Sample Die: Severe Plastic Deformation Methods For Bulk Samples

Severe Plastic Deformation Methods for Bulk Samples 49
Sample
Die
1
2
1 45° 2
Figure 2.8 The mechanism of shear stress on the shear plane in the ECAP process [47].
plane [54]. The changes in the die parameters and friction between the
components make the transformation from simple shear to complex or
nonuniform strain state [46]. Using finite element analysis (FEA), it has
been discovered that the effective strain is small at both ends of the sam-
ple. The strain homogeneity along the sample length is decreased when
friction between the sample and die is considered [5557].
As shown in Fig. 2.9, different routes have been introduced for plac-
ing the samples into the die during multipass ECAP processing. Route A
refers to the state where the sample is placed in the die in the same direc-
tion between cycles. In route BC the sample is rotated 90 degrees around
the longitudinal axis between consequent cycles. The other route is route
C, in which the sample is rotated 180 degrees around the longitudinal
axis between consequent cycles [58]. In route C, the shear plane does not
change between consequent cycles and only the shear direction changes
[59]. In the ECAP method, the number of cycles and types of routes
have an important influence on the grain refinement, which in turn influ-
ences the mechanical properties [44,59,61].
Since the 1990s, many researchers have examined the conventional
ECAP method for a variety of materials for their use in many applications
and published numerous scientific papers in this field. The conventional
ECAP method has been evaluated in various laboratories around the
world as the most popular type of ECAP method to determine the effec-
tive parameters for the grain refinement and mechanical properties [52].
The changing of sample direction between consecutive passes is cum-
bersome in the ECAP process. To reduce the number of such operations
and increase efficiency, the number of channel turns in the die can be
50 Severe Plastic Deformation
(a) ψ = 90°
Route A
1,3
2,4
Route BC
90°
BC
1,3 2,4
Route BA
2 4
+90°
–90°
BA
1
3
Route C
2,4
180°
C
1,3
Figure 2.9 Different routes A, BC, BA, and C, and their shear planes in the ECAP
method [5860].
created. For example, an S-shape channel represents route C that is

shown in Fig. 2.10A. The other is the two-turns U-shape channel, pre-
sented schematically in Fig. 2.10B, which is equivalent to route A. The
square channel, with two turns and all angles equal to 90 degrees, config-
ured to realize route B is drawn in Fig. 2.10C. Fig. 2.10D shows a three-
turns channel to establish two consecutive route B, which was used for
processing commercially pure aluminum [62,63]. However, problems can
arise when processing long samples and other metals with higher flow
stresses because of higher process loads.
2.3.2 Rotary-Die
One of the shortcomings of the ECAP method is that a large amount of
strain cannot be imposed to the sample in one cycle. Therefore, it is
(A) (B)
(C) (D)
Figure 2.10 Channel designs for multiturn ECAP: (A) S-shape channel (B), U-shape
channel (C) two-turn square channel, and (D) three-turn square channel [62].
Plunger
mple
Sample Rotation
Punch
Die
Wall
W
Die holder
(A) (B) (C)

Figure 2.11 The rotary die ECAP process: (A) initial state, (B) after one pass, and (C)
after 90 degrees die rotation to start the consequent pass.
required to place the sample under several cycles, which is time-

consuming and challenging. Therefore, several methods, including the
use of rotary dies, have been invented. The ECAP method by rotary dies
is shown in Fig. 2.11. This method consists of a die with two crossover
and perpendicular channels. At the beginning of the process, two punches
in horizontal and vertical directions are placed in the cross channels,
which are fixed to the retaining walls. Another punch is embedded such
that it can be moved in the next horizontal route to exit the sample from
this route. The sample is placed into the die from the top, and then the
plunger pushes the sample to be extruded laterally. When the plunger
arrives at the flat surface, the process is stopped, and the whole die is
rotated 90 degrees. Thus, the die is ready for the next cycle without hav-
ing to touch the samples (Fig. 2.11C). If the method requires heating
between two consecutive cycles, all the die set can be heated to the
desired temperature by a moving oven [6468].
Therefore, the characteristic features of the ECAP method over con-
ventional ECAP are [69,70]:
• There is no need to remove the sample after every cycle.
• It reduces the required time by as much as 75% compared to conven-
tional ECAP.
• It has a simple structure, and can easily achieve many cycles.
In the rotary-die ECAP method, the deformation pattern at the two
ends of the sample is different from the middle part. The higher num-
ber of cycles will increase this heterogeneity. On the other hand, sam-
ples with low length to diameter ratio are usually used in the ECAP
method, in which case the deformation heterogeneity will become
clearer [71]. In addition to confirming the heterogeneity of deforma-
tion, the FEA determines that the corner gap between the sample and
the die will be reduced at the higher cycles. The reduction in corner
gap is due to the strain hardening of the material being reduced by
increasing the number of cycles. It should be noted that the corner gap
would be removed theoretically in ideal elastic-plastic materials that
have no strain hardening [72].
2.3.3 Side Extrusion

Azushima et al. [73] introduced another method with several benefits,
such as simplicity in operation and parsimony in time. The side extrusion
method is structurally similar to the rotary die ECAP, and these methods
use route A to apply the strain (without rotation of the sample between
two consecutive cycles). As shown in Fig. 2.12, this method has movable
punches that can impose enough force to the sample. These punches are
carefully controlled by the electrohydraulic system to traverse a certain
distance. The sample is imported from channel A and goes to channel B
in the form of side extrusion, while punches C and D are fixed. Punch A
is moved at a constant speed by the control system and punch B applies a
certain side pressure during deformation to the sample. In the next cycle,
the operational role of punch A changes with punch B and the process
continues in the same manner. This eliminates the need to remove the
A Constant
speed
Punch
Sample
C B
Fixed
d
Constant
lateral
pressure
Space
r
D
Fixed
Figure 2.12 Schematic of the side extrusion ECAP process.
sample from the die in the consecutive cycles. The major disadvantage of
this method is that die design and control system production are compli-
cated and expensive.
2.3.4 Multipass Die

The multipass die is a method that can be used to solve the time-
consuming problem of the conventional ECAP method. The multipass
die simplifies the ECAP process, and does not require the acquisition of a
complex pressing facility. An example of this multipass die is shown in
Fig. 2.13, which contains five separate angles of 90 degrees in a single
channel. Thus, a plastic strain of B5 is applied to the sample by passing
the sample once through this channel, and the possibility of producing
ultrafine grain is achieved. The studies showed that the second and sub-
sequent passes occur after effectively rotating the sample by 180 degrees.
Thus, the imposed strain is in accordance with route C. The multipass
dies are highly useful for microstructure evaluation in the same specimen
after a different numbers of passes (the different equivalent strain). If the
die consists of two removable parts, the sample can be easily removed
from the die, and microstructural (or mechanical) evaluation can be per-
formed in one, two, three, four, or five sections. In these sections, the
plastic strain goes through one to five cycles of the conventional ECAP
method, in which metallurgical and mechanical properties can be easily
compared with each other [74]. The higher hydrostatic compressive
Plunger
Die
1
2
3 4
Sample
5
Figure 2.13 A schematic illustration of a multipass facility for ECAP: the numbers
denote positions for examining the sample after the equivalent of one, two, three,
four, and five passes, respectively.
stresses can be considered as one of the advantages of this approach.

However, the method consists of some limitations, such as sample length
and challenges in processing high-strength metals. This limitation results
from the high processing load that results in yielding and buckling of the
plunger.
2.3.5 Torsional-Equal Channel Angular Pressing

One of the applications of SPD methods is a consolidation of metal pow-
ders in the powder metallurgy technique. Several techniques were derived
from the ECAP method to consolidate aluminum and copper powders
[7577] though they are also suitable for processing of bulk shape metals.
Applying SPD methods in the powder metallurgy route lowers the tem-
perature required to mix metal powders and helps in processing of high-
density specimens. Since the diffusion rate is low at room temperature,
limited research has been conducted on the application of SPD methods
in powder metallurgy at room temperature.
The two-dimensional schematic of the torsional ECAP method is
shown in Fig. 2.14. In this method, the die is very similar to the conven-
tional ECAP. The only difference is that the exit part of the output
Punch
Stationary
material
Rotating die
Rotating
ne
material
la
rp
ea
Sh
Figure 2.14 A schematic illustration of the torsional ECAP process.
channel rotates around its axis. Due to the rotary output, the torsional
shear strain is imposed on the sample in addition to the shear strain result-
ing from the ECAP. To impose the shear strain perfectly to the rotating
part, the specimen undergoes an area reduction with an extrusion ratio of
1.16:1 at the rotary part of the die. However, it should be noted that the
extrusion at the final stage of the deformation is also capable of imposing
strain and increases the strain compared to the conventional ECAP. The
greater the number of passes, the higher the density of the final product.
Also, the density of the final consolidated product through torsional
ECAP is higher than conventional ECAP [78]. The experimental results
of commercially pure aluminum show that the required load to perform
the T-ECAP process is lower than that of the conventional ECAP process
at the same conditions. This phenomenon is due to the change in the
friction mode in the T-ECAP process [79].
2.3.6 ECAP With Back Pressure

