Materials Behaviour PDF

Handbook of
Materials Behavior Models

VOLUME I Deformations of Materials
This Page Intentionally Left Blank
Handbook of
Materials Behavior Models
VOLUME I Deformations of Materials
EDITOR
JEAN LEMAITRE
Universit# Paris 6
LMT-Cachan
Cachan Cedex
France
ACADEMIC PRESS
A Harcourt Science and Technology Company
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Copyright 9 2001 by Academic Press
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Library of Congress Catalog Number: 2001089698
Set International Standard Book Number: 0-12-443341-3

Volume 1 International Standard Book Number: 0-12-443342-1
Volume 2 International Standard Book Number: 0-12-443343-X
Volume 3 International Standard Book Number: 0-12-443344-8
Printed in the United States of America

01 02 03 04 05 MB 9 8 7 6 5 4 3 2 1
CONTENTS
Foreword (E. van der Giessen)

Introduction (J. Lemaitre)
Contributors
VOLUME I DEFORMATIONS OF MATERIALS

Chapter 1 Background on mechanics of materials 1
Chapter 2 Elasticity, viscoelasticity 69
Chapter 3 Yield limit 125
Chapter 4 Plasticity 195
Chapter 5 Viscoplasticity 299
VOLUME II FAILURES OF MATERIALS

Chapter 6 Continuous damage 409
Chapter 7 Cracking and fracture 537
Chapter 8 Friction and wear 673
VOLUME III MULTIPHYSICS BEHAVIORS

Chapter 9 Multiphysics coupled behaviors 793
Chapter 10 Composite media, biomaterials 955
Chapter 11 Geomaterials 1073
INDEX 1179
vi Contents
CHAPTER 1
Background on mechanics of materials
1.1 Background on modeling

J. Lemaitre
1.2 Materials and process selection 15
Y. Brechet
1.3 Size effect on structural strength 30
Z. Bazant
CHAPTER 2
Elasticity, viscoelasticity
2.1 Introduction to elasticity and viscoelasticity 71

J. Lemaitre
2.2 Background on nonlinear elasticity 75
R. W. Ogden
2.3 Elasticity of porous materials 84
N. D. Cristescu
2.4 Elastomer models 91
R. W. Ogden
2.5 Background on viscoelasticity 95
K. Ikegami
2.6 A nonlinear viscoelastic model based on
fluctuating modes 107
R. Rahouadj, C. Cunat
2.7 Linear viscoelasticity with damage 117
R. Schapery
CHAPTER 3
Yield limit
3.1 Introduction to yield limits 127

J. Lemaitre
Contents vii
3.2 Background on isotropic criteria 129

D. Drucker
3.3 Yield loci based on crystallographic texture 137
P. Van Houtte
3.4 Anisotropic yield conditions 155
M. Zyczkowski
3.5 Distortional model of plastic hardening 166
T. Kurtyka
3.6 A generalized limit criterion with application to
strength, yielding, and damage of isotropic materials 175
H. Altenbach
3.7 Yield conditions in beams, plates, and shells 187

D. Drucker
CHAPTER 4
Plasticity
4.1 Introduction to plasticity 197
J. Lemaitre
4.2 Elastoplasticity of metallic polycrystals by the
self-consistent model 199
M. Berveiller
4.3 Anisotropic elastoplastic model based on
crystallographic texture 204
A. M. Habraken, L. Duchr A. Godinas, S. Cescotto
4.4 Cyclic plasticity model with nonlinear isotropic and
kinematic hardening: No LIKH model 213
D. Marquis
4.5 Muhisurface hardening model for monotonic and
cyclic response of metals 223
Z. Mroz
4.6 Kinematic hardening rule with critical state of
dynamic recovery 232
N. Ohno
viii Contents
4.7 Kinematic hardening rule for biaxial ratcheting 240

H. Ishikawa, K. Sasaki
4.8 Plasticity in large deformations 247
Y E Dafalias
4.9 Plasticity of polymers 255
J. M. Haudin, B. Monasse
4.10 Rational phenomenology in dynamic plasticity 265
J. R. Klepaczko
4.11 Conditions for localization in plasticity and
rate-independent materials 274
A. Benallal
4.12 An introduction to gradient plasticity 281
E. C. Aifantis
CHAPTER 5
Viscoplasticity
5.1 Introduction to viscoplasticity 301
J. Lemaitre
5.2 A phenomenological anisotropic creep model for
cubic single crystals 303
A. Bertram, J. Olschewski
5.3 Crystalline viscoplasticity applied to
single crystals 308
G. Cailletaud
5.4 Averaging of viscoplastic polycrystalline materials
with the tangent self-consistent model 318
A. Molinari
5.5 Fraction models for inelastic deformation 326
J. E Besseling
5.6 Inelastic compressible and incompressible,
isotropic, small-strain viscoplasticity theory based
on overstress (VBO) 336
E. Krempl, K. Ho
Contents ix
5.7 An outline of the Bodner-Partom (BP) unified

constitutive equations for elastic-viscoplastic behavior 349
S. Bodner
5.8 Unified model of cyclic viscoplasticity based on the
nonlinear kinematic hardening rule 358
J. L. Chaboche
5.9 A model of nonproportional cyclic viscoplasticity 368
E. Tanaka
5.10 Rate-dependent elastoplastic constitutive relations 377
E Ellyin
5.11 Physically based rate- and temperature-dependent
constitutive models for metals 387
S. Nemat-Nasser
5.12 Elastic-viscoplastic deformation of polymers 398
E. M. Arruda, M. Boyce
CHAPTER 6
Continuous damage
6.1 Introduction to continuous damage 411

J. Lemaitre
6.2 Damage-equivalent stress-fracture criterion 413
J. Lemaitre
6.3 Micromechanically inspired continuous models of
brittle damage 417
D. Krajcinovic
6.4 Anisotropic damage 421
C. L. Chow, Y. Wei
6.5 Modified Gurson model 430
V. Tvergaard, A. Needleman
6.6 The Rousselier model for porous metal plasticity
and ductile fracture 436
G. Rousselier
6.7 Model of anisotropic creep damage 446
S. Murakami
Contents
6.8 Multiaxial fatigue damage criteria 453

D. Sauci
6.9 Muhiaxial fatigue criteria based on a
muhiscale approach 457
K. Dang Van
6.10 A probabilistic approach to fracture in high
cycle fatigue 464
E Hild
6.11 Gigacycle fatigue regime 472
C. Bathias
6.12 Damage mechanisms in amorphous glassy
polymers: Crazing 488
R. Schirrer
6.13 Damage models for concrete 500
G. Pijaudier-Cabot, J. Mazars
6.14 Isotropic and anisotropic damage law of evolution 513
J. Lemaitre, R. Desmorat
6.15 A two-scale damage model for quasi-brittle and
fatigue damage 525
R. Desmorat, J. Lemaitre
CHAPTER 7
Cracking and .fracture
7.1 Introduction to cracking and fracture 539
J. Lemaitre
7.2 Bridges between damage and fracture mechanics 542
J. Mazars, G. Pijaudier-Cabot
7.3 Background on fracture mechanics 549
H. D. Bui, J. B. Leblond, N. Stalin-Muller
7.4 Probabilistic approach to fracture: The Weibull model 558
E Hild
7.5 Brittle fracture 566
D. Franc~ois
Contents xi
7.6 Sliding crack model 577

D. Gross
7.7 Delamination of coatings 582
H. M. Jensen
7.8 Ductile rupture integrating inhomogeneities
in materials 587
J. Besson, A. Pineau
7.9 Creep crack growth behavior in creep ductile and
brittle materials 597
T. Yokobori Jr.
7.10 Critical review of fatigue crack growth 611
T. Yokobori
7.11 Assessment of fatigue damage on the basis of
nonlinear compliance effects 622
H. Mughrabi
7.12 Damage mechanics modeling of fatigue
crack growth 633
X. Zhang, J. Zhao
7.13 Dynamic fracture 645
W. G. Knauss
7.14 Practical applications of fracture mechanics:
Fracture control 661
D. Broek
CHAPTER 8
Friction a n d w e a r
8.1 Introduction to friction and wear 675

J. Lemaitre
8.2 Background on friction and wear 676
Y. Berthier
8.3 Models of friction 700
A. Savkoor
xii Contents
8.4 Friction in lubricated contacts 760

J. FrCne, T. Cicone
8.5 A thermodynamic analysis of the contact interface
in wear mechanics 768
H. D. Bui, M. Dragon-louiset, C. Stolz
8.6 Constitutive models and numerical methods for
frictional contact 777
M. Raous
8.7 Physical models of wear, prediction of wear modes 787
K. Kato
CHAPTER 9
Multiphysics coupled behavior
9.1 Introduction to coupled behaviors 795
J. Lemaitre
9.2 Elastoplasticity and viscoplasticity coupled
with damage 797
A. Benallal
9.3 A fully coupled anisotropic elastoplastic
damage model 802
S. Cescotto, M. Wauters, A. M. Habraken, Y. Zhu
9.4 Model of inelastic behavior coupled to damage 814
G. Z. Voyiadjis
9.5 Thermo-elasto-viscoplasticity and damage 821
P. Perzyna
9.6 High-temperature creep deformation and
rupture models 835
D. R. Hayhurst
9.7 A coupled diffusion-viscoplastic formulation for
oxidasing multiphase materials 849
E. P. Busso
Contents xiii
9.8 Hydrogen attack 856

E. van der Giessen, S. Schl6gl
9.9 Hydrogen transport and interaction with material
deformation: Implications for fracture 864
P Sofronis
9.10 Unified disturbed state constitutive models 875
C. S. Desai
9.11 Coupling of stress-strain, thermal, and
metallurgical behaviors 884
T. Inoue
9.12 Models for stress-phase transformation couplings
in metallic alloys 896
S. Denis, P Archambault, E. Gautier
9.13 Elastoplasticity coupled with phase changes 905

E D. Fischer
9.14 Mechanical behavior of steels during solid-solid
phase transformations 915
J. B. Leblond
9.15 Constitutive equations of a shape memory alloy
under complex loading conditions 921
M. Tokuda
9.16 Elasticity coupled with magnetism 928
R. Billardon, L. Hirsinger, E Ossart
9.17 Physical aging and glass transition of polymers 944
R. Rahouadj, C. Cunat
CHAPTER 1 0
Composite media, biomaterials
10.1 Introduction to composite media 957

J. Lemaitre
10.2 Background on micromechanics 959
E. van der Giessen
xiv Contents
10.3 Nonlinear composites" Secant methods and

variational bounds 968
P. Suquet
10.4 Nonlocal micromechanical models 984
J. Willis
10.5 Transformation field analysis of composite materials 996
G. Dvorak
10.6 A damage mesomodel of laminate composites 1004
P Ladev~ze
10.7 Behavior of ceramix-matrix composites under
thermomechanical cyclic loading conditions 1015
E A. Leckie, A. Burr, E Hild
10.8 Limit and shakedown analysis of periodic
heterogeneous media 1025
G. Maier, V. Carvelli, A. Taliercio
10.9 Flow-induced anisotropy in short-fiber composites 1037
A. Poitou, E Meslin
10.10 Elastic properties of bone tissue 1048
Stephen C. Cowin
10.11 Biomechanics of soft tissue 1057
S. C. Holzapfel
CHAPTER 1 1
Geomaterials
11.1 Introduction to geomaterials 1075

J. Lemaitre
11.2 Background of the behavior of geomaterials 1076
E Darve
11.3 Models for compressible and dilatant
geomaterials 1084
N. D. Cristescu
Contents XV
11.4 Behavior of granular materials 1093

I. Vardoulakis
11.5 Micromechanically based constitutive model for
frictional granular materials 1107
S. Nemat-Nasser
11.6 Linear poroelasticity 1118
J. W. Rudnicki
11.7 Nonlinear poroelasticity for liquid nonsaturated
porous materials 1126
O. Coussy, P. Dangla
11.8 An elastoplastic constitutive model for partially
saturated soils 1134
B. A. Schrefler, L. Simoni
11.9 Sinfonietta classica: A strain-hardening model for
soils and soft rocks 1146
R. Nova
11.10 A generalized plasticity model for dynamic
behavior of sand, including liquefaction 1155
M. Pastor, O. C. Zienkiewicz, A. H. C. Chan
11.11 A critical state bounding surface model for sands 1164
M. T. Manzari, Y. E Dafalias
11.12 Lattice model for fracture analysis of brittle
disordered materials like concrete and rock 1171
J. G. M. van Mier
Index 1179
FOREWORD
We know that there is an abundance of models for particular materials and for
specific types of mechanical responses. Indeed, both the developers of models
and their users sometimes criticize this situation, for different reasons. The
presence of different models that attempt to describe the same material and
response is due not only to the personal style of their inventors, but also to a
desirable element of competition that drives the progress in the field.
Given this situation, the selection of the proper constitutive model from all
the available ones can be difficult for users or even materials modelers when
they are not experts in the field. This Handbook is the first attempt to organize
a wide range of models and to provide assistance in model selection and
actual application. End-users will find here either potential models relevent
for their application and ready to be used for the problem at hand, or an
entrance to the specific technical literature for more details.
Recognizing the breadth of the field as well as the unavoidable personal
touch of each approach, Jean Lemaitre has chosen to include in this
Handbook the writings of as many as 130 authors. Drawing on his wide
experience developing and using constitutive models for many materials, he
has addressed his worldwide network of colleagues, all experts in their
pertinent subject, to accomplish this difficult task. Yet, even though the
Handbook covers an unprecedented range of materials and types of behavior,
it is only a sample of currently available models, and other choices would
have been possible. Indeed, more choices will become possible as the
development of novel and improved material models continues.
Erik van der Giessen

Koiter Institute Delft
Delft University of Technology
The Netherlands
xvi
INTRODUCTION
Why a Handbook of models? Handbooks are often compilations of

characteristic numbers related to well-established laws or formulae that are
ready to apply. In this case of the behavior of materials, no unique law exists
for any phenomenon, especially in the range of nonlinear phenomena. This is
why we use the term model instead of law. During the past thirty years many
models have been proposed, each of them having its own domain of validity.
This proliferation is partly due to advances in computers. It is now possible to
numerically simulate the "in-service life" of structures subjected to plasticity,
fatigue, crack propagation, shock waves and aging for safety and economy
purposes. The time has come to try to classify, compare, and validate these
models to help users to select the most appropriate model for their applications.
How is the Handbook organized? All solid materials are considered,

including metals, alloys, ceramics, polymers, composites, concrete, wood,
rubber, geomaterials such as rocks, soils, sand, clay, and biomaterials. But the
Handbook is organized first by phenomena because most engineering
mesomodels apply to different materials.
9 In the first volume: "Deformation of Materials," the first chapter is an
attempt to give general methodologies in the "art" of modeling with
special emphasis, on domains of validity in order to help in the choice of
models, in the selection of the appropriate materials for each specific
application, and in the consideration of the so-called "size effect" in
engineering structures. Chapter 2 to 5 deal, respectively, with elasticity
and viscoelasticity, yield limit, plasticity, and viscoplasticity.
9 The second volume is devoted to "Failure of Materials": continuous
damage in Chapter 6, cracking and fracture in Chapter 7, friction and
wear in Chapter 8.
9 In the third volume "Multiphysics Behaviors" are assembled. The
different possible couplings are described in Chapter 9. Chapters 10
and 11 are devoted to special classes of materials: composites and
xvii
xviii Introduction
geomaterials, respectively, because they each corresponds to a particular

modeling typed and moreover to a self-organized community of people.
9 In each chapter the different sections written by different authors
describe one model with its domain of validity, its background, its
formulation, the identification of material parameters for as many
materials as possible, some advice on implementation or use of the
model, and some references. The order of the sections follows as much as
possible from physical and micromechanical oriented models to more
phenomenological and engineering oriented ones.
How to use the Handbook?

9 Search by phenomena: This is the normal order of the Handbook
described in the "Contents".
9 Search by model name: Unfortunately, not all models have a name, and
some of them have several. Look in the list of contributors, where the
names of all authors are given.
9 Search by type of application: Each chapter begins with a chapter
introduction in which a few words are written on each section.
If you do not find exactly what you are looking for, please remember that the
best model is the simplest which gives you what you need and nothing more!
In case of any difficulty, get in touch with the author(s), whose address is
given after the title of each section.
Some personal comments. This Handbook has been initiated by the editor of
"Academic Press" who gave me much freedom to organize the book. It took
me two years to prepare the contents, to obtain the agreement of more than
100 authors, to ask for manuscripts, to ask again and again (and again for
some of them!) to review and to obtain the final material. It was an exciting
experience for which all actors must be thanked: the editors Z. Ruder, G.
Franklin, and M. Filion, all the authors who are still my friends, my
colleagues and friends from the LMT-Cachan who often advised me on
subjects and authors and particularly Erik van der Giessen, who helped me in
the selection of the subjects, who corrected the chapter introductions, and
who agreed to write the foreword, Catherine Genin who was so kind and so
efficient with letters, fax, e-mail, telephone, disks and manuscripts and
answered so many questions in order to obtain the materials in due time. I must
also mention Annie, my wife, who accepted 117 articles on the table at home!
Merci d tous,
Jean Lemaitre
Septembre 2000
CONTRIBUTORS
Numbers in parentheses indicate the section of authors' contributions.
ELIAS C. AIFANTIS (4.12), Aristotle University of Thessaloniki, Thessaloniki,

54006 Greece, and Michigan Technological University, Houghton, Michigan
HOLM ALTENBACH (3.6), Fachbereich Ingenieurwissenschaften, Martin-
Luther-Universitat Halle-Wittenberg, D-06099 Halle (Saale), Germany
E ARCHAMBAULT (9.12), Laboratoire de Science et GSnie des Mat~riaux et

de M~tallurgie, UMR 7584 CNRS/INPL, Ecole des Mines de Nancy, Parc de
Saurupt, 54042 Nancy Cedex, France
ELLEN M. ARRUDA (5.12), Department of Mechanical Engineering, University
of Michigan, Ann Arbor, Michigan
C. BATHIAS (6.11), Laboratoire de M~canique de la Rupture, CNAM/ITMA,
2 rue Conte, 75003 Paris, France
ZDENEK P. BAZANT (1.3), Northwestern University, Evanston, Illinois, USA
AHMED BENALLAL (4.11, 9.2), Laboratoire de M~canique et Technologie,
ENS de Cachan/CNRS/Universit~ Paris 6, 61 avenue du President Wilson, 94235
Cachan, France
ALBRECHT BERTRAM (5.2), Otto-von-Guericke-University Magdeburg, Uni-

versit/~tsplatz 2, 39106 Magdeburg, Germany
YVES BERTHIER (8.2), Laboratoire de M~canique des Contacts, UMR CNRS-

INSA de Lyon 5514, Batiment 113, 20, Avenue Albert Einstein, 69621
Villeurbanne Cedex, France
xix
XX Contributors
B. J. BESSON (7.8), Ecole des Mines de Paris, Centre des Mat~riaux, UMR
CNRS 7533, BP 87, 91003 Evry Cedex, France
J. E BESSELING (5.5), j.f.besseling@wbmt.tudelft.nl
M. BERVEILLER (4.2), Laboratoire de Physique et M&anique des Mat~riaux,
Ile du Saulcy, 57045 Metz Cedex, France
RENt~ BILLARDON (9.16), ENS de Cachan/CNRS/Universit~ Paris 6, 61
avenue du President Wilson, 94235 Cachan Cedex, France
SOL R. BODNER (5.7), Technion Israel Institute of Technology, Haifa 32000,
Israel
MARY C. BOYCE (5.12), Department of Mechanical Engineering, Center for
Materials Science and Engineering, Massachusetts Institute of Technology,
Cambridge, Massachusetts, USA
YVES BRECHET (1.2), L.T.EC.M. BP75, Institut National Polytechnique de
Grenoble, 38402 St Martin d'Heres Cedex, France
DAVID BROEK (7.14), 263 Dogwood Lane, Westerville, Ohio, USA
HUY DUONG BUI (7.3, 8.5), Laboratoire de M&anique des Solicles, Ecole
Polytechnique, 91128 Palaiseau, France Electricit4 de France, R&D, Clamart,
France
ALAIN BURR (10.7), Laboratoire de Physico-Chimie Structurale et Macro-
mol&ulaire, UMR 7615, ESPCI, 10 rue Vauquelin, 75231 Paris Cedex 05,
France
ESTEBAN P. BUSSO (9.7), Department of Mechanical Engineering, Imperial
College, University of London, London, SW7 2BX, United Kingdom
GEORGES CAILLETAUD (5.3), Centre des Mat4riaux de l't~cole des Mines de
Paris, UMR CNRS 7633, BP 87, F91003 Evry Cedex, France
VALTER CARVELLI (10.8), Department of Structural Engineering, Technical
University (Politecnico) of Milan, Piazza Leonardo Da Vinci 32, 20133 Milano,
Italy
SERGE CESCOTTO (4.3, 9.3), D4partement MSM, Universit4 de Liege, 1,
chemin des Chevreuils bfit.B52/3, 4000 Liege, Belgique
J. L. CHABOCHE (5.8), O.N.E.R.A., DMSE, BP 72, 92322 ChStillon Cedex,
France and LASMIS, Troyes University of Technology, BP 2060, 10010 Troyes
Cedex, France
A. H. C. CHAN (11.10), School of Engineering, University of Birmingham,
United Kingdom
Contributors xxi
C.L. CHOW (6.4), Department of Mechanical Engineering, University of

Michigan-Dearborn
TRAIAN CICONE (8.4), Dept. of Machine Elements and Tribology, Polytechnic
University of Bucharest, Romania
N.D. CRISTESCU (2.3), 231 Aerospace Building, University of Florida,
Gainesville, Florida
OLIVIER COUSSY (11.7), Laboratoire Central des Ponts et Chaussees, Paris,
France
STEPHEN C. COWIN (10.10), New York Center for Biomedical Engineering,
School of Engineering, The City College, New York
CHRISTIAN CUNAT (2.6, 9.17), LEMTA, UMR CNRS 7563, ENSEM INPL 2,
avenue de la Foret-de-Haye, 54500 Vandoeuvre-les-Nancy, France
PATRICK DANGLA (11.7), Laboratoire Central des Ponts et Chaussees, Paris,
France
FI~LIX DARVE (11.2), EINP Grenoble, L3S-BP 53 38041 Grenoble, France
YANNIS E DAFALIAS (4.8, 11.11), Civil and Environmental Engineering, The
George Washington University, Washington, D.C.
S. DENIS (9.12), Laboratoire de Science et G~nie des Mat~riaux et de
M~tallurgie, UMR 7584 CNRS/INPL, Ecole des Mines de Nancy, Parc de
CHANDRA S. DESAI (9.10), Department of Civil Engineering and Engineering
Mechanics, The University of Arizona, Tucson, Arizona, USA
RODRIGUE DESMORAT (6.14, 6.15), Universite Paris 6-LMS, 8, Rue du
Capitaine Scott, F-75015 Paris, France
MARTA DRAGON-LOUISET (8.5), Laboratoire de M~canique des Solides,
Ecole Polytechnique, 91128 Palaiseau, France
DANIEL C. DRUCKER (3.2, 3.7), Department of Aerospace Engineering,
Mechanics Engineering Service, University of Florida, 231 Aerospace Building,
Gainesville, Florida 32611
GEORGE J. DVORAK (10.5), Rensselaer Polytechnic Institute, Troy, New York
L. DUCHENE (4.3), D6partement MSM, Universit8 de Liege, 1, chemin des
chevreuils b~t.B52/3, 4000 Liege, Belgique
FERNAND ELLYIN (5.10), Department of Mechanical Engineering, University
of Alberta, Edmonton, AB, Canada
xxii Contributors
E D. FISCHER (9.13), Montanuniversit. at Leoben, Franz-Josef-Strasse 18,

A-8700 Leoben, Austria
DOMINIQUE FRAN~;OIS (7.5), 12cole Centrale de Paris, Chfitenay-Malabry,
F92 295, France
JEAN FRIS.NE (8.4), Laboratoire de M~canique des Solides, Universit~ de
Poitiers, France
E. GAUTIER (9.12), Laboratoire de Science et G~nie des Mat~riaux et de

M~tallurgie, UMR 7584 CNRS/INPL, t~cole des Mines de Nancy, Parc de
A. GODINAS (4.3), D~partement MSM, Universit~ de Liege, 1, chemin des
Chevreuils bfit.B52/3, 4000 Liege, Belgium
DIETMAR GROSS (7.6), Institute of Mechanics, TU Darmstadt, Hochschul-
strasse 1, D 64289 Darmstadt
ANNE MARIE HABRAKEN (4.3, 9.3), D~partement MSM, Universit~ de Liege,
1, chemin des Chevreuils b~t.B52/3, 4000 Liege, Belgique
JEAN-MARC HAUDIN (4.9), CEMEF- BP 207, 06904 Sophia Antipolis,
France
D. R. HAYHURST (9.4), Department of Mechanical Engineering, UMIST,
P 9 Box 88, Manchester M60 1QD, United Kingdom
FRANCOIS HILD (7.4, 10.7), LMT-Cachan, 61 avenue du Pr4sident Wilson,
F-94235 Cachan Cedex, France
LAURENT HIRSINGER (9.16), ENS de Cachan/CNRS/Universit4 Paris 6, 61
avenue du Pr4sident Wilson, 94235 Cachan Cedex, France
K. HO (5.6), Yeungnam University, Korea
GERHARD A. HOLZAPFEL (10.11), Institute for Structural Analysis,

Computational Biomechanics, Graz University of Technology, 8010 Graz, Austria
KOZO IKEGAMI (2.5), Tokyo Denki University, Kanda-Nishikicho 2-2,

Chiyodaku, Tokyo 101-8457, Japan
TATSUO INOUE (9.11), Department of Energy Conversion Science, Graduate
School of Energy Science, Kyoto University, Yoshida-Honmachi, Sakyo-ku,
Kyoto, Japan
HIROMASA ISHIKAWA (4.7), Hokkaido University, N13, W8, Kita-ku,
Sapporo 060-8628, Japan
Contributors xxiii
HENRIK MYHRE JENSEN (7.7), Department of Solid Mechanics, 404,

Technical University of Denmark, DK-2800 Lyngby, Denmark
KOJI KATO (8.7), Tohoku University, Aramaki-Aza-Aoba 01, Sendal 980-8579,
Japan
JANUSZ R. KLEPACZKO (4.10), Metz University, Laboratory of Physics and
Mechanics of Materials, lie du Saulcy, 57045 Met7, France
W. G. KNAUSS (7.13), California Institute of Technology, Pasadena, California
DUSAN KRAJCINOVIC (6.3), Arizona State University, Tempe, Arizona
E. KREMPL (5.6), Mechanics of Materials Laboratory, Rensselaer Polytechnic
Institute, Troy, New York
TADEUSZ KURTYKA (3.5), C E R N - European Organization for Nuclear
Research, CH-1211 Geneve 23, Switzerland
PIERRE LADEVI~ZE (10.6), LMT-Cachan, ENS de Cachan/CNRSAJniversit6
Paris 6, 61 avenue du President Wilson, 94235 Cachan Cedex, France
FREDERICK A. LECKIE (10.7), Department of Mechanical and Environmental
Engineering, University of California, Santa Barbara, California
J-B. LEBLOND (7.3, 9.14), Laboratoire de Mod~lisation en M~canique,
Universit~ de Pierre et Marie Curie, Paris, France
JEAN LEMAITRE (1.1, 2.1, 3.1, 4.1, 5.1, 6.1, 6.2, 6.14, 6.15, 7.1, 8.1, 9.1,
10.1, 11.1), Universit~ Paris 6, LMT-Cachan, 61, avenue du Pr6sident Wilson,
F-94235 Cachan Cedex, France
GIULIO MAIER (10.8), Department of Structural Engineering, Technical
University (Politecnico) of Milan, Piazza Leonardo Da Vinci 32, 20133 Milano,
Italy
DIDIER MARQUIS (4.4), Laboratoire de M~canique et Technologie, Ecole
Normale Sup~rieure de Cachan, 61 avenue du President Wilson, 94230 Cachan,
France
MAJID T. MANZARI (11.11), Department of Mechanics, National Technical
University of Athens, 15773, Hellas, and Civil and Environmental Engineering,
University of California, Davis, California
JACKY MAZARS (6.13, 7.2), LMT-Cachan, Ecole Normale Superieure
de Cachan, 61, avenue du President Wilson, 94235 Cachan, France and
L35-Institut National Polytechniquede Grenoble, F38041 Grenoble Cedex 9,
France
xxiv Contributors
FREDERIC MESLIN (10.9), LMT-Cachan, ENS de Cachan, Universit6 Paris 6,

61 avenue du Pr6sident Wilson, 94235 Cachan Cedex, France
ALAIN MOLINARI (5.4), Laboratoire de Physique et M&anique des Mat6riaux,
l~cole Nationale d'Ing4nieurs, Universit~ de Metz, Ile du Saulcy, 57045 Metz-
Cedex, France
BERNARD MONASSE (4.9), CEMEF- BP 207, 06904 Sophia Antipolis,
France
HAEL MUGHRABI (7.11), Universit~it Erlangen-Nfirnberg, Institut f~lr
Werkstoffwissenschaften, Martensstr. 5, D-91058 Erlangen, Germany
N. STALIN-MULLER (7.3), Laboratoire de M4canique des Solides, 12cole
Polytechnique, 91128 Palaiseau, France
Z. MROZ (4.5), Institute of Fundamental Technological Research, Warsaw, Poland
SUMIO MURAKAMI (6.7), Nagoya University, Furo-cho, Chikusa-ku, Nagoya,
464-8603 Japan
ROBERTO NOVA (11.9), Milan University of Technology (Politecnico),
Department of Structural Engineering, Milan, Italy
A. NEEDLEMAN (6.5), Brown University, Division of Engineering, Providence,
Rhode Island and Department of Mechanical Engineering, Solid Mechanics,
Technical University of Denmark, 2800 Lyngby, Denmark
SIA NEMAT-NASSER (5.11, 11.5), Center of Excellence for Advanced
Materials, Department of Mechanical and Aerospace Engineering, University of
California, San Diego, California
R. W. OGDEN (2.2, 2.4), Department of Mathematics, University of Glasgow,
Glasgow G12 8QW, United Kingdom
NOBUTADA OHNO (4.6), Department of Mechanical Engineering, Nagoya
University, Chikusa-ku, Nagoya 464-8603, Japan
J. URGEN OLSCHEWSKI (5.2), BAM-V2, Unter den Eichen 87, 12200 Berlin,
Germany
FLORENCE OSSART (9.16), ENS de Cachan/CNRS/Universit~ Paris 6, 61
M. PASTOR (11.10), Centro de Estudios y Experimentaci6n de Obras P~blicas
and ETS de Ingenieros de Caminos, Madrid, Spain
PIOTR PERZYNA (9.5), Institute of Fundamental Technological Research,
Polish Academy of Sciences, Swir 21, 00-049 Warsaw, Poland
Contributors XXV
GILLES PIJAUDIER-CABOT (6.13), Laboratoire de G~nie Civil de Nantes Saint-

Nazaire, t~cole Centrale de Nantes, BP 92101, F-44321 Nantes Cedex 03, France
A. PINEAU (7.8), ]~cole des Mines de Paris, Centre des Mat~riaux, UMR CNRS
7533, BP 87, 91003 Evry Cedex, France
ARNAUD POITOU (10.9), LMT-Cachan, ENS de Cachan, Universit8 Paris 6, 61
RACHID RAHOUADJ (2.6, 9.17), LEMTA, UMR CNRS 7563, ENSEM INPL 2,
Avenue de la For~t-de-Haye, 54500 Vandoeuvre-l~s-Nancy, France
MICHEL RAOUS (8.6), Laboratoire de Mecanique et d'Acoustique, 31, chemin
Joseph Aiguier, 13402 Marseille Cedex 20, France
GILLES ROUSSELIER (6.6), EDF/R&D Division, Les Renardi~res, 77818
Moret-sur-Loing Cedex, France
J. W. RUDNICKI (11.6), Department of Civil Engineering, Northwestern
University, Evanston, Illinois, USA
KATSUHIKO SASAKI (4.7), Hokkaido University, N13, W8, Kita-ku, Sapporo
060-8628, Japan
A. R. SAVKOOR (8.3), Vehicle Research Laboratory, Delft University of
Technology, Delft, The Netherlands
R. A. SCHAPERY (2.7), Department of Aerospace Engineering and Engineering
Mechanics, The University of Texas, Austin, Texas
ROBERT SCHIRRER (6.12), Institut Charles Sadron, 6 rue Boussingault,
F-67083 Strasbourg, France
SABINE M. SCHLOGL (9.8), Koiter Institute Delft, Delft University of
Technology, The Netherlands
B. A. SCHREFLER (11.8), Department of Structural and Transportation
Engineering, University of Padua, Italy
L. SIMONI (11.8), Department of Structural and Transportation Engineering,
University of Padua, Italy
PETROS SOFRONIS (9.9), Department of Theoretical and Applied Mechanics,
University of Illinois at Urbana-Champaign, 104 South Wright Street, Urbana,
Illinois
DARRELL SOCIE (6.8), Department of Mechanical Engineering, University of
Illinois, Urbana, Illinois
CLAUDE STOLZ (8.5), Laboratoire de M~canique des Solides, Ecole
Polytechnique, 91128 Palaiseau, France
XXVi Contributors
PIERRE M. SUQUET (10.3), LMA/CNRS, 31 Chemin Joseph Aiguier, 13402,

Marseille, Cedex 20, France
ALBERTO TALIERCIO (10.8), Department of Structural Engineering, Techni-
cal University (Politecnico) of Milan, Piazza Leonardo Da Vinci 32, 20133
Milano, Italy
EIICHI TANAKA (5.9), Department of Mechano-Informatics and Systems,
Graduate School of Engineering, Nagoya University, Furo-cho, Chikusa-ku,
Nagoya 464-8603, Japan
MASATAKA TOKUDA (9.15), Department of Mechanical Engineering, Mie
University, Kamihama 1515 Tsu 514-8507, Japan
V. TVI~RGAARD (6.5), Department of Mechanical Engineering, Solid
Mechanics, Technical University of Denmark, 2800 Lyngby, Denmark
K. DANG VAN (6.9), Laboratoire de Mechanique des Solid, l~cole Poly-
technique, 91128 Palaiseau, France
ERIK VAN DER GIESSEN (9.8, 10.2), University of Groningen, Applied
Physics, Micromechanics of Materials, Nyenborgh 4, 9747 AG Groningen,
The Netherlands
P. VAN HOUTTE (3.3), Department MTM, Katholieke Universiteit Leuven,
B-3000 Leuven, Belgium
J. G. M. VAN MIER (11.12), Delft University of Technology, Faculty of Civil
Engineering and Geo-Sciences, Delft, The Netherlands
IOANNIS VARDOULAKIS (11.4), National Technical University of Athens,
Greece
GEORGE Z. VOYIADJIS (9.4), Department of Civil and Environmental
Engineering, Louisiana State University, Baton Rouge, Louisiana
MICHAEL WAUTERS (9.3), MSM-1, Chemin des Chevreuils B52/3 4000
Liege, Belgium
YONG WEI (6.4), Department of Mechanical Engineering, University of
Michigan-Dearborn, USA
J. R. WILLIS (10.4), Department of Mathematical Sciences, University of Bath,
Bath BA2 7AY, United Kingdom
A. TOSHIMITSU YOKOBORI, JR. (7.9), Fracture Research Institute, Graduate
School of Engineering, Tohoku University, Aoba 01 Aramaki, Aoba-ku Sendai-
shi 980-8579, Japan
Contributors xxvii
TAKEO YOKOBORI (7.10), School of Science and Engineering, Teikyo

University, Utsunomiya, Toyosatodai 320-2551, Japan
XING ZHANG (7.12), Division 508, Department of Flight Vehicle Design and
Applied Mechanics, Beijing University of Aeronautics and Astronautics, Beijing
100083, China
JUN ZHAO (7.12), Division 508, Department of Flight Vehicle Design and
Applied Mechanics, Beijing University of Aeronautics and Astronautics, Beijing
100083, China
Y. ZHU (9.3), ANSYS Inc., Houston, Texas
O. C. ZIENKIEWICZ (11.10), Department of Civil Engineering, University of
Wales at Swansea, United Kingdom
MICHA ZYCZKOWSKI (3.4), Cracow University of Technology, ul. Warszawska
24, PL-31155 Krak6w, Poland
CHAPTER 1
Background on
Mechanics of Materials
SECTION 1.1
Background O I l
Modeling
JEAN LEMAITRE
UniversitY. Paris 6, LMT-Cachan, 61 avenue du Pr&ident Wilson, 94235 Cachan Cedex, France
Contents
1.1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.2 Observations and Choice of Variables . . . . . . . . . 4
1.1.2.1 Scale of observation . . . . . . . . . . . . . . . . . . . 5
1.1.2.2 Internal Variables . . . . . . . . . . . . . . . . . . . . . . 6
1.1.3 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.1.3.1 State Potential . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.1.3.2 Dissipative Potential . . . . . . . . . . . . . . . . . . . 8
1.1.4 Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.1.4.1 Qualitative Identification . . . . . . . . . . . . . . . 9
1.1.4.2 Quantitative Identification . . . . . . . . . . . . 11
1.1.5 Validity Domain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.1.6 Choice of Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.1.7 Numerical Implementation . . . . . . . . . . . . . . . . . . . 14
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.1.1 INTRODUCTION
M o d e l i n g , as has a l r e a d y b e e n said for m e c h a n i c s , m a y be c o n s i d e r e d "a

science, a t e c h n i q u e , a n d an art."
It is s c i e n c e b e c a u s e it is the p r o c e s s by w h i c h o b s e r v a t i o n s can be p u t
in a logical m a t h e m a t i c a l f r a m e w o r k in o r d e r to r e p r o d u c e or s i m u l a t e
r e l a t e d p h e n o m e n a . In m e c h a n i c s of m a t e r i a l s c o n s t i t u t i v e e q u a t i o n s relate
l o a d i n g s as stresses, t e m p e r a t u r e , etc. to effects as strains, d a m a g e , fracture,
wear, etc.
Handbook of Materials BehaviorModels. ISBN 0-12-443341-3.

Copyright 9 2001 by Academic Press. All rights of reproduction in any form reserved.
4 Lemaitre
It is a technique because it uses tools such as mathematics, thermo-

dynamics, computers, and experiments to build close form models and to
obtain numerical values for the parameters that are used in structure
calculations to predict the behavior of structures in the service or forming
process, etc., safety and optimal design being the main motivations.
It is an art because the sensibility of the scientist plays an important role.
Except for linear phenomena, there is not unique way to build a model from a
set of observations and test results. Furthermore, the mathematical structure
of the model may depend upon its use. This is interesting from the human
point of view. But it is sometimes difficult to select the proper model for a
given application. The simplest is often the more efficient event, even if it is
not the most accurate.
1.1.2 OBSERVATIONS AND CHOICE

OF VARIABLES
First of all, in mechanics of materials, a model does not exist for itself; it exists
in connection with a purpose. If it is the macroscopic behavior of mechanical
components of structures that is being considered, the basic tool is the
mechanics of continuous media, which deals with the following:
1. Strain, a second-order tensor related to the displacement ff of two points:
9 Euler's tensor ~ for small perturbations.

1
~ ij - -~ ( u i j -3t- uj , i ) (1)
In practice, the hypothesis of "small" strain may be applied if it is below

about 10%.
9 Green-Lagrange tensor A (among others) for large perturbations, if F is
the tangent linear transformation which transforms under deformation a
point M0 of the initial configuration into M of the actual configuration.
- _v (M0)
(2)
1 (_vT_v - 1)
_
With _F~ the transpose of F.
2. Stress, a second-order tensor dual of the strain tensor; its contracted

product by the strain rate tensor is the power involved in the mechanical
process.
1.1 Background on Modeling
9 Cauchy stress tensor _a for small perturbations, checking the equilibrium

with the internal forces density f and the inertia forces pff,
d2R
crijo + fi - oiii with/ii - dt--T (3)
9 Piola-Kirchoff tensor _S (among others) for large perturbations.

S _ - det(F_)~_F_- r (4)
3. Temperature T.
These three variables are functions of the time t.
1.1.2.1 SCALE OF OBSERVATION
From the mathematical point of view, strains and stresses are defined on a
material point, but the real materials are not continuous. Physically, strain
and stress represent averages on a fictitious volume element called the
representative volume element (RVE) or mesoscale. To give a subjective order
of magnitude of a characteristic length, it can be
0.1 mm for metallic materials;

1 mm for polymers;
1 0 m m for woods;
100 mm for concrete.
It is below these scales that observations must be done to detect the

micromechanisms involved in modeling:
9 slips in crystals for plasticity of metals;

9 decohesions of sand particles by breaking of atomic bonds of cement for
damage in concrete;
9 rupture of microparticles in wear;
9 etc.
These are observations at a microscale. It is more or less an "art" to decide at

which microscale the main mechanism responsible for a mesoscopic
phenomenon occurs. For example, theories of plasticity have been developed
at a mesoscale by phenomenological considerations, at a microscale when
dealing with irreversible slips, and now at an atomic scale when modeling the
movements of dislocations.
At any rate, one's first priority is to observe phenomena and to select the
representative mechanism which can be put into a mathematical framework
6 Lemaitre
of homogenization to give variables at a mesoscale compatible with the

mechanics of continuous media.
1.1.2.2 INTERNALVARIABLES
When the purpose is structural calculations with sets of constitutive

equations, it is logical to consider that each main mechanism should have
its own variable. For example, the total strain _8 is directly observable and
defines the external state of the representative volume element (RVE), but for
a better definition of the internal state of the RVE it is convenient to look at
what happens during loading and unloading of the RVE to define an elastic
strain ee and a plastic strain e_P such as
~j - ~je + ~;P (5)
The elastic strain represents the reversible movements of atoms, and the
plastic strain corresponds to an average of irreversible slips.
All variables which define the internal state of the RVE are called internal
variables. They should result from observations at a microscale and from a
homogenization process:
9 isotropic hardening in metals related to the density of dislocations;

9 kinematic hardening related to the internal residual microstresses at the
level of crystals;
9 damage related to the density of defects;
9 etc.
How many do we need? As many as the number of phenomena taken into

consideration, but the smallest is the best.
Finally, the local state method postulates that the considered thermo-
dynamic state is completely defined by the actual values of the corresponding
state variables: observable and internal.
1.1.3 FORMULATION
The thermodynamics of irreversible processes is a general framework that is

easy to use to formulate constitutive equations. It is a logical guide for
incorporating observations and experimental results and a set of rules for
avoiding incompatibilities.
The first principle is the energy balance: If e is the specific internal energy,
p the density, co the volume density of internal heat produced by external
1.1 Background on Modeling
sources, and ~' The heat flux:

fie. = cr ij ~ ij -Jr- (.0 - - q i , i (6)
where the sommation convention of Enstein applies.
The second principle states that the entropy production i must be larger or
equal to the heat received divided by the temperature
Ps > (7)
- T ,i
If ~ = e - Ts is the Helmholtz specific free energy (this is the energy in the

RVE which can eventually be recovered),
~,j~j - 0(~; + ~ir) -q~r~ > o (8)

T -
This is the Clausius-Duhem inequality, which corresponds to the positiveness
of the dissipated energy and which has to be fulfilled by any model for all
possible evolutions.
1.1.3.1 STATEPOTENTIAL
The state potential allows for the derivation of the state laws and the
definition of the associate variables or driving forces associated with the state
variables VK tO define the energy involved in each phenomenon. Choosing the
Helmholtz free energy ~, it is a function of all state variables concave with
respect to the temperature and convex with respect to all other VK,
0 = O(~, T , f , f , . . . VK...) (9)
or in classical elastoplasticity
O = O ( F , ~_p, r , . . . v ~ . . .) (10)
The state laws derive from this potential to ensure that the second principle is
always fulfilled.
a ij fiPij - ~_~ p ~ K "V K q~r,~

T > - 0 (11)
They are the laws of thermoelasticity

oo
~J - P oe~ (12)
o~
S ~- (13)
OT
Lemaitre
The associated variables are defined by

00
(14)
cr~j - p 0 ~
O0 (15)
AK -- p OVK
Each variable AK is the main cause of variation of the state variable VK. In
other words, the constitutive equations of the phenomenon represented by
VK will be primarily a function of its associated variable and eventually
from others.
VK -- g K ( . . . A K . . . ) (16)
They also allow us to take as the state potential the Gibbs energy dual of the
Helmholtz energy by the Legendre-Fenchel transform
~* = ~* (_~,s,...AK...) (17)
or any combination of state and associated variables by partial transform.
1.1.3.2 DISSIPATIVE POTENTIAL
To define the gK function of the kinetic equations, a second potential is

postulated. It is a function of the associate variables, and convex to ensure
that the second principle is fulfilled. It can also be a function of the state
variables but taken only as parameters.
q) -- q~(K,...AK..., gracl T;e_.e, T , . . . V K . . . ) (18)
The kinetic laws of evolution of the internal state variables derive from
.p _ Oq)
eij - Oaij (19)
% _ &o (z0)
OAK
- = - ----------~ (21)
T 0grad T
Unfortunately, for phenomena which do not depend explicitly upon the time,
this function (p is not differentiable. The flux variables are defined by the
subdifferential of q~. If F is the criterion function whose the convex F - 0 is
1.1 B a c k g r o u n d o n M o d e l i n g
the indicatrice function of qo.

(,o-- 0 if F<0---+kP--0
- (22)
(,o - - o c if F -- 0 ---~/~_P=/=0
Then, some mathematics prove that

.p_ OF/.
gij ~ if
F--0 and lb-0 (23)
vK = - OF ,{
OAK
"P-0 }
gij if F<0 or F<0 (24)
"r - 0
This is the generalized normality rule of standard materials for which ~. is the
multiplier calculated by the consistancy condition f - 0, f - 0.
1.1.4 IDENTIFICATION
The set of constitutive equations is fully defined if the two potentials ~ and ~0
take appropriate close forms: this is the qualitative identification. The numerical
response of the constitutive equations to any input is obtained if the materials
parameters take the appropriate values: this is the quantitative identification.
1.1.4.1 QUALITATIVE IDENTIFICATION
Assume an interest in several phenomena for which q internal variables have

been identified. Which functions should one choose for J/(~e, e_P,T, V 1 . . . Vq)
and q0(cr,A1... Aq, grad Y;~ ~, T, V1. . . Vq)?
If a phenomenon is known as linear, the corresponding potentials are
positive definite quadratic functions. For linear elasticity, for example,
1
- (25)
where p is the density and E the Hooke tensor. m
If two phenomena I and J are known to be coupled, the corresponding

potentials should verify
9 a state coupling: 020/OVIc~Vj r 0
9 or an evolution coupling: 02qo/OViOVj ~ 0
If no coupling occurs 02d//c3V~OVj - 0 and 02qo/OVxOVj - O.
10 Lemaitre
Following is an example of elasticity coupled to damage represented by the

variable D:
02~
ODO~ # 0 (26)
1
~e -- ~pp EijkZg~jg~Z"HI (D) +-- multiplication of functions (27)
If such coupling would not have existed, we would have written

1 r
~e - -~pEijkz~ij~l + H2(D) ,--- addition of functions (29)
that is, c926/c9Dc%~ - 0

0G
For nonlinear phenomena, often power functions are used, but for
phenomena which asymptotically saturate, exponential functions are
preferred. Often this choice is subjective. Nevertheless, micromechanics
analysis may yield logical functions with regard to the micromechanisms
introduced at microscale. It consists of the calculation of the energy involved
in a RVE by a proper integration or an average of the elementary energies
corresponding to the micromechanisms considered.
Qualitative experiments are used to point out the tendencies of evolution,
but they do not concern the potentials in themselves because simple direct
measurements of energy is not possible. Measurements concern the evolution
of variables: strain as a function of stress, crack length as a function of time,
etc. This means that the potentials are identified from an integration of what is
observed. For example, an observation of the secondary creep plastic strain
rate as a nonlinear function of the applied stress in creep tests given by the
phenomenological Norton law ~ p - (o/K) N is introduced in the dissipative
potential as
q~ 1
if some multiaxial experiments show that the von Mises criterion is fulfilled
(r~r is the yon Mises equivalent stress).
1.1 Background on Modeling 11
1.1.4.2 QUANTITATIVEIDENTIFICATION
This is the weakest point of the mechanics of materials. All the parameters
introduced in constitutive equations (Young's modulus E and Poisson's ratio v
in elasticity, Norton's parameters K and N in creep, etc.) differ for each
material and are functions of the temperature. Since there are thousands of
different materials used in engineering and since they change with the
technological progress of elaboration processes, there is no way to built
definite, precise databases. Another point is that when a structural calculation
is performed during a design, the definitive choice of materials is not
achieved, and, even if it is, nobody knows what the precise properties of the
materials elaborated some years after will be. The only solution is to perform
the structural calculations with the models identified with all known
information and to update the calculations each time a new piece of
information appears, even during the service of the structure. This, of course,
necessitates close cooperation between the designers and the users.
1.1.4.2.1 Sensibility to Parameters
When a model is being used, all material parameters do not have the same
importance for the results: a small variation of some of them may change the
results by a large amount, whereas a large variation of others has a small
influence. For example, a numerical sensibility analysis on the parameters cry,
K, and M on the shape of the stress-strain curve, graph of the simple model of
uniaxial plasticity
- + K4/ (32)
shows that the more sensible parameter is Cry;by taking an approximate value
of M ( M = 3 , 4 , 5 ) , it is always possible to adjust K in order to have a
satisfactory agreement. But a good correlation with the set of available data
does not prove that the model is able to give satisfactory results for cases far
away from the tests used for the identification.
Before any quantitative identification of a model is made, it is advisable to
perform a sensibility analysis in order to classify by increasing order of sensibility
the parameters, M, K, cry here for example, and to proceed as follows:
1.1.4.2.2 Rough Estimation of Parameters

From all known data, make a first estimation of the parameters using all
approximations in the model in order to have the same number of unknowns
as the number of pieces of information. Eventually, take values of parameters
corresponding to materials that are close in their chemical composition.
12 Lemaitre
Continue with the same example of the preceding plasticity model for a
mild steel for which cry is known as 300 MPa. If the ultimate stress cru is known
as 400 MPa for a plastic strain to rupture epu ~ 0.20, then taking M = 1 allows
one to find K ~ 500 MPa.
These approximate values of the parameters may be taken as a starting
solution of an optimization process.
1.1.4.2.3 Optimization Procedure
If now more experimental results are available, an optimization procedure

may be performed to minimize the difference between the test data and the
prediction of those tests by the full numerical resolution of the model. The
least-square method is advantageously used.
Unfortunately, in the range of nonlinear models, the minimization of the
error function may have several solutions due to local minima or fiat
variations for which the gradient methods converge extremely slowly. This is
why the starting solution should be as close as possible to the optimized
solution and why one should give different weight factors to the parameters
in order "to help" the numerical procedure: small weight factors to less
sensible parameters.
1.1.4.2.4 Validation
The process is not finished until the model has been applied and compared to
special tests which have not been used for the identification. Of course, the
model should be applied to the identification cases, but this is only for
checking the identification procedure.
These validation tests must be as close as possible to the case considered
for applications, and as far as possible from the identification tests m close or
far in the sense of variables. For example:
9 biaxial tests if the tests of identification were uniaxial;

9 nonisothermal tests if the tests of identification were conducted at
constant temperature;
9 tests with gradient of stress or of other variables;
9 different time scales;
9 etc.
The comparison between validation tests and prediction gives concrete ideas
about the applicability of the models from the point of view of accuracy
and robustness.
1.1 Background on Modeling 13
1.1.5 VALIDITY DOMAIN
Sometimes people say that "a good model should only be used to interpolate
between good tests." I do not agree with this pessimistic view because to
interpolate between tests results a "good polynome" is sufficient. A model is
something more. First, it includes ideas on the physical mechanisms involved;
second, it is a logical formulation based on general concepts; and third, only
after that, it is numbers.
The domain of validity of a model is the closed domain in the space of
variables inside which any resolution of the model gives an acceptable
accuracy. For the preceding model of plasticity, this is 0 < a < 400 MPa,
0 < ~p <0.2 for a relative accuracy of about &plop ,~ 10% on plastic strain for
a given stress.
The bounds are difficult to determine; they are those investigated by the
identification tests program, plus "motivated" extrapolations based on well-
established concepts. Time extrapolation is the most crucial because the
identification procedure deals within a time range of hours, days, or months,
whereas the applications of models deal within a time range of years or
decades. In such long periods of time phenomena of aging and changing
properties can occur which may be not included in the models. Aging
and change of properties by "in-service incidents" are certainly still
open problems.
1.1.6 CHOICE OF MODELS
The best model for a given application must be selected with much care and
critical analysis. First of all, investigate all the phenomena which may occur
and which have to be checked in the application: for example, monotonic or
cyclic plasticity.
Then determine the corresponding variables which should exist in the
model: for example, cyclic plasticity needs a kinematic hardening variable.
Check the domain of validity of the possible models in comparison to what
is expected in the application and select the simplest that has a good ratio of
quality to price, the quality being the accuracy and the price the number of
materials parameters to identify. /t
The choice of the model depends also on the available data to identify the
material parameters for the material concerned. Fortunately, often the
structural calculations are performed to compare different solutions in order
to optimize a design. In that case, good qualitative results are easily obtained
with rough estimations of the parameters.
14 Lemaitre
1.1.7 NUMERICAL IMPLEMENTATION
The last activity in modeling is the numerical use of the models. Most of them,
in mechanics of materials, are nonlinear and incremental procedures are used
together with iterations. For example, in plasticity:
9 In a first step the incremental strain field is calculated by means of the

kinetic equations from momentum equations.
9 The second step concerns the integration of the constitutive equations to
obtain the increments of the state variables and their new values.
9 The third step consists in checking the momentum balance equation for
the actual stresses; if violated the iteration process goes to step 1 until a
given accuracy is obtained.
The Newton-Raphson method is often used. Implicit scheme in quasi-static

conditions or explicit scheme in dynamic conditions are used until the end of
the loading history or if a divergence appears as a loss of ellipticity or a strain
localization characteristic of softening behavior.
BIBLIOGRAPHY
Ashby, M., and Jones, D. (1987). Engineering Materials, vols. 1 and 2. Oxford: Pergamon Press.
Francois, D., Pineau, A., and Zaoui, A. (1998). Mechanical Behavior of Materials, vols. 1 and 2.
Dordrecht: Kluwer Academic Publishers.
Lemaitre, J., and Chaboche, J. L. (1995). Mechanics of Solid Materials, Cambridge: Cambridge
University Press.
SECTION 1.2
Materials and Process

Selection Methods
YVES BRECHET
L.T.P.C.M. BP75, Institut National Polytechnique de Grenoble. 38402 St Martin d'Heres
Cedex, France
Contents
1.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.2.2 Databases: The Need for a Hierarchical
Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.2.3 Comparing Materials: The Performance
Index Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.2.4 The Design Procedure: Screening, Ranking,
and Further Information, the Problem of
Multiple Criteria Optimization . . . . . . . . . . . . . . . 22
1.2.5 Materials Selection and Materials
Development: The Role of Modeling . . . . . . . . . . 24
1.2.6 Process Selection: Structuring the Expertise .. 26
1.2.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
1.2.1 I N T R O D U C T I O N
Designing efficiently for structural applications requires both a proper

dimensioning of the structure (involving as a basic tool finite element
calculations) and an appropriate choice of the materials and the process used
to give them the most suitable shape. The variety of materials available to the
engineer (about 80,000), as well as the complex set of requirements which
define the most appropriate material, lead to a multicriteria optimization
problem which is in no way a trivial one. In recent years, systematic methods
for materials and process selection have been developed [1-4] and
Handbook of Materials Behavior Models. ISBN 0-12-443341-3.

Copyright 9 2001 by Academic Press. All rights of reproduction in any form reserved. 15
16 Brechet
implemented into selection softwares [5-7] which ideally aim at selecting

the best materials early enough in the design procedure so that the best
design can be adequately chosen. This selection guide is most crucial
at the early stages of design: there would be no hope of efficiently
implementing a polymer matrix composite solution on a design initially
developed for a metallic solution. Selecting the most appropriate materials is a
task which should be done at the very beginning of the design procedure
and all along the various steps, from conceptual design to detail design
through embodiment design. The coupling with other design tools should at
the very least provide finite element codes with constitutive behavior
for the materials which appear the most promising. A more ambitious
program, yet to be implemented, is to interface these elements with expert
systems which would guide the designer toward shapes or processes more
suited to a given class of materials, and which ultimately would help
to redesign the component in an iterative manner according to the
materials selection.
These methods require databases of materials and tools to objectively
compare materials for a given set of requirements. The amount of modeling
needed in these methods is still quite elementary. In the present paper, we will
focus on the tools used to compare materials rather than on their
implementation as computer software. The modeling involved in the
performance index method (Section 1.2.2) is standard strength of materials.
The search for an optimal solution sometimes requires more refined
optimization techniques (Section 1.2.3). We will outline in Section 1.2.4
the possible use of micromechanics and optimization methods in the
development of materials with the aim of meeting a giving set of
requirements. In Section 1.2.5 we will illustrate the need to structure and
store the expertise in process selection, and will outline the need for modeling
in this area.
1.2.2 DATABASES: T H E N E E D F O R A
HIERARCHICAL APPROACH
Material selection methods are facing a dilemma: the structure of the

databases and the selection tools have to be as general as possible to be easily
adaptable to a variety of situation. But this general structure is bound to fail
when the selection problem is very specific (such as, for instance, selecting
cast alloys). The methodology for materials selection presented in this paper
is a compromise in this dilemma. We will present first the generic approach,
and then some specific applications. The idea is always to go from the
1.2 Materials and Process Selection Methods 17
most generic approach to the most specific one. In order to do so, the
materials databases have to be organized in a hierarchical manner so
that the selection at a given level orients the designer toward a more
specific tool.
Depending on the stages of design at which one considers the question of
materials selection, the level of information required will be different [1]. In
the very early stages, all possible materials should be considered, and
therefore a database involving all the materials classes is needed. Accordingly,
at this level of generality, the properties will be stored as ranges with
relatively low precision. When the design procedure proceeds, more and more
detailed information is needed on a smaller number of materials classes.
Properties more specific to, say, polymers (such as the water intake
or the flammability) might be referred to in the set of requirements. In the last
stages of design, a very limited number of materials, and finally one
material and a provider, have to be selected: at this level, very
precise properties suitable for dimensioning the structure are needed.
This progressive increase in specialization motivates a hierarchical approach
to databases used in materials selection tools: instead of storing all
the possible properties for a huge number of materials, which is bound to
lead to a database loaded with missing information, the choice has been to
develop a series of databases incorporating each a few hundreds of
materials. The generic database comprises metals, polymers, ceramics,
composites, and natural materials. Specialized databases have been developed
for steels, light alloys, polymers, composites, and woods. More specialized
databases coupling the materials and the processes (such as cast alloys, or
polymer matrix composites) can then be developed, but their format is
different from the previous databases.
The set of requirements for structural applications is very versatile. Of
course, mechanical properties are important (such as elastic moduli, yield
stresses, fracture stresses, or toughness). These properties can be stored as
numerical values. But very often, information such as the possibility of getting
the materials as plates or tubes, the possibility of painting or joining it
with other materials, or its resistance to the environment which can be
potentially chemically aggressive, are also important. All the databases
currently developed contain numerical information, qualitative estimates, and
boolean evaluations. More recent tools [6] also allow one to store not only
numbers, but also curves (such as creep curves for polymers, at a given
temperature under a given strength). When a continuum set of data has to be
stored, such as creep curves or corrosion rates, being able to rely on a model
with a limited number of parameters (such as Norton's law for creep)
considerably increases the efficiency of the storing procedure. For a database
to be usable for selection purposes, it should be complete (sometimes needing
18 Brechet
some estimation procedure), it should not overemphasize one material with

respect to the others, and it should contain data which are meaningful for all
the materials in the database.
The databases used in materials selection are of two types: either they list
the materials which are possible candidates, or they store the elements from
which the possible candidates are made. The first case is rather simple:
provided a correct evaluation function is defined, the ranking of the
candidates can be done by simple screening of the database. The second
case, for instance, when the database lists the resins and the fibers involved in
making a composite material, requires both micromechanical tools to evaluate
the properties of the materials from the properties of its components, and also
more subtle numerical methods that are able to deal with a much larger
(virtually infinite) set of possible candidates. Steepest gradient methods,
simulated annealing, and genetic algorithms are possible solutions for these
complex optimization problems.
In principle, one should try to select materials and processes simulta-
neously, since it is very often in terms of competition between various
couples (materials/processes) that the selection problem finally appears:
should one make an aiplane wing joining components obtained from
medium-thickness plates of aluminum alloys, or should one machine the
wing components inside a thick plate of a less quench sensitive alloy the wing
together with the stiffeners? The coupling between processes and materials
properties is still very poorly taken into account in the current selection
procedures. Processes are also selected from databases of attributes for the
different processes (such as the size of the components, the dimensional
accuracy, or the materials accessible to a given process). The databases for
process attributes have the same structure as the ones for materials, and the
same hierarchical organization, and information can be numeric, qualitative,
or boolean.
Beside the variety of properties (for materials) and attributes
(for processes) involved in a selection procedure, depending on the stage
of selection, one is either confronted with a very open end set of requirements,
or with always the same set of questions. In the first situation, one
needs a very versatile tool, but because of combinatoric explosion, one cannot
afford to deal with questions involving interactions that are too complex
between various aspects, (such as "this shape, for this alloy, assuming
this minimal dimension, is prone during casting to exhibit hot tearing").
On the other hand, when the selection becomes very focused (such as
selection of joining methods), the set of requirements to be fulfilled has
basically always the same format: it can be stored as a "predefined
questionnaire" which allows more refined questions to be asked since they
are in a limited number.
1.2.3 COMPARING MATERIALS: THE

PERFORMANCE INDEX METHOD
The databases are the hard core of the selection procedure: up to a certain
point they can be cast in a standard format, which has been used in CMS, CPS,
and CES software. When selection reaches a high degree of specialization,
more specific formats have to be implemented, and a questionnaire approach
rather than an "open-end selection" might be more efficient. But a database
would be of little use without an evaluation tool able to compare the different
materials. Simple modeling allows one to build such a tool, but the price to be
paid is that dimensioning of the structure using this method is very crude.
One has to keep in mind that the aim is to identify the materials for which
accurate structural mechanics calculations will have to be performed later on.
Each set of requirements has to be structured in a systematic manner: What
are the constraints? What are the free and the imposed variables? What is the
objective? For instance, one might look for a tie for which the length L is
prescribed and the section S is free (free and imposed dimensions), which
shouldn't yield under a prescribed load P (constraints), and which should be
of minimum weight (objective). The stress which should not exceed the yield
stress is
P
- < ay (1)
S-
The mass of the component to be minimized is
M = p.L.s (2)
The constraint not to yield imposes a minimum value for the section S. The
mass of the component is accordingly at least equal to
Therefore, the material which will minimize the mass of the component will
be the one which maximizes the "performance index" I:
I =ay (4)
P
This very simple derivation illustrates the method for obtaining performance
indices: write the constraint and the objectives, eliminate the free variable,
and identify the combination of materials properties which measures the
efficiency of materials for a couple (constraints/objectives). These perfor-
mance indices have now been derived for many situations corresponding to
simple geometry (bars, plates, shells, beams) loading in simple modes
(tension, torsion, bending), for simple constraints (do not yield, prescribed
20 Brechet
stiffness, do n o t b u c k l e . . . ) , a n d for v a r i o u s objectives ( m i n i m u m w e i g h t ,

m i n i m u m v o l u m e , m i n i m u m cost). T h e y h a v e b e e n e x t e n d e d to t h e r m a l
a p p l i c a t i o n s . T h e w a y to derive a p e r f o r m a n c e i n d e x for a real s i t u a t i o n is to:
- s i m p l i f y the g e o m e t r y a n d the l o a d i n g ;
- i d e n t i f y the free variables;
- m a k e e x p l i c i t the c o n s t r a i n t u s i n g s i m p l e m e c h a n i c s ;
- w r i t e d o w n the objective; a n d
- e l i m i n a t e the free v a r i a b l e s b e t w e e n the c o n s t r a i n t a n d the objectives.
TABLE 1.2.1 Classical performance indices for mechanical design for strength or stiffness at
minimum weight.
Performance
Objective Shape Loading Constraint index
Stiffness design with a minimal mass
Minimize the mass Tie Tension Stiffness and length E/p
prescribed, section free
Minimize the mass Beam Bending Stiffness, shape and E1/2/p
length fixed, section free
Minimize the mass Beam Bending Stiffness, width and E1/3/p
length fixed, height free
Minimize the mass Plate Bending Stiffness length width E1/3/p
fixed, thickness free
Minimize the mass Plate Com- Buckling load fixed, E1/3/p
pression length width fixed,
thickness free
Minimize the mass Cylinder Internal Imposed maximum E/p
pressure elastic strain, thickness
of the shell free
Strength design with a minimal mass

Minimize the mass Tie Traction Strength, length fixed, ae/p
section free
Minimize the mass Beam Bending Strength, length fixed, a2/3/p
section free
Minimize the mass Plate Bending Strength, length ale/2/p
and width fixed,
thickness free
Minimize the mass Cylinder Internal Imposed pressure, the ae/p
pressure materials shall not yield,
thickness of the shell free
Table 1.2.1 gives some standard performance indices currently used in

mechanical design. Many others have been derived, both for mechanical and
thermo-mechanical loading [ 1,4].
A simple way to use the performance index is with the so-called selection
maps shown in Figure 1.2.1: on a logarithmic scale the lines corresponding to
equal performances are straight lines whose slopes depend on the exponents
entering the performance index. Figure 1.2.1 shows one of these maps used
for stiff components at minimum mass. Materials for stiff ties should
maximize E/p, materials for stiff beams should maximize E1/2/p, and
materials for stiff plates should maximize E1/3/p.
These performance indices have a drawback, however: they are
concerned with time-independent design, the component is made so that it
1000
1. Modulus-Density
"Youngs Modulus E
(G = 3E/8 ; K,= E.)
MFA:INH}I
J
t, f
-'En~i,needn~
(p'~ 89 "/ Composites
tlO
/
/
f J"
"0
0 / Engineedn,,
3x10 a Polymers
m 1.0
r
t HDPE
Guide Unes
LDPE
for Minimum
0.1
~/
..s ~_..~ /r
Elastomers /
/
.3xlo = rV I ~ / ,/
0.01;. i
"/. 1 ,I t,,I I I ,,"= Cl ) I I I I I
I
0.3 1.0 3 10 80
Density, p (Mg/m3)
FIGURE 1.2.1 Selection map for stiff light design [1].
22 Brechet
should fulfill its function when it starts being used, and it is assumed it
will be so for the rest of its life. Of course, this is rarely the case, and one
often has to design for a finite lifetime. As a consequence, for instance, in
designing for creep resistance or corrosion resistance, a new set of
performance indices involving rate equations (for creep or corrosion)
has been developed [8,9]. The performance indices then depend not
only on the materials properties, but also on operating conditions such as
the load, or the dimensions, or the expected lifetime. For instance, large-scale
boilers are generally made out of steel, whereas small-scale boilers
are often made in copper. In principle, finite lifetime design is
possible within the framework of performance indices, but the data
available to effectively apply the method are much more difficult to
gather systematically.
1.2.4 T H E D E S I G N P R O C E D U R E : S C R E E N I N G ,
RANKING, AND FURTHER INFORMATION,
THE PROBLEM OF MULTIPLE"
CRITERIA OPTIMIZATION
The previous method allows one to compare very different materials for a
given set of requirements formulated as a couple (constraint/objective).
However, in realistic situations, a set of requirements comprises many of these
"elementary requirements." Moreover, only part of the requirements can
indeed be formated that way. A typical selection procedure will proceed in
three steps:
1. At the screening stage, materials will be eliminated according to their

properties: only those that could possibly do the job will remain. For
instance, for a component in a turbine engine, the maximum operating
temperature should be around 800C: many materials won't be able to
fulfill this basic requirement, and can be eliminated even without
looking for their other properties.
2. At the ranking stage, a systematic use of performance indices is made:
the problem is then, among admissible materials, to find the ones which
will do the job most efficiently, that is, at the lowest cost, with the lowest
mass, or the smallest volume. The ranking will be made according to a
"value function" which encompasses the various aspects of the set of
requirements. The problem of defining such a value function for
multiple criteria optimization will be dealt with in the next paragraph.
3. For the remaining candidates that are able to fulfill the set of
requirements efficiently, further information is often needed concerning
corrosion rates, wear rates, or possible surface treatments. These pieces
of information are scattered in the literature, and efficient word-
searching methods are required to help with this step. At the same step,
the local conditions, or the availability of the different possible
materials, will also be a concern.
The three steps in the selection procedure are also a way to structure
process selection. The screening stage will rely on attributes such as the size of
the component and the materials from which it is made. The ranking step will
need a rough comparative economic evaluation of the various processes,
involving the batch size and the production rate. The last step will depend on
the availability of the tooling and the will to invest.
It appears from these various aspects of the selection procedure that a key
issue is to build a "value function" that is able to provide one with a fair
comparison of the different possible solutions. The performance index
method is the first step in building this value function. The second step is to
deal with the multicriteria nature of the selection process. This multicriteria
aspect can be conveniently classified in two categories: it might be a
multiconstraint problem, or a multiobjective problem (in any real situations,
it is both!). In a multiconstraint problem (such as designing a component
which should neither yield nor fail in fatigue), the problem is to identify the
limiting constraint. In order to do so, further knowledge on the load and the
dimensions is needed. A systematic method called "coupled equations" [10]
allows one to deal with this problem. In a multiobjective problem (such as
designing a component at minimum weight and minimum cost), one needs to
identify an "exchange coefficient" [10] between the two objectives, for
instance, how much the user is ready to pay for saving weight. These
exchange coefficients can be either obtained from a value analysis of the
product or from the analysis of existing solutions [4]. They allow one to
compute a value function, which is the tool needed to rank the possible
solutions. Both the value analysis and the coupled equation method provide
one with an objective treatment of the multiple criteria optimization.
However, they require extra information compared to the simple performance
index method. When this information is not available, one needs to make use
of methods involving judgments. The most popular one is the "weight
coefficients method," which attributes to each criteria a percentage of
importance. The materials are then compared to an existing solution. It must
be stressed that the value function so constructed depends on the choice of
both the weighting factors and the reference material. Weighting factors are
difficult to evaluate; moreover, multiple criteria often lead to no solution at all
24 Brechet
due to an excessive severity. Multiple optimization also implies the idea of

compromise between the various requirements. For this reason, algorithms
involving fuzzy logic methods [3] have been developed to deal with the
intrinsic fuzziness of the requirements (two values will be given, one above
which the satisfaction is complete, one under which the material will
be rejected). Proposed situations at the margin of full satisfaction will be
proposed for evaluation, and the value function will be constructed so that it
will give, for the same questions, the same evaluation as the user. This
technique bypasses the difficulty in giving a priori value coefficients, since
they are then estimated from the evaluation-proposed solutions. However,
these methods still involve judgments (though in a controlled manner), and,
when possible, the objective methods should be preferred.
Once the value function is available, the selection problem becomes an
optimization one. When the database is finite, the optimization can be
performed by a simple screening of all the available solutions. The method has
been extended to the optimal design of multimaterials components such as
sandwich structures [11, 12]. The aim is then to simultaneously select the
skin, the core, and the geometry for a set of requirements involving stiffness
and strength, constraints on the thickness, objectives on the minimization of
the weight, or the cost. For single criteria selection, an analytical method was
derived [13]. For multiple criteria, such a method is no longer available, and
the selection requires one to compute the properties of a sandwich from
the properties of its components and its geometry, and to compare all the
possible choices. In order to find the optimal solution, a genetic algorithm was
used. The principle is to generate a population of sandwiches whose "genes"
are the materials and the geometry. New sandwiches are generated, either by
mutation or by crossover between existing individuals, and the population is
kept constant in size by keeping the individuals alive with a
greater probability when their efficiency (measured by the value function)
is greater. In such a way, the algorithm converges very rapidly to a very
good solution.
1.2.5 M A T E R I A L S S E L E C T I O N A N D M A T E R I A L S
DEVELOPMENT: THE ROLE OF MODELING
In the previous sections, we were interested in selecting materials and

processes to fulfil a set of requirements. The only modeling needed
at this stage is a simplified estimation of the mechanical behavior of the
component, together with a clear identification of the constraints
and the objectives. The value function allowing one to estimate the efficiency
of the different solutions is itself a simple linear combination of the

performance indices corresponding to the dominant constraints identified
by a predimensioning.
However, the same method has been applied to identify suitable materials
whose development would fulfill the requirements. Composite materials are
especially suitable for this exercise because their value relies partly on the
possibility of tayloring them for application [14,15]. In order to design a
composite material, one has to identify the best choice for the matrix, for the
reinforcement, for the architecture of the reinforcement and its volume
fraction, and for the process to realize the component (which might be limited
by the shape to be realized). One needs relations, either empirical or based on
micromechanics models, between the properties of the components of the
composite and the properties of the material itself. Usually, the process itself
influences the properties obtained, which are lower than the properties of the
ideal composite that micromechanics models would provide. One could think
of introducing this feature in the modeling through interface properties, but it
is generally more convenient to store the information as "knock-down factors"
on properties associated with a triplet matrix/reinforcement/process.
Another application of materials selection methods using mechanical
modeling is the optimal design of glass compositions for a given set of
requirements: since the properties are, within a certain range, linearly
related to the composition, optimization techniques such as a simplex
algorithm are well adapted to this problem. When a continuous variable, such
as the characteristics of a heat treatment for an alloy, is available and is
provided, either through metallurgical modeling or through empirical
correlation, the properties can be given as a function of this variable,
and materials selection methods are efficient to design the best
treatment to be applied to fit a set of requirements. However, the
explicit models available for relations between processes and properties
are relatively few. Recent developments using Neural net-works to
identify hidden correlation in databases of materials can also be
applied and coupled to selection methods in order to design the best
transformation processes.
Another recent development in selection methods aims at reverting the
problem, that is, finding potential applications for new materials [4, 16, 17].
Several strategies have been identified: for instance, one can explore a
database of applications (defined by a set of requirements and existing
solutions) and find the applications for which the new material is better than
the existing solutions. Another technique is to identify the performance
indices for which the new material seems better than usual materials, and
from there, to find out the applications for which these performance indices
are relevant criteria.
26 Brechet
1.2.6 PROCESS SELECTION: STRUCTURING

THE EXPERTISE
In addition to selection by attributes of the process, which is efficient in the

first stages of selection, when one is confronted with a more specific problem,
such as selection of a definite cast aluminium alloy or a definite extruded
wrought alloy, or selection of a secondary process such as joining or surface
treatments, one is faced with the need to store expertise. For instance, for
selection of cast aluminium [3, 18] alloys, the key issue is not to define the
performance index; the key issue is to select the alloy which will be possible
to cast without defects. Mold filling and hot tearing are the central concerns in
this problem. The ability to fill a mold or to cast a component without cracks
depends on the alloy, on the geometry of the mold, and on the type of casting.
Ideally, one would wish to have models to deal with this question. In real life,
hot tearing criteria are not quantitatively reliable, mold-filling criteria are
totally empirical, and moreover, the properties of the cast alloy are dependent
on the solidification conditions, that is, on the thickness of the component.
These dependences are part of what is known as expertise. The simplest way
to store this expertise is build the set of requirements according to a
predefined questionnaire corresponding to the expert behavior. The second
option is to mimic the general tendency identified by the expert by a simple
mathematical function (for instance, capturing the tendency to increased hot
tearing with thinner parts of the component) and to tune the coefficients of
these functions by comparing the results of selection by a software with the
results known from the case studies available to the expert. Along these lines,
selection methods for cast alloys [18], extruded alloys [19], joining methods
[20,21], and surface treatments [4,22] have been developed to capture
various expertises. Clearly, modeling is still needed to rationalize the
empirical rules commonly used (such as the shapes which can be extruded
or cast), or to evaluate the cost of a process (for instance, for joining by laser,
or for a surface treatment one needs to find the best operating temperature,
power, speed, etc.).
1.2.7 CONCLUSIONS
The selection methods briefly presented in this chapter are recent

developments. The use of modeling in these approaches is still in its infancy.
In the last ten years, general methods and software have been developed to
select materials, to select processes, and to deal with multidesign element
conception and with multicriteria set of requirements.
TABLE 1.2.2 Selection softwares developed following the guidelines of the present paper.
Name of
the software Objectives of the software Comments/status
CMS Materials selection, graphical Commercially available

selection using maps; many
databases, generic or specialized
CPS Process selection, graphical Commercially available
method
CES Materials and process selection, Commercially available;
databases for materials, for constructor facility for development
processes and links between of dedicated databases
databases
Fuzzymat Materials selection, multicriteria Commercially available;
and fuzzy logic-based selection development of specialized
algorithm databases
CAMD Materials and process selection
for multidesign element
conceptions; expert system
to guide and analyze the
elaboration of requirements
Fuzzycast Selection of cast aluminium Property of Pechiney; expertise on
alloys; databases: casting processes, design rules
alloys/processes/geometry
Fuzzy- Design of polymer-based
composites composites; databases: resin,
reinforcements, processes,
and compatibilities
Sandwich Optimization of sandwich
selector structures; genetic algorithm
coupled with fuzzy logic
Fuzzyglass Optimization of glass Property of SaintGobain
compositions; simplex coupled
with fuzzy logic
Astek Selection of joining methods; Property of CETIM
databases: processes
and shapes
STS Selection of surface
treatments; database:
processes/materials/objectives
VCE Evaluation of exchange
coefficients from
existing solutions
MAPS Investigation of possible
applications for a new material
28 Brechet
Table 1.2.2 gives a list of selection tools developed along the philosophy
described in this chapter. These generic methods have been specialized to
various classes of materials and processes. In special situations, a coupling
with modeling made possible the use of the present methods to develop new
materials or new structures (composites, sandwich structures). For specific
processes (casting, joining, extrusions, surface treatments), the selection
procedure developed was closer to an expert system, following a predefined
questionnaire. Various methods of finding applications for a new material
have been put forward. Up to now, the choice has been to rely on empirical
knowledge when available, and to keep the selection procedure as transparent
and as objective as possible. The main reason for this paper to be included in a
book on models in mechanics is to express the need now to couple more
closely modeling to design so that one may go beyond empirical correlation
and optimize both the choice of materials and their future development.
REFERENCES
1. Ashby, M. (1999). Materials Selection in Mechanical Design, Butterworth Heinemann editor.

