Classification of mesoscopic

tribological properties under dry sliding

friction for microforming operation
Tetsuhide Shimizu & Ming Yang &
Ken-Ichi Manabe
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 Wear 330-331 (2015) 49–58

Contents lists available at ScienceDirect

Wear
journal homepage: www.elsevier.com/locate/wear

Classification of mesoscopic tribological properties under dry sliding

friction for microforming operation
Tetsuhide Shimizu a,n, Ming Yang a, Ken-ichi Manabe b
a
Division of Human Mechatronics Systems, Graduate School of System Design, Tokyo Metropolitan University, Japan 6-6, Asahigaoka, Hino-shi,
191-0065 Tokyo, Japan
b
Department of Mechanical Engineering, Graduate School of Science and Engineering, Tokyo Metropolitan University, Japan 1-1 Minamiohsawa,
Hachioji-shi, 192-0397 Tokyo, Japan

art ic l e i nf o a b s t r a c t

Article history: To generally describe the size effect in microforming operation under dry friction, which strongly
Received 6 September 2014 depends on the contact state and geometrical/mechanical properties of the surface, the present study
Received in revised form proposes a classification approach based on the theoretical scale-dependent model in microtribology.
15 January 2015
The proposed approach was applied to the practical problem of a scaled foil strip drawing test involving
Accepted 24 January 2015
contact between a pair of compression tools made of WC–Co hard alloy and a phosphor bronze foil with
a thickness of 20, 50, or 100 μm. From the results, it was clarified that the decreasing tendency of the
Keywords: total friction coefficient in the scaled foil strip drawing test was mainly due to the size effect of three-
Microforming body deformation (plowing), which was promoted by the generation of wear particles. The applicability
Dry sliding friction
of the proposed method and the positioning in the transitional scale range of mesoscopic tribology in
Size effect
microforming operation were quantitatively demonstrated.
Strip drawing test
& 2015 Elsevier B.V. All rights reserved.

1. Introduction
With the trend towards higher integrated multifunctionality and
the miniaturization of devices, further improvement of the forming
accuracy in microforming, which is known as a miniaturized
process based on conventional metal stamping technology, is
strongly required by the industry [1]. In particular, since the surface
area to volume ratio greatly increases with the miniaturization of
process dimensions, the interfacial behavior between forming dies
and work materials has an increasingly strong effect on formability
and its accuracy. However, owing to the so-called size effect, the
process design in microforming faces various problems in the
further development of tool design and process control [2].
Over the last decade, basic studies on the size effect of tribology in
microforming have been performed worldwide. The general under-
standing regarding the size effect of friction is the low effect of a
lubricant in the micro-scale forming process [3,4]. Although this low
effect of a lubricant is well described by the lubricant pocket model
proposed by Engel [5], the scale dependence of microforming opera-
tion under dry friction has not been well discussed. Basic investiga-
tions of the size effect in the case of dry friction have only been carried
out for bulk metal forming [6–9]. However, the conclusions regarding
the scale dependence in the case of the dry friction are still too
n
Corresponding author. Tel.: þ 81 42 585 8650; fax: þ 81 42 585 5119.
E-mail address: simizu-tetuhide@tmu.ac.jp (T. Shimizu).
ambiguous to determine the size effect; some authors found that there
was no size effect in scaled upsetting [6] and scaled forward extrusion
[7], while others stated that the friction increased in scaled ring
compression tests [8] or decreased in scaled compression tests [9]
with decreasing process dimensions. This is clearly due to the specific
contact states in each experiment, such as the contact pressure or the
surface properties of the work materials and forming die.
Since the predominant factors in the case of the dry friction are
the adhesion and deformation resulting from the direct interaction
of surface asperity peaks in contact with each other, the mechan-
ical property and geometry of the surface asperities directly affect
the friction and wear behavior under dry friction [10]. Additionally,
as a result of the deformation of asperities, wear debris of various
sizes is generated, and the trapped particles at the interface induce
the three-body plowing behavior, which significantly increases the
friction resistance and wear rate [11]. Therefore, the existence of
the size effect under dry friction strongly depends on the contact
state and surface properties. Thus, to generally describe the size
effect under the dry friction by a coherent analytical method,
classification of the scale dependence based on the contact state,
and the geometrical and mechanical properties of the surface is
required. In particular, since microforming operation deals with
the tribological behavior at the mesoscopic scale, which can be
positioned as the transitional area from micro- to macro- tribol-
ogy, identification of whether the tribology is scale dependent or
independent is of great significance. However, only a few dry
friction models have been proposed for microforming operation

http://dx.doi.org/10.1016/j.wear.2015.01.050
0043-1648/& 2015 Elsevier B.V. All rights reserved.
50 T. Shimizu et al. / Wear 330-331 (2015) 49–58

Nomenclature Ra Arithmetic average surface roughness

Rn Composite roughness of contact pair
List of symbols
rcorner Corner radius of the compression tool in strip
drawing test
Aa, Ad, Ap Real area of contact contributed to each component of rk Autocorrelation function
friction coefficient s Spacing between individual slip steps
Arp, Arp0 Real area of contact (Plastic contact) and its macro t, t0 Sheet thickness and its initial value
scale value Wad Surface energy of adhesion between contact pair
Are, Are0 Real area of contact (Elastic contact) and its macro W Applied load
scale value xscan Scanned position in surface profile measurement
a Contact radius
b Burgers vector
Greek letters
D Thickness of the finite area of dislocation density at
interface
Dp Index of penetration depth
α Probability of leaving of wear particle from the contact
surface
Dslide Sliding distance in scaled strip drawing test
d Size of the wear particles
βn, βn0 Correlation length of surface profile and its macro
scale value
d Average size of trapped wear particle
E, E1, E2 Young's modulus, and that for strip foils and
β Curvature radius of surface asperities
compression tools
η Density of the number of wear particles
En Effective elastic modulus of contact surface
θ Average surface roughness angle of harder material of
contact pair
FN Normal compression force in strip drawing test
FT Tensile force in strip drawing test
λ Scaling factor
Fμ Friction force in strip drawing test
μ, μtotal Friction coefficient, total coefficient of friction
Fa, Fd, Fp Friction force contributed to each component of fric-
μa Adhesion component of friction coefficient
tion coefficient
μd Deformation component of friction coefficient
H Hardness of softer material of contact pair
μp Plowing component of friction coefficient
hr Roughness height
μr Ratchet component of friction coefficient
k Autocorrelation interval
μs Static friction coefficient
L Characteristic length of contact problem
μk Kinetic friction coefficient
Llc Long wavelength limit of contact surface geometry
ν1, 2 Poisson's ratio of contact pair (Strip foils and
compression tools)
Llwl Long wavelength limit of surface geometry
Ld Characteristic length parameter related to ld
ρ Mass density
ld Plastic deformation length
ρG Density of GND (Geometrically necessary dislocation)
ls Average distance dislocation length
ρS Density of SSD (Statistically dtored dislocations)
m, n Multiplier index of the empirical rule of scale depen-
σY Yield stress
dence of surface geometry
σ, σ0 Standard deviation of height of surface profile and its
macro scale value
ntr Ratio of the number for trapped wear particles to the
total number of particles
τY Yield shear strength
pa Apparent surface pressure
τa, τd, τp, Shear strength contributed to each component of
friction coefficient
p (d) Probability density function of wear particles
ptr(d) Probability density function of trapped wear particles
Ψ Plasticity index
pac Critical apparent surface pressure which generates the
scale dependency

