputtered atomic species, resulting in a higher film density and better
adhesion to the substrate [Mül87].
6.3.2.2 Separation of the Foils from the Substrate
For the production of freestanding metallic foils, it is necessary to separate the

coated material from the substrate foil. This separation step is not required for the
production of bimetallic PVD foils, since the substrate foils remain as a component
of the bimetallic foils. For the production of freestanding monometallic aluminum
foils by chemical etching, however, an appropriate choice of the substrate material
is required. For the production of PVD aluminum alloy foils, low alloyed ferritic
steel substrate foils like DC01 are adequate since these steels easily dissolve in
concentrated nitric acid, whereas the aluminum alloys remain undamaged during
the etching process due to their high corrosion resistance. For the production of
freestanding PVD-steel foils, the use of thin copper substrate foils is appropriate
because copper can be removed using an etching solution of ammonia and tri-
chloroacetic acid, which does not attack the resulting steel foil [Mug87].
6.3.2.3 Continuous PVD Coating Process for Thin Substrate Foils
For mass production of bimetallic PVD foils, a continuous PVD magnetron sput-
tering process is required. A prototype device for continuous physical vapor
deposition of thin metallic substrate tapes in an industrial PVD magnetron sput-
tering unit (CemCon 800/CC) was developed, constructed and tested. Figure 6.20
shows the scheme for continuous PVD magnetron sputtering in a PVD vacuum
chamber with six targets. During the coating process, the metallic substrate tape
from a donor coil is transported in front of the six targets. The coated tape is wound
onto a receiver coil. The substrate tape is led by pulley rolls. For the practical
realization, a substrate tower device was designed, as shown in Fig. 6.20b.
A synchronic wind-off and wind-up of the substrate tape from the donor coil to the
receiver coil is achieved by a central gear wheel which drives the gear wheels of
both coilers. The pulley rolls were equipped with tension springs in order to control
the tension of the substrate tape.
Fig. 6.20 Scheme of continuous magnetron sputtering in a PVD vacuum chamber (a). Design
drawing of the constructed substrate tower for continuous PVD coating of long substrate tapes (b)
The deposited foil thickness is inversely proportional to the band uncoiling

speed and it is directly proportional to the target number, the plasma power and the
exposition length of the band between the two coils. As a result, in practice a higher
band speed will lead to smaller thickness. Producing thicker foils requires a
slowdown of the band speed or an increase of the deposition rate. With the current
unit, the maximum exposition length is limited to about one meter. Producing Al–
Sc–Zr/steel bimetallic foils with a layer thickness of 5 µm, for instance, would
require a band speed of 36 mm/min. As a result, the production of 100 m of this foil
would take about 2 days.
6.3.3 Results for PVD Al–Sc, Al–Zr and Al–Sc–Zr Thin

Foils
Scandium and zirconium alloyed aluminum thin foils were produced in different
types of magnetron sputtering units, which also influenced their structural and
mechanical properties. Firstly, a laboratory-scale unit equipped with a single target
and a non-moving substrate holder was used. Here, the substrate temperature was
kept constant with a heating/cooling system. Secondly, an industrial PVD unit
equipped with four or six targets and a rotating substrate holder was used for the
production of larger foils.
6.3.3.1 Results for Al–Sc, al–Zr and Al–Sc–Zr Thin Foils Produced
in a PVD Unit with Fixed Substrate Holder and Controlled
Substrate Temperature
In the PVD unit with a non-moving substrate holder and a single target, the angular
flow of atoms impinging onto the substrate follows a cosine law [Ohr02], resulting
in an inhomogeneous distribution of the film thickness, as shown in Fig. 6.21a.
Nonetheless, the flow of atoms is particularly strong and results in a very
close-packed columnar structure as shown in Fig. 6.21b and c. The deposition

