Mechanics Research Communications 132 (2023) 104186

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Mechanics Research Communications

journal homepage: www.elsevier.com/locate/mechrescom

Self-consistent approximations for the tangential-displacement correction to

the incremental indentation stiffness
Ivan Argatov a,b , Xiaoqing Jin a ,∗
a College of Aerospace Engineering, Chongqing University, Chongqing, 400030, China
b
Institut für Mechanik, Technische Universität Berlin, 10623 Berlin, Germany

ARTICLE INFO ABSTRACT

Keywords: An axisymmetric problem of unilateral frictionless contact between a paraboloidal or conical indenter and a
Indentation problem transversely isotropic elastic half-space is considered in the refined formulation by accounting for the tangential
Elastic contact (radial) displacements of the surface points of the elastic body. Using the idea of self-consistent approximation,
Self-consistent approximation
a system of two coupled relations for the main contact variables (contact force, indenter displacement, and
Indentation stiffness
contact radius) is derived. The concept of the true contact radius is discussed, and it has been argued that the
incremental stiffness relation should be expressed in its terms. Correction factors for the force–displacement
relation and the incremental indentation stiffness (as a function of the true contact radius) are evaluated in
explicit form.

1. Introduction so-called [5] BASh (Bulychev–Alekhin–Shorshorov) relation for the

Instrumented indentation testing is one of the simplest methods
for mechanical characterization of heterogeneous materials [1,2], es-
pecially at the nanoscale [3]. The indentation data usually includes
the force–displacement curve (contact force, 𝐹 , versus indenter dis-
placement, 𝛿). The associated material identification problem requires
solving the corresponding contact problem, whose formulation de-
pends on a number of factors, including material properties (elastic or
elastoplastic), geometry configuration (e.g., sample thickness and the
boundary conditions of sample fixation to a substrate), and interface
conditions (e.g., effects of friction and adhesion). The axisymmetric
case of frictionless contact for an isotropic elastic half-space represents
an undoubted interest as the basic case on which many other contact
problems can be based.
It is well known [4] that the indentation elastic modulus of an
isotropic elastic half-space is given by 𝐸 ∗ = 𝐸∕(1 − 𝜈 2 ), where 𝐸
and 𝜈 are Young’s modulus and Poisson’s ratio, respectively. In other
words, using the method of normal indentation without friction at
the contact interface, one can determine only the specified combi-
nation of the two elastic constants 𝐸 and 𝜈, provided the half-space
approximation applies. And this conclusion holds for any type of in-
denter, though the specific method of indentation testing does not
essentially depend on the indenter type. In particular, the method
of depth-sensing indentation by means of a spherical (paraboloidal)
or conical indenter (both of which establish a circular contact re-
gion with a variable radius of contact, 𝑎) relies on the following
incremental indentation stiffness [6]:
d𝐹
= 2𝐸 ∗ 𝑎. (1)
d𝛿
As it was shown by Pharr et al. [7], the BASh relation (1) holds for
an arbitrary axisymmetric frictionless indenter that produces a circular
contact, provided the half-space approximation holds. However, when
the latter assumption is not valid, a correction factor for the effect
of thickness (or, more generally, for the effect of substrate) should
be introduced [8]. Moreover, for pyramidal indenters, which are not
axisymmetric, another correction is needed [7] (see also [9] for details).
Yet another type of correction to the BASh relation (1) was in-
troduced by Hay et al. [10] and Hay and Wolff [11] for conical and
paraboloidal indenters, respectively, which is associated with the effect
of tangential displacements at the contact interface and aims at more
accurate satisfying the boundary conditions of contact between the
indenter surface and the surface of the deformed half-space due to
normal indentation loading. However, there are still open questions
related to this problem. In particular, in the literature [10–12], there
are developed different analytical approximations, whilst there is no
consensus on a unified method for evaluating the effect of tangential
displacements on both the force–displacement relation (𝐹 vs. 𝛿) and
the BASh relation (d𝐹 ∕d𝛿 vs. 𝑎).
It should be noted that the effect of tangential displacements in
contact problems is essential, when the effect of friction should be taken

∗ Corresponding author.
E-mail addresses: ivan.argatov@campus.tu-berlin.de (I. Argatov), jinxq@cqu.edu.cn (X. Jin).

https://doi.org/10.1016/j.mechrescom.2023.104186
Received 31 October 2022; Received in revised form 5 May 2023; Accepted 12 August 2023
Available online 16 August 2023
0093-6413/© 2023 Elsevier Ltd. All rights reserved.
I. Argatov and X. Jin Mechanics Research Communications 132 (2023) 104186