[12], and there have been no studies to generally classify the scale
dependence for dry sliding friction by a theoretical approach. To
construct guidelines for design based on lubricant-free micro-
forming operation, which is strongly required by industry [13], the
relevant parameters and scale effects under the contact state in
microforming must be specified.
Within the above background, the aim of the present study is to
characterize the mesoscopic tribological properties in the case of
dry sliding friction by classifying the size effect based on a
theoretical approach that considers surface asperities and three-
body deformation. A classification method that is based on a scale-
dependent model of dry friction in microtribology for MEMS
(micro electro mechanical systems) application is proposed in
Section 3. In Section 4, this proposed analytical method of
classification is applied to practical experimental data obtained
in the scaled strip drawing tests reported in [14,15], which are
briefly summarized in Section 2.
2. Experimental
One of the simplest but most practical testing methods for the
identification of tribological behavior in a conventional sheet
metal forming process is the strip drawing test. In the strip
drawing process, a compressed strip clamped between two
compression tools slides between the tools, generating frictional
forces (Fμ1, Fμ2) that oppose the movement of the strip, as shown
schematically in Fig. 1. Since the contributions of the friction forces
to the drawing force (FT) are nearly equal, this testing method
enables the semi-direct measurement of the friction coefficient.
Another advantage of this method is the ease of the parameter
variation, which exist the hundreds of parameters for the tribolo-
gical behavior, such as the scale dimensions and surface properties
of the strip material and compression tools, the normal force, and
the sliding speed etc. A number of studies on the strip drawing test
have provided significant results in the field of process tribology
 T. Shimizu et al. / Wear 330-331 (2015) 49–58
for conventional sheet metal forming, e.g. tribological character-
ization against the several coatings during deep drawing [16], pit
evolution of sheet metal during rolling [17], effect of transfer layer
[18], die surface patterning [19], and hard coatings (W–Ti–N) films
[20] during sheet metal forming.
To investigate the scale dependence of the friction behavior
under dry friction, scaled strip drawing tests were carried out while
maintaining geometrically similar conditions, by using the devel-
oped foil strip drawing tester [14]. The initial thicknesses of the foil
specimens were 20, 50, and 100 μm with a fixed ratio of the foil
thickness to the corner radius of the compression tools of t0/r0. As
an index for downscaling, a scaling factor λ was defined. In the
present experiment, λ was set to 1 for the 100 μm thick foil. The
strip samples were made of phosphor bronze (JIS: C5191-H) foils.
Figs. 2 and 3 show surface images of each foil and those at the
drawing tool corner radius for each scale dimension. These differ-
ences in surface roughness for different scale factors are also
considered in the theoretical analysis in Section 4. All the compres-
sion tools were made of sintered WC–Co hard alloy (JIS: V20
tungsten–carbide–cobalt alloy). All the parameters input to describe
Tensile force
FT 2Fμ
2μ·FN Foil strip specimen
Compression Compression
force FN force FN
Compression tools
Friction force Fμ
Fig. 1. Schematic illustration of foil strip drawing test showing the relations
between the applied forces.
TD
RD 20μm
Fig. 2. Surface images of strip specimens with thicknesses of (a) 20 μm, (b) 50 μm, and (c) 100 μm obtained by laser scanning microscopy.
Drawing direction
20μm
Fig. 3. Surface images at corner of drawing tool of scaling factors of (a) λ ¼0.2, (b) λ ¼0.5, and (c) λ ¼1 obtained by laser scanning microscopy.
51
the surface properties and dimensions for each scale dimension are
summarized in Table 1. The normal force was also scaled on the
basis of the thickness ratio, so that the stress state, such as contact
pressure, remained constant for different scale dimensions. The
drawing speed was 1 mm/s and the sliding length was fixed at
40 mm. The tests were conducted for three times in each scale
dimension to confirm the reproducibility of the measured data.
Fig. 4 shows the transition of the measured friction coefficient for
each specimen thickness. The representative data were chosen from
the three tests in each scale dimension. The measured friction
coefficient exhibits a clear difference for the different scale dimen-
sions. The 100 μm-thick foil has the highest friction coefficient, while
the 20 μm-thick foil has the lowest friction coefficient, with an
intermediate value for the 50 μm-thick foil. Fig. 5 summarizes the
average value of the coefficient of friction and its standard deviation
in three tests at the different scale dimensions. It can be seen that the
coefficient of friction decreases with decreasing scale dimension
under dry sliding friction [15]. To discuss the cause of this scale-
dependent behavior, a method of classifying the size effect based on
the scale-dependent model developed by Bhushan et al. [21–23] is
proposed in the following section and its applicability to describe the
tribological size effect under dry friction is investigated.
3. Theory
3.1. Scale dependent model for dry friction
According to the surface deformation and adhesion model of
friction [24], the scale dependent model developed by Bhushan
et al. [21–23] expresses the total coefficient of friction as the sum
of the adhesion component μa, deformation component μd, plow-
ing component μp, and ratchet component μr. They implemented
the scale dependence in terms of the corresponding real areas of
contact, Aa, Ad, and Ap and the corresponding shear strengths, τa,
τd, and τp as following Eq. (1);
μ ¼ μa þ μd þ μp þ μr
F a þF d þ F p
¼ þ μr
W
TD TD
RD 20μm RD 20μm
Drawing direction
Drawing direction
20μm 20μm
52 T. Shimizu et al. / Wear 330-331 (2015) 49–58

Aa U τa þ Ad U τd þ Ap U τp statistically stored dislocations (SSDs) ρS and geometrically neces-

¼ þ μr ð1Þ
W sary dislocations (GNDs) ρG as follows [25].
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
The three main scale effects under dry friction was proposed; τY ¼ τY0 1 þ ρG =ρS ¼ τY0 1 þ ld =a ð2Þ
(1) the scale effect of yield and shear strength due to strain
gradient plasticity and dislocation-assisted sliding, (2) the scale Here, τY0 is the macroscale value of the yield strength, a is the
effect of the surface geometry and contact parameters, and (3) the contact radius, and ld is the plastic deformation length, which
scale effect of three-body deformation. In the following subsec- characterizes the depth dependence of the shear yield strength.
tion, each scale dependence is briefly explained to clarify the Secondly, regarding the dislocation-assisted sliding, Hurtado
relative parameters used to classify the scale dependence. For a [26] and Bhushan et al. proposed the existence of a microslip
detailed description of the above model, see [21–23]. effect, where the sliding is assisted by dislocations [21]. On the
basis of the geometrical relation between the dislocation length ls

Table 1
Input parameters in scaled foil strip drawing test for each scale dimension.

Scaling factor (λ) 0.2 0.5 1

Foils Initial thickness (t0) [μm] 20 50 100

Yield stress (σY) [MPa] 623 610 508
Surface hardness (H) [GPa] 3.23 3.17 2.64
Young's modulus (E1) [GPa] 110 110 110
Surface roughness (Ra1) [μm] 0.07 0.05 0.12

Tools Corner radius, (rcorner) [mm] 0.95 2.38 4.75

Surface hardness, (H) [GPa] 24 24 24
Young's modulus (E2) [GPa] 750 750 750
Surface roughness (Ra2) [μm] 0.03 0.04 0.03

Applied normal force (W) [N] 10 25 50

0.35 and contact radius a, the corresponding shear strength τa during

Scaling factor λ=1 C5191-H Phosphor bronze sliding is described as
Coefficient of friction μ

0.3 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
0.25 τa ¼ τa0 1 þ ls =a; ð3Þ

0.2 where τa0 is the shear strength during sliding in the limit of a⪢ls.
Thus, the ratio ls/a is the characteristic microslip parameter.
0.15 λ=0.5
0.1 Strip thickness: t =100 λ [μm]
λ=0.2 λ=0.2 Normal force: W=50 λ [N] 3.1.2. Scale effect of surface geometry and contact parameters
0.05 λ=0.5 Sliding speed: v =1[mm/s] The measured surface geometrical characteristics, such as
λ=1 Sliding distance: D =40[mm] the size and shape of the asperities, depend on the short- and
0 long-wavelength limits of the measurement. On the basis of
0 10 20 30 40
this concept, rough surface profiles are statistically character-
Sliding distance Dslide [mm] ized by a Gaussian height distribution with standard deviation
Fig. 4. Evolution of friction coefficient, μ, as a function of sliding distance, Dslide, in of the profile height σ and correlation length β n. σ is a measure
scaled foil strip drawing tests at scaling factors of λ ¼0.2, 0.5, and 1 for C5191-H of the height distribution and β n is a measure of the spatial
phosphor bronze foils. distribution. Both σ and β n initially increase with the scan size
of the measurement and approach a constant value at a certain
0.30 scan size [23]. Bhushan et al. defined this boundary scan size
C5191-H Phosphor bronze as the long wavelength limit Llwl. When the characteristic
0.25 length L of a certain contact problem is less than L lwl , scale
Coefficient of friction μ

dependence of the roughness profile parameter exists. The size

0.25 dependences of σ and β n are expressed as an empirical power
0.22 rule as follows;
 