2. Esawi, A. (1994) PhD thesis, Cambridge University.
3. Bassetti, D. (1998) PhD thesis, Institut National Polytechnique de Grenoble.
4. Landru, D. (2000) PhD thesis, Institut National Polytechnique de Grenoble.
5. Granta Design, Cambridge Selection softwares: CMS (1995), CPS (1997), CES (1999).
6. Bassetti, Grenoble, Fuzzymat v3.0 (1997). Software for materials selection.
7. Landru, D., and Brechet, Y. Grenoble, (1999). CAMD.
8. Ashby, M., and Brechet, Y. Time Dependant Design (to be published).
9. Brechet, Y., Ashby, M., and Salvo, L. (2000). Methodes de choix des materiaux et des procedes,
Presses Universitaires de Lausanne.
10. Ashby, M., (1997). ASTM-STP 1311, 45, Computerization and Networking of Materials
Databases, Nishijima, S., and Iwata, S., eds.
11. Bassetti, D., Brechet, Y., Heiberg, G., Lingorski, I., Jantzen, A., Pechambert, P., and Salvo, L.
(1998). Materiaux et Techniques 5:31.
12. Deocon, J., Salvo, L., Lemoine, P., Landru, D., Brechet, Y., and Leriche, R. (1999). Metal Foams
and Porous Metal Structures, Banhardt, J., Ashby, M., and Fleck, N., eds., MIT Verlag
Publishing, p. 325.
13. Gibson, L., and Ashby, M. (1999). Cellular solids, Cambridge University Press.
14. Pechambert, P., Bassetti, D., Brechet, Y., and Salvo, L. (1996). ICCM7, London IOM, 283.
15. Bassetti, D., Brechet, Y., Heiberg, G., Lingorski, I., Pechambert, P., and Salvo, L. (1998).
Composite Design for Performance, p. 88, Nicholson, P., ed., Lake Louise.
16. Landru, D., Brechet, Y. (1996). Colloque Franco espagnol, p. 41, Yavari, R., ed., Institut
National Polytechnique de Grenoble.
17. Landru, D., Ashby, M., and Brechet, Y. Finding New Applications for a Material (to be
published).
18. Lovatt, A., Bassetti, D., Shercliff, H., and Brechet Y. (1999). Int. Journal Cast Metals Research
12: 211.
19. Heiberg, G., Brechet, Y., Roven, H., and Jensrud, O. Materials and Design (in press, 2000).
20. Lebacq, C., Jeggy, T., Brecht, Y., and Salvo, L. (1998). Materiaux et Techniques 5: 39.
21. Lebacq, C., Brechet, Y., Jeggy, T., Salvo, L., and Shercliff, H. (2000). Selection of joining
methods. Submitted to Materials and Design.
22. Landru, D., Esawi, A., Brechet, Y., and Ashby, M. (2000). Selection of surface treatments (to
be published).
SECTION 1.3
Size Effect on
Structural Strength
ZDENI~K P. BAZANT
Northwestern University, Evanston, Illinois
Contents
1.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
1.3.2 History of Size Effect up to Weibull . . . . . . . . . . 34
1.3.3 Power Scaling and the Case of No Size Effect. 36
1.3.4 Weibull Statistical Size Effect . . . . . . . . . . . . . . . . 38
1.3.5 Quasi-Brittle Size Effect Bridging Plasticity
and LEFM, and its History . . . . . . . . . . . . . . . . . . . 40
1.3.6 Size Effect Mechanism: Stress Redistribution
and Energy Release . . . . . . . . . . . . . . . . . . . . . . . . . . 42
1.3.6.1 Scaling for Failure at Crack Initiation.. 43
1.3.6.2 Scaling for Failures with a Long Crack
or Notch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
1.3.6.3 Size Effect on Postpeak Softening
and Ductility . . . . . . . . . . . . . . . . . . . . . . . . . 47
1.3.6.4 Asymptotic Analysis of Size Effect
by Equivalent LEFM . . . . . . . . . . . . . . . . . . 48
1.3.6.5 Size Effect Method for Measuring
Material Constants and R-Curve . . . . . . . 49
1.3.6.6 Critical Crack-tip Opening
Displacement, 6C~OD. . . . . . . . . . . . . . . . . . 50
1.3.7 Extensions, Ramifications, and Applications .. 50
1.3.7.1 Size Effects in Compression F r a c t u r e . . 50
*Thanks to the permission of Springer Verlag, Berlin, this article is reprinted from Archives of
Applied Mechanics (Ingenieur-Archiv) 69, 703-725. A section on the reverse size effect in
buckling of sea ice has been added, and some minor updates have been made. The figures
are the same.

30 Copyright 9 2001 by Academic Press. All rights of reproduction in any form reserved.
1.3 Size Effect on Structural Strength 31
1.3.7.2
Fracturing Truss Model for Concrete
and Boreholes in Rock . . . . . . . . . . . . . . . 51
1.3.7.3 Kink Bands in Fiber Composites . . . . . 52
1.3.7.4 Size Effects in Sea Ice . . . . . . . . . . . . . . . 52
1.3.7.5 Reverse Size Effect in Buckling of
Floating Ice . . . . . . . . . . . . . . . . . . . . . . . . . 54
1.3.7.6 Influence of Crack Separation Rate,
Creep, and Viscosity . . . . . . . . . . . . . . . . . 55
1.3.7.7 Size Effect in Fatigue Crack Growth.. 56
1.3.7.8 Size Effect for Cohesive Crack Model
and Crack Band Model . . . . . . . . . . . . . . 56
1.3.7.9 Size Effect via Nonlocal, Gradient,
or Discrete Element Models . . . . . . . . . . 58
1.3.7.10 Nonlocal Statistical Generalization
of the Weibull Theory . . . . . . . . . . . . . . . 59
1.3.8 Other Size Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
1.3.8.1 Hypothesis of Fractal Origin of
Size Effect . . . . . . . . . . . . . . . . . . . . . . . . . . 60
1.3.8.2 Boundary Layer, Singularity,
and Diffusion . . . . . . . . . . . . . . . . . . . . . . . 61
1.3.9 Closing Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Acknowledgment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
References and Bibliography . . . . . . . . . . . . . . . . . . . . . . . 62
The article attempts a broad review of the problem of size effect or scaling of
failure, which has recently come to the forefront of attention because of its
importance for concrete and geotechnical engineering, geomechanics, and
arctic ice engineering, as well as in designing large load-bearing parts made of
advanced ceramics and composites, e.g., for aircraft or ships. First the main
results of the Weibull statistical theory of r a n d o m strength are briefly
s u m m a r i z e d and its applicability and limitations described. In this theory as
well as plasticity, elasticity with a strength limit, and linear elastic fracture
mechanics (LEFM), the size effect is a simple power law because no
characteristic size or length is present. Attention is then focused on the
deterministic size effect in quasi-brittle materials which, because of
the existence of a non-negligible material length characterizing the size
of the fracture process zone, represents the bridging between the simple
power-law size effects of plasticity and of LEFM. The energetic theory of
quasi-brittle size effect in the bridging region is explained, and then a host of
32 Ba~.ant
recent refinements, extensions, and ramifications are discussed. Comments on

other types of size effect, including that which might be associated with
the fractal geometry of fracture, are also made. The historical development
of the size effect theories is outlined, and the recent trends of research
are emphasized.
1.3.1 INTRODUCTION
The size effect is a problem of scaling, which is central to every physical

theory. In fluid mechanics research, the problem of scaling continuously
played a prominent role for over a hundred years. In solid mechanics
research, though, the attention to scaling had many interruptions and became
intense only during the last decade.
Not surprisingly, the modern studies of nonclassical size effect, begun in
the 1970s, were stimulated by the problems of concrete structures, for which
there inevitably is a large gap between the scales of large structures (e.g.,
dams, reactor containments, bridges) and the scales of laboratory tests. This
gap involves in such structures about one order of magnitude (even in the rare
cases when a full-scale test is carried out, it is impossible to acquire a
sufficient statistical basis on the full scale).
The question of size effect recently became a crucial consideration in the
efforts to use advanced fiber composites and sandwiches for large ship hulls,
bulkheads, decks, stacks, and masts, as well as for large load-bearing fuselage
panels. The scaling problems are even greater in geotechnical engineering,
arctic engineering, and geomechanics. In analyzing the safety of an excavation
wall or a tunnel, the risk of a mountain slide, the risk of slip of a fault in the
earth crust, or the force exerted on an oil platform in the Arctic by a moving
mile-size ice floe, the scale jump from the laboratory spans many orders
of magnitude.
In most mechanical and aerospace engineering, on the other hand, the
problem of scaling has been less pressing because the structural components
can usually be tested at full size. It must be recognized, however, that even in
that case the scaling implied by the theory must be correct. Scaling is the most
fundamental characteristics of any physical theory. If the scaling properties of
a theory are incorrect, the theory itself is incorrect.
The size effect in solid mechanics is understood as the effect of the
characteristic structure size (dimension) D on the nominal strength c~N of
structure when geometrically similar structures are compared. The nominal
stress (or strength, in case of maximum load) is defined as crN = cNP/bD or
cNP/D2 for two- or three-dimensional similarity, respectively; P = load
(or load parameter), b structure thickness, and cN arbitrary coefficient chosen

for convenience (normally cN---1). So crN is not a real stress but a
load parameter having the dimension of stress. The definition of D can be
arbitrary (e.g., the beam depth or half-depth, the beam span, the diagonal
dimension, etc.) because it does not matter for comparing geometrically
similar structures.
The basic scaling laws in physics are power laws in terms of D, for which
no characteristics size (or length) exists. The classical Weibull [113] theory of
statistical size effect caused by randomness of material strength is of this type.
During the 1970s it was found that a major deterministic size effect,
overwhelming the statistical size effect, can be caused by stress redistributions
caused by stable propagation of fracture or damage and the inherent
energy release. The law of the deterministic stable effect provides a way of
bridging two different power laws applicable in two adjacent size ranges. The
structure size at which this bridging transition occurs represents a charac-
teristic size.
The material for which this new kind of size effect was identified first, and
studied in the greatest depth and with the largest experimental effort by far, is
concrete. In general, a size effect that bridges the small-scale power law for
nonbrittle (plastic, ductile) behavior and the large-scale power law for brittle
behavior signals the presence of a certain non-negligible characteristics length
of the material. This length, which represents the quintessential property of
quasi-brittle materials, characterizes the typical size of material inhomogene-
ities or the fracture process zone (FPZ). Aside from concrete, other quasi-
brittle materials include rocks, cement mortars, ice (especially sea ice),
consolidated snow, tough fiber composites and particulate composites,
toughened ceramics, fiber-reinforced concretes, dental cements, bone and
cartilage, biological shells, stiff clays, cemented sands, grouted soils, coal,
paper, wood, wood particle board, various refractories and filled elastomers,
and some special tough metal alloys. Keen interest in the size effect
and scaling is now emerging for various "high-tech" applications of
these materials.
Quasi-brittle behavior can be attained by creating or enhancing material
inhomogeneities. Such behavior is desirable because it endows the structure
made from a material incapable of plastic yielding with a significant energy
absorption capability. Long ago, civil engineers subconsciously but correctly
engineered concrete structures to achieve and enhance quasi-brittle
characteristics. Most modern "high-tech" materials achieve quasi-brittle
characteristics in much the same way by means of inclusions, embedded
reinforcement, and intentional microcracking (as in transformation toughen-
ing of ceramics, analogous to shrinkage microcracking of concrete). In effect,
they emulate concrete.
34 Ba~.ant
In materials science, an inverse size effect spanning several orders of

magnitude must be tackled in passing from normal laboratory tests of material
strength to microelectronic components and micromechanisms. A material
that follows linear elastic fracture mechanics (LEFM) on the scale of
laboratory specimens of sizes from 1 to 10cm may exhibit quasi-brittle or
even ductile (plastic) failure on the micrometer scale.
The purpose of this article is to present a brief review of the basic results
and their history. For an in-depth review with several hundred literature
references, the recent article by Ba~.ant and Chen [18] may be consulted. A
full exposition of most of the material reviewed here is found in the recent
book by Ba~.ant and Planas [32], henceforth simply referenced as [BP]. The
problem of scale bridging in the micromechanics of materials, e.g., the
relation of dislocation theory to continuum plasticity, is beyond the scope of
this review (it is treated in this volume by Hutchinson).
1.3.2 HISTORY OF SIZE EFFECT

UP TO WEIBULL
Speculations about the size effect can be traced back to Leonardo da Vinci in
the 16th century [118]. He observed that "among cords of equal thickness the
longest is the least strong," and proposed that "a cord is so much stronger as it
is shorter," implying inverse proportionality. A century later, Galileo Galilei
[64], the inventor of the concept of stress, argued that Leonardo's size effect
cannot be true. He further discussed the effect of the size of an animal
on the shape of its bones, remarking that bulkiness of bones is the weakness of
the giants.
A major idea was spawned by Mariotte [82]. Based on his extensive
experiments, he observed that "a long rope and a short one always support the
same weight unless that in a long rope there may happen to be some faulty
place in which it will break sooner than in a shorter," and proposed the
principle of "the inequality of matter whose absolute resistance is less in one
place than another." In other words, the larger the structure, the greater is the
probability of encountering in it an element of low strength. This is the basic
idea of the statistical theory of size effect.
Despite no lack of attention, not much progress was achieved for two and
half centuries, until the remarkable work of Griffith [66], the founder of
fracture mechanics. He showed experimentally that the nominal strength of
glass fibers was raised from 42,300 psi to 491,000 psi when the diameter
decreased from 0.0042 in. to 0.00013 in., and concluded that "the weakness of
isotropic solids ... is due to the presence of discontinuities or flaws . . . . The
effective strength of technical materials could be increased 10 or 20 times at

least if these flaws could be eliminated." In Griffith's view, however, the flaws
or cracks at the moment of failure were still only microscopic; their random
distribution controlled the macroscopic strength of the material but did not
invalidate the concept of strength. Thus, Griffith discovered the physical basis
of Mariotte's statistical idea but not a new kind of size effect.
The statistical theory of size effect began to emerge after Peirce [92]
formulated the weakest-link model for a chain and introduced the extreme
value statistics which was originated by Tippett [107] and Fr~chet [57] and
completely described by Fischer and Tippett [58], who derived the Weibull
distribution and proved that it represents the distribution of the minimum of
any set of very many random variables that have a threshold and approach the
threshold asymptotically as a power function of any positive exponent.
Refinements were made by von Mises [108] and others (see also
[62, 63,103,56]. The capstone of the statistical theory of strength was laid
by Weibull [113] (also [114-116]). On a heuristic and experimental basis, he
concluded that the tail distribution of low strength values with an extremely
small probability could not be adequately represented by any of the previously
known distributions and assumed the cumulative probability distribution of
the strength of a small material element to be a power function of the strength
difference form a finite or zero threshold. The resulting distribution of
minimum strength, which was the same as that derived by Fischer and Tippet
[58] in a completely different context, came to be known as the Weibull
distribution. Others [62,103] later offered a theoretical justification by means
of a statistical distribution of microscopic flaws or microcracks. Refinements
and applications to metals and ceramics (fatigue embrittlement, cleavage
toughness of steels at a low and brittle-ductile transition temperatures,
evaluation of scatter of fracture toughness data) have continued until today
[37, 56, 77, 101]. Applications of Weibull's theory to fatigue embrittled metals
and to ceramics have been researched thoroughly [75, 76]. Applications to
concrete, where the size effect has been of the greatest concern, have been
studied by Zaitsev and Wittmann [122], Mihashi and Izumi [88], Wittmann
and Zaitsev [121], Zech and Wittmann [123], Mihashi [84], Mihashi and
Izumi [85] Carpinteri [41,42], and others.
Until about 1985, most mechanicians paid almost no attention to the
possibility of a deterministic size effect. Whenever a size effect was detected in
tests, it was automatically assumed to be statistical, and thus its study was
supposed to belong to statisticians rather than mechanicians. The reason
probably was that no size effect is exhibited by the classical continuum
mechanics in which the failure criterion is written in terms of stresses and
strains (elasticity with strength limit, plasticity and viscoplasticity, as well
as fracture mechanics of bodies containing only microscopic cracks or
36 Ba~.ant
flaws) [8]. The subject was not even mentioned by S. P. Timoshenko in 1953
in his m o n u m e n t a l History of the Strength of Materials.
The attitude, however, changed drastically in the 1980s. In consequence of the
well-funded research in concrete structures for nuclear power plants, theories
exhibiting a deterministic size effect have developed. We will discuss it later.
1.3.3 POWER SCALING AND THE CASE OF

NO SIZE EFFECT
It is proper to explain first the simple scaling applicable to all physical systems
that involve no characteristic length. Let us consider geometrically similar
systems, for example, the beams shown in Figure 1.3.1a, and seek to deduce
the response Y (e.g., the m a x i m u m stress or the m a x i m u m deflection) as a
function of the characteristic size (dimension) D of the structure; Y = Yof(D)
~P
lf-i , I log CN Xk. Yield or strength
-':'-.\ Criteria
4-I + , ....I
D'
• J
a b log D
, Large-size
._. ","I" asymptotic
.,-. expansion
e-
(D ,, , " " " . _- . . . . .. . . . . ".X~
-~ Plasticity ~ 1~2
-~,-- /'I "'-~~"q~ Small-size
"[:
0
/ [',,~~ asymptotic
.-.
cez CN = B ft' (1 +~oo)-v2 I " , , , ~ Pexpansl~
Z '
o) Size-effectlaw I ",.J \<'x,,
_o by asymptotic matching ;o \ X ~c/
...... ] .
r log D (structure size)

FIGURE 1.3.1 a. Top left: Geometrically similar structures of different sizes, b. Top right: Power
scaling laws. c. Bottom. Size effect law for quasi-brittle failures bridging the power law of plasticity
(horizontal asymptote) and the power law of LEFM (inclined asymptote).
where u is the chosen unit of measurement (e.g., 1 m, i mm). We imagine

three structure sizes 1, D, and D' (Figure 1.3.1a). If we take size 1 as the
reference size, the responses for sizes D and D' are Y = f ( D ) and Y' = f ( D ' ) .
However, since there is no characteristic length, we can also take size D as the
reference size. Consequently, the equation
f(D')/f(D) = f(D'/D) (1)
must hold ([8, 18]; for fluid mechanics [2, 102]). This is a functional equation
for the unknown scaling law f(D). It has one and only one solution, namely,
the power law:
f(D) = (D/c1) ~ (2)
where s = constant and c1 is a constant which is always implied as a unit of

length measurement (e.g., i m, i mm). Note that Cl cancels out of Eq. 2 when
the power function (Eq. 1) is substituted.
On the other hand, when, for instance, f ( D ) = log(D/Cl), Eq. 1 is not
satisfied and the unit of measurement, cl, does not cancel out. So, the
logarithmic scaling could be possible only if the system possessed a
characteristic length related to Cl.
The power scaling must apply for every physical theory in which there is
no characteristic length. In solid mechanics such failure theories include
elasticity with a strength limit, elastoplasticity, and viscoplasticity, as well as
LEFM (for which the FPZ is assumed shrunken into a point).
To determine exponent s, the failure criterion of the material must be taken
into account. For elasticity with a strength limit (strength theory), or
plasticity (or elastoplasticity) with a yield surface expressed in terms of
stresses or strains, or both, one finds that s = 0 when response Y represents
the stress or strain (for example, the maximum stress, or the stress at certain
homologous points, or the nominal stress at failure) [8]. Thus, if there is no
characteristic dimension, all geometrically similar structures of different sizes
must fail at the same nominal stress. By convention, this came to be known as
the case of no size effect.
In LEFM, on the other hand, s = - 1 / 2 (for nominal strength), provided
that the geometrically similar structures with geometrically similar cracks or
notches are considered. This may be generally demonstrated with the help of
Rice's J-integral [8].
If log ~N is plotted versus log D, the power law is a straight line (Figure
1.3.1b). For plasticity, or elasticity with a strength limit, the exponent of the
power law vanishes, i.e., the slope of this line is 0, while for LEFM the slope is
-112 [8]. An emerging "hot" subject is the quasi-brittle materials and
structures, for which the size effect bridges these two power laws.
38 Ba~.ant
It is interesting to note that the critical stress for elastic buckling of beams,
frames, and plates exhibits also no size effect, i.e., is the same for
geometrically similar structures of different sizes. However, this is not true
for beams on elastic foundation [ 16].
1.3.4 WEIBULL STATISTICAL SIZE EFFECT
The classical theory of size effect has been statistical. Three-dimensional

continuous generalization of the weakest link model for the failure of a chain
of links of random strength (Fig. 1.3.2a) leads to the distribution
Pf(crs,,r)- 1 - exp [ - f v c[a(Z), oN)]dV(x)]
which represents the probability that a structure fails as soon as macroscopic

fracture initiates from a microcrack (or a some flaw) somewhere in the
structure; t r - stress tensor field just before failure, Z - coordinate vector,
V - volume of structure, and c ( t r ) - function giving the spatial concentration
of failure probability of material ( - V r l X failure probability of material
representative volume Vr) [62]; c(tr),~ ~-~iPl(tri)/Vo where oi -- principal
P1
)
)
)
)
) I
)
)
)
)
) i
) t /
I I
t
t
I
I
,,/ ,1 I i \ I - I ii i ", \
~1 9 i ! I0 i , i I ' I l
I " ' "
FIGURE 1.3.2 a. Left: Chain with many links of random strength, b. Right top: Failure
probability of a small element, c. Right bottom: Structures with many microcracks of different
probabilities to become critical.
stresses (i = 1,2,3) and Pl(cr)= failure probability (cumulative) of the

smallest possible test specimen of volume V0 (or representative volume of
the material) subject to uniaxial tensile stress a;
Pl ( a ) -- a -- au (4)
SO
[113] where m, so, O"1 = material constants (m = Weibull modulus, usually

between 5 and 50; so = scale parameter; a~ = strength threshold, which
may usually be taken as 0) and V0--reference volume understood as
the volume of specimens on which c(a) was measured. For specimens
under uniform uniaxial stress (and a, = 0), Eqs. 3 and 4 lead to the follow-
ing simple expressions for the mean and coefficient of variation of the
nominal strength:
8"N -- s0r(1 + m-~)(Vo/V) 1/m (Sa)
co -- [F(1 4- 2m-~)/F2(1 + m -~) - 1] 1/2 (sb)
where F is the gamma function. Since co depends only on m, it is often

used for determining m from the observed statistical scatter of strength
of identical test specimens. The expression for ~'N includes the effect of
volume V which depends on size D. In general, for structures with
nonuniform multidimensional stress, the size effect of Weibull theory (for
err ~ 0) is of the type
aN ~ D -nalm (6)
where nd= 1, 2, or 3 for uni-, two- or three-dimensional similarity.

In view of Eq. 5, the value a w - aN(V/Vo) ~/~ for a uniformly stressed
specimen can be adopted as a size-independent stress measure called the
Weibull stress. Taking this viewpoint, Beremin [37] proposed taking into
account the nonuniform stress in a large crack-tip plastic zone by the so-
called Weibull stress:
_ (r)
O'W Ii V0
where Vi (i - 1, 2 , . . . Nw) are elements of the plastic zone having maximum

principal stress o'ii. Ruggieri and Dodds [101] replaced the sum in Eq. 5
by an integral; see also Lei et al. [77]. Equation 7, however, considers
only the crack-tip plastic zone whose size which is almost inde-
pendent of D. Consequently, Eq. 7 is applicable only if the crack at the
moment of failure is not yet macroscopic, still being negligible compared to
structural dimensions.
40 Ba~.ant
As far as quasi-brittle structures are concerned, applications of the classic

Weibull theory face a number of serious objections:
1. The fact that in Eq. 6 the size effect is a power law implies the absence of
any characteristic length. But this cannot be true if the size of material
inhomogeneities is not negligible compared to the structure size D.
2. The energy release due to stress redistributions caused by macroscopic
FPZ or stable crack growth before Pmax gives rise to a deterministic
size effect which is ignored. Thus the Weibull theory is valid only if the
structure fails as soon as a microscopic crack becomes macroscopic.
3. Every structure is mathematically equivalent to a uniaxially stressed bar
(or chain, Fig. 1.3.2), which means that no information on the
structural geometry and failure mechanism is taken into account [36].
4. The size effect differences between two- and three-dimensional
similarity (na = 2 or 3) are predicted much too large.
5. Many tests of quasi-brittle materials (e.g., diagonal shear failure of
reinforced concrete beams) show a much stronger size effect than
predicted by the Weibull theory ([BP]). (Please see the review [9]).
6. The classical theory neglects the spatial correlations of material failure
probabilities of neighboring elements caused by nonlocal properties of
damage evolution (while generalizations based on some phenomen-
ological load-sharing hypotheses have been divorced from mechanics).
7. When Eq. 5 is fitted to the test data on statistical scatter for specimens of
one size (V = const.) and when Eq. 6 is fitted to the mean test data on
the effect of size or V (of unnotched plain concrete specimens), the
optimum values of Weibull exponent m are very different, namely, m =
12 and m = 24, respectively [28]. If the theory were applicable, these
values would have to coincide.
In view of these limitations, among concrete structures Weibull theory

appears applicable to some extremely thick plain (unreinforced) structures,
e.g., the flexure of an arch dam acting as a horizontal beam (but not for
vertical bending of arch dams or gravity dams because large vertical
compressive stresses cause long cracks to grow stably before the maximum
load). Most other plain concrete structures are not thick enough to prevent
the deterministic size effect from dominating. Steel or fiber reinforcement
prevents it as well.
1.3.5 QUASI-BRITTLE SIZE EFFECT BRIDGING

P L A S T I C I T Y A N D LEFM, A N D ITS H I S T O R Y
Qausi-brittle materials are those that obey on a small scale the theory of
plasticity (or strength theory), characterized by material strength or yield
limit ~r0, and on a large scale the LEFM, characterized by fracture energy Gf.
While plasticity alone, as well as LEFM alone, possesses no characteristic
length, the combination of both, which must be considered for the bridging of
plasticity and LEFM, does. Combination of or0 and Gf yields Irwin's (1958)
[69a] characteristic length (material length):
g0 = EGy
~ (8)
which approximately characterizes the size of the FPZ (E = Young's elastic

modulus). So the key to the deterministic quasi-brittle size effect is a
combination of the concept of strength or yield with fracture mechanics.
In dynamics, this further implies the existence of a characteristic time
(material time):
~o = g o / v (9)
representing the time a wave of velocity v takes to propagate the distance g0.
After LEFM was first applied to concrete [72], it was found to disagree with
test results [74, 78,111,112]. Leicester [78] tested geometrically similar
notched beams of different sizes, fitted the results by a power law, aN o( D-",
and observed that the optimum n was less than 1/2, the value required by
LEFM. The power law with a reduced exponent of course fits the test data in
the central part of the transitional size range well but does not provide the
bridging of the ductile and LEFM size effects. An attempt was made to explain
the reduced exponent value by notches of a finite angle, which, however, is
objectionable for two reasons: (i) notches of a finite angle cannot propagate
(rather, a crack must emanate from the notch tip), and (ii) the singular stress
field of finite-angle notches gives a zero flux of energy into the notch tip. Like
Weibull theory, Leicester's power law also implied the nonexistence of a
characteristic length (see Ba~ant and Chen [18], Eqs. 1-3), which cannot be
the case for concrete because of the large size of its inhomogeneities. More
extensive tests of notched geometrically similar concrete beams of different
sizes were carried out by Walsh [111, 112]. Although he did not attempt a
mathematical formulation, he was first to make the doubly logarithmic plot of
nominal strength versus size and observe that it is was transitional between
plasticity and LEFM.
An important advance was made by Hillerborg et al. [68] (also Peterson
[93]). Inspired by the softening and plastic FPZ models of Barenblatt [2, 3]
and Dugdale [55], they formulated the cohesive (or fictitious) crack model
characterized by a softening stress-displacement law for the crack opening
and showed by finite element calculations that the failures of unnotched plain
concrete beams in bending exhibit a deterministic size effect, in agreement
with tests of the modulus of rupture.
42 Ba~.ant
Analyzing distributed (smeared) cracking damage, Ba~.ant [4] demon-

strated that its localization into a crack band engenders a deterministic size
effect on the postpeak deflections and energy dissipation of structures. The
effect of the crack band is approximately equivalent to that of a long fracture
with a sizable FPZ at the tip. Subsequently, using an approximate energy
release analysis, Ba~.ant [5] derived for the quasi-brittle size effect in
structures failing after large stable crack growth the following approximate
size effect law:
aN -- Bao 1 4- Doo -FaR (10)
or more generally" aN - Ba0 1 + -FaR (11)
in which r, B = positive dimensionless constants; Do = constant representing

the transitional size (at which the power laws of plasticity and LEFM
intersect); and Do and B characterize the structure geometry. Usually constant
aR = 0, except when there is a residual crack-bridging stress ar outside the
FPZ (as in fiber composites), or when at large sizes some plastic mechanism
acting in parallel emerges and becomes dominant (as in the Brazilian split-
cylinder test).
Equation 10 was shown to be closely followed by the numerical results for
the crack band model [4, 30] as well as for the nonlocal continuum damage
models, which are capable of realistically simulating the localization of strain-
softening damage and avoiding spurious mesh sensitivity.
Beginning in the mid-1980s, the interest in the quasi-brittle size effect of
concrete structures surged enormously and many researchers made note-
worthy contributions, including Planas and Elices [94-96], Petersson [93],
and Carpinteri [41]. The size effect has recently become a major theme at
conferences on concrete fracture [7, 35, 86, 87,120].
Measurements of the size effect on Pmax were shown to offer a simple way to
determine the fracture characteristics of quasi-brittle materials, including the
fracture energy, the effective FPZ length, and the (geometry dependent) R-curve.
1.3.6 SIZE EFFECT MECHANISM: STRESS

REDISTRIBUTION AND ENERGY RELEASE
Let us now describe the gist of the deterministic quasi-brittle size effect.
LEFM applies when the FPZ is negligibly small compared to structural
dimension D and can be considered as a point. Thus the LEFM solutions can
be obtained by methods of elasticity. The salient characteristic of quasi-brittle
materials is that there exists a sizable FPZ with distributed cracking or other
softening damage that is not negligibly small compared to structural
dimension D. This makes the problem nonlinear, although approximately
equivalent LEFM solutions can be applied unless FPZ reaches near the
structure boundaries.
The existence of a large FPZ means that the distance between the tip
of the actual (traction-free) crack and the tip of the equivalent LEFM
crack at Pmax is equal to a certain characteristics length cf (roughly one half of
the FPZ size) that is not negligible compared to D. This causes a
non-negligible macroscopic stress redistribution with energy release from
the structure.
With respect to the fracture length a0 (distance from the mouth of notch or
crack to the beginning of the FPZ), two basic cases may now be distinguished:
(i) a0 = 0, which means that Pmax o c c u r s at the initiation of macroscopic
fracture propagation, and (ii) a0 is finite and not negligible compared to D,
which means that Pmax o c c u r s after large stable fracture growth.
1.3.6.1 SCALING FOR FAILURE AT CRACK INITIATION
An example of the first case is the modulus of rupture test, which consists
in the bending of a simply supported beam of span L with a rectangular cross
section of depth D and width b, subjected to concentrated load P; the
maximum load is not decided by the stress al - 3PL/2bD 2 at the tensile face,
but by the stress value 8 roughly at distance cf/2 from the tensile face
/
(which is at the middle of FPZ). Because 8 - al - a ] c f / 2 where a x - stress
g r a d i e n t - 2 a l / D , and also because ~ - a - i n t r i n s i c tensile strength of the
material, the failure condition F - a0 yields P/bD - aN -- a0/(1 - Db/D)
where D b - (3L/2D)cf, which is a constant because for geometrically
similar beams L / D - constant. This expression, however, is unacceptable
for D _< Db. But since the derivation is valid only for small enough cf/D,
one may replace it by the following asymptotically equivalent size
effect formula:
aN -- a0 1+ (12)
which happens to be acceptable for the whole range of D (including D --~ 0);
r is any positive constant. The values r = 1 or 2 have been used for concrete
[12], while r ~ 1.45 is optimum according to Ba~-ant and Novfik's latest
analysis of test data at Northwestern University [28, 29].
44 Ba~.ant
1 . 3 . 6 . 2 SCALING FOR FAILURES WITH A LONG

CRACK OR NOTCH
Let us now give a simple explanation of the second case of structures failing
only after stable formation of large cracks, or notched fracture specimens.
Failures of this type, exhibiting a strong size effect ([BP], [19, 21, 65, 69, 83,
104, 110]) are typical of reinforced concrete structures or fiber composites
[119], and are also exhibited by some unreinforced structures (e.g., dams, due
to the effect of vertical compression, or floating ice plates in the Arctic).
Consider the rectangular panel in Figure 1.3.3, which is initially under a
uniform stress equal to ~rN. Introduction of a crack of length a with a FPZ of a
certain length and width h may be approximately imagined to relieve the
stress, and thus release the strain energy, from the shaded triangles on the
flanks of the crack band shown in Figure 1.3.3. The slope k of the effective
boundary of the stress relief zone need not be determined; what is important
is that k is independent of the size D.
For the usual ranges of interest, the length of the crack at maximum load
may normally be assumed approximately proportional to the structure size D,
while the size h of the FPZ is essentially a constant, related to the
inhomogeneity size in the material. This has been verified for many cases
by experiments (showing similar failure modes for small and large speci-
mens) and finite element solutions based on crack band, cohesive, or
nonlocal models.
The stress reduction in the triangular zones of areas ka2/2 (Fig. 1.3.3)
causes (for the case b - 1) the energy release Ida- 2x(ka2/2)cr2/2E. The
stress drop within the crack band of width h causes further energy release
._o2 L_o
-~ h ~--
FIGURE 1.3.3 Approximatezones of stress relief due to fracture.

Ub- ha~2/E. The total energy dissipated by the fracture is W - aGf,

where Gf is the fracture energy, a material property representing the energy
dissipated per unit area of the fracture surface. Energy balance during static
failure requires that O(Ua+ Ub)/Oa- aw/aa. Setting a - D(a/D) where a/D
is approximately a constant if the failures for different structure
sizes are geometrically similar, the solution of the last equation for gma;N
yields Ba~ant's [5] approximate size effect law in Eq. 10 with ~ R - 0
(Fig. 1.3.1 c).
More rigorous derivations of this law, applicable to arbitrary structure
geometry, have been given in terms of asymptotic analysis based on equivalent
LEFM [10] or on Rice's path-independent J-integral [32]. This law has also
been verified by nonlocal finite element analysis and by random particle (or
discrete element) models. The experimental verifications, among which the
earliest is found in the famous Walsh's [111, 112] tests of notched concrete
beams, have by now become abundant (e.g., Fig. 1.3.4).
For very large sizes (D >> Do), the size effect law in Eq. 10 reduces to the
power law ~rN c~ D -1/2, which represents the size effect of LEFM (for
geometrically similar large cracks) and corresponds to the inclined asymptote
of slope - 1 / 2 in Figure 1.3.1c. For very small sizes (D << Do), this law reduces
to aN - constant, which corresponds to the horizontal asymptote and means
that there is no size effect, as in plastic limit analysis.
The ratio f i - D/Do is called the brittleness number of a structure.
For fl + oo the structure is perfectly brittle (i.e., follows LEFM), in
which case the size effect is the strongest possible, while for fl---+ 0 the
structure is nonbrittle (or ductile, plastic), in which case there is no size
effect. Quasi-brittle structures are those for which 0.1 _< fi <_ 10, in which
case the size effect represents a smooth transition (or interpolation) that
bridges the power law size effects for the two asymptotic cases. The law
(Eq. 10) has the character of asymptotic matching and serves to provide the
bridging of scales. In the quasi-brittle range, the stress analysis is of
course nonlinear, calling for the cohesive crack model or the crack band
model (which are mutually almost equivalent), or some of the nonlocal
damage models.
The meaning of the term quasi-brittle is relative. If the size of a
quasi-brittle structure becomes sufficiently large compared to material
inhomogeneities, the structure becomes perfectly brittle (for concrete
structures, only the global fracture of a large dam is describable by LEFM),
and if the size becomes sufficiently small, the structure becomes
nonbrittle (plastic, ductile) because the FPZ extends over the whole
cross section of the structure (thus a micromachine or a miniature electronic
device made of silicone or fine-grained ceramic may be quasi-brittle
or nonbrittle).
46 Ba~.ant
Limestone Carbon com )osite

Plasticity ', . . . .
o ~
. ',2
-0.1
-0.1
x \~.
-; -o.2 BaJant, Gettn and Kozemi X \" B~t, Daniel and Li \
0 (1991),,, , ~'
t- -0.2 11996),,. l t '~
C -0.5 0 -1.2 -0.6 0
Si02 c e r a m i c Sea ice

.~_
E 0
0
Z - o o . 2
Z
o
-1,0
-0.4
D = 0.5 - 0.80 rn -%
McKinney and Rice o -1.5 Dempsey et al.
(1981) (1995)
I / I , I
-0.5 0.5 0 40 80
a log D (Specimen size)
P 0 ............. 9
0 ""
I i /" "-. ",- -0.1

""'. 2
W /I
m
"Kink 1
band
-0.2
-Slanted '",O
notch
-0.3 -
-0.25 0 0.25 0.50 0.7E

log (D/Do)
FIGURE 1.3.4 Top: Comparisons of size effect law with Mode 1 test data obtained by various
investigators using notched specimens of different materials. Bottom: Size effect in compression
kink-band failures of geometrically similar notched carbon-PEEK specimens [ ].
1.3.6.3 SIZE EFFECT ON POSTPEAK SOFTENING

AND DUCTILITY
The plots of nominal stress versus the relative structure deflection (normal-
ized so as to make the initial slope in Figure 1.3.5 size-independent) have, for
small and large structures, the shapes indicated in Figure 1.3.5. Apart from
the size effect on Pmax, there is also a size effect on the shape of the postpeak
descending load-deflection curve. For small structures the postpeak curves
descend slowly, for larger structures steeper, and for sufficiently large
structures they may exhibit a snapback, that is, a change of slope from
negative to positive.
If a structure is loaded under displacement control through an elastic
device with spring constant Cs, it loses stability and fails at the point where
the load-deflection diagram first attains the slope -Cs (if ever); Figure 1.3.5.
The ratio of the deflection at these points to the elastic deflection
characterizes the ductility of the structure. As is apparent from the figure,
t t
ON
Small
y ~Large
~ . I
"~Larger
,. I =
Rel.deft.
FIGURE 1.3.5 Load-deflectioncurves of quasi-brittle structures of different sizes, scaled to the
same initial slope.
48 Ba~.ant
small quasi-brittle structures have a large ductility, whereas large quasi-brittle

structures have small ductility.
The areas under the load-deflection curves in Figure 1.3.5 characterize the
energy absorption. The capability of a quasi-brittle structure to absorb energy
decreases, in relative terms, as the structure size increases. The size effect on
energy absorption capability is important for blast loads and impact.
The progressive steepening of the postpeak curves in Figure 1.3.5 with
increasing size and the development of a snapback can be most simply
described by the series coupling model, which assumes that the response of a
structure may be at least approximately modeled by the series coupling
of the cohesive crack or damage zone with a spring characterizing
the elastic unloading of the rest of the structure (Ba~.ant and Cedolin [17],
Sec. 13.2).
1 . 3 . 6 . 4 ASYMPTOTIC ANALYSIS OF SIZE EFFECT BY

EQUIVALENT LEFM
To obtain simple approximate size effect formulae that give a complete

prediction of the failure load, including the effect of geometrical shape of the
structure, equivalent LEFM may be used. In this approach the tip of the
equivalent LEFM (sharp) crack is assumed to lie approximately a distance cf
ahead of the tip of the traction-free crack or notch, cf being a constant
(representing roughly one half of the length of the FPZ ahead of the tip. Two
cases are relatively simple: (i) If a large crack grows stably prior to Pmax o r if
there is a long notch,
O'N = + ~ + '(Czo)D (13)

V'g'( o)q + g( o)D
and (ii) if Pmax o c c u r s at fracture initiation from a smooth surface
+ +
ON v/g'(0)cf + g"(0) (c~/2D) (14)
[10, 12] where the primes denote derivatives; g(~o) -- KII,/aND

2 2 and 7(~0) -
2 2
Ki,,/cryD are dimensionless energy release functions of LEFM of e - ao/D
where a0 = length of notch or crack up to the beginning of the FPZ; KII,,
KI~ = stress intensity factors for load P and for loading by uniform residual
crack-bridging stress at, respectively; cry > 0 for tensile fracture, but a v r 0
in the case of compression fracture in concrete, kink band propagation in fiber
composites, and tensile fracture of composites reinforced by fibers short
enough to undergo frictional pullout rather than breakage. The asymptotic

behavior of Eq. 13 for D - + oo is of the LEFM type, a N - Cry o( D -1/2
Equation 14 approaches for D ---+ oo a finite asymptotic value. So does Eq. 13
if fir > 0.
1.3.6.5 SIZE EFFECT METHOD FOR MEASURING

MATERIAL CONSTANTS AND R-CURVE
Comparison of Eq. 13 with Eq. 10 yields the relations:
Do -- cfg'(a0)/g(0~0) B~ro -- Crov/EGf/cfg'(cZo) (15)
Therefore, by fitting Eq. 10 with aR = 0 to the values of aN measured on test

specimens of different sizes with a sufficiently broad range of brittleness
numbers fl = D/Do, the values of Gf and cf can be identified [20,31]. The
fitting can be done best by using the Levenberg-Marquardt nonlinear
optimization algorithm, but it can also be accomplished by a (properly
weighted) linear regression of cr~2 versus D. The specimens do not have to be
geometrically similar, although when they are the evaluation is simpler and
the error smaller. The lower the scatter of test results, the narrower is the
minimum necessary range of fl (for concrete and fiber composites, the size
range 1:4 is the minimum).
The size effect method of measuring fracture characteristics has been
adopted for an international standard recommendation for concrete ([99],
[BP] Sec. 6.3), and has also been verified and used for various rocks, ceramics,
orthotropic fiber-polymer composites, sea ice, wood, tough metals, and other
quasi-brittle materials. The advantage of the size effect method is that the
tests, requiring only the maximum loads, are foolproof and easy to carry out.
With regard to the cohesive crack model, note that the size effect method
gives the energy value corresponding to the area under the initial tangent
of the softening stress-displacement curve, rather than the total area under
the curve.
The size effect method also permits determining the R-curve (resistance
curve) of the quasi-brittle material a curve that represents the apparent
variation of fracture energy with crack extension for which LEFM becomes
approximately equivalent to the actual material with a large FPZ.
The R-curve, which (in contrast to the classical R-curve definition) depends
on the specimen geometry, can be obtained as the envelope of the curves of
the energy release rate at P = Pmax (for each size) versus the crack extension
for specimens of various sizes. In general, this can easily be done numerically,
50 Ba~.ant
and if the size effect law has the form in Eq. 10 with err = 0, a parametric
analytical expression for the R-curve exists ([20], [BP] Sec. 6.4).
The fracture model implied by the size effect law in Eq. 10 or Eq. 13 has
one independent characteristic length, cf, representing about one half of the
FPZ length. Because of Eq. 15, the value of g0 is implied by cf if ~r0 is known.
The value of cf controls the size Do at the center of the bridging region
(intersection of the power-law asymptotes in Figure 1.3.1c, and cr0 or Gf
controls a vertical shift of the size effect curve at constant Do. The location of
the large-size asymptote depends only on Kc and geometry, and the location of
the small-size asymptote depends only on or0 and geometry.
1.3.6.6 CRITICAL CRACK-TIP OPENING

DISPLACEMENT~ ~CTOD
The quasi-brittle size effect, bridging plasticity and LEFM, can also be
simulated by the fracture models characterized by the critical stress intensity
factor Kc (fracture toughness) and 6crop; for metals see Wells [117] and
Cottrell [50], and for concrete Jenq and Shah [70]. Jenq and Shah's model,
called the two-parameter fracture model, has been shown to give essentially
the same results as the R-curve derived from the size effect law in Eq. 10 with
Cra = 0. The models are in practice equivalent because
Kc- V/-~ ~CrOD--(llrc)v/8GfcflE (16)
Using these formulae, the values of Kc and 6C~ODcan be easily identified by

fitting the size effect law (Eq. 10) to the measured Pmaxvalues.
Like the size effect law in Eq. 10 with ~rR = 0, the two-parameter model has
only one independent characteristic length, g0 - Kc2/~ 9If cr0 is known, then
6crop is not an independent length because cf is implied by g0 and 6crop then
follows from Eq. 16.
1.3.7 E X T E N S I O N S , R A M I F I C A T I O N S ,
AND APPLICATIONS
1.3.7.1 SIZE EFFECTS IN COMPRESSION FRACTURE
Loading by high compressive stress without sufficient lateral confining

stresses leads to damage in the form of axial splitting microcracks engendered
by pores, inclusions, or inclined slip planes. This damage localizes into a band
that propagates either axially or laterally.
For axial propagation, the energy release from the band drives the
formation of the axial splitting fracture, and since this energy is proportional
to the length of the band, there is no size effect. For lateral propagation, the
stress in the zones on the sides of the damage band gets reduced, which causes
an energy release that grows in proportion to D 2, while the energy consumed
and dissipated in the band grows in proportion to D. The mismatch of
energy release rates inevitably engenders a deterministic size effect
of the quasi-brittle type, analogous to the size effect associated with tensile
fracture. In consequence of the size effect, failure by lateral propagation
must prevail over the failure by axial propagation if a certain critical size
is exceeded.
The size effect can again be approximately described by the equivalent
LEFM. This leads to Eq. 13 in which err is determined by analysis of the
microbuckling in the laterally propagating band of axial splitting cracks. The
spacing s of these cracks is in Eq. 13 assumed to be dictated by material
inhomogeneities. However, if the spacing is not dictated and is such that it
minimizes erN, then the size effect gets modified as
erN m C D - 2 / 5 q_ eroo (17)
([BP] Sec. 10.5.11) where C, eroo = constants, the approximate values of

which have been calculated for the breakout of boreholes in rock.
1 . 3 . 7 . 2 FRACTURING TRUSS MODEL FOR CONCRETE

AND BOREHOLES IN ROCK
Propagation of compression fracture is what appears to control the maximum

load in diagonal shear failure of reinforced concrete beams with or without
stirrups, for which a very strong size effect has been demonstrated
experimentally [9,21, 69, 71, 91, 98,104, 109,110]. A long diagonal tension
crack grows stably under shear loading until the concrete near its tip gets
crushed as a result of parallel compression stresses. A simplified formula for
the size effect can be obtained by energetic modification of the classical truss
model (strut-and-tie model) [9].
The explosive breakout of boreholes (or mining stopes) in rock under very
high pressures is known to also exhibit size effect, as revealed by the tests of
Carter [47], Carter et al. [48], Haimson and Herrick [67], and Nesetova and
Lajtai [90]. An approximate analytical solution can be obtained by exploiting
Eschelby's theorem for eigenstresses in elliptical inclusions [27].
52 Ba~.ant
1.3.7.3 KINK BANDS IN FIBER COMPOSITES
A kink band, in which axial shear-splitting cracks develop between fibers

which undergo microbuckling, is one typical mode of compression failure of
composites or laminates with uniaxial fiber reinforcement. This failure mode,
whose theory was begun by Rosen [100] and Argon [1], was until recently
treated by the theory of plasticity, which implies no size effect. Recent
experimental and theoretical studies [40], however, revealed that the kink
band propagates sideway like a crack and the stress on the flanks of the band
gets reduced to a certain residual value, which is here denoted as t~y and can
be estimated by the classical plasticity approach of Budiansky [39]. The crack-
like behavior implies a size effect, which is demonstrated (Ba~.ant et al.
[22, 24]) by the latest laboratory tests of notched carbon-PEEK specimens
(Fig. 1.3.4); these tests also demonstrated the possibility of a stable growth of
a long kink band, which was achieved by rotational restraint at the ends).
There are again two types of size effect, depending on whether Pmax is
reached (i) when the FPZ of the kink band is attached to a smooth surface or
(ii) or when there exists either a notch or a long segment of kink band in
which the stress has been reduced to ay. Equations 13 and 14, respectively,
approximately describe the size effects for these two basic cases; in this case
Gf now plays the role of fracture energy of the kink band (area below the
stress-contraction curve of the kink bank and above the ay value), and cf the
role of the FPZ of the kink band, which is assumed to be approximately
constant, governed by material properties.
The aforementioned carbon-PEEK tests also confirm that case (ii), in
which a long kink band grows stably prior to Pm~x, is possible (in those tests,
this is by virtue of a lateral shift of the compression resultant in wide notched
prismatic specimens with ends restrained against rotation).
1.3.7.4 SIZE EFFECTS IN SEA ICE
Normal laboratory specimens of sea ice exhibit no notch sensitivity.

Therefore, the failure of sea ice has been thought to be well described by
plastic limit analysis, which exhibits no size effect [73,106]. This perception,
however, changed drastically after Dempsey carried out in 1993 on the Arctic
Ocean size effect tests of floating notched square specimens with an
unprecedented, record-breaking size range (with square sides ranging from
0.5 m to 80m!) [52, 53, 89].
It is now clear that floating sea ice plates are quasi-brittle and their size
effect on the scale of 100 m approaches that of LEFM. Among other things,
Dempsey's major experimental result explains why the measured forces

exerted by moving ice on a fixed oil platform are one to two
orders of magnitude smaller than the predictions of plastic limit analysis
based on the laboratory strength of ice. The size effect law in Eq. 10
with aR = 0, or in Eq. 13 (with ar = 0), agree with these results well,
permitting the values of Gf and cf of sea ice to be extracted by
linear regression of the Pmax data. The value of cf is in the order of meters
(which can be explained by inhomogeneities such as brine pockets and
channels, as well as preexisting thermal cracks, bottom roughness of
the plate, warm and cold spots due to alternating snow drifts, etc.).
Information on the size effect in sea ice can also be extracted from acoustic
measurements [80].
Rapid cooling in the Arctic can produce in the floating plate bending
moments large enough to cause fracture. According to plasticity or elasticity
with a strength limit, the critical temperature difference A Tcr across the plate
would have to be independent of plate thickness D. Fracture analysis,
however, indicated a quasi-brittle size effect. Curiously, its asymptotic form is
not ATcr O( D-l/2 but
ATcr o( D -3/8 (18)
The reason is that D is not a characteristic dimension in the plane

of the boundary value problem of plate bending; rather, it is the flexural
wavelength of a plate on elastic foundation, which is proportional t o D 4/3
rather than D. It seems that Eq. 18 may explain why long cracks of length 10
to 100 km, which suddenly form in the fall in the Arctic ice cover, often run
through thick ice floes and do not follow the thinly refrozen water leads
around the floes.
In analyzing the vertical penetration of floating ice plate (load capacity
for heavy objects on ice, or the maximum force P required for penetration
from below), one must take into account that bending cracks are reached
only through part of the thickness, their ligaments transmitting compressive
forces, which produces a dome effect. Because, at maximum load, this
part-through bending crack (of a variable depth profile) is growing vertically,
the asymptotic size effect is n o t P / D 2 -- fiN OC. D -3/8 [105] but aN (x D -1/2.
This was determined by a simplified analytical solution (with a uniform crack
depth) by Dempsey et al. [54], and confirmed by a detailed numerical solution
with a variable crack depth profile [23]. The latter also led to an approximate
prediction formula for the entire practical range of D, which is of the type of
Eq. 10 with aN = 0. This formula was shown to agree with the existing field
tests [59, 60, 81].
54 Ba~.ant
1 . 3 . 7 . 5 REVERSE SIZE EFFECT

IN BUCKLING OF FLOATING ICE
An interesting anomalous case is the size effect on the critical stress for elastic
buckling of floating ice, i.e., a beam or plate on Winkler foundation. Consider
floating ice pushing against an obstacle of size d in the horizontal direction.
Dimensional analysis [102] suffices to determine the form of the buckling
formula and the scaling. There are five variables in the problem, h = ice plate
thickness, P~, Et, p, h, d, and the solution must be have the form
F(Pcr,Et, p,h,d,)=O, where Per = force applied on the obstacle, p =
specific weight of sea water (or foundation modulus), and E ' = E/(1 - v2),
v being the Poisson ratio. There are, however, only two independent physical
dimensions in the problem, namely, the length and the force. Therefore,
according to Buckingham's 1-I theorem of dimensional analysis [102], the
solution must be expressible in terms of 5 - 2 , i.e., 3 dimensionless
parameters. They may be taken as Po./E'hd, x/~/E'h, and d/h, where
D = Eth3/12 = cylindrical stiffness of the ice plate. If the ice is treated as
elastic, P~r/E~hd must be proportional to x/-~/E~h and d/h. Denoting
aNcr = Pcr/hd which represents the nominal buckling strength (or the average
critical stress applied on the obstacle by the moving ice plate), we conclude
that the buckling solution must have the form
rrN~- K(d/h) X / ~ ~ (19)
where K is a dimensionless parameter depending on d/h as well as the

boundary conditions.
The interesting property of Eq. 19 is that aNc~ increases, rather than
decreases, with ice thickness h. So there is a reverse size effect. Consequently,
the buckling of the ice plate can control the force exerted on a stationary
structure only when the plate is sufficiently thin. The reason for the reverse
size effect is that the buckling wavelength (the distance between the inflexion
points of the deflection profile), which is Lcr- g(D/P) 1/4 (as follows from
dimensional analysis or nondimensionalization of the differential equation
of plate buckling), is not proportional to h; rather, Lo./hoch -1/4,
i.e., Lo. decreases with h. This contrasts with the structural buckling
problems of columns, frames, and plates, in which Lcr is proportional to the
structure size.
Although the axisymmetric buckling of a cylindrical shell under axial
compression is a problem analogous to the beam on elastic foundation, the
reverse size effect does not exist because the equivalent foundation modulus is
not a constant. Therefore, Eq. (refl-cr) must apply to it as well. Since the
lowest critical stress for nonaxisymmetric buckling loads is nearly equal to
that for the axisymmetric mode, the reverse size effect given by Eq. 19 must
also apply.
1 . 3 . 7 . 6 INFLUENCE OF CRACK SEPARATION RATE,

CREEP~ AND VISCOSITY
There are two mechanisms in which the loading rate affects fracture growth:
(i) creep of the material outside the FPZ, and (ii) rate dependence of the
severance of material bonds in the FPZ. The latter may be modeled as a rate
process controlled by activation energy, with Arrhenius-type temperature
dependence. This leads to a dependence of the softening stress-separation
relation of the cohesive crack model on the rate of opening displacement. In
an equivalent LEFM approach, the latter is modeled by considering the crack
extension rate to be a power function of the ratio of the stress intensity factor
to its critical R-curve value.
For quasi-brittle materials exhibiting creep (e.g., concretes and polymer
composites, but not rocks or ceramics), the consequence of mechanism 1
(creep) is that a decrease of loading rate, or an increase of duration of a
sustained load, causes a decrease of the effective length of the FPZ. This in
turn means an increase of the brittleness number manifested by a leftward
rigid-body shift of the size effect curve in the plot of log aN versus log D, i.e., a
decrease of effective Do. For slow or long-time loading, quasi-brittle structures
become more brittle and exhibit a stronger size effect [26].
Mechanism 2 (rate dependence of separation) causes it to happen that an
increase of loading rate, or a decrease of sustained load duration, leads to an
upward vertical shift of the size effect curve for log CrNbut has no effect on Do
and thus on brittleness (this mechanism also explains an interesting recently
discovered phenomenon - - a reversal of softening to hardening after a sudden
increase of the loading rate, which cannot be explained by creep).
So far all our discussions have dealt with statics. In dynamic problems, any
type of viscosity r/of the material (present in models for creep, viscoelasticity,
or viscoplasticity) implies a characteristic length. Indeed, since
q = stress/strain rate ~ k g / m s, and the Young's modulus E and mass density
p have dimensions E ,-~ k g / m s 2 and p ,-~ k g / m 3, the material length associated
with viscosity is given by
_. (20)
G vp v -
where v = w a v e velocity. Consequently, any rate dependence in the

constitutive law implies a size effect (and a nonlocal behavior as well). There
56 Ba~.ant
is, however, an important difference. Unlike the size effect associated with g0
or cf, the viscosity-induced size effect (as well as the width of damage
localization zones) is not time-independent. It varies with the rates of loading
and deformation of the structure and vanishes as the rates drop to zero. For
this reason, an artificial viscosity or rate effect can approximate the
nonviscous size effect and localization only within a narrow range of time
delays and rates, but not generally.
1.3.7.7 SIZE EFFECT IN FATIGUE CRACK GROWTH
Cracks slowly grow under fatigue (repeated) loading. This is for metals
and ceramics described by the Paris (or Paris-Erdogan) law, which states that
plot of the logarithm of the crack length increment per cycle versus the
amplitude of the stress intensity factor is a rising straight line. For
quasi-brittle material it turns out that a size increase causes this straight
line to shift to the right, the shift being derivable from the size effect law in
Eq. 10 ([BP] Sec. 11.7).
1 . 3 . 7 . 8 SIZE EFFECT FOR COHESIVE CRACK MODEL

AND CRACK BAND MODEL
The cohesive (or fictitious) crack model (called by Hillerborg et al. [68] and
Petersson [93] the fictitious crack model) is more accurate yet less simple
than the equivalent LEFM. It is based on the hypothesis that there exists a
unique decreasing function w - g(~) relating the crack opening displacement
w (separation of crack faces) to the crack bridging stress cr in the FPZ. The
obvious way to determine the size effect is to solve Pmax by numerical
integration for step-by-step loading [93].
The size effect plot, however, can be solved directly if one inverts the
problem, searching the size D for which a given relative crack length 0~- a/D
corresponds to Pmax. This leads to the equations [25, 79]
D
P max --
where the first represents an eigenvalue problem for a homogeneous Fredholm

integral equation, with D as the eigenvalue and v({) as the eigenfunction;
- x / D , x - coordinate along the crack (Fig. 1.3.6); ~ -- a/D, O~o-- ao/D;
a, a0 = total crack length and traction-free crack length (or notch length); and
C ~(~, ~'), C ~P(~) = compliance functions of structure for crack surface force
and given load P. Choosing a sequence of a-values, for each one of them
obtains from Eq. 21 the corresponding values of D and Pmax. These results
have also been generalized to obtain directly the load and displacement
corresponding, on the load-deflection curve, to a point with any given
tangential stiffness, including the displacement at the snapback point which
characterizes the ductility of the structure.
The cohesive crack model possesses at least one, but for concrete
typically two, independent characteristic lengths: go - EGf/~2 and
*fl - EGF/a02 where GF -- area under the entire softening stress-displacement
curve cr = f(w), and Gf = area under the initial tangent to this curve, which
is equal to GF only if the curve is simplified as linear (typically GF~ 2Gf).
The bilinear stress-displacement law used for concrete involves further
parameters of the length dimension the opening displacement wf when
the stress is reduced to zero, and the displacement at the change
of slope. Their values are implied by Gf, G> Cro and the stress at the change
of slope.
The scatter of size effect measurements within a practicable size range (up
to 1:30) normally does not permit identifying more than one characteristic
length (measurements of postpeak behavior are used for that purpose). Vice
versa, when only the maximum loads of structures in the bridging region
between plasticity and LEFM are of interest, hardly more than one
characteristic length (namely, cf) is needed.
~ P,u
a . . . . J
---- r I
,>
w D
FIGURE 1.3.6 Cohesive crack and distribution of crack-bridging cohesive stresses.

58 Ba~.ant
The crack band model, which is easier to implement and is used in

commercial codes (e.g., DIANA, SBETA) [49], is, for localized cracking or
fracture, nearly equivalent to the cohesive crack model ([BP], [97]), provided
that the effective (average) transverse strain in the crack band is taken as
ey = w / h where h is the width of the band. All that has been said about the
cohesive crack model also applies to the crack band model. Width h, of
course, represents an additional characteristic length, ~4 - - h. It matters only
when the cracking is not localized but distributed (e.g., due to the effect of
dense and strong enough reinforcement), and it governs the spacings of
parallel cracks. Their minimum spacing cannot be unambiguously captured
by the cohesive crack model.
1 . 3 . 7 . 9 SIZE EFFECT VIA NONLOCAL, GRADIENT~ OR

DISCRETE ELEMENT MODELS
The hypostatic feature of any model capable of bridging the power law
size effects of plasticity and LEFM is the presence of some characteristic
length, g. In the equivalent LEFM associated with the size effect law in
Eq. 10, cf serves as a characteristic length of the material, although this
length can equivalently be identified with 8CrOD in Wells-Cottrell or Jenq-
Shah models, or with the crack opening wf at which the stress in the
cohesive crack model (or crack band model) is reduced to zero (for size
effect analysis with the cohesive crack model, see [BP] and Ba~.ant and
Li [251).
In the integral-type nonlocal continuum damage models, ~ represents
the effective size of the representative volume of the material, which in
turn plays the role of the effective size of the averaging domain in nonlocal
material models. In the second-gradient nonlocal damage models, which
may be derived as an approximation of the nonlocal damage models,
a material length is involved in the relation of the strain to its Laplacian.
In damage simulation by the discrete element (or random particle)
models, the material length is represented by the statistical average of
particle size.
The existence of g in these models engenders a quasi-brittle size effect that
bridges the power-law size effects of plasticity and LEFM and follows closely
Eq. 10 with ~rN = 0, as documented by numerous finite element simulations.
It also poses a lower bound on the energy dissipation during failure, prevents
spurious excessive localization of softening continuum damage, and
eliminates spurious mesh sensitivity ([BP], ch. 13).
These important subjects will not be discussed here any further because
there exists a recent extensive review [18].
1.3.7.10 NONLOCAL STATISTICALGENERALIZATION

OF THE WEIBULL THEORY
Two cases need to be distinguished: (a) The front of the fracture that causes
failure can be at only one place in the structure, or (b) the front can lie, with
different probabilities, at many different places. The former case occurs
when a long crack whose path is dictated by fracture mechanics grows
before the m a x i m u m load, or if a notch is cut in a test specimen. The
latter case occurs when the maximum load is achieved at the initiation of
fracture growth.
In both cases, the existence of a large FPZ calls for a modification of the
Weibull concept: The failure probability P1 at a given point of the continuous
structure depends not on the local stress at that point, but on the nonlocal
strain, which is calculated as the average of the local strains within the
neighborhood of the point constituting the representative volume of the
material. The nonlocal approach broadens the applicability of the Weibull
concept to the case of notches or long cracks, for which the existence of
crack-tip singularity causes the classical Weibull probability integral to
diverge at realistic m-values (in cleavage fracture of metals, the problem of
crack singularity has been circumvented differently m by dividing the crack-
tip plastic zone into small elements and superposing their Weibull
contributions [77]).
Using the nonlocal Weibull theory, one can show that the proper statistical
generalizations of Eq. 10 (with aR = 0 ) and Eq. 12 having the correct
asymptotic forms for D---+ oo, D - + 0, and m - + oo are (Fig. 1.3.7):
Case (a)" aN -- Bo'o(fl2maIm +/~r)-l/2r f l - D/Do (22)
Case (b)" aN - o'0~"a/m(1 + r~l-'~a/m) 1/r ~ -- Db/D (23)

where it is assumed that rna< m, which is normally the case.
The first formula, which was obtained for r = 1 by Ba~.ant and Xi [36] and
refined for n ~ 1 by Planas, has the property that the statistical influence on
the size effect disappears asymptotically for large D. The reason is that, for
long cracks or notches with stress singularity, a significant contribution to the
Weibull probability integral comes only from the FPZ, whose size does not
vary much with D. The second formula has the property that the statistical
influence asymptotically disappears for small sizes. The reason is that the FPZ
occupies much of the structure volume.
Numerical analyses of test data for concrete show that the size ranges in
which the statistical influence on the size effect in case (a) as well as (b)
would be significant do not lie within the range of practical interest. Thus the
deterministic size effect dominates and its statistical correction in Eqs. 22 and
60 Ba~.ant
0")
o
rh.
a log D
Z
D
0
~ . _ m
b log D
FIGURE 1.3.7 Scaling laws according to nonlocal generalization of Weibull theory for failures
after long stable crack growth (top) or a crack initiation (right).
23 may be ignored for concrete, except in the rare situations where the
deterministic size effect vanishes, which occurs rarely (e.g., for centric tension
of an unreinforced bar).
1.3.8 OTHER SIZE EFFECTS
1 . 3 . 8 . 1 HYPOTHESIS OF FRACTAL ORIGIN

OF SIZE EFFECT
The partly fractal nature of crack surfaces and of the distribution of

microcracks in concrete has recently been advanced as the physical origin of
the size effects observed on concrete structures. Bhat [38] discussed a possible
role of fractality in size effects in sea ice. Carpinteri [43, 44], Carpinteri et al.
[45], and Carpinteri and Chiaia [46] proposed the so-called multifractal
scaling law (MFSL) for failures occurring at fracture initiation from a smooth
surface, which reads
GN = v/A1 q-(A2/D) (24)
where A1, A2= constants. There are, however, four objections to the fractal
theory [11 ]: (i) A mechanical analysis (of either invasive or lacunar fractals)
predicts a different size effect trend than Eq. 24, disagreeing with
experimental observations. (ii) The fractality of the final fracture surface
should not matter because typically about 99% of energy is dissipated by
microcracks and frictional slips on the sides of this surface. (iii) The fractal
theory does not predict how A1 and A2 should depend on the geometry of the
structure, which makes the MFSL not too useful for design application. (iv)
The MFSL is a special case of the second formula in Eq. 12 for r = 2, which
logically follows from fracture mechanics;
A1 - EGf /cfg'(O) A2 -- -EGfg"(O)/2cf[g'(O)] 3 (25)
[12]. Unlike fractality, the fracture explanation of Eq. 24 has the advantage
that, by virtue of these formulae, the geometry dependence of the size effect
coefficients can be determined.
1.3.8.2 BOUNDARY LAYER, SINGULARITY,

AND DIFFUSION
Aside from the statistical and quasi-brittle size effects, there are three further
types of size effect that influence the nominal strength:
1. The boundary layer effect, which is due to material heterogeneity (i.e.,

the fact that the surface layer of heterogeneous material such as concrete
has a different composition because the aggregates cannot protrude
through the surface), and to the Poisson effect (i.e., the fact that a plane
strain state on planes parallel to the surface can exist in the core of the
test specimen but not at its surface).
2. The existence of a three-dimensional stress singularity at the intersec-
tion of crack edge with a surface, which is also caused by the Poisson
effect ([BP], Sec. 1.3). This causes the portion of the FPZ near the
surface to behave differently from that in the interior.
3. The time-dependent size effects caused by diffusion phenomena such as
the transport of heat or the transport of moisture and chemical agents in
porous solids (this is manifested, e.g., in the effect of size on shrinkage
and drying creep, due to size dependence of the drying half-time) and
its effect on shrinkage cracking [96].
62 Ba~.ant
1.3.9 CLOSING REMARKS
Substantial though the recent progress has been, the undersl[anding of

the scaling problems of solid mechanics is nevertheless far from complete.
Mastering the size effect that bridges different behaviors on adjacent scales
in the microstructure of material will be contingent upon the development
of realistic material models that possess a material length (or characteristic
length). The theory of nonlocal continuum damage will have to move beyond
the present phenomenological approach based on isotropic spatial averaging,
and take into account the directional and tensorial interactions between
the effects causing nonlocality. A statistical description of such inter-
actions will have to be developed. Discrete element models of the
microstructure of fracturing or damaging materials will be needed
to shed more light on the mechanics of what is actually happening
inside the material and separate the important processes from the
unimportant ones.
ACKNOWLEDGMENT
Preparation of the present review article was supported by the Office of Naval Research under
Grant N00014-91-J-1109 to Northwestem University, monitored by Dr. Yapa D. S. Rajapakse.
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T. A. Jaeger and B. A. Boley, eds., Brussels: European Communities.
CHAPTER 2
Elasticity and
Viscoelasticity
SECTION 2.1
Introduction to Elasticity
and Viscoelasticity
JEAN LEMAITRE
Universit~ Paris 6, LMT-Cachan, 61 avenue du Pr&ident Wilson, 94235 Cachan Cedex, France
For all solid materials there is a domain in stress space in which strains are
reversible due to small relative movements of atoms. For many materials like
metals, ceramics, concrete, wood and polymers, in a small range of strains, the
hypotheses of isotropy and linearity are good enough for many engineering
purposes. Then the classical Hooke's law of elasticity applies. It can be de-
rived from a quadratic form of the state potential, depending on two
parameters characteristics of each material: the Young's modulus E and
the Poisson's ratio v.
1
~k* -- 2---pAijkl(E'v)0"ij0"kl (1)
0~t* l+v v
e~j - p 0a ~ E ao ~ crkka~j (2)
E and v are identified from tensile tests either in statics or dynamics. A great
deal of accuracy is needed in the measurement of the longitudinal and
transverse strains (6e ~ -+-10-6 in absolute value).
When structural calculations are performed under the approximation of
plane stress (thin sheets) or plane strain (thick sheets), it is convenient to
write these conditions in the constitutive equation.
9 Plane stress (033 -- 0"13 -- 0"23 -- 0)"
1 v 0
E E
Igll
822 1 Sym
1 0
i lll
~22 (3)
g12 0"12
l+v
E
Handbook of Materials Behavior Models. ISBN0-12-443341-3.