Fig. 1. Schematic of indentation of an elastic half-space: (a) Initial (unloaded) configuration; (b) Loading scheme; (c) Loaded configuration.

into account [13]. In the case of frictionless contact, the tangential
displacements were accounted in a number of publications [14,15]. In
particular, the axisymmetric frictionless contact problem was solved
in [16,17], using Galanov’s numerical method [18]. In the isotropic
case for a paraboloidal indenter, an analytical approximation was
constructed in [19].
Apparently it was Love [20] who first noticed that strictly speaking
in the Hertz-type contact (for the sake of simplicity, we assume the
axisymmetric contact geometry referred to a system of cylindrical
coordinates 𝑟, 𝜙, and 𝑧), if the points (𝑟1 , 𝑧1 ) of an elastic body (1)
and (𝑟2 , 𝑧2 ) of an elastic body (2) come into contact, we must have
(𝑗)
𝑟1 + 𝑢(1)
𝑟 = 𝑟2 + 𝑢(2)
𝑟 and 𝑧1 + 𝑢𝑧
(1)
= −(𝑧2 + 𝑢(2)
𝑧 ) + 𝛿, where 𝑢𝑧 and
𝑢(𝑗)
𝑟 are the normal and tangential elastic displacements of the 𝑗th body
(𝑗 = 1, 2), and 𝛿 is the contact approach, coinciding with the value
of 𝑢(1) (2)
𝑧 + 𝑢𝑧 at the point of initial contact. In the Hertzian contact
mechanics, we identify 𝑟1 with 𝑟2 and thereby arrive at the contact
condition 𝑢(1) (2)
𝑧 + 𝑢𝑧 = 𝛿 − (𝑧2 − 𝑧1 ) within the contact area, which after
the use of paraboloidal approximations 𝑧1 = 𝐴1 𝑟2 and 𝑧2 = 𝐴2 𝑟2 takes
the usual form 𝑢(1) (2) 2
𝑧 +𝑢𝑧 = 𝛿 −(𝐴1 +𝐴2 )𝑟 . However, without making this
identification, Love formulated the kinematic contact condition 𝑢(1) 𝑧 +
𝑢(2) 2 (1) (2)
𝑧 = 𝛿 − (𝐴1 + 𝐴2 )𝑟1 − 2𝐴2 𝑟1 (𝑢𝑟 − 𝑢𝑟 ), which in the case of indentation
problem (one of the contacting bodies (indenter) is assumed to be
absolutely rigid, i.e., 𝑢(2) (2)
𝑟 ≡ 0 and 𝑢𝑧 ≡ 0, and another one is an elastic
half-space, that is 𝐴1 = 0) reduces to 𝑢(1) 2 (1)
𝑧 = 𝛿 − 𝐴2 𝑟1 − 2𝐴2 𝑟1 𝑢𝑟 .
Thus, the refined contact condition contains terms of a higher order
of small quantities than those usually retained in the Hertzian theory
of local contact. However, it can be shown [21] that, depending on
the value of Poisson’s ratio and the relative size of the contact radius,
neglecting the effect of tangential displacements may result in a few
percent error.
In the present study, being motivated by the refined method for
solving axisymmetric unilateral contact problem [22], we construct so-
called self-consistent approximations for the solutions of the refined
contact problem for conical and paraboloidal indenters in the case of a
transversely isotropic elastic half-space.
In light of the recent studies on the AFM-based indentation tomog-
raphy [23,24] which imposes more demanding constraints on the ac-
curacy of analytical solutions to elastic contact problems, the objective
and 𝛷(𝑟) > 0 for 𝑟 ∈ (0, +∞). We note that the conditions imposed on
the indenter shape guarantee that the contact area is circular. The case
of a concave axisymmetric indenter (see, e.g., [25]), when the contact
area is annular, falls outside the scope of this study. In the loaded state
(see Fig. 1c), the indenter receives some vertical displacement, 𝛿, which
is uniquely determined for every positive value of the external load, 𝐹 ,
acting along the 𝑧-axis. Correspondingly, the indenter surface in the
loaded state will be described by the equation 𝑧 = 𝛿 − 𝛷(𝑟).
In a majority of the analytical studies on indentation problems,
the kinematic contact condition is taken in the form of the equation
𝑢𝑧 (𝑟, 𝜙, 0) = 𝛿 − 𝛷(𝑟) for 0 ≤ 𝑟 ≤ 𝑎, where 𝑢𝑧 (𝑟, 𝜙, 0) is the normal (verti-
cal) displacement of a surface point of observation (𝑟, 𝜙, 0). (Evidently,
the solution of the axisymmetric indentation problem does not depend
on the angular coordinate 𝜙.) However, besides the vertical displace-
ments, the surface points also receive some horizontal displacements,
which are called tangential displacements. In the axisymmetric setting,
the tangential displacement 𝑢𝑟 (𝑟, 𝜙, 0) of the point (𝑟, 𝜙, 0) is directed in
the radial direction being characterized by the angular coordinate 𝜙.
The refined formulation of the kinematic contact condition with
accounting for the tangential displacements was suggested by Galanov
[16] in the form of the nonlinear equation
𝑢𝑧 − 𝛿 + 𝛷(𝑟 + 𝑢𝑟 ) = 0, 0 ≤ 𝑟 ≤ 𝑎, (2)
which after linearization simplifies as follows [16,26]:
𝑢𝑧 − 𝛿 + 𝛷(𝑟) + 𝛷′ (𝑟)𝑢𝑟 = 0, 0 ≤ 𝑟 ≤ 𝑎. (3)
Here, 𝑎 denotes the contact radius as it is determined based on the
unloaded state.
Let 𝑝(𝑟), 𝑟 ∈ (0, 𝑎) denote the density of the contact pressures (see
Fig. 1b). To derive the governing integral equation, we assume that
the elastic materials is transversely isotropic with the plane of isotropy
being parallel to the half-space surface. Also, we would like to note
that the tangential stresses on the surface of the elastic half-space are
assumed to be zero as the interface friction is completely neglected.
Then, according to the solution of Boussinesq’s problem, we have
2𝜋 𝑎
1 𝑝(𝜌)𝜌 d𝜌
𝑢𝑧 (𝑟, 𝜙, 0) = d𝜓 √ , (4)
𝜋𝑀3 ∫0 ∫0 𝑟 + 𝜌2 − 2𝑟𝜌 cos 𝜓
2