process results in non-equilibrium thermodynamic conditions due to the quick
condensation of energetic gaseous species onto a cold substrate (below 40 °C). The
result of these conditions is an oversaturated aluminum solid solution, nearly free of
precipitates [Kov13].
The mechanical properties of PVD–Al–Sc, Al–Zr, and Al–Sc–Zr thin foils were
studied by tensile tests. The chemical composition of the target materials and of the
produced PVD foils was measured by spark optical emission spectroscopy (S-OES)
and by glow discharge optical emission spectroscopy (GDOES). The PVD–Al–Sc
foils contained 2.0 mass% scandium, the PVD–Al–Zr foils contained 4.0 mass%
zirconium and the PVD–Al–Sc–Zr foils had 1 mass% scandium and 0.5 mass%
zirconium.
Several rectangular tensile test specimens were cut from each foil variant. In
Fig. 6.22, selected representative tensile curves for each variant show the impact of
the target power, the substrate temperature and a post-deposition heat treatment on
the mechanical properties of the resulting Al–Sc, Al–Zr and Al–Sc–Zr foils. The
foils have different tensile characteristics. Al–Sc foils show tensile strengths up to
400 MPa and high elongations at fracture up to approx. 10%. In comparison, the
tensile strength of Al–Zr foils is higher but the elongation at fracture does not
exceed 2%. Al–Sc–Zr foils achieved the highest strength but are more ductile than
Al–Zr foils.
The experimental results show that the target plasma power, the substrate tem-
perature as well as post annealing have a significant influence on the mechanical
strength of the different foils. When the target plasma power is increased, the
Fig. 6.21 Spatial distribution of the film thickness for an Al–Sc–Zr foil produced with a
non-moving substrate holder and a single Al–Sc–Zr target (plasma power 1 kW) after 3.5 h of
deposition (a). SEM pictures of the cross-sections of a PVD Al–Sc foil (b) and a PVD Al–Zr foil
(c) produced with a non-moving substrate holder and a single target (plasma power 2 kW)
Fig. 6.22 Selected tensile curves of PVD Al–Sc (2 mass-% Sc), Al–Zr (4 mass-% Zr) and Al–Sc–
Zr (1 mass-% Sc + 0.5 mass-% Zr) foils produced with target powers of 1 and 2 kW and substrate
temperatures of 37 and 160 °C with and without post-deposition heat treatment at 300 °C for 1 h
in normal air atmosphere
sputtered atoms hitting onto the substrate have higher kinetic energy. Due to
momentum transfer, the surface atoms on the coating gain a higher mobility, which
induces less porosity [Mül87]. The high kinetic energy of the sputtered atoms also
increases the density of crystal defects as dislocations [Ohr02], which increase the
mechanical strength of the foils. With increasing substrate temperature, different
effects occur. A higher temperature may activate precipitation and generates thermal
stress, which increases the strength. But also dynamic defects recovery is activated,
which decreases the strength. The mechanical strength may thus increase or
decrease, depending on the competition of these effects. During the post heat
treatment at 300 °C, diffusion of the alloying elements occurs, resulting in the
formation of precipitates and thus increasing the strength. However, recovery may
also occur, which compensates the rise of the strength as observed for PVD Al–Zr
foils produced at respectively 2 and 3 kW and aged at different temperatures for
various times [Ego16].
PVD Al–Sc and Al–Zr foils deposited at substrate temperatures of 37 °C
and 160 °C were tested by deep drawing with a constant blank holder pressure of
1 N/mm2 [Beh12]. For Al–Sc foils, the limiting drawing ratio (LDR) was always
1.6, independently of the substrate temperature. For the Al–Zr foils, higher LDRs of
1.7 and 1.8 were reached for foils deposited at 160 and 37 °C. The higher LDR of
the Al–Zr foils may be a consequence of the higher mechanical strength of these
foils (Fig. 6.22).
6.3.3.2 Results for Al–Sc–Zr Foils Produced in a PVD Unit

with Multiple Targets and Rotating Substrate Holder
The main disadvantage of a single target and non-moving substrate configuration is

the limited size (110 500 mm2) of the foils and an inhomogeneous thickness
distribution, as shown in Fig. 6.21. Larger foils with a homogeneous thickness
distribution were obtained using a magnetron sputtering unit with a rotating sub-
strate holder and multiple targets, as shown in Fig. 6.23a. The consequence of this
configuration is a lower average flow of sputtered atoms with a lower kinetic