0.19 L n
σ ¼ σ0 L o Llwl ð4Þ
0.20 Llwl
Strip thickness: t =100 λ [μm]
Normal force: W=50 λ [N]  m
L
Sliding speed: v =1[mm/s] βn ¼ βn0 L o Llwl ð5Þ
Sliding distance: D =40[mm] Llwl
0.15
0 0.2 0.4 0.6 0.8 1 1.2 where n and m are the indices of the corresponding compo-
nents and σ 0 and β0 are the macroscale values of σ and β n,
n
Scaling factor λ
respectively. Additionally, since the surface geometry varies
Fig. 5. Scale dependence of the friction coefficient under dry sliding friction in
with the surface pressure, the dependence of the limit scale
scaled foil strip drawing tests.
length Llc on the applied load is expressed as
3.1.1. Scale effect of yield and shear strength at interface !1=ðn  mÞ
βn0 pa
According to the theory of strain gradient plasticity, the shear Llc ¼ Llwl U U ; ð6Þ
yield strength τY can be written as a function of the densities of
σ 0 pac
 T. Shimizu et al. / Wear 330-331 (2015) 49–58 53

where pa is the apparent pressure and p ac is the critical probability of trapped wear particles. A square contact region with
apparent pressure below which the scale dependence occurs. length L and a density of η particles per unit area is modeled. The
Consequently, under the premise that L o Llc, the scale- distribution of the wear particle size d is given by the probability
dependent real area of elastic contact Are can be described as density function p(d). The main point of this concept is that the
 m  n wear particles in the border region with width d/2 are likely to
L βn leave the contact zone with a certain probability α, whereas the
Are ¼ Are0 p W L o Llc : ð7Þ
Llc σ En particles at the center of the contact region are likely to be trapped
and plow the contact surface.
The probability density of the size distribution of the trapped
3.1.3. Scale effect of three body deformation (plowing) particles ptr(d) is therefore given as
Although the scale-dependent model proposed above is based !  
2αðL  dÞd þ 2αd 2α d
on the long-wavelength limit Llwl of the rough surface profile, the 2
L
ptr ðdÞ ¼ pðdÞ 1  ¼ pðdÞ 1  ; do ð8Þ
concept of this scale dependence of three-body deformation, L2 L 2α
which is contributed to by wear debris and hard asperities, is
explained by the size dependence of the probability that a wear
Then the ratio of the number of trapped particles to the total
particle of a given size is trapped at the contact interface. Fig. 6
number of particles, ntr, and the average diameter of the trapped
illustrates the main concept of this size dependence of the
particles d can be calculated as

Region particles release R L=2 R L=2  

d/2 p ðdÞdd pðdÞ 1  ð2αd=LÞ dd
L ntr ¼ 0R 1 tr ¼ 0 R1 ; ð9Þ
Wear particle 0 pðdÞdd 0 ptr ðdÞdd

d Leave with a R L=2

probability α d U ptr ðdÞdd
d¼ 0
R L=2 : ð10Þ
0.5L 0 pðdÞdd

By using these parameters, the contact area of wear particles

0.2L during plowing Ap can be calculated as

2 2
d d
Ap ¼ N tr π ¼ ηL2 ntr π : ð11Þ
4 4
Region particles are trapped
Less trapped particles Less μp Thus, with decreasing scale dimension, the contact area of wear
particles decreases; thus, the friction resistance due to the plowing
Fig. 6. Schematic illustration of wear debris in the contact zone and at its border by the three-body deformation of wear particles is expected to
region [21]. decrease.

Fig. 7. Flow chart of classification of size effect of dry friction.

54 T. Shimizu et al. / Wear 330-331 (2015) 49–58
Foil strip
Compression tools
Compression tools
λ=0.2 λ=0.5 λ=1
(t0=20μm) (t0=50μm) (t0=100μm)
Fig. 8. Schematic illustrations of FE model for scaled strip drawing test at different
scale dimensions; (a) λ ¼0.2, (b) λ ¼0.5, and (c) λ ¼1.
3.2. Flow of the classification of size effect
According to the expressions for the contact parameters in the
above scale-dependent model, relevant parameters that determine
the existence of the size effect of the friction can be listed as
follows; (a) the characteristic length in the problem, which we here
define as the apparent contact length L (b) the long-wavelength
limit Llc which can be determined from the surface geometrical
factor and the surface pressure state, (c) the size of the wear
particles d and (d) the plastic deformation length, ls or ld, which is
physically related to the average distance a dislocation travels. The
geometrical scale factors for μa, μd, and μr are based on the long-
wavelength limit Llc, and for μp, the scale factors are the relative
number of trapped wear particles ntr and their mean diameter d.
Thus, the relation between L and the other scaling parameters is of
great importance in determining the existence of a size effect.
If L 4Llc and L⪢d, there is no size effect, meaning that classic
macroscopic tribology can be applied. If L oLlc and d is relatively
large compared with L, the scale-dependent model can be applied.
In addition, if L is relatively small compared with the dislocation-
related length parameter, ls or ld, the scale effects of the shear
strength and yield strength should also be considered.
On the basis of this statement, a flow chart for the classification
of the size effect under dry friction is proposed to identify the
existence of the size effect, as shown in Fig. 7. The first important
classification is to identify the long-wavelength limit for the
contact parameter Llc given by Eq. (6). The relative parameters
for this operation are the surface roughness parameters σ and βn
and the normalized apparent surface pressure pa/pac. The next step
is to determine the elastic or plastic contact regime from the
plasticity index ψ [27]. Ψ is given by the following equation,
assuming that the surface roughness have a curvature radius β.
sffiffiffiffiffi
En β assumed to be an isotropic elastoplastic body and the material
ψ¼ U ð12Þ
2H Rn
Here, En is the effective plastic modulus of the two contact
surfaces, H is the hardness of the softer material, and Rn is the
composite roughness of the two contact surfaces. In the case of
Lo Llc, the flow for the scale-dependent contribution will follow
Bhushan's scale-dependent model. The scale dependence is
divided into two cases of an increasing or decreasing adhesion
component μa. This classification depends on the plastic/elastic
contact state and ls/a, which can be described as Ls in a multiple-
asperity contact problem [22].
On the other hand, in the case of L 4Llc with plastic contact, the
next important classification is the extent of the wear behavior
and the generation of wear particles, since the plowing by wear
particles is a dominant component in this contact state. In this
classification, we adopted the following estimate for the size of the
adhesive wear particles [10];
6EW ad
dZ ð13Þ
ν2 σ y 2
where Wad is the surface energy of adhesion, ν is Poisson's ratio, E
is Young's modulus, and σY is the yield stress of the work material.
If the generated adhesive wear particles are sufficiently smaller
than the characteristic length L, the plowing size effect might be
low. Then, the final classification in this contact state is to
determine the occurrence of abrasive wear. Kayaba et al. proposed
the following formula for the penetration depth, Dp [28];
  !1=2
π H 1=2 β2 π H
Dp ¼ β  1 : ð14Þ
2W 2W
When Dp 40.2, the abrasive wear regime becomes cutting-type
wear and abrasive wear particles are generated.
In the case of elastic contact or no effect of plowing by the wear
particles, this contact state might be classified as having no size
effect as shown in Fig. 7. By using this flow chart, the occurrence of
the size effect under dry friction can be classified. In the following
section, the practical problem of the scaled strip drawing test
discussed in Section 2 is analyzed by this classification method.
4. Theoretical analysis
4.1. Characteristic length
Coming back to the experimental observation discussed in
Section 2, the cause of the tendency of the coefficient of friction
to decrease under dry sliding contact in the scaled foil strip
drawing test is analyzed using the flow chart shown in Fig. 7.
As mentioned in the previous section, the identification of the
characteristic length L is of great importance in discussing the
scale dependence of dry friction. In the strip drawing experiment,
the contact length in the drawing direction was defined as the
characteristic length. Since the drawing tool geometry includes
circular arcs, it is difficult to measure the actual contact length
during the strip drawing test. To identify the contact length of each
scaled dimension in the strip drawing test, a finite element (FE)
analysis was carried out. A simulation was performed using an
explicit dynamic FE code (LS-DYNA ver.971). Schematic illustra-
tions of the model at each scale dimension are shown in Fig. 8.
For each thickness, a sliding length of 2 mm was chosen as the
modeling region. A hexahedral 8-node mesh was used, and only
1 element was meshed to the width direction, assuming a plane
strain state for the friction test. Mesh size of 2 μm  2 μm  2 μm
was used for each foil thickness. Numbers of elements were 7500
for λ ¼0.2, 19500 for λ ¼0.5 and 31,500 for λ ¼1.0. The foil was
properties were modeled using the flow curves obtained by tensile
tests of the phosphor bronze foils [29]. The compression tools
were assumed to be rigid bodies. As a contact condition, the
friction force was calculated by using a node constraint method
with Coulomb's law. The friction coefficients between the blank
and the tools were adjusted by comparing the output analytical
data of tensile force with the obtained experimental data. The
conditions of the FE analysis are summarized in Table 2.
Fig. 9 shows example data of the variation of the contact length
during the sliding of the tools for the 20 μm-thick foil. The contact
length first increases at the compression stage, and then after the
drawing has started, the contact length approaches a constant
value during the sliding. This constant contact length was defined
as the characteristic length for this contact problem. Similarly, the
 T. Shimizu et al. / Wear 330-331 (2015) 49–58 55