Nonuniform distributions of stress and strain have been observed in con-
ventional ECAP-ed products. This nonuniformity increases the cracks on
the sample surface, which is in contact with the die, and finally leads to
fracture during the ECAP process. The stress and strain nonuniformity
depend on the material type and the die geometry [80,81]. Various meth-
ods have been proposed to improve the deformation nonuniformity such
as prestraining [81] and the use of back pressure. In this section, the struc-
ture of the ECAP with back pressure is investigated.
Plunger
Die
Sample
ϕ
Back pressure
Figure 2.15 The ECAP process with back pressure.
Fig. 2.15 shows the two-dimensional view of the ECAP method with
back pressure. In this case, a punch that applies a certain pressure is
embedded in the channel output. In fact, the pressure is applied to the
sample on both sides as it passes through the channel [82]. In the presence
of back pressure, the corner gap between the sample and the die is
removed, and the simple shear is imposed on the sample like the theoreti-
cal case for ideal elastic-plastic materials. The back pressure causes better
stressstrain uniformity in the final product. Another advantage of back
pressure is that it can postpone the fracture of the sample during the
ECAP and provides the possibility to perform more cycles of the ECAP
process [83,84] as a result of higher compressive hydrostatic stresses. In
the absence of back pressure, damage to the material increases cumula-
tively in the consecutive cycles while the back pressure neutralizes the
cumulative destructive effects by enclosing the microcracks and porosity
of the material [85].
2.3.7 Expansion ECAP

Fig. 2.16 shows a two-dimensional (2D) drawing of the Exp-ECAP
method and the final deformed part before detaching from the half of the
die. The difference with the conventional ECAP is that a spherical cavity
is added at the intersection of two equal cross-sections of the input and
output channels. The spherical cavity acts as the back pressure behind the
Spherical cavity
1 2 3 4
Sample
Figure 2.16 The half of the die with the deformed sample in the Exp-ECAP method
and 2D drawing of four stages in a cycle [86].
sample, and this treatment offers advantages such as the induction of

larger strains and increased homogeneity. There is an offset as much as
‘‘e’’ between the centerlines of the channels and the spherical hollow cen-
ter. The ‘‘e’’ value is calculated based on the FEA to impose the maxi-
mum plastic strain on the sample.
At the beginning of the process, the sample is pushed from the top
into the spherical cavity. As the sample reaches the spherical space, it
expands and fills the spherical space. In this section, the shear stress is
imposed on the sample due to the 90 degrees path change of the channel.
By increasing the pressure of the upper punch, the sample is extruded
from the spherical cavity into the exit channel. All three phases—expan-
sion, shear, and extrusion—play an important role in the application of
strain on the material. The total strain imposed during the expansion and
extrusion stages is as follows [86]:
D1
ε1 5 4ln (2.11)
D0
where D0 and D1 are the diameters of the channel and spherical cavity,
respectively. The effective strain due to shear deformation during a pass of
ECAP has already been calculated. Thus, the approximate value of total
effective strain attainable by means of N cycles of Exp-ECAE can be

obtained as follow [86]:
D1 N
εtot 5 4Nln 1 pffiffiffi 2cotðφ= 2 1 ψ= 2Þ 1 ψcosecðφ= 2 1 ψ= 2Þ (2.12)

D0 3
In this method, the equivalent plastic strain is more than the conven-
tional ECAP. It is therefore expected that better grain refinement will
occur in this method than the conventional ECAP for the same number
of cycles [86].
2.3.8 ECAP With Parallel Channels

Some researchers used new designs for the ECAP method that
deformed the material in two shear planes similar to multipass ECAP
[87,88]. As shown in Fig. 2.17, the input and output channels are paral-
lel in the new design. Due to the two directional changes of the channel
with an angle of ϕ, the shear stress is applied in two shear planes in the
direction of N . In a single pass, two distinct shearings occur and the
number of cycles required to achieve UFG and nanostructured materials
is greatly reduced [52].
This method has been successfully performed for up to four cycles for
copper and titanium. Microstructural studies show that the refined micro-
structure in these samples is similar to the ultrafine grain structure which
was obtained after eight cycles of conventional ECAP methods. The value
Die
N
N
ϕ
K
Figure 2.17 A schematic illustration of the ECAP with parallel channels where N is in
the shear direction and K is the displacement between the two channels.
for the displacement between the two channels, K, and the angle of
intersection of the channels, ϕ, are important parameters that have a sig-
nificant influence on the material flow, stressstrain distribution, and the
final properties of the product. The influence of parameters K and ϕ
were studied using 2D finite element simulation and the results showed
that the most homogeneous plastic strain state was achieved at
ϕ 5 100degrees and K 5 d. Thus, the optimum condition is when the
horizontal shift between the input and output channels is equal to the
diameter of the channel. Under these conditions, the accumulated strain
after one pass is approximately ε 5 2. After one full pass of ECAP with
parallel channels, the nature of the metal flow has been investigated. It is
shown that the elements are not distorted, thereby a uniform strain distri-
bution is achieved in the tail-pieces. Thus, unlike conventional ECAP,
the sample shape after the process remains identical to the initial sample
[52,89].
2.3.9 ECAP With Chocked Exit Channels

It has been mentioned earlier that the workability of a metal can be
increased by applying hydrostatic compressive stresses. For example, materi-
als such as hcp metals with very limited tensile ductility show higher ductil-
ity in the simple compression deformation mode. However, the outer area
of the sample is susceptible to tensile stresses which may cause cracks and
lead to fracture. In the ECAP die with a chocked exit channel (chocked
angle B 0.2 degrees) as shown in Fig. 2.18, the metal experiences higher
hydrostatic compressive stresses compared to the conventional ECAP. So,
Plunger
Die Sample
ϕ
Chocked
angle
Exit
channel
Figure 2.18 The schematic of an ECAP die with a chocked exit channel.
the workability of the metal increases. which leads to an increase in maxi-

mum number of ECAP passes before the observation of any cracks or
defects [90].
2.3.10 The Different Die Designs

One of the main disadvantages of conventional ECAP is that it consumes
a lot of energy to overcome friction. The friction between the sample
and the die walls wastes most of the energy, especially when processing
long samples with a higher contact area. In addition, high energy con-
sumption requires high-capacity equipment. The friction between the
sample and the die results in inhomogeneity in properties, poor surface
quality of the specimens, and limits the maximum sample length that can
be processed. Therefore, the reduction of frictional forces is very crucial.
On the other hand, if the frictional forces are high, the buckling or yield-
ing of punches may occur, which can cause problems during the produc-
tion of long samples. Thus, several efforts have already been attempted to
design an ECAP process with minimal friction [91,92].
Fig. 2.19 shows the various die setups for the ECAP method. The first
design (Fig. 2.19A) represents the common ECAP punch that is similar
to the sample. In the second design (Fig. 2.19B), the punch covers two
lateral surfaces of the sample. The die bottom is unrestrained and can be
moved to reduce the friction [91]. In the third design (Fig. 2.19C), the
(A) (B) (C)
Force applied in the piston

Sample route
Figure 2.19 The schematic of three die designs in the ECAP method: (A) the conven-
tional type, (B) the first modified type, and (C) the second modified type [92].
punch covers two lateral sides and back surfaces of the sample, but the die
bottom is restrained. These designs are carried out to reduce the friction
as much as possible to prevent bending of punches. By using the second
and third designs, the required force of the process can be significantly
reduced compared to the conventional mode. The stronger and longer
samples can be deformed under the ECAP process by using the second
and third die designs [92].
Friction is one of the most important factors that affect the material
flow, stressstrain distribution, heterogeneity, fracture, and properties of
the final product. Therefore, a number of studies have been conducted to
control friction and achieve an optimal state [49,50,80,93,94]. Two other
designed dies are shown in Fig. 2.20. The first type has a movable wall
(shaded part in Fig. 2.20A) in the input channel, and the second type has
a movable wall (Fig. 2.20B) in the output channel. The movable wall
moves during the process to reduce the frictional forces. As can be seen
in Fig. 2.20, these two configurations lead to different slip line solutions
in the theoretical shear plane. One of the main disadvantages with mov-
able components is the extrusion of material as splinters between the sep-
arate components. In addition, fabrication of these dies requires more
attention to avoid extra material extrusions. To avoid extra material flows
at high pressure, a minimum intersection point must be established
between the components [50].
An alternate approach is to use the solid steel dies in the ECAP
method. Solid dies are advantageous because they avoids problems asso-
ciated with the extrusion of slivers of material between the separate
Punch
Punch
V
V
Sample
Sample
V
τ
τ
(A) (B)
Figure 2.20 The principle of ECAP with movable die walls (shown shaded): (A) in the
input channel and (B) in the output channel.
parts of a die. When working with solid dies, it is necessary to remove

each sample from the die by importing the next sample into the die. In
practice, therefore, the final specimen is removed using a dummy speci-
men which then remains within the die. In the solid dies, the channel
section must be circular, except for the samples made of plasticine that
have no significant influence on the square and circular channels [95].
The outer arc of curvature at the point of intersection of the input and
output channels should be built in such a way that ψ 6¼ 0 degree.
Experimental observations using solid dies have shown that the hetero-
geneity of the pressed samples is eliminated or minimized with
ψ 20 degrees [96].
In the SPD method, the die must be designed in such a way that the
applied tensile stress on the sample is reduced, and the compressive stress
is increased as much as possible. Thus, the hydrostatic pressure will retard
the growth of the cracks in the sample, and more plastic strain can be
applied to the sample. Fig. 2.21 shows a kind of modified die that can
reduce the tendency to crack in the sample by increasing the compressive
stress. In the first section of the output channel, the upper surface near
the die corner is tilted by an angle (α) of 25 degrees compared to the
conventional die. FEA has shown that the tensile stress is completely
eliminated and a large amount of compressive stress is imposed on the
sample by modifying the die. Experimental observations showed that the
compressive stress in the modified die is larger than that of the conven-
tional die with a back pressure of 200 MPa. A large number of cycles can
be conducted, and a more homogeneous microstructure can be achieved
in the final product by using the modified die [97].
Φ = 90°
Φ = 90°
α
ψ = 16° ψ = 16°
(A) (B)
Figure 2.21 Different types of ECAP method: (A) conventional mode, (B) modified
mode.
Die
Billet
Figure 2.22 Schematic diagram of dual equal-channel lateral extrusion (DECLE).
2.4 DUAL EQUAL CHANNEL LATERAL EXTRUSION