energy. If the rotating substrate holder and multiple targets are used, the flow of
sputtered atoms and their kinetic energy varies periodically in time. The
time-averaged value of the flow of sputtered atoms and their average kinetic energy
was lower for experiments in the PVD unit with rotating substrate holders, which
leads to a notable drop of the deposition rate. An averaged deposition rate of
approx. 5.7 µm/h was measured for the experiments using the PVD unit with a
single DC target with 1 kW plasma power and a non-moving substrate holder. For
the PVD unit with four targets (each 1 kW plasma power) and a rotating substrate
holder, the measured deposition rate was approx. 3.0 µm/h, with much better
homogeneity of the thickness distribution, as shown in Fig. 6.23b.
Al–Sc–Zr foils were produced using a PVD unit with a rotating substrate holder
and with three DC Al–Sc targets (2 mass% Sc) and one DC Al–Zr target (2 mass-%
Zr) or with two HiPIMS Al–Sc–Zr targets (1 mass-% Sc, 0.5 mass-% Zr) [Kov18].
The DC target plasma power was 2 or 4 kW. The morphology and the mechanical
properties of these foils were compared to foils produced by HiPIMS using an
averaged target power of 2 kW (duty cycle 20%) at a frequency of 1000 Hz. The
scandium and zirconium content of the foils was measured by glow discharge
optical emission spectroscopy (GDOES). Both DC Al–Sc–Zr foils contained 1.8
mass-% Sc and 0.3 mass-% Zr. The HiPIMS Al–Sc–Zr foil contained 1.8 mass-%
Sc and 0.6 mass-% Zr. Figure 6.24 shows SEM and optical microscopy pictures of
the cross-sections of all three foils. All foils showed surface porosities resulting
from shadowing effects during the PVD process. These shadowing effects increase
with the rising film thickness. The porosity increased with decreasing kinetic energy
of the deposited atoms. This is because the mobility of the surface atoms on the
coating is reduced and pores are less likely to be filled [Mül87]. Thus, an increase
of the DC power or using HiPIMS results in fewer and smaller pores, as shown in
Fig. 6.24.
Fig. 6.23 Macro image of a polished steel foil substrate in the PVD unit with rotating substrate
holder (a) and a plot of the resulting thickness distribution for a PVD Al–Sc–Zr foil produced in
this PVD unit (b)
Fig. 6.24 SEM pictures of the free surface of freestanding Al–Sc–Zr foils and optical microscopy
pictures of the cross-sections of these foils
Table 6.2 Average Young’s modulus, yield strength (Rp0.01), tensile strength (Rm) and strain at
fracture (A) of Al–Sc–Zr monometallic foils
Al–Sc–Zr foil E (GPa) Rp0.01 (MPa) Rm (MPa) A (%)
2 kW DC 58 ± 4 269 ± 42 292 ± 63 0.6 ± 0.2
4 kW DC 69 ± 2 314 ± 29 400 ± 38 1.5 ± 1.3
2 kW HiPIMS 65 ± 1 230 ± 9 260 ± 12 5.7 ± 3.9
The results of tensile tests with Al–Sc–Zr foils deposited using DCMS with
different target powers and HiPIMS showed that the microstructure and the mor-
phology of the foils have a great impact on their mechanical properties. The
Young’s modulus (E), the ultimate tensile strength (Rm), the yield strength at
0.01% strain (Rp0.01) and the elongation at fracture (A) were determined by 10
tensile tests for each variant. The results are summarized in Table 6.2. Selected
tensile test curves are shown in Fig. 6.25. The low Young’s modulus of 59 MPa
and the low strain at fracture of 0.7% for the DC Al–Sc–Zr foil at 2 kW target
power compared to those of the 4 kW DC and the 2 kW HiPIMS foils are related to
the high surface porosity of this foil, as shown in Fig. 6.24. The yield strength and
the tensile strength of the Al–Sc–Zr foils produced in the PVD unit with the moving
substrate holder were lower than for the foils produced in the PVD unit with the
static substrate holder shown in Fig. 6.22. This effect may be the result of a higher
average kinetic energy of the hitting atoms for the latter foils. Similar to the foils
Fig. 6.25 Selected tensile

test curves of the different
Al–Sc–Zr foils
produced with the static substrate holder, an increase of the DC plasma target power
from 2 to 4 kW results in an increase of the yield and tensile strength, whereas the
2 kW HiPIMS deposited foil showed comparable strength to that of the 2 kW DC
foil.
The results of micro deep drawing with freestanding PVD Al-Sc-Zr foils depend
on the orientation of the foil facing the die. This orientation effect is due to the
different surface morphologies of the top side compared to the bottom side which
was in contact with the substrate foil, as shown in Fig. 6.24. On the top side (upper
side or free surface), the columnar grains grow freely, resulting in high roughness
and porosity. If the free surface of the foils faced towards the die, the LDR was only
1.7, whereas a LDR of 1.8 was reached if the bottom side faced toward the die
[Kov18]. This is because strong tensile stress always develops on the outer shell of
the cup. Due to pores (Fig. 6.26b), the free surface is expected to sustain less stress,
resulting in crack formation for lower drawing ratios compared to the denser bottom
surface (Fig. 6.26a). Thus, higher LDRs are achieved if the bottom surface faces
towards the die.
Fig. 6.26 SEM pictures of Al–Sc–Zr cup obtained by deep drawing with drawing ratio of 1.7
with the free surface facing toward the punch (inside) (a, b) and with the free surface facing toward
the die (c, d)
6.3.4 Results for PVD Al-Sc-Zr/Stainless Steel Bimetallic