of the present study is to develop a more advanced characterization of 𝛼

2𝜋 𝑎
(𝑟 − 𝜌 cos 𝜓)𝑝(𝜌)𝜌 d𝜌
the tangential-displacement correction to the incremental indentation 𝑢𝑟 (𝑟, 𝜙, 0) = − d𝜓 . (5)
𝜋𝑀3 ∫0 ∫0 𝑟2 + 𝜌2 − 2𝑟𝜌 cos 𝜓
stiffness. The novelty of our study lies in the systematic self-consistent
Here, 𝑀3 is the indentation elastic modulus, and the dimensionless
approach for deriving analytical approximations.
elastic constant 𝛼 characterizes the degree of material compressibil-
ity, which can be expressed in terms of the material stiffnesses of
2. Refined indentation problem formulation
transversely isotropic half-space as follows [27]:
√
Let us consider an axisymmetric problem of frictionless indentation 2 𝐴44 (𝐴11 𝐴33 − 𝐴213 )
of an elastic half-space (𝑧 ≥ 0) with a rigid indenter. In the unloaded 𝑀3 = √ (√ )1∕2 ( √ )1∕2 , (6)
𝐴11 𝐴11 𝐴33 − 𝐴13 𝐴13 + 2𝐴44 + 𝐴11 𝐴33
state (see Fig. 1a), the indenter touches the half-space surface at the √ √
center of cylindrical coordinates (𝑟, 𝜙, 𝑧) and is located in the region 𝐴44 (𝐴11 𝐴33 )1∕2 − 𝐴13
𝛼= √ √ . (7)
𝑧 ≤ −𝛷(𝑟), where 𝛷(𝑟) is the indenter shape function, such that 𝛷(0) = 0 𝐴11 𝐴13 + 2𝐴44 + (𝐴11 𝐴33 )1∕2

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I. Argatov and X. Jin Mechanics Research Communications 132 (2023) 104186