The DECLE method was introduced to use a T-shaped channel geometry
in the ECAP process. It was thought that if the material of selected cross-
sectional area flowed into the two channels and maintained the same cross-
section as the inlet, it could go through more severe mechanical working
[98]. The high strain applied on the sample per cycle and low extruding
power are the advantages of the DECLE process with respect to ECAP [99].
The basic of the DECLE is illustrated in Fig. 2.22. The billet of a
defined size is placed in a vertical input channel. The billet is pushed to
extrude laterally into a dual horizontal channel with the same cross-
section. The sidewalls of the channels maintain the planestrain deforma-
tion mode in the DECLE process. Two stop walls are embedded at the
ends of the horizontal channel to the wedged surface of material formed
at the deformation stage. To further enhance the workability, movable
stop walls can be designed to apply high hydrostatic pressure to the sam-
ple as soon as it enters the horizontal channel [99].
Lee [100] proposed the following equation to estimate the shear strain
for a general case of CAD per cycle:
γ 5 cot α 1 cot β (2.13)
where α and β are the shear plane angle with respect to each of the channels.
2.5 CHANNEL ANGULAR PRESSING WITH CONVERGING

BILLETS
A modified channel angular pressing was proposed in 2013 to provide a
solution to the problem of friction in the output channel of a conven-
tional ECAP die [101]. In the basic configuration of this method
Die
Billets
Punches
Figure 2.23 Process configuration of channel angular pressing with converging billets.
(Fig. 2.23), two equal square or rectangular input channels are combined
and converted into a single output channel with twice the initial cross-
section. Two punches are used to push the input billets simultaneously
from the opposite sides so that two input billets can be converged to a
single output billet during the process. This method is performed without
using a complex die with movable parts [102]. The contact surface
between the converging billets plays the identical role as a movable die
wall in the output channel of the conventional ECAP, and thus reduces
the friction and process force during the deformation stage. In addition,
this can improve the limited length of the billets compared to the conven-
tional ECAP [101]. However, there are some disadvantages associated
with this process. The adhesion of billets creates difficulties when the bil-
lets need to be separated after the process. The inhomogeneity of the ini-
tial billets may create poor surface appearance after separation.
2.6 NONEQUAL CHANNEL ANGULAR PRESSING

The nonequal channel angular pressing (NECAP) process was firstly con-
ducted by Toth et al. [103] in 2009. As shown in Fig. 2.24, the cross-
sectional area of the output channel is smaller than the input one.
Generally, ECAP and NECAP processes can be classified as types of chan-
nel angular deformation (CAD) processes [100].
As mentioned earlier, Eq. (2.13) calculates the shear strain in all CADs
that have dissimilar input and output channels. The mentioned equation
can be rewritten for a 90 degrees die as follows [100]:
p c
γ5 1 (2.14)
c p
Ram
Die
Sample
Figure 2.24 Schematic of a NECAP die.
where p and c are the thicknesses of the input and output channels,
respectively. Thus, Eq. (2.14) can be employed to compute the shear
strain after one cycle of the NECAP process with a 90 degrees die.
In fact, NECAP has been developed to enhance the efficiency com-
pared to the ECAP by achieving higher equivalent strain in a single cycle
instead of several sequential ECAP passes. Another advantage of NECAP
is that the back pressure exists inherently in NECAP as a result of reduced
cross-section of the output channel. Therefore, it shows the preference of
the NECAP to the ECAP process in practical applications to promote
better grain refinement and more homogeneous microstructure, especially
for alloys that are difficult to process [104]. The eminence between
ECAP and NECAP is the higher extrusion ratio of NECAP process that
causes requiring a greater forming load in NECAP. Flow line analysis has
shown that the strain imposed on the material by one pass of NECAP is
38% greater than the strain that occurs after one pass in ECAP [103]. The
NECAP can also be employed for bonding of two different metals similar
to a coextrusion welding process [105].
2.7 TORSION EXTRUSION

In the conventional direct extrusion (CDE) process, although the cross-
section of the sample is not uniform, several studies have been performed
to confirm the ability of grain refinement by CDE as an SPD
method [106108]. The hydrostatic pressure can be used to provide the
Plunger Plunger
Fluid
Die Die
Sample
Sample
(CDE) (HE)
Figure 2.25 Schematic illustrations of CDE and HE methods.
Punch
Container
Stationary
material
Rotating
Rotating
die
material
Figure 2.26 Two-dimensional schematic view of the torsion extrusion process.
deformation force in a CDE process named the hydrostatic extrusion (HE)

method [109]. In this case, few studies have also been performed to pro-
duce UFG or NC structures in metals such as aluminum alloys, copper
alloys, magnesium alloys, titanium, nickel, and stainless steel [110115].
Schematic illustrations of CDE and HE are shown in Fig. 2.25.
In addition to the HE process, the TE process was presented by
Mizunuma et al. [116] in 2006 as the other shape of an extrusion
method for grain refinement. The principle of the TE method is repre-
sented schematically in Fig. 2.26. This process is characterized by
rotation of a die or a container during an extrusion process to introduce

a very large strain into the metal. As mentioned previously, the high
hydrostatic compressive stress increases the workability of the metals,
and consequently, a very large torsional strain can be applied to the
material. The shape of the extrusion die can be considered in different
types such as circular, square, or elliptical. The mean value of the equiv-
alent strain can be estimated as:
4π RN
ε 5 pffiffiffi (2.15)
3 3H
where R is the radius, H is the height of the sample, and N is the num-
ber of rotation. It is reported that the torsion extruded part of the speci-
men was more severely strained than that of the conventional extrusion
[116]. It has been reported that the load requirement for the TE is lower
than that of the CDE [117].
2.8 MULTIPLE DIRECT EXTRUSION

The dimensions of samples change during the CDE and HE, thus, these
methods do not have the ability to repeat cyclically. Hence, Zaharia et al.
[118] used a novel technique to introduce a method based on repeating
CDE in 2012. This technique, called MDE, is illustrated in Fig. 2.27. In
this process, the billet is pushed into a rectangular die that can extrude
the billet with a reduction ratio of 50%. The length of the extruded billet
becomes twice that of the initial billet, according to the constancy of vol-
ume. The extruded billet is then cut in the middle of its length.
The resulting two half-billets are joined to achieve a cubic shape similar
to the initial billet so that the direct extrusion process can be repeated.
For the next cycle, two types of the route can be performed [118]:
• Route A: no rotation;
• Route B: 90 degrees rotation around the longitudinal axis of initial
billet.
In this method, the effective (von Mises) strain after N cycles can be
calculated from the following equation (reduction ratio: r 5 1=2) [119]:
2N 1 2N
ε 5 pffiffiffi ln 5 pffiffiffi ln 2 (2.16)
3 12r 3
Plunger
Die
Sample
h
a
Extrusion
a/2
2h h
Stacking
Cutting
Figure 2.27 Schematic of multiple direct extrusion principles.
2.9 ACCUMULATED EXTRUSION

AE, which is relatively similar to MDE, is a kind of SPD method based
on the conventional extrusion process proposed in 2016. This process can
apply very high strain up to B13 (greater than the applied strain in MDE)
in consecutive cycles [120]. The AE is a plane strain extrusion method as
illustrated in Fig. 2.28. The initial sample is cut into four (or more) simi-
lar billets. The billets are then surface-treated (grinding, wire brushing,
and storing in ethanol), stacked, and extruded together to the final
dimension. The extruded final product can be cut again to the number of
similar billets, and the process is repeated. This process can be used to
produce multilayer plates with excellent layerlayer bonding [121]. The
major problem with MDE and AE processes is adhesion and bonding
between the layers.
Cut Cut Cut
Cleaning Stacking
Extrusion
Figure 2.28 A schematic representation of the AE process.
2.10 PURE SHEAR EXTRUSION