contact lengths for the 50- and 100 μm-thick foils were calculated, 40
as summarized in Fig. 10. A linear relation between the scaling Compression Scaling factor λ=0.2
35
factor λ and contact length L was successfully obtained as required stage
for experiments to investigate the size effect. On the basis of these 30

Contact length L [μm]

obtained contact lengths, the applied apparent pressure in the Drawing stage
25
entire range of scale dimension was found to be approximately
420 MPa. 20 Constant contact length L:12μm
15
4.2. Long-wavelength limit
10
According to the proposed flow chart, the first classification is 5
the identification of the long-wavelength limit Llwl. To identify Llwl,
0
the scan size dependences of σ and βn were analyzed from the 0.0 0.2 0.4 0.6 0.8 1.0
actual surface data of a foil strip and tool surface. Assuming that Time step [ms]
the statistical characteristic of each scale dimension has a similar
tendency, the surface profiles of the foil strip and the tool at the Fig. 9. Example of FE analytical results of variation of contact length L during strip
drawing test at scale dimension of λ¼ 0.2.
scaling factor of λ ¼0.2, as shown in Fig. 11, were analyzed to
obtain a representative value. To characterize the profiles of the
surface in contact, composite roughness parameters, given by the
following equations, are calculated.
60 FEM results of 54
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
contact length L
σ ¼ σ 1 2 þ σ 22 ð15Þ

Contact length L /μm

50
R² = 0.99
1 1 1
n ¼ nþ ð16Þ 40
β β1 βn2 31
30
σ and βn for each strip and tool surface were calculated with
the scan size ranging from 1 to 70 μm. For the calculations of βn,
20
autocorrelation functions were introduced. Fig. 12 shows example 12
data of the autocorrelation function for the surface profile of the 10 Strip thickness: t0=100㽢λ [μm]
20 μm-thick strip specimen as a function of the autocorrelation Normal force: W=50㽢λ [N]
interval k, expressed as the distance between two analyzed points. 0
0 0.2 0.4 0.6 0.8 1 1.2
Here, βn is defined as the distance k at which the autocorrelation
function first drops to the small fraction near to zero. This suggests Scaling factor λ
that the distance between the two analyzed points, which exceeds Fig. 10. FE analytical data of the variation of contact length L as a function of scaling
the βn value, is statistically independent. By performing the factor λ.
analysis at different scan sizes, the scale dependence of βn was
plotted.
Fig. 13 shows the calculation results of σ and βn at the scaling 0.15
factor of λ ¼0.2. Both σ and βn tend to decrease with decreasing Phosphor Scaling factor λ=0.2
Roughness height hr /μm

bronze foil
scan size. Note that the long-wavelength limit Llwl for σ and βn is 0.1
between approximately 40 and 45 μm. In this calculation, the
average value of 42 μm is used for Llwl. The values of the indices of 0.05
m and n for Eqs. (4) and (5) were found to be m ¼0.5 and n ¼ 0.2 by
0
curve fitting. Additionally, the macroscale values of σ0 and β0 were
n

defined as σ0 ¼ 46 nm and β 0 ¼ 1:26 μm.

n
-0.05
Furthermore, to define Llc for this contact pair, the dependence
of the critical apparent pressure pac on Llc was evaluated. Fig. 14 -0.1 Foils
shows the relation between pac and the normalized long- Tools Compression tool
wavelength limit Llc/Llwl under several apparent pressures. It is -0.15
0 20 40 60
clearly demonstrated that Llc/Llwl increases with increasing pac.
However, Llc/Llwl decreases with increasing applied apparent pres- Scanned position xscan /μm
sure. For the applied apparent pressure of 420 MPa in the scaled Fig. 11. Surface roughness profiles of drawing strip specimen and compression tool
strip drawing experiment, which was obtained by FEM analysis, for scaling factor of λ¼ 0.2 obtained by confocal laser scanning microscopy.

Table 2
Input mechanical properties of phosphor bronze foils and conditions of FE analysis.

Scaling factor, (λ) 0.2 0.5 1 Drawing tool

Strip thickness (t0) [μm] 20 50 100

Material model Elastic–plastic body Rigid body

Mass density (ρ) [mg/μm  3] 8.83  10  7 1.42  10  6
Young’s modulus (E) [GPa] 110 630
Yield stress (σY) [MPa] 622 610 508 –
Poisson's ratio (ν) 0.3 –
Static/kinetic friction coefficient (μs, μk) μs ¼ 0.16, μk ¼0.14 –
56 T. Shimizu et al. / Wear 330-331 (2015) 49–58

phosphor bronze : 3.6GPa

Hardness of
Normalized long wavelength limit
1.4
Phosphor bronze t0=20μm
Autocorrelation funcrtion rk
0.8 1.2
Llwl
0.6 1
Correlation length β*
0.8

Llc/Llwl
0.4
0.6
0.2
0.4
0
0.2
-0.2
0
Scan size: 40μm 0 2 4 6 8 10
-0.4
k=1.25 Critical apparent pressure pac /GPa
0 2.25 4.5 6.75 9 11.25
Autocorrelation interval k Fig. 14. Variations of normalized long-wavelength limit Llc/Llwl as a function of
critical apparent pressure pac, under several apparent pressure conditions.
expressed as a distance [μm]
Fig. 12. Example data of autocorrelation analysis for surface profile of 20 μm-thick
phosphor bronze foil specimen (scan size: 20 μm).
2
Phosphor bronze foil vs. WC-Co tool 1.77
1.8
160 Phosphor bronze foil vs. WC-Co tool
1.6
1.38