Copyright 9 2001by AcademicPress.All rightsof reproductionin any formreserved. 71
72 Lemaitre
9 Plane strain (833 - - 813 - - 823 - - 0)"
0.22
0.12
-
i Sym 2 + 2/~
01111
0
2#
i 822
812
(4)
vE
2 - - (1 + v ) ( 1 - 2v)
with
E
-- 2(1 + v)
For orthotropic materials having three planes of symmetry, nine
independent parameters are needed: three tension moduli El, E2, E3
in the orthotropic directions, three shear moduli G12, G23, G31, and
three contraction ratios v12, v23, v31. In the frame of orthotropy:
811 _ 0.11
- 1 v12 v13
0 0 0
E1 E1 E1
822 1 •23 0"22
0 0 0
E2 E2
1
833 0 0 0 0"33
E3
-- 1 (5)
0 0
] 823 2G23 0"23
1
Sym 0
831 2G31 O"31
1
i 2G12
812 0"12 _
Nonlinear elasticity in large deformations is described in Section 2.2,

with applications for porous materials in Section 2.3 and for elastomers
in Section 2.4.
Thermoelasticity takes into account the stresses and strains induced by
thermal expansion with dilatation coefficient ~. For small variations of
temperature 0 for which the elasticity parameters may be considered
as constant:
l+v v
sO = E 0./j - ~ 0.khcS/j+ a06/j (6)
For large variations of temperature, E, v, and a will vary. In rate

formulations, such as are needed in elastoviscoplasticity, for example, the
2.1 Introduction to Elasticity and Viscoelasticity 73
derivative of E, v, and c~ must be considered.
~v = E ev - g e ~ a v + ~0av + b-0 E ~v - F0 ~ a v + N 0av 0

(7)
Viscoelasticity considers in addition a dissipative phenomenon due to
"internal friction," such as between molecules in polymers or between cells in
wood. Here again, isotropy, linearity, and small strains allow for simple
models. Quadratric functions for the state potential and the dissipative
potential lead to either Kelvin-Voigt or Maxwell's models, depending upon the
partition of stress or strains in a reversible part and in an irreversible part.
They are described in detail for the one-dimensional case in Section 2.5 and
recalled here in three dimensions.
9 Kelvin-Voigt model:
ffij = i~(~,kk -+- 02~'kk)(~ij _Jr_2/2(gij _+_Op~,ij ) (8)
Here 2 and/.z are Lame's coefficients at steady state, and 0x and 0~ are two
time parameters responsible for viscosity. These four coefficients may be
identified from creep tests in tension and shear.
9 Maxwell model:
9 1 + v (rij + - (rkk + aij (9)

giJ = E ~ -E r2 /
Here E and v are Young's modulus and Poisson's ratio at steady state, and
rl and r2 are two other time parameters. It is a fluidlike model:
equilibrium at constant stress does not exist.
In fact, a more general way to write linear viscoelastic constitutive models

is through the functional formulation by the convolution product as any linear
system. The hereditary integral is described in detail for the one-dimensional
case, together with its use by the Laplace transform, in Section 2.5.
'?'ij(t)--
fo' Jijkl(t- "C) ~dcrkl dr + ~-~Jijkl(t- "c)AO'Pk/
p=l
[J(t)] is the creep functions matrix, and Ao-~l are the eventual stress steps.
(10)
The dual formulation introduces the relaxation functions matrix JR(t)]
O'ij(t) -- /o t Rijkl(t- "C) dC,kl dr, + RijklAgPkkl (11)

p=l
When isotropy is considered the matrix, [J] and [R] each reduce to
two functions:
9 either J(t), the creep function in tension, is identified from a creep test at
constant stress; J ( t ) = g ( t ) / r and K, the second function, from the
74 Lemaitre
creep function in shear. This leads to

Dcrij _ K| (~ij (12)
~,ij - - ( J + K) | Dz wz
where | stands for the convolution product and D for the distribution
derivative, taking into account the stress steps.
9 or M(t), the relaxation function in shear, and L(t), a function deduced
from M and from a relaxation test in tension R(t) = ~r(t)/~;
L(t) = M ( R - 2 M ) / ( 3 M - R)
D( ekk ) D~3ij
~0 - L | 6~j + 2M | ~ (13)
Dr dr
All of this is for linear behavior. A nonlinear model is described in
Section 2.6, and interaction with damage is described in Section 2.7.
SECTION 2.2
Background on
Nonlinear Elasticity
R. W. OGDEN
Department of Mathematics, University of Glasgow, Glasgow G12 8QW, UK
Contents
2.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
2.2.2 Deformation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
2.2.3 Stress and Equilibrium . . . . . . . . . . . . . . . . . . . . . . 76
2.2.4 Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
2.2.5 Material Symmetry . . . . . . . . . . . . . . . . . . . . . . . . . . 78
2.2.6 Constrained Materials . . . . . . . . . . . . . . . . . . . . . . . 80
2.2.7 Boundary-Value Problems . . . . . . . . . . . . . . . . . . . . 81
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
2.2.1 VALIDITY
The theory of nonlinear elasticity is applicable to materials, such as rubberlike

solids and certain soft biological tissues, which are capable of u n d e r g o i n g
large elastic deformations. More details of the theory and its applications can
be found in Beatty [1] and Ogden [3].
2.2.2 DEFORMATION
For a continuous body, a reference configuration, denoted by ~r, is identified

and 0 ~ r denotes the b o u n d a r y of ~ r . Points in ~ r are labeled by their
position vectors X relative to some origin. The body is deformed quasi-
statically from ~ r SO that it occupies a new configuration, denoted ~ , with
Handbook of Materials Behavior Models. ISBN 0o12-443341-3.

76 Ogden
boundary 0~. This is the current or deformed configuration of the body. The
deformation is represented by the mapping Z::~r --~ ~ , SO that
x = z(X) XC~r (1)
where x is the position vector of the point X in ~ . The mapping X is called the
deformation from ~ r tO ~ , and Z is required to be one-to-one and to satisfy
appropriate regularity conditions. For simplicity, we consider only Cartesian
coordinate systems and let X and x, respectively, have coordinates X~ and x~,
where ~, i C { 1, 2, 3}, so that xi--zi(X~). Greek and Roman indices refer,
respectively, to ~ r and ~ , and the usual summation convention for repeated
indices is used.
The deformation gradient tensor, denoted E is given by
F = Grad x Fia = OXi/OXo~ (2)

Grad being the gradient operator in Nr. Local invertibility of Z and its inverse
requires that
0 < J = det F < oo (3)
wherein the notation J is defined.
The deformation gradient has the (unique) polar decompositions
F = RU = VR (4)
where R is a proper orthogonal tensor and U, V are positive definite and
symmetric tensors. Respectively, U and V are called the right and left stretch
tensors. They may be put in the spectral forms
3 3
u- | ul,I v- Z ,vl,I | vl,I
i=1 i=1
where v (i) = Ru (i), i C {1,2,3}, 2i are the principal stretches, u (i) the unit
eigenvectors of U (the Lagrangian principal axes), v (i) those of V (the Eulerian
principal axes), and | denotes the tensor product. It follows from Eq. 3 that
J =/~1,~2,~3 9
The right and left Cauchy-Green deformation tensors, denoted C and B,
respectively, are defined by
C = FTF = U 2 B = FF ~ = V 2 (6)
2.2.3 STRESS AND EQUILIBRIUM
Let Pr and p be the mass densities in Nr and N, respectively. The mass

conservation equation has the form
Pr = pJ (7)
2.2 Background on Nonlinear Elasticity 77
The Cauchy stress tensor, denoted g, and the nominal stress tensor, denoted
S, are related by
S = jF-lo (8)
The equation of equilibrium may be written in the equivalent forms

div ~ + pb = 0 Div S + Prb = 0 (9)
where div and Div denote the divergence operators in ~ and ~r, respectively,
and b denotes the body force per unit mass. In components, the second
equation in Eq. 9 is
OS~i
-t- IOrbi = 0 (10)
c3X~
Balance of the moments of the forces acting on the body yields simply
a t = ~, equivalently S TFT= FS. The Lagrangian formulation based on the
use of S and Eq. 10, with X as the independent variable, is used henceforth.
2.2.4 ELASTICITY
The constitutive equation of an elastic material is given in the equivalent

forms
oqW
S - H(F) - - - ~ (F) ( ~ - G(F) --j-1FH(F) (11)
where H is a tensor-valued function, defined on the space of deformation

gradients E W is a scalar function of F and the symmetric tensor-valued
function G is defined by the latter equation in Eq. 11. In general, the form of
H depends on the choice of reference configuration and it is referred to as the
response function of the material relative to Nr associated with S. For a given
~r, therefore, the stress in ~ at a (material) point X depends only on the
deformation gradient at X. A material whose constitutive law has the form of
Eq. 11 is generally referred to as a hyperelastic material and W is called a
strain-energy function (or stored-energy function). In components, the first
part of Eq. 11 has the form S~i = cgW/cgFi~, which provides the convention for
ordering of the indices in the partial derivative with respect to E
If W and the stress vanish in N'r, so that
OW
W(I) -- 0 OF (I) - O (12)
where I is the identity and O the zero tensor, then Nr is called a natural
configuration.
78 Ogden
Suppose that a rigid-body deformation x* = Qx + c is superimposed on

the deformation x = z(X), where Q and c are constants, Q being a rotation
tensor and c a translation vector. The resulting deformation gradient, F* say,
is given by F* -- QF. The elastic stored energy is required to be independent
of superimposed rigid deformations, and it follows that
W(QF) = W(F) (13)
for all rotations Q. A strain-energy function satisfying this requirement is said
to be objective.
Use of the polar decomposition (Eq. 4) and the choice Q - - R ~ in Eq. 13
shows that W ( F ) = W(U). Thus, W depends on F only through the stretch
tensor U and may therefore be defined on the class of positive definite
symmetric tensors. We write
OW
T = (14)
ou
for the (symmetric) Biot stress tensor, which is related to S by
X = (SR + RTST)/2.
2.2.5 MATERIAL SYMMETRY
Let F and F' be the deformation gradients in M relative to two different

reference configurations, Mr and ~tr respectively. In general, the response of
the material relative to ~'r differs from that relative to ~r, and we denote by W
and W' the strain-energy functions relative to Mr and ~'r. Now let P -- Grad X'
be the deformation gradient of ~'r relative to Mr, where X' is the position
vector of a point in M'r- Then F -- F'P. For specific P we may have W' - W,
and then
W ( F ' P ) - - W(F') (15)
for all deformation gradients F'. The set of tensors P for which Eq. 15 holds
forms a multiplicative group, called the symmetry group of the material relative
to Mr. This group characterizes the physical symmetry properties of
the material.
For isotropic elastic materials, for which the symmetry group is the proper
orthogonal group, we have
W(FQ) = W(F) (16)
for all rotations Q. Since the Q's appearing in Eqs. 13 and 16 are independent,
the combination of these two equations yields
W(QUQ 1) = W(U) (17)
for all rotations Q. Equation 17 states that W is an isotropic function of U. It

follows from the spectral decomposition (Eq. 5) that W depends on U only
through the principal stretches 21, 22, and 23 and is symmetric in these
stretches.
For an isotropic elastic material, ~ is coaxial with V, and we may write
= aoI + or + 0r B2 (18)
where a0, R1, and a2 are scalar invariants of B (and hence of V) given by
Or 2i~/2 (~W _1/2(0W OW) -1/20W
-- 013 0{1 - - 213 ~ 1 -+- I1-~2 0{2 -- -213 c912 (19)
and W is now regarded as a function of I1, I2, and I3, the principal invariants
of B defined by
I1 - - tr(B) -- 212 + 22 + 2~, (20)
12 -- 11112- tr(B2)] -- 2223

2 2 + 2321
2 2 + 2122
2 2 (21)
I3 -- det B -- j"~1"2"'3
2j2j2 (22)
Another consequence of isotropy is that S and ~ have the decompositions

3 3
S- ~ tiu (0 | v (i) o- ~ o'iv(i) | v (i) (23)
i=1 i=l
where r~i, i c { 1, 2, 3} are the principal Cauchy stresses and ti the principal
Blot stresses, connected by
ti = ~02i -J27~ lcri (24)
Let the unit vector M be a preferred direction in the reference configuration

of the material, i.e., a direction for which the material response is indifferent
to arbitrary rotations about the direction and to replacement of M by -M.
Such a material can be characterized by a strain energy which depends on F
and the tensor M | M [2,4,5] Thus, we write W(F, M | M). The required
symmetry (transverse isotropy) reduces W to dependence on the five invariants
I1, 12, 13, 14 = M. (CM) 15 = M - ( C 2 M ) (25)
where I1, I2, and/3 are defined in Eqs. 20-22. The resulting nominal stress
tensor is given by
S = 2WIF ~- + 2W2(Ili - C)F ~- + 213W3F-1 + 2W4M | FM
+ 2Ws(M | FCM + CM | FM) (26)
where Wi = cgW/cgli, i = 1 , . . . , 5.
80 Ogden
When there are two families of fibers corresponding to two preferred

directions in the reference configuration, M and M ~ say, then, in addition to
Eq. 25, the strain energy depends on the invariants
16 -- M ~" (CM ~) 17 = M t" (C2M I) 18 = M. (CM ~) (27)
and also on M. M ~ (which does not depend on the deformation); see Spencer
[4,5] for details. The nominal stress tensor can be calculated in a similar
way to Eq. 26.
2.2.6 CONSTRAINED MATERIALS
An internal constraint, given in the form C ( F ) = 0 , must be satisfied

for all possible deformation gradients E where C is a scalar function. Two
commonly used constraints are incompressibility and inextensibility, for
which, respectively,
C(F) = detF - 1 C(F) = M-(F~-FM) - 1 (28)
where the unit vector M is the direction of inextensibility in ~r. Since any
constraint is unaffected by a superimposed rigid deformation, C must be an
objective scalar function, so that C(QF) = C(F) for all rotations Q.
Any stress normal to the hypersurface C(F) = 0 in the (nine-dimensional)
space of deformation gradients does no work in any (virtual) incremental
deformation compatible with the constraint. The stress is therefore
determined by the constitutive law in Eq. 11 only to within an additive
contribution parallel to the normal. Thus, for a constrained material, the
stress-deformation relation in Eq. 11 is replaced by
OC OW OC
S -- H(F) + q c3---F= o--F- + q OF (29)
where q is an arbitrary (Lagrange) multiplier. The term in q is referred to as

the constraint stress since it arises from the constraint and is not otherwise
derivable from the material properties.
For incompressibility and inextensibility we have
OW OW
S - - ~ + qF -1 S - - ~ + 2qM | FM (30)
respectively. For an incompressible material the Blot and Cauchy stresses are
given by
OW
T- c3---U- pU-1 detU- 1 (31)
and
OW
o -- F--~--
F- - pI det F - 1 (32)
where q has been replaced by -p, which is called an arbitrary hydrostatic

pressure. The term in ~0 in Eq. 18 is absorbed into p, and I3 = 1 in the
remaining terms in Eq. 18. For an incompressible isotropic material the
principal components of Eqs. 31 and 32 yield
ow ow
ti = o02i p,~?X O'i -- '~i -~-~- -- P (33)
respectively, subject to 212223 = 1.

For an incompressible transversely isotropic material with preferred
direction M, the dependence on 13 is omitted and the Cauchy stress tensor
is given by
o = - pI + 2WIB + 2 W 2 ( I 1 B - B 2) -+- 2W4FM | FM
+ 2Ws(FM | BFM + BFM | FM) (34)
For a material with two preferred directions, M and M/, the Cauchy stress
tensor for an incompressible material is
o = - pI + 2WIB + 2W2 (11B - B2) + 2W4FM | FM
+ 2Ws(FM Q BFM + BFM | FM) + 2W6FM' | FM'
+ 2W7(FM' | BFM' + BFM' | FM')
+ W8(FM | FM' + FM' | FM) (35)
where the notation Wi = OW/OIi now applies for i = 1, 2, 4 , . . . , 8.
2.2.7 BOUNDARY-VALUE PROBLEMS
The equilibrium equation (second part of Eq. 9), the stress-deformation

relation (Eq. 11), and the deformation gradient (Eq. 2) coupled with Eq. 1 are
combined to give
/
Div - - ~ + Prb - 0 F -- Grad x x- z(X) X C Nr (36)
Typical boundary conditions in nonlinear elasticity are

x = ~(X) on c9~ (37)
S ~ N - z(F,X) on O~f (38)

where r and z are specified functions, N is the unit outward normal to 0~r,
and 0 ~ and 0 ~ f are complementary parts of 0 ~ . In general, z may depend
82 Ogden
on the deformation through E For a dead-load traction "c is independent of E

For a hydrostatic pressure boundary condition, Eq. 38 has the form
--JPF-rN on c9~'~ (39)
Equations 36-38 constitute the basic boundary-value problem in non-
linear elasticity.
In components, the equilibrium equation in Eq. 36 is written
02xj
,;l~i~j cgX--------~B+ p,.bi - 0 (40)
for i c { 1, 2, 3}, where the coefficients d~i~j are defined by

02W
(41)
d~i~j -- d~j~i -- OFi~OFj~
When coupled with suitable boundary conditions, Eq. 41 forms a system of
quasi-linear partial differential equations for xi = zi(X~). The coefficients
~ffoci~j are, in general, nonlinear functions of the components of the
deformation gradient.
For incompressible materials the corresponding equations are obtained by
substituting the first part of Eq. 30 into the second part of Eq. 9 to give
02xj Op + Prbi _ 0 det(OxiOX~) - 1 (42)

d~j Ox~Ox~ - Ox---~
where the coefficients are again given by Eq. 41.
In order to solve a boundary-value problem, a specific form of W needs to
be given. The form of W chosen will depend on the particular material
considered and on mathematical requirements relating to the properties of
the equations, an example of which is the strong ellipticity condition.
Equations 40 are said to be strongly elliptic if the inequality
d~i~jmimjN~N~ > 0 (43)
holds for all nonzero vectors m and N. Note that Eq. 43 is independent
of any boundary conditions. For an incompressible material, the
strong ellipticity condition associated with Eq. 42 again has the form of
Eq. 43, but the incompressibility constraint now imposes the restriction
m . (F-rN) = 0 on m and N.
REFERENCES
1. Beatty, M. E (1987). Topics in finite elasticity: Hyperelasticity of rubber, elastomers and

biological tissues n with examples. Appl. Mech. Rev. 40; 1699-1734.
2. Holzapfel, G. A. (2000). Nonlinear Solid Mechanics. Chichester: Wiley.
3. Ogden, R. W. (1997). Non-linear Elastic Deformations. New York: Dover Publications.

4. Spencer, A. J. M. (1972). Deformations of Fibre-Reinforced Materials. Oxford: Oxford University
Press.
5. Spencer, A. J. M. (1984). Constitutive theory for strongly anisotropic solids. In Continuum
Theory of the Mechanics of Fibre-Reinforced Composites, CISM Courses and Lectures No. 282,
pp. 1-32, Spencer, A. J. M., ed., Wien: Springer-Verlag.
SECTION 2.3
Elasticity of Porous
Materials
N. D. CRISTESCU
231 Aerospace Building, University of Florida, Gainesville, Florida
Contents
2.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
2.3.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
2.3.3 Identification of the Parameters . . . . . . . . . . . . . . 85
2.3.4 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
2.3.1 VALIDITY
The methods used to determine the elasticity of porous materials a n d / o r

particulate materials as geomaterials or powderlike materials are distinct from
those used with, say, metals. The reason is that such materials possess pores
and/or microcracks. For various stress states these may either open or close,
thus influencing the values of the elastic parameters. Also, the stress-strain
curves for such materials are strongly loading-rate-dependent, starting from
the smallest applied stresses, and creep (generally any time-dependent
phenomena) is exhibited from the smallest applied stresses (see Fig. 2.3.1 for
schist, showing three uniaxial stress-strain curves for three loading rates and a
creep curve [1]). Thus information concerning the magnitude of the elastic
parameters cannot be obtained:
9 from the initial slope of the stress-strain curves, since these are loading-
rate-dependent;
9 by the often used "chord" procedure, obviously;
9 from the unloading slopes, since significant hysteresis loops are
generally present.

2 . 3 Elasticity of Porous Materials 85
60 i i i i i i I
ot
[MPa] / 0.49 0.065
50 - E ~I / j .-= '< -
f ..n.- /
/ /
40 / .,It" .
/ / 0-=0.002 IV[Pa S "l
/ / / ,'.
20 / // ,=" / ,/r"
_ _ . " ~ ' " "" "- "" 12 days -~ -
u / /./- IV" -
~" ,,.. -/ /
," ,"
p
~. 6 11
,.. SCmST
/i
3~f // /
,'."
0 I "I I I I I , I
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
r~ [%]
FIGURE 2.3.1 Uniaxial stress-strain curves for schist for various loading rates, showing time
influence on the entire stress-strain curves and failure (stars mark the failure points).
2.3.2 FORMULATION
The elasticity of such materials can be expressed as "instantaneous

response" by
(1 lll(tr:f)l (1)
D - 2-~ + 3~< 2-0
where G and K are the elastic parameters that are not constant, D is the strain
rate tensor, T is the stress tensor, is the trace operator, and 1 is the unit tr( )
tensor. Besides the elastic properties described by Eq. 1, some other
mechanical properties can be described by additional terms to be added to
Eq. 1. For isotropic geomaterials the elastic parameters are expected to
depend on stress invariants and, perhaps, on some damage parameters, since
during loading some pores and microcracks may close or open, thus
influencing the elastic parameters.
2.3.3 IDENTIFICATION OF THE PARAMETERS
The elastic parameters can be determined experimentally by two procedures.

With the dynamic procedure,
one is determining the travel time of the two
86 Cristescu
elastic (seismic) extended body/longitudinal and transverse waves, which

are traveling in the body. If both these waves are recorded, then the
instantaneous response is of the form of Eq. 1. The elastic parameters are
obtained from
K--p Vp--~
where vs is the velocity of propagation of the shearing waves, vv the velocity of

the longitudinal waves, and p the density.
The static procedure takes into account that the constitutive equations for
geomaterials are strongly time-dependent. Thus, in triaxial tests performed
under constant confining pressure ~r, after loading up to a desired stress state 1:
(octahedral shearing stress), one is keeping the stress constant for a certain
time period tc [2, 3]. During this time period the rock is creeping. When the
strain rates recorded during creep become small enough, one is performing an
unloading-reloading cycle (see Fig. 2.3.2). From the slopes
(1 1 ) - 1 ( 1 1 ) -1
(3)
of these unloading-reloading curves one can determine the elastic parameters.
For each geomaterial, if the time tc is chosen so that the subsequent unloading
is performed in a comparatively much shorter time interval, no significant
interference between creep and unloading phenomena will take place. An
example for schist is shown in Figure 2.3.3, obtained in a triaxial test with five
unloading-reloading cycles.
y
st
t ~ 0 ~t
9K 6G
v/Z__
Transvcrs~ strain ~2 0 Axial Strain E1
FIGURE 2.3.2 Static procedures to determine the elastic parameters from partial unloading
processes preceded by short-term creep.
2.3 Elasticity of Porous Materials 87
40 i I'' I i l
o I - (3'3
[MPal
30
2o
Io
y aB=22.5 M P a
#i !
0 ! I
--0.001 0 0.001 0.002 0.003
FIGURE 2.3.3 Stress-strain curves obtained in triaxial tests on shale; the unloadings follow a
period of creep of several minutes.
If only a partial unloading is performed (one third or even one quarter of

the total stress, and sometimes even less), the unloading and reloading follow
quite closely straight lines that practically coincide. If a hysteresis loop is still
recorded, it means that the time tc was chosen too short. The reason for
performing only a partial unloading is that the specimen is quite "thick" and
as such the stress state in the specimen is not really uniaxial. During complete
unloading, additional phenomena due to the "thickness" of the specimen
will be involved, including, e.g., kinematic hardening in the opposite
direction, etc.
Similar results can be obtained if, instead of keeping the stress constant,
one is keeping the axial strain constant for some time period during which the
axial stress is relaxing. Afterwards, when the stress rate becomes relatively
small, an unloading-reloading is applied to determine of the elastic
parameters. This procedure is easy to apply mainly for particulate materials
(sand, soils, etc.) when standard (Karman) three-axial testing devices are used
and the elastic parameters follow from
1 Az 1 Az
K= - C = - (4)
3 Ael + 2Ae2 2 Ael - Ae2
where A is the variation of stress and elastic strains during the unloading-
reloading cycle. The same method is used to determine the bulk modulus K in
hydrostatic tests when the formula to be used is
Aa
K = (5)
At;v
with ~ the mean stress and ev the volumetric strain.
Generally, K is increasing with ~ and reaching an asymptotic constant value
when ~ is increasing very much and all pores and microcracks are closed
88 Cristescu
under this high pressure. The variation of the elastic parameters with z is
more involved: when z increases but is still under the compressibility/
dilatancy boundary, the elastic parameters are increasing. For higher values,
above this boundary, the elastic parameters are decreasing. Thus their
variation is related to the variation of irreversible volumetric strain, which, in
turn, is describing the evolution of the pores and microcracks existing in the
geomaterial. That is why the compressibility/dilatancy boundary plays the
role of reference configuration for the values of the elastic parameters; so long
as the loading path (increasing a and/or z) is in the compressibility domain,
the elastic parameters are increasing, whereas if the loading path is in the
dilatancy domain (increasing z under constant a), the elastic parameters are
decreasing. If stress is kept constant and strain is varying by creep, in the
compressibility domain volumetric creep produces a closing of pores and
microcracks and thus the elastic parameters increase, and vice versa in the
dilatancy domain. Thus, for each value of a the maximum values of the elastic
parameters are reached on the compressibility/dilatancy boundary.
2.3.4 EXAMPLES
As an example, for rock salt in uniaxial stress tests, the variation of the elastic
moduli G and K with the axial stress O"1 is s h o w n in Figure 2.3.4 [4]. The
variation of G and K is very similar to that of the irreversible volumetric
~k,a, (MPa) o"l(MPa)

20 (OD (K) 20
18 18
16 16
14 14
12 12
10 I0 -
8 8 -
6 6
4 4
}
m
2 2
i A "31
1 2 3 4 5 6 7 $ (MPa) 2 4 6 $ I0 %
FIGURE 2.3.4 Variationof the elastic parameters K and G and of irreversible volumetric strain
in monotonic uniaxial tests.
2.3 Elasticity of Porous Materials 89
~days ~d
24 (G') (K) ~.68 24- k,~

22 22 "
20 ~.66 20
18 10"61 18
16 16
14 14
12 A = 0.27 - 0 . 5 ~ 12
8
10 A=0~2_~ 108 f
o _-o.17 o f
4 A =0.12
4 /
2
A=0. K,G x 10.3 ] r x 104
I I I I ! ! ~ t ~._
1 2 3 4 5 6 7 8(MPa) 2 4 6 8 10 12%"-
FIGURE 2.3.5 Variation in time of the elastic parameters and of irreversible volumetric strain in
uniaxial creep tests.
strain e~/. If stress is increased in steps, and if after each increase the stress in
kept constant for two days, the elastic parameters are varying during
volumetric creep, as shown in Figure 2.3.5. Here A is the ratio of the applied
stress and the strength in uniaxial compression ac = 17.88 MPa. Again, a
similarity with the variation of e~ is quite evident. Figure 2.3.6 shows for a
different kind of rock salt the variation of the elastic velocities ve and vs in
true triaxial tests under confining pressure pc = 5MPa (data by Popp,
Schuhze, and Kern [5]). Again, these velocities increase in the compressibility
domain, reach their maxima on the compressibility/dilatancy boundary, and
then decrease in the dilatancy domain.
For shale, and the conventional (Karman) triaxial tests shown in
Figure 2.3.3, the values of E and G for the five unloading-reloading cycles
shown are: E = 9.9, 24.7, 29.0, 26.3, and 22.3GPa, respectively, while
G = 4.4, 10.7, 12.1, 10.4, and 8.5 GPa.
For granite, the variation of K with a is given as [2]
/ (:o)
Ko-KI
Ko, if a _~ ao
1- , if a < a0
(6)
with K0 - 59 GPa, K1 -- 48 GPa, and a0 - 0.344 GPa, the limit pressure when
all pores are expected to be closed.
90 Cristescu
90 . . . . . 30 lol
100
i 2o
~" 50] / I' ~Jn'~"'i~i
~" 30-.
oca '~ A u,,,ch,,lg -'1
a
' ............~ 4 1 ~ i ~ .........:..:.,4,.~~ lo
998 ~
10. ,"
0 5 10 15 20 25 30 35 40 .97
(MPa) o o.s 1 1.s
Pc Axial stratn 1%)
FIGURE 2.3.6 The maximum of Vs takes place at the compressibility/dilatancy boundary

(figures and hachured strip); changes of vp and Vs as a function of strain ( ~ - - 1 0 -5 s -I,
Pc -- 5 Mpa, T = 30 ~ C), showing that the maxima are at the onset of dilatancy. (Reprinted with
permission from Popp, T., Kern, H., and Schultze, O., in press, Permeation and development of
dilatancy and permeability in rock salt, in N. D. Cristescu and H. R. Hardy, Jr., eds., Proceedings of
the 5th Conference on Mechanical Behavior of Salt, Mecasalt V, Bucharest, 9-11, August 1999, Trans
Tech. Publ., Clausthal.)
The same formula for a l u m i n a p o w d e r is

/ \
(7)
w i t h K c~ = 1 x 10 7 kPa the constant value toward w h i c h the b u l k m o d u l u s

tends at high pressures, ~ = 10 7, b - - - 1 . 2 x 10 -4, a n d Pa - I kPa. Also for
a l u m i n a p o w d e r we have
E ( a ) := E ~ - Pail e x p ( - d a ) (8)
with E ~ = 7 x 105 kPa, fl = 6.95 x 105, a n d d = 0.002.
For the shale s h o w n in Figure 2.3.3, the variation of K with a for
0 < a < 45 MPa is
K(r~) "-- - 0 . 7 8 r 2 + 65.32rr - 369 (9)
REFERENCES
1. Cristescu, N. (1986). Damage and failure of viscoplastic rock-like materials. Int. J. Plasticity
2 (2): 189-204.
2. Cristescu, N. (1989). Rock Rheology, Kluver Academic Publishing.
3. Cristescu, N. D., and Hunsche, U. (1998). Time Effects in Rock Mechanics, Wiley.
4. Ani, M., and Cristescu N. D. (2000). The effect of volumetric strain on elastic parameters for
rock salt. Mechanics of Cohesive-Frictional Materials 5 (2): 113-124.
5. Popp, T., Schultze, O., and Kern, H. (2001). Permeation and development of dilatancy and
permeability in rock salt, in The Mechanical Behavior of Salt (5th Conference on Mechanical
Behavior of Salt), Cristescu, N. D., and Hardy, Jr., H. Reginald, eds., Balkema.
SECTION 2.4
Elastomer Models
R. W. OGDEN
Department of Mathematics, University of Glasgow, Glasgow G12 8QW, UK
Contents
2.4.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
2.4.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
2.4.3 Description of the Model . . . . . . . . . . . . . . . . . . . . . 93
2.4.4 Identification of Parameters . . . . . . . . . . . . . . . . . . 93
2.4.5 How to Use It . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
2.4.6 Table of Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . 94
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
2.4.1 VALIDITY
Many rubberlike solids can be treated as isotropic and incompressible elastic

materials to a high degree of approximation. Here the mechanical properties
of such solids are described through the use of an isotropic elastic strain-
energy function in the context of finite deformations. For general background
on finite elasticity, we refer to Ogden [5].
2.4.2 BACKGROUND
Locally, the finite deformation of a material can be described in terms of the

three principal stretches, denoted by 21, 22, and 23. For an incompressible
material these satisfy the constraint
/~1/~2/~3- 1
o
(1)
The material is isotropic relative to an unstressed u n d e f o r m e d (natural)
configuration, and its elastic properties are characterized in terms of a
Handbook of Materials Behavior Models. ISBN 0-12-443341-31

92 Ogden
strain-energy function W(,~1,~,2,,~3) per unit volume, where W depends

symmetrically on the stretches subject to Eq. 1.
The principal Cauchy stresses associated with this deformation are
given by
cgW
0"i -- 2i o,r p, i C { 1, 2, 3} (2)
where p is an arbitrary hydrostatic pressure (Lagrange multiplier). By

regarding two of the stretches as independent and treating the strain energy as
a function of these through the definition W ( 2 1 , 2 2 ) - W(21,22,211221),
we obtain
oW oW
crl -cr3 - 21 0~1 cr2- cr3 - ~20~--T (3)
For consistency with the classical theory, we must have
02* cgW(1 1) - 0 0 2 *
!/r 1) -- 0, 021022 (1, 1) - 2#, ~ , , 022 (1, 1) -- 4/,, (4)
0~ E {1,2}
where # is the shear modulus in the natural configuration. The equations in

Eq. 3 are unaffected by superposition of an arbitrary hydrostatic stress. Thus,
in determining the characteristics of lye, and hence those of W, it suffices to set
0"3 = 0 in Eq. 3, so that
o~ o~ (5)
Biaxial experiments in which 21,22 and o1,0"2 are measured then provide
data for the determination of ~fr Biaxial deformation of a thin sheet where the
deformation corresponds effectively to a state of plane stress, or the combined
extension and inflation of a thin-walled (membranelike) tube with closed
ends provide suitable tests. In the latter case the governing equations are
written
P* -- 211221 c9~Yr __cgW_ _1 oq* (6)

022 F* --- 0 2 1 2 22211 (~'~2
where P* = PR/H, P is the inflating pressure, H the undeformed membrane

thickness, and R the corresponding radius of the tube, while F* = F/2rrRH,
with F the axial force on the membrane (note that the pressure contributes to
the total load on the ends of the tube). Here 21 is the axial stretch and 22 the
azimuthal stretch in the membrane.
2.4 E l a s t o m e r M o d e l s 93
2.4.3 DESCRIPTION OF THE MODEL
A specific model which fits very well the available data on various rubbers is
that defined by
N
W - Z #"(21" + 22" + 2~" - 3)/~. (7)
n=l
where #, and an are material constants and N is a positive integer, which for
many practical purposes may be taken as 2 or 3 [3]. For consistency with
Eq. 4 we must have
N
Z - (8)
n=l
and in practice it is usual to take/.t,,0~, > 0 for each n - 1 , . . . ,N.

In respect of Eq. 7, the equations in Eq. 3 become
N N
O-1 - - 0- 3 - - ~ fin(/~l" - - ~ " ) 0"2 -- 0- 3 - - ~ ~/n(~" -- ~") (9)
n=l n=l
2.4.4 IDENTIFICATION OF PARAMETERS
Biaxial experiments with a3 = 0 indicate that the shapes of the

curves of a l - or2 plotted against /~1 a r e essentially independent of 22 for
many rubbers. Thus the shape may be determined by the pure shear test with
2 2 = 1, s o t h a t
N N
al- a2- Z #n(21" - 1) -a2- ~ ~,(23 n - 1) (10)
n=l n=l
for 21 >_ 1, 23 _< 1. The shift factor to be added to the first equation in Eq. 10
when 22 differs from 1 is
N
~--~ #,(1 - 22" ) (11)
n=l
Information on both the shape and shift obtained from experiments at fixed
22 then suffice to determine the material parameters, as described in detail in
References [3] or [4].
Data from the extension and inflation of a tube can be studied on this basis
by considering the combination of equations in Eq. 6 in the form
cgW cgW 1 2
,rl - a2 - ~1 ~ - & ~ -- ~1/~ - ~ ~2,ZlP ~ (12)
94 Ogden
2.4.5 HOW T O U S E T H E S T R A I N - E N E R G Y
FUNCTION
The strain-energy function is incorporated in m a n y commercial Finite

E l e m e n t (FE) software packages, such as ABAQUS and MARC, and can be
used in terms of principal stretches and principal stresses in the FE solution of
boundary-value problems.
2.4.6 TABLE OF PARAMETERS
Values of the parameters corresponding to a three-term form of Eq. 7 are n o w

given in respect of two different but representative vulcanized natural
rubbers. The first is the material used by Jones and Treloar [2]:
(Z1 - - 1 . 3 , ~2 = 4.0, ~3 = - 2 . 0 ,
]A1 - - 0.69, #2 -- 0.01, #3 -- - 0 . 0 1 2 2 N m m -2
The second is the material used by James et al. [1], the material constants
having been obtained by Treloar and Riding [6]:
0~1 - - 0 . 7 0 7 , ~2 = 2.9, ~3 = - 2 . 6 2 ,
]A1 - - 0.941, #2 -- 0.093, #3 -- - 0 . 0 0 2 9 N m m -2
For detailed descriptions of the rubbers concerned, reference should be m a d e

to these papers.
REFERENCES
1. James, A. G., Green, A., and Simpson, G. M. (1975). Strain energy functions of rubber.
I. Characterization of gum vulcanizates. J. Appl. Polym. Sci. 19: 2033-2058.
2. Jones, D. E, and Treloar, L. R. G. (1975). The properties of rubber in pure homogeneous strain.
J. Phys. D: Appl. Phys. 8: 1285-1304.
3. Ogden, R. W. (1982). Elastic deformations of rubberlike solids, in Mechanics of Solids
(Rodney Hill 60th Anniversary Volume) pp. 499-537, Hopkins, H. G., and Sevell, M. J., eds.,
Pergamon Press.
4. Ogden, R. W. (1986). Recent advances in the phenomenological theory of rubber elasticity.
Rubber Chem. Technol. 59: 361-383.
5. Ogden, R. W. (1997). Non-Linear Elastic Deformations, Dover Publications.
6. Treloar, L. R. G., and Riding, G. (1979). A non-Gaussian theory for rubber in biaxial strain.
I. Mechanical properties. Proc. R. Soc. Lond. A369: 261-280.
SECTION 2.5
Background on
Viscoelasticity
Kozo IKEGAMI
Tokyo Denki University, Kanda-Nishikicho 2-2, Chiyodaku, Tokyo 101-8457, Japan
Contents
2.5.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
2.5.2 Mechanical Models . . . . . . . . . . . . . . . . . . . . . . . . 95
2.5.3 Static Viscoelastic Deformation . . . . . . . . . . . . . . . 98
2.5.4 Dynamic Viscoelastic Deformation . . . . . . . . . 100
2.5.5 Hereditary Integral . . . . . . . . . . . . . . . . . . . . . . . . 102
2.5.6 Viscoelastic Constitutive Equation by the
Laplace Transformation . . . . . . . . . . . . . . . . . . . . 103
2.5.7 Correspondence Principle . . . . . . . . . . . . . . . . . . 104
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
2.5.1 VALIDITY
F u n d a m e n t a l deformation of materials is classified into three types: elastic,

plastic, and viscous deformations. Polymetric material shows t i m e - d e p e n d e n t
properties even at r o o m temperature. Deformation of metallic materials is also
t i m e - d e p e n d e n t at high temperature. The theory of viscoelasticity can be
applied to represent elastic and viscous deformations exhibiting time-
d e p e n d e n t properties. This paper offers an outline of the linear theory
of viscoelasticity.
2.5.2 MECHANICAL MODELS
Spring and dashpot elements as s h o w n in Figure 2.5.1 are used to represent

elastic and viscous deformation, respectively, within the framework of the
Handbookof MaterialsBehaviorModels.ISBN 0-12-443341-3.

96 Ikegami
O"
k 1
a a
(a) Spring element (b) Dashpot element

FIGURE2.5.1 Mechanicalmodel of viscoelasticity.
linear theory of viscoelasticity. The constitutive equations between stress a

and stress e of the spring and dashpot are, respectively, as follows:
de
o" -- ke o" - r/~-~ (1)
where the notations k and r/are elastic and viscous constants, respectively.
Stress of spring elements is linearly related with strain. Stress of dashpot
elements is related with strain differentiated by time t, and the constitutive
relation is time-dependent.
Linear viscoelastic deformation is represented by the constitutive equations
combining spring and dashpot elements. For example, the constitutive
equations of the series model of spring and dashpot elements shown in
Figure 2.5.2 is as follows:
r/d~ de
(2)
This is called the Maxwell model. The constitutive equation of the parallel
model of spring and dashpot elements shown in Figure 2.5.3 is as follows:
de
cr - ke + t / ~ (3)
This is called the Voigt or Kelvin model.

2.5 Backgroundon Viscoelasticity 97
C;
FIGURE2.5.2 Maxwellmodel.
There are many variations of constitutive equations giving linear

viscoelastic deformation by using different numbers of spring and dashpot
elements. Their constitutive equations are generally represented by the
following ordinary differential equation:
dr d2 cr dn cr
poor + Pl ~ q- P2 - - ~ + . . . if- P,, dt n
& d2~ d"~ (4)

= qo~ + q l - ~ + q 2 - ~ + . . . + q. dt"
The coefficients p and q of Eq. 4 give the characteristic properties of linear

viscoelastic deformation and take different values according to the number of
spring and dashpot elements of the viscoelastic mechanical model.
98 Ikegami
t E
k
FIGURE 2.5.3 Voigt (Kelvin) model.
2.5.3 STATIC VISCOELASTIC DEFORMATION
There are two functions representing static viscoelastic deformation; one is

creep compliance, and another is the relaxation modulus. Creep compliance
is defined by strain variations under constant unit stress. This is obtained by
solving Eqs. 2 or 3 for step input of unit stress. For the Maxwell model and
the Voigt model, their creep compliances are represented, respectively, by
the following expressions. For the Maxwell model, the creep compliance is
g- + -- + 1 ) (5)
where zM = JT/k, and this is denoted as relaxation time. For the Voigt model,
the creep compliance is
~-kI1-exp(-~)1- k[1-exp (- ~) (6)
where ZK --q/k, and this is denoted as retardation time.

Creep deformations of the Maxwell and Voigt models are illustrated in
Figures 2.5.4 and 2.5.5, respectively. Creep strain of the Maxwell model
2.5 Background on Viscoelasticity 99
1/k
0 t
FIGURE 2.5.4 Creep compliance of the Maxwell model.
1/k
0 t
FIGURE 2.5.5 Creep compliance of the Voigt model.
100 Ikegami
increases linearly with respect to time duration. The Voigt model exhibits
saturated creep strain for a long time.
The relaxation modulus is defined by stress variations under constant unit
strain. This is obtained by solving Eqs. 2 or 3 for step input of unit strain. For
the Maxwell and Voigt models, their relaxation moduli are represented by the
following expressions, respectively. For the Maxwell model,
)
For the Voigt model,
o ~ k /8/
Relaxation behaviors of the Maxwell and Voigt models are illustrated in

Figures 2.5.6 and 2.5.7, respectively. Applied stress is relaxed by Maxwell
model, but stress relaxation dose not appear in Voigt model.
2.5.4 DYNAMIC VISCOELASTIC DEFORMATION
The characteristic properties of dynamic viscoelastic deformation are p
represented by the dynamic response for cyclically changing stress or strain.
0 t
FIGURE 2.5.6 Relaxation modulus of the Maxwell model.
I 0
0 t
FIGURE 2.5.7 Relaxation modulus of the Voigt model.
The viscoelastic effect causes delayed phase phenomena between input and
output responses. Viscoelastic responses for changing stress or strain are
defined by complex compliance or modulus, respectively. The dynamic
viscoelastic responses are represented by a complex function due to the phase
difference between input and output.
Complex compliance J, of the Maxwell model is obtained by calculating
changing strain for cyclically changing stress with unit amplitude. Substitu-
ting changing complex stress ~ - exp(icot), where i is an imaginary unit and
co
is the frequency of changing stress, into Eq. 2, complex compliance J , is
obtained as follows:
1 i 1 i
J* . k . i cot/
. .k .ikcOl:M J' - iJ" (9)
where the real part J ' = 1 / k is denoted as storage compliance, and the
imaginary part J" = 1/kco'cM is denoted as loss compliance.
The complex modulus Y, of the Maxwell model is similarly obtained by
calculating the complex changing stress for the complex changing strain
102 Ikegami
e - exp(icot) as follows:
-+ ik -- Y' -t-tY" (10)

1 + (cozu) 2 1 + (cozu) 2
where Y'-k((cozM)2/(1 + (cozu)2))and Y " - k ( c o z u / ( 1 + (cozu)2)). The

notations Y~ and Y" are denoted as dynamic modulus and dynamic loss,
respectively. The phase difference ~ between input strain and output stress is
given by
Y" 1
tan6 - - - - - - (11)
y1 (_DTM
This is called mechanical loss.

Similarly, the complex compliance and the modulus of the Voigt model are
able to be obtained. The complex compliance is
J* - k
1[ I xE ]
1 + (COZK)2 - - i ~ 1 + (COZK)2 (12)
where,'1[ 1 I J" 11
-- k 1 + (COZK)2 and -- k 1 + (coz/()2
]
The complex modulus is
Y , -- k + iCOZK = Y~ + iY" (13)
where Y ' - - k and Y " - - kcozi,:.
2.5.5 HEREDITARY INTEGRAL
The hereditary integral offers a method of calculating strain or stress variation

for arbitrary input of stress or strain. The method of calculating strain
for stress history is explained by using creep compliance as illustrated in
Figure 2.5.8. An arbitrary stress history is divided into incremental constant
stress history dcr~ Strain variation induced by each incremental stress history
is obtained by creep compliance with the constant stress values. In
Figure 2.5.8 the strain induced by stress history for t~< t is represented by
the following integral:
e,(t) -- tToJ(t) +
~0tJ ( t - dtTl
t' ) - - ~ dt' (14)
or(t)
/ d cr '
o"0
0 t' t'+dt'
FIGURE 2.5.8 Hereditary integral.
This equation is transformed by partially integrating as follows:
e(t) - ~r(t)J(O) -+-fo t ~(t' ) dJ(t-

d ( t - t't')
-~--~
dt' (15)
Similarly, stress variation for arbitrary strain history becomes

t d~
(16)
fO
o'(t) -- g0Y(t) -Jr- Y(t - t' ) --d7 dt'
Partial integration of Eq. 16 gives the following equation:
~(t) - g(t)Y(O) -Jr-foot ~(t' ) ddY((t t-- t')t') dt' (17)
Integrals in Eqs. 14 to 17 are called hereditary integrals.
2.5.6 VISCOELASTIC CONSTITUTIVE

E Q U A T I O N BY T H E L A P L A C E
TRANSFORMATION
The constitutive equation of viscoelastic deformation is the ordinary

differential equation as given by Eq. 4. That is,
dktr m dke,
Pk ~ -- ~ qk dt k (18)
k=O k=O
104 Ikegami
This equation is written by using differential operators P and Q,

Pa- Qe (19)
dk m dk
where P - pk--d~ and Q - ~ qk 9
/=o k=0 dtk
Equation (18) is represented by the Laplace transformation as follows.
~_~ pksk~ -- ~-~ qkskF. (20)

k=0 k=0
where 5 and ~ are transformed stress and strain, and s is the variable of
the Laplace transformation. Equation 20 is written by using the Laplace
transformed operators of time derivatives 15 and Q as follows:
_ Q_
cr = =~ (21)
P
n m
where 15 - 2 Pk sk and Q - ~ qkS k.

k=0 k=0
Comparing Eq. 21 with Hooke's law in one dimension, the coefficient ~//5
corresponds to Young's modulus of linear elastic deformation. This fact
implies that linear viscoelastic deformation is transformed into elastic
deformation in the Laplace transformed state.
2.5.7 CORRESPONDENCE PRINCIPLE
In the previous section, viscoelastic deformation in the one-dimensional state

was able to be represented by elastic deformation through the Laplace
transformation. This can apply to three-dimensional viscoelastic deformation.
The constitutive relations of linear viscoelastic deformation are divided into
the relations between hydrostatic pressure and dilatation, and between
deviatoric stress and strain.
The relation between hydrostatic pressure and dilatation is represented by
k !
m d % n " dhe// (22)
k=0 k=0
ptt(Tii -- Qtt c,ii

(231
m dk dk
where P " - k=0
~ p ~ - ~ and Q " = k=0
~ q~ ~-i-~. In Eq. 22 hydrostatic pressure is
(1/3) crii and dilatation is eii.
The relation between deviatoric stress and strain is represented by

m ! dkrriJ! s _1-"
dk~!.
U
~-'2Pk dt k - qk (24)
k=o k=0
- Q' ,5 (25)
m dk ~ dk
where P ' - ~ p!~ ~ and Q ' - )_2 q~k-d~" In Eq. 24 deviatoric stress and strain
k-0 k=0
! and r ~ respectively.
are rrij
The Laplace transformations of Eqs. 22 and 24 are written, respectively, as
follows:
/3,,ryii -- Q"~/, (26)
where P " - f'"(s) and Q ! ! - Q"cr(s), and

-I -! - l-I
P (Yij -- QEij (27)
where 1B,- 1B!(s) and Q ! - Q'(s).

The linear elastic constitutive relations between hydrostatic pressure and
dilatation and between deviatoric stress and strain are represented as follows:
r r i i - 3K~ii (28)
! !
cr/j -- 2G~/j (29)
Comparing Eq. 17 with Eq. 19, and Eq. 18 with Eq. 20, the transformed
viscoelastic operators correspond to elastic constants as follows:
@
3K - _-- (30)
p!!
2G = - - (31)
p!
where K and G are volumetric coefficient and shear modulus, respectively.

For isotropic elastic deformation, volumetric coefficient K and shear
modulus G are connected with Young's modulus E and Poisson's ratio v
as follows:
G- 2(1+v) (32)
E
K -- 3(1 - 2v) (33)
106 lkegami
Using Eqs. 30-33, Young's modulus E and Poisson's ratio are connected with
the Laplace transformed coefficient of linear viscoelastic deformation
as follows:
3QtQ II
E--
2/St~tl + / 5 I ~ (34)
p, Q,, _ p,, Q,
v - + (35)
Linear viscoelastic deformation corresponds to linear elastic deformation

through Eqs. 30-31 and Eqs. 34-35. This is called the correspondence
principle between linear viscoelastic deformation and linear elastic deforma-
tion. The linear viscoelastic problem is the transformed linear elastic problem
in the Laplace transformed state. Therefore, the linear viscoelastic problem is
able to be solved as a linear elastic problem in the Laplace transformed state,
and then the elastic constants of solved solutions are replaced with the
Laplace transformed operator of Eqs. 30-31 and Eqs. 34-35 by using
the correspondence principle. The solutions replaced the elastic constants
become the solution of the linear viscoelastic problem by inversing the
Laplace transformation.
REFERENCES
1. Bland, D. R. (1960). Theory of Linear Viscoelasticity, Pergamon Press.

2. Ferry, J. D. (1960). Viscoelastic Properties of Polymers, John Wiley & Sons.
3. Reiner, M. (1960). Deformation, Strain and Flow, H. K. Lewis & Co.
4. Fll~ge, W. (1967). Viscoelasticity, Blaisdell Publishing Company.
5. Christensen, R. M. (1971). Theory of Viscoelasticity: An Introduction, Academic Press.
6. Drozdov, A. D. (1998). Mechanics of Viscoelastic Solids, John Wiley & Sons.
SECTION 2.6
A Nonlinear Viscoelastic
Model Based on
Fluctuating Modes
RACHID RAHOUADJ AND CHRISTIAN CUNAT
LEMTA, UMR CNRS 7563, ENSEM INPL 2, avenue de la For~t-de-Haye,
54500 Vandoeuvre-l~s-Nancy, France
Contents
2.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
2.6.2 Background of the DNLR . . . . . . . . . . . . . . . 108
2.6.2.1 Thermodynamics of Irreversible
Processes and Constitutive Laws... 108
2.6.2.2 Kinetics and Complementary
Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
2.6.2.3 Constitutive Equations of
the DNLR . . . . . . . . . . . . . . . . . . . . . . . . 112
2.6.3 Description of the Model in the Case
of Mechanical Solicitations . . . . . . . . . . . . . . 113
2.6.4 Identification of the Parameters . . . . . . . . . 113
2.6.5 How to Use It . . . . . . . . . . . . . . . . . . . . . . . . . . 115
2.6.6 Table of Parameters . . . . . . . . . . . . . . . . . . . . . 115
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
2.6.1 VALIDITY
We will f o r m u l a t e a viscoelastic m o d e l i n g for p o l y m e r s in the t e m p e r a t u r e

r a n g e of glass transition. This physical m o d e l i n g m a y be a p p l i e d u s i n g integral
or differential forms. Its f u n d a m e n t a l basis c o m e s from a g e n e r a l i z a t i o n of the
Gibbs relation, a n d leads to a f o r m u l a t i o n of c o n s t i t u t i v e laws i n v o l v i n g
c o n t r o l a n d i n t e r n a l t h e r m o d y n a m i c variables. T h e latter m u s t t r a d u c e

108 Rahouadj and Cunat
different microstructural rearrangements. In practice, both modal analysis

and fluctuation theory are well adapted to the study of the irreversible
transformations.
Such a general formulation also permits us to consider various
nonlinearities as functions of material specificities and applied perturbations.
To clarify the present modeling, called "the distribution of nonlinear
relaxations" (DNLR), we will consider the viscoelastic behavior in the simple
case of small applied perturbations near the thermodynamic equilibrium. In
addition, we will focus our attention upon the nonlinearities induced by
temperature and frequency perturbations.
2.6.2 B A C K G R O U N D OF THE DNLR
2.6.2.1 THERMODYNAMICSOF IRREVERSIBLE

PROCESSES AND CONSTITUTIVE LAWS
As mentioned, the present irreversible thermodynamics is based on a

generalization of the fundamental Gibbs equation to systems evolving outside
equilibrium. Note that Coleman and Gurtin [1], have also applied this
postulate in the framework of rational thermodynamics. At first, a set of
internal variables (generalized vector denoted z) is introduced to describe the
microstructural state. The generalized Gibbs relation combines the two laws
of thermodynamics into a single one, i.e., the internal energy potential:
e = e(s, ~, n,... ;~) (1)
which depends on overall state variables, including the specific entropy, s.
Furthermore, with the positivity of the entropy production being always
respected, one obtains for open systems:
dAis
7--a7- T~ -
_js . V ~ - ~-~jk . V ~ h + n.~ > 0 (2)
k=l
where the nonequilibrium thermodynamic forces may be separated into
two groups: (i) the gradient ones, such as the gradient of temperature ~TT, and
the gradient of generalized chemical potential V/~h; and (ii) The generalized
forces A, or affinities as defined by De Donder [2] for chemical reactions,
which characterize the nonequilibrium state of a uniform medium.
The vectors js, jh, and ~ correspond to the dual, fluxes, or rate-
type variables.
To simplify the formulation of the constitutive laws, we will now consider
the behavior of a uniform representative volume element (RVE without any
2.6 A Nonlinear Viscoelastic Model Based on Fluctuating Modes 109
gradient), thus:
~- A.~ > 0 (3)
The equilibrium or relaxed state (denoted by the index r) is currently
described by a suitable thermodynamic potential ( ~ ) obtained via the
Legendre transformation of Eq. 1 with respect to the control or state variable
(7)- In this particular state, the set of internal variables is completely
governed by (7):
Our first hypothesis [3] states that it is always possible to define a

thermodynamic potential g, only as a function of 7 and z, even for systems
outside equilibrium:
g, - g,(~; z) (5)
Then, we assume that the constitutive equations may be obtained as functions
of the first partial derivatives of this potential with respect to the dual
variables, and depend consequently on both control and internal variables;
i.e., fl - fl(7; z) and A - A(7; z). In fact, this description is consistent with the
principle of equipresence, as postulated in rational thermodynamics. There-
fore, the thermodynamic potential becomes in a differential form:
q
m=l j=l
Thus the time evolution of the global response, fl, obeys a nonlinear
differential equation involving both the applied perturbation 7 and the
internal variable z (generalized vector)"
/} - aU. 9 + b.~: (7a)
A - - t b . 9 - g.s (7b)
This differential system resumes in a general and condensed form the
announced constitutive relationships. The symmetrical matrix a u - c92g,/c97c37
is the matrix of Tisza, and the symmetrical matrix g - c92g,/&c3z traduces the
interaction between the dissipation processes [3]. The rectangular matrix
b- c32g,/cqzc97 expresses the coupling effect between the state variables and
the dissipation variables.
In other respects, the equilibrium state classically imposes the thermo-
dynamic forces and their rate to be zero; i.e., A - 0 and A - 0. From Eq. 7b
we find, for any equilibrium state, that the internal variables' evolution results
directly from the variation of the control variables:
:~r _ _g-1 .tb. ~ (8)
According to Eqs. 7b and 8, the evolution of the generalized force becomes

A = - g . ( ~ - ~') (9)
and its time integration for transformation near equilibrium leads to the
simple linear relationship
A = - g ( z - z r) (10)
where g is assumed to be constant.
2.6.2.2 KINETICS AND COMPLEMENTARY LAWS
To solve the preceding three equations (7a-b, 10), with the unknown varia-
bles being fl, z, z r, and A, one has to get further information about the kinetic
relations between the nonequilibrium driving forces A and their fluxes ~.
2.6.2.2.1 First-Order Nonlinear Kinetics and Relaxation Times

We know that the kinetic relations are not submitted to the same
thermodynamic constraints as the constitutive ones. Thus we shall consider
for simplicity an affine relation between fluxes and forces. Note that this well-
known modeling, early established by Onsager, Casimir, Meixner, de Donder,
De Groot, and Mazur, is only valid in the vicinity of equilibrium:
~-L.A (11)
and hence, with Eq. 10:
= -L.g.(z- z r) = -T -1 . ( z - Zr) (12)
According to this nonlinear kinetics, Meixner [4] has judiciously suggested a
base change in which the relaxation time operator z is diagonal. Here, we
consider this base, which also represents a normal base for the dissipation
modes. In what follows, the relaxation spectrum will be explicitly defined on
this normal base. To extend this kinetic modeling to nonequilibrium
transformations, which is the object of the nonlinear Thermodynamics of
Irreversible Processes (TIP), we also suggest referring to Eq. 12 but with
variable relaxation times. Indeed, each relaxation time is inversely propor-
tional to the jump frequency, v, and to the probability pj = exp(-AF~'r/RT)
of overcoming a free energy barrier, AF+'r. It follows that the relaxation time
of the process j may be written:
z~ -- 1Iv exp(AF~'r/RT) (13)
where the symbol (+) denotes the activated state, and the index (r) refers to
the activation barrier of the Representative Elementary Volume (REV) near
the equilibrium.
The reference jump frequency, v0 = kBT/h, has been estimated from

Guggenheim's theory, which considers elementary movements of translation
at the atomic level. The parameters h, ks, and r represent the constants of
Plank, Boltzmann, and of the perfect gas, respectively, and T is the absolute
temperature. It seems natural to assume that the frequency of the microscopic
rearrangements is mainly governed by the applied perturbation rate, ~),
through a shift function a(~):
v = uo/a('~) (14)
Assuming now that the variation of the activation energy for each process is
governed by the evolution of the overall set of internal variables leads us to
the following approximation of first order:
AF+ -- AF/'r + K z . ( Z - z r) (15)
In the particular case of a viscoelastic behavior, this variation of the free

energy becomes negligible. The temperature dependence obviously intervenes
into the basic definition of the activation energy as
AF/'r -- AE +'r - T AS/'r (16)
where the internal energy AE +'r is supposed to be the same for all processes. It
follows that we may define another important shift function, noted a(T),
which accounts for the effect of temperature. According to the Arrhenius
approximation, AE +'r being quasi-constant, this shift function verifies the
following relation:
In(a;) a(T, Tref) - - AE+'r(1/T - 1/Tref) (17)
where T r e f is a reference temperature. For many polymers near the glass
transition, this last shift function obeys the WLF empiric law developed by
William, Landel, and Ferry [5]:
ln(a;) = C l ( T - Tref)/[c2 + ( T - Tref)] (18)
In summary, the relaxation times can be generally expressed as
Tj(T) = T;(Tref)a(T , Tref) a(~) a(z, z r) (19)
and the shift function a(z, Zr) becomes negligible in viscoelasticity.
2.6.2.2.2 Form of the Relaxation Spectrum near the Equilibrium

We now examine the distribution of the relaxation modes evolving during the
solicitation. In fact, this applied solicitation, 7, induces a state of fluctuations
which may be approximately compared to the corresponding equilibrium one.
According to Prigogine [6], these fluctuations obey the equipartition of the
entropy production. Therefore, we can deduce the expected distribution in
the vicinity of equilibrium as
and B-1/)jl/z[ (20)

j=l / - ' -""j = l V
where z; is the relaxation time of the process j, pO its relative weight in the
overall spectrum, and n the number of dissipation processes [3].
As a first approximation, the continuous spectrum defined by Eq. 20 may
be described with only two parameters: the longest relaxation time
corresponding to the fundamental mode, and the spectrum width. Note
that a regular numerical discretization of the relaxation time scale using
a sufficiently high number n of dissipation modes, e.g., 30, gives a
sufficient accuracy.
2.6.2.3 CONSTITUTIVE EQUATIONS OF THE D N L R
Combining Eqs. 7a and 12 gives, whatever the chosen kinetics,

]~-aU.~ b.(z zr).z~ -1 a u .~ (]~ /t~). z~ 1
_ _ _ _ _
(21a)
To simplify the notation, z~ will be denoted z. In a similar form and after
introducing each process contribution in the base defined above, one has
p--1 j--1 Tj
where the indices u and r denote the instantaneous and the relaxed
values, respectively.
Now we shall examine the dynamic response due to sinusoidally
varying perturbations 7n = 7~ where co is the applied frequency,
and i 2 = - 1 , i.e., ) ; , - icoT,. The response is obtained by integrating the
above differential relationship. Evidently, the main problem encountered
in the numerical integration consists in using a time step that must
be consistent with the applied frequency and the shortest time of
relaxation. Furthermore, a convenient possibility for very small pertur-
bations is to assume that the corresponding response is periodic and out
of phase:
fin -- flOexp(icot + ~) and fin -- icofln (22)
where ~0is the phase angle. In fact, such relations are representative of various
physical properties as shown by Kramers [7] and Kronig [8].
The coefficients of the matrices of Tisza, a" and a r, and the relaxation
times, l:j, may be dependent on temperature and/or frequency. In uniaxial
tests of mechanical damping, these Tisza's coefficients correspond to the

storage and loss modulus E t (or G t) and E" (or G'), respectively.
2.6.3 DESCRIPTION OF THE MODEL IN THE

CASE OF MECHANICAL SOLICITATIONS
We consider a mechanical solicitation under an imposed strain e. Here, the

perturbation 7 and the response fl are respectively denoted e and a. According
to Eqs. 19 and 21b, the stress rate response, 66, may be finally written
~- d ~ . ~_ ~J-p~ a~'~
j=l .= a(~) a(e, er) a(r, rrer)zj(rref) (23)
As an example, for a pure shear stress this becomes

n ~ O'j 12 -- POGr 812
6612 -- ~ p0GU~;12 - j=l a@) a(8, 8r) a(T, Tref)'cG(Tref) (24)
In the case of sinusoidally varying deformation, the complex modulus is

given by
j-1 1 + icozo
(25)
It follows that its real and imaginary components are, respectively,
o ' ( ~ ) - o u + ~,s" - o ~) ~ po 1 (26)

j=l 1 -t- co2(z'~) 2
j=l 1 -4- (-D2(TG)2 (27)
The crucial problem in vibration experiments concerns the accurate

determination of the viscoelastic parameters over a broad range of frequency.
Generally, to avoid this difficulty one has recourse to the appropriate principle
of equivalence between temperature and frequency, assuming implicitly
identical microstructural states. A detailed analysis of the literature has
brought us to a narrow comparison of the empirical model of Havriliak and
Negami (HN) [9] with the DNLR. The HN approach appears to be

successful for a wide variety of polymers; it combines the advantages
of the previous modeling of Cole and Cole [10] and of Davidson
and Cole [11]. For pure shear stress the response given by this HN
approach is
1
G* -- G~N + (G~tN - G~N)[1 + (ic0"CHN)e]// (28)
where G~IN, G~IN, ~, and /3 are empirical parameters. Thus the real and
imaginary components are, respectively,
Gt
_ r _ G~N)
G~_tN-Jr-(GHN
COS(riO)
[1 + 2CO"V~tNCOS(0OZ/2)+ (D2a152~ (29)
Gt' __
(GHN
r
u
_ _ GHN)
sin(riO)
[1 + 2CO~r~tNCOS(0CTr/2)+ (D2~'~2~]/J/2 (30)
The function 0 is defined by
0 - tan-i (1 -c~~t------SN2sin(~
~ )/ ~ (31)
+ CO~I:~-iNCOS(0r / 2),]
Eqs. 28 to 30 are respectively compared to Eqs. 25 to 27 in order to establish a

correspondence between the relaxation times of the two models:
log('cOr) - 1og('rHN) q-jA/n -}- 0 (32)
where | A, and n are a scale parameter, the number of decades of the

spectrum, and the number of processes, respectively. A precise empirical
connection is obtained by identifying the shift function for the time scale
with the relation
v ~ - a(~)r~ r - a(co)r~ ~ - (tan(/30)~v~r (33)

- \ (D'~HN ,]
This involves a progressive evolution of the difference of modulus as a

function of the applied frequency:
(G r - G u) - (OhN -- GhN)f G (34)
The function f6 is given by

(1 + tan2(/30))
fo -- cos(riO)[1 + 2co~rhNCOS(0CTr/2)+ co2~z2~1/3/2 (353
2.6.5 HOW TO USE IT
In practice, knowledge of the only empirical parameters of HN's modeling

(and/or Cole and Cole's and Davidson and Cole's) permits us, in the
framework of the DNLR, to account for a large variety of loading histories.
As a typical example given by Hartmann et al. [12], we consider the case of a

polymer whose chemical composition is 1PTMG2000/3MIDI/2DMPD*. The
master curve is plotted at 298 K in Figure 2.6.1. The spectrum is discretized
109 ,..10l
i08 I0~
107 lift
106
m(nz) 10--2
I I I 1 t I
0 10 20
FIGURE 2.6.1 Theoretical simulation of the moduli for PTMG (J).*
10 ' " .... , , 'i ~ .... ~ , ...... | j ......
Log 03(Hz)
-40 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
0 10 20
FIGURE 2.6.2 Theoretical simulations of the shift function a(co) and offo for PTMG.*
* PTMG: poly (tetramethylene ether) glycol; MIDI: 4,4'-diphenylmethane diisocyanate; DMPD:

2,2-dimethyl-1, 3-propanediol with a density of 1.074g/cm 3, and glass transition Tg = -40~
with A = 6, a scale parameter | equal to - 5 . 6 , and 50 relaxation times.

The parameters G~N -- 2.14 MPa, G~N -- Gu - 1859 MPa, ~I~N --
1.649 • 10 - 7 s , c z - 0.5709 and f l - 0.0363 allow us to calculate the shift
function a(co) and the function fo which is necessary to estimate the difference
between the relaxed and nonrelaxed modulus, taking into account the
experimental conditions. Figure 2.6.1 illustrates the calculated viscoelastic
response, which is superposed to HN's one. The function fo and the shift
function a(co) illustrate the nonlinearities introduced in the DNLR modeling
(Fig. 2.6.2).
REFERENCES
1. Coleman, B. D., and Gurtin, M. (1967). J. Chem. Phys. 47 (2): 597.

2. De Donder, T. (1920). Lecon de thermodynamique et de chimie physique, Paris: Gauthiers-
Villars.
3. Cunat, C. (1996). Rev. Gcn. Therm. 35: 680-685.
4. Meixner, J. Z. (1949). Naturforsch., Vol. 4a, p. 504.
5. William, M. L., Landel, R. E, and Ferry, J. D. (1955). The temperature dependence of
relaxation mechanisms in amorphous polymers and other glass-forming liquids. J. Amer.
Chem. Soc. 77: 3701.
6. Prigogine, I. (1968). Introduction h la thermodynamique des processus irr~versibles, Paris:
Dunod.
7. Kramers, H. A. (1927). Atti. Congr. dei Fisici, Como, 545.
8. Kronig, R. (1926). J. Opt. Soc. Amer. 12: 547.
9. Havriliak, S., and Negami, S. (1966). J. Polym. Sci., Part C, No. 14, ed. R. E Boyer, 99.
10. Cole, K. S., and Cole, R. H. (1941). J. Chem. Phys. 9: 341.
11. Davidson, D. W., and Cole, R. H. (1950). J. Chem. Phys. 18: 1417.
12. Hartmann, B., Lee, G. E, and Lee, J. D. (1994). J. Acoust. Soc. Amer. 95 (1).
SECTION 2.7
Linear Viscoelasticity
with Damage
R. A. SCHAPERY
Department of Aerospace Engineering and Engineering Mechanics,
The University of Texas, Austin, Texas
Contents
2.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
2.7.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
2.7.3 Description of the Model . . . . . . . . . . . . . . . . . . . 119
2.7.4 Identification of the Material Functions
and Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
2.7.5 How to Use the Model . . . . . . . . . . . . . . . . . . . . . 123
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
2.7.1 VALIDITY
This paper describes a homogenized constitutive model for viscoelastic

materials with constant or growing distributed damage. Included are three-
dimensional constitutive equations and equations of evolution for damage
parameters (internal state variables, ISVs) which are measures of damage.
Anisotropy may exist without damage or may develop as a result of
damage. For time-independent damage, the specific model covered here is
that for a linearly viscoelastic, thermorheologically simple material in which
all hereditary effects are expressed through a convolution integral with one
creep or relaxation function of reduced time; nonlinear effects of transient
crack face contact and friction are excluded. More general cases that account
for intrinsic nonlinear viscoelastic and viscoplastic effects as well as
thermorheologically complex behavior and multiple relaxation functions are
published elsewhere [ 10].

118 Schapery
2.7.2 BACKGROUND
As background to the model with time-dependent damage, consider first the

constitutive equation with constant damage, in which e and rr represent
the strain and stress tensors, respectively,
= {Sdcr} + ~r (1)
where S is a fully symmetric, fourth order creep compliance tensor and el- is
the strain tensor due to temperature and moisture (and other absorbed
substances which affect the strains). The braces are abbreviated notation for a
linear hereditary integral. Although the most general form could be used,
allowing for general aging effects, for notational simplicity we shall use the
familiar form for thermorheologically simple materials,
{ fdg} - f (~ - ~') - ~ dt' -

/ol
f (~ - ~') --~ d~' (2)
where it is assumed f = g = o for t < o and
~-
/o dt"/ar[~r(t")] ~'- ~(t') (3)
Also, at(T) is the temperature-dependent shift factor. If the temperature is

constant in time, then ~ - ~' = ( t - t')/ar. Physical aging [12] may be taken
into account by introducing explicit time dependence in at; i.e., use
ar = a t ( T , t") in Eq. 3. The effect of plasticizers, such as moisture, may also
be included in at. When Eq. 2 is used with Eq. 1, f and g are components of
the creep compliance and stress tensors, respectively.
In certain important cases, the creep compliance components are
proportional to one function of time,
S = kD (4)
where k is a constant, dimensionless tensor and D = D(~) is a creep

compliance (taken here to be that obtained under a uniaxial stress state).
Isotropic materials with a constant Poisson's ratio satisfy Eq. 4. If such a
material has mechanically rigid reinforcements and/or holes (of any shape), it
is easily shown by dimensional analysis that its homogenized constitutive
equation satisfies Eq. 4; in this case the stress and strain tensors in Eq. 1
should be interpreted as volume-averaged quantities [2]. The Poisson's ratio
for polymers at temperatures which are not close to their glass-transition
temperature, Tg, is nearly constant; except at time or rate extremes, somewhat
above Tg Poisson's ratio is essentially one half, while below Tg it is commonly
in the range 0.35-0.40 [5].
2.7 Linear Viscoelasticity with Damage 119
Equations 1 and 4 give

e = {Dd(ka)} + er (5)
The inverse is
= k,{Ed8} - ki{Ede, r} (6)
where k1 = k -1 and E = E(~) is the uniaxial relaxation modulus in which,
fort>o,
{DdE} = {EdD} = 1 (7)
In relating solutions of elastic and viscoelastic boundary value problems,
and for later use with growing damage, it is helpful to introduce the
dimensionless quantities
_ 1E{ Ea } 4 - ~-~{Eder } u R - ~---~{Edu} (8)
where ER is an arbitrary constant with dimensions of modulus, called the
reference modulus; also, ee and e~ are so-called pseudo-strains and u R is
the pseudo-displacement. Equation 6 becomes
o - Ce R - Ce~- (9)
where C =_ ERkI is like an elastic modulus tensor; its elements are called
pseudo-moduli. Equation 9 reduces to the equation for an elastic material by
taking E = ER; it reduces to the constitutive equation for a viscous material if
E is proportional to a Dirac delta function of ~. The inverse of Eq. 9 gives the
pseudo-strain eR in terms of stress,
eR _ So- + erR (10)
where S - C -1 - k/ER. The physical strain is given in Eq. 5.
The correspondence principle (CPII in Schapery [6, 8]), which relates elastic
and viscoelastic solutions shows that Eqs. 1-10 remain valid, under
assumption Eq. 4, with damage growth when the damage consists of cracks
whose faces are either unloaded or have loading that is proportional to the
external loads. With growing damage k, C, and S are time-dependent because
they are functions of one or more damage-related ISVs; the strain ~r may also
depend on damage. The fourth-order tensor k must remain inside the
convolution integral in Eq. 5, just as shown. This position is required by the
correspondence principle. The elastic-like Eqs. 9 and 10 come from Eq. 5, and
thus have the appropriate form with growing damage. However, with healing
12 0 Schapery
of cracks, pseudo-stresses replace pseudo-strains because k must appear

outside the convolution integral in Eq. 5 [8].
The simplification in Eq. 4 is not needed when damage and crack-face
contact (if any) are independent of time. In this case, regardless of the number
of different time-dependent components of the compliance tensor, the
standard correspondence principle and relatively simple methods of
analysis [5] may be used to predict effects of damage on local and global
mechanical states.
The damage evolution equations are based on viscoelastic crack growth
equations or, in a more general context, on nonequilibrium thermodynamic
equations. Specifically, let W R and W~ denote pseudo-strain energy density
and pseudo-complementary strain energy density, respectively,
wR 1
- - -~C(F_, R -- eR)(e R -- e R) -- F (11)
W~ - l~oo + ~ a + v (12)
so that
W~ = - W R + ae R (13)
and
cgWR eR = cgW~ (14)
OeR Oo
The function F is a function of damage and physical variables that cause
residual stresses such as temperature and moisture.
For later use in Section 2.7.4, assume the damage is fully defined by a set of
scalar ISVs, Sp (p =1, 2,... P) instead of tensor ISVs. Thermodynamic forces,
which are like energy release rates, are introduced,
cgWa
fP -- OSp (15)
or
cgW~ (16)
fp- cgSe
where the equality of these derivatives follows directly from the total
differential of Eq. 13.
Although more general forms could be used, the evolution equations for
,Sp - dSp/d~ are assumed in the form
Sp - Sp(Sq, fp) (17)
in which Sp may depend on one or more Sq ( q - 1,... P), but on only one
force fp. The entropy production rate due to damage is non-negative if
~_,fpSp ~ 0 (18)
p
thus satisfying the Second Law of Thermodynamics. It is assumed that when

]fp] is less than some threshold value, then Sp - O.
Observe that even when the stress vanishes, there may be damage growth
due to F. According to Eqs. 12 and 16,
cgW~ 1 c9S c9~ 0F
fP - c9S---~- 2 cgS--pp~a 4- -~p ~ 4- cgS--pp (19)
which does not vanish when ~ - o, unless cgF/cgSp -- O.