Foils
The mechanical properties and the drawability of high-strength PVD Al–Sc–Zr foils
were further improved by combination with more ductile but lower strength aus-
tenitic stainless X5CrNi18-10 steel foils. The mechanical properties of bimetallic
foils or complex laminates are typically described by rules of mixtures, stating that
the mechanical properties of laminates are averaged values of the properties of the
constituting compounds weighted by their volume fraction. Hence, bimetallic Al–
Sc–Zr/X5CrNi18-10 foils are expected to show strength and ductility intermediate
between that of pure Al–Sc–Zr foils and X5CrNi18-10, depending on the thickness
of each layer. The rule of mixtures was studied by depositing 5, 10 and 15 µm thick
layers of Al–Sc–Zr onto thin commercially available X5CrNi18-10 foils with
thicknesses of 25, 20 and 15 µm so that the total thickness of the resulting
bimetallic foil was always 30 µm. The X5CrNi18-10 substrate foils (width 50 mm)
were fixed to the rotating substrate holder as described in Sect. 6.3.3.2. A DC target
power of 4 kW was used. Figure 6.27 shows typical tensile tests curves of the
different bimetallic foils and of a freestanding Al–Sc–Zr foil and a commercial
X5CrNi18-10 foil. The average values and standard deviations of the measured
tensile properties are given in Table 6.3.
The measured strength and ductility of the bimetallic foils was between those of
the monolayer Al–Sc–Zr and X5CrNi18-10 foils. All the bimetallic foils showed
higher yield and tensile strength compared to the monometallic Al–Sc–Zr foils. The
elongation at fracture was comparable to monometallic stainless steel foils. These
properties also increased with the layer thickness (volume fraction). The yield and
tensile strength as well as the apparent Young’s modulus of the bimetallic foils are
well predicted by rules of mixtures [Kov18]. Despite being submitted to higher
strains than the elongation at fracture of monometallic Al–Sc–Zr foils, the Al–Sc–
Zr layer in the bimetallic foils did not crack prematurely in the tensile tests. Thus,
the bimetallic foils behaved similarly to non-composite materials. According to
Choi et al. [Cho97], the impressive augmentation of strength and ductility is related
Fig. 6.27 Selected tensile test curves of bimetallic Al–Sc–Zr/X5CrNi18-10 foils with different
Al–Sc–Zr layer thickness, of 30 µm thick monometallic Al–Sc–Zr and X5CrNi18-10 foils
Table 6.3 Average Young’s modulus, yield strength (Rp0.01), tensile strength (Rm) and
elongation at fracture of Al–Sc–Zr/stainless steel bimetallic foils and of Al–Sc–Zr and
X5CrNi18-10 monometallic foils
Foil type Thickness (µm) E (GPa) Rp0.01 Rm A (%)
Al–Sc–Zr/ (MPa) (MPa)
X5CrNi18-10
Al–Sc–Zr 30/0 69 ± 2 314 ± 29 400 ± 38 1.5 ± 1.3
Bimetallic 15/15 148 ± 25 329 ± 43 526 ± 21 11.1 ± 8
Bimetallic 10/20 177 ± 14 327 ± 9 548 ± 10 12.1 ± 3
Bimetallic 5/25 192 ± 8 339 ± 12 662 ± 22 12.6 ± 1.1
X5CrNi18-10 0/30 197 ± 25 355 ± 13 684 ± 41 11.5 ± 1.8
to the wrapping of the bimetallic foils during tensile tests, due to the different lateral
contraction of steel and aluminum.
The micro deep drawing experiments showed that the increase of ductility and
strength observed in the tensile tests also resulted in better drawability. Indeed,
whereas monometallic PVD Al–Sc–Zr foils achieved a limiting drawing ratio
(LDR) of either 1.7 or 1.8, depending on the side facing towards the matrix,
bimetallic foils of 25 µm of stainless steel and 5 µm of Al–Sc–Zr achieved a LDR
of 1.9, independently of the orientation of the bimetallic foils in the drawing die
[Kov18].
6.3.5 Production of Monometallic and Bimetallic Steel

Foils
The production of thin steel foils by magnetron sputtering is more challenging than
the production of thin aluminum alloy foils. Firstly, ferromagnetic steel targets such
as ferritic chromium steels (X40Cr13) shield the magnetic field of the magnetron
targets, resulting in a less concentrated plasma in front of the steel target, which
reduces the sputter and the deposition rate. Secondly, the melting point of steels is
higher than that of aluminum alloys, resulting in reduced surface diffusion, which
supports the formation of pores in the foils [Kov13a]. Furthermore, austenitic steels
may present an unexpected metastable ferrite structure after magnetron sputtering if
the substrate temperature is low [Dah70], and the steel deposit may also be over-
saturated in crystal defects such as dislocations or point defects, resulting in par-
ticularly brittle foils. Therefore, heat treatment of the foils may be necessary to
reduce the density of crystal defects and improve the ductility of the PVD steel foils
[Kov16]. Despite these constraints, PVD steel foils with promising properties were
successfully produced by magnetron sputtering, as shown in the following.
The first example are high manganese austenitic X5MnSiAl25-3-3 steel foils.
This steel belongs to the group of TWIP steels (TWIP: twinning-induced plasticity)
which are characterized by very high ductility due to the TWIP effect. The austenite
lattice structure of this steel is characterized by a relatively low stacking fault