Plasticity index ψ
140
σ /nm and β* / 10-2μm

1.4

contact
Plastic
120 1.2

Transition
100 β*0 1

regime
80 β* 0.8 0.67
σ0 σ
0.6

Elastic
contact
60
0.4
40 0.2
20 L lwl 0
0.2 0.5 1
0
0 10 20 30 40 50 60 70 Scaling factor λ
Scan size Lscan /μm Fig. 15. Comparison of plasticity index between the contact pair at different scale
dimensions in the foil strip drawing test.
Fig. 13. Variations of statistical surface roughness parameters σ and β* as a function
of scan size for a phosphor bronze rolled foil in contact with a WC–Co
compression tool. 4.4. Three-body plowing

Llc/Llwl is less than 0.6, even for the impractical pac value of 10 GPa. To determine the probability of the occurrence of the size effect
Since pac is relevant to the ratio of real contact area to apparent due to three-body deformation, the wear particle size was first
contact area, it is strongly related to the softer material property of estimated for each scale dimension. Table 3 summarizes the input
the contact pair. If we assume pac to be the hardness of the parameters and calculated wear particle sizes. Although the
phosphor bronze foil, H¼3.6 GPa, then Llc/Llwl is close to zero under calculated values are slightly different for each scale due to the
an apparent pressure of 420 MPa. This suggests that Llc is consider- difference in the yield stress for each thickness, the particle size
ably low, meaning that it might not be in the range of the scale appears to be comparable to the calculated contact length as
dependence due to the long-wavelength limit under this contact shown in Fig. 9. Thus, the scale-dependent model of three-body
state. In contrast, at the lower apparent pressure of 100 MPa, Llc/Llwl deformation appears to be applicable to the contact state in foil
becomes more than 1, under the assumption of pac ¼H. Since the strip drawing tests.
contact length L appears to decrease at a lower applied pressure, the
probability that the scale effect exists owing to the long-wavelength 4.5. Total friction coefficient
limit might increase.
Using the classification process in the previous section, it was
found that the scale effect of friction due to the long-wavelength
limit appears to be relatively low and that the cause of the
4.3. Plasticity index decreasing tendency of the coefficient of friction might be the
scale effect of three-body deformation induced in the contact state
To evaluate of the plastic/elastic contact state at each scale in the foil strip drawing tests. Thus, the components of the
dimension, the plasticity index ψ as given by Eq. (12) was coefficient of friction for μa, μd, and μr can be calculated assuming
calculated. The input variance for each scale dimension was a macroscale tribology. Using the results of classical tribology,
determined from the practical surface properties given in these three components were calculated using following Eqs. (
Table 1. Fig. 15 shows the results of the calculation. For the scale 17)–(19) [10,24]. The input parameters are summarized in Table 4.
dimension of λ ¼0.2, ψ is higher than 0.6, but less than 1, which !
can be identified as the transition from the elastic to plastic τ 1
μa ¼ a   ð17Þ
contact regime. In contrast, for λ ¼ 0.5 and 1, ψ exceeds 1, which H 1 2W ad = rH sin θ
suggests that the contact state is plastic contact. Thus, since
ψ 40.6 was obtained in the entire range of scale dimension, scale 2 tan θ
μd ¼ ð18Þ
effect of three-body plowing should be take into consideration. π
 T. Shimizu et al. / Wear 330-331 (2015) 49–58 57

Table 3 Table 5
Input parameters and calculated results of adhesive wear particle size for each Parameters used in the calculations of μp components of the coefficients of friction
scaling factor. in scaled strip drawing test.

Scaling factor (λ) 0.2 0.5 1 Scaling factor (λ) 0.2 0.5 1

Young's modulus (E) [GPa] 110 110 110 Contact length (L) [μm] 12 31 54
Yield stress (σY) [MPa] 622 610 508 Applied load (W) [N] 10 25 50
Poisson's ratio (ν) 0.38 0.38 0.38 Strip yield shear strength (τY) [MPa] 435 427 356
Energy of adhesion (Wad) [J/mm2] 2.7  10  5 2.7  10  5 2.7  10  5 Standard deviation of wear particle size (σ) [μm] 0.16 0.17 0.24
Adhesive wear particle size [μm] 0.32 0.34 0.48 Probability of leaving particle (α) 0.9 0.9 0.9
Particle density (η) [particles/mm2] 100 100 100

100
Table 4 99.5 99.6
ntr

Real area of contact Ap [μm2]

Parameters used in the calculations of the μa, μd, and μr components of coefficient of 99.5
10000
friction in the scaled strip drawing test. 98.8 13220
99

Scaling factor (λ) 0.2 0.5 1 98.5

98
Applied load (W) [N] 10 25 50 2090
1000
Strip yield shear strength (τY) [MPa] 435 427 356 97.5 Ap
Strip hardness (H) [GPa] 3.23 3.17 2.64 97
Energy of adhesion (Wad) [J/mm2] 2.7  10  5 2.7  10  5 2.7  10  5 Ap
96.5 283 ntr
Mean junction radius (rmean) [μm] 7.16 2.78 3.80
Tool roughness angle (θ) [deg] 0.41 2.03 1.46 96 100
0 0.2 0.4 0.6 0.8 1 1.2
Scaling factor λ

μr ¼ μa tan θ 2
ð19Þ Fig. 16. Variations of the ratio of trapped particles ntr and real area of contact Ap as
a function of scaling factor λ.
For the calculation of μp, the scale-dep.endent model described
by Eq. (11) was applied. In the calculation of the probability
0.3
density function of the particle size given by Eq. (8), an exponen- Adhesion comp. μa Phosphor bronze C5191-H
tial distribution was assumed. By substituting the exponential Deformation comp. μd
Total friction coefficient μtotal

0.25 Plowing comp. μp

probability density function into Eqs. (9) and (10), the following Ratchet comp. μr
equations can be derived [22]. Experimental result μr
   