The deformation mode in most of the well-known SPD processes, e.g.,
ECAE and HPT, is simple shear or most significantly governed by simple
shear [48]. Few of the SPD processes, which act totally or partly in pure
shear, are based on traditional metal forming processes such as rolling,
extrusion, and forging. These processes are inherently involved with
redundant work that results in inhomogeneous deformation, and conse-
quently result in a nonhomogeneous microstructure and mechanical
properties throughout the processed sample [119]. It is important to
introduce the SPD method for applying strain in a nonsimple shear or in
pure shear deformation state without redundant work. The PSE process
has been proposed to achieve the aim of applying a combined deforma-
tion state of pure and simple shear without redundant work and strain
inhomogeneity. This process allows the possibility of severely deformed
materials in a combined mode of pure and simple shear with the capabil-
ity of controlling the ratio of pure to simple shear [122]. In fact, pure
shear deformation in PSE is considered as a new achievement in PSE vs.
simple shear, which is the main deformation mode in most known SPD
techniques [123].
Briefly, the sample is pressed through a channel consisting of five

zones as demonstrated in Fig. 2.29. In the entry channel (zone I), the
sample experiences no deformation and is directed to move toward the
deformation zone. In the upper deformation zone (zone II), the sample
gradually deforms as the square cross-section turns into a rhombic.
The constancy of the cross-sectional area certifies that there is no
velocity change, and consequently no strain is induced in the direction
perpendicular to the cross-section of the sample leading to a planestrain
deformation. The use of a relaxation zone (zone III), where no deforma-
tion is imposed on the sample, is optional, but it may be effective in the
filling fraction of the die and homogeneity of the deformation. In the
lower deformation zone (zone IV), the sample is subjected to shear defor-
mation but in the opposite direction to that of zone II. This causes the
sample to return to its initial square cross-sectional shape, i.e., from rhom-
bic to square. In the exit channel (zone V), which is very similar to zone
I, the sample experiences no deformation and exits the die [123]. By
considering the shape change from square to rhombic, it can be seen that
π/
Plunger 4
D B
O
Die C
Before PSE, square ABCD
Sample E
Zone І
H F
O
G
Zone ІІ During the process, rhombic
EFGH
Zone ІІІ I
Zone ІV
L J
O
Zone V
K
After PSE, rhombic IJKL
Figure 2.29 Schematic illustration of pure shear extrusion and the changes of the
cross-section of the sample at the half course of PSE deformation.
lines AB, BC, CD, and DA change to IJ, JK, KL, and LI, respectively, by
PSE deformation. Due to symmetry, the changes in the four lines are
exactly the same, and the R parameter represents the ratio of OL to OD.
Thus, the total strain, εtot , after N cycles of the PSE process can be calcu-
lated from the following equation [122]:
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2 2
2N R 21
εtot 5 pffiffiffi ðlnRÞ 1 2
(2.17)
3 R2 11
2.11 EQUAL CHANNEL FORWARD EXTRUSION

Another SPD method based on the extrusion process is called ECFE,
which was introduced in 2014 by Ebrahimi et al. [124]. The schematic
illustration of the ECFE method and three cross-sections of the sample
during the process are represented in Fig. 2.30. This process is based on
extruding a sample with the rectangular cross-section through a die with
three separate parts: entrance channel, main deformation zone (MDZ),
and exit channel. As the sample passes through the MDZ, the sample’s
Plunger
a
Sample
ample b
Entrance cross-section
cross-sectio
Die
ie
During deformation
Exit cross-section
Figure 2.30 A schematic illustration of the equal channel forward extrusion (ECFE)
process.
cross-section expands in the width direction and contracts in the length

direction simultaneously, as shown in Fig. 2.30. This alteration imposes
an intense plastic strain on the sample, and the process can be carried out
as many times as necessary to obtain the desired plastic deformation,
which is one of the main requirements of SPD techniques. It is important
to emphasize that there is no sample rotation during the process. The
most important feature of this method is that it can produce relatively
large UFG samples and does not require back pressure. This is the advan-
tage of this present technique in comparison with the other SPD technol-
ogies [124,125].
2.12 C-SHAPE EQUAL CHANNEL RECIPROCATING

EXTRUSION
A SPD method called CECRE was introduced to refine the microstruc-
ture of materials [126]. The CECRE extruder is shown in Fig. 2.31. It
consists of two rams and two equal cross-sectional dies. The extrusion
forces FA and FB for processing are controlled and can be altered by the
operator. The deformation proceeds as follows: firstly, the sample is
FA
Ram A
Die
φ
Sample
Ram B
FB
Figure 2.31 A schematic drawing of the C-shape equal channel reciprocating extru-
sion (CECRE) process.
inserted into the upper channel and pushed by ram A to pass through the
C-shape equal channel. Ram B exerts a BE force FB on the extruded
material. In this case, FB is smaller than FA . Secondly, ram B is reversed
to push the sample to flow into upper channel though the C-shape equal
channel, and ram A is forced to move with the strained material because
FB is greater than FA . The unlimited accumulated strain can be obtained
by repeating the cyclic deformation.
The principle of the CECRE process is to introduce the accumulated
shear strain into the sample without changing its shape. The characteris-
tics of the CECRE process are that the sample is subjected to gradually
variable shear stress via cyclic deformation. The accumulated strain after
N cycles can be calculated similar to the ECAP process [51]:
N
εN 5 pffiffiffi 2 cotðϕ=2 1 ψ=2Þ 1 ψ cosecðϕ=2 1 ψ=2Þ (2.18)

3
where φ is the inner angle and Ψ is the outer angle, which are both
shown in Fig. 2.31.
Though the process is similar to multipass ECAP, the main problem in
this process is the small ratio of shear to total strain level because of the
large ψ value and presence of a fillet in inner channel edges.
2.13 TWIST EXTRUSION

This method was introduced in 2002 as a SPD process. Beygelzimer et al.
[127] showed the different aspects to TE such as hydroextrusion, hydro-
mechanical extrusion, pressing with a thin lubrication layer, and hydro-
static wiredrawing. The TE method has been successfully implemented
on different materials, such as copper [128], titanium [129,130], and alu-
minum [131135].
The mechanism of TE (Fig. 2.32) is based on extruding a billet
through a twist die. This die has a profile consisting of two prismatic
regions separated by a twist part. As the specimen is processed, it under-
goes severe deformation while maintaining its original cross-section. The
extra hydrostatic pressure is created when the back pressure exists in the
die [136]. However, small back pressures do not fill the die corner gaps in
the deformation zone.
As shown in Fig. 2.32, there are four deformation planes where the
strain is applied sufficiently to the material. Deformation zones 1 and 2
are located at the input and output of the twist part, respectively. The
β
3,4 Billet
B
Figure 2.32 Twist extrusion scheme. The numbers 14 show the position of the
four shear planes [128].
mode of deformation in these zones is simple shear in the transversal

plane, similar to the HPT method. Deformation zones 3 and 4 are
located in the twist part, and the deformation mode of these zones is sim-
ple shear in the rotating longitudinal plane. The deformation zone 3 con-
sists of most of the specimen volume except for a peripheral layer that is
12 mm thick, whereas the deformation zone 4 encompasses the periph-
eral layer (12 mm thick) with high equivalent strain. In the TE method,
the amount of strain is significantly varied from the center (minimum) to
the periphery (maximum) of the sample, so the grain refinement is differ-
ent at the surface and center of the sample [136,137]. However, it is pos-
sible to produce more isotropic and homogeneous deformation by
turning the samples 90 degrees in each consecutive cycle [131]. Also, it is
possible to eliminate anisotropy and produce homogeneity within the bil-
let by increasing the number of cycles of the TE method [138].
Eq. (2.19) is presented for prediction of the strain distribution in the
TE-ed samples [127].
2 r
εðrÞ 5 pffiffiffi tan β (2.19)
3R
where r is the radial distance to the center of the die, R is the maximum
distance from the die center, and β is the angle between the twist line
and the extrusion axis.
There are two types of twist dies: clockwise (CD) and counterclock-
wise (CCD). When transitioning from CD to CCD, the shears in each of
the four deformation zones reverse their sign. This gives us two main
routes of TE:
Route I: CD 1 CD (or CCD 1 CCD);
Route II: CD 1 CCD (or CCD 1 CD).
The using of different routes can lead to different structures and
mechanical properties [136].
The TE has a perfect capability for grain refinement and microstructure
homogenization if the mentioned considerations are noted [139142].
The sample size of TE is limited because of two factors. First, the aspect
ratio of the sample (length/diameter) must be less than the critical value to
avoid bending/yielding or buckling of the plunger during extrusion, and
second, the plunger has a limited travel distance [131]. This method is
based on direct extrusion and can be easily installed on any standard extru-
sion equipment or set in industrial production lines [138]. The equivalent
strain distribution has a large gradient from the center to the edges of the
sample. This creates an interest in investigating the effects of strain gradient
on the grain refinement, as well as obtaining a microstructural gradient in
materials [136]. In the TE process, a part of the die rotation breaks up due
to the slippage between the die and sample and the shear strain was par-
tially applied to the bulk material which is not favorable [143].
2.13.1 Elliptical Cross-Section Spiral Equal Channel Extrusion