Here, 𝐴11 , 𝐴13 , 𝐴33 , and 𝐴44 are four of the five components of elasticity where
stiffness matrix. 𝑟
𝑣′ (𝑡) d𝑡
In the case of isotropic material, Eqs. (6) and (7) reduce to the 𝜋𝑉 (𝑟) = 𝑣(0) + 𝑟 √ (17)
∫0
𝑟2 − 𝑡 2
relations
𝐸 1 − 2𝜈 and
𝑀3 = , 𝛼= , (8)
1 − 𝜈2 2(1 − 𝜈) 𝑉 (𝑎) = 0. (18)
where 𝐸 and 𝜈 are Young’s modulus and Poisson’s ratio. It should
be noted that in Ref. [12,27,28] the same symbol 𝛼 denotes different It should be noted that formula (16) does not solve the problem,
elastic constants. since the auxiliary function 𝑉 (𝑟) depends on the sought-for solution 𝑝(𝑟)
The substitution of (4) and (5) into Eq. (3) yields the governing (see Eqs. (14) and (17)).
integral equation for determining the contact pressure density 𝑝(𝑟). This
equation takes a simpler form, if the following formulas is taken into 4.1. Equation for the contact radius
account [28]:
𝑟 By differentiating both sides of Eq. (14), we readily get
2𝛼
𝑢𝑟 (𝑟, 𝜙, 0) = − 𝑝(𝜌)𝜌 d𝜌. (9)
𝑀3 𝑟 ∫0 𝑣′ (𝑟) = −𝜋𝑀3 𝛷′ (𝑟) + 2𝜋𝛼𝛷′ (𝑟)𝑝(𝑟)
( ) 𝑟
The numerical method for solving non-linear integral boundary d 𝛷′ (𝑟)
+ 2𝜋𝛼 𝑝(𝜌)𝜌 d𝜌. (19)
equations, which correspond to problems of unilateral contact, was d𝑟 𝑟 ∫0
developed in [18].
In view of the relation 𝑣(0) = 𝜋𝑀3 𝛿, the substitution of (17) into
Eq. (18), with Eq. (19) taken into account, yields
3. True contact radius
𝑎 𝑎
𝛷′ (𝑡) d𝑡 2𝛼 𝛷′ (𝑡)𝑝(𝑡) d𝑡
𝛿 = 𝑎 √ − 𝑎 √
∫0 ∫
Observe that Eq. (2) is written for the loaded state, whereas the ra- 𝑎2 − 𝑡2 𝑀3 0 𝑎2 − 𝑡2
dial coordinate 𝑟 refers to the position of the point of observation in the 𝑎 ( ) 𝑡
2𝛼 d 𝛷′ (𝑡) d𝑡
unloaded state. Indeed, under the applied loading the observation point − 𝑎 𝑝(𝜌)𝜌 d𝜌 √ , (20)
𝑀3 ∫0 d𝑡 𝑡 ∫0
𝑎 − 𝑡2
2
has displaced from the position (𝑟, 𝜙) to the position (𝑟 + 𝑢𝑟 (𝑟, 𝜙, 0), 𝜙)
in the horizontal plane. That is why, the radius of the circular contact where 𝛷′ (𝑟) = d𝛷(𝑟)∕d𝑟 is the slope of the indenter surface.
area in the loaded state will be Eq. (20) serves for evaluating the contact radius 𝑎.

𝑎true = 𝑎 + 𝑢𝑟 (𝑟, 𝜙, 0),

4.2. Equation for the contact force
which, in view of (9) and the equilibrium equation
𝑎 In light of the Galin–Sneddon general solution (16), the equilibrium
𝐹 = 2𝜋 𝑝(𝜌)𝜌 d𝜌, (10) Eq. (10) takes the form
∫0
𝑎
can be evaluated as follows: 𝐹 =2 𝑉 (𝑠) d𝑠,
𝛼𝐹 ∫0
𝑎true = 𝑎 − . (11)
𝜋𝑀3 𝑎 which, when Eq. (17) is taken into account, can be further transformed
It is interesting to note that Eq. (11) is independent of the indenter as
𝑎 ′
shape. 2 𝑣 (𝑡)𝑡2 d𝑡
From Eq. (11), it follows that
𝐹 =− √ . (21)
∫
𝜋 0 𝑎2 − 𝑡 2
( √ )
1 4𝛼𝐹 Thus, substituting the expression on the right-hand side of Eq. (19)
𝑎= 𝑎true + 𝑎2true + . (12)
2 𝜋𝑀3 into Eq. (21), we arrive at the equation
𝑎 𝑎
The above equation can be used for evaluating the parameter 𝑎 when 𝛷′ (𝑡)𝑡2 d𝑡 𝛷′ (𝑡)𝑝(𝑡)𝑡2 d𝑡
𝐹 = 2𝑀3 √ − 4𝛼 √
the true contact radius is measured in experiment [29], provided the ∫0 ∫0
𝑎2 − 𝑡2 𝑎2 − 𝑡2
elastic material characteristics 𝛼 and 𝑀3 are known. 𝑎 ( ′ (𝑡)
) 𝑡
d 𝛷 𝑡2 d𝑡
− 4𝛼 𝑝(𝜌)𝜌 d𝜌 √ . (22)
∫0 d𝑡 𝑡 ∫0
4. Exact relations between the contact variables 𝑎2 − 𝑡 2
We note that the second and third terms on the right-hand sides of
In view of (3), (4), and (9), the governing integral equation can be Eqs. (20) and (22) reflect the effect of tangential displacements in the
represented as indentation problem.
2𝜋 𝑎
𝑝(𝜌)𝜌 d𝜌
d𝜓 √ = 𝑣(𝑟), (13) 5. Self-consistent approximations
∫0 ∫0 𝑟 + 𝜌2 − 2𝑟𝜌 cos 𝜓
2