2ασ L 0.2
ntr ¼ exp  1 þ1 ð20Þ
L 2ασ μd μ p

    0.15
exp  ðL=2ασ Þ U 1 þ ð4ασ =LÞ þð1 ð4ασ =LÞÞ
d ¼σU    
ðð2ασ =LÞ exp  ðL=2ασ Þ  1 þ1Þ
Here, we assume the probability to be α ¼0.9, which means that
90% of the particles at the border region will leave the contact
surface. In addition, the standard deviation of the particle size was
defined as 50% of the wear particle size given in Table 3. Moreover,
we assumed that 100 particles exist per 1 mm2 for each scale
dimension to define the density of the particles η. This value was
roughly estimated from the number of plowing scratches observed
on the drawn strip samples after the strip drawing tests [15]. By
substituting the relevant value into following Eq. (22), the coeffi-
cient of friction for the plowing component was calculated for
each scale dimension.
2 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Ap τ p L2 d
μp ¼ ¼ ¼ η U π U ntr U τY0 1 þ 2ld =d
W W 4 geometrical/mechanical properties, the scale effect of dry friction
The input variances used in this calculation are summarized in
Table 5. Fig. 16 shows the calculation results of the ratio of trapped
particles ntr and the real area of contact Ap, for each scale dimension.
The decreasing tendency of the ratio of trapped particles strongly
affects the decrease in real area of contact, which might affect the
decreasing tendency of the plowing components with decreasing λ.
Fig. 17 summarizes the analyzed total friction coefficient com-
pared with the experimental data obtained in Section 2. Although
the analytical results slightly underestimate the experimental results,
it is clearly demonstrated that the difference in the friction coefficient
between different scale dimensions is mainly due to the plowing
component. Since the relative ratio of the number of loosened wear
particles should increase with decreasing scale dimension, the
friction coefficient appears to decrease with downscaling.
Experimental result
ð21Þ
0.1 μa
0.05
0
λ=0.2 λ=0.5 λ=1
Scaling factor λ
Fig. 17. Analyzed total friction coefficient along with its contributions of the four
components at different scaling factors, compared with experimental data.
Consequently, by following the proposed classification app
ð22Þ roach based on the analysis of the contact state and surface
observed in the foil strip drawing test was found to be classified as
the size effect of the plowing components. Thus, in the contact
state of dry sliding in microforming operation, the dominant
tirbological factor appears to be the contribution of the plowing
resistance by the generated wear particles. In fact, in a scaled
progressive dry micro-deep drawing test of stainless steel, it was
demonstrated that the process with a larger scale in the mm range
resulted in strong adhesion of the work materials on the forming
tool surface after 300 drawing tests, while the variation of the tool
surface was relatively low for the μm-scale process [30]. This
suggests that the accumulation of wear particles is much lower at
micro-scale dimensions, since the probability of the ejection of
wear particles from the contact surface is higher. Therefore,
surface design to reduce the generation of wear particles might
58 T. Shimizu et al. / Wear 330-331 (2015) 49–58
be effective for improving of the mesoscopic tribological proper-
ties and their stability in lubricant-free microforming operation.
5. Summary and conclusions
The existence of the size effect under dry sliding friction strongly
depends on the contact state and the geometrical and mechanical
properties of the surface. To generally describe the size effect under
dry friction by a coherent analytical method, we proposed a
classification approach in which the relations between character-
istic length L in the contact problem and three significant criteria;
(1) the long wavelength limit Llc (2) the size of the wear particles d,
and (3) the plastic deformation length ls or ld, were compared. By
applying this approach to analyze the decreasing tendency of the
friction coefficient in dry sliding friction in the foil strip drawing
test, its applicability and the positioning in the transitional scale
range of mesoscopic tribology in microforming operation were
quantitatively analyzed. The following conclusions were drawn.
 It was found that the size effect due to the geometrical para-
meters of the surface and the yield and shear strength is small
owing to the relatively large contact length L compared with the
calculated Llc. However, the calculation results for adhesive wear
particles suggested that the contact state in foil strip drawing
might be in the range of the size effect of the plowing component.
 By estimating the four components of the friction coefficient, it was
demonstrated that the decreasing tendency of the total friction
coefficient in the foil strip drawing test was mainly due to the size
effect of the plowing component. This, in turn, suggests that the
control of wear particle generation plays an important role in
improving the mesoscopic tribology under dry sliding friction.
Consequently, the applicability of the proposed classification
approach was successfully demonstrated and the positioning of the
contact state in the micro-sheet-metal forming was clarified. The
characterization presented in this study is only an example and does
not cover all contact states in microforming. Under a relatively low
contact pressure of less than 100 MPa with a shorter contact length
than that for the contact state demonstrated in the present study,
another type of size effect due to the long-wavelength limit and the
yield and shear strengths might become effective. In contrast, under
a higher contact state of more than 1 GPa, such as the typical contact
state in micro-bulk forming, the size effects stated in the proposed
model might completely disappear owing to the large characteristic
length for a plastic contact state, as demonstrated in previous reports
[6,7]. Thus, conventional macroscopic tribology can be applied to the
surface design of tools and work materials in such a contact state.
To investigate the applicability of the proposed method in a
more practical contact state such as that in micro-sheet-metal
forming, we will carry out quantitative analysis of the contact state
in the micro-deep drawing process as a future task.
Acknowledgments
The authors gratefully acknowledge funding from Japan Society for
the Promotion of Science (JSPS), in the form of a Grant-in-Aid for Young
Scientists B (No. 26820327), and from the AMADA foundation for a
Grant-in Aid for general research and development (AF-2013028).
Furthermore, the authors would like to express their gratitude to Mr.
Kuniyoshi Ito of Micro Fabrication Laboratory LLC. for supporting the
design and preparation of the foil strip drawing equipment.
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SWORD ORNAMENTS.
 CHAPTER III.
In this place for some years to come the three strangers continued
to live a quiet, uneventful life. Mutto scrupulously attended to his
court duties as one of the chamberlains at the palace; but every
moment of the time which he could call his own was devoted to the
education of his son. Sennoske, as the boy was called, was already
at the age of fifteen a man inferior to none, and almost the equal of
his father in all manly accomplishments. Nor had his mind been
forgotten. Mutto himself was a fair scholar, and where he thought
himself deficient, or was unable through lack of time to devote the
necessary attention, he had taken care to secure the best teachers.
The latter gladly undertook the charge of instructing the boy, whose
aptitude for acquiring knowledge was as marked as his ways and
manners were winning. His father strictly supervised and regulated
his studies, and showed himself somewhat a hard taskmaster, who
never allowed Sennoske leisure for any amusements except such as
would either strengthen his body or improve his mind, and the boy
grew up having no desire for other recreation. Although passionately
fond of books and of indoor studies, the tendency of the times and
the examples set before him by his father, as well as by others,
roused his ambition and prevented anything like neglect of physical
training. This severe bodily and mental work had become easy to
him, and to pass from one to the other was all that his system
needed, and all the enjoyment he cared for. His intense love and
admiration for his father, and the pleasure which he derived from the
gratification the latter showed at his quick and steady progress, was
another reason, if one had been needed, to impel him to diligence.
To Sennoske his father was everything that was good and great and
noble. He knew and felt how much kindness and sympathy were
hidden under that austere taciturnity which in all these years had
never relaxed into the faintest semblance of a smile. He
remembered a sunny childhood in a beautiful home, where his father
had laughed and played with him, always showing a gay, cheerful
face; and he felt what a terrible shock must have been given to that
nature by some fearful calamity, thus to freeze up all apparent
sympathy and feeling for the outside world. He had no knowledge of
what could have been the catastrophe that wrought this change; and
any allusion to their former life, although not forbidden in so many
words, was yet discouraged by his father in a way that prevented his
ever referring to it.
Among
those
who
contribute
d to
Sennoske
’s training
was one
whose
name
was then WRITING TABLE.
already
famous in
Japan,—Muramasa, the sword-smith. An immense gulf divided, at
that time, the samurai from the merchant, the farmer, the artisan,
and, in fact, from all other classes. To this rule the sword-smith
formed the only exception. He Who could forge a sword fairly well
stood far higher in social rank than the artisan of equal skill in any
other profession; and a master of the art, however low his extraction,
was considered and treated as an equal by the two-sworded gentry.
Muramasa then stood at the head of his profession, without a rival in
the country. His superiority was acknowledged by his brother
artisans as well as by the nobility; and many of the latter—men of
great means too—would willingly have beggared themselves to
obtain a sword of his making. To have a man like this living in his
dominions was considered a great honor, and was, moreover, a
source of real power and influence, of which the Duke was fully
aware; and he had made to the smith the most extravagant offers of
money, titles, and other honorary considerations to induce him duly
to inscribe himself on the roll of his feudal retainers, but without
success. Threats or coercion would have been worse than useless
with a man whom the Shôgun himself would only too gladly have
welcomed to his capital (Kamakura), and would have honored there
as highly as the Duke did in his province. Any wilful injury done him
would have been resented as a national loss by every samurai in the
country; so Ono ga Sawa had fain to be satisfied with the sword-
smith’s independent way of living, taking care, however, to use every
opportunity to prove to him, by valuable gifts and otherwise, the
honor and esteem in which he was held.
And there was good reason for all this regard and high
consideration; for those famous “Muramasas,” as the blades were
called after their maker, were things of beauty, of joy, of pride, and of
power to their lucky possessors. The smith himself was an expert at
using as well as making his weapon, and the proofs he had
sometimes semi-publicly given of its excellence were marvellous,
and wellnigh bordered on the incredible. He would cut a hair let fall in
the air; he would hold his sword still in the water, with its sharp edge
facing the current, and there it would of itself out a piece of paper
floating toward it; then again, to show its strength, he would cut
through a copper bar an inch in thickness without producing the
slightest mark or indentation on the blade. Once, on a memorable
occasion when discussion as to the relative merits of rival sword-
smiths ran high, he asked that any three swords of the best makers
be selected. This was done; and placing them side by side, he dealt
with his own blade terrific blow square upon their upturned edges. It
went entirely through one sword, which was the most strongly
curved, passed through the steel edges of the others, and remained
imbedded in the softer part which forms the back. Being with
difficulty extracted, it was found that its own sharp edge had
remained intact; and there was nothing but a slightly increased
brightness in three different spots to show where it had been in
contact.
Small wonder, then, that a true samurai should value such a
weapon above every other earthly possession. Money alone could
not buy one. It began to be known that only warriors of high
standing, whose reputation for valor and fighting qualities was
established, could succeed in having an order for a sword executed.
If the applicant had a name for loving fighting for its own sake,—one
who, when no opportunities for legitimate warfare presented
themselves, would hunt up broils, quarrels, and duels,—it greatly
enhanced his chances of a favorable reception from the sword-
smith. The prices paid were always high enough; but far more liberal
offers had often been refused because made by men—as the report
went—whose reputation credited them with inclinations, if not of a
pacific, yet of a less decidedly bellicose nature. One of Muramasa’s
stipulations in former years had been that no sword bought of him
should be sold during the lifetime of the purchaser. He dispensed
with this condition now, because there was no further need for it; the
lucky possessor of such a treasure would have sacrificed his last
hakama, his mistress, his wife and child probably, sooner than part
with it.
 STREET SCENE IN KUWANA.