energy, which enables twinning as the dominant plastic deformation mechanism.
Because of the TWIP effect, the tensile strength and elongation at fracture of these
alloys are much higher than those of conventional stainless steels. For the
X5MnSiAl25-3-3, a tensile strength of up to 800 MPa and an elongation at fracture
of 90% were reported [Grä00]. Therefore, this steel is interesting for the deep
drawing of micro components with a high limit drawing ratio and strength. But the
deposition of X5MnSiAl25-3-3 foils by magnetron sputtering resulted in foils with
relatively high porosity and brittleness. Therefore, it is important to reduce the
residual porosity by increasing the plasma target power and by biasing the substrate
[Kov13a]. Also, using mirror polished substrate foils contributed to lowering the
shadowing effects responsible for porous structures [Kov17]. Following these
adjustments, denser and smoother deposits were obtained. Nevertheless, after the
deposition, the foils still showed high brittleness due to a fine-grained structure, a
high density of crystal defects and a ferritic instead of an austenitic lattice structure.
Therefore, an annealing process was required in order to obtain a fully austenitic
recovered and recrystallized structure [Kov16]. Prior to the annealing process, the
copper substrate foils were removed by etching as described in Sect. 6.3.2.2. The
microstructure and the mechanical properties of magnetron sputtered
X5MnSiAl25-3-3 foils after annealing at different temperatures are presented in
Fig. 6.28a and b. Foils treated at low temperatures (500–600 °C) presented a finely
grained phase mixture of austenite and ferrite with high tensile strength
(>1100 MPa) but low ductility (1%). Only after annealing at high temperature
(800 °C), the foils achieved a coarse-grained austenitic structure. The strength
decreased to approx. 750 MPa, which is higher than that of X5CrNi18-10 foils, but
their ductility was quite comparable to X5CrNi18-10 foils of the same thickness.
But the maximum elongations at fracture of up to 90% as reported for the bulk
materials [Grä00] were not achieved.
Another example of bimetallic foils which could be used for the production of
high-strength micro components, are bimetallic foils of martensitic hardenable high
carbon chromium steel (X75Cr17) onto ductile austenitic steel (X5CrNi18-10). The
combination of these materials allows a good compromise between high strength
and ductility. However, it was observed that the deposited X75Cr17 layers fail at
low strains (<1%) during tensile tests and that the strength of the bimetallic foils
was below the strength of monometallic X5CrNi18-10 foils. This behavior can be
explained by the more similar contraction of both steel layers, preventing wrapping
during deformation [Cho97], but also by the high brittleness of the X75Cr17
resulting from the fine grain structure and porosity. Small improvements of the
tensile strength, ductility and critical strain (i.e. the strain at which the X75Cr17
layer begins to crack) of the bimetallic foils were reached by decreasing the
X75Xr17 layer thickness and by application of a substrate bias voltage [Kov17a].
Nonetheless, the only way to obtain a higher tensile strength than pure stainless
steel foils is annealing of the bimetallic foils. As shown in Fig. 6.28c and d, after
Fig. 6.28 Light microscopic pictures of the cross-sections and average tensile properties of
X5MnSiAl 25-3-3 TWIP steel foils (a, b) and X75Cr17/X5CrNi18-10 bimetallic foils (c, d) after
annealing at different temperatures
annealing at 500 °C the X75Cr17 foils failed at a critical strain of 0.9% and the
strength of the bimetallic foil reached 700 MPa, which was slightly above that of
the X5CrNi18-10 substrate foils. After annealing at 800 °C, no fracture of the
X5Cr17 foil was observed during tensile tests and the strength reached by the
bimetallic foil was above 850 MPa, whereas an appreciable strain at fracture of 5%
was measured. This increase of tensile strength may, however, be partially due to
carbon diffusion from the X75Cr17 coating to the X5CrNi18-10 substrate foil,
resulting in a phase mixture of ferrite and austenite similarly to duplex steels. The
drawability of these bimetallic foils was tested by micro deep drawing tests.
Different limiting drawing ratios were obtained, depending on the orientation of the
bimetallic foils to the drawing die. If the smooth X5CrNi18-10 substrate foil faced
towards the die, a LDR of 1.8 was reached. If the brittle X75Cr17 layer faced
towards the die, the micro cups failed more easily and the maximum LDR was
only 1.7.
6.4 Heat Treatment of Micro Semi-finished Products

and Micro Cold Formed Components
Anastasiya Toenjes*, Axel von Hehl and Hans-Werner Zoch
Abstract Heat treatment is an elementary process step in the production of metallic

components. It serves on the one hand to adjust the formability of the semi-finished
components by annealing processes and on the other hand to optimize the func-
tional properties, for example, in terms of strength and hardness. An exactly
adjusted heat treatment is particularly crucial for parts with thin wall thicknesses of
less than 100 µm, since here the number of grains in the transverse section is low
and thus weak points or defects have a considerably bigger impact on the failure
behavior of components on the micro than on the macro scale [Köh10]. Besides,
aspects such as handling and charging have to be considered particularly in the
transfer of conventional processes from the macro to the micro scale. Thus, for the
heat treatment of micro components, a new facility to carry out the heat treatment
during falling was designed to avoid deformations during charging and processing
of the sensitive components. This 5.5 m high drop-down tube furnace enables a
variety of heat treatment processes for micro components made of both steel and
aluminum alloys. In this regard, a wide range of macro processes could be scaled
down to micro processes tailored to the drop-down tube furnace. Thus, recrystal-
lization annealing, hardening, tempering, nitriding as well as age hardening can be
performed during falling.
Keywords Heat treatment
6.4.1 Annealing Processes
The formability of a metal decreases with the increasing degree of deformation,