The nonsymmetric nature of the TE process restricts its application to
only the rectangular section of the prism, whereas the industrial raw
materials are of circular section shape. Thus, the TE cannot be used in
most industrial applications. To obviate this defect, a novel SPD method
named ECSEE was proposed by Wang et al. [144].
A schematic diagram of the ECSEE technique is shown in Fig. 2.33.
A cylindrical sample is extruded out through a die with three channel
regions: roundellipse cross-section transitional channel (L1), elliptical
cross-section torsion transitional channel (L2), and ellipseround cross-
section transitional channel (L3). Due to the special shape of the die, the
ECSEE-ed workpiece is subjected to SPD, while the cross-section area
remains constant [145].
The channel area of L2 displays a more significant influence on the
accumulation of severe shear deformation than the counterpart of the
1
D
L1: Round-ellipse cross-
section transitional channel
Rotate ϕ
L2: Elliptical cross-section

torsion transitional channel
L3: Ellipse-round cross-

section transitional channel
1
D
Figure 2.33 Schematic diagram of ECSEE [144].
channel L1 and L3. The maximum shear strain (γ max ) and the maximum
equivalent strain (εmax ) on the circumferential surface of sample after sin-
gle pass can be obtained from Eqs. (2.20) and (2.21) [144].
pffiffiffiffi
ϕmR ϕ m D1
γ max 5 5 (2.20)
2L2 2L2
pffiffiffiffiffiffi
γmax ϕ 3m D1
εmax 5 pffiffiffi 5 (2.21)
3 6L2
where the ϕ is representative of the rotation angle in the area of L2, R is
the minor-axis length of the elliptical, and m is the ratio of the major-axis
and minor-axis length of the elliptic-section. D1 is the diameter of the
round cross-section of the sample before and after ECSEE deformation.
2.13.2 Planar Twist Extrusion

The TE method has a deficiency in producing industrial samples for two
reasons: the buckling and the limited travel distance of the plunger. To
overcome these limitations, Beygelzimer et al. introduced planer twist
extrusion (PTE) in 2006 [146]. One of the advantages of PTE is the
ability to produce movable die components. This modification provides
stability of the plunger, reduction of the frictional force, and finally an
increase in the ability to produce longer UFG samples. The structure of
Figure 2.34 Schematic of (A) PTE and (B) TE die channel and gradual change in
specimen cross-section while passing through the deformation channel [131,147].
this method is similar to the TE method, but the two processes differ in
the shape of the die channel: TE has screw shape, while the two opposite
walls of the PTE die are flat, as shown in Fig. 2.34 [147].
2.13.3 Axisymmetric Forward Spiral Extrusion

A modified spiral extrusion process for axisymmetric cross-sections has
been proposed in which the cross-section remains nearly unchanged dur-
ing the strain accumulation. The proposed process, which is called AFSE,
can be considered as a potential SPD process. It combines axial compres-
sive pressure with shear deformation and has less technological complica-
tions compared to the previous SPD techniques such as those of TE.
The schematics of the AFSE arrangement and die cross-section are
shown in Fig. 2.35. There are fine grooves inside the AFSE die that aim
to prevent circumferential slippage. Due to the rotation of the material
during the process, there is no need for a route change, unlike ECAP, to
ensure a good aspect ratio of the deformed grains [148].
A reciprocal AFSE die assembly can be used to achieve the desired level
of deformation. As the punch forces the sample in the longitudinal direction,
the deformation starts at the beginning of the chamfers and develops to its
maximum at the entrance of the AFSE die. The chamfer size and depth of
the grooves in Fig. 2.35 have been exaggerated for the purpose of illustration.
Since the sample has no rotation in the container section and has maximum
rotation while entering the AFSE die, the sample experiences a gradient of
circumferential motion from zero, at the entrance to the chamfer, to its maxi-
mum at the die’s entrance. During AFSE, unlike a CDE process, the speci-
men cross-section remains nearly unchanged while experiencing the plastic
Upper
container
Grooves
Chamfer First
sample Upper
chamfer
Die
Lower
Second
chamfer
sample
θ Lower
container
Figure 2.35 AFSE die cross-section and the mechanism of the multistages of the
AFSE process [148].
deformation. The process starts with inserting two identical samples in the
containers followed by extruding the first sample into the top chamfer and
grooved section of the die. Subsequently, the second sample is extruded to fill
the lower chamber of the AFSE die and comes in contact with the first speci-
men. In the next step, the second sample is extruded into the grooved section
of the AFSE die while back pressure is maintained on the first sample to
increase the hydrostatic pressure in the second sample during the step. The
step completes when the upper surface of the second sample is about to enter
the upper chamber of the AFSE die. Now the first sample, which is in con-
tact with the second sample, has filled the upper chamber of the AFSE die
and the upper container. In the next step, one needs to extrude the first sam-
ple into the AFSE die while maintaining the back pressure via the second
sample. This cycle can be repeated reciprocally until the desired level of
deformation in each sample is reached. This mode of the AFSE is a batch
process that allows accumulating strain in both specimens [148].
The helix angle, γ 5 arctanL=2πr0 in which L and r0 are the length
and radius of the helix, respectively, is the main parameter for the AFSE
die. If the r parameter represents the distance from the specimen center
in the AFSE die, the induced effective strain after N cycles of the AFSE
process can be estimated as [148]:
N r
ε 5 pffiffiffi tanγ (2.24)
3 r0
Eq. (2.24) implies that the total effective strain seems to depend on
the radius and helix angle, and therefore is independent of the chamfer
geometry.
2.14 MULTIDIRECTIONAL FORGING

The basic concepts of the MDF were first explored by Ghosh et al. [149]
and Belyakov et al. to refine the microstructure of the metal [150]. The
functional principles were based on changing the loading direction
through 90 degrees cycle by cycle during the multiple compressions
[150,151]. MDF or multiaxial forging (MAF) has been accepted as a pro-
cedure for producing significant grain refinement in bulk crystalline
metals [152]. MDF seems to be especially attractive because it is the easi-
est method that does not require any special devices and has great poten-
tial to fabricate large bulk materials for industrial applications [153].
Fig. 2.36 shows the schematic of the MDF method. The direction of
compressions changes by 90 degrees between subsequent passes
(X-Y -Z-X- . . .). The main problem with the MDF process is
Plunger
Sample
Support
Rotation Rotation
(X to Y) (Y to Z)
Y Z
X
X Y
Y X
Z Z
First pass Second pass Third pass
Rotation (Z to X)
Figure 2.36 Schematic illustration of the MDF process and the procedure of the
sample rotation.
lower hydrostatic pressure or existence of tensile stresses at the free sur-

faces. This limits the maximum number of cycles and also leads to the
formation of cracks at the free faces. The MDF method may be con-
ducted with the deformation constrained in one direction as the con-
straint forging (CF) [154]. This may relatively solve the workability
problem that exists in the MDF process.
The MDF die configuration applies the equivalent strain εeq on billets
during each pass according to the following equation [155]:

h0
εeq 5 ln (2.25)
h
where h0 and h are the initial and final height of the billets, respectively.
A more uniform structure of the material can be achieved because
the compressive stress exerts similarly in all directions from pass to
pass. The MDF method can be used for industrial applications.
However, the need for high-power equipment is a limitation.
Moreover, the operating temperature is usually high to get enough
formability, which can result in a coarse grain size [156,157], and it
can process less ductile materials due to the compressive deformation
at the inner area of the sample [158]. This method has been used for
grain refinement of microstructures of several alloys, including Ti, Al,
Cu, and Mg [150,159164].
2.14.1 Cyclic Closed Die Forging

The CCDF method is derived from the MDF process with the exception
that CCDF is implemented in the closed die to lower the tensile stresses
on the outer surfaces and increase the dimensional accuracy. However,
several investigations have been carried out on CCDF for grain refine-
ment [164167]. A schematic representation of the CCDF process is
shown in Fig. 2.37. The billet is first compressed in the vertical direction
and then compressed horizontally. By modeling with the plane strain
condition, the equivalent plastic strain for each forging operation is given
by [165]:

ln H=W
εeq 5 2n pffiffiffi (2.26)
3
where W is the width of specimen, n is the numbers of forging passes,
and H is the height of specimen.
3 Forge
2 1
3
e 2
tat
Ro 1st pass
2
W
1
2
3 1
H
3
W
2nd pass
3
H 2
1 3 2
1
3rd pass
Figure 2.37 The schematic representation of cyclic closed die forging (CCDF).
2.15 MULTIAXIAL INCREMENTAL FORGING AND SHEARING

MAIFS as a technique of SPD was proposed for straining by Montazeri-
Pour et al. in 2015. This process can be considered as a combination of forg-
ing and angular pressing. Thus, it combines some of the main advantages of
ECAP and MDF techniques to increase the deformation homogeneity of
the workpiece after a few passes. Observations have revealed that a single
pass of the MAIFS process will not result in a uniform strain distribution in
the workpiece. However, a noteworthy feature of MAIFS is the possibility
of applying various routes based on different directions of straining by rota-
tion of the specimen between consecutive passes. This strategy can be
employed for optimization of the process to enable the production of more
homogeneously refined microstructures through fewer passes [168].
A schematic of the MAIFS method is presented in Fig. 2.38. The
method setup contains three movable punches with similar cross-sectional
area. The sample is placed horizontally into the hollow die (Fig. 2.38A)
and then pressed by the first longitudinal punch so that the material is
back-extruded into the gap between the second longitudinal punch and
die wall (Fig. 2.38B). In the second step, the workpiece is forged by pene-
tration of the second longitudinal punch into the sample, similar to the first
punch (Fig. 2.38C). In the last step, a third punch is pushed in the trans-
verse direction to achieve the initial dimensions of the workpiece via flow-
ing material through the gap between the die and the longitudinal punches
(Fig. 2.38A) [169]. It is worth mentioning that the main advantage of this
process is its application for SPD processing of relatively large samples.
Second punch
punch
First
punch
First
Sample
Third punch
(A) (B)
Second punch
Third punch
(C) (D)
Figure. 2.38 Schematic illustration of the MAIFS technique: (A) initial state, (B) after
step one, (C) after step two, and (D) after step three.
2.16 REPETITIVE FORGING