The use of tensor ISVs is discussed and compared with scalar ISVs by
Schapery [10]. The equations in this section are equally valid for tensor and
scalar ISVs.
2.7.4 IDENTIFICATION OF THE MATERIAL

FUNCTIONS AND PARAMETERS
The model outlined above is based on thermorheologically simple behavior

in that reduced time is used throughout, including damage evolution
(Eq. 17). In studies of particle-reinforced rubber [4], this simplicity
was found, implying that even the microcrack growth rate behavior
was affected by temperature only through viscoelastic behavior of the
rubber. If the damage growth is affected differently by temperature (and
plasticizers), then explicit dependence may be introduced in the rate
(Eq. 17). In the discussion that follows, complete thermorheological
simplicity is assumed.
The behavior of particle-reinforced rubber [1,4] and asphalt concrete [3]
has been characterized using a power law when fp > o,
Sp - ( f p ) % (20)
where 0~p is a positive constant. (For the rubber composite two ISVs, with
C~1 ---- 4.5 and 0~2 = 6, were used for uniaxial and multiaxial behavior, whereas
for asphalt one ISV, with 0~= 2.5, was used for uniaxial behavior.) A
coefficient depending on Sp may be included in Eq. 20; but it does not really
generalize the equation because a simple change of the variable Sp may be
used to eliminate the coefficient.
122 Schapery
Only an outline of the identification process is given here, but details are
provided by Park et al. [3] for uniaxial behavior and by Park and Schapery [4]
and Ha and Schapery [1] for multiaxial behavior. Schapery and Sicking
[11] and Schapery [9] discuss the model's use for fiber composites. The effects
of ~r and F are neglected here.
(a) The first step is to obtain the linear viscoelastic relaxation modulus
E(~) and shift factor a~- for the undamaged state. This may be done using any
standard method, such as uniaxial constant strain rate tests at a series of rates
and temperatures. Alternatively, for example, uniaxial creep tests may be used
to find D(~), after which E(~) is derived from Eq. 7.
(b) Constant strain rate (or stress rate) tests of specimens taken to failure at
a series of rates or temperatures may be conveniently used to obtain the
additional data needed for identification of the model. (However, depending
on the complexity of the material and intended use of the model, unloading
and reloading tests may be needed [7].) Constant strain rate tests often are
preferred over constant stress rate tests because meaningful post stress-peak
behavior (prior to significant strain localization) may be found from the
former tests.
For isothermal, constant strain rate, R, tests, the input is R t - / ~ , where
R--Ra~ and ~ - t / a ~ . Inasmuch as the model does not depend on
temperature when reduced time is used, all stress vs. reduced time response
curves depend on only one input parameter /~ regardless of temperature.
Thus, one may obtain a complete identification of the model from a series of
tests over a range of/~ using one temperature and different rates or one rate
and different temperatures; both types of tests may be needed in practice for/~
to cover a sufficiently broad range. One should, however, conduct at least
a small number of both types of tests to check the thermorheologically
simple assumption.
(c) Convert all experimental values of displacements and strains
from step (b) tests to pseudo-quantities using Eq. 8. This removes intrinsic
viscoelastic effects, thus enabling all subsequent identification steps to be
those for a linear elastic material with rate-dependent damage. If controlled
strain (stress) tests are used, then one would employ wR(w R) in the
identification. However, mixed variables may be input test parameters, such
as constant strain rate tests of specimens in a test chamber at a series of
specified pressures [4]. In this case it is convenient to use mixed pseudo-
energy functions in terms of strain and stress variables. Appropriate
energy functions may be easily constructed using methods based on linear
elasticity theory.
(d) The procedure for finding the exponent a and pseudo Young's modulus
in terms of one damage parameter is given by Park et al. [3]. After this, the
remaining pseudo-moduli or compliances may be found in terms of one or

more ISVs, as described by Park and Schapery [4] using constant strain rate
tests of bar specimens under several confining pressures. The material
employed by them was initially isotropic, but it became transversely isotropic
as a result of damage. Identification of the full set of five pseudo-moduli and
the pseudo-strain energy function, as functions of two ISVs, is detailed by Ha
and Schapery [1].
2.7.5 HOW TO USE THE MODEL
Implementation of user-defined constitutive relations based on this model in a

finite element analysis is described by Ha and Schapery [1]. Included are
comparisons between theory and experiment for overall load-displacement
behavior and for local strain distributions. The model employed assumes the
material is locally transversely isotropic with the current axis of isotropy
assumed parallel to the current local maximum principal stress direction. A
procedure is proposed by Schapery [10] that enables use of the same model
when transverse isotropy is lost due to rotation of the local maximum
principal stress direction.
REFERENCES
1. Ha, K., and Schapery, R. A. (1998). A three-dimensional viscoelastic constitutive model for
particulate composites with growing damage and its experimental validation. International
Journal of Solids and Structures 35: 3497-3517.
2. Hashin, Z. (1983). Analysis of composite materials - - a survey. Journal of Applied Mechanics
105: 481-505.
3. Park, S. W., Kim, Y. R., and Schapery, R. A. (1996). A viscoelastic continuum damage
model and its application to uniaxial behavior of asphalt concrete. Mechanics of Materials
24: 241-255.
4. Park, S. W., and Schapery, R. A. (1997). A viscoelastic constitutive model for particulate
composites with growing damage. International Journal of Solids and Structures 34: 931-947.
5. Schapery, R. A. (1974). Viscoelastic behavior and analysis of composite materials, in
Mechanics of Composite Materials, pp. 85-168, vol. 2, Sendeckyi, G. P., ed., New York:
Academic.
6. Schapery, R. A. (1981). On viscoelastic deformation and failure behavior of composite
materials with distributed flaws, in 1981 Advances in Aerospace Structures and Materials,
pp. 5-20, Wang, S. S., and Renton, W. J., eds., ASME, AD-01.
7. Schapery, R. A. (1982). Models for damage growth and fracture in nonlinear viscoelastic
particulate composites, in: Proc. Ninth U.S. National Congress of Applied Mechanics, Book No.
H00228, pp. 237-245, Pao, Y. H., ed., New York: ASME.
124 Schapery
8. Schapery, R. A. (1984). Correspondence principles and a generalized J integral for large

deformation and fracture analysis of viscoelastic media, in: International Journal of Fracture
25: 195-223.
9. Schapery, R. A. (1997). Constitutive equations for special linear viscoelastic composites with
growing damage, in Advances in Fracture Research, pp. 3019-3027, Karihaloo, B. L., Mai,
Y.-W., Ripley, M. I., and Ritchie, R. O., eds., Pergamon.
10. Schapery, R. A. (1999). Nonlinear viscoelastic and viscoplastic constitutive equations with
growing damage. International Journal of Fracture 97: 33-66.
11. Schapery, R. A., and Sicking, D. L. (1995). On nonlinear constitutive equations for elastic and
viscoelastic composites with growing damage, in Mechanical Behavior of Materials, pp. 45-76,
Bakker, A., ed., Delft: Delft University Press.
12. Struik, L. C. E. (1978). Physical Aging in Amorphous Polymers and Other Materials,
Amsterdam: Elsevier.
SECTION 3
Yield Limit
SECTION 3.1
Introduction to
Yield Limits
J E A N LEMAITRE
Almost all materials have a range of loading below which the only mechanism
of strain is reversible movements of atoms giving rise to the mesoscopic
phenomenon of elasticity. The limit above which permanent or irreversible
strains exist is most often related to stress and is called yield stress.
It is not easy to measure the yield stress of a material because it depends
upon the value of the offset of permanent strain allowed to detect that this
irreversible strain ~p begins to exist:
9 In engineering, a value of ep = 0.2 x 1 0 - 2 is usually taken to define the

yield stress cry(0.2.). This means that at this level of stress the permanent
strain is of the order of magnitude of the elastic strain. This is acceptable
for comparing materials or for the perfect plasticity scheme.
9 But in modeling plasticity or viscoplasticity this definition is generally
not acceptable. A much smaller value must be taken to predict the small
values of plastic strains which may occur in structure analysis. A fraction
of the elastic strain is a better definition, for example, Cry = ~r%=o.1~0.
The point is that different models of plasticity may use different values
of the yield stress for the same material! More details are given in
Section 3.2.
When "the" value of the yield stress from a tension test is known, the
problem is often to compare it with a two or three-dimensional state of stress
to know if a part of a structure is loaded in its elastic range or not. The
corresponding scalar function of the stress components is called a yield
criterion. Many yield criteria have been proposed, depending upon the
properties of the materials and the purpose.
Handbook of Materials BehaviorModels. ISBN0-12-443341-3.

128 Lemaitre
Isotropic criteria are described in Section 3.2, with the von Mises criterion
being widely used in structures calculation through its equivalent stress aeq.
O'eq _ _ aD
ij a Dij 0 "D is the stress deviator aDo -- aij - aHbij.
1
aHiS the hydrostatic stress aH -- -~ akk.
Because of previous forming, many metals have a preferred orientation or

texture, which can be characterized by pole figures (see Section 3.3). Because
of this, the material is anisotropic, so that anisotropic yield criteria are needed
(see Section 3.4), often involving distortion of the yield surface (Section 3.5).
Since all criteria have a common mathematical structure, it is possible to write
down a general framework for them (Section 3.6).
For engineering purposes it is also possible to extend the local concept of
yield criteria to structures like beams, plates or shells, as shown in Section 3.7.
SECTION 3.2
Background on
Isotropic Criteria
DANIEL C. DRUCKER
Department of Aerospace Engineering, Mechanics & Engineering Service, University of Florida, 231
Aerospace Building, Gainesville, Florida 32611
An elastic- perfectly plastic stress-strain curve in simple tension or in simple

shear is the simplest picture of material behavior from which to begin this
discussion of yield limit criteria. This idealized response is linear elastic up to
a yield limit at which large plastic deformation occurs at constant stress. All
reasonable definitions of yield limit, such as the initial departure from
linearity or a very small or a moderate or a fairly large plastic strain offset, give
the same value. Much of early and present plasticity theory and its use in
analysis and design springs from this picture, which appears to match the
appreciable plastic deformation at the lower yield point observed in tests on
standard tension specimens of mild steel. The actual abrupt jump in strain at
the much higher upper yield point, which can be exhibited in a carefully
performed test on a well-prepared annealed and homogeneous specimen, is
hidden by inhomogeneity, appreciable residual stress, and not quite central
loading of the usual specimen. A macroscopic stable quasi-static perfectly
plastic response at the lower yield point may be appropriately assumed for
mild steel in limit analysis and design and other aspects of structural
engineering practice because the unstable dynamic response, the highly local
jump from the upper yield point to appreciable plastic deformation at the
lower yield point, is almost completely masked.
In contrast, the initial stress-strain curve for most workhardening
structural metals or alloys in simple tension or simple shear also plots
as an elastic straight line in the beginning stage but then deviates
only gradually from linear elastic, slowly getting flatter as the plastic
response grows with increasing stress. Upon full or partial unloading from any
state of stress and subsequent reloading, the behavior is essentially linear
elastic until plastic deformation resumes, and the stress-strain curve then
follows the curve that would have been followed in the absence of unloading.
(Fig. 3.2.1).

130 Dmc~r
Largeoffset%
Moderateoffset%
Small offset % !
%
/
/
/
/
/
/
/
/ ,
/
/
Strain
FIGURE 3.2.1 Perfectplasticity and workhardening. Yield limit defined by small, moderate, or
large offset or as by Taylor and Quinney.
The concept of an initial or a subsequently established yield limit for the

typical workhardening response involves both idealization and definition. A
key element of the idealization is that the response of the material to stress
levels below the current yield limit is purely elastic on loading, as it is to at
least moderate unloading and subsequent reloading up to the current yield
limit. However, we know that large numbers of mobile dislocations will be
present, some of which will move under the smallest increase or decrease of
stress in the nominally elastic range. The macroscopic strain produced by this
dislocation motion on the atomic scale is small, but it is measurable with the
advanced instrumentation now available. Idealizing the response by ignoring
these and otherwise produced very small inelastic strains is almost always
permissible, both in engineering practice for elastic or elastic-plastic
structural analysis and design and in the usual description of the macroscopic
behavior of the material in the laboratory. Idealization of materials
of construction as time-independent in the vicinity of room temperature
and below likewise ignores the small inelastic strain changes over time that do
occur but that are not significant over the times of interest for the
materials employed.
The most convenient definition of an initial or subsequent yield limit
normally follows from the choice of a value of plastic deformation that is
meaningful for the applications in mind and that is consistently measurable.
The use of the familiar 0.002 offset for the initial yield limit in tension
certainly satisfies the need for material quality control, with its reproducibility
and agreement among laboratories in the test community, but is likely to be
considered much too large by a factor of 100 or more by those members of
the experimental plasticity community interested in many of the interesting
and important details of macroscopic elastic-plastic behavior. At room
3.2 Background on Isotropic Criteria 131
temperature and below, loading into the plastic range and then moderate
unloading leaves most structural metals in a workhardened state with stress-
strain plots for reloading usually showing a close to sharp departure from
linearity when the new yield limit is reached. A small offset definition of yield
then will give reproducible results, in contrast to the difficulty of its use for
the initial curve in the unhardened state. Some materials do exhibit visible
rounding of the stress-strain curve for reloading, the more so the fuller the
prior unloading. A moderate offset definition of yield then avoids disagree-
ment, but ignores possibly significant behavior.
Broadening the picture from the simple tension or simple shear curve to
general states of stress and strain is straightforward. The initial yield limit and
subsequent or current yield limits are replaced by an initial yield limit
function of stress and subsequent or current yield functions, each of which
may be represented by a surface in stress space. The straight line elastic range
generalizes to the region of stress space enclosed by the current yield surface.
Subsequent changes of stress represented by motion of the stress point within
the current yield surface cause purely elastic changes in strain and do not
affect the current yield surface at all in the idealized material. Plastic strain in
addition to elastic occurs only when the stress point moves out beyond the
current yield surface. However, only one point on the yield surface is given by
the current yield point in simple tension or in simple shear. The appropriate
generalization from one dimension or two to the nine dimensions of stress
(six are independent) is far from unique. Each material is different and will
have different carryovers from one or two dimensions. Experiment alone can
provide answers, and even experiments cannot cover all the possibilities.
Assumptions are also needed whose validity can be tested only partially by
comparing the actual behavior observed with the consequences predicted by
the assumed generalization.
In view of the essentially infinite complexity of the inelastic behavior of
real materials and their permissible idealizations, isotropy (independence of
material orientation) provides a simple and appealing hypothesis from which
to start. The idealization of an isotropic material does serve as an excellent
representation for the purely elastic macroscopic behavior of many poly-
crystalline metals and alloys, despite the often strongly anisotropic response
of their individual crystals or grains. A sufficiently large assemblage of such
anisotropic grains with sufficiently varied orientations of the crystalline
planes will exhibit an isotropic elastic response on the macroscale of many
grain diameters, because there will be no favored orientation.
It was natural to carry over the simplicity of isotropy to yield limit criteria
when the mathematical theory of plasticity was being developed. Tresca had
shown experimentally that plastic deformation took place when a limiting
shear stress was exceeded. A maximum shear stress limit criterion
13 2 Drucker
a2
FIGURE 3.2.2 Tresca hexagon, Mises or J2 ellipse, and intermediate curve for plane stress.
independent of orientation is an isotropic criterion that plots as the familiar

hexagon in the two-dimensional principal stress space of plane stress and as a
hexagonal prism in three-dimensional principal stress space with its axis
equally inclined to the three principal stress axes. It is a good first
approximation to physical reality and became accepted as the best simple
representation of the yield limit for metals and alloys. Mises, as an applied
mathematician, did not take issue with this consensus but for analytic
convenience preferred that a smooth surface be employed instead (Fig. 3.2.2).
In the purely elastic range, stress determines strain and vice versa. At each
stage of plastic deformation, it is the increment in strain, or rate of strain, that
is determined by the increment in stress, or rate of stress, for a given state of
stress at yield. In an analogy to potential functions that governed many other
types of physical behavior, Mises proposed a normality rule, the yield function
expressed in terms of stress serving as a potential function for the increment
or rate of plastic strain. At each value of stress at yield (in pictorial terms,
the stress point lies on the yield surface in stress space), the plastic strain
rate or increment is given by a scalar multiple of the derivative of the yield
function with respect to stress (the strain rate or increment vector in the
strain space superposed on the stress space is normal to the yield surface at
the stress point).
The three principal stresses al, a2, a3 and their orientation in the material
provide a complete description of the state of stress. For an isotropic material,
the yield limit surface is determined by the values of the principal stresses
without regard to their orientation. Each combination of them, such as the
3.2 Background on Isotropic Criteria 133
m a x i m u m shear stress, is also an invariant of the stress field. With the

knowledge that shear stress is the primary driver of plastic deformation, it is
reasonable to do what is always permissible, to consider any state of stress at a
material point as a hydrostatic tension equal to the mean normal stress plus
the stress deviator, which is a general representation of shear stress. This leads
naturally to the choice of the three independent invariants of stress as
the sum of the principal stresses J1 = o ' 1 - + - 0 " 2 + 0"3 or O'kk and the two
additional invariants J2, J3 that appear in the cubic equation for the
determination of the three principal stress deviators from the nine
components of the stress deviation si) = ai) - ( 6 k k / 3 ) 6 i j . The principal stress
deviators (Sl, s2, s3), just like the principal stresses themselves, are
independent of the arbitrary choice of the rectangular Cartesian axes for
the stress components. Therefore, when the coefficient of the cubic term in
the equation is set as unity, the remaining coefficients and the remaining term
are invariants, the same for all choices of axes. These invariants are the
quadratic coefficient of the linear term, the second invariant of the stress
deviation tensor,
J2 - [ ( a l - ~2) 2 + (~2 - ~3) 2 + a3 - a l ) 2 1 / 6 - (s21 + s 2 + s32)/2 or s~jsj~/2
and the third invariant of the stress deviation tensor, which is cubic in stress,
J3 - [(2o1 - 02 - 03)(202 - 03 - o1)(203 - o1 - a2)]/27 - (s 3 + s 3 + s 3 ) / 3
or s~jsjkSk~/3
The coefficient of the quadratic term, the sum of the principal values, or the
equivalent of J1 in the cubic for principal stress, is zero for the deviator. Any
other invariant of stress can be shown to be a combination of J1, J2, and J3.
J2 is the simplest isotropic smooth function of shear stress. It also has a
number of physical interpretations that appeal strongly to many who are not
enamored of purely mathematical arguments. Among these are the mean of
the squares of the principal shears and the square of the octahedral shear
stress, the shear stress on the planes whose normals make equal angles with
the three principal directions of stress. Probably the most compelling of all is
that postulating a limiting value of J2 for the purely elastic range is the same as
postulating that plastic deformation will ensue when the elastic energy of
distortion or shear strain energy exceeds a critical value. Appealing and useful
as any such interpretation may be, it should be kept in mind that none are
based firmly on physical laws.
When J2 is set equal to a constant to match the yield point in a one-
dimensional test, it plots as an ellipse for plane stress and as a circular cylinder
in three-dimensional principal stress space. This choice is known now as the
Mises criterion of yield, although Mises himself recognized that far more
134 Drucker
general isotropic forms existed and did not restrict his normality rule to the
second invariant form alone (Fig. 3.2.3).
Although the assumption of isotropy of the initial and subsequent yield
limits is mathematically convenient, it does not usually represent physical
reality when any of the customary definitions of the onset of initial or of
additional plastic strain are employed. It takes considerable effort to produce
a structural metal or alloy that is initially isotropic in its inelastic response.
Osgood obtained such a structural aluminum alloy from ALCOA. In a very
interesting set of experiments on thin-walled tubes under proportional or
radial loading obtained by increasing tension and interior pressure in constant
ratio, he showed good correlation of the data with both the maximum shear
stress criterion of Tresca and the second invariant of the stress deviation
tensor of Mises. The experiments were performed with great care so that it
was possible for me at a little later time to show that although each fit the
experiments within 10%, neither provided the most appropriate match for the
data. The actual isotropic shear stress criterion lay about halfway between
these two basic forms. A simple combination of the second and the third
invariant of the stress deviation tensor, J23 - 2.25J~, did correlate all the data
remarkably well.
Interesting and significant as this result is, the more important point is that
initial isotropy is lost once significant plastic deformation occurs. The picture
of isotropic hardening, subsequent yield surfaces, being simply enlarged
versions of the initial yield surface, is unreal despite its ability to correlate the
results of radial loading tests on initially isotropic material. Structural metals
and alloys are quite anisotropic in their initial and subsequent plastic response
a2
L i I
| ~ I
lli
Ii
FIGURE 3.2.3 Radial loading and isotropic hardening.

3.2 Background on lsotropic Criteria 135
as defined by any of the usual definitions of yielding, including the moderately

large 0.2% or 0.002 plastic strain offset. The mechanical treatment given prior
to use often involves appreciable plastic deformation, both cold and hot. Such
plastically deformed metal is highly likely to have directional properties to
start as well as the related difference in the stress-strain curves in tension and
compression exhibited by Bauschinger over 100 years ago. A workhardening
metal subjected to shear in one sense will have a raised yield stress for that
sense and a lowered yield stress for reverse shear, much as loading in tension
will produce a raised yield stress in tension and a lowered one in compression.
Furthermore, structural metals and alloys generally come with appreciable
initial or residual stresses because of their prior thermal or mechanical
treatment. The degree of anisotropy induced by plastic deformation is very
large when very much smaller deviations from elastic response than 0.002 are
taken to define the onset of plastic deformation. With 1000 times greater
sensitivity, some reverse plastic deformation often will be picked up upon
unloading a plastically deformed material to zero stress. The diameter of each
current yield surface so defined is a small fraction of the current yield value in
simple shear, and the shape of each current yield surface is far from the Tresca
or Mises or any other isotropic criterion. At 100 times greater sensitivity still,
the diameter of any yield surface so defined shrinks to zero.
At the other extreme, when interest is focused on large plastic
deformations of 1% (0.01) or more, initial isotropy and isotropic hardening
obeying the Mises criterion provide a crude but not unreasonable
approximation. Bauschinger and allied cross-effects, the changes of shape of
successive yield surfaces and the motion of their centers, so prominent when
small offset definitions are employed, almost disappear from view along with
the plastic strains that occur as the stress point moves about inside the current
Mises ellipse.
Plastic deformation of single crystals and polycrystalline metals and alloys
is caused primarily by shear stress that exceeds the purely elastic carrying
capacity. Schmid's "law" for single crystals states that the shear stress on the
plane of slip governs. The shear stress needed for the common ductile
structural metals is in fact independent of the normal stress on the planes of
slip under most circumstances with the normal stress of the order of the yield
stress. However, at extremely high hydrostatic pressure, Bridgman did find a
10% increase in the shear stress needed, an increase he thought was expected
from the compaction of the atomic structure, but not very significant for the
theory of plasticity.
On the other hand, hydrostatic pressure, or normal stress on shear planes,
does have an appreciable effect on polymeric materials, as would be expected
from their much more open molecular arrangements. Furthermore, the ratio
of shear stress to normal stress on the plane of slip is well known to be the
136 Drucker
controlling variable for simple frictional materials and not surprisingly plays a
strong role in soils and other granular media. When it is permissible and
useful to carry over expressions for plastic deformation to such materials, an
isotropic criterion of yield must include the hydrostatic pressure in addition
to measures of shear stress. The most general isotropic criterion then will be a
function of the first invariant of the stress tensor (the sum of the principal
stresses) along with the second invariant of the stress deviation tensor (the
Mises criterion) and its third invariant. The simplest of these forms,
f - ~J1 q_j~/2, now termed the Drucker-Prager criterion with ~ constant,
gives a linear increase of the required (mean) shear with added hydrostatic
pressure. It is represented by a right circular cone in principal stress space.
The apex of the cone is at the origin (zero stress) for a cohesionless material
and lies on the triaxial tension line for a material with cohesion.
The Tresca, or maximum shear stress criterion, may be modified similarly
to give a linear variation of the maximum shear stress with hydrostatic
pressure. It plots as a regular six-sided pyramid in principal stress space. A
Mohr-Coulomb material, which postulates the frictional criterion of a limiting
shear stress on the plane of slip proportional to the normal stress on that
plane, is frequently used as a model for granular material. It also is
represented by a six-sided pyramid in principal stress space, but its
crosssection by a plane perpendicular to the axis is not a regular hexagon.
Nonlinear instead of linear variation of shear stress with normal stress or
pressure can be accommodated simply. Greater realism within the idealization
of isotropy can be provided by a moving yield limit cap over the open end of
the yield limit cone or pyramid in principal stress space. The cap permits
matching of consolidation under hydrostatic pressure and under pressure plus
moderate shear. It also can be employed to reduce the undesirably high
volumetric expansion otherwise produced in each of the open-ended models
of behavior by normality of the plastic strain increment to the current yield
limit surface. These and other related topics are discussed clearly in "Soil
Plasticity Theory and Implementation" by W. E Chen and G. Y. Baladi
(Elsevier, 1985) and in the follow-up volume, "Nonlinear Analysis in Soil
Mechanics" by W. E Chen and E. Mizuno (Elsevier, 1990).
The simplicity of isotropic initial yield limits and subsequent yield limits
(isotropic hardening) is a great help in computation and in obtaining a crude
but very useful picture of the plastic response. However, good agreement in
detail with what will actually happen when a structure or a specimen deforms
in the plastic range requires much more realistic yield limits, as described in
the other sections of this chapter and in subsequent chapters.
SECTION 3.3
Yield Loci Based on
Crystallographic Texture
P. VAN HOUTTE
Department MTM, Katholieke Universiteit Leuven, B-3000 Leuven, Belgium
Contents
3.3.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
3.3.2 Quantitative measurement of the texture. 139
3.3.2.1 Desired Form . . . . . . . . . . . . . . . . . . . . . 139
3.3.2.2 Calculation of ODF from Pole
Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
3.3.2.3 Determination of ODF by Single
Grain Orientation Measurements .. 141
3.3.2.4 Sample Homogeneity . . . . . . . . . . . . . . 142
3.3.2.5 Discretization of the ODF . . . . . . . . . 143
3.3.3 Cconstitutive model for polycrystals
with texture . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
3.3.3.1 Plastic Potentials . . . . . . . . . . . . . . . . . . 144
3.3.3.2 Crystal Plasticity Model . . . . . . . . . . . 145
3.3.3.3 Exploitation of the Constitutive
Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
3.3.1 BACKGROUND
This s e c t i o n p r e s e n t s m e t h o d s that are suitable for d e r i v i n g the yield locus of

a p o l y c r y s t a l l i n e m a t e r i a l from a physical m e a s u r e m e n t of its c r y s t a l l o g r a p h i c
texture. In principle, these m e t h o d s are l i m i t e d to s i n g l e - p h a s e m a t e r i a l s in
a n n e a l e d c o n d i t i o n , w i t h e q u i a x e d grains sufficiently small as to n e g l e c t
m a t e r i a l h e t e r o g e n e i t y at the scale at w h i c h one w a n t s to use the yield locus.

138 Van Houtte
Strain rate sensitivity is supposed to be positive or negative but small enough

in absolute value so that the exponent kt--c3 log ~r/~ log ~ (with cr the flow
stress and ~ the strain rate) can be sufficiently well approximated by the value
zero. For materials like steel and aluminium and their alloys, this holds from
room temperature up to about 200~ in which range experimental
measurements of # yield values between -0.05 and +0.05, depending on
alloy content, temperature, and strain rate. These experimental values are
rarely published but can be found in the - - often confidential m files of
industrial companies and research institutions. Methods as described in the
present chapter have almost exclusively been applied to fcc, bcc, and hcp
metals, although in principle they could be used with any type of ductile
polycrystalline material. Typical applications are anisotropic finite element
(FE)-based simulations of metal-forming processes, mainly sheet metal
forming (car body parts, can stock, etc.) but also rolling and wire drawing.
The purpose of such FE simulations is to predict the final shape and
dimensions of the product, forming limits (failure), spring-back and/or
residual stress, final texture and final grain size.
Sometimes the yield locus models are applied to cases for which, strictly
speaking, they have not been intended, such as materials which already have
been deformed before. The results must then be judged with care but may still
be valid, the induced error being smaller than errors resulting from other
sources.
One may wonder, why bother about deriving a yield locus from a
crystallographic texture the hard way, instead of determining the coefficients
of a Hill-type anisotropic yield locus (or another type of simple analytical
yield locus expression) by fitting them to some tensile test data? The answer
consists of two parts:
9 simple analytical yield locus expressions are never versatile enough to
describe the true yield loci of engineering materials;
9 during routine FE simulations of a forming problem, the FE code may
submit very unexpected multiaxial loading cases to the constitutive
material model, which cannot possibly have been explored beforehand
by mechanical tests.
The topic of the present section is too complicated to be described in a
few pages of equations and a few tables. Instead, I will explain which types
of software or other tools are needed, and to which important aspects
attention should be paid. Often references will not be made to the earliest
original papers on the topic, but rather to comprehensive books such as
Reference [1] or to review papers. This has intentionally been done to make it
easier for students and practice-oriented readers to collect the necessary
papers.
3.3 Yield Loci Based on Crystallographic Texture 139
For the industrial applications mentioned previously, the ultimate quality

criterion is quantitative agreement between FE predictions and the actual
behavior of the material studied. This can only be achieved if the greatest
possible care is given to the quantitative measurement of the initial texture,
which is the topic of the next section.
3.3.2 QUANTITATIVE MEASUREMENT OF THE

TEXTURE
3.3.2.1 DESIRED FORM
Yield locus calculation is a special case of the calculation of physical

properties from a material with crystallographic texture [1]. Let g be the
crystallite orientation, and q(g) some property which depends on it. The
simplest possible micro-macro transition is one for which the macroscopic
value qm of the property is given by a weighted average:
qm-/f(g)q(g)dg (1)
in which the weighing factor f(g) is the "orientation distribution function"

(ODF) which describes the texture of the polycrystal [2-3]. The crystallite
orientation g may be conceived as a tensorial quantity [4], but it is most often
expressed as a set of three Euler angles representing the rotation from an
external reference system ("sample reference system") to a crystal reference
system (the ( 1 0 0 ) axes in the case of fcc or bcc metals) [2-3]. The three
Euler angles (991, ~, and (02 in Bunge's notation) are then denoted by the
single symbol g.
The averaging formula above is the simplest possible micro-macro
transition; so at the very least, the texture must be known under the form
of an ODF f(g) The ODF itself may be known as a discrete function in Euler
space, or as a Fourier series [2-3]:
L M(O N(O
Z E E v
e=O #=1 v=l
L is the maximum degree of the series expansion. The angular resolution

:.//V
that
can be achieved by this series expansion is roughly 160~ Tr (g)is a
harmonic function of degree ( of the three Euler angles. C~~ is a
Fourier coefficient. In principle, the property q(g) can also be described as
#v
a Fourier series expansion with coefficients qe [2]. In that case, the average
140 Van Houtte
is given by
1 M(e) N(e) ,~v
C~v (3)
qm-- 2~,+1 ~ Zqe
f=O #=I v=l
. pv pv
in which qe is the complex conjugated of qe [2]. This expression is helpful
for the study of the angular resolution required for the ODE Suppose that the
Fourier coefficients of the property q(g) are all zero for f _> Lq. In that case, L
in the above equation can be reduced to Lq, which sets the desired angular
resolution for the ODF (see above) but also strongly limits the number of
multiplications and additions required to evaluate the expression. For elastic
problems, Lq is as low as 4. For problems related to yield loci of fcc or bcc
pv
metals, L need not be chosen higher than 12, the qe taking very low values
for f > 12. As a result, Eq. 3 allows for an incredible gain in calculation time
when evaluating integrals such as Eq. 1.
3.3.2.2 CALCULATION OF O D F FROM POLE FIGURES
Companies like Bruker, Inel, Philips, Seifert, and others sell x-ray equipment
for the measurement of "pole figures" which characterise the crystallographic
texture of the material. (They can also be measured using neutron
diffraction.) A pole figure is not an ODF; it is necessary to measure several
pole figures for each material and then combine them by means of appropriate
software in order to obtain the ODF [2-3]. Such software can also be
purchased from these companies, or it can be obtained from university
laboratories that have developed their own. In the latter case, the texture
goniometer and its control unit must be capable of exporting pole figure files
in a format that can be read by the user. Other important points are as follows:
1. A high angular resolution is NOT required (5 ~ is sufficient), as long as no
intense pole figure peaks are completely "missed." If this is a problem, a
sufficiently wide x-ray beam should be used.
2. Great care must be given to various "corrections" to be applied to pole
figure data. These are:
a. Background subtraction. This means that part of the intensity measured

in each direction is ascribed to "background radiation" and is removed
from the signal for further processing. All commercial pole figure
measuring systems contain some procedure for background subtraction.
However, it is sometimes not good enough. The effect of subtracting too
much or too less background, combined with subsequent data
processing to generate an ODE amounts to effectively redistributing
intensity of the strong texture components into the random component

or vice versa. All C-coefficients of the ODF will be erroneous, including
those of low rank ~e, and the value of all texture-related properties will
be wrongly estimated, irrespective of the angular resolution that is
needed for the property considered. So one should thoroughly study the
procedure for background correction contained in the standard
software, and if it is not good enough, replace it with a sound
procedure. Even better is to physically remove background radiation by,
using, for example a set of Soller slits combined with a monochromator
in the diffracted beam [5].
b. Defocusing correction. A good method is the one based on a pole figure
measurement of a good powder sample with random texture. Here, also,
the standard procedure provided with a commercial system should be
evaluated with care.
3. Number of pole figures. For fcc metals, it is highly recommended that

one measure four pole figures, namely, {1 1 1 }, {2 0 0 }, {2 2 0}, and {3 1 1 }. For
bcc metals, these are {1 1 0}, {200}, {1 1 2}, and {103}. It is possible to work
with three pole figures only if they are completely measured (inclination
range from 0 ~ to 90~ which is rarely the case. Normally they are measured
using the Schulz reflection method (0 ~ to 80 ~ range) [6-7]. In that case, four
pole figures are recommended if quantitative applications are aimed at.
The software used to convert the pole figures into an ODF should have a
ghost correction procedure [3] if plastic properties are to be calculated. If that
is not done, no information can be obtained about C-coefficients of odd rank
2. It has been said in the preceding that, for cubic materials, the series
expansion degree L (see Eq. (2)) should not be lower than 12 if plastic
properties are to be calculated. Now in cubic materials, the first nonzero odd
/zv
C-coefficients (or, for that matter, qe coefficients) which are encountered in
Eq. 3 appear at ~e= 9, so they cannot be neglected.
The pole figure to ODF conversion method may be based on the harmonic
method or not [3], but at least, once the ODF is obtained, it is advantageous
to convert it into a C-coefficient representation, so that Eq. 3 can be used.
3.3.2.3 DETERMINATION OF O D F BY SINGLE GRAIN

ORIENTATION MEASUREMENTS
An alternative method of texture determination consists of directly measuring

the orientation of a large number of single grains of the polycrystalline
material. This can be done by various methods. By far the most convenient of
these makes use of an automated system of orientation determination using
142 Van Houtte
"electron back scattering diffraction" (EBSD) in a scanning electron

microscope ([6] pp. 171-176, [8]). The electron beam of the microscope is
automatically positioned on a series of points at the surface of a sample. At
each point, an EBSD pattern is generated, recorded, and analyzed by a
computer, leading to a set of Euler angles describing the local crystallite
orientation. Several commercial companies offer systems like this. At the
present date, these systems offer a spatial resolution of about 0.5 gm, an
angular resolution in Euler space better than 1~ and the time to measure one
orientation is about i sec. It is expected that in the near future this time will
go down by a factor of 5 or more. The determination of an ODF is only one of
the many possible applications of these instruments. It requires the
acquisition of 10,000 or more single grain orientations. So with present
technology, it takes 3 to 12 hours (depending on the number on measure-
ments desired) to measure an ODE an automated job that can be done during
the night. A list of 10,000 to 50,000 sets of Euler angles is obtained, which can
be converted into a continuous ODF described by C-coefficients.
The method has several advantages compared to pole figure measurements.
Since the ODF is directly measured, pole figure to ODF conversion is not
necessary. Also, both the even and the odd part of the ODF are directly
obtained; as a result, no ghost correction is needed. The various pole figure
corrections discussed in the previous section are not needed either. However,
the method has some drawbacks:
9 The grain size should be at least 0.5 gm, although in the foreseeable
future this may go down to 0.1 gm.
9 Material with a high dislocation density (after plastic straining) cannot
be studied; however, in most cases, the problem can be solved by giving
the material a prudent recovery treatment.
9 The purchase and maintenance of the equipment (including a dedicated
scanning electron microscope) are more expensive than those of a
texture goniometer using x-ray diffraction, though not that much.
3.3.2.4 SAMPLE HOMOGENEITY
It is frequently observed that the texture of the sample is not homogeneous. In

the case of sheet material, the texture may vary with distance from the
surface. It is wise to check for this phenomenon by doing texture
measurements at various depths (after removal of part of the surface). If a
texture gradient indeed exists, it is recommended to do several measurements
and construct an average, or to perform texture measurements on cross-
sections or oblique sections, after which the measured texture must of course
be rotated. University-developed texture software packages often contain

routines for performing these operations (averaging several textures, rotating
of textures).
3.3.2.5 DISCRETIZATION OF THE O D F
It is possible that in the applications that will follow (see next section), one
intends to implement Eq. 1 by means of C-coefficients, using Eq. 3; in that
case, it is not necessary to convert the measured ODF into a set of weighted
discrete orientations. However, in the opposite case, such a procedure will be
required. The set of discrete orientations can then be used by some software
that models the plastic response of the material. The procedure used for the
discretization must then satisfy a few important conditions:
Sample symmetry should NOT be used to reduce the number of

orientations in the set, unless one is sufficiently experienced to avoid
mistakes when calculating the plastic properties.
The method should be "unbiased." This requires some explaining.
Suppose that one wants to compute an average value of a texture-related
property by means of Eq. 1. Let qm be the "true value" obtained by using
a nondiscretized ODE and ~lm the value obtained from the discretised
ODE Normally ~lm will be different from qm. However, it is said that elm
is "unbiased" (using terminology from statistics) when its "expected
value" (i.e., its most probable a priori value) is equal to q=. Whether that
will be the case or not depends on the discretization procedure and on
the formula to calculate elm- When both are known, one can formulate a
"statistical theorem" stating that ~lm is unbiased, and try to demonstrate
it. To the knowledge of the author, for only one discretization method
has such proof ever been published, namely, for the "statistical method,"
one of the two discretization methods explained in Reference [9]. In
addition, the theorem also holds for a discretization method in which
one would look at the intensity of the ODF f(g) for all points gi in
Euler space on a 5 ~ grid, retain all these points in the discretization,
and give them a weighting factor f(gi)sin ~i ((I)i is one of the Euler
angles used by Bunge [2]). However, a commonly used discreti-
zation method consists in retaining only those grid orientations in the
discrete set for which f(gi) > a, a being some threshold value between 0
and 1. This latter method is biased, and will lead to systematic errors on
any ~lm value. Such ~lm values are unsuited for predictions of plastic
properties.
144 Van Houtte
3.3.3 CONSTITUTIVE MODEL FOR

POLYCRYSTALS WITH TEXTURE
3.3.3.1 PLASTIC POTENTIALS
The concept of a "plastic potential" seems most suitable to performing the

micro-macro transition and to carrying the information about the plastic
anisotropy of the material from the micromechanical model (based on crystal
plasticity and on texture data) to the application, which could, for example,
be a FE model for a forming process, or a model for predicting the forming
limit of a sheet material. Plastic potentials have been developed both for stress
space and for strain rate space (see, for example, Reference [10]). The
discussion here will be limited to the latter case, because it makes a simple
micro-macro transition possible. Let tIJm(D) be such plastic potential. Its
numerical value is equal to ~rm, the macroscopic rate of plastic work per
unit volume. D is the plastic strain rate. Elastic strains are neglected in
this formulation. The Cauchy stress S which corrresponds to D is given
by [101:
0qJm
S/j - v aDij (4)
with
lt-IJ m
v = (5)
01ffflm/c3Dij D ij
v = 1 in the case of rate-independent plasticity, whereas for simple power law-

based viscoplastic material models:
1
v = (6)
1+#
in which # = 0 log a / 0 log ~ as in Section 3.3.1.
A similar plastic potential can also be defined for individual crystallites. It
would be denoted as W(d), d being the local strain rate.
If a means is available for computing Wm(D) for a polycrystal with texture,
then Eq. 4 can in principle be used to construct a constitutive model for the
plastic behavior of the material. The Taylor theory ([ 11], [ 12] p. 371)
provides a very convenient means computing tIJm(D) for a polycrystal with
texture, since qJm is equal to the rate of plastic work per unit volume. This
theory assumes that the local plastic strain rate d is uniform in each crystallite
and equal to the macroscopic plastic strain rate D. It is known that in that
case, the macroscopic rate of plastic work per unit volume Wm simply is the
weighted average of the local rates of plastic work of all crystallites. The latter
are denoted by W; in the Taylor theory, they depend on the macroscopic strain
rate D (as is the case with Wm) and on the crystal orientation g. It is seen that
W(g) takes the role of q(g) in Eq. 1 and X/Cmthat of q,,. Both are simple scalars,
but they do depend on D. For each value of D, X/Cmcan be calculated from the
texture using Eq. 1 or Eq. 3, provided that W(g) is known. In the next section,
we will discuss how X/C(g) can be obtained from D using a crystal plasticity
model.
Note that the simple micro-macro transition that is presented here cannot
be applied when the Taylor assumption is replaced by a more complex one,
such as the set of assumptions used in self-consistent models [13]. The use of
such models may lead to a somewhat more precise prediction of the yield
locus, especially in the case of non-cubic materials.
9 However, this advantage will be completely lost if the recommendations

in Section 3.3.1 are not scrupulously followed.
9 Certain techniques which in the case of the Taylor assumption can
greatly reduce the computing time, such as the use of Fourier
coefficients, can no longer be applied. This is particularly unpleasant
in industrial applications involving large-scale FE modeling.
3.3.3.2 CRYSTAL PLASTICITY MODEL
In this text, it is assumed that one wants to obtain a yield locus, not that one
wants to simulate deformation textures. The latter case deserves a long
discussion of its own, not in the least because a truly general, reliable, and
quantitative model for deformation texture prediction does not yet exist (see,
for example, the discussion in Reference [14]).
3.3.3.2.1 The Bishop-Hill Theory

The problem that must be solved is to calculate the local rate of plastic work
for a crystallite with a given orientation g and for a given local strain rate d.
Because of the Taylor assumption, d - D, normally one would now express D
with respect to the reference system x c of the crystal lattice of the given
crystallite ((1 0 0) axes in the case of a cubic metal), leading to a matrix D~.
The following formula is used for the transformation from the sample frame to
the crystal lattice frame (note: a superscript c indicates that a tensor is
described in the crystal lattice frame):
D~ -tiktjlDkz (7)
146 Van Houtte
in which
[,,j] -
COS ~1 COS ~02 - - sin (~1 sin ~o2 cos (I) sin (~1 cos ~2 -~- cos (ill s i n q~2 cos (I) sin ~o2 sin(I) 1
-cos q91 sin q92 - sin tpl cos cp2 cos (I)
sin q91 sin (I)
-sin q~l sin~~
-cos
+ cos q91 costP2 cos (I)
tpl s i n (I)
cosq9 2 sin (/)
cos (I)
(8)
l
q)l, (I), and r are the Euler angles that describe the orientation of the crystal
lattice [2]. In the stress-strain space associated with the x c frame, D~j in
general represents a strain rate vector without special properties (i.e., it is not
parallel with one of the stress axes, or perpendicular to it, etc.). In such case,
the classical rate-independent Bishop-Hill theory for the plastic deformation
of crystallites states that the deviatoric stress a~j needed to achieve this plastic
strain rate will be one of a finite number of deviatoric stress states, called
"vertices" [11,12]. These vertices depend on the nature of the slip systems
available in the material, as well as on the ratios between the critical resolved
shear stresses on these slip systems (CRSS ratios).
In deviatoric stress space, the yield locus of the crystallite has the shape of a
hyperpolyhedron defined by the previously mentioned vertices (Fig. 3.3.1).
The strain rate vector that corresponds to a stress that is somewhere on a facet
of this hyperpolyhedron (not on one of the edges of the facet) is normal to the
facet. Since there is only a finite number of facets, there is only a finite number
of such directions, whereas there are oo4directions possible in deviatoric
stress-strain space. Hence the probability that D~j would have such direction
is infinitesimal.
For deviatoric stress states which are at the intersection of two facets, the
strain rate vector must be normal to that line, in the sense that the unit vector
which defines its direction must be a positive linear combination of the unit
vectors normal to the two facets. So, for each such intersection, there a r e c o 1
such directions, whereas there are oo4directions possible for D~j. Again, the
probability that D~j would have such direction is infinitesimal.
This argument can be adapted for all higher-order intersections between
facet planes, except when the intersection is a single point, i.e., a vertex
stress. Only in that case, the probability that D~j would have such direction
is not infinitesimal.
All this can be summarized as follows. According to the Bishop-Hill theory,
based on the generalized Schmid law, the deviatoric stress state which
corresponds to a prescribed D~j normally is one of a finite number of vertex
stresses, except in some special cases. The probability that such a special case
occurs is infinitesimal. (This conclusion is true in the present context, i.e., the
use of a single crystal yield locus to solve the Taylor theory. It would not
o3
FIGURE 3.3.1 Closed yield locus of a "facet-eye" type as it would appear in a three-dimensional
stress space. A Bishop-Hill yield locus of a crystallite is of this type, but in five-dimensional
deviatoric stress space.
necessarily be true in other applications, such as the use of a single crystal

yield locus to solve the interaction equation of a self-consistent model.)
Bishop and Hill [15] and Kocks [16] have published the list of the 56
vertex stresses which exist for fcc metals that deform by {1 1 1} (1 1 0) slip
with the same critical resolved shear stress on all slip systems. For bcc metals
with {1 1 0 }{112 }( 1 1 0 ~ slip systems, there are 216 vertex stresses, which can
be obtained from the present author, who has developed software that can
automatically generate all vertices for any set of slip systems and any set of
critical resolved shear stresses.
Let ~7ij
cV represent such a vertex (for fcc metals, V is an index between 1 and
56). Using Hill's Maximum Work Principle, it can now be stated that the
deviatoric stress aijc which corresponds to a given plastic strain rate Dijc i s a
vertex stress, and it is such that
{7 ij D ij ~ o ij IJ ij (9)
for all V. Finding the right value of V then comes down to selecting from the
cV which maximizes oij
list of vertex stresses the crij *-'ij It is an easy and an
_cv,-,c
extremely fast operation for a computer. The value found for aijcV is now called
~r~, and the rate of plastic work per unit volume in the crystallite is given by
- - "D (10)
in which the stress tensor ~ is a parameter which does not change when D
undergoes infinitesimal variations. Its value is known in the crystal lattice
148 Van Houtte
frame, but it can be transformed to the sample frame:

a'i) -- thitlja~! (11)
Since a is a constant with respect to D, W can indeed be regarded as a plastic

potential for individual crystallite. As explained in Section 3.3.3.1, the
macroscopic plastic potential kI'/m then is the weighted average of ~z for all
crystallites, using the ODF f(g) as weighting function. The macroscopic stress
is then in principle given by Eq. 4 with v-1 (rate-independent case), but it can
easily be shown (by elaborating the equation) that the macroscopic stress is
simply given by
Sij = (aij)m (12)
in which (aij)m is the weighted average of aij for all crystallites.
This finally makes it possible to calculate the macroscopic stress from the
plastic strain rate, which in principle is sufficient to obtain the yield locus.
3.3.3.2.2 Rounding the Yield Locus

The crystallite yield locus described in the previous section may be as correct
as can be obtained from present theoretical knowledge combined with the
usual lack of knowledge of material data such as current values of the critical
resolved shear stresses on the individual slip systems. However, it has sharp
corners and edges and fiat surfaces, and this is sometimes reflected in the
macroscopic yield locus as well, which may feature regions with very strong
curvature and other regions with very low curvature, especially for materials
with strong texture. This may become a source of numerical instability in
certain applications, such as FE codes which are notorious for becoming
unstable when a somewhat exotic constitutive material law is used. The
fundamental solution to this problem is of course to improve the stability of
FE codes so that they can digest true material behavior, but in the meantime,
we may have to try to substitute the sharp-edged single crystal yield locus by a
more rounded one. This can be achieved by using the following yield locus for
an individual crystallite [ 17]:
/~+1
#'+ 1 as -- 1 (13)
In this equation, #~ does not stand for the strain rate sensitivity, since the
equation is still intended for a rate-independent material. ~s is the resolved
shear stress acting on slip system s and as such a function of the macroscopic
stress S ([11], [12] p. 333). The plastic strain rates are related to the S in the
usual way through the normality rule. ~0 is a constant (with a value close to
the critical resolved shear stress) and the as are the CRSS ratios. It can be
shown that for 12' ~ 0 this yield locus tends toward the edgy Bishop-Hill yield
locus; for low values of 12' such as 0.02, the yield locus is still a good
approximation of the Bishop-Hill yield locus, but the corners and edges are
rounded with a short radius of curvature. The larger 12' is, the more rounded
the yield locus becomes, and the more it will differ from the Bishop-Hill yield
locus.
This method, however, has some serious drawbacks. For a given crystallite,
it allows for a straightforward calculation of the plastic strain rate from the
stress. However, for the application at hand, we must find the stress from the
plastic strain rate. This can only be done by an iterative procedure. It is
difficult to make software for this that is completely stable, especially for low
values of 12'. The required calculation time is one or several orders of
magnitude larger than for the Bishop-Hill method.
For the rest, Eq. 12 can still be used to perform the micro-macro
transition.
3.3.3.2.3 The Visco-plastic Model

The viscoplastic model ([12], p. 358 and pp. 363-365) for crystallites is also
frequently used to obtain a rounded yield locus. Strictly speaking, a yield
locus does not exist in this case (see following). This model can be developed
from a plastic potential (for an individual crystallite) in stress space:
(~+i)
s
I
~s'~01
~b(cr) in Eq. 14 has the value of ~/, the rate of plastic work per unit volume in
the crystallite; ?0 is a constant with the nature of a slip rate; 12is the strain rate
sensitivity exponent as explained in Section 3.3.1 1:0 and as have the same
meaning as in Eq. 13; and ~:s is the resolved shear stress acting on slip system s
and as such a function of the local stress or. The local strain rates are obtained
as follows [10]:
d~j - ~ 04,
12 + 1 c~r (15)
This leads to the usual formulae of the viscoplastic model ([12] p. 358).
It is seen that Eq. 14 is almost the same as Eq. 13; only the interpretation
is different. Whereas Eq. 13 leads to a rounded yield locus that approaches
the Bishop-Hill yield locus when 12'~ 0, the equation ~b(cr)=constant
defines an equipotential surface in stress space which tends to the Bishop-Hill
yield locus when/2 ~ 0. It then becomes clear that the value of/2 will control
150 Van H o u t t e
the radius of curvature of the vertices of the yield locus-equipotential surface.

A user of FE software would want to have some control on this radius of
curvature, in order to keep the FE algorithms stable. But one does not have
the right to fine-tune # if one takes it seriously that it is the strain rate
sensitivity exponent: in that case, it should be experimentally determined, and
whichever value comes out should be used. Note that for numerical reasons, a
negative value would make the use of the viscoplastic model totally
impossible. This would be the case for certain temperature and strain rate
ranges of several important aluminium alloys (with Mg atoms in solid
solutions) and steel alloys (mainly IF steels).
Therefore, when for practical reasons one decided to abandon the idea that
# should be equal to an experimentally determined strain rate sensitivity
exponent, it would be scientifically more honest to use Eq. 13 instead of
Eq. 14, and, if needed, devise a different means incorporate strain rate
sensitivity into the model.
From a computational point of view, this method features the same
problems as the previous one (Section 3.3.3.2.2), and it uses similar
algorithms for solution. The local stresses cr are calculated from D by an
iterative procedure (after identification of D with d in Eq. 15). Eq. 12 is then
used for the micro-macro transition.
3.3.3.3 EXPLOITATION OF THE CONSTITUTIVE MODEL
3.3.3.3.1 Direct Exploitation

Quite often, FE or other applications can be organized so that the constitutive
model for the polycrystalline material with texture has only to provide
answers to one type of question: "What is the stress S, when the plastic strain
rate D is given ?" In that case, Eq. 12 can be used in direct combination with
one of the three models for crystal plasticity, operating on a set of discrete
weighted crystallite orientations which represent the texture of the material.
However, this may be too costly in computing time, since one needs for cubic
metals about 2000 crystallite orientations in the set to obtain an acceptable
accuracy; for lower lattice symmetries, this number is much higher. Therefore,
it may be advantageous to use a precalculated database, although this makes it
more difficult to simulate texture evolution.
3.3.3.3.2 Using a Precalculated Database
This discussion will be limited to the rate-independent case. It will first be

explained how the macroscopic plastic potential I'IJ m c a n be precalculated for
a large number of directions in strain rate space. Then it will be explained

how an analytical expression can be constructed that fits these data. This
makes it possible to use Eq. 4 for frequent (and fast) calculations of S from D
in a FE or other application.
3.3.3.3.2.1 Calculation of ~'1 m for Directions in Strain Rate Space

In Section 3.3.3.1, it was said that kI/m is equal to the macroscopic rate of
plastic work. It can always be written in the following form [10]:
~Pm(D) = [[D][ Hm(a) (16)
in which
[IDII - v/DijDi) (17)
and
D
a = (18)
IIDII
a represents a direction in strain rate space. Hm(a) is a [unction which only
depends on the direction of D, not on its length.
In a similar way, a plastic potential W can be constructed for a crystallite
with an orientation g:
~g(g, d) = [[d[[ H(g, a) (19)
Since we use the Taylor assumption, d = D and the macroscopic plastic

potential kl/m is equal to (qJ)m, the average over all crystallite orientations of
qJ, using the ODF as weighting function. This then leads to
H~(a) = (H(g, a))~ (20)
This equation is of the same type as Eq. 1.
A certain number of calculations should now be done once and for all,
without using the texture of the polycrystal. For a given type of material, a
crystal plasticity model should be used to produce a H(g, a) function for each
direction a taken from a set which represents all directions in stress-strain
space with a given angular resolution. To do so, it is in principle possible to
use the model for d = a, and calculate X/r (Eq. 10) for every crystallite
orientation on a grid in Euler space. H(g, a) then simply is equal to the values
found for X/(. Convert each H(g, a) function into Fourier-coefficients HfV(a)
[2] so that, in the future, Eq. 3 can be used instead of Eq. 1. In principle, these
Fourier-coefficients establish the database. It is exploited as follows: Once the
C-coefficients of the texture are known, Eq. 3 is used to calculate Hm for all
directions a of the discrete set. So the function Hm(a) in Eq. 16 is known in a
numerical form for a large number of directions a. In principle the
15 2 Van Houtte
m a c r o s c o p i c plastic potential kI'/m is n o w k n o w n ; it represents the texture-

d e p e n d e n t m o d e l for the plastic a n i s o t r o p y of the material.
The w o r k described in this section seems a formidable task, since there are
a b o u t 50,000 directions a in deviatoric s t r e s s - s t r a i n space using an angular
r e s o l u t i o n of 10 ~ However, the w o r k can be o p t i m i z e d to a very large extent,
w h i c h leads to surprisingly s h o r t calculation times [4].
3.3.3.3.2.2 Analytical Model for Hm(a)

As e x p l a i n e d in the p r e v i o u s section, Hm(a) is o b t a i n e d as n u m e r i c a l values on
a discrete set of directions a. This is quite u n p l e a s a n t in view of Eq. 4: It will
be necessary to m a k e partial derivatives of tIJ m (see Reference [10] for m o r e
details), a n d it t h e n b e c o m e s desirable to have Hm(a) in an analytical form.
This can be achieved as follows:
9 Let lap] be a vector r e p r e s e n t a t i o n of the m a t r i x [aij]; i.e., the two

indices ij are c o n t r a c t e d into a single one p [10].
I I I
- 3 4
(~'1/~cl
FIGURE 3.3.2 Yieldlocus of an A13004 alloy that has been cold-rolled. The stresses and strain
rates are expressed with respect to coordinate axes which make angles of 45 ~ and 135~ to the
rolling direction. 0-11--0"22section of the yield locus in nondeviatoric stress space. 0"33= 0 for this
section, as well as the shear stresses. The yield locus is calculated from the texture, using a
precalculated database describing the plastic anisotropy of fcc metals.
9 Hm(a) can then be written as a polynomial of the nth order. It is

recommended to set n=6. In practice, only the fifth- and the sixth-order
terms are necessary, because all a-tensors are normalized (Eq. 18):
Hm(a) - Fvqrsuapaqarasau -+-Gvqrsuvapaqarasauav (21)
The coefficients Fvqr~, and Gpqrsuv have to be found by least-squares-fitting

[18], or they can be found by more clever methods [19]. Note that the fifth-
order coefficients Fpqr~, are zero for materials which have a central-symmetric
yield locus.
Equation 16 combined with Eq. 21 has been used to implement texture-
based plastic anisotropy in FE simulations of sheet metal forming. The
results are quite encouraging, although there are some drawbacks [18-20].
Figure 3.3.2 shows an example of a yield locus obtained by this method.
REFERENCES
1. Kocks, U. E, Tom~, C. N., and Wenk, H.-R. (1998). Texture and Anisotropy: Preferred
Orientations in Polycrystals and Their Effect on Material Properties, Cambridge: Cambridge
University Press.
2. Bunge, H. J. (1982). Texture Analysis in Materials Science London: Butterworth.
3. Kallend, J. S. (1998). Determination of the orientation distribution from pole figure data, in
[1], pp. 102-125.
4. Van Houtte, P. (2001). Fast calculation of average Taylor factors and Mandel spins for all
possible strain modes. International Journal of Plasticity, 17; 807-818.
5. Van Acker, K., and Van Houtte, P. (1998). The effect of Soller slit and monochromator used for
background reduction in texture measurements. Textures and Microstructures 30; 133-143.
6. Wenk, H.-R. (1998). Pole Figure measurements with diffraction techniques, in [1], pp. 126-177.
7. Hatherly, M., and Hutchinson, W. B. (1979). An Introduction to Textures in Materials,
Monograph Nr. 5, London: The Institution of Metallurgists.
8. Wright, S. I. (1993). A review of automated orientation imaging microscopy (OIM). J.
Computer-Assisted Microscopy 5; 207-221.
9. Toth, L. S., and Van Houtte, P. (1992). Discretization techniques for orientation distribution
functions. Textures and Microstructures 19; 229-244.
10. Van Houtte, P. (1994). Application of plastic potentials to strain rate sensitive and insensitive
anisotropic materials. Int. J. Plasticity 10; 719-748.
11. Aernoudt, E., Van Houtte, P. and Leffers, T. (1993). Deformation and textures of metals at
large strains, in: Plastic Deformation and Fracture of Materials pp. 89-136, Mughrabi, H. ed.,
vol. 6 of Materials Science and Technology: A Comprehensive Treatment, (R. W. Cahn, P. Haasen,
and E. J. Kramer, eds., Weinheim: VCH.
12. Kocks, U. E (1998). Kinematics and kinetics of plasticity, in [1], pp. 326-389.
13. Tom~, C. N. and Canova, G. R. (1998). Self-consistent modeling of heterogeneous plasticity,
in [ 1], pp. 466-511.
14. Van Houtte, P., Delannay, L., and Samajdar, I. (1999). Quantitative prediction of cold rolling
textures in low-carbon steel by means of the LAMEL model. Textures and Microstructures 31;
109-149.
154 Van Houtte
15. Bishop, J. E W., and Hill, R. (1951). A theoretical derivation of the plastic properties of a
polycrystalline face-centred metal. Philos. Mag. 42; 1298-1307.
16. Kocks, U. E (1970). The relation between polycrystal deformation and single crystal
deformation. Metall. Trans. 1; 1121-1143.
17. Van Houtte, P., and Rabet, L. (1997). Generalisation of the relaxed constraints models for the
prediction of deformation textures. Revue de M~tallurgie-CIT/Science et G~ie des, Mat~riaux
94; 1483-1494.
18. Van Bael, A. (1994). Anisotropic Yield Loci Derived from Crystallographic Data and their
Application in Finite-Element Simulations of Plastic Forming Processes, Ph.D. Thesis, Dept.
MTM, Katholieke Universiteit Leuven, Belgium.
19. Arminjon, M., Bacroix, B., Imbault, D., and Raphanel, J. L. (1994). A fourth-order plastic
potential for anisotropic metals and its analytical calculation from the texture function. Acta
Mech. 107; 33-51.
20. Van Houtte, P., Van Bael, A., and Winters, J. (1995). The incorporation of texture-based yield
loci into elasto-plastic finite element programs. Textures and Microstructures 24; 255-272.
SECTION 3.4
Anisotropic Yield
Conditions
MICHAL ZYCZKOWSKI
Cracow University of Technology, ul. Warszawska 24, PL-31155 Krakfw, Poland
Contents
3.4.1 Three Approaches to Formulation of
Anisotropic Yield Conditions . . . . . . . . . . . . . . . 155
3.4.2 Generalizations of the Huber-Mises-Hencky
Yield Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
3.4.3 Generalizations of the Tresca Yield
Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
3.4.4 Generalizations of the Burzyfiski Yield
Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
3.4.5 Generalizations of the Hershey "Power Yield
Condition". ............................... 160
3.4.6 Polynomial Yield Conditions for Planar
Orthotropy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
3.4.7 Final Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
3.4.1 T H R E E A P P R O A C H E S T O F O R M U L A T I O N
OF ANISOTROPIC YIELD CONDITIONS
In uniaxial tension perfect plasticity is defined by the equation crx/cr0 = 1

during the process; ~r0 denotes here the yield-point stress in the direction x.
Conditions of perfect plasticity, or briefly yield conditions, for isotropic
materials in the general three-dimensional case can be written as a simple
generalization of the preceding equation; namely, Crx is replaced by certain
functions of stress invariants.

156 ZYcz~ows~
At least three approaches are used to generalize isotropic yield conditions

to the materials showing innate (for example, in monocrystals) or acquired
(for example, strain-induced) anisotropy.
First, the stress invariants are replaced by simultaneous (common)
invariants of the stress tensor and of the material (or structural) tensors of
plastic anisotropy, for example,
f (Hijcrij , HijklaijahZ, H@lmn ~rijcrklCrm,~, . . . ) - 1 (1)
where H~j, 1-I~jkl, 1-I@zm,, ... denote tensors of plastic anisotropy and
Einstein's summation convention holds. It should be noted that the invariants
shown in Eq. 1 are the simplest, but by no means general. For example, two
tensors of the second order have 10 irreducible polynomial invariants; besides
3 invariants of aij and 3 of H~j, there exist 4 simultaneous invariants
H~jcr~j, H~jajkcrhl, 1-I~jHjkcrkl, and H~jHjkahzal~, and only the first of them is
shown in Eq. 1. The number of irreducible invariants of H@I and ~r~jamounts
to 28 (plus the invariants of H@I itself, less important for construction of yield
conditions) [1]. A detailed discussion on invariant formulation of anisotropic
yield conditions is given by Rogers [21.
Second, a certain transformed or modified stress tensor may be introduced.
For example, Sobotka [31 and Boehler and Sawczuk [41 proposed
independently to introduce the tensor
~ij -- AijklCrhl with Ajihl -~ Ajikl -- Aijlk - Aklij (2)
where Aijkl is also a certain tensor of anisotropy, and postulated the well-
known isotropic yield conditions to hold for anisotropic materials as well if aij
are replaced by Fi). In many cases this approach proves useful, but it is less
general than Eq. 1" for example, second-order material tensors may be
obtained here from Ai)kl just by contraction, whereas in Eq. 1 they are
independent. Mean transformed stress equals
1 1
4. = -~pp - -~AppkZ.hl (3)
and deviatoric transformed stress
(4)
Another approach resulting in a nonlinear transformation of various
anisotropic yield surfaces into a hypershere in five-dimensional Ilyushin's
space was proposed by Zyczkowski and Kurtyka [5].
The third way, with the strongest physical background, is to postulate a
certain physical quantity in an anisotropic material to be constant when
reaching the yield-point stress (for example, the elastic energy), and then to
express strains in terms of stresses and assume this function to be constant
3.4 Anisotropic Yield Conditions 157
during a perfectly plastic process. This way, typical for isotropic materials, is
rather seldom used in the case of anisotropy.
Yield conditions for anisotropic materials are usually formulated as certain
generalizations of the relevant conditions for isotropic materials. Therefore,
they will be classified here according to the types of isotropic conditions that
are subject to generalization.
3.4.2 GENERALIZATIONS OF THE HUBER-

MISES-HENCKY Y I E L D C O N D I T I O N
The first anisotropic yield condition was proposed in 1928 by Mises [6]:
1-Iijkl~Tij~Tkl-- 1 with IIijkl = IIjikl = 1-Iijlk = IIklij (5)
These symmetry conditions reduce the number of moduli to 21. Further,
the additional requirement of independence of Eq. 5 on the mean stress am
reduces the number of moduli to 15. In this case, making use of the
transformation Eq. 2, we can write Eq. 5 in the form
SijSij -- 2k 2 (6)
Mises [6] also gives some energy considerations: Eq. 6 corresponds
at the beginning of yielding to constant distortion energy, though
in the general anisotropic case energy cannot be decomposed into pure
distortion energy and pure volumetric energy. Change of signs of all stresses in
Eqs. 5 or 6 does not change the expression as a whole; hence the materials
described by these equations are isosensitive [7], or without strength-
differential effect [8].
Equation 5 takes a much simpler form in the case of orthogonal aniso-
tropy, called briefly orthotropy. Then there exist three mutually perpendicular
principal directions of the tensor Flijhl. Choosing the reference frame
x y z in such a way as to obtain its coincidence with the principal axes of
orthotropy, we eliminate nine terms of the type axr.xy (in engineering
notation) and three terms of the type "Cxy'Cyz, and in Eq. 5 only nine terms
remain. Further, if we require the independence of the yield condition on the
mean stress am, then three additional conditions must be satisfied, and Eq. 5
takes the form
F(ay - @)2 + G(az _ ax)2 + H(ax - ay) 2 + 2LZ2z + 2MZ2zx+ 2Nz 2 -- 1 (7)
The notation in Eq. 7 is due to Hill [9], who considered this condition in
detail. Equation 7 will be called here "the first Hill's yield condition."
The moduli F, G, H, L, M, N can be expressed in terms of the yield-point
stresses in uniaxial tension (or compression) in the directions x, y, z, denoted
158 ZYCZKOWSKI
TABLE 3.4.1 C o n s t a n t s in Hill's Yield C o n d i t i o n Eq. 7
F (MPa -2) G (MPa -2) H (MPa -2) N (MPa -2)
Pure a l u m i n u m sheets 1.090 x 10 -4 1.457 • 10 -4 1.530 • 10 -4 6.876 x 10 -4
by 0"Ox, 0"Oy,0"oz, and the yield-point stresses in shear ZOxy,"COyz,Zozx:
F -- -~ q 0"2Oz r~ x L - - 2"C2yz
1 1) 1 (8)
c - ~ ~ ~ox G M - 2~--2
.-~ ~o~y G N-2%

In the particular case of plane stress, which is very important for
engineering applications (e.g., in rolled sheets), 0"z- "Czx- "Cyz- 0 and we
obtain a four-parameter equation
2 0"y 1 1 1 l:xy
0-___.~x_~_ __
0-2x 0"~y__ ._} 0"27 ~z 0-x0-y "}- -T,~xy
-- 1 (9)
Experimental data for rolled pure aluminum sheets obtained by Klepaczko

[10] are gathered in Table 3.4.1 (x is rolling direction, y is transverse
direction; in the planar case under consideration, L and M were not measured;
units are converted from mm4/kG 2 to MPa-2).
3.4.3 GENERALIZATIONS OF THE TRESCA

YIELD CONDITION
The generalizations of the Tresca (principal shear) yield condition to

anisotropic materials are very simple but only in a particular case: if general
anisotropy is restricted to orthotropy and the principal directions of the stress
state and of the orthotropy coincide. The corresponding system of six linear
equations, taking into account the possible anisosensitivity of the material
(strength-differential effect), was first derived in 1958 by Hu [11 ], and then
independently by Ivlev and Capurso (see [7])"
0"1 - - 0"2 0"2 - - 0"3
~ + - - = 1
ooi+ rr03- (10)
0"1 - - 0"2 0"2 - - 0"3
. . . . ~ 1
0"01- 0"03+
3.4 A n i s o t r o p i c Yield C o n d i t i o n s 159
and the remaining four equations are obtained by cyclic permutation of the
indices both for stresses and for plastic moduli. The symbols 0-01+, 0-01-
denote here positive yield-point stresses in tension and in compression along
the axis "1", respectively, and so on.
Another generalization of the Tresca yield condition, also allowing for
anisosensitivity, was proposed by Berman and Hodge [12]"
0-1 m 0-3 0"2 - - 0-3 0-2 - - 0-1
=1, =1 ~ = 1
a b c
0-3 -- 0-1 0-3 -- 0-2 0-1 -- 0-2 (11)
=1, =1 ~ = 1
a e f
The relation between the positive moduli a, b , . . . , f, and the moduli
0-01+, 0-01-, ... depends on algebraic ordering of the first set. For example, if
a > b > c > d > e > f , we obtain
0-01+=f, 0-02+=c, 0-03+=e, 0-01-=d, 0-02-=f, 0-03-=b (12)
It means that an additional constraint a 0 1 + - 0-02- is imposed, and the
constant a cannot be determined from uniaxial tests in principal directions.
3.4.4 GENERALIZATIONS OF THE BURZYlqSKI

YIELD CONDITION
Burzyfiski [13] proposed in 1929 a three-parameter failure hypothesis for

isotropic materials
aa 2 + ba 2 + Cam - 1 (13)
which was later u s e d - in its general form or in confined f o r m s - by many

authors more or less independently as a yield condition. Historical notes are
given by Zyczkowski [7]. The symbol ae denotes here the Huber-Mises-
Hencky effective stress. Equation 13 describes in the space of principal
stresses an ellipsoid, a paraboloid, a cone, or a cylinder.
Direct generalization of Eq. 13 to anisotropic materials may be written, for
example, by using transformed stresses #ij (2, 3, 4) with just one anisotropy
t e n s o r Aijkl
3 Aokt -~AppklC~ij Aijqr ttqrt~ij aklaqr

~a - - (14)
+ (AppkZ~kl) 2 + 5App~lGkl -- 1
A more general yield condition of this type was derived by Betten [1], who
used two independent material tensors.
160 Z~cz~ows~
Another generalization, using several anisotropy tensors, was proposed by

Goldenblat and Kopnov [14,15]:
(l'-[ij(Tij) ~ "nt- (1-'Iijkl(Tij~kl) f3 AV (l-[ijklmn~ij(Tkl(Tmn) 7 -~- . . . - - 1 (15)
where ~, ]3, 7,-.. are arbitrary exponents, but the authors proposed
to assume ~ = 1,/3 = 1/2, 7 = 1 / 3 , . . . (then the homogeneity of
the function on the left-hand side is assured). They discussed in detail the
case
rli)~ri) + v/rlijhl~ri)akl = 1 (16)
which may be regarded as a certain generalization of the Prager-Drucker

cone. The monograph [15] gives the method of experimental evalua-
tion of the moduli ri O and 1-Iijkl and many working formulae for particular
cases.
Assuming in Eq. 15 ~ = ]~ = 1, we obtain a material characterized,
in general, by 6 + 2 1 - - 2 7 material constants (in view of symmetry
requirements imposed on II ). Additional restriction of independence
from the mean stress Crm reduces the number of constants to 5+ 15--20;
this case was considered in detail by Szczepifiski [16]. On the other hand,
restriction to orthotropy reduces the number of constants to 3 + 9 -- 12, [ 17]. If
we impose both restrictions simultaneously, the number of constants amounts
2 + 6 - 8. Making use of the extended Hill's notation Eq. 7, we obtain, in this
case [ 18],
F(O'y - - O'z)2--[ -- G ( o " z - - 0"x) 2 q - H(o" x -- Cry) 2
+ 2LZ,2z + 2Mz, 2 + 2N1:2 (17)

+ Pax + QCry - (P + Q)cr z = 1
This condition is particularly useful for describing the properties

of composites, and its particular form restricted to planar a n i s o t r o p y - to
rolled sheet metals. In the latter case the anisotropy is acquired because of
previous deformation, and anisosensitivity is mainly due to the Bauschinger
effect.
3.4.5 GENERALIZATIONS OF THE HERSHEY

"POWER YIELD CONDITION"
Hershey [19] proposed in 1954 the following "power yield condition" for
isotropic materials, expressed in terms of principal stresses:
]0" 1 - - 0"2[m-~-[0"2 - - 0"3[m-nt-[0"3 - - 0"1[ m - - 2o'~" -- 2o'~" (18)
where ab denotes the yield-point stress in equibiaxial tension, and m ~> 1 is not
necessarily an integer. The cylindrical surface Eq. 18 for m = 2 and m = 4
turns into the Huber-Mises-Hencky cylinder, and for m -- 1 and m ~ oo into
the Tresca hexagonal prism. Numerous papers generalize Eq. 18 to anisotropy,
mostly to planar orthotropy, which is important, for example, for the
description of yielding of rolled sheets.
Hill [20] suggested the following generalization of Eq. 18 for planar
orthotropy:
gl0"11m_+_fl0-zlm_+_hl0-1 _ _ 0-21m_+_C/120-1__ 0-2[m_+_b[20-2 _ _ 0-1]m..+_CI0-1 _1_ 0-21m-- 0-~
(19)
where f + g + a + b + 2mc = 1 (second Hill's yield condition). Earlier,

Hosford had discussed a particular case of this condition, namely,
a = b = c = 0. Equation 19 has six free material constants, m, f, g, h, a, b.
Another, more complicated generalization of Eq. 18, proposed by Hill [21]
for planar orthotropy, is of the form
1(~1 - - -
-Jr- 0"2) q-hlO'l 0-2lmq-(0-12-t'- 0-2)(m-2)/2(0-1 0-2)(k0-1 lo2) -- 0-bin (20)
with four material constants m, h, k, l (third Hill's yield condition). When

m - - 2 , Eq. 20 turns into the first Hill's yield condition Eq. 7 in different
notation.
Barlat and Lian [22] considered the case of different axes of orthotropy and
of the stress state. They proposed the following yield condition:
a[[K1 - K2lm+[K1 q- K2[m] q- (2 - a)]2K2[m= 20-~" (21)
where
K1 = 2 ' K2 0-x -2 h0-y. +p2,rxy2 (22)
with four dimensionless material constants m, a, h, p. Numerical values of

these constants are given by Barlat et al. [23] for a rolled aluminum alloy sheet
2008-T4 with the thickness 1.24 mm and composition (in weight %) 0.60 Si,
0.13 Fe, 0.93 Cu, 0.06 Mn, and 0.40 Mg; they obtained m - 8, a - 1.24,
h - - 1.15, p = 1.02, under the assumption that x, y, z denote, in turn, the
rolling, transverse, and normal directions.
In the previously mentioned paper [23], Barlat et al. also proposed a
generalization of Hershey's yield condition Eq. 18 to the general case of
triaxial stress state in an orthotropic material, if the principal directions of the
stress state and of orthotropy do not coincide. In this case all six stress
components appear, one has to solve a cubic equation to find the principal
stresses, and the final yield condition takes the following compound form (via
162 ZYCZKOWSVa
TABLE 3.4.2 Coefficients of the functions in Eqs. 23-25
Material m a b c f g h
2008-T4 11 1.222 1.013 0.985 1.0 1.0 1.0

2024-T3 8 1.378 1.044 0.955 1.0 1.0 1.210
Cardano's formulae):
(312) m/2 2 cos-------~ + 2 cos

20 I
6
)m(
3re + -2 c o s ~
6 2o-g'
(23)
where
1
12 -- -~--4{[a(ay -- a z ) -- c(rrx -- ay)] 2 + [C(ax -- Cry) -- b(o" z -- ax)] 2
1 f 2 z 2 z + g 2Zzx
+ [ b ( a z - ax) - a ( a y - az)] 2} + -~( 2 + h2z2)
1
13 - -~-~[C(ax - Cry) - b ( a z - ax)][a(ay - a z ) - C(ax - ay)]
x[b(az - ax) - a(ay - az) ]

1
+fghzyzZvcz v _
-~{[C(ax _
rry)-b(az _
ax)] f
2 Z ;2, z
+ [a(~y - o~) - C(~x - ~ + [b(o~ - ~x) - a(o~ - ,~)]h~ G }

(24)
0 - arccos (25)
with seven dimensionless constants m, a, b, c, f, g, h. Table 3.4.2 gives their

numerical values for rolled aluminum alloy sheets, namely, for 2008-T4
defined previously, and for 2024-T3 with the thickness 0.30mm and
composition (in weight %) < 0.50 Si, < 0.50 Fe, 4.40 Cu, 0.60 Mn, 1.50 Mg
[231.
3.4.6 POLYNOMIAL YIELD CONDITIONS FOR

PLANAR ORTHOTROPY
Some authors propose anisotropic yield conditions in the form of a

polynomial, usually of the third or fourth degree.
TABLE 3.4.3 Coefficients of the Function Eq. 26 Divided by A1
Material A1 A2 A3 A4 A5 A6 A7 A8 A9
Al-killed steel 1.0 -2.60 3.75 -2.79 0.991 6.29 -7.72 6.33 8.96
Cu-(1/4)H 1.0 -1.80 2.68 -2.20 1.203 6.58 -5.51 6.71 11.48
Gotoh [24] proposed for orthotropic materials the following fourth-degree

yield condition:
3 if- A30"x0"y
A10"x++A20-x0"y 2 2 + A4 o"x@ + A50-y4 (26)
2 2
+ (A60"x2 + A70"x0"y + A80";)rxy + A9r~y 1
with nine material constants A1, A2, . . . , A9.