which can be traced back to a rising dislocation density. Dislocations that occur
during cold forming are carriers of plastic deformation. Due to their increasing
number and interaction, however, they simultaneously impede further plastic
deformation. Local stress fields of the dislocations superimpose during their
interaction, leading to an increase of the macroscopic stress that must be overcome
in order to uphold further plastic deformation [Eck69].
In order to recover the formability for further cold forming operations, heat
treatment processes such as recrystallization annealing can be carried out for both
steel and aluminum alloys. The aim of the process is to undo work hardening
associated with cold forming and to restore plastic formability. In the recrystal-
lization mechanisms, a distinction is made between primary recrystallization, sec-
ondary (/ternary) recrystallization, strain-induced grain boundary movement, and
general grain growth [Eck69].
The primary recrystallization of a metallic structure requires a sufficient amount

of cold forming (critical forming ratio) before heating above the recrystallization
temperature, which corresponds to about 0.4 of the melting temperature of the
material in Kelvin. Both the recrystallization temperature and the critical defor-
mation degree are material-dependent factors. During recrystallization, high-angle
grain boundaries begin to move through the material and eliminate dislocations that
were formed during plastic deformation. The primary recrystallization is a rapid
process compared to the other softening mechanisms, and generates a fully new
microstructure with minimized dislocation density and renewed grain size. The
resulting grain size is mainly dependent on the degree of deformation. The higher
the degree of deformation, the smaller the grain size after recrystallization annealing
[Eck69].
Recrystallization annealing can also be carried out during very short time cycles,
benefiting the heat treatment of cold formed micro components. This can be seen
from the example of the rotary swaged wire sections made of X5CrNi18-10. After a
short-time heat treatment in the drop-down tube furnace at 1300 °C, the hardness
can be reduced to less than 4 s by about 4250 HiT 0.01/10/10/10 (Fig. 6.29). In
addition, relationships between the degree of deformation, the temperature, the heat
treatment time and the hardness are clearly visible [Bar12].
At the drop-down tube furnace temperature of 1300 °C, the recrystallization of
the samples with a deformation degree of 3.22 is completed in just a few seconds.
Figure 6.30a shows the microstructure of the sample after rotary swaging. After
1.3 s a new grain formation can be seen, but the old elongated structures have not
completely disappeared (Fig. 6.30b). After 2.3 s, a completely new formation of
φ = 3.22 / 1300°C φ = 3.22 / 1200°C φ = 2.41 / 1300°C

φ = 2.2 / 1300°C φ = 1.83 / 1300°C φ = 1.39 / 1300°C
8000
N/mm²
7000
Hit 0,01/10/10 /10
6500
6000
5500
5000
4500
4000
3500
3000
0 0.5 1 1.5 2 2.5 3 s 4
Drop Ɵme
Fig. 6.29 Results of the universal micro hardness measurements indentation hardness versus drop
time depending on the drop-down tube furnace temperature and the degree of deformation [Bar12]
(a) (b)
after forming nucleation
(c) (d)
recrystallized grain growth
Fig. 6.30 Microstructure of a specimen after rotary swaging with u = 3.22 a after forming and
after subsequent short-time recrystallization annealing at 1300 °C for b 1.3 s, c 2.3 s and d 3.4 s;
etched with V2A etchant for 120 s at 40 °C. Material: X5CrNi18-10 [Bar12, Sei14]
the grain structure with a grain size in the range of a few micrometers can be seen
(Fig. 6.30c). Even after 3.4 s, a homogeneous grain growth occurs with the
resulting grain sizes between 5 and 10 lm (Fig. 6.30d) [Bar12].
6.4.2 Martensitic Hardening of Steels
The aim of hardening is a considerable increase in hardness through the formation