where we have introduced the notation In this section, we construct simple analytical approximations by
𝑟
2𝜋𝛼 assuming a parametric representation for the contact pressure that is
𝑣(𝑟) = 𝜋𝑀3 (𝛿 − 𝛷(𝑟)) + 𝛷′ (𝑟) 𝑝(𝜌)𝜌 d𝜌. (14)
𝑟 ∫0 based on the solution to the basic contact problem.
Now, making use of the Galin–Sneddon general solution of ax-
isymmetric frictionless contact problem, the solution to Eq. (13) that 5.1. Paraboloidal indenter
satisfies the condition of unilateral contact
In many practical problems of local contact, a spherical indenter can
𝑝(𝑎) = 0 (15) be described by the paraboloidal shape function
can be represented in the form 𝑟2
𝑎
𝛷(𝑟) = , (23)
1 𝑉 ′ (𝑠) d𝑠 2𝑅
𝑝(𝑟) = − √ , (16)
𝜋 ∫𝑟 𝑠2 − 𝑟2 where 𝑅 is the indenter radius.

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I. Argatov and X. Jin Mechanics Research Communications 132 (2023) 104186

In this case, in view of (23), Eqs. (20) and (22), respectively, take
the following forms [28]:
𝑎
𝑎2 2𝛼 𝑎 𝑝(𝜌)𝜌 d𝜌
𝛿= − √ , (24)
𝑅 𝑀3 𝑅 ∫0 𝑎2 − 𝜌2
4𝑀3 𝑎3 4𝛼 𝑎 𝑝(𝜌)𝜌3 d𝜌
𝐹 = − √ . (25)
3 𝑅 𝑅 ∫0 𝑎2 − 𝜌2
Observe that Eqs. (24) and (25) generalize the Hertz solution, which
is represented by the first terms on their right-hand sides.
When the effect of tangential displacements is neglected, the contact
pressure follows the Hertzian law
√
3𝐹 𝑟2
𝑝(𝑟) = 1− , (26)
2𝜋𝑎 2 𝑎2
which exactly satisfies the equilibrium equation (10).
Evidently, the Hertzian solution (26) does not satisfy the governing
integral Eq. (13) in the general case (14). Thus, the substitution of (26)
into Eqs. (24) and (25) leads to the approximate relations
𝑎2 3𝛼 𝐹
𝛿= − , (27)
𝑅 2𝜋 𝑀3 𝑅
4𝑀3 𝑎3 3𝛼 𝑎𝐹
𝐹 = − . (28)
3𝑅 2𝜋 𝑅
From Eqs. (27) and (28), it follows that
( )−1
4𝑀3 𝑎3 3𝛼 𝑎
𝐹 = 1+ , (29)
3𝑅 2𝜋 𝑅
( )−1 ( )
𝑎2 3𝛼 𝑎 𝛼 𝑎
𝛿= 1+ 1− . (30)
𝑅 2𝜋 𝑅 2𝜋 𝑅
Further, Eqs. (29) and (30) yield the force–displacement relation in
the form
4 √
𝐹 = 𝛾 𝑀3 𝑅𝛿 3∕2 , (31)
3
which differs from the Hertzian one only by the correction factor
( )−3∕2 ( )1∕2
𝛼 𝑎 3𝛼 𝑎
𝛾 = 1− 1+ . (32)
2𝜋 𝑅 2𝜋 𝑅
Fig. 2 shows the variation of the correction factor (32) in the
isotropic case (when the elastic constant 𝛼 is defined by the second for-
mula (8)) along with the FEM simulations and the analytical prediction
𝛾HW = 1+[2(1−2𝜈)∕3𝜋(1−𝜈)](𝑎∕𝑅) obtained by Hay and Wolff [11]. Ob-
serve that for Poisson’s ratio 0.45 the self-consistent predictions do not
lie very close to the FEM calculations (see Fig. 2b), though they are a
little bit better than the analytical predictions by Hay and Wolff. When
the indented material becomes more incompressible (as the mate-
rial Poisson’s ratio approaches 0.5), the tangential-displacement effects
weakens, and the observed increased discrepancy between the numeri-
cal and analytical results requires a scrutiny concerning the equivalence
between the boundary conditions and underlying assumptions used in
both analytical and numerical studies.