Numerical values of these constants were found experimentally by the author
for commercial Al-killed steel and Cu-(1/4)H rolled sheets, 0.8 mm in thickness,
with the notation of axes as given previously. They are quoted in Table 3.4.3.
Detailed comparisons with quadratic yield condition were also provided.
Hill [25] proposed a planar yield condition for orthotropic sheets in the
form of a third-degree polynomial expressed in terms of principal stresses
acting along the in-plane axes of orthotropy. It was called by the author "a
user-friendly theory of orthotropic plasticity" (fourth Hill's yield condition):
F-~+ (p+q)- ~ = 1 (27)

G
where 0-Ol, ao2, and 0-b denote, in turn, yield-point stresses in uniaxial tension
in directions "1" and "2" and in equibiaxial tension. Dimensionless constants p
and q are free (to be determined from experiments), whereas c must satisfy the
equation
c 1 1 1
= --4 2 (28)
O-010"02 0"~1 0"22 0"b
3.4.7 FINAL REMARKS
Averaged (homogenized) properties of structurally anisotropic materials

(reinforced, ribbed, perforated) often show an even more significant
dependence on the direction than naturally anisotropic ones. In the case of
structural plastic anisotropy, two typical approaches may be distinguished:
either a purely formal, phenomenological application of the general
anisotropic yield conditions, discussed in the previous sections, or a more
detailed analysis of the structure combined with a homogenization process.
164 Z~z~ow~,
S o m e e x a m p l e s of the latter a p p r o a c h will be g i v e n in the c h a p t e r d e v o t e d to

heterogeneous media.
L i t e r a t u r e d e v o t e d to a n i s o t r o p i c yield c o n d i t i o n s is v e r y a m p l e ; n u m e r o u s
a d d i t i o n a l r e f e r e n c e s are g i v e n in R e f e r e n c e [7]. M o r e o v e r , m a n y e x p e r i -
m e n t a l data are p r e s e n t e d b y I k e g a m i [26].
REFERENCES
1. Betten, J. (1988). Applications of tensor functions to the formulation of yield criteria for
anisotropic materials. Int. J. Plasticity 4: 29-46.
2. Rogers, T. G. (1990). Yield criteria, flow rules, and hardening in anisotropic plasticity, in
Yielding, Damage, and Failure of Anisotropic Solids, pp. 53-79, Boehler, J. P., ed., London:
Mechanical Engineering Publications.
3. Sobotka, Z. (1969). Theorie des plastischen Fliessens von anisotropen K6rpern. Z. Angew.
Math. Mechanik 49: 25-32.
4. Boehler, J. P., and Sawczuk, A. (1970). Equilibre limite des sols anisotropes. J. de M&anique 9:
5-33.
5. 2;yczkowski, M., and Kurtyka, T. (1990). A description of distortional plastic hardening of
anisotropic materials, in Yielding, Damage, and Failure of Anisotropic Solids, pp. 97-111,
Boehler, J. P., ed., London: Mechanical Engineering Publications.
6. Mises, R. (1928). Mechanik der plastischen Form~inderung von Kristallen. Z. Angew. Math.
Mechanik 8: 161-185.
7. Zyczkowski, M. (1981). Combined Loadings in the Theory of Plasticity, Alphen aan den Rijn: m
Warszawa, Nijhoff m PWN.
8. Drucker, D. C. (1973). Plasticity theory, strength-differential (SD) phenomenon, and volume
expansion in metals and plastics. Metall. Trans. 4: 667-673.
9. Hill, R. (1948). Theory of yielding and plastic flow of anisotropic metals. Proc. Royal Soc.
A193: 281-297.
10. Klepaczko, J. (1969). O pewnym przypadku anizotropii. Mechanika Teoretyczna i Stosowana 7:
155-163.
11. Hu, L. W. (1958). Modified Tresca's yield condition and associated flow rules for anisotropic
materials and its applications. J. Franklin Inst. 265: 187-204.
12. Berman, I., and Hodge, P. G., Jr. (1959). A general theory of piecewise linear plasticity for
initially anisotropic materials. Archiwum Mechaniki Stosowanej 11: 513-540.
13. Burzyfiski, W. (1929). 0ber die Anstrengungshypothesen. Schweiz. Bauz. 94: 259-263.
14. Goldenblat, I. I., and Kopnov, V. A. (1966). A generalized theory of plastic flow of anisotropic
media (in Russian), in Stroitelnaya Mekhanika (Rabinovich Anniversary Volume), pp. 307-319,
Streletsky, N. S., et al., ed., Moskva Izdat: Lit. po Stroitelstvu.
15. Goldenblat, I. I., and Kopnov, V. A. (1968). Yield and Strength Criteria for Structural Materials
(in Russian), Moskva: Mashinostroyenye.
16. Szczepifiski, W. (1992). On deformation-induced plastic anisotropy of sheet metals. Archiwum
Mechaniki Stosowanej 44: 663-698.
17. Tsai, S. W., and Wu, E. M. (1971). A general theory of strength for anisotropic materials. J.
Compos. Mater. 5: 58-80.
18. Ota, T., Shindo, A., and Fukuoka, H. (1959). A consideration on anisotropic yield criterion, in
Proc. 9th Jap. Nat. Congr. Appl. Mech., pp. 117-120.
19. Hershey, A. V. (1954). The plasticity of an isotropic aggregate of anisotropic face-centered

cubic crystals. J. Appl. Mech. 21: 241-249.
20. Hill, R. (1979). Theoretical plasticity of textured aggregates. Math. Proc. Camb. Phil. Soc. 85:
179.
21. Hill, R. (1990). Constitutive modelling of orthotropic plasticity in sheet metals. J. Mech. Phys.
Solids 38: 405.
22. Barlat, E, and Lian, J. (1989). Plastic behavior and stretchability of sheet metals. Int. J.
Plasticity 5: 51-66.
23. Barlat, E, Lege, D. J., and Brem, J. C. (1991). A six-component yield function for anisotropic
materials. Int. J. Plasticity 7: 693-712.
24. Gotoh, M. (1977). A theory of plastic anisotropy based on a yield function of fourth order. Int.
J. Mech. Sci. 19: 505-520.
25. Hill, R. (1993). A user-friendly theory of orthotropic plasticity in sheet metals. Int. J. Mech.
Sci. 35: 19-25.
26. Ikegami, K. (1982). Experimental plasticity on the anisotropy of metals, in Mechanical
Behaviour of Anisotropic Solids, pp. 201-242, Boehler, J. P. ed., Alphen aan den Rijn: Nijhoff.
SECTION 3.5
Distortional Model of
Plastic Hardening
TADEUSZ KURTYKA
CERN- European Organizationfor Nuclear Research, CH-1211 Geneve 23, Switzerland
Contents
3.5.1 Background and Validity of the
Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
3.5.2 Formulation of the Model . . . . . . . . . . . . . . . . . . 167
3.5.4 How to use the Model . . . . . . . . . . . . . . . . . . . . . 171
3.5.4.1 Use of the model as
a Yield Condition . . . . . . . . . . . . . . 171
3.5.4.2 Use of the Model as
a Hardening Rule . . . . . . . . . . . . . . 171
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
3.5.1 BACKGROUND AND VALIDITY

OF THE MODEL
Experiments in metal plasticity show that during plastic loading

the development of acquired plastic anisotropy is reflected by complex
transformations of the initial yield surface. These transformations
usually consist of the following five elements: (1) translation (kinematic
component), (2) proportional expansion (isotropic component), (3) affine
(elliptic) deformation, (4) rotation, and (5) distortion, exceeding affine
deformation.
Most practically used models of plastic hardening are confined to the
kinematic-isotropic components of these transformations, and neglect the

3.5 Distortional Model of Plastic Hardening 167
yield surface distortions. These effects are, however, systematically observed

in experiments and may be essential for some important applications, such as
for a correct modeling of the multiaxial ratcheting under nonproportional
loadings. Several distortional models have therefore been proposed [1-6] to
describe the yield surface distortions and to introduce the corresponding
distortional hardening rules; however, there is as yet no widely accepted theory
of this type applicable to engineering problems. Such models are thus
addressed mainly to experimentalists and need further investigations. This is
also the case of the distortional model presented in this paper, which has the
advantage of providing a quite general description and a simple geometrical
interpretation of the distortional effects. Here, the model is mainly presented
as a distortional yield condition and is only outlined as a hardening rule,
where it needs further experimental specification. The model is formulated for
initially isotropic J2 materials [7] but may be generalized to a wider class of
pressure-insensitive "deviatoric materials" [8, 9 ]. As a hardening rule [ 10, 11],
the model follows classical relations of rate-independent elastoplasticity for
small plastic strains.
3.5.2 FORMULATION OF THE MODEL
The primary idea of the present model is to have the initial yield condition
described by a hypersphere and to consider various transformations of such a
hypersphere. The model is therefore conveniently formulated using vectorial
representations of stress and strain-type deviators in the auxiliary five-
dimensional Ilyushin's vector spaces [12]. In what follows, index notation will
be used. For the sake of clarity, Latin indices will refer to physical coordinates
(i, j , . . . , = 1, 2, 3), and Greek indices will be reserved for the coordinates of
Ilyushin's vector spaces (o~, fi,..., = 1, 2 , . . . , 5). In these spaces the stress
deviator S = {sij} will be represented as a stress vector a = {a~} with the
components a~ defined here as:
(1)
' \2 '
In such a space the Huber-von Mises yield condition sijsij - 2a2/3 (where a0
stands for the yield stress in uniaxial tension) is described by a hypersphere
with the radius R0 = a0;
- ,o - (2)
168 Kurtyka
The strain vector ~ = {8~} of the strain deviator E = {eij} is defined as
2 2 2 2
81 - - e l l ~ 8 2 - ~ \ 2 g22 , 83 -- ~ e 1 2 , 84 -- ~ g 2 3 , 85 -- ~ { 3 3 1 (3)
and may be decomposed into its elastic and plastic part; ~ = ~e + ~p.
The present distortional model may be treated as a generalization of the
kinematic-anisotropic hardening models described by the quadratic yield
condition
v - - =0 (4)
where C@1 is a fourth-order tensor of plastic anisotropy and aij is a deviatoric

translation tensor (or back stress). In the vector stress space (Eq. 1) this
condition is mapped (under usual symmetry conditions imposed on the
anisotropy tensor) by a hyperellipsoidal surface, described by the quadratic
form
F = C~,8(a~ - ao~)(a~ - a~) - 1 = 0 (5)
with the symmetric matrix C -- { C~/~} corresponding to the tensor C = {Cijhz}

(its components divided by the common factor 2a02/3) and the translation
vector a = {a~} representing the translation deviator.
The present model is based on a simple geometrical generalization of
the hyperellipsoidal surface, illustrated for a two-dimensional case in
Figure 3.5.1. The hyperellipsoid is treated here as a surface resulting from a
projective mapping of five concentric hyperspheres with five (generally
distinct) radii R~, and with five orthogonal projective directions coinciding
with the directions of the eigenvectors of the matrix C, being also directions
of the elliptic deformation of the yield surface, Figure 3.5.1a. A nonelliptic
distortion of the surface is obtained by allowing the hyperspheres to be
nonconcentric (Fig. 3.5.1b), with their centers translated with respect to the
origin of the moving reference frame F~. These translations are described by
five stress-type parameters m distortional vectors d(~). In the general case of
such a surface, their directions may be arbitrary. However, as shown in
Reference [13], experimental distortions of subsequent yield surfaces are
sufficiently well described by a special, simplified case in which the
distortional vectors are coaxial with the corresponding (i.e., having the same
index a ) axes ~ . This reduces the distortional parameters to five scalar
parameters denoted d~ - - the nonzero components of the five vectors d(~) in
the moving reference frame F~.
FIGURE 3.5.1 Distortional model of subsequent yield surfaces (b) as a generalization of quadratic surfaces (a).
17 0 Kurtyka
For this simplified case of distortion the yield surface equation, expressed in
terms of its geometrical parameters, is formally identical to that of the
quadratic surface (Eq. 5); however, the matrix C is now a functional matrix,
with the diagonal matrix of "eigenvalues" D = diag(Dy~) depending on stress
components:
C./~ - Q~.Q~/~D(-~), with D(~) -- R~ + 2d(~,)Q(y),~(a,~ - a~) - d~,2 (6)
where indices in brackets are labels, ( 7 ) = 7, which are not subject to
summation. In these formulae Q = {Qy~} is an orthogonal matrix describing
rotation of the moving frame F~. In this coordinate system the equation of the
distortional yield surface may be presented in the following "canonical" form:
5 "2
a~ -1--0, with c~-Q~(a~-a~) (7)
0r
where F~ denote the components of the "active stress vector" ( a - a) in the

moving frame.
The preceeding yield surface model is characterized by the following set of
geometrical parameters: Q, a, R~, d~, containing the rotation matrix Q (with
10 independent components), one vector parameter m the back stress a (with
5 components), and 10 scalar parameters R~, d~. The surface of this type is
defined if R2 ___d2, and smooth if R2 > d2. Its convexity has been proven at
least in a two-dimensional case [7]. Invariant aspects of the model and the
equivalence between tensorial and vectorial formulations are treated in
Reference [14]. In its most general form, with all R~ distinct and all d~
different from zero, the model accounts for quite general asymmetric
distortions observed for nonproportional loading paths. In the case of
proportional loads, the yield surface equation is largely simplified, since in
this case the yield surface, at least for the initial Huber-von Mises material,
should be rotationally symmetric with respect to the loading direction
(Ilyushin's postulate of isotropy). This implies d~ = 0, R~ = R0 for 0~=
2, 3, 4, 5. In this case the rotation matrix Q is fully defined by any unit vector
collinear with the loading direction, e.g., by e = a/]a] = ~P/]~P] . . . . , and
the matrix C may be expressed as:
- + + - - (8)
where 6~ is a unit matrix. This expression may be treated as a generalization

of the Baltov-Sawczuk tensor of plastic anisotropy for the case of the
distortional model, which is defined here by only four parameters: ]a[, R1,
R0, dl.
3 . 5 . 4 H O W T O USE T H E M O D E L
3.5.4.1 USE OF THE MODEL AS A YIELD CONDITION
The model may, first of all, be used to approximate experimental yield

surfaces. Most frequently this will be done for the yield surfaces investigated
in two-dimensional subspaces of the stress space (Eq. 1). In this case the
distortional model corresponding to general, nonproportional loads is defined
by seven parameters; e.g., for the al, a3 tension-torsion plane these are al, a3,
R1, R3, dl, d3, q~, where q) is the angle of rotation of the moving reference
frame, defining the rotation matrix.
These parameters may be identified using the numerical method of least-
squares approximation described in Reference [13]. A sufficient number of
experimental points of the yield surface, obtained in multiaxial tests, is
necessary to perform the identification. As shown in [13], the model describes
with good accuracy the experimental yield loci obtained for various materials
and for different experimental definitions of yielding, both for proportional
and nonproportional loading paths. Two examples are shown in Figure 3.5.2,
corresponding to two experimental methods of yield surface determination,
investigated either during the loading process (method of partial unloading,
Figure 3.5.2a) or after complete unloading (Fig. 3.5.2b). The model may also
be used as an anisotropic yield condition for the materials with previous
plastic working (e.g., after rolling [9]).
3.5.4.2 USE OF THE MODEL AS A HARDENING RULE
Two approaches may be outlined here. First, we may choose as hardening

variables the geometrical parameters of the yield surface, discussed previously,
and specify separate evolution equations describing translation, rotation, size
changes, and distortions of the yield surface. General and some specified
forms of such evolution equations, as well as the corresponding stress-
strain relations for this case, have been presented in Reference [10] and
applied in Reference [11] to the simulation of Bui's experimental results
shown in Figure 3.5.2b.
The second approach, still to be explored, may be termed "tensorial" and
consists in looking for a global evolution equation defining the parameters
contained in the matrix C in the distortional yield condition. The matrix C
itself is not convenient for this purpose, but may be presented as an inverse of
a certain matrix N,
C~/~ - N~-~1, with N ~ -- Q~Q~D(~) (9)
FIGURE 3.5.2 The distortional model as best-fit to experimental yield surfaces of pure aluminum for
nonproportional tension-torsion load paths. Experimental points according to (a) Phillips and Tang [15] - load
path OAA'BC, (b) Bui [161 - torsion under constant compression, load path tangent to the initial yield surface.
representing a second-order tensor in the stress vector space (corresponding

to a fourth-order tensor in physical coordinates) and linear in stress
components. This tensor may be presented in the general form
N~fl = a~fl + ( o~, - a~,) B~fl~, ( 1 O)
where the second-order tensor A~fl (fourth-order tensor in physical
coordinates) contains isotropic and affine anisotropic effects, and the third-
order tensor B~fl~, (sixth-order tensor in physical coordinates) is responsible
for the distortional effects. In this approach, the evolution equations must be
specified for these two tensors. As a hint and "prototype" for these evolution
equations, one may take the expression for the tensor N corresponding to the
case of proportional loading, where it can be derived from Eq. 8 in the
following finite form:
N~fl = k16~fl + k2e~efl + k3(a~ - a~,)e~efle~, (11)
where kl, k2, k3 ~ three scalar functions describing isotropic, affine, and
distortional effects are related to the geometrical parameters;
k l - R~, k 2 - R1z - R ~ - dlz, k 3 - 2dl, and should be specified from experi-
ments. In this second approach to the formulation of the distortional
hardening rule, further investigations should be directed toward a differential
or integral generalization of this expression that is valid for general
nonproportional loading paths and is combined with a relevant translation
rule for the back stress. Some proposals of such generalizations, formulated
for other distortional models (c.f. [5, 6]), could be reexamined in the context
of the present model.
REFERENCES
1. Williams, J. E, and Svensson, N.L. (1971). A rationally based yield criterion for work
hardening materials. Meccanica 6(2): 104-114.
2. Shiratori, E., Ikegami, K., and Yoshida, E (1979). Analysis of stress-strain relations by use of
an anisotropic hardening plastic potential. J. Mech. Phys. Solids 27: 213-229.
3. Ortiz, M. and Popov, E. P. (1983). Distortional hardening rules for metal plasticity. Trans.
ASCE, J. Eng. Mech. 109: 1042-1057.
4. Helling, D. E., and Miller A. K. (1987). The incorporation of yield surface distortion into a
unified constitutive model. Acta Mechanica, Part I 69: 9-23, Part II 72:39-53 (1988).
5. Watanabe, O. (1987). Anisotropic hardening law of plasticity using an internal time concept
(deformations of yield surfaces). Jap. Soc. Mech. Eng., Int. J. 30(264): 912-920.
6. Voyiadjis, G. Z., and Foroozesh, M. (1990). Anisotropic distortional yield model. J. Appl.
Mech. 57: 537-547.
7. Kurtyka, T., and Zyczkowski, M. (1985). A geometric description of distortional plastic
hardening of deviatoric materials. Arch. Mech. 37(4): 383-395.
8. Kurtyka, T., and Zyczkowski, M. (1984). Generalized Ilyushin's spaces for a more adequate
description of plastic hardening. Acta Mechanica 52, 1-13.
174 Kurtyka
9. Zyczkowski, M., and Kurtyka, T. (1990). A description of distortional plastic hardening of

anisotropic materials, in Yielding, Damage and Failure of Anisotropic Solids, pp. 97-111,
Boehler, J. P., ed., London: MEP.
10. Kurtyka, T., and Zyczkowski, M. (1996). Evolution equations for distortional plastic
hardening. Int. J. Plasticity 12(2): 191-213.
11. Zyczkowski, M., Kurtyka, T., and Wasik, K. (1995). Integration of evolution equations for
distortional plastic hardening. Math. Modelling and Scientific Computing 5(2-4): 257.
12. Ilyushin, A. A. (1963). Plasticity (in Russian), Moskva: Izd. AN SSSR.
13. Kurtyka, T. (1988). Parameter identification of a distortional model of subsequent yield
surfaces. Arch. Mech. 40(4): 433-454.
14. Kurtyka, T. (1990). Invariant formulation of a distortional model of plastic hardening. Mech.
Teor. Stos. 28: 115-131.
15. Phillips, A., and Tang, J. L. (1972). The effect of loading path on the yield surface at elevated
temperatures. Int. J. Solids Struct. 8: 463-474.
16. Bui, H. D. (1966). Ecrouissage des M&aux. C. R. Acad. Sc. Paris 262: 401-404.
SECTION 3.6
A Generalized Limit
Criterion with Application
to Strength, Yielding, and
Damage of Isotropic
Materials
HOLM ALTENBACH
Fachbereich Ingenieurwissenschaften, Martin-Luther-Universitdt Halle-Wittenberg, D-06099 Halle
(Saale), Germany
Contents
3.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
3.6.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
3.6.3 Description of the model . . . . . . . . . . . . . . . . . . . 177
3.6.4 Identification of the parameters . . . . . . . . . . . . 177
3.6.5 How to use the model . . . . . . . . . . . . . . . . . . . . . 179
3.6.6 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
3.6.1 VALIDITY
This is generalized equivalent stress criterion that is valid for materials in the
brittle or ductile state and that can be used to describe the beginning of
yielding, loss of strength or damage in structural elements, granular materials,
and so forth, that a r e subjected to multiaxial stress states. The criterion is
presented for isotropic materials and the case of m o n o t o n i c loading
conditions at constant temperatures. In addition, the t i m e - i n d e p e n d e n t
behavior is presumed. Finally, from the presented generalized criterion
various special cases can be d e d u c e d and the limits of their applicability can
be defined.

17 6 Ahenbach
3.6.2 BACKGROUND
The use of traditional engineering materials at elevated exploitation

conditions as well as the use of new materials (e.g., composites or special
alloys) requires the reformulation of the traditional limit criteria based on the
equivalent stress formulations. With the help of the equivalent stress, one can
compare critical multiaxial stress states in structural elements with the results
of mostly uniaxial materials tests. On the other hand, a general expression
based on some physical principles, etc., cannot be found. This is the reason
for the great number of engineering proposals which are established in the
literature. In uniaxial stress states, the material properties, such as the yield
stress point cry or the ultimative strength cry, are characteristics which allow
one to obtain, e.g., the beginning of yielding or the loss of strength. Both can
be obtained from the stress-strain curve (mostly the engineering stresses and
the engineering strains). In multiaxial (combined) stress states, we have to
define an equivalent stress criterion. Considering that both the material
properties characterizing the limit state cry, cry, etc., are scalars for the
comparison certain criterion must be introduced mathematically. The
criterion can be generally expressed as
f(crij;Ch) =0 (1)
The function f is a scalar-valued, non-negative, homogeneous function. Note

that the function f is a function of the stress tensor crij (i, j = 1, 2, 3) and
several material constants Ck (k = 1, . . . , n) for fitting available data from
tests. The main experimental information is based on data derived from
simple tests under the condition of atmospheric pressure and loaded in
tension, compression, and torsion (main tests in mechanical testing
materials). On the basis of these tests, it is impossible to give recommenda-
tions about the equivalent stress value if the materials are, working, e.g.,
under hydrostatic pressure conditions or if the level and the kind of stress
state have a significant influence on the material behavior. Experimental data
demonstrating such behavior are reported, for instance, in Reference [1].
Equivalent stress expressions for isotropic materials are introduced by
various authors. In general, they have the following form:
f (r r r G) = 0 (2)
where cri (i = I, II, III) are three independent invariants of the stress tensor.
There is no unique answer to the question of what kind of invariants must be
introduced: the principal stresses of the Haigh-Westergaard coordinates, etc.
Examples of such invariants are presented, e.g., in References [1, 3, 6].
3.6 A Generalized Limit Criterion 177
Consider that the limit (failure) state occurs if plastic behavior, loss of
stiffness, or damage starts. Then the following criterion can be introduced:
~q ___~ (3)
where aeq is the equivalent stress and a7 denotes a critical material properties
(limit value) estimated in the tension test. With the help of the introduced
inequality, we describe the equivalence between the uniaxial and the complex
material behavior. If aeq < or7 the structural element works, e.g., in the elastic
range (no plasticity) or we cannot obtain any failure. If r - - O"T we assume
the limit state for the given material.
Assuming isotropic behavior, the equivalent stress depends on the stress
tensor invariants only. Taking into account the various possibilities for
defining the stress tensor invariants below, we consider the following
invariants (Haigh-Westergaard coordinates):
9 the first invariant of the stress tensor I1 ~ r

9 the von Mises stress arm = V/3/2sijsij with sij the stress deviator; and
9 the angle of the stress state ~ with sin 3~ - - ( 9 / 2 ) Sij Sjk Ski/CTv3M, ]~] ~ n/6.
With respect to the introduced invariants, the following generalized

equivalent stress expression can be suggested [2]:
r --- '~1 CYvM sin~ + 22CrvMCOS~ + 23 arm +/~411 ~ 2511 sin~ + 2611 COS~ (4)
The 2m (m = 1, . . . , 6) are scalar parameters which should be determined

experimentally. Note that the generalized equivalent stress is sensitive, e.g., to
the influence of the hydrostatic pressure and the stress state (for instance,
tension or compression). The classical equivalent stress the von Mises
stress can be deduced if ,~3 = 1 and all other ,~m are vanishing. Assuming
the parameters to be constant, the proposed model is restricted by monotonic
loading, in addition, hardening behavior cannot be modeled.
The six unknown parameters in the equivalent stress expression can be

identified with the help of the following basic tests in which homogeneous
stress states can be assumed. In this case we can estimate the parameters as
functions of the material properties obtained in tests. Such material properties
are, for example, the first yielding (in the case of plastic behavior of ductile
materials) or the ultimative strength.
178 Ahenbach
Let us introduce three basic tests of the material testing:
9 uniaxial tension o11 - - 0 . T ;

9 uniaxial compression 0"11 - - - - 0 - C ; and
9 torsion O"12 D "~T.
Here 0-c and zr are the limit values of the material in the case of compression
or torsion.
In addition, we can introduce tests reflecting the complex behavior. The
introduction of such tests is not unique and depends on the experimental
facilities. Here we consider the following tests:
9 thin-walled tubular specimen under inside pressure with the stresses

20"11 - - 0"22 ~ 0"R;
9 biaxial tension (thin-walled tubular specimen loaded by inside pressure
and uniaxial tensile force) with the stresses 0-11 = F / A + 0.~/2, 0-22 = 0.~;
and
9 uniaxial tension superposed by hydrostatic pressure with the stresses
0"11 = F / A - q, 0"22 = 0"33 = - q .
0-R is the limit of the circumferential stress which can be calculated from
0-R - p R / h , p is the inside limit pressure, and R, h are the radius of the middle
surface and the thickness of the thin-walled tubular specimen. In the next
test, 0-c is the limit of the circumferential stress, F is the tensile force, and A
denotes the cross section area of the thin-walled tubular specimen. In this test
a special combination of the uniaxial force and the pressure must be fulfilled:
0 - 1 1 - 0 " 2 2 - 0-. with 0-, - p R / h . For the third test the following condition
must be valid: 0 . 1 1 - 2 / 3 0 - * * , 0 " 2 2 - 0 " 3 3 - - 1 / 3 0 . * * with 0 - * * - 3q (q
denotes the hydrostatic pressure). The last condition guarantees that the first
invariant vanishes.
For comparison we calculate for each test the invariants I1, 0"vM, and ~.
Finally, we put these values in the expression of the equivalent stress. For
example, in the case of uniaxial tension we obtain I1 --0"T, 0 " v M - 0"T, ~ =
-re/6, and
,~1 v/3 ,~5 V5

- - ~ - + --~--22 + 23 + 24 - -~- + --~-26 -- 1 (5)
Providing the same calculations for all other tests, we get six equations
(algebraic with respect to the unknown parameters 2m) containing six known
material properties identified by independent tests. The solution of this
3.6 A Generalized Limit C r i t e r i o n 179
system of equations can be presented as

/
26 __ 1 [ 4 ar - 2 a r - 3 + 3 a-----S-r a r
6-3v/3\ aR rr a** a.
24
\ aR rr
25 - 2 ( -1+
0"**
-24+v/3
-2-
(6)
(7 y
21 - - 1 + m + 224 + v/326
O-C
/~3 = 1 ( aT aT
2 -- v ~ \ 2O'.. TT
Note that, in the case of other tests for complex stress states, we obtain values
of the unknown 2m that are different from the presented solution.
3.6.5 H O W TO USE THE MODEL
The generalized criterion can be used for the description of the limit state
(beginning of plastic behavior, damage or loss of stiffness) for materials with a
behavior depending on the stress state. Examples are different behavior in
tension and in compression or if the hydrostatic stress state influence cannot
be ignored.
The proposed equivalent stress expression generalizes various well-known
classical criteria. The expression contains six parameters, and we can classify
the equivalent stress as a six-parameter criterion, which means that we need
for identification purposes six independent tests. Let us discuss the special
cases from the point of view of criteria with fewer parameters or based on
fewer independent tests. The Huber-von Mises-Hencky equivalent stress
mostly used in plasticity is based on one test that means
aeq = arm <_ ay (7)
At the same setting 23 = 1 and all other 2m = 0, we obtain the special criterion
from the general form if we take into account that a ; = ay. From the solution
of our system of equations we can now calculate with respect to the given
180 Ahenbach
values of ,~m in the case of H-M-H some relations for the material properties
O ' T - - O'T - - O'T ~ 1, ~ = v~ , ~ - -~- (8)

o"C o-, o-, , o-R 2 "~T
If these relations are fulfilled, we can conclude that the Huber-von Mises-
Hencky equivalent stress is valid. In other words, if we obtain these
combinations of limit values in tests, the use of the Huber-von Mises-Hencky
equivalent stress can be recommended; otherwise we have to consider another
expression for the equivalent stress. In Table 3.6.1 various criteria are
TABLE 3.6.1 Values of the Parameters ~,i, i = 1 , . . . , 6 in the Generalized Criterion in the
Case of Particular Criteia
Criterion ;tl 22 23 24 ,~5 26
One-Parameter criteria
H-M-H 0 0 1 0 0 0
C-T-V 0 2v~
3 0 0 0 0
Ma 21 v~
2 0 0 0 0
G-L - 51 v~
3 0 1 0 0
1 v/3 1 1 0 0
Sd -g 6 2
V-B 1+~
3 4 (1 4- v) 0 1-2~
3 0 0
Two-parameter criteria
Mo _l-x v~(z+l) 0 1-z 0 0

3 3
B-M 0 0 l+z
2 ~ 2- o o
C-P 0 o v~ a~/ 0 0
P-L z-1 v~(1-Z) 1-z 0 0

3 3 g 3
Sa 0 x/~(I+z) 0 o 0
3 2
K 0 2f(1- r q 0 0 0
Three-parameter criteria
P (2.~ - ~1 - ~ ) ~ (.1 - ~3) o 1 (al 4- a2 4- a3) 0 0
Ts bl b2 b3 0 0 0
H 3 a4-~ 0 0
Four-parameter criteria
B (2c2 - Cl - c3) 4(C1--C3) C4 1 (cl + c2 + c3) 0 0
Ta o dl 0 d2 d3 d4
3.6 A Generalized Limit Criterion 181
presented as special cases of the six-parameter-equivalent stress given here.

From the Table 3.6.2. one can get other information: the combinations of the
material's limit values for which the special expressions of the equivalent
stress can be recommended.
In both tables the following abbreviations are used:
9 H-M-H for the H u b e r - v o n Mises-Hencky criterion

0-eq ~ 0-vM
9 C-T-V for the C o u l o m b - T r e s c a - d e Saint Venant criterion

Tmax - 1(0-1 -- 0-3) or 0-eq - - 0-1 - - 0-3
9 Ma for the Mariotte criterion

0-eq -- 0-1 --~(0-2 4- 0-3)
1
9 G-L for the Galilei-Leibniz criterion

0-eq - - 0-1
9 Sd for the Sdobyrev criterion

0- eq __ 1 (0-vM 4- 0-1)
9 V-B for the de Saint Venant-Bach criterion

0-eq = 0-1 - - V(O'2 4- 0-3)
9 Mo for the Mohr criterion

m O'T
0- eq - - O"1 - - Z0-3, Z 7cc
9 B-M for the Botkin-Mirolyubov criterion

0-eq -- 1[(1 4- Z)0-vM 4- (1 -- X)I1]
9 D-P for the Drucker-Prager criterion (r/ --~r for recalculation of the
criterion)
~/~ v5
Tmax - - SijSij Jr- 0~I1 or 0-eq -- ~30-vM 4- ~/111 with r/ _
v5~+1
TABLE 3.6.2 Restrictions for the Material Characteristics in the Case of Particular Criteia
Criterion 9
OC
EI
TT
EI
UR
EL
O.
LL
a.s
One-parameter criteria
H-M-H 1 V'3 4 1 1
C-T-V 1 2 1 1 1
Ma 1
-
2
3
2
a 1
-
2
1
2
G-L 0 1 1 1 3
Sd 1
- & & 1 5
2 2 4 6
V-B v 1+v -
2-v
2 1-v 5 ( 1 + v)
Two-parameter criteria
Mo 1 1
B-M v%l+x)+3(1-x) %
4
C-P
P-L
Sa
K
TABLE 3.6.2 (continued)
- --
K
>
Criterion -
vc
or
-
ZT
Q
OR
EL
0.
LX
0 . . 6
Three-parameter criteria C
-.
Four-parameter criteria
i.
184 Altenbach
9 P-L for the Pisarenko-Lebedev criterion
Creq - - ZCrvM + (1 - Z)0"I
9 Sa for the Sandel criterion
O'eq -- O" I -4-1(1 - 2)0"2 - 20"3
9 K for the Koval'chuk criterion

2-r/ ~ o'r
ff eq - - qo'vM + (1 - q ) ( o " 1 - 0"3) , q 2_v/~, t']
9 P for the Paul criterion
ffeq - - a l O l -Jr-a202 -k- a303 with al- 1
9 Ts for the Tsvelodub criterion
~eq -- b l ~ v M sin~ + b2~rvMCOS~+ b3~rvM with -- bl 4- v ~ b 2 + 2b3 = 2
9 H for the Hayhurst criterion
(Teq -- 0~I1 q- ~ffvM -Jr- ~0"1 with c~+fl+7-1
9 B for the Birger cirterion
O'eq ~ C10-1 + C20"2 + C30"3 + C40"vM with C1 A t - C 4 - 1
TABLE 3.6.3 Relation between Limit Values in Tension and Compression [5]
Material
High=strength cast iron 0.2-0.3

Wrought iron 0.7-0.95
Grey cast iron 0.2-0.4
High=strength steel 0.9-1.0
Metal ceramics (tungsten carbide based) 0.1-0.4
Graphite 0.2-0.6
Glass 0.07-0.2
Note that in the case of H-M-H or the C-T-V criterion cr~/crc must be 1.
4.
6
TABLE 3.6.4 Ultimative Strength in Tension, Compression, and Torsion for Grey Cast Iron 141 3.
Material GG-15 GG-20 GG-25 GG-30 GG-35
Structure Ferritdperlite Perlite

Ultimative strength (tension), N/mm2 150-250 200-300 250-350 300-400 350450
Ultimative strength (compression), Nlmm2 600 720 840 960 1080
Ultimative strength (torsion), ~ / m m ~ 170 230 290 345 400
9 0.25-0.42 0.28-0.42 0.30-0.42 0.31-0.42 0.32-0.42
UT
ac
- 0.88-1.47 0.87-1.30 0.86-1.21 0.87-1.16 0.88-0.013
7T
Note that in the case of the H-M-H or the C-T-V criterion g T / z T - & = 1.73 or 2.
186 Altenbach
9 Ta for the T a r a s e n k o c r i t e r i o n
0-eq -- dl0-vMCOS~ + d211 4- d 3 I l s i n ~ 4- d4IlCOS~ with
v ~ d l 4- 2d2 - 2d3 + x/3d4 - 2
Here 0-i, i -- 1, 2, 3 denote the principal stresses (0-1 ~ 0-2 ~ 0-3) which can be
expressed by the introduced invariants as follows"
20-vMsin(~ + ~ ) + I1 20-vMsin~+ I1 20-vMsin(~ + ~ ) + I1
0-1 ~ ~ 0-2 m ~ 0-3 m
3 3 3
(9)
Note the restrictions of introduced parameters are included with respect to
the experimental facilities (here with respect to the proposed tests).
3.6.6 PARAMETERS
Tables 3.6.3 and 3.6.4 present experimental data for some materials for which
the generalized limit state criterion can be used.
REFERENCES
1. Altenbach, H., Altenbach, J., and Zolochevsky, A. (1995). Erweiterte Deformationsmodelle und
Versagenskriterien der Werkstoffmechanik, Stuttgart: Deutscher Verlag ffir Grundstoffindustrie.
2. Altenbach, H., and Zolochevsky, A. (1996). A generalized failure criterion for three-
dimensional behavior of isotropic materials. Engineering Fracture Mechanics 54(1): 75-90.
3. Chen, W., and Han, D. (1988). Plasticity for Structural Engineers. New York et al.: Springer.
4. Deutsches Institut fiir Normung, NormenausschuB GieBereiwesen: DIN 1691-GuBeisen mit
Lamellengraphit (Graugu~) (Mai 1985).
5. Lebedev, A., Koval'chuk, B., Giginyak, E, and Lamashevsky, V. (1983). Mechanical Properties of
Engineering Materials at Complex Stress States, Kiev: Naukova Dumka.
6. Zyczkowski, M. (1981). Combined Loadings in the Theory of Plasticity, Warszawa: PWNnPolish
scientific publisher.
SECTION3 - 7
Yield Conditions in Beams,
Plates, a n d S h e l l s
DANIEL C. DRUCKER
Department of Aerospace Engineering, Mechanics & Engineering Service, University of Florida, 231
Aerospace Building, Gainesville, Florida 32611
As discussed briefly in the section on isotropic yield criteria, the yield

condition of a ductile metal or alloy is a matter of definition and then
idealization as well. Inhomogeneity of test specimens at the grain level, stress
concentrations produced by inclusions and other discontinuities on the
microscale, and the presence of large numbers of mobile dislocations all
combine to produce small but detectable plastic strain at an early stage of
loading. The yield limit, expressed as a yield stress for uniaxial or shear
loading or as a yield function in stress space for more general loading, is then
determined by an offset of strain or deformation per unit length, or by an
alternative definition that gives a similar result. When the offset chosen is of
the size of the elastic strain, the yield limit is a stress level beyond which the
macroscopic plastic deformation that occurs is widespread and at most
weakly constrained by the elastic response of neighboring or distant regions.
In this conventional and useful approach to stress-strain relations, what is
labeled as pointwise behavior actually is the load-deformation behavior of a
small unit block of material containing a sufficient number of grains to
average out their quite different elastic and plastic responses along with the
many disturbances on the microscale.
The large initial and fabrication stresses present in most ductile structures
similarly induce some highly contained but observable local plastic
deformation on the macroscale well within what is nominally the purely
elastic range of response. As at the specimen level, a useful yield load
condition at the structural level is defined by a deflection or deformation
offset for the plastically deforming regions of the size of the elastic response. It
appropriately ignores not only the contained plastic action on the microscale
but also the early stages of the macroscopic plastic response in one or more
regions, a plastic response that initially is strongly constrained by the almost
purely elastic response of neighboring material. The yield limit so defined is
reached when enough regions deforming plastically are no longer so

188 Drucker
constrained by the remaining elastic regions nearby or far away that a plastic
(really elastic-plastic) deformation mechanism can operate.
A very useful picture for placing such a yield condition in proper
perspective is provided by plastic limit analysis. When the material is
idealized as rigid-perfectly plastic, the elastic strains go to zero (infinite
modulus) and the material does not workharden in the plastic range. No
deformation at all then takes place until the loads applied to the structure
reach the limit condition and excessive deformation or collapse occurs. With
the more realistic idealization of the material as elastic-perfectly plastic, and
(as is customary and almost always permissible) the equations of equilibrium
are satisfied in a fixed configuration, the same limit values and purely plastic
collapse mechanism apply because the stress everywhere remains unchanged
during collapse.
An initially stress-free elastic-perfectly plastic homogeneous straight beam
of rectangular cross section b x h under pure moment M serves as illustration.
As the moment is increased from zero within the purely elastic range, the
bending stress induced is linear with the distance from the neutral axis. The
yield limit stress O-y(= a0)will be reached at the extreme fiber when the
moment M reaches My = aobh2/6. Any appreciable initial stress present will
produce yield much earlier at one extreme fiber or the other. More and more
of the beam goes plastic as the moment is increased beyond the yield value.
The early plastic response is strongly constrained by the elastic response of
the remaining fibers. A further increase of the bending moment to 11aobh2/48
will still leave an elastic restraining core of half the depth of the beam. Full
plasticity with only an asymptotic vestige of purely elastic constraint requires
that M reach its limit of M0 = aobh2/4. This limit moment is 50% greater than
My, the moment at first yield in the absence of initial stress, which in turn is
greater than the moment producing yield in a beam with initial stress.
The moment-curvature plot for the elastic-perfectly plastic material idealiza-
tion only asymptotically flattens to zero slope at the limit moment as shown
(Fig. 3.7.1).
For an elastic-workhardening material, the moment-curvature plot in the
plastic range continues upward and looks like the stress-strain curve but with
a much earlier and more rounded transition from the initial high elastic slope
below initial yield ay at My = aybh2/6 to the very much flatter elastic-plastic
at larger M. Just as the stress-strain curve in tension may be idealized as elastic
or perfectly plastic at a limit stress equal to the offset yield stress a0 > ay, the
moment-curvature picture also can be so idealized at a limit moment M0
defined by an appropriate curvature offset of the size of the elastic curvature.
Mo = aobh2/4 will be a fair approximation.
Under a general transverse loading, the moment will vary along the beam.
Like the plot of moment vs. curvature, a load-deflection curve for a statically
3.7 Yield Conditions in Beams, Plates, and Shells 189
Mo
Curvature
FIGURE 3.7.1 Moment vs. curvature for an elastic or perfectly plastic material and a
workhardening material.
indeterminate beam also looks like a stress-strain curve but with a still earlier
and more gradual transition from the high slope elastic response to the
relatively fiat plastic response. The first reaching of the yield stress cry at the
extreme fiber at the most highly stressed cross section will be even less visible.
The yield load, defined by a deflection offset of the size of the elastic response,
will not be reached until enough cross sections are sufficiently close to fully
plastic that the response of the beam would be almost that of a mechanism
with plastic hinges. For example, under a uniformly distributed load q per
unit length, a fixed-ended initially stress-free beam of length L and uniform
cross section b • h will reach the initial yield stress Cry for the material at the
extreme fibers at the fixed end when the bending moment there, qL2/12,
reaches crybh2/6. As the load is increased further, the bending moments
everywhere along the beam increase and more and more of the cross sections
at and near the ends go plastic. When the end cross sections are fully plastic,
at a bending moment of M0, the response away from the ends will still be
primarily elastic. Not until the center section also reaches M0 and can operate
as a (workhardening) plastic hinge is a fully plastic mechanism possible.
In the perfectly plastic limit of no workhardening, when the limit moment
M0 is reached at the center and both ends, the load-deflection curve for the
beam goes fiat. The limit load q0, given exactly by qoL2/16 = M0 = crobh2/4
for the perfectly plastic idealization, is twice the load calculated to produce
first yield. With workhardening, the limit moment M0 for plastic yielding
across the full depth of the beam not only is well above crybh2/4, but
somewhat exceeds crobh2/4. As the load is increased, the end moments
190 Drucker
increase above their limit value for full plasticity on the cross section so that
the effective limit condition for the beam is not reached until this increase in
moment resistance due to workhardening also is overcome. Despite all this
complexity, the limit load calculated for perfectly plastic response with M0 =
~robh2/4 is a crude but not unreasonable measure of the yield load for the
workhardening beam as defined by an offset in the load-deflection plot of the
size of the elastic deflection.
The effect of shear force V on the limit condition can become important
when beams are very short or are loaded in some unusual way. When shear
forces are significant, they do reduce the limit moment and have an effect on
the moment-curvature relation in the plastic range. It is not strictly correct to
replace the simple limit moment condition of M - M0 with a single limiting
curve in combined moment and shear force space. The interaction of shear
and moment for each beam is different for different loading and support
conditions as well as for different yield limit criteria. For I-beams and WF-
beams it is easiest to use the simplification that the flanges take the bending
and the web carries the shear and so that they bypass the interaction. For a
rectangular cross section, although the interaction curves do change
somewhat with the loading and support conditions, the one relation M / M o --
1 - ( V / V o ) 4 is not a bad approximation for all, where Vo - ~robh/2 when the
Tresca criterion of yield is chosen. Most often the effect of the shear is small
enough to be ignored.
When detailed load-deflection calculations are required, they can be
obtained by computation with moment-curvature relations determined
directly by experiment or by full calculation from appropriate uniaxial
stress-strain curves and knowledge of the initial state of stress. On rare
occasions it may be desirable to obtain the history of stress and strain at some
critical point in a structure rather than dealing with generalized stresses and
strains such as moment and curvature. As computers and programs for their
use become more and more powerful, it becomes easier and easier to calculate
the stress produced at each point by the application of loads to a perfectly
elastic three-dimensional body of complex geometry. With knowledge of the
initial stress and the state of the material everywhere (or the assumption of
zero initial stress everywhere at zero load), and completely specified geometry
of structure and loading, the onset of yield can be determined for any yield
criterion that is chosen. However, accurate computation of the subsequent
history of the state of stress and strain under increasing load in the plastic
range is difficult and time-consuming with even the simplest yield criterion
and flow rule. Furthermore, our knowledge of the stress-strain behavior of
any material rarely if ever is complete enough to place much credence in the
details of the results of such computations with the most elaborate of criteria
chosen to match the data available. Fortunately, approximations that employ
such concepts as offset yield criteria and plastic limit loads are satisfactory for
analysis and design under most circumstances.
An alternative approach is to replace the elastic-plastic behavior with a
nonlinear elastic behavior that matches the stress-strain curve for increasing
loading in simple tension or shear. This pseudo-plastic assumption goes under
the name of deformation or total theory of plasticity and can give useful
results when the significant stresses everywhere continue to increase as the
load on the structure or element increases. It is far less demanding
computationally than the simplest of genuine plasticity approaches when
calculations are made of local stresses, strains, and displacements.
When the body is a structure composed of such elements as beams, plates,
and shells, the use of beam theory, plate theory, and shell theory makes for
great simplification over a true three-dimensional approach and provides a
very good assessment of first yield and of yield limit conditions. For plates
and shells, the analysis is in terms of generalized stresses such as bending
moments, twisting moments, and membrane normal and shear forces per unit
length of middle surface. Corresponding kinematic quantities or generalized
strains are curvature, twist, and membrane extensional and shear strains. The
usual linear elastic calculations have many valuable uses. However, the initial
yield they predict is unrealistic unless initial stress, elastic stress concentra-
tions at connections and changes of section, and imperfect geometry of
structure and loading are taken into account. Also, as for the rectangular
beam, little of importance happens when a point on the surface of a ductile
plates or shell yields. There usually is so much constraint in the elastic-plastic
regime that deviation from linear elastic response remains small at the
considerably higher load when a yield moment is first reached at one or more
cross sections located at some point or along some line in the middle surface.
Again the replacement of workhardening by perfect plasticity at an
appropriate offset yield level and of elastic-plastic calculations by plastic
limit theory permits a reasonable estimate of yield limit loads to be obtained
fairly easily, along with a clear picture of the essence of the response. An
alternative analysis based upon the substitution of nonlinear elasticity
(deformation theory) for plasticity (flow theory) also is computationally
tractable and may provide some useful insight.
The usual plate analysis considers bending moments Mx and My and
twisting moments Mxy--Myx per unit length of middle surface, or their
curvilinear coordinate counterparts, with in-plane or membrane forces taken
as zero. Transverse shear does not appear in elementary plate analysis or in
the traditional limit condition. The moments produce a state of plane stress
parallel to the middle surface at each point of the plate. Initial, highly
constrained, yield at the top and bottom of the plate and the much later
condition of full plasticity throughout the depth of the plate therefore are
19 2 Drucker
governed by the same criteria as for plane stress with 6Mx/h 2 or 4Mx/h 2
replacing ax, and similar replacement of My for ay, and Mxy for axy. On the
assumption of initially isotropic material with isotropic hardening, the picture
of yield limit curves in the two-dimensional principal bending moment space
M1 vs. M2 is just like the picture in two-dimensional principal stress space,
concentric Mises ellipses or Tresca hexagons or something between them. In
the three-dimensional space (Mx, My, Mxy) it becomes a set of concentric
surfaces. Its section by the plane My = 0 or by Mx = 0 is a concentric set of
ellipses with major to minor axes in a 2 to 1 ratio for the Tresca and a square
root of 3 ratio for the Mises, just as for the plot of one normal stress ax or ay
vs. shear stress axy.
Adding membrane forces to the bending and twisting moment components
adds greatly to the complexity of the yield condition. Membrane forces do
occur in plates but can usually be ignored as secondary quantities, unless the
plates are subject to special in-plane loading or undergo large deflections.
However, one or more will be among the primary quantities for shells under
load. In general, the plastic as well as the elastic analysis and design of shells
requires consideration of six components of generalized stress, the three
membrane force components along with the three moment components
whose principal axes need not coincide with those of the membrane forces.
Except for a few important simple geometries and loadings, precise step-by-
step computation of the generalized strains (curvatures and in-plane strains)
and displacements under changing load in the plastic range is very time-
consuming, even with the assumption of zero initial stress and initial isotropy
along with isotropic workhardening.
As discussed for the beam, a reasonable estimate of a yield load condition
(corresponding to a deflection offset of the size of the elastic deflection) may
be obtained from limit analysis with a perfectly plastic yield limit surface for
the six components of generalized stress. In principle, such a yield limit
surface may be determined by experiment with appropriate offset of elastic
magnitude for the generalized strains, a far from trivial extension of the
previously described determination of M0 from a moment-curvature
experiment. The extension of the calculation of M0 = aobh2/4 for a beam is
a far more attractive option. For a plate or shell element (the beam is a special
case), the desired perfectly plastic yield limit surface in generalized stress
space is determined by the perfectly plastic yield limit stress surface in
conventional stress space that is selected. Each combination of generalized
plastic strains gives a linear variation of plastic strains through the thickness
of the plate or shell element. These local plastic strains determine the local
states of limit stress from which the generalized stresses corresponding to
each choice of generalized plastic strains can be computed directly. The
resulting yield limit surface in six dimensions and its two- and three-
dimensional sections as well are likely to be of quite complicated geometry

and not well suited for computation. Upper and lower bounding surfaces
(circumscribed or inscribed figures) or some reasonable approximation to
simplify the computations often are employed instead.
Unless the geometry and the loading are very simple, computation of the
details of the load-deflection behavior of workhardening plates and shells is a
very long and tedious incremental process with the most tractable of elastic-
plastic relations between generalized stress and strain. When the path of
loading leads to continually increasing (generalized) stresses in the most
important regions, replacement of the elastic-plastic response by a nonlinear
elastic relation between generalized stresses and generalized strains may
provide a useful alternative means of computation of load-deflection relations.
A number of limit load solutions for rotationally symmetric plates and
shells under axially symmetric loading can be obtained directly from
substitution of the yield limit condition in the equations of equilibrium
without explicit consideration of the geometry of the deformation. These
"statically determinate" examples are of direct use and may be of help in
estimating limit loads for more complicated problems.
A plate of radius R and uniform thickness h supported by a concentric
circular ring of radius a and subjected to a radially symmetric transverse load
provides a simple instructive example. The differential equation of
equilibrium relating the radial and the circumferential bending moments
per unit length (the generalized stresses) to the loads is an ordinary
differential equation in the radius r. When the region of the plate within the
supporting ring is fully plastic, the yield condition that is chosen gives the
radial moment in terms of the circumferential moment. The resulting one-
dimensional equilibrium equation in the circumferential moment may be
integrated (numerically if necessary) outwards from the plastically isotropic
center of the plate where the bending moment per unit length is M0 on all
transverse planes. With the offset yield strength in simple tension a0 taken as
the yield limit for the perfectly plastic idealization, M0 -- aoh2/4.
When the transverse loading is a uniform pressure p over the radius a and
the Tresca (maximum shear stress) criterion is chosen, the yield limit pressure
P0 ranges from 6Mo/a2 for R/a = 1 (simply supported at r - a) to 1.88 times
as much for a fixed support when R/a is equal to or greater than the natural
log base e(=2.718). The overhang region deforms plastically in the
intermediate range but remains rigid during collapse when R/a exceeds e.
A long thin cylindrical shell of radius R and wall thickness h deforming
plastically under axisymmetric outward radial loading was the first plastic
shell problem studied. It is similarly "statically determinate." The yield limit
curve in the two-dimensional generalized stress space of circumferential force
per unit axial length (in general not acting at the middle surface) and axial
194 Drucker
bending moment per unit of circumference is obtained easily from any

isotropic yield limit in two-dimensional stress space. Substitution for the
circumferential force in the equation of equilibrium gives an ordinary
differential equation for the axial moment which can be solved analytically or
integrated numerically. I chose the Tresca yield condition for convenience and
determined the plastic yield limit for an outward ring loading of P per unit
length of circumference to be 1.82 Cro(h/R)(Rh)1/2. For a band of uniform
outward pressure p per unit of area over a length 2c that is large compared
with the characteristic length of the shell, (Rh)1/2, the plastic limit pressure is
reached when the hoop stress pR/h over the central portion of the loaded
region reaches cr0. For a narrow band of uniform pressure, 2c much less than
(R/h) 1/2, the plastic yield limit P - p(2c) is increased over the plastic limit for
a concentrated ring loading by only one fourth of 2c(croh/R).
The next level of complexity involves the three-dimensional picture of
yield limit surfaces and plastic limit loads for an axisymmetric pressure-
loaded shell with two components of membrane force and one active moment.
A thin cylindrical vessel with a thin torispherical head subject to interior
pressure was analyzed by Shield and Drucker, who employed a hexagonal
prism approximation for the yield limit surface for simplicity, based on a
Tresca yield condition. We explained the very worrisome catastrophic
fractures that occurred in large storage tanks by showing that plastic limit
loads were exceeded when thin vessels were designed according to rules that
are entirely satisfactory for boilers and other thick pressure vessels. So-called
brittle fracture is all too likely in structures of ordinary steel at or below near
freezing temperatures when limit loads are exceeded.
The smoother but more complex yield limit surface in three dimensions for
a perfectly plastic material obeying the Mises yield condition was given by
Onat and Prager. For still more complicated loadings and shell geometries,
the limit surface exists in a higher dimensional space. With a very few
exceptions, yield load limits for shells cannot be determined exactly even
when highly simplified yield limit surfaces in generalized stress space are
chosen and powerful techniques of computation are employed. Plates are far
simpler than shells, but they too are generally too difficult. Limit loads based
upon perfect plasticity do provide reasonable approximations to the desired
yield loads. They in turn can be approximated using either or both the upper
(kinematic) and lower bound (equilibrium) theorems.
CHAPTER 4
Plasticity
SECTION q.1
I n t r o d u c t i o n to
Plasticity
JEAN LEMAITRE
Universit~ Paris 6, LMT-Cachan, 61 avenue du PrEsident Wilson, 94235 Cachan Cedex, France
Plasticity is the process by which solids change their shape in equilibrium

with loading and permanently after unloading. This behavior is not explicitly
related to time. In metals it is due to irreversible movements of dislocations
inducing slips. The corresponding plastic or permanent strains may be very
large in comparison to elastic strains: up to several hundred times in metal
forming. However, they do not modify the phenomenon of elasticity related
only to relative movements of atoms.
The main features of plastic deformations are as follows:
9 The existence of a yield stress (~y in pure tension) below which a

variation of stresses induces only elastic deformations (see Chapter 3).
9 Plastic incompressibility. The plastic strains eijP do not involve any volume
change (which is not the case for the elastic strains).
v --0
gkk
(1)
Furthermore, to a large extent, they are not sensitive to pressure or

hydrostatic stress: a~ = akk/3. This allows one to write the constitutive
equations of plasticity as a function of the stress deviator.
- - (2)
9 In three dimensions the yield function which represents the yield

phenomenon plays a major role because it is used as a potential, the
loading function f, to derive the plastic strain rate ~/~ through the
normality rule
- Of(aD'J)2Oaijif{ ff ----O0
~3ij'v-- 0 iff < 0 orf < 0 (3)
Handbook of Materials Behavior Models. ISBN 0-12o443341o3.

198 Lemaitre
being the plastic multiplier determined by the consistency condition

f=0.
The existence of hardening, i.e., the actual yield stress as, is always
associated with the highest level of stress which has been applied, Cry
being the initial yield stress, f = 0 means that the state of stress has
reached the largest previous value, f - 0 means that the state of stress
increases and induces the same increase of the yield stress. Often,
plasticity models differ by the choice of hardening variables. A simple
hardening law for slip at the level of single crystals can describe realistic
hardening of polycrystalline materials after appropriate homogenization
over many differently oriented crystals. Examples of such homogeniza-
tion procedures are the self-consistent model (Section 4.2) or the finite
element method (Section 4.3). The phenomenological method based
directly on the thermodynamics of irreversible processes introduces a
scalar variable of isotropic hardening and a tensorial variable of kinematic
hardening (Section 4.4) or more through multisurface theory (Section
4.5). Nevertheless, it is not enough when modeling additional
phenomena such as recovery and racheting, which need more complex
kinematic hardening rules (see Sections 4.6 and 4.7). Large deformations
needed for metal forming are described in Section 4.8. All previous
sections are more or less devoted to metals; the special case of the
plasticity of polymers may be found in Section 4.9. In usual plasticity, the
strain rate plays little role, but this is not the case in dynamic plasticity if
the strain rate is above 10 or 100 S-I, as in car crashes or high-speed
perforations. Then the stress is an increasing function of the strain rate in
some way similar to viscoplasticity (see Section 4.10). When softening
occurs, as in the large strain range or by coupling with damage, the
phenomenon of localization may occur (Section 4.11). The width of the
resulting shear bands and some effects of the microstructure may be
captured by the introduction of strain gradients (see Section 4.12).
SECTION 4.2
Elastoplasticity of Metallic
Polycrystals by the
Self-Consistent Model
M. BERVEILLER
Laboratoire de Physique et M~canique des Mat~riaux, lie du Saulcy, 57045 Metz Cedex, France
Contents
4.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
4.2.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
4.2.2.1 Single-Crystal Behavior . . . . . . . . . . . . . . . 199
4.2.2.2 Integral Equation for ~(r) and v~(r) .... 201
4.2.2.3 Self-Consistent Approximation . . . . . . . . 201
4..2.3 How to Use a Self-Consistent Model . . . . . . . 202
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
4.2.1 VALIDITY
The self-consistent model constitutes a simple way of predicting the

effective behavior of inhomogeneous media, especially for metallic poly-
crystals, for which it may be considered a "good" approximation. In the case
of elastoplasticity, self-consistent modeling allows one to take into account
texture transformations, development of second-order internal stresses,
intragranular hardening, and so forth. All these p h e n o m e n a are strongly
path-dependent.
4.2.2 B A C K G R O U N D
4.2.2.1 SINGLE-CRYSTAL BEHAVIOR
The single crystal behavior is specified for mechanisms like crystal-

lographic slip on slip systems (g) with n g and m g the unit slip plane and slip

200 Berveiller
direction vectors, respectively. If ~g denotes the slip rate on system g, the

corresponding plastic strain rate in the case of multislip is given by
gq/g with g l(mgin~4-m~nig )

g
and the plastic spin is
w,j" - with s,jg - l (m~n~"_ " - m _~ n i g) (2)

g
From the definition of the intrinsic dissipation d = aij~,Pij, the resolved shear
stress rg = aijR~ on a slip system appears as the driving force for the flux ~g.
The dynamics of slip are assumed to follow the Schmid law, which defines a
critical shear stress rg as depending on the amount of slip ~h on all the
systems.
One arrives at the following flow rules"
~g--o ifzg<z g
~g - 0 if l:g -- ~:c
g and ig < ig (3)
~g>o if~:g-l: g a n d i g - i g
The change of z~g with 7h defines the hardening matrix:
if - Iqghgh (4)
The elastoplastic tangent moduli 1 defined by 6 ( r ) - l ( r ) ' ~ . ( r ) is obtained

from the following additional equations where C are the elastic moduli:
- (5)
~p - ~-~R9
One obtains
lijhl - Cijhz - ~ c'..

"~Jevpg
>q .~/~gh~h
. . . ~n. CmnhZ (6)
g,h
where M gh is the inverse of pgh _ Hgh 4- RpqCpq,.sR,.

g hs.
The apparently simple tensor 1 is, in fact, complicated since it depends on
the active slip systems, on the stress state as well as the loading path. For
polycrystals or polyphased materials, 1 depends on the orientation of the local
lattices.
4.2 Elastoplasticity of Metallic Polycrystals by the Self-Consistent Model 201
4.2.2.2 INTEGRAL EQUATION FOR ~(F) AND 1~r
The polycrystal is submitted at its external boundary to a velocity

fi(r) = (/~ 4 - ~ / ) : x so that the overall strain and spin rates /~ 4- W are
uniform. A given/~ 4- ~ / i s responsible for local fields +(r) and 6-(r), which
have to satisfy
equilibrium condtions (rijj = 0 (7)
1
compatibility relations gij -- -~ (bli 0 4- Rj,i) (8)
constitutive equations d(r) = l(r): ~(r) (9)

A fictitious homogeneous medium with tangent moduli L~ is introduced,
leading to fluctuations al satisfying
81(r) = l(r) - L~ (10)
Equilibrium and constitutive Eqs. 7-9 yield to a Navier-type equation:
0 9 j 4- ( cSlijkZkkl),j - - 0
LijkzUk,l (11)
which is transformed into an integral equation thanks to the Green tensor G O

of the homogeneous medium:
~(r) = E + ~ r ~ ( r - r') 9al(r') 9~(r')dV' (12)
#(r) = w + s r (r- r'). az(r') 9 (13)

where F s and F A are the symmetrical and antisymmetrical parts of the
modified Green functions, defined from the usual Green function G o by
s 1 A 1 0 0
Fijk' = 2 (Gi~ 4- Gj~ and Fijkl - --~(Gikol - Gjh,i,).
The solution of the integral Eq. 12 allows one to calculate the strain rate
concentration tensor A(r) and then the effective tangent moduli of the VER by
Le= l: A. Eq. 13 allows one to calculate the local total and elastic spin
(v~ and w~) needed for the evolution of the lattices orientation.
4.2.2.3 SELF-CONSISTENT APPROXIMATION
The exact solution of Eq. 12 is not easy to get in the general case, and various
approximations are introduced.
202 BerveiUer
The Taylor-Lin model assumes that ~ =/~ and v~ -- W so that L e = l.

In order to build the self-consistent model, the elementary problem of an
inhomogeneous and ellipsoidal inclusion with volume Vi and tangent moduli
li within a homogeneous matrix with moduli L~ has to be solved.
From Eq. 12, one gets
- E+ f . - l - I. ~ (14)
Jv i
It is well known from Eshelby [3] that ~ is uniform inside an ellipsoidal
inclusion, so that the solution of Eq. 14 is given by
~i E ~ Tii : (l i - L0): ~i (15)
where the interaction tensor T ii depends only on the shape of the inclusion
and the tangent moduli L~
The self-consistent approximation of Eq. 12 is obtained with a tangent
moduli L~ of the reference medium that is chosen equal to the effective
medium L e so that the consistency condition c5l : ~ -- 0 or L~ -- Le is satisfied.
4.2.3 HOW TO USE A SELF-CONSISTENT

MODEL
In the case of metallic polycrystals, the development or use of a self-consistent

model requires the following:
9 the characterization of the microstructure: shape, size, and orientation of
the grains (represented by ellipsoidal inclusions), orientation of the lattices
(initial texture);
9 the definition of (isotropic or anisotropic) elastic moduli of the single
crystal;
9 the definition of the mechanisms: number and orientation of the slip
systems, associated Burgers vector, and the parameters describing the inelastic
behavior: initial critical shear stress, elements of the hardening matrix. Some
of these values are well established from metallographic experiments on single
crystals. Other material parameters can be measured on single crystals or
identified by inverse methods using experimental results on a polycrystal.
REFERENCES
1. Berveiller, M., and Zaoui, A. (1979).J. Mech. Phys. Solids 26: 325-344.
2. Berveiller, M., and Zaoui A. (1984).J. Engng. Mat. Technology 106: 295-298.
4.2 Elastoplasticity of Metallic Polycrystals by the Self-Consistent Model 203
3. Eshelby, J.D. (1957). Proc. R. Soc. (London) 241: 376-396.

4. Hill, R. (1965). J. Mech. Phys. Solids, 13: 89-101.
5. Lipinski, P., Krier, J., and Berveiller, M. (1990). Rev. Phys. Appl. 25: 361-388.
6. Lipinski, P., Berveiller, M. Reubrez, E., and Morreale, J. (1995). Arch. Applied Mech. 65: 231-
311.
SECTION 4 .3
Anisotropic
Elastoplastic Model
Based on Texture
ANNE MARIE HABRAKEN
D~partement MSM, Universit~ de Liege, 1, chemin des chevreuils bfit.B52/3, 4000 Liege, Belgium
Contents
4.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
4.3.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
4.3.3 Description of the model . . . . . . . . . . . . . . . . . . . 206
4.3.3.1 Stress-Strain Interpolation Model . . . . . 206
4.3.3.2 Stress Integration Scheme . . . . . . . . . . . . 208
4.3.3.3 Implementation of the Texture
Updating . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
4.3.4 Identification of the Material Parameters . . . . 209
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
4.3.1 VALIDITY
This model predicts the anisotropic plastic behavior of metals on the basis of
their crystallographic texture. It is dedicated to polycrystalline materials.
Starting from the initial texture of the material, the model computes the
texture updating due to plastic strain and takes it into account to define
plastic behavior during the whole finite element simulation. At this stage, the
model is available for face-centered (f.c.c.) and body-centred cubic (b.c.c.)
metals but can be adapted to hexagonal compact lattices. Beneath this plastic
model, a power-type isotropic hardening law and an isotropic elastic behavior
are implemented.