Faraji and colleagues at the University of Tehran introduced the RF
method based on outstanding capabilities of forging suitable for proces-
sing bulk UFG materials to very high strains. This method was proposed
to overcome the disadvantages, such as waste materials in the tail parts (in
ECAP, TE, and SSE), complicated apparatus (in the HPT), and the need
for back pressure (in CEC, SSE and TE) [170].
A schematic diagram of RF is shown in Fig. 2.39. As shown in this
figure, the process consists of two stages. During the first stage, the cross-
section of the sample gradually deforms to a parallelogram from the initial
state (square) by forging with two upper and lower angular punches
(Fig. 2.39B and C). Then, in the second stage, the parallelogram cross-
section is forged back to the square shape using two flat punches as shown
in Fig. 2.39D. It is clear that the cross-section of the RF-processed sample
remains unchanged at the end of the processing. The whole process can
be repeated as many times as necessary to achieve distinct strains without
any reduction in the cross-section of the workpiece [170].
Upper
per punch
Die
Sample
Lower
wer punch
(A) (B) (C) (D)
Figure 2.39 Schematic of the RF process.
The magnitude of imposed shear strain in the RF depends on the

maximum distortion angle of α. The shear strain after N passes of the
RF process can be calculated as follows [170]:
γ 5 2N tanα (2.27)
The equivalent plastic strain could be calculated from the Mises crite-
rion [171]:
γ
εeq 5 pffiffiffi (2.28)
3
2.17 REPETITIVE UPSETTING

Guo et al. [172] developed a method called RU with some desired fea-
tures. Fig. 2.40 shows the deformation scheme of RU. During processing,
the disk sample was put into the upper channel and pressed into the die
by a plunger. After each pass, the sample was taken out of the bottom of
the die, rotated, and reinserted into the upper channel for the next pass.
The sample can be cubic or disk-shaped [172].
Firstly, RU is very suitable to process hard-to-deform materials, such
as magnesium alloys, since it imposes two- or three-dimensional compres-
sive stresses on the sample during processing. Secondly, RU is a method
ready for thickness reduction to fabricate industrial-scale thin plates
[172,174] and there is a possibility of scaling up for commercial applica-
tions. Thirdly, owing to the transversal material flow in multidirectional
deformation, a uniform microstructure can be achieved by RU
Plunger
Die
Sample
Outlet
(A) (B)
(C)
Figure 2.40 The die schematic of the RU method: (A) initial state, (B) during the pro-
cess, and (C) picture of the die [173].
processing. Up till now, there have been some successful attempts to

refine the grains of magnesium alloys through the application of RU and
the processed materials reveal a significant improvement in both strength
and ductility [166,175].
2.18 CYLINDER COVERED COMPRESSION

A SPD process for cast iron, called CCC, was developed by Zhao et al.
[176]. This method can be used to solve the difficulty in obtaining UFG
specimens without cracks in hard-to-deform metals such as spheroidal
cast iron. The schematic illustration of the CCC process is shown in
Fig. 2.41. In the CCC process, specimens are cased by a steel cylinder
Initial sample Embedded in a steel cylinder
t
pea
Hot compressed Re
Cut in pieces
Figure 2.41 A schematic illustration of the CCC process.
and then hot compressed. Then, the compressed material is cut into
pieces, machined out the surface layers, stacked, embedded in a cylinder,
and hot-compressed again. Using the CCC process, spheroidal cast iron
has been successfully hot-compressed with up to a 99.2% reduction in
height [176].
2.19 REPETITIVE UPSETTING AND EXTRUSION

The RUE process was originally invented by Aizawa et al. [177] to con-
solidate powders and mechanical alloyed powders. Then, Lianxi et al.
[178] used the RUE process to prepare a UFG bulk aluminum alloy using
the same die design. They reported that the RUE process is capable of
refining the grain size of the bulk metals.
A typical RUE cycle consists of two basic stages of upsetting and
extrusion as shown in Fig. 2.42 [178]. A cylindrical sample is first sub-
jected to upsetting, wherein the length is reduced and the cross-
sectional area is increased. The upset processed sample is subsequently
subjected to extrusion, wherein the length is increased, and the cross-
sectional area is reduced. The upsetting and extrusion processes are iter-
atively repeated until the desired number of cycles are completed.
During upsetting, the material flows perpendicular to the upsetting
direction, whereas during extrusion, the material flows parallel to the
upsetting or extrusion direction [179].
Upper punch
Die
Sample
Lower punch
(A) (B)
(C) (D)
The
Figure 2.42 A schematic of a typical RUE process.
Zaharia et al. [180] performed this method in reverse, such that extru-
sion was carried out first followed by upsetting. REU has several advantages
over other SPD processes: high strain per cycle, more shear planes with dif-
ferent orientations (both in extrusion and in upsetting), and consequently a
more effective grain fragmentation, and no additional machining of the
specimens is required. Moreover, heating below their recrystallization tem-
perature can be easily applied before upsetting to increase the workability
of materials that are difficult to process. Finally, REU consists of a combi-
nation of two well-known conventional plastic deformation processes with-
out the use of any additional tools and devices [180]. The main
disadvantage of this process is that the outer surface of the sample is free
and may experience tensile stresses during the upsetting stage. This causes
the formation of cracks and limits the workability of the metal.
2.20 CYCLIC EXTRUSIONCOMPRESSION

The CEC method was invented in 1986 for unlimited deformation of
metals and alloys [181]. This process is named “reciprocating extrusion” in
FA
Ram A
Die
d1
dm
Sample
Ram B
FB
Figure 2.43 A schematic drawing of the CEC method.
some publications [182,183]. The CEC method was invented to allow arbi-
trarily large strain deformation of a sample with the preservation of the
original sample shape [184].It was then successfully used to produce a vari-
ety of metallic materials with UFG structures [184186]. As shown in
Fig. 2.43, the sample is placed into the die and pushed by ram A to pass
through the channel with a smaller diameter; meanwhile, ram B exerts a
back-extrusion force FB on the extruded material to restore its initial shape.
In this instance, FB is smaller than FA . Then, ram B is reversed to push the
sample to flow upward, and ram A is compelled to move with the strained
material because FB is greater than FA . This deformation cycle is repeated
so that unlimited true strain can be obtained [187]. In this way, the sample
is stressed in hydrostatic compression, permitting arbitrarily high deforma-
tions without crack development [184]. The CEC process can be consid-
ered as an SPD method with higher hydrostatic compressive stresses to
increase the workability of the metals.
The magnitude of the total strain, calculated from both extrusion and
compression stages, is [188]:

εtot 5 2N ln d12 =dm2 5 4N ln d1 =dm (2.29)
where, d1 is the initial diameter, dm is the diameter of the reduced cross-
section and, and N is the number of deformation cycles.
Among the known SPD methods, the CEC processing performed in a

unique double press with intelligent control back pressure is potentially the
most useful as an industrial process for the production of ultrafine-grained
materials [189]. This is an advantage of CEC, which is shown to be an
effective method for processing metals that are difficult to process such as
Mg alloy, due to its three-dimensional compression stress state [190193].
Furthermore, although CEC and ECAP were introduced at about the
same time, limited investigations have been conducted on CEC compared
to ECAP. This may be due to the complication of the die set up for CEC
and a precise back pressure system which acts synchronically with the pri-
mary punch [194]. Also, the die of the CEC method usually consists of
several parts. It is also possible that some materials can flow into the gaps
and increase the stress and process load [187]. Another disadvantage of the
CEC is the short length of the processed sample. This limitation is devel-
oped from the higher friction between the tool which increases the proces-
sing load leads to yielding or buckling of the ram or punch.
2.21 CYCLIC EXPANSIONEXTRUSION