5.2. Conical indenter

Let 𝛩 denote the half-inclined angle of the conical indenter. Then,

the indenter shape function can be written as
𝑟
𝛷(𝑟) = . (33)
tan 𝛩
In this case, in view of (33), Eqs. (20) and (22), respectively, take
the form
𝑎
𝜋 2𝛼 cot 𝛩 𝑝(𝜌)𝜌2 d𝜌
𝛿= 𝑎 cot 𝛩 − √ , (34)
2 𝑀3 𝑎 ∫ 0 𝑎2 − 𝜌2
Fig. 2. Correction factor (32) (thick solid line) for the force–displacement relation (31)
𝜋 2 in the case of a paraboloidal indenter.
𝐹 = 𝑎 𝑀3 cot 𝛩
2

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I. Argatov and X. Jin Mechanics Research Communications 132 (2023) 104186
( ( ) )
𝑎
𝜋 𝜌 𝜌
+ 4𝛼 cot 𝛩 − arcsin −√ d𝜌. (35)
∫0 2 𝑎 𝑎2 − 𝜌2
The first terms on the right-hand sides of Eqs. (34) and (35) rep-
resent the solution originally obtained by Love [30], when the contact
pressure distribution produced by a conical indenter is given by
( √ )
𝐹 𝑎 𝑎2
𝑝(𝑟) = ln + −1 . (36)
𝜋𝑎2 𝑟 𝑟2
Now, the substitution of Love’s solution (36) into Eqs. (34) and (35)
results in the approximate relations
𝜋 2𝛼𝑗0 𝐹
𝛿= 𝑎 cot 𝛩 − , (37)
2 𝜋 𝑀3 𝑎
𝜋 4𝛼𝑗1
𝐹 = 𝑎2 𝑀3 cot 𝛩 + 𝐹 cot 𝛩, (38)
2 𝜋
where we have introduced the notation
( √ )
1
1 1 𝜏 2 d𝜏
𝑗0 = ln + −1 √ , (39)
∫0 𝜏 𝜏 2
( )( 1 − 𝜏2 )
1
√
1 1 𝜋 𝜏
𝑗1 = ln + −1 − arcsin(𝜏) − √ 𝜏 d𝜏. (40)
∫0 𝜏 𝜏2 2 1 − 𝜏2
We note that 𝑗0 = 0.4159656 and 𝑗1 = 0.0774154.
From Eqs. (37) and (38), it follows that
( )−1
𝜋 4𝛼𝑗1
𝐹 = 𝑎2 𝑀3 cot 𝛩 1 − cot 𝛩 , (41)
2 𝜋
( )−1 ( )
𝜋 4𝛼𝑗1 2𝛼
𝛿 = 𝑎 cot 𝛩 1 − cot 𝛩 1− (2𝑗1 + 𝑗0 ) cot 𝛩 . (42)
2 𝜋 𝜋
Finally, Eqs. (41) and (42) imply the force–displacement relation
2
𝐹 = 𝛾 𝑀3 𝛿 2 cot 𝛩, (43)
𝜋
where we have introduced the notation
( )−2 ( )
2𝛼 4𝛼𝑗1
𝛾 = 1− (2𝑗1 + 𝑗0 ) cot 𝛩 1− cot 𝛩 (44)
𝜋 𝜋
with 𝑗0 and 𝑗1 being given by (39) and (40).
Fig. 3 shows the variation of the correction factor (44) in the
isotropic case together with the FEM simulation results obtained by Hay
(1)
et al. [10] and their analytical approximations 𝛾HBP = 1 + (1 − 2𝜈)∕[4(1 −
𝜈) tan 𝛩],
( )
(2) 𝜋∕4 + 0.15483073 cot 𝛩(1 − 2𝜈)∕[4(1 − 𝜈)]
𝛾HBP = 𝜋( )2 , (45)
𝜋∕2 − 0.83119312 cot 𝛩(1 − 2𝜈)∕[4(1 − 𝜈)]
(3)
and 𝛾HBP = 1 + (1 − 2𝜈)∕[4(1 − 𝜈) tan 𝛩](3 − 𝜋∕2). Also, Fig. 3 includes
the predictions due to the analytical approximation 𝛾LPG = [10 tan 𝛩 +
4(1 − 2𝜈)]∕[10 tan 𝛩 + (1 − 2𝜈)] developed by Lee et al. [12]. It should be
Fig. 3. Correction factor (44) (thick solid line) for the force–displacement relation (31)
noted that formulas (44) and (45) produce very close results. in the case of a conical indenter.
We note that for some range of cone half angle, the self-consistent
predictions are closer to the numerical values than the theoretical pre-
dictions presented by Lee et al. [12]. However, it should be emphasized
that as a conical indenter becomes sharper, the discrepancy between 6.1. Conical indenter
the analytical solution and the FEM calculations increases, because
of the violation of the linear elasticity assumptions (small strains and By differentiating both sides of Eq. (43) with respect to 𝛿, we obtain
angles of rotation). the indentation stiffness
d𝐹 4
6. Correction to the indentation stiffness = 𝛾 𝑀3 𝛿 cot 𝛩,
d𝛿 𝜋
which, in view of (42) and (44), can be rewritten as
We recall that the incremental indentation stiffness, 𝑆, is defined
as the derivative of the contact force 𝐹 with respect to the indenter 𝑆 = 𝛾1 2𝑀3 𝑎, (47)
displacement 𝛿, that is
where we have introduced the notation
d𝐹
𝑆= . (46) ( )−1
d𝛿 2𝛼
Based on the classical solutions obtained by Hertz and Love, Bu- 𝛾1 = 1 − (2𝑗1 + 𝑗0 ) cot 𝛩 . (48)
𝜋
lychev et al. [6] established the BASh relation (1) for paraboloidal
and conical indenters, which has been proved to be fairly general and It should be emphasized [12] that the correction factors 𝛾 and 𝛾1
applicable for arbitrary axisymmetric indenters by Pharr et al. [7]. are different (cf. [10]).