4.3 Anisotropic Elastoplastic Model Based on Texture 205
4.3.2 FORMULATION
In order to take the texture of the material into account during a finite
element simulation, we use the full constraint (FC) Taylor model, which is
summarized in text following.
The velocity gradient L defined into a single crystal (which is assumed to
be the same as the macroscopic one in an FC model) can be decomposed in a
slip-induced part and in a rate of crystal lattice rotation coL"
__k -- K s 9Ys + ~x. (1)
where Ks are matrices constructed from the slip plane and the slip direction of
each slip system, and 9s is the associated slip rate. Einstein summation is
applied on s, representing one slip system.
The velocity gradient may be split into a deviatoric strain rate and a rate of
rigid body rotation:
{ ~ - sym(L) - As. fs (2)
~_ - shw(I_) - ~ ~ +~_L (3)

---(DP
with A~ - ~ym(~) and Z~ - ~kw(K~).

The resolved shear stress acting on a slip system can be derived by
projecting the microscopic stress on the corresponding As matrix:
zs -- As" ~ (4)
The yield locus of a single crystal is then defined by the Schmid law:
-'rLs <- ~s <- ~ +~s ~ - ~Ls -< A=s ' ~ -< ~ + s (5)
where ~:___s
C
are the so-called critical resolved shear stresses.
Equal signs hold for plastic deformation, while the inequalities delimit the
elastic domain.
Several different combinations of slip rates may achieve the prescribed
strain rate according to Eq. 2. Taylor's principle states that only the one which
minimizes the frictional power dissipation in the slip systems is chosen:
Pz -- ~ " I f s l - min (6)
In order to solve the minimization defined in Eq. 6 with the constraint of

Eq. 2, we use a linear programming algorithm which computes the slip rates
Ys and gives the microscopic stress [5].
206 Habraken
The macroscopic stress of the polycrystal is computed by averaging the

microscopic stress on each crystal. In addition to providing the crystal lattice
rotation for each crystal, the Taylor model also allows for the texture
updating.
The method based on the Taylor assumptions described in the previous

paragraph is able to compute the elastic limit in the deviatoric stress space for
a particular prescribed strain rate; this is in fact one point of the yield locus.
To use it in a finite element code, we have developed an approach where the
yield locus is obtained by interpolation between points computed by the
Taylor model.
In order to reduce the amount of computation, our model does not know
the whole yield locus; only the interesting part of it is computed. So, only this
small part will be updated during texture evolution.
In the first stage, the interesting part of the yield locus was represented by a
set of hyperplanes, each one being a plane defined in the five-dimensional
deviatoric stress space. As has been shown [1], the yield locus discontinuities
bred by this very simple interpolation method result in convergence problems
in the finite element code. That is the reason why a second method has been
developed.
For that second approach, no yield locus is defined and a direct stress-strain
interpolation between Taylor points is achieved. In this case, the stress and the
plastic strain rate continuity conditions are fulfilled, but, since there is no yield
locus formulation, a particular stress integration scheme has to be used.
4.3.3.1 STRESS-STRAIN INTERPOLATION MODEL
This model is particular in the sense that it does not use a yield locus
formulation, neither for the interpolation nor in the stress integration scheme.
We use a linear stress-strain interpolation, described by Eq. 7.
o" --1: . C , u (7)
In this equation, _~ is a five-dimensional vector containing the deviatoric part

of the stress; the hydrostatic part is elastically computed according to Hooke's
law. The five-dimensional vector u is the deviatoric plastic strain rate
direction; it is a unit vector. The ~ is a scalar describing the workhardening
according to the exponential relationship of Eq. 8, Where the strength
4.3 A n i s o t r o p i c E l a s t o p l a s t i c M o d e l Based on T e x t u r e 207
coefficient K, the offset F ~ and the hardening exponent n are material

parameters fitted to experimental data and F is the polycrystal induced slip.
The z is used as the common critical resolved shear stress for all the slip
systems in the Taylor model.
- K. (r ~ + r)" (8)
The interpolation is included in the matrix C of Eq. 7 and is based on the

following method. We assume five directions: _ui (i=1,..., 5), advisedly chosen
in the deviatoric strain rate space and the associated deviatoric stresses -r
(i=1,..., 5) lying on the yield surface according to the Taylor model. These
points will define the interpolation domain and will be called stress nodes.
The size of the interpolation domain is characterized by the angle between the
stress nodes and is a very important parameter for the model. Additionally, we
compute the contravariant vectors ssi and u u i defined by Eqs. 9 and 10.
ss~o c~j - a~j (9)
u u i e uj -- aij (10)
With the use of those contravariant vectors we define intrinsic coordinates in
the interpolation domain for any stress vector or* by projection according to
Eq. 11 and for any plastic strain rate direction u* with Eq. 12.
rli - - or* 9 ssi (11)
rli - u* 9 uui (12)

The most important property of our stress-strain interpolation states that if
the stress if* and the plastic strain rate direction u* physically correspond to
the same point, then the intrinsic coordinates/']i computed for or* (Eq. 11) or
for u* (Eq. 12) are equal.
The interpolation is achieved with the use of those intrinsic coordinates to
compute the stress or the strain rate with a common formulation:
o- - ~ r/i 9/cr (13)
i
u -- ~ ~/i" u/ (14)
i
Putting together Eqs. 12 and 13 and the workhardening coefficient, we can

compute the stress associated with a plastic strain rate direction and get the
expression of the interpolation matrix C:
-- T, " ~ ~7i 9 U l l i 9 ~_
i ~ (15)
=C
208 Habraken
As long as the interpolation is achieved in the domain delimited by the five

stress nodes, all the five t]i must remain between 0 and 1. When one of the five
/]i becomes negative, it means that the current stress is out of the domain and
an updating of the stress nodes must take place. The first applied updating
method consists in finding five new stress nodes defining a new domain that
contains the current stress direction. The improved updating method makes
use of the adjacent domain. Therefore, only one new stress node is computed
with the Taylor model, and four of the five old stress nodes are kept for the
interpolation. The main advantages of this method are that it requires only
one (instead of five) Taylor model call for an updating and it improves the
continuity of the resulting yield locus and the continuity of its normal. A
drawback is that it can only be used when the adjacent domain contains the
current stress and then gives rise to positive intrinsic coordinates. This
condition is satisfied when the stress evolves smoothly, which is often the case
during a finite element simulation.
4.3.3.2 STRESS INTEGRATION SCHEME
As already mentioned, the stress integration scheme implemented with the

stress-strain interpolation method is completely different from the classical
radial return with elastic predictor; the main ideas are summarized in
Figure 4.3.1, where, obviously, no yield locus formulation is used.
As has been observed during several finite element simulations, this stress
integration scheme is well adapted for a local yield locus description and
induces a reasonable number updating processes of the interpolation domain.
4.3.3.3 IMPLEMENTATION OF THE TEXTURE UPDATING
In this model, not only is the texture used to predict the plastic behavior of
the material, but the strain history of each integration point is taken into
account in order to update the texture.
The main ideas of the implementation are summarized in Figure 4.3.2.
It should be noticed that the constitutive law is based on the
interpolation method described earlier and on the Taylor model applied on
the actual set of crystallographic orientations. These orientations are
represented with the help of the Euler angles ranging from 0 to 360 ~ for (o1
and from 0 to 90 ~ for (o and (o2 so as to take crystal cubic symmetry into
account but not the sample symmetry. A second loop on the elements and on
the integration points has been added to achieve texture updating only on
converged time steps.
Initial stress state: gA

Prescribed total strain rate" _
~V
Compute a 1st approximation of the plastic strain
rate direction: u..U_approx
I-,,
Compute the final stress state: (~B according to

Uapprox and the input data
~v
Use the stress-strain interpolation method to find
UB associated to ( ~ B
)._
UB is the new I
approximation
I
lEnd
FIGURE 4.3.1 Stress-strain interpolation method: stress integration scheme.
During a large finite element simulation, it is not reasonable to achieve a

texture updating for each integration point and at the end of each time step.
That is why an updating criterion must be used to reduce computation time.
This is still under investigation; at this stage, an updating occurs after a
predefined number of time steps. A criterion based on a maximum cumulated
plastic strain will also be examined.
The lattice rotation of each crystal coL is computed with the Taylor model
by subtracting the slip-induced spin coP from the rigid body rotation co
included in the strain history. This can be directly deduced from the Taylor
rotation composition equation (Eq. 3).

PARAMETERS
This model makes use of different aspects of the material properties: the
elastic properties, the hardening behavior, the crystallographic texture, and
the structure of the crystal lattice.
Since the elastic and the hardening behavior are supposed to be isotropic,
they can be obtained from classical tensile tests.
210 Habraken
Initial Texture Data "13

?
"o
Orientation Distribution Function o

o
tD
ta
ta
o
Set of Crystallographic Orientations
Loop on the Steps
Loop on the Iterations
Loop on the Elements "!1

m .
Loop on the Integration Points

m
[~ Constitutive Law
m
tD
3
o
2nd Loop on the Elements and Integration Points o
IE~ Test if texture updating is necessary

N ~> Updating process of the Set of Crystallographic
Orientations according the strain history
F I G U R E 4.3.2 Flowchart of the finite e l e m e n t code.
The initial texture of the material can be measured with a x-ray method. It
is characterized by the C-coefficients of the orientation distribution function,
and a representative set of crystallographic orientations must be computed
from the measured texture [4].
Finally, the permitted slip systems of the crystal lattice must be introduced
in the Taylor model data. For b.c.c, metals, we use the 24 {1 1 0} (1 1 1) and
{1 1 2} (1 1 1) slip systems; for f.c.c, metals, the 12 {1 1 1} ~1 1 0) permitted
slip systems are imposed.
Since this method uses a refined representation of the plastic behavior, it

requires some particularities in its implementation in a finite element code.
12
11 I ....~
10 ,~::::~. .........~.............~ ,
........%: .........
,, :~i~ ........ - ............. ~ ! , ..............
'~;:~....
i:~ ~";:"~".................... "-'-~........... 6 different
"" . . . . . . ~,..,::...:,.:~_ :~:., ............. ~ ..............
~ ............... cases
I .........~...'...-.......... ~........ ""~"~

........I....... gradients
l ...................................
~'..~ ~i~~., ~ / for 2 steels)
.t...............
............ iiii;il...................................................
:::':':=/~!!~:=~,i ~..'~'~",~:~
...........
................ ~ ~ " M "e a 0n error
" = value
........ ......................-2<:
.................
........................... .......................
....
,--;:..;..:...:::::::::,..,..,o..,..,~=
9 "-.~.~,~,,,S-.~'~ ~ .....'-.~
................................
10 100 1000 10000

Number of crystallographic orientations
FIGURE 4.3.3 Influence of the number of crystal orientations on accuracy (the reference
result is taken as the one computed with 40,000 orientations).
First, it needs a large computation time. Indeed, when a new interpolation

domain must be computed or when texture updating takes place, the
Taylor model is called for each crystallographic orientation of the
representative set and this can occur at each integration point of the finite
element mesh. Figure 4.3.3 shows that the number of those orientations should
not be smaller than 2000 in order to be accurate (mean error smaller than 1%),
and the number of integration points can also be very high, depending on the
structure to model.
It should also be noted that this model needs a lot of disk space because
one must store the three Euler angles of each crystallographic orientation;
furthermore, since the texture evolution can be different from one point to
another, one must store those orientations for each integration point. In order
to achieve the texture updating, the strain history of each integration point
must also be stored.
For the interpolation method, the five points (7i -- _[/i (i=1,..., 5) computed
by the Taylor model must also be stored in internal variable between the
updating processes of the domain.
The last particular point of this model is that a second loop on
the elements and integration points (see Fig. 4.3.2) is required when the
time step is converged to perform texture updating. So, a subroutine devoted
to texture updating has been added in the finite element code.
212 Habraken
ACKNOWLEDGEMENTS
T h e r e s e a r c h t e a m of P r o f e s s o r P a u l Van H o u t t e is a c k n o w l e d g e d for
providing us with the texture analysis modules.
REFERENCES
1. Duch~ne, L., Godinas, A., and Habraken, A. M. (1999). Metal Plastic Behaviour Linked to
Texture Analysis and FEM Method, Proc. 4 th Int. Conf.: NUMISHEET'99.
2. Duch~ne, L., Godinas, A., and Habraken, A. M. (1999). Texture Effects on Steel Sheet Behaviour
Under Large Strain Simulations, Proc. 12 th Int. Conf.: ICOTOM'12.
3. Munhoven, S., Habraken, A. M., Van Bael, A., and Winters, J. (1996). Anisotropic Finite Element
Analysis Based on Texture, Proc. 3 ra Int. Conf.: NUMISHEET'96, pp. 112-119.
4. Toth, L. S., and Van Houtte, P. (1992). Discretization techniques for orientation distribution
function. Textures and Microstructures 19: 229-244.
5. Van Houtte, P. (1988). A comprehensive mathematical formulation of an extended Taylor-
Bishop-Hill model featuring relaxed constraints, the Renouard-Wintenberger theory and a
strain rate sensitivity model. Textures and Microstructures 8, 9: 313-350.
6. Winters, J. (1996). Ph. D. Thesis, Kathoulieke Universiteit Leuven, Leuven.
SECTION 4.4
Cyclic Plasticity Model with
Nonlinear Isotropic and
Kinematic Hardenings:
NoLIKH Model
DIDIER MARQUIS
Laboratoire de M~canique et Technologie, Ecole Normale Sup~rieure de Cachan,
61 avenue du Pr~.sident Wilson, 94230 Cachan, France
Contents
4.4.1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
4.4.2 O n e - D i m e n s i o n a l Loading . . . . . . . . . . . . . . . . . . 214
4.4.2.1 Strain Partition . . . . . . . . . . . . . . . . . . . . . . 214
4.4.2.2 Elastic d o m a i n . . . . . . . . . . . . . . . . . . . . . . 215
4.4.2.3 Nonlinear Isotropic Hardening Rule
(NoIH Rule) . . . . . . . . . . . . . . . . . . . . . . . . 215
4.4.2.4 nonlinear kinematic hardening Rule
(NoKH Rule) . . . . . . . . . . . . . . . . . . . . . . . 216
4.4.2.5 Flow Rule . . . . . . . . . . . . . . . . . . . . . . . . . . 217
4.4.3 T h r e e - D i m e n s i o n a l Loading . . . . . . . . . . . . . . . . . 217
4.4.3.1 Strain Partition . . . . . . . . . . . . . . . . . . . . . . 218
4.4.3.2 Elastic D o m a i n . . . . . . . . . . . . . . . . . . . . . . 218
4.4.3.3 Nonlinear Isotropic Hardening Rule
(NoIH Rule) . . . . . . . . . . . . . . . . . . . . . . . . 218
4.4.3.4 Nonlinear Kinematic Hardening Rule
(NoKH Rule) . . . . . . . . . . . . . . . . . . . . . . . 219
4.4.3.5 Flow Rule . . . . . . . . . . . . . . . . . . . . . . . . . . 219
4.4.4 P r o c e d u r e of Material C o n s t a n t s
Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
4.4.4.1 Identification from the Steady
State Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . 220
4.4.4.2 Identification of the Material
Constant b . . . . . . . . . . . . . . . . . . . . . . . . . . 221
4.4.4.3 Identification of the Material Constant 221

214 Marquis
4.4.1 INTRODUCTION
This model was developed at the end of the 1970s to take into account the
elasticity and cyclic plasticity of metals. A purely elastic behavior domain is
assumed. The evolutions of this domain are driven by the plastic flow. Its size
is governed by a so-called nonlinear isotropic hardening rule. Its position is
governed by a so-called nonlinear kinematic hardening rule. This rule was
introduced in a simple form by Armstrong and Frederick in 1966 and has
been used extensively by Chaboche since 1976 to build different models to
describe cyclic viscoplasticity and cyclic plasticity. The tension curve
predicted by this model describes the nonlinear behavior in tension and the
Bauschinger effect along a reverse loading (see Figure 4.4.1).
4.4.2 ONE-DIMENSIONAL LOADING
In this section, the presentation of the model is restricted to a one-

Dimensional loading in tension.
4 . 4 . 2 . 1 STRAIN PARTITION
The total strain is split in two parts: the elastic strain related to the stress
through the elastic law and the plastic strain. ~ = ~e+ ~p, ~ being the total
% %+R
ay+R
FIGURE 4.4.1 Stress-straincurve predicted by the NoLIKHmodel, Crybeing the yield stress; X
being the kinematic hardening stress ; and R being the isotropic hardening stress.
4.4 NoLIKH model 215
strain, ee being the elastic strain, and eP being the plastic strain. The elastic
strain is related to the stress through the elastic law: a - Ee, a being the stress
and E being the Young's modulus.
4 . 4 . 2 . 2 ELASTIC DOMAIN
The elastic domain is defined through a yield function f. This function

depends on the stress, the kinematic hardening stress X, and the isotropic
stress R.
f -la-x -ay-R
The elastic domain is defined by the stress domain so that the yield function is
negative (Fig. 4.4.2).
4 . 4 . 2 . 3 NONLINEAR ISOTROPIC HARDENING RULE

( N o I H RULE)
The driving force for the evolution of the size of the elastic domain is the
plastic strain. More specifically, it has been shown that the accumulated
plastic strain p is the right variable to be used to describe the cyclic plastic
behavior. This variable p is defined through its rate.
The nonlinear isotropic hardening rule is given in a differential (or
incremental) form:/~ = ]~P[; notation: ~ = dx/dt total derivative with respect
to time; and/~ -- b(Q - R)p, b being a material constant and Q being a material
constant; Q is the isotropic stress limit.
The evolution rate of R depends on b. The asymptotic level of R for large
values of p is given by Q.
f < 0 Elastic domain
T 1
0 X O
FIGURE 4.4.2 Geometric interpretation of the elastic domain.

216 Marquis
The integrated form of the isotropic rule is

R -- Q(1 - e x p ( - b . p ) )
with the initial condition R(0) - 0 .
4.4.2.4 NONLINEAR KINEMATIC HARDENING RULE

(NoKH RULE)
The driving force for the evolution of the position of the elastic domain is the
plastic strain. The nonlinear kinematic hardening rule of the NoLIKH model
is given by a differential equation:
2 - c~p - ~(p)Xp
where C is a material constant and V(p) is a material function depending on p.
?(P) - )'o~ - (~'~ - 7o)exp(-coP)

The constant co gives the rate of evolution of the function 7. Vo~ is a material
constant: Vo~ = limp__,oo V(p); co is a material constant.
The study of the NoKH rule shows that the value of the kinematic stress is
b o u n d e d between two opposite limits.
The NoKH rule leads to a hysteretic behavior between the kinematic stress
X and the plastic strain (see Fig. 4.4.3). The initial value of X before any
plastic flow is 0.
X
/
/ /
/ i
~'/ v
~P
1
/
.........................:~Tf//
........................
....... 9-...r
FIGURE 4.4.3 X-eP curve. The plastic strain increases up to ~1 and then decreases.
4.4 NoLIKH m o d e l 217
4 . 4 . 2 . 5 FLOW RULE
The flow rule gives the evolution of the plastic strain. The driving force
is the stress. The plastic strain does not change if the stress is within the
elastic domain or if the stress is at the yield limit (f = 0) and the loading is
reversed (unloading condition): kP = 0 iff < 0 or iff = 0 and ]a - X].6 < 0.
Note that the NoIH rule and the NoKH rule lead to
~P=O=~/5=Oandl~=Oand)(=O. Then, if f < O or if f = O and
] a - X].6-< O, the behavior is purely elastic.
If the stress is at the yield limit and for a loading condition, then the plastic
strain rate is given by
~p-
if f - 0and ] a - X . d _> 0
C - 7(p).X.sign(a - X) + b(Q - R)
Note that the preceding flow rule is such that, after a plastic strain increment,
the stress remains at the yield limit. This flow rule is deduced from the
condition called the consistency condition: f - 0. Table 4.4.1 summarizes the
one-dimensional model.
4.4.3 THREE-DIMENSIONAL LOADING
In this section, the NoLIKH model equations are given for a general loading.
TABLE 4.4.1 S u m m a r y of the O n e - D i m e n s i o n a l NoLIKH Model.
Strain partition F, = f e nt - F,p
Yield function f= a-X-ay-R
Flow rule
~P - -
C - ~,(p).X.sign(a - X) + b(Q - R)
iff=0and a-X.6-_>0
~P = 0 if f > 0 or if f = 0 and ]a - X .6" < 0
N o l H rule R = Q(1 - e x p ( - b . p ) ) w i t h p = ]~P]
NoKH rule 2 = c~p - ~(p)Xp

with y(p) = Yoo - ()'oo - ? 0 ) e x p (-cop)
Initial conditions If gP = 0 then X = 0 and p = 0

218 Marquis
4.4.3.1 STRAIN PARTITION
The total strain tensor is split in two parts: the elastic strain tensor and the
plastic strain tensor.
4.4.3.2 ELASTIC DOMAIN
The elastic domain is given by a von Mises-type equation. A v o n Mises

equivalent effective stress is defined as
The deviatoric stress tensor is defined by
- ,,,j - 3o k, ,j
with c~ij the Kronecker symbol: bij -- I if i = j and 5 0 = 0 if i --fi j. Xij is the
kinematic stress tensor. The yield function is given b y f - (or - X)e q - Cry - R,
and the elastic domain is defined by f < 0.
4.4.3.3 NONLINEAR ISOTROPIC HARDENING RULE

(NoIH RULE)
The driving force is the accumulated plastic strain p. This strain is defined
through its rate:
./-- .p .p
- V 3 ~ij~iJ
With this new definition of p, the nonlinear isotropic rule (NoIH rule) is
unchanged./~ = b(Q - R)/~, with b, Q being material constants.
4.4.3.4 NONLINEARKINEMATICHARDENINGRULE
(NoKH RULE)
The kinematic stress is a tensor Xij. The NoKH rule writes:
4.4.3.5 F L O W RULE
The driving force of this rule is the effective stress tensor. The plastic strain
does not change if the stress is within the elastic domain or if the stress is at
the yield limit (f = 0) and the loading is reversed (unloading).
- 0 iff < 0 or iff - 0 and laij - Xijl.dij < 0
A geometric interpretation of the loading-unloading condition is given in
Figure 4.4.4.
If the stress is at the yield limit and for a loading condition, the plastic rate
is given by
.p _ 9 (rrk~ -- Xkl).dkl rr~ -- Xij
Bij -7 + R) 2
"r'C -2~/(p).Xmn 9(O'mn Xmn)/(O'y + R) + b(Q - R)
- -
i f f -- 0 and (akDt - Xkl).~kl ~ O. The preceding flow rule is deduced from the
consistency condition: f = 0.
Table 4.4.2 summarizes the three-dimensional model.
ading
f xi. ~ i ~ U~adin~~
FIGURE 4.4.4 Geometric interpretation of the loading-unloading condition in the deviatoric

stress plane. The scalar product given by the condition is positive on one side of the tangent line
to the yield limit and negative on the other side.
220 Marquis
TABLE 4.4.2 Summary of the Three-dimensional NoLIKH Model.

Strain partition
f -- (a - X)e q - ~y - R
Yield function
With
and
Flow rule
( ~ - xk,). ~ ,~ - x,j
~=~9 3
c - xv(p), x~.. (am. - X~.)/(.y + R) + b(Q - R) '--~~+ R)~'
Z
i f f = 0 and (tTkt~-- Xkz).8 Z 0

= 0 if f < 0 or if f = 0 and laij - Xijl.dij < 0
NoIH rule R = Q(1 - exp(-b.p))with/~ = V 3 " ~
NoKH rule
with y(p) = Yor - (Yoo- Vo)exp (-top)
Initial conditions If ~P --- 0 then X = 0 and p -- 0
4.4.4 PROCEDURE OF MATERIAL

CONSTANT IDENTIFICATION
4.4.4.1 IDENTIFICATION FROM THE STEADY STATE

CYCLE
The first step of the material constant identification uses a steady state
cycle after a strain cycling. The strain amplitude has to be chosen close to the
strain amplitude encountered by the material under the actual loading (see
Fig. 4.4.5).
Figure 4.4.5 defines a procedure to determine some material constant.
F r o m the stress strain loop given in Figure 4.4.5a, the value of the Young's
m o d u l u s is defined and the stress-plastic strain loop is deduced in Figure
4.4.5b. From this loop, the size of the elastic domain is deduced. As the value
of p is very high at the steady state, this size is 2 ( Q + Cry). If from a standard
tension test the value of Cry is deduced, then the value of Q is given. The X-ep
loop is deduced by a simple translation rule. From this loop, the material
constant C is given by the tangent shape to the curve at X = 0. Through an
estimation of the asymptotic value of X, it is possible to deduce 700.
i li ~+
. . . . . . . . . . . . . . . . . . . . .
........................F i~, ...................................

i.................~ [...........................................
_~ +......................::.....................
(c)
FIGURE 4.4.5 Identification steps, a. Steady state cycle in the cr-~ plane, b. Steady state cycle
in the cr-~p plane, c. Steady state cycle in the X-~p plane.
From this first step, assuming that C~yis known, it is possible to get E, Q, C
and 7oo-
4.4.4.2 IDENTIFICATION OF THE MATERIAL CONSTANT b
The material constant b gives the evolution of the elastic domain along the
cycling. Figure 4.4.6 gives the steps for deducing the material constant b.
The value of b is deduced from the slope of the tangent at the R - p curve
for p = 0. At this point, the value of the slope is bQ, and then b can be
deduced.
4 . 4 . 4 . 3 IDENTIFICATION OF THE MATERIAL CONSTANT ~Y0
A first estimation of the constant 70 can be given through the examination of

the successive loops along the cycling of the strain. Some typical
configurations are given at Figure 4.4.7.
222 Marquis
R~
o"
2(R(p)~(~y) 1 ,.
Ep p
(a) (b)
FIGURE 4.4.6 Identification steps of b. a. Determination of R (p) through the determination of

the elastic domain of different cycles (possible choices N=5, 10, 20, and 50). b. R-p curve.
o" /....../N=50
~-----N=20
> N=IO
L
y
Ep
J
(a) I,t~)
FIGURE 4.4.7 Typical cyclic curves, a. In this case, the different loops are deduced through a
translation along the rr axis. It is typical Of a cyclic isotropic hardening. In this case the kinematic
hardening does not change along the cycling. Then Y0 = Yo~. b. In this case, the different
hardening curves are not parallel. This is an indication of a significant contribution of the
kinematic hardening to the cyclic hardening. In this case the material constant Y0 has to be taken
as greater than 7oo. A first try for the value of co can be around 10.
SECTION 4.5
Multisurface Hardening
Model for Monotonic and
Cyclic Response of Metals
Z. MRoz
Institute of Fundamental Technological Research, Warsaw, Poland
Contents
4.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
4.5.2 Multisurface Hardening Model
Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
4.5.2.1 Discrete Set of Loading Surfaces... 224
4.5.2.2 Continuous Description of Field of
Hardening Moduli . . . . . . . . . . . . . . . . 228
4.5.3 Concluding remarks . . . . . . . . . . . . . . . . . . . . 231
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
4.5.1 INTRODUCTION
The quantitative description of inelastic material response under a variety of

loading conditions poses a challenging task in formulating constitutive
models. The extensive experimental data provide an input toward more
accurate model formulations aimed at the quantitative simulation of
deformational response for complex loading histories. In particular, such
effects as strain amplitude-dependent hardening, ratcheting for nonsymmetric
cycles, nonproportional hardening, etc., should be incorporated into the
model.
The multisurface hardening model was originally proposed by Mr6z [1,2]
for metals and was next extended to soils [3]. A set of nested surfaces is
assumed to represent the field of hardening moduli, and the evolution of

224 Mr6z
surfaces occurring in the course of plastic straining represents the material

stiffness variation. The memory of specific loading events is then naturally
incorporated into the model through the position of centers of consecutive
surfaces. The subsequent developments used either two or an infinite number
of surfaces, thus providing continuous variation of hardening moduli [4-7].
Extensive review of models of this kind can be found in the articles by Mr6z
[8] and Ohno [9].
4.5.2 MULTISURFACE HARDENING MODEL

FORMULATION
4.5.2.1 DISCRETE SET OF LOADING SURFACES
The multisurface formulation is based on the concept of nested surfaces

corresponding to different hardening moduli. The active loading surface is
assumed to translate toward the consecutive external surface, so when the
stress point reaches this surface, both surfaces are tangential and the
contacted surface becomes the active surface.
In classical theory of plasticity, the concept of the yield surface is
widely used. The yield surface specifies the interior elastic domain and
incremental loading-unloading conditions. For elastoplastic deformation
processes we can also introduce the response surfaces representing the
measures of developed plastic deformation, such as accumulated plastic
strain, plastic work, or hardening moduli. Since the hardening modulus
occurs explicitly in the constitutive equation, its specification is most
convenient.
Assume the yield condition in the form
F (~ = f(a" - o~(~ - a (~ = 0 (1)
and the associated flow rule
,_lOS(OSN.,i- ) -o F(o _ . >o

or
/~p _ -~n~rn
1 F(O) - - 0 ~rn - - 8 . n > O (3)
where n denotes the unit normal vector to the yield surface at the stress point
and Ctn = 8" n denotes the projection of the stress rate vector on n. The
4.5 Multisurface Hardening Model 225
hardening moduli K and H are interrelated; thus
K - n N~ I~Pl (/~p. /~p) 89 (4)
so in the uniaxial case the modulus K is proportional to the tangent modulus

of the stress-plastic strain curve. The back stress is denoted by ~(0) and the
yield limit by a (~ Assume further that the state of hardening is specified not
only by the yield condition but also by a set of nesting surfaces of constant
hardening moduli K0, K1,K2, ..., K, defined by Eq. 4, where K0 denotes the
hardening modulus on the yield surface and Ki a r e referred to particular
surfaces
F (i) - - f ( a - or(i)) - a (i)2 -- 0 (5)
where ~(i) denotes the back stress associated with the i - t h surface and a (i)
specifies the size of the surface. The set of equations in Eq. 5, specify the
internal irreversibility domains and together with the yield condition
constitute a field of hardening moduli in the stress space. Once the stress
state along the evolution path reaches the respective nesting surface, the
hardening modulus changes discontinuously, and instead of Eq. 3, we have
1
/~P - ~ - ~ n6-., F (~ -- F (1) = . . . - - F (i) - - O, ~" n (i) > 0 (6)
From proportional loading and unloading tests the hardening field can be
identified. In fact, instead of plotting conventional yield surfaces defined by
the assumed value of plastic strain, more meaningful information can be
produced by specifying the field of hardening moduli, since this field indicates
the stiffness anisotropy of the material and its variation.
Consider first the case of proportional loading, for instance, tension and
compression. Approximate the stress-strain curve by linear segments 0-1, 1-
2, 2-3, 3-4, along which the tangent modulus is constant (Figure 4.5.1a). In
the stress space this approximation can be visualized by introducing surfaces
F (~ - - 0 , F (1) - - O , . . . , F (i) - - 0 defining the regions of constant hardening
moduli in the stress space. When the stress point moving from 0 reaches the
surface F (~ - 0 at 1, the yield surface starts to translate with the stress point
toward a point 2, and from 2 the two surfaces F (~ - 0 and F (1) - - 0 move
together until a point 3 is reached. Fig. 4.5.1b presents the field of hardening
moduli after reaching the point 3. During unloading and reverse loading the
surfaces translate backwards, and at 3 / the symmetric configuration with
respect to 3 is obtained (Figure 4.5.1c). It is seen that when surfaces do not
expand but only translate, the Masing hardening rule is obtained.
For nonproportional loading it is assumed that the surfaces F (~ - 0, F (1)
--0, F (2) - 0 . . . do not intersect but consecutively contact and push each
226 Mr6z
3'
(a)
1 1
(b) (c)
FIGURE 4.5.1 Piecewise linear approximation of the stress-strain curve and the respective
loading surfaces, a. Loading-unloading curve, b. Nested surfaces at the loading point 3. c. Nested
surfaces at the unloading point 3'.
other. For convex, similar surfaces this is achieved by postulating that the
instantaneous motion of the stress point P corresponding to F 0) = 0 is
directed to the point R on F (1+1) ~ 0 with the same normal as that at P.
Similarly, when F (~ = 0 and F (1) - - 0 are tangential to each other at P, the
translation of P occurs along PR where R is an associated point on F (2) = 0
corresponding to the same normal. The position of the associated point R is
determined from the proportionality relation for any two similar surfaces
F 0) = 0 and F (l+1) - - 0; thus
0,(l+ 1) _ ~(l+ 1) __ 0"(l+ 1) (1) 0~(l)) (7)

R aO) t a p --
4.5 Muhisurface Hardening Model 227
(a) (b)
FIGURE 4.5.2 Translation rule of loading surfaces, a. and the cyclic loading program along
path K-L, b.
and the vector fl, connecting P and R, is expressed as (cf. Figure 4.5.2a)
PR-- ~ - a 0 ) l [ (~ - O.(I))O'(R/+I) -- O.(I+I)0c(I) -- O.(I)0c(I+I)1 (8)
The relative motion of P with respect to R is assumed to occur along PR; that
is,
) - - (9)
where fi is a scalar factor 9 Since
9(z) - dr(z) + (a (z) _ a(z))~O~

tre d(z) (10)
and
o.(1+1) _ (x(l+l) 1) otO+1))d(a~l)l) (11)

R + (a~ +
then from Eq. (9) we obtain

~.(l+1) _ 9
~(z) _ ~(z+]) + ~p + o.(l) o.(0(a~)- ~(z)) (12)
and the scalar fi can be determined from the consistency condition

F 0 ) - 1 ~(Z)-0. When all surfaces F ( ~ F ( 1 ) - 0 , . . . F 0 - 1 ) - 0 are in
contact with the surface F (l) - 0 and move with the stress point P, their
228 Mr6z
translation is governed by the motion of P and we have

a(pk) _ or(k) a(k)
-- k- 0, 1, 2 , . . . 1 (13)
O'(z)
p _ 0~(z) a(z),
Figure 2b presents the case when the stress component al oscillates between
the values at K and L with fixed component a2. Now, the yield and subsequent
nesting surfaces will translate with the stress point between K and L, so the
steady cyclic state corresponds to progressing accumulation of the plastic
strain component ~2 after each stress cycle.
4 . 5 . 2 . 2 CONTINUOUS DESCRIPTION OF FIELD OF

HARDENING MODULI
Let us now discuss a limit case of the muhisurface hardening rule by assuming
that there is an infinite number of nesting surfaces specifying the field of
hardening moduli. Referring to Figure 3, assume that in the loading process
OA the stress point has moved into the elastic-plastic region and reached the
exterior surface Fm ~-O. At A all surfaces F (k) = 0, k = 0, 1,... m - 1 are
tangential to the surface Fm = 0 . If the loading process continues,
the subsequent incremental response loading surface will be specified by
the active surface Fm = 0 and the hardening modulus ascribed to this surface.
Therefore all surfaces F (h) = 0, k -- 0, 1, . . . m - 1 will be passive and do not
0"2
Fm=0
EI.r ol
ok/
pv
2'
(a) (b)
FIGURE 4.5.3 Continuous description of field of hardening moduli, a. In the stress space, b.
Loading-unloading curve.
enter the material description. Consider now the unloading process A - B . A t B

the surface FI1 tangential to Fm = 0 at A is the active loading surface. Let us
note that, knowing the position B, the center and the diameter of the active
loading surface Fll = 0 are specified.
During the subsequent loading event, such as A - B , for which the stress
path is directed into the interior of the domain enclosed by Fm ~ 0, there is no
need to trace the positions of all surfaces; only the active loading surface
passing through B should be determined. When the loading path at B changes
its orientation and follows B-C-D, a new loading event commences for which
the active loading surface F12 = 0 is tangential at B to Ell -- 0 with its center
on OIB. Thus at D, after the loading history O-A-B-D, only three surfaces
characterize the previous history and are stored in the material memory: the
maximal loading surface F m - - 0 , the first loading surface Fll = 0, and the
second loading surface F12 -- 0. When the stress point on B - C - D reaches D,
the surface Fl2 = 0 coincides with the surface Fll = 0 and the second loading
event is erased from the material memory. Similarly, when the stress point
reaches E, the loading path A-B-E is erased from the material memory and the
state of material is represented by the maximal loading surface Fm -- O.
Considering the first loading event and assuming the equations of F~ = 0
and Fll = 0 in the form
Fm = f (a - oc(m)) - a (m)2 = 0 (14)
and
FII --f(cl - o[ (I)) - 0 "(I)2 - - 0 (15)
for the loading path A-B, the following relations occur:
a(z)
aA _~(1) _ (a.A_ 0c(m))a ~ (16)
from which 0cd) and a d) are determined once the position of the stress point B
on Fll = 0 is specified. Similarly, for the second loading event, the active
loading surface F12 = 0 is specified from similar relations.
Assume that the hardening modulus on the active loading surface FI = 0
depends on the ratio of semidiameters of maximal loading and active surfaces
with respect to the diameter of the yield surface; thus
K -- K(r/), a(z) -_ a(~

r/-----a(m) a(o) (17)
It is seen that 1/= 0 when a d) = a (~ and 1/= 1 when ad) = a(m). The variation
of K can be described by the relation
K--Km+A (18)
230 Mr6z
~1 0
F,=O
(a) (b)
FIGURE 4.5.4 Two-surface description of field of hardening moduli, a. Configuration of

surfaces, b. Stress-strain curve.
where A and p are the material parameters and Km denotes the value of K on
the maximal loading surface.
Consider now the other particular case when there are only two surfaces
F 0 - 0 and Fz = 0 and the hardening modulus varies with the distance c~
between the surfaces F0 = 0 and F z - 0. Assume that this distance is
measured by the length P R (Figure 4.5.4). The maximal value of ~ is ~m =
a (z) - a (~ for the first loading and (~m - - 2(0"(l) -- o'(~ for subsequent unloading
from the surface Fz -- 0, whereas the minimal value equals (~min - - 0. Assume
that the hardening modulus K takes an infinite or very
large value for c~- ~m and K - Kz for f i - 0 that is at the contact between
two surfaces. The variation of K can be , for instance, expressed by the
relation
K--Kz+a ~m_~ (19)
where a and m are material parameters and ~m is the maximal value of c~ from
the previous deformation history. Fig. 4 shows the loading, unloading, and
reloading curves generated by this description. When the stress point reaches
the surface Fz = 0, the subsequent response is described by the hardening
modulus Kz. When Kz is constant, a linear hardening curve is obtained; when
Kz = 0, the surface F z - 0 is a limit surface. The nonlinear variation of the
hardening moduli for the two-surface model was discussed by Dafalias and
Popow [4] and independently by Krieg [7].
4.5.3 C O N C L U D I N G REMARKS
The present brief exposition provides the foundation for more refined
formulations of multisurface constitutive models aimed at describing the
cyclic response of metals, accounting for such effects as transient and steady
state cyclic response, nonproportional hardening, memory of maximal
prestress, ratcheting, etc. [8]. The fundamental model parameters are
generated from uniaxial cyclic loading tests. However, additional parameters
are to be introduced when transient states and nonproportional hardening
effects are quantitatively simulated, cf. [10].
REFERENCES
1. Mr6z, Z. (1967). On the description of anisotropic workhardening. J. Mech. Phys. Solids 15:
163-175.
2. Mr6z, Z. (1969). An attempt to describe the behaviour of metals under cyclic loads using a
more general work-hardening model. Acta Mechanica 7: 199-212.
3. Mrdz, Z., Norris, V. A., and Zienkiewicz, O. C. (1978). An anisotropic hardening model for
soils and its application to cyclic loading. Int. J. Num. Arch. Meth. Geomech. 2: 202-221.
4. Dafalias, Y., and Popov, E. P. (1976). Plastic internal variable formalism of cyclic plasticity. J.
Appl. Mech. 98: 645-651.
5. Mrdz, Z. (1981). On generalized kinematic hardening rule with memory of maximal
prestress. J. Mech. Appl. 5: 241-259.
6. Trampczynski, W., and Mrdz, Z. (1992). Anisotropic hardening model and its application to
cyclic loading. Int. J. Plasticity 8: 925-946.
7. Krieg, R. D. (1975). A practical two-surface plasticity theory. J. Appl. Mech. 42: 641-646.
8. Mrdz, Z. (1986). Phenomenological constitutive models for metals, in Modeling of Small
Deformation of Metals, Zarka, J., and Gittus, J., eds., Elsevier Science Publishing.
9. Ohno, N. (1990). Recent topics in constitutive modeling of cyclic plasticity and
viscoplasticity. ASME Appl. Mech. Rev. 43: 283-295.
10. Mrdz, Z., and Rodzik, P. (1996). On multisurface and integral description of anisotropic
hardening evolution of metals. Eur. J. Mech., A/Solids 15: 1-28.
SECTION 4.6
Kinematic Hardening Rule

with Critical State of
Dynamic Recovery
NOBUTADA OHNO
Department of Mechanical Engineering, Nagoya University, Chikusa-ku, Nagoya 464-8603, Japan
Contents
4.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
4.6.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
4.6.3 Description of the Rule . . . . . . . . . . . . . . . . . . . . 234
4.6.4 Identification of the Material Parameters .... 236
4.6.5.1 Installation in Constitutive Models... 237
4.6.5.2 Implementation in FEM . . . . . . . . . . . . . 238
4.6.6 Table of Material Parameters . . . . . . . . . . . . . . . 238
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
4.6.1 VALIDITY
This is a kinematic hardening rule that enables us to represent multilinear, as

well as nonlinear, stress-strain relations under cyclic loading. This rule, which
is formulated by introducing a critical state in dynamic recovery, is capable of
simulating well ratcheting and cyclic stress relaxation. Moreover, the rule has
the advantage of allowing us to determine very easily the material parameters.
A rate-independent constitutive model of plasticity based on this kinematic
hardening rule is implemented in a commercially available FEM software by
utilizing the implicit integration equation and consistent tangent modulus
derived for the model, though the rule itself is valid for both rate-independent
and rate-dependent materials.

232 Copyright 9 2001 by Academic Press. All fights of reproduction in any form reserved.
4.6 Kinetic Hardening Rule with Critical State of Dynamic Recovery 233
4.6.2 FORMULATION
We consider strain hardening and dynamic recovery for formulating the

evolution equation of back stress ~ [1], and we suppose that ~ consists of
several parts, i.e., ~ - ~ ~Zi [ 2 ] . Let ai be the deviatoric part of ~i.
Let us assume that the dynamic recovery of ai has a critical state j~ - 0, in
which the dynamic recovery of ai is activated so fully that ai cannot develop
beyond the surface fi = 0 [3]. This surface, which is similar to the yield
surface of perfectly plastic materials, is defined to be a hypersphere of radius ri
in the space of ai as
3
fi - -~ ai " ai - r2i - O. (1)
Then, we may consider an evolution equation of ai which has two kinds of

dynamic recovery terms, the term becoming active in the critical state and the
term operating irrespective of this state. By using of Heaviside's step function
H and Macauley's bracket ( ), such an evolution equation of ai can be
expressed as [4]
where (') indicates the differentiation with respect to time, ~i and #i are
material parameters, p denotes accumulating plastic strain rate
and )~i is determined to have the following form using the conditions fi = 0
and f i - O:
2 i - ~P" ai_ #iP (4)

ri
The first term in the right-hand side in Eq. 2 expresses strain hardening,
whereas the second and third terms deal with the dynamic recovery of ai. The
second term H ( f i ) { J , i ) a i allows the dynamic recovery of ai to be activated so
fully in the critical state j] - 0 that Eq. 2 can satisfy f i - 0 when j~ - 0 and
2i > 0. The third term #iaip, on the other hand, operates simply at all times in
proportion to ai and p.
Equation 2 has two special cases, #i = 0 and #i = 1. If #i = 0, Eq. 2 is
reduced to the first version of the Ohno and Wang rule [3],
234 Ohno
~T
/ ," iLLi - ' 0

Z s
::, O < ~ i <1
fli = 1
0 1/~i ~P
FIGURE 4.6.1 Evolution of ~i under uniaxial tensile loading.
On the other hand, if /2i = 1, ai never reaches the critical state j~ = 0

(Fig. 4.6.1), so that Eq. 2 becomes the Armstrong and Frederick rule [1],
t i i = (i(3ri~,P-aip) (6)
If ri is not constant, Eq. 2 can be extended to the following form, which

satisfies fi - 0 when Ji - 0 and ,~i > 0 [4]"
hi = (i rii~p - H(j~)()~i)ai-/~iaip +--ai (7)

Fi
4.6.3 DESCRIPTION OF THE RULE
To describe some fundamental features of Eq. 2, we now consider uniaxial

loading. A uniaxial form of Eq. 2 is
where j] - cti2 - r/2 and J~i- i~Po~i/ri - ~,I~Pl.

For monotonic tensile loading, Eq. 8 is reduced to
~i = ~ (i(ri - lai~i)e, p, 0 <_ ~i < ri, (9)

I O~ O~i -~ ri ~
which has the solution

1 - exp(-lai(ie, P) \
oq=ri[1-(1- (10)
lai /
This tensile change of 0~i, which has a corner at o~i ---Fi, is illustrated in
Figure 4.6.1. Two special cases of/-/i = 0 and /-/i--- 1 are dealt with in the
figure as well. When/-/i = 0 , Eq. 9 represents the bilinear change of ~i, such as
oq = r i [ 1 - (1-~i~3P}] (11)
On the other hand, when #i = 1, Eq. 9 gives
0q = ri[1 - exp(-~ieP)] (12)
In this case, therefore, ~ reaches the critical state only asymptotically; in other
words, the critical state does not become active at all.
Figure 4.6.2 shows the monotonic tensile change of back stress 0~obtained
by superposing ~1 to ~M. As illustrated in the figure, if 0 < #i < 1, the ~ versus
eP relation has corners, since each ~ versus eP relation has a corner under
tensile loading. Especially if #i = 0, the ~ versus eP relation is multilinear, as
shown by the dotted line in Figure 4.6.2. Thus [i and ri are related with the
coordinates of corners of the multilinear ~ versus eP relation as follows [5]:
1
~(i) - eli) (13)
0~(i) -- 0~(i- 1) 0~(i+1) -- 0~(i)
(i-l) (i+1)
where ~(o) - 0 and 0qo) - 0.

Figure 4.6.3 illustrates the effect of #~ on the shape of ~ versus ~P hysteresis
loops as well as on ratcheting under cyclic loading. Let us remember that
Eq. 2 has two kinds of dynamic recovery terms, i.e., the term becoming active
a = ~.~a i
a(3) ..................... ~..........
~ I.....
0~(2)
....: ,
..~...:;" , .............. /4=0

" , O < P i <1
___o: I
a(l)
~ ~176176176176
I
~ ~3
FIGURE 4.6.2 Evolution of ~ and its parts under uniaxial tensile loading.
236 Ohno
O[max
amin
(a) ~,li -- 0
~[~mflx
O[min
(b) 0 < / 1 i < 1
F I G U R E 4.6.3 Hysteresis loops of back stress 0~ and plastic strain ep u n d e r uniaxial cycling
b e t w e e n 0~max a n d 0~min. a. ]-/i -- 0. b. 0 < ]-/i ~ 1.
in the critical state j~ = 0 and that operating at all times in proportion to ai

and p. The former causes the 0~ versus ep hysteresis loops to be closed
multilinearly under uniaxial cyclic loading, as shown in Figure 4.6.3a. On the
other hand, the latter makes the 0~versus eP hysteresis loops open to induce
ratcheting. Thus the smaller ]-/i is set, the less opening Eq. 2 gives to the
hysteresis loops, resulting in smaller ratcheting.

PARAMETERS
Equations 13 and 14 help us to determine the material parameters ~i and ri.

Especially if both isotropic hardening and rate dependence are negligible, they
O'(1)~
0"(o)
FIGURE 4.6.4 Uniaxial tensile stress-strain curve approximated multilinearly.
can be determined immediately by multilinearly approximating a monotonic

tensile curve (Fig. 4.6.4) and using Eqs. 13 and 14 with g(i) replaced by cr(i),
i.e., Eq. 13 and
where or(0) indicates initial yield stress. Even if rate dependence must be taken
into account under negligible isotropic hardening, ~i and ri can be determined
easily as follows: By assuming an appropriate viscoplastic equation
kP = G ( a - ~), the ~ versus ~P relation is estimated from monotonic tensile
experiments done at several strain rates, and then the ~ versus ~P relation
identified is multilinearly approximated to use Eqs. 13 and 14, by which (i
and ri are determined. If isotropic hardening is not negligible, the material
parameter ri may change with plastic deformation. In this case, it is necessary
to assume an appropriate function for each ri to simulate experiments.
The material parameters #i (i = 1, 2 , . . . , M) are determined so as to
simulate well uniaxial and/or multiaxial ratcheting experiments, though a
constant can be assigned to all ~i. If it is not necessary to consider ratcheting
and cyclic stress relaxation, we can take either #i = 0 or ~i = 1.
4.6.5.1 INSTALLATION IN CONSTITUTIVE MODELS
The present kinematic hardening model can be used as a translation rule of

yield surfaces and viscoplastic potentials. For rate-independent materials, we
238 Ohno
may employ the following yield surface, which translates and expands:
3 (s - a ) ' ( s - a) - y2 _ 0 (16)
where s denotes the deviatoric part of stress ~r, and Y indicates the size of the
yield surface. Then, on the basis of the normality rule, the plastic strain rate
can be expressed as
/:p
--
3(~'n> n (17)
2 EP
where n - ~ / - 3 / 2 ( s - a ) / Y , and EP is the plastic tangent modulus derived to
be
E' -- + ~
i= 1
/
~,r, 1 -
Fi
For rate-dependent materials, on the other hand, we may assume

tt, + H(~)
ri
#,
/1/ (18)
2 D
where cr ef f - [ ( 3 / 2 ) ( s - a ) ' ( s - a)] 1/2, G is a viscoplastic function, and D
indicates drag stress.
4.6.5.2 IMPLEMENTATIONIN FEM
For the rate-independent constitutive model mentioned in Section 4.6.5.1, an

implicit integration equation and a consistent tangent modulus are available,
so that the constitutive model is implemented using a user subroutine UMAT
in ABAQUS [6]. The integration equation, which is based on return mapping,
allows us to take large strain increments without sacrificing accuracy,
especially if ]Ai is equal or close to zero. The consistent tangent modulus,
which is derived for a general form of strain hardening and dynamic recovery
of back stress, affords the parabolic convergence in solving the nonlinear
equilibrium equation in FEM. These provide high efficiency and stability in
computation in FEM, not only for isothermal but also for non isothermal
problems.
4.6.6 TABLE OF MATERIAL PARAMETERS
Table 4.6.1 shows the values of ~i obtained by applying the present kinematic
hardening rule to ratcheting experiments of some materials. As seen from the
table, ~ i tends to take small values close to zero. This means that ratcheting
TABLE 4.6.1 Values of Material Parameter ~i.
Material Temperature ~i
316 stainless steel R.T. 0.02

Modified 9Cr-lMo steel 550~ 0.03
IN738LC 850~ 0.12
1018 and 1026 carbon steels R.T. 0.35
and cyclic stress relaxation usually occur but much more slowly than the
predictions based on the Armstrong and Frederick rule. For the material
parameters ~i and ri, no example is given here, since they can be determined
very easily from experiments (Section 4.6.4).
REFERENCES
1. Armstrong, P. J., and Frederick, C. O. (1966). A mathematical representation of the multiaxial

Bauschinger effect. CEGB Report RD/B/N731, Berkeley Nuclear Laboratories, Berkeley, UK.
2. Chaboche, J. L., and Rousselier, G. (1983). On the plastic and viscoplastic constitutive
equations. ASME J. Pressure Vessel Technol. 105: 153-164.
3. Ohno, N., and Wang, J.-D. (1993). Kinematic hardening rules with critical state of dynamic
recovery. Int. J. Plasticity 9: 375-403.
4. Ohno, N., and Abdel-Karim, M. (2000). Uniaxial ratchetting of 316FR steel at room
temperature. Part II: constitutive modeling and simulation. ASME J. Eng. Mater. Technol. 122:
35-41.
5. Jiang, Y., and Kurath, P. (1996). Characteristics of the Armstrong-Frederick type plasticity
models. Int. J. Plasticity 12: 387-415.
6. Kobayashi, M., and Ohno, N. (1999). A return mapping algorithm for the strain hardening/
dynamic recovery type of kinematic hardening models in Trans. 15th Int. Conf. on Struct. Mech.
in Reactor Technol., Vol. II, pp. 165-176, Korean Nuclear Society.
SECTION 4.7
Kinematic Hardening Rule
for Biaxial Ratcheting
HIROMASA ISHIKAWA, KATSUHIKO SASAKI
Hokkaido University, N13, W8, Kita-ku, Sapporo, 060-8628 Japan
Contents
4.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
4.7.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
4.7.4 Identification of the Material Parameter . . . . 243
4.7.6 Table of Parameters . . . . . . . . . . . . . . . . . . . . . . . . 245
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
4.7.1 VALIDITY
A kinematic hardening rule introduced here is valid for biaxial ratcheting

deformation of metals. The hardening rule employs memory effects of back
stress, and it controls the biaxial ratcheting strain.
4.7.2 FORMULATION
Combining the von Mises stress hardening form with the kinematic
hardening, the following yield function is chosen for cyclically stable material
at temperature T:
f - ~1 c~j~ (~j - ~ j ) ( o ~ - ~ ) - ~1 R2 (~ , T) -
0 (1)
where Cokl is the plastic-deformation-induced anisotropic coefficient tensor

of fourth rank, aij and a/j are stress and the center of the yield surface, or
back stress, R is the flow stress, and ~c is the hardening or softening
240 Handbook of Materials Behavior Models. ISBN 0-12-443341-3.

Copyright 9 2001 by Academic Press. All rights of reproduction in any form reserved.
4.7 Kinematic Hardening Rule for Biaxial Ratcheting 241
parameter. Associated with Eq. 1, the modified Levy-Mises equation of cyclic

plasticity is obtained from the normality of plastic strain increment to yield
surface,
3d -gp
a4 - 2 e C,jh~(okz - ~k,) (2)
where d~ and d ~P are the plastic strain increment and the equivalent plastic
increment, respectively.
The Ziegler type of assumption, which is used as the evolution equation of
the back stress, is modified by employing the memorization of the back stress.
The modified Ziegler type of assumption is expressed by
d~ij - (aij - ~,j)d/z + n,jg(p~) (3)
where nijg(pc) denotes the memorization of the back stress induced during
preloading, and g(pc) is the function of the accumulated plastic strain Pc until
the previous inversion of loading, g(pc) is assumed to be expressed by
g(pc) - ~0 { 1 - ~exp ( - c ~ ) ) (4)
and ~0 in Eq. 4 is assumed to be expressed by
~0 - ~ / 2 ~hz~z (5)
vJ
In Eqs. 4 and 5, ~, r and ( are material constants, and nij in Eq. 3 denotes the
unit normal vector to the yield surface expressed by
C~jkl(~kz -- ~kz)
~'J - / 3 (6)
CmnopCmnqr(O'op -- (Xop)(O'qr - O~qr)
Using the consistency condition df -- 0 from Eq. 1, the evolution of the back
stress increment is represented by
2R2
d~,j ----g--~ C~m~(am~ -- ~mn)(da~ - n~g(p~)) (a,j - ~,j)}
(7)
dR
where dWP is the modified plastic work increment. The hardening and
softening parameter is reasonably assumed to be a scalar proportional to the
modified plastic work.
a ~ - a w , - Ra~ - (~,j -~,j)a 4 (8)
To represent the roundness of the stress-strain curve and to drive
the nonlinear plastic modulus simply, the following power law is
242 lshikawa and Sasaki
employed:
~p --
(v)
O"
K~
~ m(n)
(9)
where E is Young's modulus and K is a material constant. ~ in Eq. 9 is the

equivalent stress measured from the current center of the yield surface and
expressed by ~ = ~/(2/3)Cijh, (aij - aij)(ak,- ak,). The quantities of ao(,,) and
m(,,) in Eq. 9 are th4 reference stress at the proof strain ~0 - 500 I~m/m and the
exponent of hardening in the uniaxial stress state. They are expressed by
Cro(,,)- Cro(oo){ 1 - ~ exp ( - c ~ ) } (10)
and
mOO : m ( o o ) { 1 - f l e x p ( - P ~ ) } (11)
In addition, R can be assumed to be expressed by
R(,) = R(oo) 1 - 2exp -77z (12)
In Eqs. 11 and 12, Pc is the accumulated plastic strain until the previous
inversion of loading; Pa in Eq. 12 is the accumulated plastic strain at the
current stage. In Eqs. 10-12, ~ro(oo), ~, Co, m(oo), fl, Cl, R(oo), 2, and c2 are
material constants prescribed by the history of loading or effected by a strain
path memory. These material constants are determined from some basic
experiments.
For combined cyclic tension-compression and shear straining, the following

relation can be reduced.
d~t I
B~ ~ ~m(n, 3 (Ctcrdcr+ 2Ctss&r + 2Cts~ds + 4Cssds)(Cto + 2Ctss)

k
2R2 . _
+ 2c~{& - n~g(p~)} + 4 G s { & - nsg(p~)}]~

4.7 Kinematic H a r d e n i n g Rule for Biaxial Ratcheting 243
_R(~176 F }m~")
R c2 cro(oo)
x (Godo" + 2Ct~sd~ + 2Ct~ods + 4Cssds)cr + ntg(pc)
2R 2 . _
do~ - - 5 - - [ C t o { d o t - ntg(p~)} + 2Ct~s{dot - ntg(pc)}
+ 2 C t ~ { & - n~g(p~)} + 4 G s { & - n~g(w)}]s
-R(~176 ~ }m~"'
R c2 cro(oo) (13)
• (Ctcrdcr+ 2Ct~sdcr+ 2Ct~crds+ 4C~sds)s + nsg(pc)
where B = (3e,o/2cro(,,))(m(,,)+ 1), cr = crt- at a n d s = r - 0q with kinematic
back stresses at and ~xs. de,Pt, d7t', do~t, and do~s are the axial plastic strain
increment, the shear plastic strain increment, the axial back stress increment,
and the shear back stress increment, respectively. Ct, Cts, and Cs are
anisotropic coefficients.

PARAMETERS
To obtain the material parameters, a biaxial ratcheting test is required. The

anisotropy coefficients are determined by the following equations referring to
a yield surface during the biaxial ratcheting, which is shown in Fig. 4.7.1.
ct + , - - 7/ inOco O,
1( 3r2 2 '~ (14)

C s - - ~ ~cos20 + ~ s i n O|
/
where cry and l:y are axial and shear yield stresses determined as the stress at
50/.tm/m proof strain. O is the angle of rotation of the subsequent yield
surface, and the value of the angle is 0 ~
The yield stresses can be determined from the yield surface shown in
Figure 4.7.1 which shows, for example, the yield surface in the case of the
biaxial ratcheting due to cyclic shear straining with a strain amplitude of
AT/x/3 = 0.5% superimposed on an axial stress of 100 MPa. The deforma-
tion of the yield surface during the biaxial ratcheting can be assumed to be
244 lshikawa and Sasaki
.-"" -~ 150 "" ,~

9
/" "~""" - - "" ~" \
9 / O ", "\
./// ~ \ .
-150 150
I I I I I I
100 -50 0 50 100 .
a,, MPa ~/d
. .so ~,/
/ I
j,," /
.....+I /
~.. _ i. /
-~..~.
9 - -150 .../"
.~. .~.
.... ; From proportional . . . . . ; I n i t i a l y i e l d surface

loading
FIGURE4.7.1 Yield'surface during biaxial ratcheting.
such that:
1. the shear yield stress decreases with an increase in the number of cycles,
while the axial yield stress remains the initial yield stress;
2. the yield surface does not rotate;
3. the shear yield stress during the biaxial ratcheting can be calculated by
the following equations:
ay = 165 MPa, x/~Zy -- 105 1 + 0.57exp

(15)
where A~ - I s ~ + A?---~23
and where et, is the biaxial ratcheting strain at the previous cycle during the
biaxial ratcheting.
Figure 4.7.2 shows the axial strain (biaxial ratcheting strain) due to cyclic
shear straining with a strain amplitude of A~/v/3 - 0.5% superimposed on an
axial stress of 100 MPa. The simulation agrees well with the experiment.
Biaxial ratcheting deformation is ordinarily observed in real-life structures.

The model can be incorporated into a general-purpose code such as FEM for
structure analysis.
4.7 Kinematic Hardening Rule for Biaxial Ratcheting 245
......__,.--.-
J
oJ 1
"2
<
~ m
0.5
- 0.5 - 0.25 0 0.25 0.5

Shear strain q,/d-3-, %
(a) experiment
1.5
=,.___......._
2
<
0.5
- 0.5 - 0.25 0 025 0.5

Shear strain "l(/,1-3-3, %
(b) simulation
FIGURE 4.7.2 Biaxial ratcheting strain vs. shear strain.
The material parameters were identified for Type 304 stainless steel (see
Table 4.7.1).
246 Ishikawa and Sasaki
TABLE 4.7.1 Material Parameters for Type 304 Stainless Steel, Temperature 20~
0"0(1) 0"0(2) O'0(oo) 0t CO R(oo) ~ C2 m(1) m(2) m(oo) 13 C1 ~ ~ C3

(MPa) (MPa) (MPa) (MPa)
206 142 147 0.07 0.1 245 0.07 0.1 9 3.5 3.5 0.07 0 . 0 8 - 2 e -5 -50 1
REFERENCES
1. Ishikawa, H., Sasaki, K., and Nakagawa, T. (1994). JSME Int. J. Series A 37(4): 347-354.
2. Ishikawa, H., and Sasaki, K. (1998). Int. J. Plasticity 14(7): 627-646.
SECTION 4.8
Plasticity in Large
Deformations
YANNIS E DAFALIAS
Department of Mechanics, National Technical University of Athens 15773, Greece, and Civil and
Environmental Engineering, University of California, Davis, CA, 95616
Contents
4.8.1 Basic Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
4.8.1.1 Kinematics . . . . . . . . . . . . . . . . . . . . . . . . 247
4.8.1.2 Constitutive Relations . . . . . . . . . . . . . . 248
4.8.2 Numerical Implementation . . . . . . . . . . . . . . . . . 249
4.8.30rthotropic, Kinematic, and Isotropic
Hardening Model . . . . . . . . . . . . . . . . . . . . . . . . . . 250
4.8.3.1 Analytical Description . . . . . . . . . . . . . 250
4.8.3.2 Model Constants . . . . . . . . . . . . . . . . . . . 251
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
4.8.1 BASIC THEORY
The following constitutive framework applies to large elastic and plastic

deformations of materials which acquire initial and/or evolving anisotropic
properties of different kinds. The internal material state is described
macroscopically by scalar and tensorial internal variables ki and Ai,
respectively. The particular model presented at the end addresses mainly
orthotropic symmetries, which are common to sheet metals.
4 . 8 . 1 . 1 KINEMATICS
The multiplicative decomposition of the deformation gradient F into elastic

and plastic parts is expressed by

248 Dahlias
F=FeF p (1)
The velocity gradient at the intermediate plastically deformed configuration is
given by
~pFp- 1 _ (~pFp- 1)s + (~:pFp- 1)a -- D~ + (FPFp-1 )a (2)
where subscripts s and a mean symmetric and antisymmetric, respectively.
The DPo is the plastic rate of deformation. The plastic material spin (FPFp-1)a
can be decomposed in two parts as
(~:vFp-1)a -- s176-+- Wp (3)
where (2) i and W/p are the pair of constitutive and plastic spins, respectively,
associated with a tensorial internal variable Ai. The s i is the spin with respect
to which the constitutive corotational rate of Ai will be expressed in the
sequel. In general, there are as many pairs of constitutive and plastic spins as
there are Ails.
The intermediate configuration is determined within an arbitrary rigid
body rotation without loss of generality. A particularly useful choice employed
in the sequel is that of the spinless configuration [1], which is defined by (see
Eq. 3)
(FPFp-1)a = 0 =~ o i - - -W/p (4)
4.8.1.2 C ONSTITUTIVE RELATIONS
4.8.1.2.1 Elastic
If ~ / - r e, Ai, ki) is the elastic strain energy per unit mass, which is
function of the elastic Green strain tensor E e - (1/2)(FeTF e - I), ki and Ai,
hyperelasticity is obtained by
II- [FeIFr e-T -- Po - ~ (5)
where ~ is the Cauchy stress at the current configuration, rl the second Piola-
Kirchhoff stress, and Po the density at the spinless intermediate configuration.
4.8.1.2.2 Plastic
A state H, ki, and Ai is plastic if it satisfies the analytical expression
f (H, Ai, ki) = 0 (6)
of a static (rate-independent) or dynamic (rate-dependent) yield surface. In
4.8 Plasticity in Large Deformations 249
the case of rate dependence, the dynamic yield surface expression of Eq. 6
depends also on a scalar-valued measure of the rate of deformation.
The following rate equations are now postulated at the spinless
configuration (recall Eqs. 2 and 4)
DPo -- [:PF p-1 -- ,INPo(H, A,, k~) (7)
xaf(n, A,, k,) (8)

A,- 2 ( A , - ~ A , + Ai~2f) (no sum on i) (9)
/~i = 2/7ei(11, Ai, ki) (10)

where Eq. 9 follows from the constitutive corotational rate Ai c -- A i - oiAi +
Aioi = 2Ai(II, Ai, ki) (no sum on 0, the choice of the spinless configuration
(toi = - W i p) and Eq. 8. The 2 is the plastic multiplier (loading index, for
plasticity, and overstress function, for viscoplasticity).
Invariance requirements under superposed rigid body rotation render all
constitutive functions ~, f, NPo, ~/P, k/, and 2~ki isotropic in their tensorial
arguments 11 and A i .
By a straightforward adaptation of an incremental solution scheme developed

by Aravas [2] for an isoclinic configuration to the present choice of the
spinless configuration, Dafalias [1] proposed the following. At a material
point the solution 11(n) AIn), k (n), FP, and F, at time t, is known. For a given
F.+I at time t . + l - t. + At, one must determine II (n+l) , A i(n+l) , k(n+l) , and
F{.+I ). With the "directions" NPo and ~/P of DPo and W/p, respectively, assumed
constant over the time step At, and with (NPo). -- X. for simplicity of notation,
the following algorithm can be stated based only on the five Eqs. (5,6,7,9,10):
Fe+l -- Fn+IF p-1 I--a/~Xn + (~52) Xn (11a)
FP+l r
Fn+lFn+ 1 (11b)
Ee+l --(1/2)(Fn+lFn+
e~ e 1 - I) (llc)
ir,+l _ po(O~///OEz).+I (lld)
Ai(n+l)__ Ai(n)_~.~,~(--(n)Ai
_ ~-~/p(n)Aln
) __[_Aln)~,~/p(n)
) (11e)
250 Dafalias
(llf)
f(II('+l), --iA("+l), ki('+1)) = 0 (11g)
-(") , and n7 9(') are functions of n(') , AI"), and kl") of the nth step,
where/~,I n), k/
and the 62 is chosen as the primary unknown to be determined from Eq. 11g.
Observe that throughout the development of theory and numerical
implementation, no need for a specific corotational or convected stress rate
arises. This is because the choice of a stress rate is not a fundamental
constitutive ingredient in hyperelastoplasticity [ 1].
4.8.3 ORTHOTROPIC, KINEMATIC, AND

ISOTROPIC HARDENING MODEL
4.8.3.1 ANALYTICALDESCRIPTION
A specific constitutive model will be presented within the foregoing

framework of theory and implementation. It will be most appropriate for
the large inelastic deformation of materials which already exhibit a strong
orthotropic texture because of previous manufacturing processes, such as
sheet metals. The elastic response (Eq. 5), is left upon the user. A linear elastic
orthotropic or even isotropic relation can be a good approximation if plastic
strains are very large compared to elastic.
With the notation S for the deviatoric part of If, A for a deviatoric back-
stress tensor, S - S - A for the effective deviatoric stress, and Ai -- Ni @ Ni
( i - 1, 2, no sum) with Ni unit vectors along two of the three orthotropic
directions at the spinless configuration, Hill's quadratic yield criterion can be
written in terms of invariants [3] as
f- (L + M - N)trS 2 + 2 ( N - L)tr(S2A1) + 2 ( N - M)tr(S2A2)

+ (4G + F + H - 2M)tr2(gA1) + (4F + G + H - 2L)tr2(SA2) (12)
+ 2(2F + 2G - H + N - m - t)tr(gal)tr(gA2) - k 2 - 0
where F, G, H, L, M, N are the orthotropic parameters of Hill [4]. The scalar-

valued internal variable k is a measure of the size of the yield surface. The
tensor-valued internal variables are the A, A1, and A2. The NPo is defined by
the normality rule, and according to Pereda et al. [5] takes the form
(compared to [5] notice a small correction in Eq. 13d).
4.8 Hasticity in Large Deformations 251
N~ -- ~-H - (4)1 (1/3)((/)3 + 4)4))I + 4)2S + q~3A1+ ~b4A2

(13a)
--
+ (/)5(gA1 + AIS) q- ~6(SA2 -[- A2S)
~1 -- -(4/3)[(N- L)tr(.SA1) + ( N - M)tr(SA2)]; = 2(L + M - N)

(13b)
4)3 = 2 ( F + 4 G + H - 2 M ) t r ( S a l ) + 2(2G + 2F - H - M - L + N)tr(SA2)
(13c)
~b4 = 2(G + 4F + H - 2L)tr(SA2) + 2(2G + 2F - H - M - L + N)tr(SA1)

(134)
4)5=2(N-L); 4)6 = 2 ( N - M ) (13e)

For the evolution of the back-stress A the Armstrong-Frederick evanescent
memory rule will be used, for which the constitutive corotational rate reads
A c - hDPo -c[(2/3)(trDeo2)]l/2A- 2~t, in terms of two constants h and c.
Based on Eq. 7, it follows that
-- hNP~ - c[(2/3)(trNpo2)]t/2A (14)
The Ai (i = 1, 2) are purely orientational internal variables; therefore, it

follows that A c = 0, which yields
A1 = ~t2 = 0 (15)
If the anisotropic parameters F - N vary independently, one must be able to
define their evolution equations from experiments. If for simplicity one
assumes that they maintain their initial value, it remains only to determine the
variation of k, that is, the isotropic hardening part. It can be described by a
scalar-valued evanescent memory rule such.as k _ ( H - C k ) [ ( 2 / 3 ) t r ( D P o 2 ) ] l / 2 ,
in terms of two constants H and C. From k = 2k and Eq. 7 it follows that
- ( H - Ck)[(2/3)tr(NPoo2)] 1/2 (16)
It remains to specify the plastic spins W~ - 2 f ~ and We - 2f~P for the

back-stress A and orientational tensors A1 and A2, respectively. Dafalias [6,7]
and Loret [8] proposed the expression W~ = r/A(ADPo -DPoA ), which in
conjunction with Eqs. 7 and 8 yields
~"~P -- /']A(ANPo -- NPoA) (17)
where NPo is obtained from Eq. 13. Combining the conclusions reached in the
works of Dafalias [9-11], Zbib and Aifantis [12], Kuroda [13], and Levitas
[14], one can propose to render Wp a function of the non coaxiality between
252 Dafalias
g -- S - A and DPo, i.e., WP = t/(gDPo - DPog). From Eqs. 7 and 13, it follows
after some algebra that [ 11]
~"~P --M(SNPo - NoPS) - t/[(Z(F 4- 4G + H - 2M)tr(SA1)