The CEE process, a counterpart of CEE, was introduced by Pardis et al. The
main advantage of this process is that no external back-pressure system is
needed in comparison to CEE, which was usually carried out by complicated
systems. In this method, the extrusion section is placed after the section
where the sample experiences expansion first. The force needed to extrude
the material is supposed to provide a proper amount of back pressure for the
expansion. Therefore, no external back-pressure system is required [194].
Fig. 2.44 depicts the consecutive steps of CEE. In the first step
(Fig. 2.44A), the exit channel is blocked by the first punch, letting the
pressure of the primary punch cause a radial flow of the material until the
material fills up the barrel zone (Fig. 2.44B). The first punch is then
removed, and the CEE process begins by pressing the upper punch. In
this stage, the necessary back pressure for expansion of the materials is
provided by the subsequent extrusion (Fig. 2.44C). If multiple passes of
CEE are required, the process can be repeated without removing the
sample from the die, and the whole die (and the sample inside) is rotated
by 180˚ (Fig. 2.44D). The upper punch is entered the other channel and
presses the material in the opposite direction (Fig. 2.44E). The process
can be applied for any required number of passes by repeating the loop
presented in Fig. 2.44 as ACDE [194].
Rotation die
180°
d1
(C)
dm
(D)
(A) (B)
Rotation die
180°
Figure 2.44 A schematic of the consecutive steps of CEE.
The theoretical accumulated strain can be obtained from Eq. (2.29). It

should be noted that in the CEE method, d1 is the maximum diameter of
barrel-like zone, dm is the initial diameter, and N is the number of defor-
mation cycles.
Two major processing routes are defined for CEE processing of sam-
ples with rectangular cross-sections. These routes are nominated as route I
and route II, which are illustrated in Fig. 2.45. The CEE processing in
route I is performed under plane strain conditions, and therefore both
steps (expansion and extrusion) are performed in the same plane
(Fig. 2.45A). On the other hand, in route II, the expansion and extrusion
steps take place on different planes which are perpendicular to each other
(Fig. 2.45B). Although each step (expansion or extrusion) is performed in
plane strain conditions, the overall process in route II cannot be consid-
ered as a plane strain operation. Based on Fig. 2.45, a sample of the a 3 b
cross-section is expanded in plane strain conditions to a square of b 3 b,
which is subsequently extruded in-plane strain conditions to a rectangular
cross-section of a 3 b and b 3 a through processing routes I and II, respec-
tively. Therefore, the amount of von Mises strain accumulated after N
passes can be calculated for both routes as [195]:
4
εeq 5 pffiffiffi N ln b=a (2.30)
3
b a
Normal direction
(ND)
b
ng
ssi
b Pre
e
Route І lan
np
u sio
Tra a xtr
nsv on ion-e
ers ti ns
ec pa
e dir ) Ex
(TD dire i o n D
) cti rus (E
(A) o n Ext
a
lane
io np
ns
pa
Ex b
b
Normal direction
(ND)
b
ng
b ssi
Route ІІ Pre
ne
Tra a n pla
n sv ion sio
ers ec
t tru
ed dir Ex
ire n )
(TD cti sio (E
D
(B) ) on tru
Ex
Figure 2.45 Experimental and schematic illustration of sample configuration during
two CEE processing routes and the respective deformed configuration of cubic ele-
ments of a sample for (A) processing route I, and (B) processing route II [195].
This relation, however, is an average deformation value across the

whole section in which shear components are neglected.
As mentioned earlier, CEE processing has a main advantage over
CEC, which it resolves with the need for back pressure and a complicated
processing system. However, the level of hydrostatic pressure seems to be
lower in CEE over the CEC process. Also, limitation of the processed
sample length remains unresolved for both the methods.
2.22 ACCUMULATIVE BACK EXTRUSION

Back extrusion (BE) is mostly exploited to form hollow parts with differ-
ent cross-sections. This is considered to be a useful industrial method to
create a better surface finish, good dimensional control, and lower
required force compared to CDE. ABE processing, which is based on
d D d
Sample
Die
Inner punch
Outer punch
(A) (B) (C) (D)
Figure 2.46 A schematic of the ABE method: (A) initial state, (B) back extrusion, (C)
compression back, and (D) end of the process.
conventional BE, was introduced as a bulk SPD method in 2009 [196].

The studies of researchers have shown that this process has the potential
to produce UFG bulk with different materials such as magnesium alloy
and aluminum [197199].
The principle of the ABE technique is illustrated in Fig. 2.46. First,
the sample is placed in the die cavity (Fig. 2.46A). Any cycle of ABE
consists of a BE followed by a constrained back pressing. These are per-
formed through a twin punch setup. The punches are designed to slide
through each other. The sample is back-extruded into the gap between
the inner punch and the die (Fig. 2.46B), and the back-extruded material
is then forged back by the outer hollow ram (Fig. 2.46C). As the outer
punch is being pushed down, the inner punch is loosely lifted up by
undergoing material flow. The latter causes the deformation without any
reduction in the workpiece cross-section. Moreover, the inner punch
remains inside the cup during the second step, thereby preventing the
cup from collapsing or buckling inward. Consequently, at the end of any
cycle, the initial shape of the workpiece is reproduced (Fig. 2.46D).
The total accumulated strain in ABE processing can be calculated by
following the common engineering plasticity formulation. This process
allows large strain deformation of a sample with preservation of the origi-
nal sample shape after N cycles. Considering the same plastic deformation
for both steps, the total accumulated equivalent strain after N cycles of
ABE is [200]:
2
D 1 4d2 1 4dD
εtot 5 2N ln (2.31)
5d 2 1 4dD
Inhomogeneity in the microstructure and mechanical properties can

be regarded as the major disadvantage of this process. Another disadvan-
tage of ABE processing is its limitations in the processing of long samples.
However, the ability to process large-diameter samples can be considered
as an advantage of the method.
2.23 CYCLIC FORWARDBACKWARD EXTRUSION

Another method based on the extrusion process is CFBE. This method
was presented in 2012 as an SPD process suitable for processing UFG
bulk material at very high strains [200].
The CFBE process to produce SPD consists of a forwardbackward
extrusion followed by constrained back-pressing (Fig. 2.47). These two steps
are performed using an innovatively designed twin punch setup. The outer
hollow punch and the forward punch, as shown in Fig. 2.47, are designed to
slide through each other. In the first step of the CFBE process, the sample is
extruded into the gap between the forward punch and the die through the
forward and backward extrusion process. In the second step, the extruded
material is pressed back by the backward punch and the outer hollow punch.
While the outer and backward punches push the deformed sample, the for-
ward punch is loosely lifted up by undergoing material flow. The latter
D
d d Forward punch
Outer punch
Sample
Die
d
Backward punch
(A) (B)
Figure 2.47 A schematic of the CFBE process: (A) first half-cycle, (B) second half-
cycle.
causes the deformation to continue without any reduction in sample cross-

section. Moreover, the forward punch remains inside the cup during the
second step, preventing the cup from collapsing or buckling inward.
Consequently, the initial shape of the sample is reproduced at the end of
each cycle [200]. The total accumulated equivalent strain after N cycles of
CFBE is equal to the ABE that was previously described.
2.24 HALF-CHANNEL ANGULAR EXTRUSION

The other method developed based on channel angular extrusion, called
HCAE, has two nonequal input and output channels. Kim and Yoon pre-
sented this method to introduce even more SPD at each pass to reduce
the number of process passes. However, HCAE can be performed in
more than one cycle [201].
One of the main issues in SPD processes is to conduct them efficiently
without many repetitive passes while imposing high plastic and shear defor-
mations, which enhances the material properties. Fig. 2.48 shows the sche-
matic representations of an HCAE process in which a die for HCAE is
composed of different widths of entry and exit channels. Φ indicates an
intersection angle between the entry and exit channels, and Ψ denotes the
outer arc of curvature at the point of intersection of the two channels. The
main difference between HCAE and ECAP processes is that the exit
channel of the HCAE has a different width from that of the entry channel,
while the thickness of the channel remains the same. The width of the exit
channel is gradually reduced to half of that of the entry channel according to
L L
Ram
Ram
Die
α
Φ
Material
l ψ
te ria
Ma
L
2
L
2
(A) Isometric (B) Top (C) Side
Figure 2.48 A schematic diagram of the HCAE process [201].
the extrusion angle α, as in the conventional extrusion process. Thus, the

specimen in HCAE was subjected to a 2:1 reduction in area. For the second
pass of the HCAE process, two HCAE-processed billets from the first pass
can be combined into one full billet and reapplied to the die since the width
of the billet after the process is half the initial one.
The HCAE process is an SPD process that integrates ECAP and a
forward-extrusion process to induce more severe strains into the materials
in only a single pass. The shapes of the sections of the specimens are thus
changed after the process, but the HCAE can be continued in the second
cycle by joining two billets after the first cycle [202].
2.25 ACCUMULATIVE CHANNEL-DIE COMPRESSION