5
I. Argatov and X. Jin Mechanics Research Communications 132 (2023) 104186

( )−2 ( )
d𝛿 2𝑎 3𝛼 𝑎 3𝛼 2 𝑎2
= 1+ 1− . (53)
d𝑎 𝑅 2𝜋 𝑅 4𝜋 2 𝑅2
Therefore, the substitution of (52) and (53) into Eq. (51) leads to
Eq. (47) with the following correction factor:
( )−1 ( )
3𝛼 2 𝑎2 𝛼 𝑎
𝛾1 = 1 − 1+ . (54)
4𝜋 2 𝑅2 𝜋𝑅

It should be underlined again that the correction factors 𝛾 and 𝛾1 ,

as introduced by formulas (32) and (54), are different.
Further, in view of (29), Eq. (11) can be represented as
( )−1
4𝛼 𝑎2 3𝛼 𝑎
𝑎true = 𝑎 − 1+ ,
3𝜋 𝑅 2𝜋 𝑅
from where it follows that
√ −1
⎛ 2 ⎞
⎜ 3𝛼 𝑎true 7𝛼 𝑎true 9𝛼 2 𝑎true ⎟
𝑎 = 2𝑎true 1 − + 1− + . (55)
⎜ 2𝜋 𝑅 3𝜋 𝑅 4𝜋 2 𝑅2 ⎟
⎝ ⎠
We note that the substitution of (55) into Eq. (47) leads to the
generalized BASh relation in the form (49) with the correction factor
𝛾2 being dependent on the ratio 𝑎true ∕𝑅.
Observe that the ratio 𝑎true ∕𝑅 represents the surface slope tan 𝜑 =
𝑢′𝑧 (𝑟, 𝜙, 0) at the contact contour (we recall that the prime denotes the
derivative with respect to the radial coordinate), which is established
by a paraboloidal indenter. In the case of a conical indenter, we have
tan 𝜑 = cot 𝛩. That is why, it makes sense to compare variations of the
correction factor 𝛾2 for the two type of indenters.