+ 2(2F + 2G - H + N - L - M)tr(gAz))(SA1 - Alg)
+ (2(6 + 4F + H - 2L)tr(gA2) + 2(2F + 2G - H (18)
+ N - C - M)tr(gA1)) (SA2 - A2S)
4- 2 ( N - L)(S2A1 - AIS 2) 4- 2 ( N - M)(S2A2 - A2S2)]
If S is co axial with theorthotropicdirections Ni ( i - 1, 2,3), one has the

spectral representation S - SIAl 4- $2A2 4- $3 ( I - (A1 4- A2)), where Si
(1 = 1,2,3) are the principal values of S. Since A1A2 = A2A1 = 0 it follows
from Eq. 17 that f~P - 0 in this case. In general, there may be other stress
directions besides the orthotropic ones for which f~P = 0, [11].
4.8.3.2 MODEL CONSTANTS
Equations 12-18 provide all necessary information in closed form for the
numerical implementation of Eqs. 11, with the only exception the specifica-
tion of ~ for the hyperelastic relation, which is left up to the reader. The
model constants associated with the use of the model are for the large part
conventional. To be more specific, one has the following groups of such
constants.
4.8.3.2.1 Elastic Constants
The choice of ~ will imply a set of elastic constants. For the simplifying
assumption of linear isotropic elasticity, one needs only an elastic modulus
and a Poisson's ratio.
4.8.3.2.2 Anisotropic Coefficients
The values of F-N entering Eq. 12 depend on the degree of orthotropic

intensity and its evolution for a given material. Their interpretation in regards
to yield stresses in different directions can be found in Hill [4]. This can be
used to determine their values experimentally.
4.8 Plasticity in Large Deformations 253
4.8.3.2.3 Kinematic Hardening
In reference to Eq. 14, one needs the values of h and c by a procedure which is
standard in evanescent memory models. Notice that h/c represents a
saturation measure for the back stress.
4.8.3.2.4 Isotropic Hardening
Similarly, in reference to Eq. 16, one needs the values of H and C. The ratio
H/C is the saturation value of the isotropic hardening variable k.
4.8.3.2.5 Plastic Spin Coefficients
4.8.3.2.5.1 For Kinematic Hardening
The value of r/a in Eq. 17 influences the saturation level of the shear stress in
simple shear loading. Its determination is not straightforward, and the reader
is referred to Dafalias [7] for further details.
4.8.3.2.5.2 For orthotropic re-orientation
Finally, the value of 1/ in Eq. 18 will be of cardinal importance when

orthotropic reorientation takes place. In a recent work [11], it was found that
when setting r/-rl'/[(2/3)trS2] 1/2 at the absence of kinematic hardening,
values of r / ' - - 1 0 0 , - 2 0 0 , - 3 0 0 can simulate successfully the orthotropic
reorientation measured experimentally when orthotropic sheet metal samples
are stretched in different directions, [15].
REFERENCES
1. Dafalias, Y. E (1998). The plastic spin: Necessity or redundancy? Int. J. Plasticity 14: 909-931.
2. Aravas, N. (1994). Finite-strain anisotropic plasticity and the plastic spin. Modelling Simul.
Mater. Sci. Eng. 2: 483-504.
3. Dafalias, Y. E, and Rashid, M. M. (1989). The effect of plastic spin on anisotropic material
behavior. Int. J. Plasticity 5: 227-246.
4. Hill, R. (1950). The Mathematical Theory of Plasticity, Oxford University Press.
5. Pereda, J. J., Aravas, N., and Bassani, J. L. (1993). Finite deformations of anisotropic
polymers. Mechanics of Materials 15: 3-20.
254 Dahlias
6. Dafalias, Y. E (1983). Corotational rates for kinematic hardening at large plastic deformations.
ASME J. Appl. Mech. 50: 561-565.
7. Dafalias, Y. E (1985). The plastic spin. ASME J. Appl. Mech. 52: 865-871.
8. Loret B. (1983). On the effect of plastic rotation on the finite deformation of anisotropic
elastoplastic materials. Mechanics of Materials 2: 287-304.
9. Dafalias, Y. E (1993). On the evolution of structure variables in anisotropic yield criteria at
large plastic transformations, in Proc. CNRS Intern. Colloquium No. 351, Villard-de-Lans, June
1983, in Failure Criteria of Structured Media, Boehler, J.P. ed., Rotterdam: A.A. Balkema.
10. Dafalias, Y. E (1984). A missing link in the formulation and numerical implementation of
finite transformation elastoplasticity, in Constitutive Equations: Macro and Computational
Aspects, in ASME Special Publication, Willam, K. J. ed., pp. 25-40.
11. Dafalias, Y. E (2000). Orientational evolution of plastic orthotropy in sheet metals. J. Mech.
Phys. Solids, 48: 2231-2255..
12. Zbib, H. M., and Aifantis, E. C. (1988). On the concept of relative and plastic spins and its
implications to large deformation theories, I and II. Acta Mechanica 75: 15-33, 35-56.
13. Kuroda, M. (1997). Interpretation of the behavior of metals under large plastic shear
deformations: A macroscopic approach. Int. J. Plasticity 13: 359-383.
14. Levitas, V. I. (1998). A new look at the problem of plastic spin based on stability analysis. J.
Mech. Phys. Solids 46: 557-590.
15. Kim, K. H,. and Yin, J.J. (1997). Evolution of anisotropy under plane stress. J. Mech. Phys.
Solids 45, 841-851.
SECTION 4.9
Plasticity of Polymers
JEAN-MARC HAUDIN, BERNARDMONASSE
CEMEF - BP 207, 06904 Sophia Antipolis, France
Contents
4.9.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
4.9.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
4.9.3 Description of the Models . . . . . . . . . . . . . . . . 257
4.9.3.1 Yield Behavior . . . . . . . . . . . . . . . . . . . . 257
4.9.3.2 Overall Constitutive Equations . . . . 258
4.9.3.3 Discussion and Further
Developments . . . . . . . . . . . . . . . . . . . . 260
4.9.4 Identification of Rheological Parameters .. 261
4.9.4.1 One-Dimensional Laws . . . . . . . . . . . . 261
4.9.4.2 Generalization to Three
Dimensions . . . . . . . . . . . . . . . . . . . . . . 262
4.9.4.3 Extension to Complex Loading
and High Strain Rates . . . . . . . . . . . . . 262
4.9.5 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
4.9.1 VALIDITY
Plasticity of polymers refers to large deformations of a m o r p h o u s polymers in a

temperature range below and near the glass transition temperature Tg, and of
semicrystalline polymers below their melting temperature Tin. In such
conditions, the mechanical behavior can be, in a first step, characterized by
a n o m i n a l stress-strain curve, as obtained in a classical tensile test (Figure
4.9.1): ~N = F/So, eN = A L / L o , where E AL, So, and Lo are the load, the
elongation, the initial section, and the initial length of the specimen,
respectively.
After an elastic and viscoelastic range I, in which the deformation is
h o m o g e n e o u s and essentially reversible, the n o m i n a l stress reaches a
m a x i m u m (yield point). Beyond this m a x i m u m , necking occurs and ON

256 Haudin and Monasse
III IV
FIGURE.4.9.1. Nominalstress-strain curve of a ductile polymer.
decreases (stage II). Afterwards, the neck stabilizes and its shoulders
propagate until they reach the specimen heads (stage III). Then, the
deformation is homogeneous again till rupture occurs (zone IV). In
comparison with metals, the term plastic behavior concerns stages II to IV,
in which a permanent deformation is observed after unloading and remains at
the time scale of the experiments.
Plasticity of polymers exhibits a number of specific features. First,
deformation is generally heterogeneous because of the occurrence of necking
or shear-bands. Therefore, the nominal curve of Figure 4.9.1 does not reflect
the "true" mechanical behavior. Then, deformation is largely reversible. In the
case of amorphous polymers, it can be completely recovered by annealing
above Tg. Finally, the mechanical behavior is very sensitive to previous
thermomechanical history (e.g., annealing prior to deformation), deformation
path (induced anisotropy), and hydrostatic pressure.
4.9.2 BACKGROUND
In crystalline materials, plasticity is interpreted in terms of the motion of

linear defects or dislocations. Taking into account some similarities in the
relationships between shear yield stress and modulus, many researchers have
identified the elementary mechanism of plasticity in glassy polymers as the
thermal activation of structural defects analogous to dislocations. Further-
more, polymers are viscoelastic materials, which generally exhibit several
mechanical relaxations. Therefore, the existing models are based on two or
three of the following ingredients: defects or sheared microdomains, thermal
activation helped by applied stress, and viscoelastic transitions [6].
4.9 Plasticiy of Polymers 257
Semicrystalline polymers are very often deformed when the amorphous

phase is in the rubberlike state. This mobility of the amorphous component
allows, at the beginning of deformation, relative displacements of the
crystalline lamellae (interlamellar slip, interlamella separation). Then, plastic
deformation of polymer crystals takes place, essentially by crystallographic
slip. At large strains, the lamellar crystals are broken into smaller crystalline
blocks connected by amorphous fragments of molecules. This lamellar-to-
microfibrillar transformation occurs in the macroscopic neck. The ultimate
step is the extension of the amorphous network. Consequently, the
deformation of the crystalline phase can be modeled using micromacro
approaches based on slip mechanisms, whereas strain-hardening at high strain
can be treated with a rubber elasticity formalism.
When the amorphous phase is in the glassy state, deformation combines
the specific mechanisms of the amorphous and crystalline phases described
previously.
4.9.3 DESCRIPTION OF THE MODELS
4.9.3.1 YIELD BEHAVIOR
From the physical ingredients listed in Section 4.9.2, many authors have
focused their analysis on the yield behavior of glassy polymers. Only two
examples will be considered here. The work of Bauwens-Crowet is not based
on the concept of dislocations but on the thermal activation of viscoelastic
transitions. In a temperature range where a single molecular process is
involved, the yield stress O'y as a function of temperature T and strain rate + is
represented by
O'y k [ l n ( ~ ) ~ T ] ( Q - o-yV)
g - V + or k - ko exp kW (1)
which corresponds to an Eyring equation with two adjustable parameters: the

activation energy Q and the activation volume V. k is the Boltzmann constant.
The interpretation of yield stress in terms of elementary relaxations has
been developed by Perez [8] in a sophisticated model involving the stress-
assisted activation of collective molecular movements related to fl transition.
This analysis is consistent with the dislocation approach, since these
molecular movements are confined in sheared microdomains. The model is
able to predict the complex modulus in the whole temperature range of e and
fl transitions, to describe the yield behavior, and to give access to the stress-
strain curves as a function of temperature and strain rate.
4.9.3.2 OVERALL CONSTITUTIVE EQUATIONS
These equations are generally one-dimensional and intend to represent the

whole true stress vs. true strain curve. Some of them consider only the plastic
behavior, whereas in many cases all the strain components are integrated into
the same formalism. They are either fully phenomenological, or more or less
based on physical models presented in Section 4.9.2. They can be classified
into three categories:
9 Multiplicative laws: or(e, 8) = K v F(e) G(8)

9 Additive laws: or(e, 8) = F(e) + G(8)
9 Differential laws: do/de = D(e, k)
The o denotes the stress, 8 the strain rate, and e - fo 8(u) du the accumulated
strain. Kp is a scale factor.
4.9.3.2.1 Multiplicative Laws

The most popular multiplicative law, which is purely phenomenological,
originates from the work of G'Sell and Jonas. In its most complete form [5], it
is written as
rr = K~ e x p ( a / T ) [ 1 - exp(-we)][1 + c e x p ( - b e ) ] e x p ( h e n ) 8 m (2)
where the temperature dependence of Kp is described by an Arrhenius law:
Kp = K e x p ( a / T ) . F(e) consists of three terms:
9 V(e)= [1-exp(-we)], which describes the initial elastic-viscoelastic part

of the curve;
9 C(e)= [l+c exp(-be)] to account for the stress peak observed at the yield
when the amorphous phase is glassy;
9 H(e)= exp(he") for the hardening at high strain; n is generally close to 2,
the value proposed in the initial version of the theory.
The strain-rate sensitivity G(8) is represented by a power law.
This equation is well adapted for tension. For other types of loading
(simple shear, compression, multiaxial impact, etc.) the following expressions
are preferred for H(e):
simple shear H(e) = exp(he) (3)
simple shear H(~) -- 1 + h~ (4)
multiaxial impact H(e) = 1 + hlg+h2 ~2 (5)

4.9.3.2.2 Additive Laws

These can be considered either as empirical or as based on the decomposition
of the stress into an "effective" stress o* (8) (activation of the elementary
mechanisms of plasticity) and an "internal" stress ai(g) (strain-hardening
effects related to chain orientation). Following Andrews and Ward, G'Sell and
Jonas [4] have proposed this equation:
~r = oi(~) + o* (/;)
= Kl[exp(2e) - e x p ( - e ) ] - m In ~o
where the expression of the internal stress ai(e) derives from the rubber
elasticity theory.
Other additive laws can be found in the literature. For polycarbonate (PC),
one can mention:
9 the Belcadi-Parisot law, modified to take into account the strain-rate

sensitivity
= as + a o ( e x p ( e / e c ) - 1) + fl In (7)
9 the 0 law
= erez+ Ks[1 + 0e exp(-we2)] + K e x p ( a / T ) exp(he2)~ m (8)
where the elastic component Crel obeys Hooke's law and the second term
describes the stress maximum at the yield.
4.9.3.2.3 Differential Laws

The Vest-Amoedo-Lee law, proposed for amorphous polymers like PC, is
based on a rheological model consisting of a Hookean spring (modulus E) in
series with three parallel elements (yield element, Eyring dashpot, rubber
elasticity element). This leads to the differential equation
d__~
&=E 1
K
-sinh V
1+ (') --~o
~b~
e x p ( - c l e)
- K1 { exp(2~) - exp(-~) }
4kT
(93
where ~bo and Cl characterize the stress distribution in the parallel elements, K
and V are related to the Eyring dashpot, and Kl[exp(2e)-exp(-e)] is the
rubber elasticity term.
In the differential G'Sell-Jonas model [4], the strain is decomposed into an
elastic part related to the stress through the modulus E and into a plastic
component. Plastic deformation is due to the creation and propagation of
dislocation-type defects. The constitutive equation is written
d-7- E 1 - - 7 exp (10)

ee kT
where the internal stress o-i(8 ) is described by the complete equation derived
from rubber elasticity models:
cri(e) = K1 [exp(2e)-exp(-e)] + K2 [exp(e)-exp(-2~)] (11)
and o-~ is the constant effective stress after the transient yield behavior. In its
original version, the model is temperature- and strain rate-independent, but
these dependences can be introduced.
4.9.3.3 DISCUSSION AND FURTHER DEVELOPMENTS
The principal merit of the analytical multiplicative and additive laws is their
ability to describe, at given strain rate and temperature, the stress-strain curve
in a simple mathematical formalism. They can be easily implemented in
computer codes, especially in the multiplicative case. Nevertheless, they suffer
from their empirical or semiempirical character.
Therefore, there is an increasing demand for physically based models. For
amorphous polymers, the G'Sell-Jonas differential model can be considered as
a first attempt, but the stress determination requires a numerical integration
and this law is not easily usable in computer simulations. In the same way,
Perez's model [8], which correctly predicts the yield behavior and the
beginning of plastic deformation, would be fully operational if it were
completed by an entropic strain-hardening law. Once more, the stress-strain
curve is calculated numerically. Concerning semicrystalline polymers, the
plastic behavior of the crystalline phase can be predicted using models
developed for metals (e.g., modified Sachs model or self-consistent model).
They must be combined with approaches based on rubber elasticity to
account for the extension of amorphous chains at high strain. Thanks to these
models, the prediction of the macroscopic mechanical behavior from
microscopic processes becomes possible in simple cases.
4.9.4 IDENTIFICATION OF RHEOLOGICAL

PARAMETERS
4.9.4.1 ONE DIMENSIONAL lAWS
The identification of the rheological parameters of the overall constitutive

equations presented in Section 4.9.3.2 is generally performed in mechanical
tests corresponding in principle to a simple loading: tension, compression,
and shear. Nevertheless, a number of problems have to be overcome. The first
one is to prevent self-heating, which imposes one to work at a low strain rate
(typically g _< 10 -3 s- 1).
A major problem is the inhomogeneity of the deformation observed
in many tests (see introduction). A solution is either to find homogeneous
(e.g., plane-strain compression of thin films) or quasi-homogeneous
(e.g., compression of cylinders with appropriate dimensions) conditions
or to consider a mesoscopic scale where the deformation is assumed to be
locally uniform (uniaxial tension, simple shear). For instance, in video-
controlled tensile tests, the deformation of hourglass-shaped specimens is
followed by a video camera. Necking occurs in the minimum section, and
the system measures in real time the minimum diameter D, the local radius
of curvature Rc, and the load E The true stress, strain, and strain rate are
then
4F 1 (__~) 2 dD
(
-- e-- 21n 8--
O" /1:D2 1 + - In 1 + D dt (12)
The stress 4F/rcD 2 is corrected for triaxiality effects using the Bridgman
factor.
Finally, the tests should be performed at constant strain rate g. This is
possible in video-controlled tensile tests by monitoring the cross-head
velocity from diameter measurements.
The numerical values of the rheological coefficients can be determined
from true stress-strain curves either "by hand" from a careful analysis of the
different regions of the curves, or as a whole using optimization programs
based on the least-square method. More recently, inverse methods combining
a direct model for the simulation of the test by the finite element method and
an optimization module for minimizing the differences between predicted and
measured physical data have been employed [10].
4.9.4.2 GENERALIZATION TO THREE DIMENSIONS
The generalization of one-dimensional laws to three-dimensional situations

requires the definition of equivalent quantities (stress, strain and strain rate)
associated with yield criteria. Incompressible and isotropic criteria (Tresca,
von Mises) have been used in the literature, but this raises two categories of
problems:
9 The mechanical behavior of solid polymers is very pressure-dependent.

Whatever the polymer, the yield stress strongly increases with
hydrostatic pressure. It implies that symmetrical criteria in the stress
space cannot predict the yield stress under different deformation paths.
Conversely, nonsymmetrical criteria such as Mohr-Coulomb or pres-
sure-modified von Mises criteria seem to be able to describe the stress at
yield, which has been checked on a limited number of polymers.
9 An important anisotropy is developed at high strain, strongly depending
on the deformation path: it is higher in tension than under compression
or shear. Micro-macro approaches are able to interpret these
phenomena in simple cases, but they are not yet available for
engineering applications. Inverse methods provide an alternative
solution.
4 . 9 . 4 . 3 EXTENSION TO COMPLEX LOADING AND

HIGH STRAIN RATES
In many practical cases, e.g., in impact tests or during the thermoforming

process, the material experiences both complex loading and high strain rates.
It has been shown previously that
9 Constitutive equations are determined in laboratory experiments in

simple loading conditions and at low strain rates.
9 The induced anisotropy is strongly dependent on the deformation path.
Micro-macro approaches are able to predict this anisotropic behavior,
but only in limited cases and with important calculations.
Therefore, the idea is to select a test in which matter is supposed to be

strained in conditions close to those encountered in the actual application.
From experiments performed using this test and for a given mathematical
form of the constitutive equation, the rheological coefficients can be identified
thanks to an inverse method [10].
4.9.5 RESULTS
Table 4.9.1 gives the values of the coefficients of the simplified Eq. 1
o -- Kp[1 - e x p ( - w e ) ] exp(he2)/; m (i')

for different types of loading (uniaxial tension, uniaxial compression) and
various polymers: polyethylene (PE) [1], polypropylene (PP) [3], poly(ox-
ymethylene) (POM) [7], polyamide 6-6 (PA 66). For PE, the values given for
m take into account its variations with e, and for w its variations as a function
of ~. For other polymers, these values have been averaged.
Bisilliat and Billon [2] have s h o w n that for PC b o t h the phenomenological
0 law Eq. 8 and the physically-based G'Sell-Jonas differential law Eq. 10 were
able to describe the stress-strain curve u n d e r uniaxial tension, including the
stress peak at the yield transition. The numerical values of the coefficients of
these laws at 20~ are given in Tables 4.9.2 and 4.9.3.
For multiaxial impact, Tillier and Billon [9] have used the modified G'Sell-
Jonas multiplicative equation
cr - - Kv[1 - exp(-we)](1 + hie -~ h2~2) exp(he 2) ~m (13)
and identified the numerical values of the coefficients using an inverse

m e t h o d (Table 4.9.4).
TABLE 4.9.1 Rheological Coefficients for Different Types of Loading and Various Polymers.
G'Sell-Jonas Muhiplicative Law Eq. 1'
Polymer Test Temperature(~ Kp (MPa Sm) W h m
-20 65 45 0.48 0.03
PE Tension 68 0.05
22 46 22 0.41 0.09
50 0.06
60 25 20 0.43 0.10
30 0.05
20 63.6 31 0.52 0.082
80 17.4 32 0.36 0.047
PP Tension 110 9.1 33 0.39 0.029
130 7.5 26 0.45 0.040
150 4.5 23 0.40 0.034
POM Compression 115 70.3 34 0.05 0.110
165 10.3 45 0.10 0.056
PA 66 Compression 25 122 22 0.10 0.021
100 70 7 0.10 0.021
230 23 15 0.10 0.021
TABLE 4.9.2 0 Constitutive Equation for PC at 20~ Uniaxial Tension.
K (MPas m) a (K -1) 0 h m Ks (MPa)
5.33 749 270 1.8 0.041 0.9
TABLE 4.9.3 G'Sell-Jonas Differential Constitutive Equation for PC at 20~ Uniaxial

Tension.
E (MPa) W/h r (MPa) a2 K1 (MPa) K2 (MPa)
2300 38.7 65 0.05 60 - 80
TABLE 4.9.4 Tillier-Billon Constitutive Equation for PP; Multiaxial Impact; Test Temperature
20~
Ke (MPa Sm) W hi h2 m
17.4 106.8 1.04 0.325 0.045
REFERENCES
1. Aly-Helal, N. A. (1982). Etude et simulation du d4veloppement de la striction dans le

poly4thyl~ne ~ haute densit4, th~se, Institut National Polytechnique de Lorraine, Nancy.
2. Bisilliat, M. L. (1997). Comportement m4canique d'un polycarbonate ~ grande vitesse de
sollicitation. Etude exp4rimentale et simulation, th~se, Ecole des Mines de Paris.
3. Duffo, P., Monasse, B., Haudin, J. M., G'Sell, C. and Dahoun, A. (1995). Rheology of
polypropylene in the solid state. J. Mater. Sci. 30: 701-711.
4. G'Sell C. and Jonas, J. J. (1981). Yield and transient effects during the plastic deformation of
solid polymers. J. Mater. Sci. 16: 1956-1974.
5. G'Sell, C. (1988). Instabilit4s de d4formation pendant l'4tirage des polym~res solides. Rev.
Phys. Appl. 23: 1085-1101.
6. G'Sell, C. and Haudin, J. M. (1995). Introduction h la m~canique des polym~res, Institut National
Polytechnique de Lorraine, Vandoeuvre l~s Nancy.
7. Haudin, J. M., Monasse, B., Valla, T. and Glommeau, S. (1995). Numerical simulation of
polymer forging: How to determine the rheological coefficients. Intern. Polym. Process. 10:
179-185.
8. Perez, J. (1992). Physique et m4canique des polym~res amorphes, Lavoisier Tec et Doc, Paris.
9. Tillier, Y. (1998). Identification par analyse inverse du comportement m4canique des
polym~res solides. Applications aux sollicitations multiaxiales et rapides, th~se, Ecole des
Mines de Paris
10. Tillier, Y., Massoni, E. and Billon, N. (1998). Inverse method for the characterization of
mechanical behavior of polymers under biaxial high velocity loading, in Computational
Mechanics. New Trends and Applications, Proc. 4 th World Congress on Computational
Mechanics, Buenos-Aires.
SECTION 4.10
Rational Phenomenology
in Dynamic Plasticity
JANUSZR. KLEPACZKO
Metz University, Laboratory of Physics and Mechanics of Materials, Ile du Saulcy, 57045 Metz, France
Contents
4.10.1 Range of Strain Rates a n d F u n d a m e n t a l s .. 265
4 . 1 0 . 2 I n s t a n t a n e o u s Rate Sensitivity a n d Rate
Sensitivity of Strain H a r d e n i n g . . . . . . . . . . . 266
4 . 1 0 . 3 The F o r m a l i s m in M o d e r n C o n s t i t u t i v e
Modeling ................................. 268
4 . 1 0 . 4 Identification of M i c r o s t r u c t u r e . . . . . . . . . . . 270
4.10.5 O n e - p a r a m e t e r M o d e l of M i c r o s t r u c t u r a l
Evolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 71
4 . 1 0 . 6 Recent A p p l i c a t i o n s . . . . . . . . . . . . . . . . . . . . . . 272
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
4.10.1 RANGE OF STRAIN RATES AND

FUNDAMENTALS
Dynamic plasticity in its general definition covers several decimal orders in

strain rate, typically from 10E-4 1/S (quasi-static case) to 10E-6 1/S (high-
velocity impact). Since plastic flow is a kinetic process, in general, the level of
stress at constant microstructure depends on both strain rate and temperature.
The low-temperature micromechanisms involved in dynamic plasticity
operate typically from OK up to about 0.5 of the melting point. The
microstrucuture can be defined in many ways; one possibility is to use the
concept of internal state variables (one or more than one) [ 1], which take into
account a microstructural evolution. Since the density of moving defects per

266 Klepaczko
unit volume that take part in plastic deformation is very large, it is convenient
to operate by mean quantities; however, they are not precisely defined by
statistical means. Such an approach is called rational phenomenology,
represented in this paper. The architecture of physical laws used is called
the formalism. The constitutive formalisms are a powerful tools for
formulating physically based rate- and temperature-dependent constitutive
models.
4.10.2 INSTANTANEOUS RATE SENSITIVITY

AND RATE SENSITIVITY OF STRAIN
HARDENING
Over the years numerous experimental data have been accumulated, too many
to mention, which clearly demonstrate the existence of so-called strain rate
history and temperature history ,effects [1-3]. Those effects have been
observed for both metals and alloys as well as for single crystals [4]. The
typical behavior in two common lattice structures, FCC and HCP, for
temperatures less than about half of the melting temperature, is shown in
Figure 4.10.1 [5].
According to the schematized responses to strain rate or temperature
changes from 1-'i to l~r or from Ti to Tr, an instantaneous elastic response is
observed as an increment of shear stress A~:s; this is the path ABCD in Figure
4.10.1a. The same happens when temperature is abruptly decreased, as is
shown in the lower part of Figure 4.10.1a i.e., the path ABCD. Decrease of
from l'i to l~r or increase of T from Ti to Tr produces responses shown in
Figure 4.10.1b. Independently, whether a metal is deformed with a jump of
strain rate or 1-"is changed with a temporary unloading, the result is similar, as
is shown in Figure 4.10.1. In this paper notation of the shear strain will be as
follows: F = tan 7, where 7 is the shear angle, and the time derivative:
-- d F / d t . It is evident that the strain rate or temperature history effects are
due to a somewhat different physics of strain hardening at different strain
rates or temperatures. The significance of the incremental tests lies in the fact
that they provide values of flow stress at two different strain rates with
virtually the same microstructure. In conclusion, A~s (path BC in Fig. 4.10.1)
is the measure of instantaneous rate sensitivity at constant microstructure.
The entire stress difference Avs 4- Avh refers to the same initial strain 1-'i but to
two slightly different microstructures, and consequently Al:h is the result of
deformation history. The total increment of stress AI: = A~s 4- Al:h can be
determined from the tests with two constant strain rates or temperatures. It is
obvious that A~h can be associated with rate sensitivity of strain hardening.
4.10 Rational Phenomenology in Dynamic Plasticity 267
a b
?i<'i',; ri>T, ~>'Pr ; Ti~rr
T:T r ' ~ T:Ti
-= YY',
iBt'~T:?
~Yp
);'i I -- ~L'- -
,Yr
Yp Yp
FIGURE 4.10.1
This rather loose term emphasizes the dependence of strain hardening on

strain rate.
The following three general definitions for strain rate sensitivity of flow
stress can be introduced (Eq. 1). The definitions are referred to shear
deformation; however, they are also valid in case of tension or compression.
All rate sensitivities are defined as instantaneous quantities determined with
jump tests [1]:
fl+ - (c~-r/a log f')r,SfR; rn~ - (a log "c/a log 1-')T,STR; r/~ -- (a'C/af")f,SfR
(1)
where fi is the rate sensitivity, m is the logarithmic rate sensitivity, and r/is the
viscosity. The complete set of the rate sensitivities is fl, m, r/. The total rate
sensitivities can be determined at two constant strain rates and the
instantaneous values from jump tests [1]. For both cases, fl~, m+, r/+ and fi~,
m~, r/r can be determined, respectively, for shear and tension/compression. All
those quantities are interrelated, as is shown in Table 4.10.1.
268 Klepaczko
TABLE 4.10.1
Rate sensitivity *m *[3, rl,
m~ ~ 1 l/r, T F/~
T
~ ~ T T 1
T
1/[" T 1
Rate sensitivity *m *fla t/ty

ma = 1 1/ rr
T
~ ~ T 1
T
tic a/~ T 1/~ T 1
4.10.3 T H E F O R M A L I S M IN M O D E R N
CONSTITUTIVE MODELING
The so-called formalism in constitutive modeling is a set of assumptions

formulated on the notions of materials science. In view of the complexity and
diversity of dislocation behavior, the formalism, or the "architecture" of the
constitutive relations, may differ depending how many particular micro-
processes of plastic deformation are taken into consideration. Plastic flow of
metals is determined on the atomic scale by the motion of defects (mainly
dislocations). Since the defects are multiplied during plastic deformation, the
strain hardening develops. On the other side the plastic flow is a kinetic
process. Such an approach leads to a specific constitutive modeling. The
formalism presented here had been introduced some time ago [5], and further
developments have been reported later [1, 6, 7, 8]. The formalism differs from
that proposed later by Mecking and Kocks [9] and by Estrin and Mecking
[10], and applied recently to high strain rate plasticity [11].
The thermal activation strain rate analysis is employed for both the kinetics
of glide and the kinetics of structural evolution. Three main factors contribute
to the actual level of flow stress: strain, strain rate, and temperature. The
evolution of the effective stress is associated with glide kinetics and short
transients of flow stress (instantaneous rate sensitivity) [12], and the
evolution of the internal stress is coupled with the formation history of the
microstructure (rate-sensitive strain hardening). The model takes into
account the evolution of the mean dislocation density, mobile dislocation
density, formation of dislocation cells, the effect of grain diameter, and
formation of twins. As a result, a quantitative description of strain rate history

and temperature history effects in FCC, BCC, and HCP lattices can be
accomplished. More recent numerical simulations have demonstrated the
capabilities of the model. It has also been shown that at high strain rates
(103S-1 ~ F < 106S-1) an excessive dislocation generation occurs in FCC
metals which leads to a substantial increase of the mechanical threshold (the
flow stress in absence of the thermal vibration of the lattice, i.e., at
temperatures near the absolute zero). The notion is adopted that plastic
deformation in shear is the fundamental mode of deformation. Another
fundamental assumption is partition of the flow stress r into the effective
stress ru and the internal stress r*; thus
r -- z~ + z * or in tension/compression a -- a~ + a* (2)
The assumption of additiveness according to Eq. 2 implies the existence of

two sets of obstacles opposing the dislocation movements [13]. The first one,
associated with the internal stress zu, is due to strong obstacles to dislocation
motion like cell walls, grain walls, twins, etc. The secondary defects, while
more numerous, like forest dislocations, Peierls barriers, and second phase
particles, are supposed to be weak obstacles, and they can be overcome by
moving dislocations with the assistance of thermal vibration of crystalline
lattice. Those obstacles produce the effective stress z*. The kinetics of defect
(dislocation) movements interrelates at constant microstructure, character-
ized by j state variables sj, the instantaneous value of effective stress z*, and
the instantaneous plastic strain rate F. The expression for this process can be
written as
[" -- V i (T, sj)exp[-AGi(T, "c*, sj)/kT] (3)
or after inversion
r* - f * {sj[h(1~, T)], 1-', T} (4)
where vi is the frequency factor, AGi is the free energy of activation, T is the
absolute temperature, and k is Boltzmann constant. The subscript i indicates
the i-th, so far unspecified, thermally activated micromechanism of plastic
deformation. Generally AG depends on the effective stress r* in a nonlinear
manner [1,13]. Note that only plastic strain and plastic strain rate enter into
equations. The internal stress zu must be also rate and temperature-dependent
via dynamic recovery processes, i.e., relaxation of long-range internal stresses
due to dislocation annihilation and rearrangements of obstacles to dislocation
motion. Thus the internal stress is
~ - f~ {sj[h(f',r)]}STR (5)
270 Klepaczko
It is assumed that the recovery processes leading to a structural evolution may

be thermally activated. It is the source of temperature and strain rate
dependence of zu.. Both strain rate and temperature enter into Eqs. 4 and 5 in
the functional form
"CsTa-f~{s),[h(F, T)]}sTa + f * {sj, [h(F, T)],F, T}STR (6)
where h(]~, T) indicates that the internal state variables.sj do depend on the
history of F and T defined more exactly as F(F) and T(F). Consequently, the
plastic response of a material is divided into two logic steps: the flow stress z
depends on the current structure, defined by sj state variables and also on the
current values of 1-" and T, and next the structure evolves with plastic strain.
This is the fundamental assumption of the model. Both components of stress
in Eq. 6 are written for a current state characterized by sj state variables. Since
the microstructure undergoes an evolution, and the state of microstructure is
defined by j variables, the microstructure evolution is assumed in the form of
a set of j differential equations of the first order
d s j / d F - fj[Sk, F(F), T(F)], k - 1 . . . ,j. (7)
A solution of the set defined by Eq. 7 provides current values of sj to be
introduced into Eq. 6. Thus the flow stress can be calculated for any
deformation history.
4.10.4 IDENTIFICATION OF
MICROSTRUCTURE
Flow stress or yield stress in polycrystalline metals and alloys can be related to
characteristic spacing of obstacles to dislocation motion associated with a
particular microstructure [13]. A range of characteristic spacing is possible.
The following four are assumed as a satisfactory choice for the internal state
variables: the microstructure is characterized by the mean distance L between
forest dislocations, the mean value of a dislocation cell d, the mean value of a
grain diameter D, and the mean distance between twins A Each of those
obstacles to dislocation motion will contribute to the total value of the
internal stress ~:u. An explicit expression for ~u can be written as [1,8]
"r,p -- •llgbp 1/2 -Jr-o~2/t +e3// -+-e412 (8)
where # is the shear modulus, ~1 "~4 are constants which characterize

" "
dislocation/obstacle strength, b is the modulus of Burgers vector, the mean

spacing between forest dislocations can be defined as L - 1/V/-fl, and 5 is an
exponent which is equal to 1 for one-dimensional characteristic spacing L and
6 = 1/2 for two-dimensional spacings (d, D, A). A more detailed

characterization of all variables p, d, D, and A can be found elsewhere
[1, 6, 8]. The first three terms in Eq. 8 are related, respectively, to dislocation/
dislocation interaction, evolution of subgrain, and the effect of grain
diameter the so called Hall-Petch term [1]. It is well known that at low
temperatures and at very high strain rates some metals and alloys produce
deformation twins. Thus the fourth term in Eq. 8 accounts for twin formation
as a dislocation obstacle at the beginning of a certain strain level, usually
F ~ 0.08, dislocations form cells with linear dimension d. Generally, the
evolution of d(p) intensifies strain hardening with a larger effect at small
strains.
4.10.5 ONE-PARAMETER MODEL OF

MICROSTRUCTURAL EVOLUTION
Common to all recent microstructure-related models is that the set sj of

internal state variables is reduced to a single structure parameter which can be
identified as the mean dislocation density p [1, 5 - 8 , 12]. A general form of
the differential equation for structural evolution can be written as [5]
d p / d r - Mg(p, F ) - Ma(p, F, T) (9)
where the difference M4f = Mg - Ma is the effective coefficient of dislocation
multiplication [5, 14]. Once M4f is known in an explicit form, one can predict
the current value of plastic strain F that will be accumulated in any process of
deformation by integrating Eq. 9. A simple evolutionary relation has been
proposed in [6]
dp/dF = MH- ha([", T)(p - Po) with ha = k0(F/F0) -2m~ (10)
The initial condition for M, that is, M MII if F = 0, is satisfied automaticall.y
=
when p = P0; P0 is the initial dislocation density. The solution for p with F
and T as parameters yields the following relation:
P = P0 + ka(F, Y){1 - e x p [ k a ( F , T)F]} (11)
Introduction of the solution for p(Eq. 11) and expression for ka into Eq. 11
yields the final form for the ~u. The effects of d, D, and A in this contribution
are neglected. The second component of the flow stress, that is, r*, can found
in the explicit form using the generalized Arrhenius relation (Eq. 3). The
frequency factor v, is defined as vi = Pmb2VD, where p,, is the mobile
dislocation density and VD is the Debye frequency ( ~ 1013s-1). It is usually
assumed for FCC and HCP structures that Pm = fP, where f is the fraction of
the total dislocation density, f < 1, and typicallyf ~ 10 -3. For BCC metals the
272 Klepaczko
evolution of Pm is more complex; f is not a constant but varies, causing, for

example, the upper and lower yield point and Luders bands. Inversion of the
Arrhenius relation yields the explicit expression for ~*
I
where "c~ is the threshold stress at 0 K. For FCC and HCP structures the
threshold stress depends on the dislocation density, whereas for BCC
structures it is approximately constant this is the Peierls stress barrier
[1, 6, 13]. Application of this formalism leads to the explicit form of the
constitutive relation with F and 7" as parameters, r(f', T ) - r~(F, 1")+
z * (F, T), thus
r. - cz~b{Po + ka(f" , T , [ 1 - exp(ka(f% T,F,]}I/2 + "Co [1-G0k--~TlnVi(Fm)] (13)
where ka(r ~, T) is defined by Eq. 10 and vi is defined as discussed previously.
4.10.6 RECENT APPLICATIONS
The formalism in constitutive modeling with one state variable as the mean
dislocation density p has been applied so far many times, and the results of
numerical calculations have been reported in several papers [1, 3, 8, 12, 15]
for both FCC and BCC structures. The two state variable model with
evolution Pi and Pm, where Pi and Pm are, respectively, the immobile and
mobile dislocation density, has recently been applied to calculate short and
long transients for aluminum [12]. Those simulations for A1 in the form of
~(F) curves at different temperatures along with incremental changes of f~ do
show relatively good agreement with experimental observations. Concerning
FCC pure metals, numerical simulations of strain rate history effects were
reported in Reference [6]. They more or less exactly depict experimental
results for polycrystals of A1 deformed at different temperatures with jumps in
strain rate [1, 6, 8]. Stress-strain curves for Armco iron and 1020 steel have
been reported for a wide range of strain rates in References [6, 7, 8, 16]. An
agreement with experimental data was achieved for shear strains, F <0.4,
with a simple evolution equation without annihilation. A more realistic
evolution equation, in the simplified form of Eq 14, was applied to model
strain hardening and rate-sensitive plastic flow for XC18 steel (approximately
AISI 1018) [15]. A complete set of material constants for this steel is given
also in Reference [15]. The identification of material constants in the model
for the range of dynamic strain aging temperatures, via experiments on XC18
steel, was reported in [7].
In general, the formalism permits calculations of viscoplastic responses to

different deformation histories for FCC, BCC, and HCP relatively pure metals
and metallurgically stable alloys. It is flexible enough to include a variety of
effects on flow stress at different strain rates and temperatures.
REFERENCES
1. Klepaczko, J. R. (1988). A general approach to rate sensitivity and constitutive modeling of

FCC and BCC metals, in Impact: Effects of Fast Transient Loadings, p. 3, Guman, W. J., et al.,
eds., Rotterdam: Balkema.
2. Klepaczko, J. R., Frantz, R. A., and Duffy, J. (1977). History effects in polycrystalline FCC
metals subjected to rapid changes in strain rate and temperature. Engng. Trans. 25: 3.
3. Duffy, J. (1983). Strain-rate history effects and dislocation structure, in Material Behavior
Under High Stress and Ultrahigh Loading Rates, p. 21, Mescall, J., and Weiss, eds., New York:
Plenum Press.
4. Morrone, A. A., and Duffy, J. (1986). Strain Rate and Temperature Effects During Dynamic
Deformation of Polycrystalline and Monocrystalline High Purity Aluminum Including TEM
Studies, MRL Brown University Report, Providence.
5. Klepaczko, J. R. (1975). Thermally activated flow and strain-rate history effects for some
polycrystalline FCC metals. Materials Sci. Engng. 18: 121.
6. Klepaczko, J. R. (1987). Modeling of structural evolution at medium and high strain rates, in
Constitutive Relations and Their Physical Basis, Proc. 8-th Ris6 Symposium, p. 387, Ris6,
Roskilde, Danmark.
7. Zeghib, N. E., and Klepaczko, J. R. (1966). Work hardening of mild steel within dynamic
strain ageing temperatures. J. Materials Sci. 31: 6085.
8. Klepaczko,J. R. (1991). Physical-state variables: The key to constitutive modeling in dynamic
plasticity. Nuclear Engng and Design 127: 103.
9. Mecking, H., and Kocks, U. E (1981). Kinetics of flow and strain hardening. Acta Metall. 29:
1865.
10. Estrin, Y., and Mecking, H. (1984). A unified phenomenological description of work
hardening and creep based on one-parameter models. Acta Metall. 32: 57.
11. Follansbee, P. S., and Kocks, U. E (1988). A constitutive description of the deformation of
copper based on the use of the mechanical threshold stress as an internal state variable. Acta
Metall. 36: 81.
12. Klepaczko, J. R. (1992). Short and long transients in dynamic plasticity of metals, modeling
and experimental facts, in Shock-Wave and High-Strain-Rate Phenomena in Materials, p. 147,
Meyers, M. A., Murr, L. A., and Staudhammer K. P., eds., New York: M. Dekker.
13. Kocks, U. E, Argon, A. S., and Ashby, M. E (1975). Thermodynamics and Kinetics of Slip,
Oxford: Pergamon Press.
14. Gilman, J. J. (1969). Micromechanics of Flow of Solids, New York: McGraw-Hill.
15. Klepaczko, J. R., and Rezaig, B. (1996). A numerical study of adiabatic shear banding in mild
steel by dislocation mechanics based constitutive relations. Mech. of Materials 24: 125.
16. Klepaczko, J. R. (1984). An engineering model for yielding and plastic flow of ferritic steels,
in High Energy Rate Fabrication, p. 45, New York: ASME.
SECTION q .ll
Conditions for Localization
in Plasticity and Rate-
Independent Materials
AHMED BENALLAL
Laboratoire de M~canique et Technologie, ENS de Cachan/CNRS/Universit~ Paris 6, 61 avenue du
PrEsident Wilson, 94235 Cachan, France
Contents
4.11.1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
4.11.2 Method of Solution . . . . . . . . . . . . . . . . . . . . . . . 275
4.11.3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
4.11.3.1 N (or ~ ) Has Distinct Eigenvalues. 276
4.11.3.2 N and ~ Have Both a Double
Eigenvalue . . . . . . . . . . . . . . . . . . . . . . . . . 278
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
4.11.1 SCOPE
We give in this paper closed-form expressions for the critical conditions at

localization and the orientations of the corresponding plane for general rate-
independent constitutive equations of the form
Fif f < O o r f - 0 and f < O
~-0_'~ L-- H-F-~~ and f - 0 (1)
where c~ is the stress tensor, g the strain tensor, and l_ the tangent modulus. In
Eq. 1, f is the yield function, ~ and [3 are second-order tensors assumed
throughout to be coaxial, H = h + ~:I:-l: [3 is a scalar parameter, and F is the
elastic tensor assumed, throughout to be isotropic (with Lam~ constants 2 and
/~); h is the so-called hardening modulus. The dot is differentiation with
respect to time. It is convenient to introduce the deviatoric and hydrostatic
parts of 0~ and [3 such that cz = a + pl, [3 = b 4-ql with p = 1/3 tr(oO and
q = 1/3 tr([3). Localization is understood in the classical sense, i.e.. as an

4.11 Conditions for Localization 275
instability of the inelastic deformation, and is described as a bifurcation into

modes involving jumps of the velocity gradient across a planar band of normal
n. The general localization condition reads det (n.H.n) <_ 0 [1-31.
4.11.2 METHOD OF SOLUTION
We use here a geometrical method to solve in closed form the localization

condition. This can also be done using Lagrange multipliers as proposed by
Bigoni and Hueckel [4]. The localization condition for model (1) takes the form
(see [5])
1
H~(2 + 2/0 <_ (2 + 2~)4[((a + b).n)((a + b).n) - ((a - b ) n ) ( ( a - b)n)]
- (2 +/.z)~[(n(a + b)n) 2 - (n(a - b)n) 2] +/_zp +2 qn(a + b)n
- ~P + qn(a - b)n + #pq (2)

2
Introducing the tensors N = a + b and M = a - b, then the respective

magnitudes T+ and T_, and the respective normal components 2+, 2_ of the
generalized stress vectors N.n and M.n in the n direction, defined by
22+ = n.N.n, T+ = (N.n).(N.n), s = n.M.n, T_ = (M.n).(M.n) (3)
the localiztion condition becomes

4/x(2 + 2#) _< H(2 + 2/x)(T+ - T_) - ( 2 + 2/x)(2 2 - 22_)
4- ~/[(Z+ 4- p 4- q)2 _ (s 4- P _ q)]2 (4)
In the (Z+, T+) plane ( in the (Z_, T_) plane), by elementary Mohr analysis, a
given direction n is represented by a point lying in an admissible area T+ (in an
area T_) and corresponding exactly to the classical admissible area in the Mohr
diagrams associated with N and M. When denoting by Np (p = 1, 2, 3) and by
Mp (p = 1, 2, 3) the eigenvalues of N and M, respectively, and by Xp their
common eigenvectors, classical formulae in Mohr analysis show that the
components ni of n in the principal frames of N and M satisfy, respectively,
T+ 4- NiX+ + NjNk -- (ni)2(Ni - Nj)(Ni - Nk) (5)
T_ + Mis + MjMk -- (ni)2(Mi- Mj)(Mi- Mk) (6)
where (i, j, k) is a triplet with distinct numbers belonging to the set (1,2,3). We
denote by Hc the critical value of H at localization.
276 Benallal
4.11.3 RESULTS
Two situations should be analysed separately.
4.11.3.1 ~ (OR ~) HAS DISTINCT EIGENVALUES
When the eigenvalues of ~ (or those of ~ ) are distinct, the admissible area T+
(or T_) is a triangle (see Fig. 4.11.1.); moreover, one can compute from Eqs. 5
(or 6) the components of n, and then by Eq. 3 one can compute ~_ and T_
as functions of ~+ and T+ (or ~+ and T+ as functions of ~_ and T_)
and upon substitution in the localization condition Eq. 4, end up with
an expression involving only ~+ and T+ (or ~_ and T_ only). Clearly,
localization will occur when the domain D+ (D_) represented by
this inequality meets in the (~+, T+) plane ( in the (~_, T_) plane)
the admissible triangular area T+ (T_) defined previously. Depending on
the constitutive behavior at hand, localization can occur at the beginning of
the inelastic process or only after a finite period of this process. In the
FIGURE 4.11.1 Geometrical interpretation of the localisation condition in the (~+, T+) plane.
The admissible domain in this plane is the triangular area T+. The domain representing the
localization condition Eq. 2 is delimited by the hyperbola C+.
4.11 C o n d i t i o n s for L o c a l i z a t i o n 277
first case, the critical conditions are trivially given by the initial inelastic state;
from now on we consider only the second case, where they are obtained by the
instant when the curve C+ delimiting D+ intersects for the first time
the admissible area T+. This may happen when C+ (which is a hyperbola in
our case) touches T+ at one of its vertices (in which case the normal to the
localization plane is a principal direction of ~l and M), or when it becomes
tangent to one of its sides ( in which case the normal to the localization plane
lies in a principal plane of N and ~ ) . Therefore, it is concluded that the
normal to a potential plane of localization lies always in a common principal
plane of ~ and g4]. It remains then to consider the case where ~J and M have
both a double eigenvalue, since because of their deviatoric nature, they cannot
have a triple one. This case will be examined in Section 4.11.2.
Now that the potential planes have been obtained, the critical conditions at
localization must be obtained. Denote by (i, j, k) a triplet of distinct number
belonging to the set (1, 2, 3). Let us assume that n lies in the principal plane
spanned by xi and xj and call 0 the angle between xi and n (e c [0, re]).
Computing Z + , T+, Z_ and T_, substituting the result in Eq. 4 with equality to
get H, and maximizing H with respect to 0, one gets the stationnarity condition:
(Ni - Nj)sin 20[(2 +/2)cos 2 0 ( N i - Nj) - l l { N i q- Nj if- 2(p + q)}] =
(7)
(Mi - Mj)sin 20[(2 +/.t)cos 20(Mi - Mj) - #{Mi + Mj + 2(p - q)}]
This stationnarity condition has two solutions: either sin 20 = 0 and the
corresponding normals to the localization plane are the principal directions xi
or xj leading to the value hi or hj given by
hi- 4[L~ q-2g) Ni(Nj - Nk) - Mi(Nj - Mk)
- 232~ 4#+
(( p + q)(Nj - Nk) - (p - q)(Mj - Mk)) ]z
412 [ 3,~ + 21a(Ni(Mj _ Mk) -- (Mi(Nj - Nk) (8)

+ (2 + 2/2)(32 + 2/,) - 4/,
2
+ (p + q)(Mj - Mk) - (p -- q)(Nj - Nk)
1
4/~[(Nj - Nk) 2 -- (Mj - Mk) 2]
}2
(Nj - Nk)2 - (Mj - Mk) 2
and a similar one for hi.

cos 20 =
l.Z {Ni + Nj + 2(p + q)}(N, - Nj) - {M, + Mj + 2(p - q)}(M, - Mj) (9)
2+/2
278 Benallal
and the corresponding value of h is given by
hi-j - ~ 1{ 4#(232+2P+
la)[Nk(Ni - Nj) - Mk(Mi - Mj)
2# 2
+ 32 + 2~ (p + q)(Nj - Nk) -- (p -- q)(Mj - M/)]
4p 32 + 2p
q (2 + 2/.t)(3;t, + 2p) 8# {Nk(Mi- Mj) - M k ( N i - Nj)}
2
+ (p + q)(Mi - Mj) - (p - q)(Ni - Nj) (10)
9 _ Mj) - M k ( N i - Nj)] 2 } 1
§ [Nk(Mi ( N i - Nj) z - ( M i - Mj) z
This expression is of course valid only if - 1 < cos 20 < 1. The critical value
hc of h at localization corresponds to the normal n leading to the greatest value
of h. Using Eqs. 8 and 10, one can determine the domain of validity of each of
the expressions hp and hp_q, p, q - 1, 2, 3. These results, too long to be
reported here (see [5] for more details) are summarized in Table 4.11.1.
4.11.3.2 N AND ~/~ HAVE BOTH A

DOUBLE EIGENVALUE
Let (i+, j+, k+) and (i-, j - , k-) be two triplets of distinct numbers belonging
to the set (1, 2, 3). When N and ~ have both a double eigenvalue associated
with the principal directions xi+, xj+ and xi-, xj-, we have Ni+ = Nj+--
--1/2Nh+ and Mi+ = Mj+ = -1/2Mh+. The domains T+ and T_ degenerate to
two segments, the equations of which are, respectively,
1_ _2 -- 0and T+ - vNk+E+
T_ ---~Mk-E-1 - ~(Mk-) zl - 1 (Nk+ )2 -- 0 (11)
and Eqs. 5 and 6 using also Eq. 11 allow are to compute only
,,2 2s 1 -2 2 E_ 1
) (12)
3Nk+ t-~(nk- 3Mh_ 3
When the directions Xk+, xk- coincide, it is still possible to compute via
Eqs. 11,8 and 12 T_ and s as functions of T+ and s only (or T+ and s as
functions of T_ and s only ) since one has s - -Mh-/211 - 3(nk+)2], T_
= (Mh-)2/411 + 3(nh+) 2] and similar relations for T+ and s Therefore, we
can work, for instance, in the (T+, s plane and with the same arguments as
previously stated; it is found that localization will occur when C+ touches the
TABLE 4.11 1 Cntlcal condit~onsat localization for a + b # 0 and a - b # 0 -
+
w
Normal n to the localization planes

2_ 2- 2-
fElr
Criucal value of h M, distinct or N , d ~ s t ~ nor
ct Nk = &-a+ N, = f - o + N, = f - g + &
3 3 3
2- 2- 2- 2- z
N, = *-a+ and MJ = f-a-
(1
3
#J )
3
M~ = &-a-
3
M, = &-a-
2-
3
MI = i-o-
3 r
-i
A, 2 0, B Z 5 0. Bjt 5 0 ?L
A,@; 2 A,~BI,
G
h,, nt-j n~ r , nE r,
L AJkB$
+ 4A,k(Btk 1) 0 + >
A, > 0, A,k > 0
B,, 2 0, B,k L 0
or
A,, > 0, A,k i 0 h, n,
B,, 2 0, A,k(B,, 1) L 0 +
or n E n,, ~f A , =0
A , 10, A,k I 0
B , 5 - 1 , Btk 1 - 1 n~ n,-k ~fA,k = 0
A@:, + 4Akt(Bkt 1) 5 0 +
n, are the common principal d~recnonsof a + b and a - b, T,,IS the plane spanned by n, and nl. T,IS the cone with axls n, and angle 5 glven by:
+ -
= * 2
+ diMk - Z ( P - 4))(Mz - M,l - 2(Nk - Z(P + q))(N, - NI)]
+
2 ( ~ P)(N, - N,)' - (M, - M,)']
* 2
p{(Mh - Z(P - q)-)(MI - Mi) - (Nk - 2 ( p + q ) ) ( N , - NJ]}
2(2 + P)(N, - N,)' - (M, - MI)']
xi
A,, = (N, - N ) - (M, - Mi)', B -

:-'
0
A,,
{(Mh - 2 ( p q I ( M , - 4 ) - (Nk - 2 ( p + q ) ) ( N , N I ) ) - 1
280 Benallal
segment T+ at one of its extremities or becomes tangent to it. It is concluded

that the normal to the localization plane is either the common principal
direction associated with the simple eigenvalue (when the tangency point is
(T+ = 0, ~+ = Nk+), or an arbitrary direction in the common principal plane
associated to the double eigenvalue ( when T + - - 0 , 2E+ = Ni+ = Nj+), or a
direction belonging to the cone the axis of which is the common principal direction
( tangency to the segment T+ but not at its extremities) with angle ~ such that
(cos ~ ) 2 = (nk+)2 = (nk_)2, the right-hand sides being computed by Eq. 12
with E+ and E_ corresponding to the tangency point of the curve C+ with the
segment T+. The corresponding values of h are still given by Eqs. 8 and 10,
and the critical conditions are also summarized in Table 4.11.1.
W h e n the directions x/+, Xk- do not coincide, it is not possible to work in
the (T+, E+) plane or in the (T_, s plane. The alternative is to use Eq.
Eq. 11, compute T+ and T_, and upon substitution in the localization
condition, end up with an equation involving only E+ and E_. A similar
geometrical analysis can then be performed in the plane (E+, s where the
localization condition is seen to be represented again by a hyperbola H. The
admissible area in this plane.is easily obtained by regiving that the
components of the unit normal to the localization plane nk-, nk+ (given by
Eq. 12) and the third one (nk-k+) - - 1 - - ( n k + ) 2 - - ( n k - ) 2 along the axis
orthogonal to both xk+ and Xk-, be comprised between 0 and 1, i.e.,
2]E+ 1 2 E_ 1 1 2E+ 2 E_
0<- + < 1 0<---+ < 1 0< < 1 (13)
--3Nk+ 3 - - ' --3Mk- 3-- ' --3 3Nk. 3Mk---
This is again a triangular area and localization occurs when the hyperbola H
meets this domain at one of its vertices or becomes tangent to any of its sides.
In this case, it is concluded that the situation is exactly the same as when N or
M has distinct eigenvalues and all the results of Section 4.11.1 hold true.
REFERENCES
1. Rudnicki,J. W. and Rice,J. R. (1975). Conditions for localization of deformation in pressure-

sensitive dilatant materials. J. Mech. Phys. Solids 23: 371-394.
2. Rice,J. R. and Rudnicki, J. W. (1980). A note on some features of the theory of localization of
deformation. Int. J. Solids Struct. Vol. 16: 597-605.
3. Borre G. and Maier G. (1989). Meccanica 24: 36-41.
4. Bigoni, D. and Hueckel, T. (1991). Uniqueness and localisation. I. Associative and
nonassociative elastoplasticity. Int. J. Solids Struct. 28: 197-213.
5. Benallal, A. and Comi, C. (1996). Localization analysis via a geometrical method. Int. J. Solids
Struct.
SECTION 4.12
Gradient Plasticity
ELIAS C. AIFANTIS
Aristotle University of Thessaloniki, Thessaloniki, 54006 Greece, and Michigan Technological
University, Houghton, Michigan
Contents
4.12.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
4.12.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
4.12.3. Elementary Gradient Plasticity Models . . . . 283
4.12.3.1 Gradient Deformation Model 1
(Symmetric Stress [2,3,23]) . . . . . . . 283
4.12.3.2 Gradient Deformation Model 2
(Asymmetric Stress [17,18,25]) .... 284
4.12.3.3 Gradient Flow Model 3
(Symmetric Stress [2,3,23]) . . . . . . . 285
4.12.3.4 Gradient Flow Model 4
(Asymmetric Stress [17,18,25]) . . . . 286
4.12.3.5 Generalizations . . . . . . . . . . . . . . . . . . . 287
4.12.4 Size Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
4.12.5 Forming Limit Diagrams (FLDs) . . . . . . . . . . 293
Acknowledgment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
4.12.1 VALIDITY
W h e n the scale of observation and the resolution of the experimental

apparatus are comparable to the size of the evolving microstructure,
conventional plasticity theory may not be capable of describing plastic flow
and capturing the associated heterogeneity and scale effects.
Typical examples of questions that remain u n a n s w e r e d or partially
answered by standard models, including deformation, flow, and internal
variable theories of plasticity, are (i) the determination of widths and spacings
of shear bands; (ii) the determination of velocities of Liiders and Portevin-
Chatelier bands; (iii) the d e p e n d e n c e of yield stress in torsion and b e n d i n g on

282 Aifantis
specimen size; (iv) the dependence of yield strength of composites on particle

reinforcement size; and (v) the dependence of hardness on indenter
dimensions, as well as the dependence of interracial failure of multilayer
coatings on film thickness.
These questions can be addressed by modifying the yield or flow stress of
classical plasticity theory to include additional strain gradient terms to model
phenomenologically the heterogeneous character of plastic flow. The newly
introduced phenomenological coefficients may be interpreted on the basis of
the underlying microscopic mechanisms of plastic deformation, and they can
also be determined independently from mechanical tests especially designed
to measure spatial characteristics of shear bands and size effects.
4.12.2 BACKGROUND
The interest in higher-order gradient theories has been revived recently

among researchers in solid mechanics and materials science because of the
ability of the higher-order terms to model phenomena not previously captured
by standard elasticity, plasticity, and dislocation theories that do not involve
an internal length scale in their constitutive structure. An account of current
work on gradient theory at various scales of observation ranging from nano
and micro scales to meso and macro scales can be found in a recent review by
Aifantis [1] and references quoted therein. As first discussed by Aifantis [2,3],
the initial motivation for introducing gradient theory was the need for
determining the width of shear bands and the wavelength of persistent slip
bands, as well as the problem of mesh-size dependence in finite element
solutions when the material enters into the strain softening regime. These
issues were later considered in detail by Aifantis and coworkers [4-7], as well
as by others [8-16] who produced variants of the initial model and elaborated
upon numerical [8,9,11,15] and thermodynamic [12-16] aspects.
Another set of problems pertaining to strain gradient hardening and size
effects in torsion and indentation was identified by Fleck et al. [7,8], who
introduced another gradient plasticity model to interpret the related
experimental observations. This model or variations of it were adopted by a
number of investigators [19-22] to consider plasticity problems at the micron
scale and to interpret size effects observed in particle reinforced composites
and indentation tests.
More details on the aforementioned two basic gradient plasticity
approaches can be found in the review articles by Aifantis [23,24] and
Fleck/Hutchinson [25]. It is emphasized that even though both of these
approaches are based on a gradient modification of a scalar equation (the yield
4.12 GradientPlasticity 283
condition) by incorporating gradient effects through the second invariant of

the plastic strain tensor (effective or equivalent strain), the stress tensor
remains symmetric in the first approach, and it becomes asymmetric in the
second one. This is mainly because gradient effects are directly introduced
through gradients of plastic strain in the first approach, and through gradients
of plastic rotation in the second one. Physically, this was motivated by strain
incompatibilities associated with necessary geometric dislocations in the
second approach, while it can be attributed to inhomogeneous strain
transport through mobile dislocations in the first approach.
It is beyond the scope of this paper to elaborate on the advantages and
disadvantages of the mathematical structure of the two theories, the
associated boundary conditions, and the experimental determination of the
gradient phenomenological coefficients. However, gradient plasticity theory is
still at its beginnings, and one should not expect a general model to be
invented for use in the vast number of applications at the micron and nano
scales. In this connection, the point of view is advanced that a variety of
gradient models may be used according to the particular situation at hand; in
analogy, for example, to the variety of standard constitutive models that are
commonly employed in conventional applications where heterogeneity and
scale effects are not of interest.
4.12.3. ELEMENTARY GRADIENT

PLASTICITY MODELS
The deformation and flow counterparts of the simplest form of the previously
mentioned two types of gradient plasticity theories involving symmetric or
asymmetric stresses are briefly reviewed in the following text. The notation was
purposely kept as close as possible to that of the original works; but
sometimes different symbols were used to unify the presentation.
4.12.3.1 GRADIENT DEFORMATION MODEL 1

(SYMMETRICSTRESS [2,3,23])
This simple form of gradient modification of the deformation theory of
plasticity involves the incorporation of the Laplacian of the effective or
equivalent plastic strain in the expression for the effective or equivalent stress,
i.e.,
= ~c(~) - cK72~ (1)
284 Aifantis
where the equivalent stress F and the equivalent plastic strain ~ are defined, as
-
usual, by the relations F ~ .2S,jS,j,

. . . . . e EijEij , with ~c(~)denoting the usual
homogeneous part of tlow stress, c being a phenomenological gradient
coefficient, Sij being the deviatoric stress tensor, and Eij denoting the
deviatoric strain tensor which, for incompressible plastic deformation
(ekk = 0), equals the strain tensor gij. By assuming the equivalent work
condition Sij &ij = F6~, we obtain from the previous equations the following
gradient-dependent stress-strain relations:
2F 2
(2)
which should be supplemented by appropriate boundary conditions for the

solution of boundary value problems.
4 . 1 2 . 3 . 2 GRADIENT DEFORMATION MODEL 2

(ASYMMETRIC STRESS [ 17,18,25])
In contrast to the previous "symmetric stress" gradient deformation theory of

plasticity, Fleck et al. [17,18,25] have proposed a Cosserat-type "asymmetric
stress" strain gradient plasticity theory. In this theory the stress tensor is
aij 4-zij, with aij denoting the symmetric part and zij denoting the
antisymmetric part ; the relevant equilibrium equations are (aji 4- ~ji),j = 0
and ~jk 4- ~eijklmpi,p --O, with mij denoting the deviatoric part of the couple
stress tensor, whose hydrostatic part does not enter into the equilibrium
equations and is therefore taken to vanish. In analogy to the previous
symmetric stress model, the equivalent work condition is postulated in the
1 4- Uj,i), with ehh -- 0
form aw -- SijtSEij 4- mijtS)(.j i -- ~.,tS~, where Eij -- 8ij -- ~(ui,j
denoting the usual strain tensor and Zij = <k&e,k denoting the curvature
tensor, while the equivalent stress and strain measures (g, F) are defined by
the relations e - V/~2+ e2~2, 8-- ~/~eijgij, ~ - ~/2~,ij)(,ij, with e denoting an
internal length and E = dw(~)/d~ = ~c(~). It then follows that
2K(~)E 2K(~) (3)
with s V/t~2 + L'-2rh2, # - v/3SijSij/2, and r h - v/3mijmij/2. With appro-

priate extra boundary conditions (e.g., for m/j), boundary value problems can
be solved.
4.12 GradientPlasticity 285
4.12.3.3 GRADIENT FLOW MODEL 3

(SYMMETRIC STRESS [2,3,23])
This simple gradient modification of the flow theory of plasticity (the flow
counterpart of Model 1) involves the incorporation of the Laplacian of
equivalent shear plastic strain 7 (note that for convenience 7 is used instead of
g in accordance with the notation previously adopted in related literature) in
the yield condition, i.e.,
F -- ~ - (K(7)- cV2?) - 0 (4)
where the equivalent shear stress z and equivalent shear strain rate ? are
defined as usual by z - v/xsijsij;? - fgdt; 3)- ~/2~k~. The corresponding
associated flow rule reads
F_,ij-- ?~Tj~ij:=>8ij (5)
The relevant elastic strain increment k~e -- ~.ke -- ~e is determined by Hooke's

law, which may be written in the form dij=C~jke(~.ke--~r
C~jke -- 23ij3ke + G(3ik@ + 3ie3jh),with (2, G) denoting the Lam~ constants.
The plastic multiplier 9 in the flow rule given by Eq. 5 satisfies the following
loading-unloading conditions:
_ f 3)if F - 0 & a/j~ > 0 (loading) or a/jk/~ - 0 (neutral loading)
0 if F < 0 (elasticity)
.p
or F -- 0 & a/jg/j < 0 (unloading) (6)
and is determined by the consistency condition/~ = 0, which eventually gives
9 -- V29 -- -~ C ijkeF,k( (7)
where H - - h + SijC~keSke/4"c 2 - h + G and h - c~c(?)/c~7. Equation 7 is a

differential equation for 9 in contrast to the classical plasticity case (c = 0)
where 9 is determined from an algebraic equation.
Various procedures have been developed for evaluating Eq. 7 in relation to
the solution of elastoplastic boundary value problems. For example, in the
method of Muhlhaus and Aifantis [5], 9 is treated as an additional
independent variable and Eq. 7 as an additional field equation, whereas
necessary extra boundary conditions are deduced from an appropriate
variational principle. To this end, the following generalized incremental
potential functional ~'(1~i, 9)is defined
lfB ( .Sij"~ e ( .Skr ~,

286 Aifantis
1 {h72+ cVg. Vg} dV. The applied tractions ti act on

with ~ [ 9 1 - 2fB the
surface ~tB and displacement-type boundary conditions are prescribed on
~uB= ~B-~tB. By assuming that for 9 > 0, ~ - = 0 at equilibrium for
arbitrary infinitesimal variations of [fi, 9] and with 66i = 0 on GB, the
following relations are derived:
f (rij'j~f'lidV-J~t[B[~ijllj--ti] (~(,lidA-0
JB
~-~-~Cijkfgk~,-
fBfSij e 9 H9 q-cV29} ,~9d V - 0 (9)
{cVT} 9n69 clA - 0 => ~nn - 0 or 69 - 0, on ~epB

f~epB
It is noted that Eq. 9 (first equation) leads back to the stress equilibrium
relations and the standard traction-type boundary condition; the second
equation leads back to the consistency condition; the third leads to a
nonstandard boundary condition along the elastic-plastic boundary ~epB. The
second of the conditions in the third equation is automatically satisfied on
~ B . These equations provide the basic framework for the corresponding
finite element implementation as followed, for example, by de Borst and
Muhlhaus [9].
4 . 1 2 . 3 . 4 GRADIENT FLOW MODEL 4 (ASYMMETRIC

STRESS [ 1 7 , 1 8 , 2 5 ])
For completeness, we provide a condensed summary of this model (the flow

counterpart of Model 2) for which the starting point is the replacement of the
standard deviatoric Cauchy stress by a 13-dimensional stress vector s = (S O,
~e-lmji) comprising the five components of the deviatoric symmetric stress
tensor Sij and the eight components of the deviatoric couple stress tensor
g-lmji, as well as the introduction of a 13-dimensional plastic strain rate
vector t~p - (~, t'~/~)comprising the five components of the plastic strain rate
tensor eij"P and the eight components of the plastic curvature tensor t'~/~. The
yield condition reads
~)(~, r ) = x - r = o (10)
/..
where Y denotes the uniaxial flow stress and Z - X / ~ Z . Z -
v/3SijSij +3vg-Zmijmij- V/G2 q--~'-2/'~12 is the overall effective stress. The
4.12 Gradient Plasticity 287
associated flow rule reads

l~p_ 1 a~.
h(E) c~Ex (11)
with the hardening rate h being chosen so that the uniaxial homogeneous
tensile response is reproduced. The plastic work rate per unit volume is as
before ivP - Siji?,p --[-mjixijp9 _ E . 1~p - Z/~v where the overall effective plastic
strain rate is defined as E.P- E / h - v/}E v. EP ~/}~eij.p + ~ ez~p~p~j~j_ _
V/(~p)2 + ( ~ ) 2 , where ~p - V/2~iij "peij is the effective plastic strain rate and
- ~Xij ~j is the effective plastic curvature rate. It then turns out that the
flow rule Eq. 11 can be decomposed into the following equations:
.p __ 3 Sij f~ ef(p _ 3 e-lmji f~ (12)
eiJ -- 2h Z, 2h Z,
where the overall effective stress rate ~; can be obtained as

3 S0 3 ~g-lmji .
...--~Sij +-~ ~ ~ - l m j i . The stress rate is related to the elastic strain
rate through a higher-order elasticity theory, but further details on this issue
are omitted for brevity.
4.12.3.5 GENERALIZATIONS
Various generalizations or variations of these models have been proposed by

the developers of these theories and their coworkers, as well as by other
authors [26,27]. The purpose of the present introductory paper does not
justify a review of them. Nevertheless, a few remarks are useful for the
subsequent sections of the paper.
We note that a straightforward generalization of the symmetric stress model
is
r - ~c(7) - c* (V?. VT)~-cV27 (13)
which was suggested at the same time as the original symmetric stress gradient
theory. It is noted that two gradient coefficients are now introduced to
incorporate the effects of both first and second strain gradients, and the
coefficient m is usually taken equal to 1.
Similarly, the asymmetric stress model has been generalized to include both
stretch gradients and curvatures through, for example, the relationship
F 2 -- -~EoEij -4- f2.(1).(1) 22

l'lijk 'lijk _Jr_tPcs.~)(,ij)(,ij (14)
288 Aifantis
where l]ijk - - llk,ij - - ~a(1)

'lijk -~- •(2) (3) refer to the orthogonal decomposition of
'lijk + 1]ijk
the displacement gradient [25] and (/~1,~cs) denote two independent internal
lengths. The corresponding stress components are then obtained from the
relations Sij - ~w(~)/~Eij, mijh -- ~w(~)/~]l) ).
In this connection, it is pointed out that a recent elegant variant of the
asymmetric stress model has been advanced by Gao et al. [21,22]. This is based
on an expression for the effective stress of the form F = cryv/f2(~) + ~rT,where
/
F - - ayf(~:) for the nongradient case, ~ = I/2~.ijF~+j, and r7 - 1 -~V/~lijh~lijh. The

hardening length scale is obtained as r ~ 0.5(G/ay)2bVJ ~ 5 l-tm, with G
denoting the shear modulus and b the magnitude of Burger's vector. The
previously listed flow stress expression and the resulting model of
mechanism-based gradient plasticity (MSG) is motivated by Taylor work-
hardening theory and recent indentation experiments [19], and rests upon
certain assumptions to relate the deformation behavior between "microscale"
and "mesoscale" material elements.
It follows from the variety of strain gradient plasticity models discussed in
this section that the search for a unified gradient plasticity theory may not be a
reasonable task to undertake. Rather, different models may be used according
to the particular application at hand. The form of these models should not
only depend on the underlying physical mechanism of plastic deformation but
also on the mathematical simplicity and robustness of numerical implementa-
tion. Accordingly, different internal lengths may be involved, and the
associated gradient coefficients need to be determined from appropriate
experiments. This view is further supported in the following two sections,
where we focus on the symmetric stress gradient plasticity theory only and
illustrate how it can be used to interpret size effects (Section 4.12.4) and to
derive forming limit diagrams (Section 4.12.5).
4.12.4 SIZE EFFECTS
In this section we elaborate on the interpretation of size effects in torsion and

bending of solid bars by using a gradient modification of the strength of
materials approach. This modification amounts to employing a gradient-
dependent flow stress of the type of Eq. 13, i.e.
"~ = /~(~) + C1(~7~ 9~7~) 1/2 -- C2~72~ (15)
The rest of the hypotheses (i.e, strain distribution, definitions of equivalent

stress and strain, Hooke's law for the elastic strains, and moment vs. stress
distribution relation) remain the same as in the standard mechanics of
materials approach. Then, on the basis of Eq. 15 with ~c(?)= z0 ~ 0.5a0 to
denote a perfectly plastic behavior for the homogeneous response, it turns out
that an explicit expression for the dependence of the initial yield stress Y (first
occurring at the outer surface of the bar where the elastic-plastic boundary
first appears; Y = GTswith G denoting shear modulus and 7s surface strain) on
the size (radius ~ or height h) of the specimen's cross-section is obtained as
follows:
(
r ( ~ ) - % ~2 + (c2/G) _ (c]/G)e ) ' Y f h ) - ao ( h / 2 ) h--/2 ( ) (16)
for torsion and bending, respectively. Figure 4.12.1a,b shows the fitting of
experimental results obtained for the size dependence of the yield stress Y on
the radius ~ of cylindrical bars subjected to torsion (J. L. M. Morrison, Proc.
Inst. of Mech. Eng., vol. 142, pp. 193-223, 1939) and on the height h of
rectangular beams subjected to bending (C. W. Richards, Proc. Am. Soc. Testing
Mats., vol. 58, pp. 955-970, 1958). As already indicated, 0:o, ao) denote the
yield stress in shear and tension for homogeneously deforming specimens.
Also, in the case of bending, r is replaced by the axial stress a, ~c(7) is replaced
by a0, and Cl is replaced by ~1, which measures the gradient effect of the axial
strain e with E denoting Young's modulus; i.e., a superimposed bar is added to
the gradient coefficient when the constitutive equation is expressed in terms
. , 9 , . , . , - , 9 , .
o~ cl/E=1.28mm
0.62
c,/G =0.38 mm Y(h) 360

Y(oQo.6o
x/c2/G =0.476 mm (MPa)
Go 320
0.58
2801
0.54
o 240!
0.52 ,
,
0
i ,
2
9 ,
4
9 ,
6 8
9 |
10
9 '
12
-
14 ' ,'0 ' ; ' ~0 2~