BONDING
Fig. 2.49 shows a schematic illustration of the ACCB process [203]. In
the ACCB, a billet sample is first compressed in a channel die. The
Degreasing Cutting
wire brushing
Channel-die
Stacking
compression bonding
Figure 2.49 A schematic illustration of accumulative channel die compression bond-
ing (ACCB).
deformation in a channel die provides a reduction in the thickness and

elongation in the length of the sample without any lateral spreading. This
so-called plane strain compression is considered ideal rolling deformation.
In the ACCB process, the 50% compressed sample is cut into half length-
ways, and the two billets are stacked to the initial thickness. The stacked
billets are 50% compressed in the channel die again. To obtain a bulk
sample with good bonding, the bonding surfaces of the two billets have
to be degreased and wire-brushed before the compression. This deforma-
tion is called compression bonding. This procedure of cutting, stacking,
and compression bonding is repeated, providing ultrahigh strain deforma-
tion without any significant change in the sample size [203].
Assuming that ideal plane strain compression can be realized by
channel-die compression, an equivalent strain applied (εeq ) after N cycles
can be calculated as [203]:
2 1
εeq 5 pffiffiffi Nln (2.32)
3 1 2 r
Accumulative channel die compression bonding (ACCB) can be
employed for fabrication of high-strength metal matrix composites
(MMCs). In this case, the initial billet consists of thin-film metallic multi-
layers such as Al/Cu [204]. A similar process called accumulative press
bonding (APB) is proposed to obtain homogeneous UFG metal matrix
nanocomposites. The difference between ACCB and APB is that before
pressing in each cycle, ultrasonicated SiC nanopowder in acetone was
sprayed between two aluminum strips with an air-gun atomizer [205].
The advantage is that the ACCB process can be done in a channel die
attached to a conventional pressing machine, without a high-capacity roll-
ing mill. This process can be applied to a thick billet of relatively large
dimensions. Moreover, in the ACCB, the strain and strain rate can be
controlled precisely by controlling the amount of deformation and the
pressing speed [203].
2.26 MACHINING
Though it is considered as a well-known cutting process, conventional
plane strain machining has been shown to be a viable SPD method for
examining the underlying processes of very large shear strain deformation.
Large plastic strains between 1 and 15 can be imposed into chips formed
by plane strain machining of metals and alloys. An attractive route for
imposing very large plastic strains in a single pass of deformation is the

process of chip formation by machining [206]. Large plastic strains expe-
rienced by a chip during its creation by machining result in significant
microstructure refinement, including the creation of nanostructured
materials [206208].
Plane-strain machining is characterized by a sharp, wedge-shaped tool
that removes a preset depth of material (a0 ) by moving in a direction per-
pendicular to its cutting edge. Chip formation occurs by concentrated
shear in a narrow deformation zone, often idealized by a plane called the
shear plane (Fig. 2.50). The geometry of the deformation zone and shear
strain are determined by the shear angle (ϕ) and the rake angle (α). The
shear strain (γ) imposed in the chip is given by [209]:
cosα
γ5 (2.33)
sinϕcosðϕ 2 αÞ
where ϕ is calculated from a measurement of a0 and ac as:
a0
cosα
a
tanϕ 5 ca0 (2.34)
1- sinα
ac
The principal machining variables controlling the deformation are a0,
V0 (speed of machining), and α that affect the shear deformation. The
shear strain ðγÞ can be varied by varying the rake angle. Additionally, the
coefficient of friction between the tool and chip influences the shear angle,
and hence, the strain [210]. Furthermore, the deformation parameters
associated with chip formation including strain and strain rate can be
V0
Chip ac
Tool
aw a0 α
ϕ
aw : width of undeformed chip

Shear plane
a0 : thickness of undeformed chip
ac : thickness of deformed chip
V0 : cutting speed
α : rake angle
Bulk
ϕ : shear angle
Figure 2.50 A schematic of plane strain (2D) machining and associated geometric
parameters.
related to the machining parameters such as tool rake angle and unde-
formed chip thickness by direct measurement. Thus, machining provides
an experimental framework for studying microstructure refinement by
SPD in metals and alloys [207].
2.27 THE COMBINED METHODS

Some of the previously mentioned methods can be combined and offer
greater advantages for additional improvement in material properties and
process economy. These combined methods can apply more equivalent
strain to the materials and have features derived from each simple tech-
nique. Some of the limitations of SPD methods can be solved or
improved by the combination of processes. Some of these combined
methods are described here.
2.27.1 Integrated ECAP/Extrusion

It is possible to combine two-step ECAP preprocessing with a final extru-
sion step as shown in Fig. 2.51 to impart on the product the desired axi-
symmetric profile in an integrated ECAP/extrusion process. An example
Plunger
Die
Sample
Figure 2.51 Integrated ECAP/extrusion process.

of a possible product is a bar with a cog-wheel profile. It is anticipated

that this approach will be adopted as a processing route of choice in
many future applications in microelectromechanical systems [156].
2.27.2 Twist Channel Angular Pressing

Failure to achieve the desired homogeneity in ECAP and low levels of
imposed strain in the TE method are limitations of these SPD methods.
In the TE method, it is possible to partially affect the overall imposed
strain level by changing the twist slope angle, with the resulting homoge-
neity along the cross-section remaining fairly low. One of the possible
ways to eliminate the detriments of the ECAP and the TE methods while
preserving their positive aspects is combining these methods. The sug-
gested twisted channel angular pressing (TCAP) technology develops
greater imposed strain more effectively while increasing the homogeneity
of material [211].
The required number of passes needed to achieve UFG or NG struc-
tures in bulk metals can be significantly reduced. This can be considered
in two basic scenarios: (1) ECAP and TE are lined up as subsequent inde-
pendent processes or (2) ECAP and TE are merged into one process con-
taining all the principal parts of both processes. The first case assumes
both technologies to be directly available in one place. However, it may
prove to be rather difficult to synchronize the mutual connection of both
processes in such a manner that the parameters of deformation and/or the
history of the forming are not influenced by each other. Alternatively, the
solution offered by the merging of the ECAP and TE methods obviously
excludes these types of problems, and moreover, it allows for a wider
range of technological solutions. To achieve this, researchers suggested a
new experimental design which uniquely combines ECAP and TE pro-
cesses. The principle of the TCAP process is shown schematically in
Fig. 2.52. The suggested design of the die contains a cavity; in the first
part of the channel there is a twist with a slope of angle α 5 90 degrees
(around the longitudinal axis of the channel) and this is followed by
bending of the channel at an angle of ϕ 5 90 degrees [211].
The higher twist slope angle and the lower angle between the individ-
ual channel parts stand for the higher value of imposed strain. It may be
stated that the largest effect on the size of the deformation was due to the
twist rotation angle. The largest homogeneity of strain was detected at a
higher friction coefficient [213].

Sample Die: Severe Plastic Deformation Methods For Bulk Samples

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Severe Plastic Deformation Methods for Bulk Samples 49

created. For example, an S-shape channel represents route C that is

(A) (B) (C)

required to place the sample under several cycles, which is time-

2.3.3 Side Extrusion

2.3.4 Multipass Die

stresses can be considered as one of the advantages of this approach.

2.3.5 Torsional-Equal Channel Angular Pressing

Figure 2.14 A schematic illustration of the torsional ECAP process.

2.3.6 ECAP With Back Pressure

Figure 2.15 The ECAP process with back pressure.

2.3.7 Expansion ECAP

sample, and this treatment offers advantages such as the induction of

effective strain attainable by means of N cycles of Exp-ECAE can be

εtot 5 4Nln 1 pffiffiffi 2cotðφ= 2 1 ψ= 2Þ 1 ψcosecðφ= 2 1 ψ= 2Þ (2.12)

2.3.8 ECAP With Parallel Channels

2.3.9 ECAP With Chocked Exit Channels

the workability of the metal increases. which leads to an increase in maxi-

2.3.10 The Different Die Designs

(A) (B) (C)

Force applied in the piston

parts of a die. When working with solid dies, it is necessary to remove

Figure 2.22 Schematic diagram of dual equal-channel lateral extrusion (DECLE).

2.4 DUAL EQUAL CHANNEL LATERAL EXTRUSION

2.5 CHANNEL ANGULAR PRESSING WITH CONVERGING

2.6 NONEQUAL CHANNEL ANGULAR PRESSING

Figure 2.24 Schematic of a NECAP die.

2.7 TORSION EXTRUSION

Figure 2.26 Two-dimensional schematic view of the torsion extrusion process.

deformation force in a CDE process named the hydrostatic extrusion (HE)

rotation of a die or a container during an extrusion process to introduce

2.8 MULTIPLE DIRECT EXTRUSION

2.9 ACCUMULATED EXTRUSION

Cut Cut Cut

2.10 PURE SHEAR EXTRUSION

Briefly, the sample is pressed through a channel consisting of five

2.11 EQUAL CHANNEL FORWARD EXTRUSION

cross-section expands in the width direction and contracts in the length

2.12 C-SHAPE EQUAL CHANNEL RECIPROCATING

εN 5 pffiffiffi 2 cotðϕ=2 1 ψ=2Þ 1 ψ cosecðϕ=2 1 ψ=2Þ (2.18)

2.13 TWIST EXTRUSION

mode of deformation in these zones is simple shear in the transversal

2.13.1 Elliptical Cross-Section Spiral Equal Channel Extrusion

L2: Elliptical cross-section

L3: Ellipse-round cross-

2.13.2 Planar Twist Extrusion

2.13.3 Axisymmetric Forward Spiral Extrusion

2.14 MULTIDIRECTIONAL FORGING

First pass Second pass Third pass

lower hydrostatic pressure or existence of tensile stresses at the free sur-

2.14.1 Cyclic Closed Die Forging

2.15 MULTIAXIAL INCREMENTAL FORGING AND SHEARING

2.16 REPETITIVE FORGING

The magnitude of imposed shear strain in the RF depends on the

2.17 REPETITIVE UPSETTING

processing. Up till now, there have been some successful attempts to

2.18 CYLINDER COVERED COMPRESSION

Initial sample Embedded in a steel cylinder

2.19 REPETITIVE UPSETTING AND EXTRUSION

2.20 CYCLIC EXTRUSIONCOMPRESSION

Figure 2.43 A schematic drawing of the CEC method.

Among the known SPD methods, the CEC processing performed in a