of martensite in hardenable steels. This is achieved by a phase transformation of
ferrite/pearlite to austenite during heating from room temperature to austenitizing
temperature, followed by a transformation of the austenite to martensite during
rapid cooling. Depending on the alloying elements, the austenitizing temperature of
steel is about 800 to 950 °C. The holding time at austenitizing temperature depends
on the homogeneity of the material, the alloy composition, the dimensions of the
part and the temperature. However, the time must be long enough to dissolve all the
carbides and to achieve a homogeneous distribution of the alloying elements
[Eck69]. The austenitizing time can be taken from time–temperature austenitization
diagrams (TTA). The resulting microstructure and hardness can be estimated with
continuous-cooling transformation diagrams (CCT). If the steel is quenched (cooled
very rapidly) after austenitizing, a diffusionless martensitic transformation takes
place. According to the Bain model, a lattice-deforming transformation of the
face-centered cubic austenite into the tetragonal distorted body-centered martensite
occurs, as shown in Fig. 6.31(right) [Eck69]. Simultaneously, a lattice- maintaining
deformation of the austenite must take place. This deformation is accompanied with
shearing (gliding) and dilatation, parallel and perpendicular to the invariant habit
plane, which has to be regarded as the phase boundary between the austenite and
martensite phase.
In order to increase the production rate by reducing the production times, the
heat treatment duration should be as short as possible. In this case of the micro
components, the base material has to be as homogeneous as possible, because the
higher the homogeneity, the shorter the time until a homogeneous austenite is
reached [Eck69]. Due to the low volume-to-surface ratio and thus generally high
cooling rate, the quench medium has no significant effect on the resulting
microstructure and its mechanical properties. The martensitic microstructure
depends in this case on the austenite grain size [Mac11]. The martensite mor-
phology is coarser the larger the austenite grain size is. In order to simplify the
charging and to increase the productivity, particular furnace concepts, such as
drop-down tube furnaces (Sect. 6.4.4) can be used for heat treatment of micro
components.
In a short-time heat treatment, the relationship of temperature and time is highly
significant. For example, heat treatment of soft annealed micro components made of
C100 with a wall thickness of approximately 100 lm at temperatures below 1100 °
C, times between 1.5 to 3.5 s, and water quenching, does not lead to any changes of
the microstructure compared to the initial state. From 1100 °C and above, however,
the change to a martensitic hardening structure can be recognized, and this becomes
800 Austenite
600
Temperature in °C
400
Ms Fe-atom
200 Martensite
0 Mf
- 200
Fe 0.4 0.8 1.2 1.6 C
open space in octahedra
Mass-% C
Fig. 6.31 Left: start Ms and finish temperature Mf of the transformation of austenite into
martensite depending on the carbon content. Right: Relation of the lattice orientation of austenite
and martensite according to E. C. Bain [Mac11]
(a) (b)
(c) (d)
Fig. 6.32 Microstructure of C100 deep drawn micro components: a soft annealed and
subsequently austenitized in the drop-down tube furnace at b 1100 °C, c 1200 °C, d 1300 °C,
water quenched, etched with 3% alc. HNO3 for 25 s [Bar10]
more homogeneous with the increasing furnace temperature (Fig. 6.32). Since it is a
hypereutectoid steel and the austenitizing period is very short, not all the carbides
are dissolved, so there are still very coarse carbide precipitations. However, the
amount and the size decrease with increasing temperature. For quenching in air,
similar results with regard to the structure formation have been determined [Bar10].
6.4.3 Precipitation Hardening of Aluminum Alloys
Aluminum alloys have to be distinguished between hardenable and non-hardenable.

For non-hardenable aluminum alloys, the strength can be increased by solid solu-
tion and work hardening, while the strengthening effects of precipitations can be
neglected. However, non-hardenable aluminum alloys do not achieve the high
strengths of hardenable alloys. Hardenable aluminum alloys exploit the effect of
nano-scale precipitations, which greatly increase the strength values, providing

sufficient elongation at rupture at the same time [Ost07].
The significantly higher strengths compared to the non-hardenable alloys are
achieved by a particular heat treatment, known as precipitation hardening or age
hardening, to be adapted to the respective alloy system.
The basic steps of precipitation hardening are shown in Fig. 6.33. In the first
step, the solution annealing, the workpiece is heated and held at temperatures below
the solidus temperature to dissolve the alloying elements atoms as far as possible in
the aluminum a matrix lattice. Depending on the alloy, the solution annealing
temperatures range between 470 and 560 °C. Subsequently, the workpiece is
quenched, for example, in water to room temperature, whereby a supersaturated
solid solution results. During the following aging step, the alloying elements
sequentially build finely distributed precipitations as intermetallic phases from the
solid solution. The aging treatment can be carried out either at room temperature
(natural aging) or at elevated temperature (artificial aging). These precipitates are an
obstacle to dislocation movement and therefore increase the yield strength and
tensile strength [Ost07].
However, the drop-down tube furnace described in Sect. 6.4.4 is not suitable for
solution annealing, since the solution annealing time of the hardenable aluminum
alloys is several minutes and the falling time in the drop-down tube furnace is just a
few seconds. Therefore, alloys that are suitable for precipitation hardening in the
drop-down tube furnace should already be in the supersaturated solid solution
condition before heat treatment. This can be achieved with pre-processes with
cooling rates higher than e.g. conventional casting processes in order to bring the
Temperature
supersaturated coherent precipitates incoherent precipitates

solid solution (GP II-Zone) (θ-Phase, Al2Cu)
solution annealing
coherent semi-coherent
precipitates precipitates
quenching
(GP I-Zone) (θ‘-Phase)

artificial aging
natural aging
RT *
Time
*room temperature
Fig. 6.33 The basic steps of precipitation hardening of Al–Cu alloy according to [Mac11]
Fig. 6.34 Micro hardness initial state 500°C 600 °C
HiT 0.005/10/10/10 [N/mm2]

measurements on deep drawn
cups of Al–Zr before and after 2900
aging treatments at 500 and 2700
600 °C in drop-down tube 2500
furnace and standard air
2300
atmosphere muffle furnace
[Toe18] 2100
1900 drop-down tube
furnace muffle furnace
1700
1500
1 10 100 1000
Aging duration [s]
alloying elements as far as possible into supersaturated solution. Processes that