The smith’s residence was in the outskirts of the city, in what had
formerly been called the village of Senjuin. It was a smoke-
blackened, gloomy looking building of two stories close to the street,
the lower part—the doors of which were constantly closed—being
the forge. On both sides of the house and in the rear was a yard
which was enclosed with a bamboo fence, the stakes being placed
side by side and three deep,—thus effectually preventing any
possibility of getting even a glimpse through them; while their ends
were sharply pointed, threatening certain impalement to any who
should attempt to scale them. Here Muramasa lived with his son,—
who assisted him at his craft and was initiated into its secrets,—his
daughter, and only one old woman-servant.
He was not a pleasant man to look at, this cunning forger, whose
handiwork caused the great and the mighty to do him honor. His
eyes—very large and very prominent, ready, it seemed, to start from
their sockets—had a sinister look; to which the heavy, bushy
eyebrows, heaviest and bushiest in the space between the eyes,
where they met, doubtless contributed. A massive chin, under a
small, rather thin-lipped mouth, showed great energy and
determination, while the short stout neck, with veins like cords, the
broad shoulders, and the brawny, sinewy arms, gave evidence of
great physical strength. When speaking, two rows of large, regular,
and beautifully white teeth partly redeemed the unattractiveness of
the other features; but when angered or excited, the whole face
presented an aspect of extreme hideousness and repulsiveness. At
such times the mouth was firmly closed; the eyebrows moved and
contracted until each individual hair seemed to stand on end; the
eyes, already unnaturally large and protruding, dilated and rolled
around in their sockets with a glitter like that of a snake; and a deep
red, furrowed line showed itself on his forehead from the crown down
to the eyebrows, making his head look as if it consisted of two halves
badly pasted together.
A parallel had often been drawn between the smith and Mutto.
Both these men, renowned for strength and skill, living for
themselves and seemingly desirous of avoiding company, always
reserved and even gloomy, and never sharing in wine-parties or
other festivities, offered a great contrast to the usual style of conduct
of the cavaliers at the court; for the latter, acting with the spirit of the
age, although ready at any time for hard work and harder blows,
believed in taking pleasure and amusement whenever and wherever
it could be found. But when the two men once stood side by side in
the court, it was easy to perceive that however much unlike to
others, there was very little real resemblance between them.
Mutto’s athletic but slight and supple figure was cast in quite a
different mould from the smith’s heavy, awkward-looking frame; and
in so far as other than physical attributes could be discerned, the
difference became even more marked. The look of gloom on the
face of the former seemed like a dark veil, obscuring its naturally
pleasant and cheerful expression. The regular features could never
have settled into such clearly-cut, bold, determined lines if their
possessor had always been given to inactive brooding and
sorrowing. They now spoke unmistakably of weary resignation; but it
was a new-born resignation foreign to the man’s real nature, and
implanted there by some unaccountable calamity. In demeanor he
was quiet and dignified, and in the performance of his often
monotonous duties as chamberlain he had been known to stand
sometimes for hours like a statue, scarcely moving either limbs or
features.
With the smith, body and face were cast in a heavy, coarse mould,
and both gave evidence of the savage restlessness and discontent
of the mind within. Very seldom were they characterized by anything
like repose. In general the eyes rolled about in their sockets,
glancing here and there with a preoccupied air, while the whole lower
part of the face twitched convulsively; and this movement often
extended even to the limbs and body. It was evident that no other
influence but the thoughts within him induced this unquiet. When he
found himself observed, he could by a strong effort resume outward
composure; but he would at such times hurl back a look so vicious
that few cared to encounter it twice.
The neighborhood where the smith’s house stood was very lonely.
In former years it had been a small fishing-village called Senjuin,
which in time, as the castle-town of Kuwana gradually extended,
became one of the outskirts of the latter. This was many hundred
years ago. With its loss of independence, in spite of the proximity of
the great town, it lost also its well-to-do look, and became the resort
of the very worst and the very poorest elements of the population.
During the great Minamoto wars, in the twelfth and thirteenth
centuries, it suddenly developed into prosperity. The streets became
lined with stores, mechanics’ workshops, small manufactories of
different articles of military equipment; and with these, not a few
wine-shops, houses of bad repute, and gambling-dens. There was
then continual marching and countermarching; regular and irregular
bodies of troops, such as could be induced to take the field by
threats or promises, through motives of partisan loyalty, from love of
adventure, or through the more mercenary object of gain or booty to
be reaped, were being continually formed, and Kuwana had become
a noted resort for such bands to equip themselves, most of the new
traffic concentrating itself in that part where Senjuin had formerly
stood.

The town possessed abundant natural advantages. Its

neighborhood abounded with many kinds of good woods, including a
great variety of bamboos,—so necessary in the production of articles
of every-day use. Inland products could easily and cheaply be
brought down on the river which ran beside the town. Its situation by
the sea-shore, and the never-failing supply of fish which was thereby
secured, was also of great value at a time when fields were
irregularly tilled and the cost of cereals often reached famine prices.
The advantage of being able to go and come by sea or land was not
slight, and was especially appreciated by those lawless characters
who abounded at the time, and a goodly number of whom could
always be found there. Whatever the disposition and tendency of
these gentry might have been, however, they were kept in check by
the proximity of the castle with its garrison, which prevented anything
like excess of violence or ill-doing. Burglaries, robberies, and
murders even were no rarity; but assistance was always at hand
when a brawl assumed too great dimensions. No band of robbers
could come and levy contributions or commit other outrages as they
did sometimes in smaller towns and villages.
Thus this quarter of the town grew up and flourished as long as
the war lasted. With the return of peace this prosperity waned, and
soon departed altogether. The working part of the population moved
away nearer the castle-walls and the old, established centre of
business; and the disreputable part, finding their occupation gone,
left for other regions. In the course of a few decades the place had
become almost entirely deserted. Some of the houses at first had
been taken down and removed, some had been destroyed by fire,
and not a few had fallen down, rotting away in unshapely heaps. All
those that yet stood were in a state of extreme decay. Passing
beggars and ronins often used them as a temporary refuge, and a
great deal of real danger to unarmed wayfarers lurked under the
shadow of this apparently deserted solitude. It was also a favorite
spot for duels and night-brawls, and many a manly form was often
found there in the morning lifeless and covered with sword-cuts.
About nine years previous to the time when the first incidents
related in this narrative took place, Muramasa the sword-smith, who
had already acquired considerable reputation in his craft, arrived in
Kuwana, and for a trifle bought a plot of land, where he erected his
house in the manner already described. It was the worst-reputed part
of the whole neighborhood, near the high road, which skirted one
end of the deserted village, and opposite to a large open, level
space, where once had stood houses which had been burned down,
and in whose place a plentiful supply of weeds had sprung up.
These were, however, kept well beaten down; for it was this
particular spot which was generally chosen when the brawlers or
duellists fought in greater numbers. Muramasa had been
accompanied by a young wife, a son about fourteen years of age,
the offspring of a former marriage, and an old married serving-
couple. From the very beginning he had led a lonely and solitary life,
as he did afterward. He repaired one of the old buildings on the land
he had bought, so as to make it temporarily habitable while his new
house was being constructed.