7. Discussion and conclusions

Fig. 4. Correction factor (48) (thick solid line) for the generalized BASh relation (47)
in the case of a conical indenter. First of all, the developed approximate analytical method has a
strong potential of generalization. It can be straightforwardly applied
in the case of monomial indenters with the shape functions described
Fig. 4 shows the variation of the correction factor (48) in the by the power-law formula 𝛷(𝑟) = 𝛬𝑟𝜆 , where 1 ≤ 𝜆 is a dimensionless
isotropic case together with the FEM simulation results obtained by shape exponent (𝜆 = 1 and 𝜆 = 2 correspond to the conical and
Lee et al. [12] and their analytical approximation 𝛾1LPG = 1 + 2(1 − paraboloidal cases), which generalizes Eqs. (23) and (33). However,
2𝜈)∕[5 tan 𝛩]. the case of non-axisymmetric pyramidal indenters requires further
When Eq. (47) is supposed to be applied for estimating the inden- investigations.
tation modulus 𝑀3 from the depth-sensing instrumental indentation, Also, a further study is needed in the case of an elastic indenter.
formula (11) should be taken into account. By taking into account The main difficulty here arises from the fact that, while the contact
formula (41), we arrive at the relation area in the loaded state is characterized by the true contact radius 𝑎true ,
the corresponding two circular domains in the unloaded state (one for
𝑆 = 𝛾2 2𝑀3 𝑎true , (49)
an elastic sample and one for an elastic indenter), generally speaking,
where 𝑎true and 𝑆 are respectively the actual radius of the contact will be described by different radii 𝑎1 and 𝑎1 (for details, we refer to
region and the incremental indentation stiffness that correspond to the papers [16,31]). It is also pertinent to note here that the compliance
contact force 𝐹 , and we have introduced the relation models, which are used for rigid body contact simulations [32–34],
( )( ( ) )−1 usually neglect the effect of tangential elastic displacements on the
4𝛼𝑗1 1 4𝑗1
𝛾2 = 𝛾1 1 − cot 𝛩 1−𝛼 + cot 𝛩 , (50) relation between the contact reaction and the penetration. However,
𝜋 2 𝜋
the error of such simplification can reach 10%.
where 𝛾1 is given by (48). Yet, a separate study needs to be performed to clarify the com-
It is worth noting that both correction factors 𝛾 and 𝛾1 depend on bination of the correction factors to the BASh relation, which reflect
the dimensionless elastic constant 𝛼, and therefore, the application of different effects, including the effects of non-axisymmetry of the contact
formula (49) will require to estimate its value as well. area, thickness/substrate, and tangential displacements. Until now this
problem has been solved by means of multiplication of the correction
6.2. Paraboloidal indenter factors (see, e.g., [35]). Overall, the obtained analytical results can be
applied to improve the methodology for recovery of information from
Observe that Eqs. (29) and (30) represent the force–displacement re-
indentation experiments [36,37].
lation in the parametric form. That is why, the incremental indentation
One limitation of the developed self-consistent approach is that it
stiffness can be evaluated as
currently does not offer a method for iterative improving accuracy of
d𝐹 ∕d𝑎
𝑆= . (51) the approximations, e.g., by means adding some degrees of flexibility
d𝛿∕d𝑎
in the employed approximation for the contact pressure.
Eqs. (29) and (30), it follows that It should be underlined that the conceptual simplicity of self-
( )−2 ( ) consistent approximations prompts its applications to contact prob-
d𝐹 4𝑀3 𝑎2 3𝛼 𝑎 𝛼 𝑎
= 1+ 1+ , (52) lems, which involve such material effects as surface tension [38],
d𝑎 𝑅 2𝜋 𝑅 𝜋𝑅

6
I. Argatov and X. Jin
functionally-graded [36], piezoelectric [39], and magneto-electro-
elastic [40]. However, the effect of time-dependent material deforma-
tion response (e.g., viscoelastic [41] and poroelastic [42]) deserves a
special consideration and further exploration.
To conclude, based on the above self-consistent analysis, the cor-
rection factors due to the effect of tangential displacements are found
different for the force–displacement relation and the BASh relation. The
generalized BASh relation should be represented in terms of the true
contact radius.
Declaration of competing interest
The authors declare that they have no known competing finan-
cial interests or personal relationships that could have appeared to
influence the work reported in this paper.
Data availability
No data was used for the research described in the article.
Acknowledgments
This work is supported by the National Natural Science Foundation
of China (Grant Nos. 11932004 and 51875059). X.J. would like to
acknowledge the support from Chongqing City Science and Technology
Program (Grant No. cstc2020jcyj-msxmX0850). I.A. is grateful to the
financial support from the Ba-Yu Scholar program of Chongqing City
(China).
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