enable a maximum supersaturation for precipitation hardening are, for example,
spray forming, also known as melt atomization, and laser additive manufacturing,
which both exploit the extremely rapid solidification of the small melt volumina. As
a process that enables a supersaturation without cooling from high temperatures by
implementing the alloy elements via sputtering at relatively low temperature, PVD
has been established into the micro production chain (see Sect. 6.1). For example,
in binary Al–Zr alloys the maximum solubility of zirconium in aluminum solid
solution is 0.28 mass-% maximum at 650 °C (melting point of the aluminum). By
generating a supersaturated solution of 4 mass-%, it was proven that PVD makes it
possible to overcome the solubility limit. However, the hardening potential of such
Al–Zr alloy is dependent on the setting of the plasma power [Ego16]. The pre-
cipitation hardening results of deep drawn cups, which were made from
PVD-generated Al–Zr foils, after both short-time heat treatment in the drop-down
tube furnace and standard heat treatment in an atmosphere muffle furnace, are
shown in Fig. 6.34. The short-time heat treatment increased the hardness of the
parts from HiT 2290 MPa to HiT 2720 MPa. Thus, after about 4 s, the same
hardness could be achieved in the drop-down tube furnace as after 5 min in a muffle
furnace [Toe18].
6.4.4 Drop-Down Tube Furnace for Heat Treatment

of Micro Components
The handling of small and damage-sensitive components is one of the challenges in

the heat treatment of micro components. Conventional ways of charging such as
bulk material on racks or in boxes are not practical with micro components since
they can lead to damage of the parts. The contact between the components at
elevated temperatures would increase the probability of welding effects and of
plastic deformation and lead to a high scrap rate. To avoid these effects, a new heat
treatment technology has been developed in which micro components are dropped
one after another through a vertical tube furnace. With this technology, for example,
the austenitization and final quench-hardening of large series of steel components is
feasible. However, the requirements for such a furnace are high in order to have a
sufficiently long drop duration that matches, for example, the austenitizing time
needed. Using excess temperatures to maximize the austenitizing temperature
enables an acceleration of the mechanisms activated on the micro-structural level,
such as diffusion or recrystallization. An example of a drop-down tube furnace that
meets these requirements consists of a tube with a total heated length of 5 m, inner
tube diameter of 54 mm, and electric heating to a maximum temperature of 1300 °
C. A schematic of the drop-down tube furnace as well as a manual feed device for
the single sample operation and the opposing gas flow device can be seen in
Fig. 6.35.
The drop-down tube furnace can be used for quench-hardening and tempering,
as well as for age-hardening and recrystallization annealing, whereby the drop
duration can be influenced by means of an opposing gas flow from the bottom. In
order to avoid damage to the components due to oxidation, it is necessary to use
inert gas. In addition, by using nitrogen it is even possible to nitride the compo-
nents. Processes that can be performed in the drop-down tube furnace are sum-
marized in Table 6.4.
Fig. 6.35 Drop-down tube

furnace for heat treatment of
Ar2
micro components during flow gas diffuser
falling
component
feed
six individually
controllable
heating zones
opposing
gas flow
quenching
medium
Table 6.4 Processes that can be performed in the drop-down tube furnace
Initial state Process End state
Cold-formed micro Recrystallization Recrystallized micro components
components annealing
Cold-formed steel Hardening Hardened steel components
components
Hardened steel components Tempering Tempered steel components
Cold-formed steel Nitriding Nitrided steel components
components + N2
Cold-formed Age hardening Precipitation hardened AlSc2
AlSc2-components components
Without opposing gas flow With opposing gas flow

8 8
7 7
6 6
5 5
Count
Count
4 4
3 3
2 2
1 1
0 0
3.9
4.0
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.9
5.0
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
6.0
6.1
6.2
6.3
Drop time in s Drop time in s
Fig. 6.36 Drop duration of the blanks with diameter of 4 mm and thickness of 20 µm of C100
steel at 20 °C furnace temperature
Since heat treatment is defined by temperature and time, the scattering of the
drop time from the micro components is of particular importance. In order to
achieve repeatable heat treatment results, it is necessary to measure the process
times and to keep them constant. However, the variance of the drop duration also
depends on the geometry of the components. If the components wobble during the
fall, the variance of the fall duration can be considerably increased. For example,
the effect of different possible orientations during falling influences the falling
duration of steel cups with a diameter of 1 mm by ±14%. When using the opposing
gas flow from the bottom of the drop-down tube furnace, both the drop time and the
variance of the drop times are increased (Fig. 6.36). This is also due to the ori-
entation of the components as they enter the gas stream.
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Lecture Notes in Production Engineering

LNPE publishes authored conference proceedings, contributed volumes and

More information about this series at http://www.springer.com/series/10642

Bernd Kuhfuß Peter Maaß

Claus Thomy Hans-Werner Zoch