JAPANESE LANDSCAPE.

His wife always remained utterly secluded; and even of the

mechanics engaged by him to put up the new house, only one or two
got a passing glance at her through a half-open door or window,—
sufficient, however, it seems, to make them speak in glowing terms
of her marvellous beauty. Two years after her arrival she died in
giving birth to a daughter, who was named O Tetsu. It then began to
be bruited about that she had been an Eta (a pariah), the queen of
her tribe, famous for her surpassing loveliness. This report, which, it
was said, first originated with a travelling showman who had formerly
known Muramasa in other places, gradually assumed a more definite
shape, and it was whispered that she had been rescued by the smith
while being abducted by some nobleman and carried to the latter’s
castle. Rumor went still further, and stated that it was not a man of
low degree, but one of the mighty lords of the land who had
attempted this outrage, and that six of his most trusty blades
engaged in the execution of the design had been cut down and
disabled by the smith who fought single-handed. Careless of the
opinion of the world, he afterward made the outcast Eta his lawful
wife. He loved her fondly and passionately, and she reciprocated his
sentiments.
 AN ETA.

After her death, all that there was of kindness, of love, and of
sympathy in his nature went out toward his daughter. To the outer
world he became, if possible, more grim and reserved than he had
been before. He shunned all such chance acquaintances as he had
made, he went to the court—where even hitherto, in spite of an open
invitation, he had rarely made his appearance—only when the
occasion rendered his presence unavoidable; beyond this he paid
and received no visits whatever. The only persons who gained
admittance to his house were a few old teachers whom he had
engaged for his daughter. The aged serving-man who had
accompanied him had died three or four years after their arrival, and
no one had taken his place, the old serving-woman being the only
domestic who remained to do the necessary duties about the house.
 The smith’s son, now a man over thirty years of age, resembled
his father in outward looks and appearance, and if his face showed
rather more good-humor, it was probably merely a negative quality
arising from its lack of expression. Physically he was as strong and
stout as the smith; but his mind was of a very inferior order. He was,
however, an expert in all that pertained to swords; and on this point
could discourse pleasantly and with an intelligence that sometimes
bordered on eloquence. As regarded everything else, his mental and
reasoning faculties seemed to present a perfect blank, he being
unable to understand causes and effects, unless they were of the
most simple kind, such as could be learned mechanically. For his
father he showed great awe and reverence, and toward his half-
sister he evinced an affection which was as deep as it was humble,
and might be likened to that of a faithful dog. He displayed it by a
desire to be close to her in those short periods when he was not
engaged in work. At such times he would often put his hand furtively
but tenderly on some part of her dress; and when she perceived it,
he would bend forward, as if waiting for a smile or a caressing word,
which were the usual acknowledgments, and to which, when given,
his only response was a broad, pleased grin. He rarely spoke on
anything not connected with his craft, but to express his wants and
feelings used certain signs, which those about him had learned to
interpret. He might almost have passed for an idiot, were it not for his
clear, logical talk on everything connected with his profession, and
for a quickness of movement of both hand and limb which such
beings do not usually possess, and which in him was developed to a
remarkable degree. It is probable that he was naturally endowed with
but limited reasoning powers. These, however, would have been
sufficient for the narrow range of views and the limited routine duties
of a peasant or a laborer in those days; but in the position in which
he was placed, the comparatively strong claims made upon him in
the exercise of his profession had, so to say, absorbed all that there
was of intellect and drawn it into this one channel, leaving everything
else a blank.
SWORD-GUARD.
 CHAPTER IV.
Under such surroundings grew up the fairest maiden to be found
in the province of Kuwana. All who had seen her were unanimous in
according this tribute to O Tetsu. The people often wondered how
such a beautiful, lovely being could spring from such a coarse,
knotted stock, even when her mother’s fair, delicate nature was
grafted upon it. There are many points of beauty for which the
daughters of Japan have always been favored beyond those of most
other nations. In no country probably will there be found so many
possessing those delicate hands and feet, that gloriously beautiful
neck, and those bright, shining eyes which seem to be the birth-right
of the maidens of the Land of the Rising Sun. All these advantages
and many others were found to perfection in O Tetsu; and she added
to them a grace of movement and a witchery of manner which
caused the poets of the court to lament the poverty of their language,
because it failed to supply them with adequate terms to describe all
these endearing qualities to their satisfaction. Fair and fresh and
beautiful as a summer morn, graceful as a Japanese lily, with
wonderful eyes, lustrous and brilliant, and shining with a peculiar
humid brightness which suffused or rather covered them as if with a
refulgent and yet a transparent veil, and with a voice whose sweet
melody, if you were young and impressionable, lingered in your ears
for days and weeks after you heard it, O Tetsu might well lay claim to
be considered peerless throughout the land. Her hands and feet
might have belonged to a child half her age, and her form was slight
and delicate; yet she was no tender, hothouse plant, but in reality
strong and robust. When on cold, frosty winter mornings, the ground
being covered with snow, she walked out with her bare feet thrust
into high-heeled getas, her rich, warm blood mantling neck and face,
she looked a picture of physical health, and formed a striking
contrast to many damsels whose coarser build did not prevent them
from shivering, and showing hands and feet and noses that were
blue and ugly with the cold. In spite of her generally mild and demure
looks, there was something of her father’s nature in her after all,—a
certain imperious way, which, rarely displayed, might have been
taken for a faint, a very faint, counterpart of the old smith’s
headstrong obstinacy. There was some slight resemblance between
them also in outward looks,—a resemblance in general hardly
conceivable, but which became apparent in O Tetsu when her eyes
were momentarily closed. Then her small mouth and chin showed its
resolute cast, and the whole outline of the face was not lacking in a
certain determined look, which, as shrewd observers said, would
have developed into something of a temper if circumstances had
favored it. All these latent traits, however, were not visible, or failed
to be noticed, when you saw her eyes—those beautiful eyes, with
their unfathomable depth of bright, roguish tenderness. Although her
father doted on her, yet the stern, fierce nature of his strong and
powerful individuality rendered disobedience or self-willed pertinacity
an impossibility, and the girl’s feminine graces were thus saved from
being marred by tendencies which a different education might have
aggravated into faults.
 LANDING-PLACE AT KUWANA.

Young as O Tetsu was, offers of marriage,—some of them of a

kind to satisfy very exacting demands on the score of birth, family,
position, and personal accomplishments,—had not been wanting.
There were those who would have wooed her for her father’s
reputed wealth; there were others, and probably the greater number,
who were attracted mostly by the charms of her person and
manners; while not a few of high position and noble birth would have
been content to give her their name if she had possessed neither
beauty nor wealth, being actuated by the sole hope of getting one of
her father’s swords as a dowry. The social taint attaching to her
escutcheon on account of her reputed Eta mother, the mere
suspicion of which in the case of most others would have been an
all-powerful objection, not to be outweighed by the possession of
wealth, was disregarded in the daughter of this clever artisan. In her
it would have been condoned, even if it had stood out as a well-
known and established fact. This, however, was not the case, as it
was after all but a vague report, which anybody who chose might
disbelieve. The lovers of O Tetsu looked for no other reason to
ignore its existence but their own desire and inclination; while the
smith’s fame, his reputed influence, which it was known would carry
great weight if he chose to exert it, and above all the secret
superstitious awe which he inspired, were so many deterrent
influences to prevent people from talking above their breath of what
might be distasteful to him if it should reach his ears.