(a) (x (mm) (b) h (mm)
. , . , . , . , . , . , . , .
M/~)~3 600
(MPa)
400
200
2e~ = 2 0 g m [
2~t = 3O g i n [
20~ = 1 7 0 g n ~
i i , i . . . . . , 9 , 9 9
%'.0 ' 0.2 ' 0.4 0.6 0.8 1.0 1.2 1.4 1.6
(c) 7s
FIGURE 4.12.1 Quantitative comparison between theory and experiment: (a) Yielding
behavior in torsion. (b) Yielding behavior in pure bending. (c) Hardening behavior in torsion.
290 Aifantis
of • instead of 7. The effect of the c2-term vanishes identically in the case of

bending.
Similarly, for the interpretation of the recent experimental results on
increased torsional hardening with decreased wire diameter reported by Fleck
et al. [17], Eq. 15 is replaced by z = ~0 + ky"+ ~yn-l~72]j; i.e., a power-
hardening behavior is assumed for the homogeneous response and a similar
behavior is assumed for the gradient coefficient, which is now strain-
dependent. The corresponding expression for the size-dependent torque (M)
vs. surface shear strain (7s) reads
M 2re
---~= + 7s
+3 1 + n+ 1~2 ;1~---'e- (17)
The fitting of the experimental data by this expression is shown graphically

in Figure 4.12.1c. The values of the standard parameters n and k are obtained
from tension data as n = 0.23 and k = 117 MPa. The value of the internal
length parameter g is 5.1~tm for the (170, 30, 15)-~tm-diameter wires,
and 4.1 l.tm for the (20, 12)-~tm-diameter wires. The value of the initial stress
z0 is zero for all cases except for the 12-~tm-diameter wire for which
z0 ~ 58 MPa. The corresponding internal length estimated by Fleck et al.
through their asymmetric stress strain gradient theory is of the order of
2.6-5.1 ~tm. These findings, in themselves, suggest that a lot more work is
required to determine the gradient coefficients, their possible dependence on
strain, and the most convenient form of gradient dependence of the flow stress
on plastic shear strain (and possibly its rate) to be used in particular
applications.
In connection with these findings, reference is made to a recently
published article by Stolken and Evans [20] where the asymmetric stress
strain gradient plasticity model of Fleck and Hutchinson is used to inter-
pret the observed size effect in bending of thin foils. This problem can also
be discussed by using symmetric stress strain gradient models of the type
of Eq. 15. In fact, by employing a gradient-dependent strain energy density
formulation which allows a direct comparison of the aforementioned
two approaches, one may consider the form w - w(e)+ Cl]~7/3[-]-62[~7e] 2
where w ( e ) - e[3Epe + 4 X ~ o _ ] / 8 is the homogeneous part of the strain
energy density, with g - (2/x/3) ly I denoting the equivalent strain, ~c being
the curvature, and (Cl,C2) being gradient coefficients. The assumed express-
ion for the homogeneous part of the strain energy density is the same as
in Stolken and Evans [20], with Ep denoting plastic modulus (harden-
ing coefficient) and E0 effective yield strength. Finally, by using the relation
M = dW/dtr ( W = fA wdA) for the applied moment, we can obtain a moment
(M) vs. surface strain (es) relation depicted with solid lines in Figure 4.12.2a.
The dotted lines correspond to the prediction of the Fleck-Hutchinson theory
FIGURE 4.12.2 (a) Fitting of Stolken and Evans [20] thin foil bending experimental results with the symmetric stress and
asymmetric stress strain gradient models. (b). Calculated yield stress (0.2% offset) vs. particle size for an Al-Si-Mg metal matrix
composite, showing gradient plasticity solutions for different gradient coefficients c, and for a dislocation-based model. The
values off indicate particle volume fraction. From Zhu, Zbib, and Aifantis 1281.
292 Aifantis
employed by Stolken and Evans [201 for a value of their internal length
lc = 6.2 gm. There is a departure of this prediction from the one reported in
the aforementioned article of Stolken and Evans due to an error in their
procedure when rescaling the moment and computing the corresponding
theoretical values. The internal lengths ll and 12 appearing in Figure 4.12.2a
are defined by ll = Cl/~o and 12 = v/c2/Ep.
A more rigorous (as contrasted to the previously described mechanics of
materials approach) boundary value problem approach implemented by finite
element analysis has been used by Zhu, Zbib, and Aifantis [28] for
interpreting size effects in metal matrix composites. It was found that the
strength of metal matrix composites decreases with increasing particle size of
reinforcement under constant volume fraction for all three materials studied:
A1-Si-Mg, A1-A1202, and A1-TiB2. The results of the gradient theory were in
agreement with both existing experimental data and available microscopic
dislocation models for these materials, as shown in Figure 4.12.2b. The
solutions are cumbersome and were evaluated numerically by employing a
gradient plasticity model based on Eq. 1.
In concluding this section on size effects, reference is made to an
open problem of increasing current interest: namely, the determination of
hardness and related mechanical properties from indentation tests where the
size of the indenter varies from the micrometer to the nanometer regime.
A deeper understanding of the mechanics and physics associated with the
contact and penetration phenomena in such small volumes is important
from both the scientific and technological points of view, with implications
ranging from device miniaturization and computer disk drive manufactur-
ing to magnetic recording and tribological effects on piston wear.
Quite interesting phenomena, including discontinuous yielding and size-
dependent hardness, have been reported recently in such small-volume
regimes. Size effects, in particular, have been observed as the indenter
diameter D is reduced from 20 gm to about 2 I.tm. The gradient dependent
form of the flow stress given by Eq. 15 can be utilized, in principle, to provide
an explanation for the dependence of hardness on the size of the indenter. By
taking H to be proportional to the yield stress a(H ,~ 3a; Tabor's relation), we
have [29]
H = H0 + c1]V~)]-s (18)
where H0 is the hardness in the absence of gradient effects. By approximating
y with an average value equal to 2h/D (where h is the indenter's depth and D is
the equivalent indenter's diameter) and using the rough estimates
Vy ,-, 2y/D, V27 ~ 4y/D 2, we can obtain from Eq. 18 a plot of H vs. D
where the values of the gradient coefficients Cl and c2 are adjusted to fit the
experimental data reported, for example, by Nix and Gao [19]. The results are
FIGURE 4.12.3 Fitting the experimental results of size-dependent hardness H vs. D according
to the gradient-dependent constitutive equation Eq. 18 for (a) Cu (111) and (b) Ag (110) single
crystals.
shown in Figure 4.12.3 with the parameters (H0, C1, C2) taking the values
(0.595 GPa, 2500N/m, 0.414 10 -3N) for Figure 4.12.3a and (0.37GPa,
853 N/m, 0.164 10-3N) for Figure 4.12.3b.
4.12.5 FORMING LIMIT DIAGRAMS (FLDS)
In this section the applicability of gradient plasticity theory to predict-

ing spatial instability phenomena in manufacturing-related processes at
the macroscale is presented. In particular, it is shown how gradient theory
can help in improving the construction of forming limit diagrams (FLDs) for
sheet metals. Some initial results on this topic were reported by Aifantis [29],
and a detailed treatment can be found in a recent doctoral dissertation by Zhu
[301.
A physical picture of localized neck formation in sheet metal forming is
depicted in Figure 4.12.4. A central goal is to avoid the occurrence of necking
by operating in a safe regime of the applied strains during the forming
process. This leads to defining corresponding FLDs. For sheet metal forming
processes, a vertex-type theory of plasticity of the form [3]
7 r - 7~ , 7__6.!. (19)
D ij = 2--~i (7iJ -k 2. c ,j
may be used to describe the deformation. The quantities (Do, aij) denote the
strain rate and stress components, (1:,7) denote, as usual, the equivalent shear
stress and shear strain, a dot denotes time differentiation, and a prime denotes
deviatoric component. A gradient-dependent flow stress expression is
294 Aifantis
FIGURE 4.12.4 Localized neck formation in sheet metal forming (a-c). Schematics of the
sheet/inclined neck and the forming limit diagram (d,e).
assumed, with its rate form given by

= h~ - cV2~ (20)
with the hardening modulus h (h=~K(7)/~7, K ( 7 ) = h 7 ") given by

h = hn7 n-1. For plane stress conditions (rT33 = 0) and proportional loading
(fl = D22/D11 ~-const) a standard bifurcation analysis gives the following
expressions for the shear band (or localized neck) angle Oc~ and the critical
strain 7or:
2nf(fi) (21)
fl < 0 =~ Oc,. - a r c t a n x / ~ ; 7~ - 1 + fl
2fl 2 + n(2 + fl)2 (22)

ilK0 =~ 0 o r - 0; 7c~ = (2+fl)f([3)
where f ( f l ) - V/1 + fl + f12. These relations hold for the case c - 0, while
more complex results are obtained for the case c 7~ 0, which, however, do not
greatly affect the predictions of localized neck orientation.
The obtained FLDs which correspond to the two cases c = 0 and c ~ 0, are
given in Figure 4.12.5. More details on this topic, the use of Hill's anisotropic
yield criterion, including gradient terms, and the effect of strain path can be
found in the aforementioned doctoral dissertation [30].
140 I ! ' I ' I

zero ~xtension direction Ak l
C: 120
opa,'mized band angle (/~ L !o O A~celPtable
9 Aff,~ctod
-- AIR ~ Fractured
0.40 ~'~Ex .i~rimental results
O C~" - - TheoreUcal
"-, t "~ so O m
.~-~
o~o - o~.~~='" ~ =" o~b-_
Storen and Rice' result ~ 40 -
| o~=,i
fl.lO .
~ 20 -
!
0~ ......... I , I. . i I .. I ,. ! ,. O , ~ , i , ~ , ,
~0 -0.21) .0.10 g.OO, (UO 0.31 030 0.~ -40 -20 0 20 40 60
(a) Minor Strain (b) Engineering minor strain
180 " | " I ' I " I ' I " I " I " I " "
'6~ :1o
- : I 9 Aff,~ct~d -!
- ~= 140 -~ '1" Fructured d
~ ,20 -~t. : I --'r.~,r,,,~., _._1

o ,oo -ols ;: c q 2 = 3 O M P a -
60 -- -\ : A~A~ o~b-
~
~'~ 0
-40-30-20-10
I 9I , I .
0
~ I , I ,
10 20 30
| 9 I ,
40 50
| i 60
(c) Engineering minor strain
80.00 l ' 1 ' ' I ' i ' [ 140.00 9 I "
70.00
Io AJcceptable Io Acceptable
120.00
I 9 AfY,~ctod
.$ 9 Afftsct~d
-~ 60.00 \ . I" ~="re~ O 9 Fractured
I~,00
- - Th eoreUeal
e ~ 50.00
o t
"~ 80,00
Ao% . 9
.~, 40.00
~a~ 30.00
I+. ~ 0oB / "
O0 0 ~ 0 -~.~ 40.II)
"~ 20.00
20.00
1 -
10.~
, I , , , , I ...... I ,,, I , 0.00

, , I
-20.00 ~
, '
II
0.~
, I
20.00
, I
10.00
, I
60.00
, 1
80.(I
30.00 -20.00 -10.00 0.00 I0.00 ~.00 30.00 40.(10
(d) Minor engineering strain (e) Minor engineering strain.
FIGURE 4.12.5 Predicted and experimental FLDs for (a) Aluminum 2036-T4, c = 0; (b) AK-
steel, c = 0; and (c) AK-steel, c r 0. Comparison [301 of predicted and experimental results
(Hecker 1975) of FLDs for (d) 2036-T4 Aluminum and (e) AK-steel using Hilrs anisotropic yield
criterion.
296 Aifantis
ACKNOWLEDGEMENT
The support of the General Secretariat for Research and Technology of Greece,
the TMR Program of EU, and the U.S. National Science Foundation is
gratefully acknowledged. The help of my graduate students X. Zhu and I.
Tsagrakis with the fitting of some of the experimental data and of my
undergraduate student D. Dodou with the typing and proofreading of the
manuscript is also acknowledged.
REFERENCES
1. Aifantis, E. C. (1999). Gradient deformation models at nano, micro and macro scales. J.
Engng. Mat. Tech. 121: 189-202.
2. Aifantis, E. C. (1984). On the microstructural origin of certain inelastic models. J. Mat.
Engng. Tech. 106: 326-330.
3. Aifantis, E. C. (1987). The physics of plastic deformation. Int. J. Plasticity 3: 211-247.
4. Zbib, H.M. and Aifantis, E. C. (1989). A gradient-dependent flow theory of plasticity:
Application to metal and soil instabilities. Appl. Mech. Rev. 42: 295-304.
5. Muhlhaus, H. B. and Aifantis, E. C. (1991). A variational principle for gradient plasticity. Int.
J. Solids Struct. 28(7): 845-857.
6. Vardoulakis, I. and Aifantis, E. C. (1991). A gradient flow theory of plasticity for granular
materials. Acta Mech. 87: 197-217.
7. Zbib, H. M. and Aifantis, E. C. (1992). On the gradient-dependent theory of plasticity and
shear banding. Acta Mech. 92: 209-225.
8. Belytschko, T. and Lasry, D. (1988). Localization limiters in transient problems. Int. J. Solids
Struct. 24: 581-597.
9. de Borst, R. and Muhlhaus, H. B. (1992). Gradient-dependent plasticity: Formulation and
algorithmic aspects. Int. J. Numer. Meth. Eng. 35: 521-539.
10. Vardoulakis, I. and Frantziskonis, G. (1992). Micro-structure in kinematic hardening
plasticity. Eur. J. Mech. A/Solids 11: 467-486.
11. Tomita, Y. (1994). Simulations of plastic instabilities in solid mechanics. Appl. Mech. Rev. 47:
171-205.
12. Maugin, G. A. and Muschik, W. (1994). Thermodynamics with internal variables, Part I:
General concepts. Part II: Applications. J. Non-Equil. Thermodynamics 19: 217-249, 250-
289.
13. Valanis, K. C. (1996). A gradient theory of internal variables. Acta Mech. 116: 1-14.
14. Polizzotto, C. and Borino, G. (1998). A thermodynamics-based formulation of gradient-
dependent plasticity. Eur. J. Mech. A/Solids 17: 741-761.
15. Menzel, A. and Steinmann, P. (2000). On the continuum formulation of higher gradient
plasticity for single and polycrystals. J. Mech. Phys. Solids 48: 1777-1796.
16. Gurtin, M. E. (2000). On the plasticity of single crystals: Free energy, microforces, plastic
strain gradients. J. Mech. Phys. Sol. 48: 989-1036.
17. Fleck, N. A., Muller, G. M., Ashby, M. E and Hutchinson, J. W. (1994). Strain gradient
plasticity: Theory and experiment. Acta Metall. Mater. 42: 475-487.
18. Fleck, N. A. and Hutchinson, J. W. (1993). A phenomenological theory for strain gradient
effects in plasticity. J. Mech. Phys. Solids 41: 1825-1857.
19. Nix, W. P. and Gao, H. (1998). Indentation size effects in crystalline materials: A law for
strain gradient plasticity. J. Mech. Phys. Solids 46: 411-425.
20. Stolken, J. S. and Evans, A. G. (1998). A microbend test method for measuring the plasticity
length scale. Acta Mater. 46: 5109-5115.
21. Gao, H., Huang, Y., Nix, W. D. and Hutchinson, J. W. (1999). Mechanism-based strain
gradient plasticity - - I. Theory. J. Mech. Phys. Solids 47: 1239-1263.
22. Huang, Y., Gao, H., Nix, W. D. and Hutchinson, J. W. (2000). Mechanism-based strain
gradient plasticity - - II. Analysis. J. Mech. Phys. Solids 48: 99-128.
23. Aifantis, E. C. (1992), On the role of gradients on the localization of deformation and
fracture. Int. J. Engng. Sci. 30: 1279-1299.
24. Aifantis, E. C. (1995). Pattern formation in plasticity. Int. J. Engng. Sci. 33: 2161-2178.
25. Fleck, N. A. and Hutchinson, J. W (1997). Strain gradient plasticity, in Advances in Applied
Mechanics, pp. 295-361, Hutchinson, J.W., and Wu, T.W, eds.
26. Acharya, A. and Bassani, J. L. (1996). On non-local flow theories that preserve the classical
structure of incremental boundary value problems, in IUYAM Symposium on Micromechanics
of Plasticity and Damage of Multiphase Materials, pp. 3-9, Pineau, A., and Zaoui, A. eds.,
Dordrecht: Kluwer academic Publishers.
27. Acharya, A. and Bassani, J. L. (2000). Lattice incompatibility and a gradient theory of crystal
plasticity. Int. J. Mech. Sol. 48: 1565-1595.
28. Zhu, H. T., Zbib, H. M. and Aifantis, E. C. (1997). Strain gradients and continuum modeling
of size effect in metal matrix composites. Acta Mech. 121: 165-176.
29. Aifantis, E. C. (1998). Recent progress on gradient theory and applications, in Material
Instabilities in Solids, pp. 53-548, de Borst, R., and van der Giessen, E., eds., Chichester-New
York: Wiley.
30. Zhu, X. H. (1999). Theoretical Analysis of Sheet Metal Formability. PhD. Dissertation,
Michigan Technological University.
CHAPTER 5
Viscoplasticity
SECTION 5.1
Introduction to
Viscoplasticity
JEAN LEMAITRE
Viscoplasticity refers to the mechanical response of solids involving time-

dependent, irreversible (inelastic) strains. The deformation of essentially all
metals is, to a certain extent, time-dependent. This dependence, however,
becomes more pronounced at temperatures exceeding a third of the material's
melting point. At the microscale, two different mechanisms may be
responsible for the material's rate dependency. One mechanism pertains to
vacancy formation and grain boundary sliding, which are essential processes
in creep (under constant stress) and stress relaxation (under constant strain)
phenomena. The second is the slip-induced plastic deformation due to the
motion and multiplication of dislocations. At temperatures suitably below the
melting point, dislocations overcome their short-range barriers through their
thermal activation, which is a rate-controlling phenomenon. In addition, the
interaction of moving dislocations with phonons and, at low temperatures,
with electrons results in a viscous drag on the dislocations, affecting the
overall viscoplasticity of crystalline solids. In polymers, viscoplasticity occurs
in both crystallites and amorphous phases; the crystalline phases experience
slip, whereas the amorphous phases experience chain segment rotations
against the resistance of weak intermolecular interactions.
In elasto-viscoplasticity, elasticity and strain hardening are phenomena
identical to those observed in plasticity. Therefore, the models are
of the same nature, and only a viscosity function is added. Often this is the
Norton's power law, which relates the secondary constant plastic strain rate
kp to the applied stress ~ through two temperature-dependent material
parameters 2(r), N(~)
This 1929 isotropic model has been much improved and sometimes replaced
by an exponential function to take into account the anisotropy in single

302 Lemaitre
crystals (see Sections 5.2 and 5.3) or to homogenize what happens in

polycrystalline materials (see Sections 5.4 and 5.5).
The difficulty in modeling is to distinguish the part of the stress which is
responsible for strain hardening from the part contributing to the viscosity.
There are several methods: the overstress is introduced in Section 5.6, no yield
condition is required in Section 5.7, nonlinear isotropic and kinematic
hardenings are applied in Sections 5.8 and 5.9, and a yield and memory surface
is used in Section 5.10. Over suitable ranges of deformation, rate, and
temperature, the viscoplastic response of many crystalline solids stems from
the motion of dislocations. The resulting stress-strain relations are then
dependent on the strain rate and strongly upon variations of temperature,
which is another difficulty (see Section 5.11). Finally, the special case of
polymers is described in Section 5.12.
An essential feature of numerical calculations in elasto-viscoplastic
structures is the time wise in time incremental procedure different from that
is used in plasticity. It is always difficult to choose, automatically or not, the
time increment that ensures the convergence of the calculation (see Sections
5.7, 5.8, and 5.10).
SECTION 5.2
A Phenomenological
Anisotropic Creep Model
for Cubic Single Crystals
ALBRECHT BERTRAM1 and JURGEN OLSCHEWSKI2
~Otto-von-Guericke-University Magdeburg, Universithtsplatz 2, 39106 Magdeburg, Germany
2BAM-E2, Unter den Eichen 87, 12200 Berlin, Germany
Contents
5.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
5.2.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
5.2.1 VALIDITY
The model describes the behavior of cubic single-crystalline superalloys in

the high-temperature regime under monotonous creep conditions in their
primary and secondary creep phase.
5.2.2 BACKGROUND
For many technical applications, especially in the high temperature regime,

single-crystalline components show an improved damage and fatigue
resistance in comparison to polycrystals. However, the description of the
thermomechanical behavior becomes much more complicated for single
crystals because of their genuine anisotropy. The creep compliance for some
superalloys differs by one or two orders of magnitude with respect to their

304 Bertram and O l s c h e w s k i
D C
cy ! R o"
..d
!
K
FIGURE 5.2.1
crystallographic orientation. The designer has to take into account this effect,
as well as the strong nonlinearity of the relation between force and creep rate.
For the creep modeling of single crystals two conceptually different
approaches exist. One is to use slip system kinematics and one-dimensional
creep equations for each of them. The other is phenomenological and based
on tensor function representations for the description of the anisotropy.
The latter approach has the advantage of being simpler in numerical
implementation and wider with respect to the physical creep mechanisms to
be included in the description, since they are not limited to slip system-
dominated creep.
The creep behavior in its primary and secondary phase can be described by
a three-dimensional and nonlinear generalization of a rheological model with
two springs and two dampers (Fig. 5.2.1).
The one-dimensional constitutive law is given by the ordinary differential
equation
e 4- 4- ~ + e 4- D----~a -- --~ e, 4- ( C 4- K )'~
where ~ is the strain, a is the stress, C and K are elasticities, and D and R are
viscosities. The nonlinearity is taken into account by the dependence of the
viscosities on the stresses in the following form:
D = Do exp ( - B a )
R -- Ro exp ( - B a )
with positive material constants Do, Ro, and B. Note that D and R are constant
during monotonous creep tests.
In the three-dimensional case we generalize the preceding differential

equation by means of the projection method described in References [1, 2].
5.2 A PhenomenologicalAnisotropic Creep Model 305
This results in three tensor-valued equations

( ci Ki Ci) CiK i ci K ~ Ki
T;'+ ~T+~T+~T T ; + ~ T i - - - D ~ - E ~ + ( c i + ) E ; ' , i - - 1, 2, 3
with the three cubic subspace projections of the strain tensor 8ij with respect
to a crystallographic vector base:
1 0 0
I -1
El - - 1 / 3 tr(E) 0
0
1
0
0
1
E2 i11ool i1ool
0
0
822 0 -- 1/3 tr(E) 0 1 0
0 833 0 0 1
I 0 812 813 1
E3 -- 812 0 823
813 823 0
with tr(E) = 811 -Jr-822 + 833. The projections Ti of the stresses c~ij are obtained
in an analogous form.
These differential equations of second order can be reduced to a system of
first order by introducing a stresslike tensor of internal variables S which is
decomposed analogously into three parts S1, $2, $3, by
S i ' - - K i 0 t [E;(s)- ~T
1 Ti (s)] as
We obtain the following evolution equations:
_ 1 T~ + + + T/-
E~ C i _t_ K i -~ -~ -~ -~ S i
Ki Ci
S~ -- Ci + Ki [T~ +~-i-(T,- Si)]
Note that for monotonous creep all terms including T~ are zero. This system
can be integrated by standard algorithms such as explicit or implicit
Euler schemes.
The nonlinearity is again taken into account by the dependence of the
viscosities on the stresses. For that purpose we also use the exponential form
of the one-dimensional model but substitute the exponent by a linear form of
306 Bertram and O l s c h e w s k i
the nine cubic invariants Jj

Di = Doi exp ( - a i )
Ri = Roi exp ( - a i )
9
j=l
with positive material constants Doi, Roi, aij, i = 1, 2 , 3 , j = 1 , . . . , 9. It turns

out that the following invariants already give a sufficient accuracy:
.12 - - 0"110"12 -- 0"22 § 0"110"33 -- 0"23 § 0"220"33 -- 0"23
J5 = 0120"23013
- + + + + +
all together taken with respect to a crystallographic basis.
5.2.4 IDENTIFICATION OF THE

MATERIAL PARAMETERS
In the present model, the following material constants appear:
9 Elasticities: Ci, Ki, i = 1, 2, 3

9 Viscosities: Doi, Roi, ~ij, i = 2, 3, j - 2 , 4, 5, 6
If we assume that all inelastic deformations are isochoric, we get

D~-1 -- R~-1 -- 0 => Do1 -- Ro) -- 0.
Therefore, the coefficients a lj, j = 1 , . . . , 9 are irrelevant and can be set

equal to 1.
When subjecting the material to resonance tests, the dynamic elastic
constants Ci § Ki, i = 1, 2, 3, can be determined [5, 6]. The other constants
can be identified by minimizing the distance between experimental tests and
the response calculated by the model. It is desirable for this purpose to have
creep data within the relevant load range from single crystals for a widely
distributed set of orientations. This leads to an inverse problem of nonlinear
parameter identification. The identification has been done for three super-
alloys: SRR99, CMSX4, and CMSX6.
5.2 A Phenomenological Anisotropic Creep Model 307
TABLE 5.2.1 TABLE of Parameters for SRR99 at a Temperature of 760~ [3].
C1 - - - 0 C2 = 42.559 GPa C3 = 46.764 GPa

K1 = 461.153 GPa K2 = 28.071 GPa K3 = 156.436 GPa
D1 = 1020 h GPa D2 = 2.5042 107 h GPa D3 = 1.10735 109 h GPa
R1 = 1 0 2 0 h G P a R2 = 1.4714 109 h GPa R3 = 374842 h GPa
0{22 = 12.4347 GPa -1 0{32 -- 0.24928 GPa -1
o~24 = 1.7874 10 -3 GPa -2 0{34 = 41.783 GPa -2
o~25 = 4.1673 10 -2 GPa -3 o~35 = 4.0697 10 -3 GPa -3
~26 = 3.1164 10 -4 GPa -3 o~36 = 5.0154 GPa -3
Applications to the superalloy CMSX6 can be found in Reference [41.
The entire model is given with respect to a crystallographic basis. It is capable

of describing the creep behavior under monotonous loads in its primary and
secondary phases. There exist extensions of the model to include the tertiary
creep phase (damage) [7-9].
REFERENCES
1. Bertram, A., and Olschewski, J. (1991). Formulation of anisotropic linear viscoelastic

constitutive laws by a projection method, in High Temperature Constitutive Modeling: Theory and
Application, pp. 129-137, ASME, MD vol. 26, AMD vol. 121, Freed, A., and Walker, K. P., eds.
2. Bertram, A., and Olschewski, J. (1993). Zur Formulierung linearer anelastischer Stoffgleichungen
mit Hilfe einer Projektionsmethode. Zeit. ang. Math. Mech. 73 (4-5): T401-T403.
3. Bertram, A., and Olschewski, J. (1996). Anisotropic creep modeling of the single crystal
superalloy SRR99. Comp. Mat. Sci. 5: 12-16.
4. Bertram, A., and Olschewski, J. (1995). Computational modeling of anisotropic materials
under creep conditions. Math. Modelling Sci. Comp. 5 (2-4): 100-109.
5. Han, J., Bertram, A., Olschewski, J., Hermann, J. W., and Sockel, H.-G. (1994). Identification of
crystal orientation by resonance measurements. Zeit. ang. Math. Mech. 74 (4): T322-T325.
6. Bertram, A., Han, J., Olschewski, J., and Sockel, H.-G. (1994). Identification of elastic constants
and orientation of single crystals by resonance measurements and FE-analysis, in Twenty Years
of Finite Element Analysis: Review and Future Prospects. Special Issue of Int. J. Computer Appl.
Techn. 7 (3/4): 284-291.
7. Qi, W, and Bertram, A. (1997). Anisotropic creep damage modeling of single crystal
superalloys. Technische Mechanik 17 (4): 313-322.
8. Qi, W, and Bertram, A. (1998). Damage modeling of the single crystal superalloy SRR99 under
monotonous creep. Comp. Mat. Sci. 13: 132-141.
9. Qi, w , and Bertram, A. (1999). Anisotropic continuum damage modeling for EC.C.-single
crystals at high temperatures. Int. J. Plasticity 15 (11): 1197-1215.
SECTION 5.3
Crystalline Viscoplasticity
Applied to Single Crystals
GEORGES CAILLETAUD
Centre des Mat~riaux de l'Ecole des Mines de Paris, UMR CNRS 7633, BP 87,
F91003 Evry Cedex, France
Contents
5.3.1 General Presentation and Validity Domain.. 308
5.3.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310
5.3.3 Equations for Practical Use . . . . . . . . . . . . . . . . 311
5.3.5 Numerical Implementation in Finite
Element Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
5.3.6 Remark . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
5.3.1 GENERAL PRESENTATION AND

VALIDITY DOMAIN
In most of the single crystals, the p r e d o m i n a n t deformation m e c h a n i s m is

plastic slip. F r o m a mechanical point of view, that means that the plastic strain
rate of the material is the result of a sum of plastic strain rate coming from
each active slip system. Depending on temperature range, plasticity can be
either time-independent or time-dependent, but for each case the critical
variable is the resolved shear stress. For small perturbations, the following
definitions are valid:
Strain rate decomposition: ~ - ~e + ~p (1)
Orientation tensor: m s _ -~(,~se

1 r~s + r~s e~ ~) (2)

5.3 Crystalline Viscoplasticity Applied to Single Crystals 309
Inelastic strain rate: ~P -- ~ mS9 s (3)

S
Resolved shear stress: ~:s _ gg:m s (4)
The elastic part of the strain rate ~e is computed using the classical elasticity
law respecting the symmetries of the single crystal. Some of the variables in
the equations are indexed by s, which denotes a given slip system defined
by the normal to the slip plane ffs and the slip direction n~s. These definitions
are very general, since they only describe the "geometry" of the deformation
mechanism. The constitutive equations have then to be written to correlate
the resolved shear stress vs and the slip rate on each slip system 9s.
During the deformation of the material, a rotation of the slip planes takes
place (about one degree for 1% deformation), leading to a modification of the
m s tensor for active systems. This can be taken into account in a "small
rotation" formalism, the rotation being modeled by the antisymmetric part of
the tensorial product r~s | ffs. On the other hand, more general expressions
that are valid for large transformations can be read in classical papers [1, 2].
Twinning is another crystallographic deformation mode, in which a zone of
the material is submitted to an apparent rotation and extension with respect
to its initial position, which produces a given deformation tensor. The
resulting strain can be modeled in the present formalism using a predefined
value for m s and replacing 9s by a term depending on the twinned volume
fraction [3]. On the other hand, the influence of climb can be represented by a
term including the tensorial product ffs | ffs.
According to the crystallographic phase of the material and to the
temperature domain, one or several slip system families must be introduced.
For FCC materials, the most common family is octahedral slip ({ 111} planes,
(110) directions), but cubic slip ({001} planes, (110)directions)can also be
found [4]. In the case of BCC materials, where no slip plane is present, a
simple solution consists in considering {110} planes, and (111) directions.
The case of HCP materials is much more complex. Several families are usually
active according to the value of the ratio c/a (a being length of the prism
side, c height of the prism) with respect to the theoretical value for perfect
network, x/~/3:
9 for materials having a low c/a value (zirconium, magnesium, titanium)

prismatic plane is predominant;
9 for materials having a high c/a value (zinc, cadmium), basal slip is the
most active.
In both cases, pyramidal slip can also be observed.

310 Cailletaud
FIGURE 5.3.1 Slip systems for (a) FCC and (b) HCP materials.
Examples of slip planes are shown in Figure 5.3.1 for FCC materials
(Fig. 5.3.1a) and HCP materials (Fig. 5.3.1b).
5.3.2 FORMULATION
The framework of thermodynamics can be used for a rigorous formulation of

the hardening of the material, but several strategies can be used for choosing
the potential [5,6]. In the following, the state variables are the elastic strain
(tensor), a vector storing the isotropic variables on each slip system
(components p~), and a vector for the kinematic variables (components c~).
The size of these vectors is equal to N, the number of slip systems in the
model. The treatment of the elastic part is classical and is not reported here.
The "inelastic part" of free energy is chosen so that the corresponding
hardening variables linearly depend on the state variables:
r s -- roi-~- bi~i ~ hsrfl r (5)

s
x S = c I ~s (6)
The terms hsr are the components of the interaction matrix which characterizes
both self-hardening (diagonal terms) and cross-hardening between the
different systems [7].
The model then uses a classical formalism, introducing for each system s a
threshold fs and two evolution equations:
fs = [~ - xS[- r ~ (7)
fis = b~(1 _ bipS) (8)
: / s - bs ( sign ('cs -xS)-dIxs'~cI,,] (9)

The full definition is achieved when the value of the accumulated slip rate
bS= 19~1 is defined. For a viscoplastic model, a simple power function can
be chosen:
kl
s/.i with (x} - max(x, O) (10)
Most of the viscoplastic crystallographic models for single crystals use

a "Norton law" for each slip system so that all the slip systems are active.
The predominant systems are just found numerically because of the non-
linear character of the equations. In the present case, a true threshold is
introduced, so that the numerical behavior of the model is better. On
the other hand, the strain rate sensitivity can be adjusted using suitable
values of the corresponding coefficients hi and ni (low values of ki).
A time-independent version of the model can also be proposed: a rule has
then to be specified to determine the active slip systems for a prescribed
external load.
In the preceding equations, it has been assumed that all the slip systems of
a given family present the same behavior, so that the coefficients are indexed
with I, and not s, I denoting the family of the system s. The initial resolved
shear stress is roi, the hardening capability is defined by QI and bi, and the
kinematic hardening by ci and dI. The viscosity is characterized by ki and hi.
The next section describes the identification method.
5.3.3 EQUATIONS FOR PRACTICAL USE
The model can be simplified and treated exactly like a classical macroscopic
model. For an explicit integration, the starting point is the actual state of
stress and internal variables. The values of vs can be used instead of p~ for the
practical calculations. The calculations consist then of the following steps:
9 compute the actual value of the hardening variables (Eq. 11);

9 knowing ~ on each slip system, compute the accumulated viscoplastic slip
rate (Eq. 12) and the evolution of the hardening (Eq. 13);
9 compute the inelastic strain rate (Eq. 14).
In these equations, the index I has been dropped for the sake of brevity; the
two types of isotropic hardening correspond to a part with the interaction
matrix (index 1) and a part introducing self-hardening only (index 2). Note
that a system will be active provided that its resolved shear stress z s is greater
than x s + r ~ or less than x ~ - r ~. The present formulation gives a saturation of
312 Cailletaud
the hardening in both monotonic and cyclic loading.

x ~ - c ~ ; ,-~ - eo + Q~ ~ h~(1 - e-~} + Q~{1 - ~-~} (11)
r
(12)
~s = ~)s _ dcxSbS (13)
{P - ~ mSb~sign ("c~ - x~) (14)

S

MATERIAL PARAMETERS
The model has been mainly used for modeling cyclic loadings in Ni-base
superalloys. Other materials have also been investigated, like copper, alloy
600, zircaloy, or zinc. Basically, it does not differ very much from a classical
viscoplastic model with isotropic and kinematic hardening, so that the tests
needed for the identification include:
9 cyclic tests for discriminating between isotropic and kinematic hardening
and for evaluating the cyclic hardening or softening;
9 tests at various strain rates to characterize the viscous effect;
9 creep or relaxation test.
In addition, specific tests must be made: (1) When several system families
may be active, the loading directions must be chosen so that each family is
excited. (2) In order to know better the value of the terms in the interaction
matrix, nonradial loading paths should be realized to evaluate the so-called
latent hardening. When these tests are absent, the two opposite solutions
consist in choosing either a diagonal matrix hsr=6sr (Kronecker ~) or an
"isotropic" hardening, hsr = 1. The most difficult challenge is to affect a value
to the cross-hardening between two families. These terms have to be chosen
after a discussion with the metallurgists.
The identification process needs a numerical implementation of the model
because, for a given orientation, the result in terms of strain rates is the result
of a collection of individual slip contributions, and the real specimen
orientation must be used (a small misorientation can change the initially
active slip systems and may drastically influence the material response).
Nevertheless, the model can be reduced to very simple expressions in the case
of multiple slip, when several systems are equivalent. For example, if M slip
systems (among N) are equivalent for a pure tension loading under the stress
cr, the Schmid factor being m, the inelastic strain rate in the tension direction
can be written:
mx~
~P _ _ Mm~ s - MmlmO- k r)n (15)
The model is then equivalent to a macroscopic model:
k 1 x r
withK - X - R -- -- (16)
m (raM)l~ n' --'
rtl m
For the case of FCC materials, it can easily be observed that a tension in the
direction {001} will activate octahedral slip systems (m = 1 / v ~ , M = 8),
and that a tension along {111} will activate preferentially cubic slip
(m = v/2/3, M = 6) (depending on the respective value of the critical
resolved shear stress for each f a m i l y . . . ) . This fact can be used to separate the
action of the two families, since the model provides a different expression of
the tensile curve for each tensile direction.
The corresponding values for octahedral and cubic slip systems are
reported in Table 5.3.1 (note that the exponent is the same for the
crystallographic and the classical approach).
TABLE 5.3.1 Equivalencebetween the Crystallographic Model and a Classical Approach in

Pure Tension.
Value for multiple
Coefficient slip (m, M) Value for 001 tension Value for 111 tension
k x/6k 3k
K m(Mm)1/n (8/V/-6)1/n 2(n+3)/2n
ro 3ro
R0 -- v/-6r0
m v~
Q 3Q
Q - ~Q
m
b ~b b
b mM 8 2v~
c 3c 3c
C Mm 2 4 4
a v~a a
D
Mm 8 2x/2
314 Cailletaud
5.3.5 NUMERICAL IMPLEMENTATION IN

FINITE ELEMENT CODE
The integration of these constitutive equations in a finite element code is

classical. For each integration point, the method can be either an explicit
method, like Runge-Kutta, or an implicit method, like a 0-method. For each
case, the vector of the internal variables is built with the components of ~e, the
N values of ~s, and the N values of vs. For the 0-method, the residual vector
consists of three types of equations, the first coming from the strain
decomposition (Eq. 17), the second from isotropic hardening (Eq. 18), and
the third from kinematic hardening (Eq. 19).
.Re -- Ae..- Ae..e - ~ A v S m s sign ('cs - x s) (i 7)

5
-- - <le-x l- r (18)
R~s -- A~xs - (sign(z s - x s) - d~)Av s (19)
The unknowns are Aee, Avs, A~s. The system can be solved by a Newton
method, so that the consistent tangent matrix is given numerically [8].
5.3.6 REMARK
Many mistakes have been made in the recent literature concerning the
behavior of single crystals. The most classical error consists in considering a
cubic version of the Hill criterion for the description of cubic single crystals.
Since this version introduces only one adjustable coefficient, it can only
be fitted for describing the difference between a tension along 001 and
a tension along 111, for instance. On the other hand, it has nothing to do with
a general formulation, since the group of cubic symmetries contains a large
number of invariants which are not represented by Hill's formulation [9].
For instance, such a model does not represent the large heterogeneities which
can be observed during the torsion of thin tubes [9]. This effect is illustrated
in Figure 5.3.2, which also shows the evolution of yield surface in tension-
shear when two slip families are present: according to the ratio of tension
to shear, the initial plasticity is not observed at the same location in the tube.
A "cubic Hill" criterion predicts that plasticity is uniform along the
circumference.
FIGURE 5.3.2 Location of the plastic zones at the onset of plastic flow for two shear-tension
ratios, a. r/~r = v/3. b. ~/~r = 1. c. Yield surface in (110) and (110) regions.
316 Cailletaud
TABLE 5.3.2 Table of Parameters.
K n ro Q1 bl c d Q2 b2
OFHC Copper, room temperature

octa 5 10 0.8 3.6 0.6 3,400 3600(a) 0.7 2200
(a) 0~s - ~s _ dOsbS, with ~s = 0.2 + 0.8 e x p - 2 3 v s
SC 16, 950 ~C
octa 700 4.7 4.6 3.9 3.7 96,500 1050
cube 1172 2.4 17.3 -4.4 2.7 77,000 1056
CMSX2, 650~
octa 220 10 390 400 3700 20,000 1000
cube 100 10 387 380 2400 50,000 1000
CMSX2, 950 ~
octa 920 4.6 70 0 - 120,000 1400
cube 540 4.6 54 0 - 40,000 540
AM1, room temperature

octa 88 15 245 0 - 730,000 3200
cube 96 15 377 0 - 186,000 560
AM1,950~
octa 517 5 69 0 - 21,600 2110
cube 707 5 47 0 - 90,500 1130
AM1, 1100~
octa 490 4.1 29 0 - 100,000 1600
cube 360 4.1 47 0 - 4,000 850
316SS, Room temperature*

octa 20 10 80 65 8 2,200 130 - 140 6
Au4G, Room temperature*

octa 50 25 70 25 30 5,000 200
Zr702, 200~ *
prism 81 8.8 6.1 -5.6 10 1,330 67
Zy4, Room temperature*

prism 178 6.5 53 17.6 103 100,000 1600
basal 100 3.2 197 20 17 4,000 850
p y r l (a) 94 2.6 144 62.2 94
pyr21(c + a) 184 2.1 292 169 101
Units: MPa, s.
1 The sign (*) indicates that the model has been used for modeling polycrystal plasticity, in a
polycrystalline aggregate. The coefficients are then valid for one grain more than for a single
crystal.
TABLE 5.3.3 The Interaction Matrix Corner.
Copper, RT hii = H1 = 1
h12 = hi3 = h23 = h 4 5 - - h 4 6 - - h 5 6 = h 7 8 --'- h 7 9 - - h 8 9 = h 1 0 , 1 1
=hlo,12=hll,12=H2=4.4
hi9 -- hl,ll -- h25 -- h2,12 -- h36 --h38 = h 4 9 - - h4,11 -" h57 -- h6,10
- h7,12 - h8,1o -- H 3 -- 4.75
h 1 4 = h 2 7 = h 3 , 1 o - - h 5 , 1 2 = h 6 8 - - h9,11 - - H 4 = 4 . 7 5
h 2 9 = h 2 , 1 0 = h 3 4 - - h 3 7 = h3,11 = h 3 , 1 2 = h 4 8 - - h 4 , 1 2 - - h58 = hs,lO
---:- h5,11 = h67 = h69 = h6,12 -- h7,11 =h8,11 = h 9 , 1 0 = h 9 , 1 2 - - H 5 --- 4 . 7 5
h i 8 = h i , 1 2 - - h2,11 - - h 3 5 = h 3 9 = h 4 7 - - h 4 , 1 0 - - h 5 9 = h6,11
= h7,1o= h8,12 -- H6 = 5
Ni-base single crystals diagonal matrix

(CMSX2, AM1, SC16)
316SS, Au4G hsr ~ 1
Zy4 diagonal matrix
REFERENCES
1. Mandel, J. (1973). Equations constitutives et directeurs dans les milieux plastiques et

viscoplastiques. Int. J. Solids Struct. 9: 725-740.
2. Asaro, R. J. J. (1983). Crystal plasticity. J. Appl. Mech. 50: 921-934.
3. Staroselsky, A., and Anand, L. (1998). Inelastic deformation of f.c.c, materials by slip and
twinning. J. Mech. Phys. Solids 46: 671-696.
4. Nouailhas, D., Pacou, D., Cailletaud, G., Hanriot, E, and R~my, L. (1994). Experimental study
of the anisotropic behaviour of the CMSX2 single crystal superalloy under tension-torsion
loadings, in "Advances in Multiaxial Fatigue", ASTM STP 1191, pp. 244-258, eds. Mc Dowell,
D. L., and Ellis, R.
5. M&ic, L., Poubanne, P., and Cailletaud, G. (1991). Single crystal modeling for structural
calculations. Part 1: Model presentation. J. Engng. Mat. Technol. 113: 162-170.
6. Forest, S., Cailletaud, G., and Sievert, R. (1997). A Cosserat theory for elastoviscoplastic single
crystals at finite deformation. Archives of Mechanics 49 (4): 705-736.
7. Brown, T. J., and Kocks, U. E (1966). Latent hardening in aluminium. Acta Metall. 14: 87-98.
8. Besson, J., Le Riche, R., Foerch, R., and Cailletaud, G. (1998). Object-oriented programming
applied to the finite element method. Part 2. Application to material behaviors. Revue
Europ&nne des F.l~ments Finis 7 (5)" 567-588.
9. Cailletaud, G., and Nouailhas, D. (1995). Tension-torsion behavior of single-crystal
superalloys: Experiment and finite element analysis. Int. J. Plasticity 11 (4): 451-470.
SECTION 0 4
Averaging of Viscoplastic
Polycrystalline Materials
with the Tangent
Self-Consistent Model
ALAIN MOLINARI
Laboratoire de Physique et M~canique des Matk.riaux, Ecole Nationale d'Ing~nieurs,
Universit~ de Metz, Ile du Saulcy, 57045 Metz Cedex, France
Contents
5.4.1 Notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
5.4.2 General Background . . . . . . . . . . . . . . . . . . . . . . . 319
5.4.3 Polycrystal Averaging . . . . . . . . . . . . . . . . . . . . . . 321
5.4.4 Discussion of the Averaging Schemes . . . . . . . 324
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
5.4.1 NOTATIONS
Vectors and second-order tensors are underlined by a single bar: e.g., x_, _d
are the position vector and the strain rate tensor. Fourth-order tensors
are underlined by a double bar: A. Cartesian notations are used, and the
convention of s u m m a t i o n on the repeated indices is adopted. The double
contracted products between second-order tensors or between fourth- and
second-order tensors are respectively defined as
a_ " b__- aob j` (A" a_)0 - A i j h l a l k
The volume average o f f on the whole aggregate is represented by (f).

5.4 Averaging of Viscoplastic Polycrystalline Materials 319
5.4.2 GENERAL BACKGROUND
This paper describes polycrystal averaging for time-dependent behaviors.

Large deformations are considered, and the model is aimed at describing the
overall stress-strain response together with the evolution of the internal
structure of the material (hardening of individual crystals, crystallographic
texture, and grain morphology).
Polycrystal averaging is based on several basic steps:
1. choice of a representative volume element (RVE) containing a large
ensemble of grains statistically representative of the polycrystal;
2. characterization of the deformation mechanisms and of the constitutive
law of individual grains;
3. description of the initial crystallographic texture (distribution of lattice
orientations) and of the initial morphological texture (grain's shape and
orientation of the principal geometrical axes);
4. grain interaction model;
5. evolution laws for the crystallographic and morphological textures.
The averaging scheme presented in following text assumes that the
deformation remains uniform within grains and ignores all deforma-
tion heterogeneities such as shear bands and dislocation cells. Despite
these simplifications, it is worth noting that the proposed averaging scheme
is quite successful in decribing the texture evolution and the overall
plastic response.
We consider a viscoplastic material constituted by a statistical
homogeneous distribution of crystals. Elastic deformations are
neglected. Each individual crystal (c), is governed by the following
flow law:
Of(c)
dij = Osij (s) (1)
where d O is the strain rate tensor, sOis the deviatoric Cauchy stress tensor, and
f(c) is a strictly convex potential; see Reference [4] for details. The viscoplastic
flow is assumed to be volume-preserving; therefore:
dii - tr( d) - 0 (2)
Since the potential f(c) is strictly convex, the flow law (Eq. 1) can be
inverted into
Og(c) (d) (3)
sij = Odij
320 Molinari
where g(C) is the strictly convex function conjugated to f(c) via the
Legendre transform:
g(_d) - sup [s_"_d-f(s_)] (4)

s
The macroscopic strain rate potential F(S_) can be defined as the volume
average of the local potentials [1]"
f- <fic)> (5)
The macroscopic flow law has the form
OF
D 0 -- ~-~0 (5) (6)
where S_ and _D are the macroscopic Cauchy stress and strain rate tensors,
respectively. They are related to the microscopic stress and strain rate by
volume averaging:
S_- (s) (7)
p - (d> (8)
Similarly, the macroscopic stress potential is defined by
(9)
and we have
OG
Sij - ~jij (_D) (10)
The problem addressed in this article is determining the macroscopic

overall material response in terms of the local behavior of the phases.
In other words, we would like to determine the macroscopic flow
law (Eq. 6) from Eq. 1, or to determine the law (Eq. 10) from Eq. 3. The
difficult step in the homogenization process is to calculate the local strain
rates _d as a function of the macroscopic strain rate _D:
_d- _d(_D) (11)
If the localization law (Eq. 1 i) is determined, the macroscopic stress potential

is precisely defined from Eq. 9
O(D)- (12)
Similarly, from the stress localization law

(13)
we can derive the macroscopic strain rate potential"

F(S_)- (f(s_(S_)) (14)
5.4.3 POLYCRYSTAL AVERAGING
In a polycrystalline material, grains with the same chemical composition,

same shape, and orientation of the principal geometrical axes, and same
crystallographic orientation can be considered as defining a particular
phase. If the spatial distribution of the different phases presents a
large degree of disorder, the classical self-consistent scheme is
appropriate to get an approximate solution of the localization
problems (Eq. 11 or 13). In the self-consistent scheme it is assumed
that the phase (c) can be represented by an ellipsoid F having the
properties of phase (c); F is embedded in an infinite uniform matrix having
the overall properties of the aggregate (to be determined in a consistent way).
The matrix is called the homogeneous equivalent medium (HEM).
We shall address a localization problem a little more general than Eq. 11.
The overall velocity gradient
OV i
_L- c3x (15)
is applied at the remote boundaries of the aggregate; _V is the macroscopic

velocity field, and x_ is the position vector. The macroscopic strain rate _D and
rotation rate El are the symmetric and antisymmetric part of _L. We are
interested in the determination of the velocity gradient l_c in the ellipsoid Ic, in
terms of L.
The solution of the inclusion problem (ellipsoidal inclusion embedded
in an infinite homogeneous matrix) has been obtained in a closed form
by Eshelby in the case of linear elastic materials. For nonlinear material
behavior, an approximate solution of the "nonlinear" inclusion problem can
be obtained by using a linearization procedure. The method consists in
approximating the material behavior by an affine response in a certain range
of strain rates. Grain's interaction is described by the following interaction
laws [3]"
sf - S_- [A=~ - (P~ (_d~ - _D) (16)
coc - ~ - -B~ 9(p~ (_dc - _D) (17)

322 Molinari
where s_c is the deviatoric Cauchy stress in the crystal (c). The macroscopic
deviatoric stress _S is the volume average of the local stresses
s_- Zs< _ <
with fc being the volume fraction of grain (c). _dc and coc are the symmetric and
antisymmetric part of the local velocity gradient lf. A ~ is a macroscopic
stiffness viscoplastic modulus (fourth-order tensor) which depends on the
macroscopic strain rate _D.
Different choices of A~ are possible, depending on the type of linearization
used. To each choice ofA ~ is associated a different model [7]. p0 and B_~_ are
fourth-order tensors depe-nding on A ~ and on the shape of the i-nclusion (c).
The interaction laws (Eqs. 16 and 17) are obtained by using a Green function
technique [3, 4].
Green functions G~m and Hm associated with the modulus A ~ are
defined by
A~jklG~m,lj(X_ - x_I) -F Hm,i(x_ - x_I) -Jr- (~im(~(x_ - x_I) -- 0 (18)
G~m,k(x - x') - - 0 (19)
with boundary conditions

G~m -- 0 and Hm - 0 at infinity (20)
The Green function _/_/0 does not appear in the interaction laws (Eqs. 16
and 17); however it is a necessary ingredient for calculating the local
hydrostatic pressure in terms of the macroscopic pressure.
The tensors p0 and B~ are defined as
m E
pOhl _ 1 0 0 (21)
o 1 o o o (22)
-- _ _ Tjilk )
with
(23)
r h,j - i
To obtain these results, a linearization procedure was used consisting in
somehow replacing the nonlinear response of the HEM in the vicinity of the
"working" strain rate _Dby an a[fine approximation (Fig. 5.4.1). The nonlinear
response of the HEM
0G (_D*)
D* --S* -0--6 (24)
~
S
IS* = ___a~ * + S o(__D) I
s_ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
- 8D
80(8)
_D_D
D
FIGURE 5.4.1 Linearization of the macroscopic constitutive law D_D_*--+ S* = OG/OD_* (D*) in
the vicinity of the macroscopic strain rate D. Depending on the definition of the macroscopic
viscoplastic stiffness modulus A_~ different averaging schemes are defined. The back-extrapolated
stress is defined by the relationship in Eq. 26.
is approximated for values of _D*close to _D, by

_D* ~ S_* - a_40(p)" _D* + _S0(_D) (25)
The back-extrapolated stress is defined as

S_~(_D) -- S_- A=~(_D). _D (26)
A possible choice for A__~ consists in taking the incremental tangent macro-
scopic modulus as defined by the incremental self-consistent scheme [1], see
also [6, 7]"
d o - a_'g - (_a(~)~g- [_~ + _P~g. (a (~)~g - aug)] -~) 9([K + _P~g" (_a(~)'~ - a_'~)] -~)
(27)
where __a(c)tg is the tangent modulus at the crystal level defined as
a(c)tg(d_C~-= 02g(C)/c3_dQd, g(C) being the stress potential of the crystal (c)
( s / - 0 g ~ / 0 4 ) ( s / - 0g~/0_a). _P~g is playing, with respect to A__tg, the role of
p0 with respect to A ~ -K is the fourth-order tensor defined by
m m
K~jk~- 1 / 2 ( G a j z + a , a j k ) - 1/3a,j&z. The solution of the localization pro-

blem is obtained as follows. Assume that at a given stage of the calculations an
approximation of A__tg is obtained. Then, using the interaction law (Eq. 16),
where A 0_ __+ A__tg,p0 ___+ptg, and S_ --+ ~fcs_ c, together with the constitutive law
s c = sf(_d~), a set of N nonlinear equations (N: number of grains) is obtained
from which _d~ can be calculated in each crystal (c). From these values of d ~,
new estimates of __a(c)tg a r e calculated. Then by solving the implicit equation
(Eq. 27) a new estimate of A tg is obtained. Iterations are continued until
324 Molinari
convergence is achieved. When _dc is calculated, the rate of rotation coc
of the crystal (c) is given by Eq. 17. The localization problem has been solved
now for a given material state (given grain's morphology, crystallographic
texture, and resistance stresses of the slip systems). In the next time
increment, the material state is updated, and a new localization problem has
to be addressed [4].
Other choices are possible for A~ For instance, considering power-law
materials with uniform strain rate sensitivity m, a simple relationship exists
between the tangent and the secant modulus: As - limA tg (the notation ~=tg
used for the macroscopic tangent modulus is changed with respect to Eq. 27
because the approach and the results are different). The interaction model
associated with the choice A_~_ ~=tg_ mA=S' and the use of the relationship
S_- Ag"_D in the interaction law (Eq. 16), define another type of tangent
approach [2, 4].
A family of averaging schemes can be obtained by considering the
choice A~ r/A_ -tg,_ where ~/ is a positive scalar. It can be shown that
P~ therefore, the interaction law (Eq. 16) has the form:
$7c __ ~_ __ ~(A.~tg _ ptg-,). (dC _ D).
In the limiting cases where ~/--+ 0 and ~/--+ ce, the static model (stress
uniformity: s f - _S) and the Taylor model (strain uniformity: _d~ - _D) are
retrieved. The secant (resp. tangent) self-consistent approach corresponds to
~I- 1/m (resp. 1 / - 1).
5.4.4 DISCUSSION OF THE

AVERAGING SCHEMES
The tangent self-consistent schemes (A~ A tg_ or A~ A= -tg) predict softer

grain interactions than the Taylor scheme, which assumes strain uniformity.
As a consequence, the average number of active systems per grain is about two
or three for the tangent self-consistent scheme, while it is closer to five for
Taylor averaging. When a crystal has soft deformation mechanisms together
with hard ones (as, for example, in HCP metals), the self-consistent model
favors soft systems, while it is not so in general for the Taylor model. This has
important consequences with respect to texture predictions.
Sometimes less than five deformation mechanisms are available in each
grain, the single crystal yield surface being then nonclosed. The standard
Taylor averaging cannot be used in that case, while the self-consistent scheme
is still operant.
Grain shape evolution is modeled in a natural way in the self-consistent
scheme via the tensor _p0 appearing in the interaction law. Changes in the
grain's aspect ratio, which have important consequences for texture

predictions, can be followed in a continuous way during the process. It is
worth mentioning that the Taylor scheme can be modified into the Relaxed
Constraint Taylor model to account for the existence of fiat parallel grains, but
the continuous evolution of the grain's shape can hardly be described in
that model.
Finally, although the Taylor model satisfies compatibility but not
equilibrium, it is of note that, in the self-consistent approach, equilibrium
and compatibility are not accounted for between individual grains but are
satisfied in the solution of the inclusion problem. Therefore, equilibrium
and compatibility are somehow satisfied "in average" between a grain and
the surroundings.
Many applications of the foregoing averaging schemes, in particular of the
tangent self-consistent approach, have been developed for FCC, BCC, and
HCP metals, semicrystalline polymers, and geological materials such as rocks
and ice; for a review see Molinari [4, 7]. These schemes have been successful
in describing the overall stress-strain response together with the evolution
of the internal structure of polycrystalline materials (texture evolution).
Elasticity being neglected, applications are restricted to m o n o t o n o u s loading
and large deformations. A discussion of averaging methods, including elastic
effects, can be found in Molinari et al. [5].
REFERENCES
1. Hutchinson, J. W. (1976). Bounds and self-consistent estimate for creep of polycrystalline

materials. Proc. Roy. Soc. A348: 101.
2. Lebensohn, R. A., and Tom~, C. N. (1993). A self-consistent anisotropic approach for the
simulation of plastic deformation and texture development of polycrystals: Application to
zirconium alloys. Acta Metall. Mater. 41: 2611-2624.
3. Molinari, A., Canova, G. R., and Ahzi, S. (1987). A self-consistent approach of the large
deformation polycrystal viscoplasticity. Acta Metall. 35: 2983-2994.
4. Molinari, A. (1997). Self consistent modelling of plastic and viscoplastic polycrystalline
materials, in CISM Lecture Notes., pp. 173-246, Teodosiu, C., ed., Springer Verlag.
5. Molinari, A., Ahzi, S., and Kouddane, R. (1997). On the self-consistent modeling of elastic-
plastic behavior of polycrystals. Mech. of Materials 26: 43-62.
6. Masson, R., and Zaoui, A. (1999). Micromechanics-based modeling of plastic polycrystals:
An affine formulation. J. Mech. Phys. Solids.
7. Molinari, A. (1999). Extensions of the self-consistent tangent model. Modelling Simul. Mater.
Sci. Eng. 7: 683-697.
SECTION 5.5
Fraction Models for
Inelastic Deformation
j. E BESSELING
j.f.besseling@wbmt.tudelft.nl
Contents
5.5.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
5.5.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
5.5.4 Determination of the Model Parameters .... 331
References . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
5.5.1 VALIDITY
In the course of a fast breeder project in a period of approximately ten years a

large number of experiments have been performed on tubular specimens,
which were loaded in combinations of tension and compression, torsion, and
internal pressure along carefully selected stress and strain paths. During this
loading the strain rate was kept nearly constant, and the experiments were
restricted to strains of a few percent. The materials tested were austenitic and
ferritic stainless steels. As in earlier but far less numerous experiments on
A1-Alloy specimens, it was concluded that the fraction model gives a quite
accurate description for almost all loading histories considered. In particular,
no evidence was found in any of the tests that the yield surface may develop
corners or vertices in the course of loading [3].
Much less successful has been the application of the fraction model in
the creep range. In modeling creep deformation, the deficiencies of the
mathematical model do not constitute the problem as much as the large
scatter that is found in experimental creep data. Tests under uniaxial stress
with step loadings on Mg-Alloy specimens have shown less reproducibility
than a sensible application of a complex model would require [4].

326 Copyright O 2001 by Academic Press. All rights of reproduction in any form reserved.
5.5 Fraction Models for Inelastic Deformation 327
5.5.2 BACKGROUND
In elastic deformation the distribution of the internal energy on a microscopic

scale is irrelevant to the macroscopic deformation problem. Thus the internal
energy can be replaced by the internal energy of a fictitious homogeneous
elastic continuum. In inelastic deformation, however, the dissipation of
energy cannot in general be replaced by the dissipation in a homogeneous
continuum. In the real material, inelastic deformation mechanisms are
initiated at certain points and will spread in subsequent loading over the
whole volume in the neighborhood of a material point of the continuum. In
the fraction model the inhomogeneous energy dissipation is discretized in a
phenomenological manner by conceiving the material to be composed of a
limited number of portions, which can be represented by subelements of an
element of volume dV, all subjected to the deformation of the continuum, but
each with its own dissipative properties. Thus the history of an inelastic
deformation process is recorded in terms of fraction stresses constituting the
thermodynamic internal or hidden state variables and determining by their
weighted sum the macroscopic stress tensor. From its initial formulation
[1, 2] it has been stressed that the fractions are not to be identified as grains.
As to linear rheological models, two or more Maxwell models in parallel
can be interpreted as a fraction model [5]. Also, Melan's kinematic hardening
model, advocated by Prager (who added the adjective kinematic to it), is
contained in the fraction model. The combination of one ideally plastic or
hardening fraction with one purely elastic fraction gives a kinematic
hardening model with a consistent shift rule for the yield surface, as required
by Ziegler [51.
The fraction model of a solid is based upon the concept of a so-called natural
reference state, with respect to which changes in internal energy in
thermodynamic state space can be defined by an invariant function of elastic
strains and entropy. For a finite, possibly very small, neighborhood of a
material point of the continuum model the geometrical configuration of the
elementary particles of the real material in relation to each other is assumed
to differ from the configuration in the natural reference state by a linear
transformation of line elements in that point:
dr = Fedr (1)
Here r is the position vector and d~ is the vector of the infinitesimal line-
element, which only in the case of purely elastic behavior is integrable to the
3 28 Besseling
position vector ~ in the undeformed state. In the case of purely elastic

behavior, the vector ~ and the initial position vector ro are identical. In
general, the line-element d~ will, however, change its length and orientation
by inelastic deformation.
The elastic d e f o r m a t i o n tensor, acting as objective (with respect to the
material) state variable in the internal energy function, is defined by
d r o d r - d~o d~ - 2d~o 07ed~), rle - 1 (FerFe _ I) (2)
The rate at which locally d~ changes with time is characterized in the physical
space by a tensor A v"
d~ - Avd~ ~ d i ' - F v ~ - l & + V~Avv~-ldr - (L~+LP)dr (3)
The velocity g r a d i e n t tensor L has been split into an elastic and an inelastic
part. Also, the rate of deformation tensor D and the s p i n t e n s o r ~2 may be split
into an elastic and an inelastic part:
De - ~1 (L ~+Le~ ), o~ - 89(L~ +L~ ~)
~,'~e __ 1 ( L e - LET), np __ 1 ( L P _ L P T ) (4)
We have
~e __ FeTDeFe D e _ D - D p (5)
In the fraction model an element of volume is divided into N portions of size
~h, each with its own elastic deformation tensor r/eh and its own dissipation
process, leading to a Dph. The rate of deformation tensor D remains the rate of
deformation tensor of the fictitious continuum.
Denoting the temperature by T, the mass density by p, the internal energy
per unit mass by e, and the free energy per unit mass by f, we have for
each fraction
p f k = p e k - Ts, p f k = pfk(qek, T) (6)
The fraction stresses crh are expressed in terms of the free energy by
crk - p \0r/e kf (7)
determinin~ the macroscopic stress tensor ~ by their sum with the volume
fractions ~ " as weighting factors:
N N
- Z - 1 (8)
1 1
For changes of the state variables T and a k only rate equations can be given
because of the thermodynamic irreversibility of the inelastic deformation and
heat conduction processes. In the fraction model the energy dissipation per
5.5 F r a c t i o n M o d e l s for I n e l a s t i c D e f o r m a t i o n 329
unit volume, q), is the weighted sum of the dissipation functions of the
N fractions:
N
- Z r) (9)
1
In inelastic deformation the energy dissipation is the amount of work per

unit volume that is transformed into heat. For the rate of change of the
temperature, we then have from Fourier's law of heat conduction with cv for
the specific heat:
pc,,'if = div(Kgrad T)+cp (10)
The scalar product of internal state variables and rates of inelastic
deformation gives the rate of energy dissipation. Since the symmetric stress
tensors crk contribute to the energy dissipation solely through the symmetric
inelastic deformation rates Dph, it would be necessary to introduce additional
state variables, producing dissipation with the skew symmetric tensor f~P in
order that this tensor may differ from the zero tensor. In the fraction model
the tensor f~P is taken to be the zero tensor and the constitutive equations for
the tensors D pk are formulated in terms of energy dissipation functions q0k:
(,oh - (Tk D pk} --(FekcrkFek~,D pk} --(crk, ilPk),D p k - FekW-lrjPkFek-1 (11)
Here the weighted sum of the tensors T k determines the stress tensor of
Cauchy, T, that occurs in the equations of motion of the continuum. The
tensors T k are state variables in state space, not subjected to the equations of
motion that apply in the physical space.
N N
- Z - Z /12)
1 1
For a solid that permits a thermodynamic description, change of volume

is according to experiments a purely elastic phenomenon. Hence tr D p k =
tr l:lPk -- 0 and only the deviator of the stress tensors,
T a -- T - (ltr T)I, cra - c r - (tr cr)I (13)
contributes to the energy dissipation. Then D pk and tjph must be proper duals
of Tah and a ak. If the fraction has an isotropic behavior, the function r is a
function of the stresses through the invariants of the stress tensor and has
thereby the required invariance with
(
DPk _ ~pk Talk Oq~Ok
) -1
respect to rotation. Then we have in
Oq~k
, cgTak oqT (14)
a tensor with the required duality properties. In case a fraction would have
anisotropic behavior, the energy dissipation must be considered to be a
330 Besseling
function of the objective stresses crh and the derivatives of cpk with respect to
crah provide the proper duality for the tensor/jph.
The constitutive equations for the inelastic deformation of one fraction are
presented for the general case. The superscript k, denoting the fraction, will
be omitted.
In terms of a yield function @ with a yield stress rrr,
9 -- @(or, crF) (15)
the dissipation function is defined by
<p - ~(e +/3, :r) (16)
It determines the creep rate/jc by
O~ _ ~ cra O~ O~
' ~-d~a acra (17)
Experiments with metal specimens show that at a certain stress level the
dissipation rate starts to increase very rapidly, such that very high rates of
strain have to be imposed for a small increase of stress. This implies a high
nonlinearity of the dissipation function at these stress levels. A dissipation
function with this type of high nonlinearity leads to great difficulties in
numerical simulations of the inelastic deformation process. From the start of
the theory of plasticity, a discontinuity in the constitutive description in the
form of a yield surface has been introduced, by which these difficulties
are overcome.
The yield function defines a closed surface in stress deviator space, limiting
the stress states that can be reached,
0z@z-1 (18)
The value - 1 for 9 corresponds to zero stress. The energy dissipation must be
positive, and the dissipation function is defined such that it is equal to zero for
+ fl = 0. The parameter /3 introduces a threshold for the stresses, below
which no energy dissipation takes place. For ~ = 1 this is the state of zero
stress. We have
0<fl<l, cp>0 for ~+fl>0, else cp--0 (19)
With the aid of the fourth-order tensors
~=a~f
o,7~o,~,
~_(o~b-~d'~ ~a~/-'(~a~ ~ /'~ae'~ (20)
\ FD-d~
U | t, F~d)
the compression modulus C, and the coefficient of cubic thermal expansion e,

the rates of stress are defined by the following:
ifr and +=0: 6-=(o~~ I-h~'il c-C~tI,

else if 9 + fl > 0: 6- = ~g~ - / I c) - C e t I , (21)
else d = ~~0 - C~2I.
Here h is a small positive or negative hardening coefficient that determines

the change of the yield stress in plastic deformation. From the consistency
condition r 0 follows
h ~a-dad,~~0 + ~ dF -- 0 (22)
When the material behavior is simulated by a number of fractions with

different values for the yield stresses cry, with different values for the threshold
values fl, and possibly with different values for the hardening coefficients h,
the typical anisotropic, memory-sensitive characteristics of inelastic deforma-
tion are described by the model.
5.5.4 DETERMINATION OF THE

MODEL PARAMETERS
The validation experiments have mainly been restricted to materials which

in their annealed state could be considered to have isotropic properties.
Furthermore, these experiments did encompass strains not larger than a few
percentage points in nearly time-independent plastic deformation. Here the
determination of the model parameters will be discussed for this particular
application.
For small strains the stresses T h and ~rk are related by the orthogonal
transformation R. It represents the rotation of the neighborhood of the
material point of the continuum with respect to the initial configuration
T k = RakR r. Because of the isotropic properties of the fractions, the fourth-
order tensors ~ and ~ , as well as the yield function 9 and thereby the
dissipation function ~0, are invariant under rotation. The von Mises yield
condition is based upon the stress invariant Jz - 89tr (od)Z. We have with the
shear modulus G
3J2 --
( I ) - - cr--~F 1, o - G//~d + C( l t r t / - ~(T - To))I (23)
332 Besseling
In view of its limited significance in the envisioned applications, a simple

dissipation function suffices:
qo --~,(T).sin h (0.88137 ~ + fl) (24)
In this expression 7(T) contains the temperature dependence of the creep

process. Since sin h 0.88137 = 1.0000, the dissipation rate of a fraction upon
reaching the yield surface is equal to 7(T). Because of the linear term in the
series expansion of this function, it proves to be much more suitable for the
description of stress relaxation effects than the well-known power law of
creep. For the higher power values the relaxation rate decreases too rapidly
with the value of the excess stress 9 4-//.
There remains the determination of the number N of fractions, their
weighting factors 6k, the values of their yield stresses 0-~, the hardening
coefficients hi, and the values of their threshold values ilk.
Simple tests on tensile specimens may provide the necessary data. If more
than four fractions are taken, a smoother representation of the stress-strain
diagram is obtained, but the accuracy of the simulation of complex stress
histories will not be greatly enhanced in terms of predicted stress values.
Furthermore, the model is not very sensitive to the precise location of the
breakpoints on the model stress-strain diagram that mark the onset of yielding
of one more fraction. This is, of course, a property that is essential for the
usefulness of the model.
The determination of the model parameters for time-independent plasticity
is best illustrated for an experimental stress-strain diagram approximated by
the Ramberg-Osgood formula with material parameters E, 0-3, m.
= + (25)
0"3 0"3
We specify the breakpoints by their values for the secant modulus Es,
denoting the breakpoints with subscript p. For 0"p -- EsP~/pwe have
1
;: 1)1
The value of 0-3 corresponds to the secant modulus, which has a value of 0.7E.
Usually a good choice for the breakpoints is given by the following values of
the secant moduli:
Es/E = 0.98, 0.85, 0.7, 0.4, 0.1 (27)
Table 5.5.1 shows the successive determination of the breakpoints and of
the values for ~k and a). The yield stresses a~ are the initial values of the flow
stresses @ of the various fractions, which are subject to change because of
TABLE 5.5.1 Determination of Fraction Parameters from Ramberg-Osgood Diagram with

m = 10 a n d v = 0 . 3 .
p Ef/E ~/~ E~,/~ A~/(EA~) k 2~=~ 0 n 0~ ~,~/~

1 0.98 0.713 (0.728) 0.547 0.498 0.713
2 0.85 0.906 1.066 0.259 1 0.498 0.285 1.091
3 0.7 1 1.429 0.103 2 0.783 0.144
4 0.4 1.140 2.873 3 0.927 1.495
0.023 ~ h = 0.020 4 0.073 3.139
5 0.1 1.403 14.025 1
isotropic hardening. This isotropic hardening may, in a first estimate, be

described by the same value h for all fractions. The values of h k do not greatly
affect the values of O k and ~), but they are essential because of the cumulative
effect of the isotropic hardening. An estimate for h is needed for the
determination of the values of Ok. A further refinement of the model with
different values for h k is mainly of value for cyclic loading.
With the aid of the well-known relations
E E
G __
2(1 + v)'C - 3(1 - 2v)'
we derive the following expressions:

~y _ 3 Erl k 1 - 2 v ~rk
~3 2(1 + v) \ ~3 3
(28)
(1 - h) ~ 0 ~- 1 - A~/(EzX~)
1 - ~(1 - > / A ~ / ( E A ~ )
These expressions show that in the case of incompressibility ( v - 1) the

volume fractions follow directly from the slope of the stress-strain curve
between breakpoints, while the initial yield stresses of the fractions are given
by the strain at the breakpoints, multiplied by the elastic modulus. Note that
for the slope of the curve from p = 1 to p = 2 the line is taken to start on the
elastic part of the diagram. The value of Eql/a3 is not used.
Even far below the true creep range of temperatures, inelastic material
behavior may be accompanied by strong strain rate effects (differences in
predicted stress values of the order of 10%). In the tensile test a considerable
drop in stress can occur if the loading of a specimen is interrupted at constant
strain for several minutes. In a first approximation the drop in stress in such a
relaxation period turns out to be more or less constant for the whole range of
stress over the inelastic part of the tensile curve. Based upon this observation,
334 Besseling
TABLE 5.5.2 Iterative Determination of Hardening Coefficients.
k ~kk(1 -- h k) h k//h4 E n =h l I~nhn/h4 hk ~kk k ft. hn/h4

~--'~n=l h~ ~kk
1 0.489 0 0 0 0.489 0 0 0.489

2 0.279 0.1557 0.044 0.019 0.285 0.044 0.018 0.284
3 0.141 0.322 0.091 0.039 0.147 0.092 0.037 0.147
4 0.072 1 0.163 0.120 0.081 0.173 0.115 0.080
1.002 1.000
the threshold stress value for each fraction may put equal to the yield stress,
diminished by this drop of stress, Aa. The values of fl then follow from
Usually, for a good correspondence between the experimental curves for

cyclic loading and the curves according to the fraction model, an adjustment
of the hardening coefficients h k for the various fractions is needed. This
adjustment is best carried out if the values are chosen such that the curve for
the first reversed loading is well represented. Often good results are obtained
with values for hk which are proportional to the difference between the yield
limit ayk of the fraction k and the yield limit of the first fraction. Obviously, this
implies h I - - 0, and as a result, the initial yield surface does not expand,
leading to a pronounced Bauschinger effect and followed by a rapidly
increasing hardening.
For unequal values of h k the determination of their values is best solved by
an iterative process. For the data from the Ramberg-Osgood formula
considered in Table 5.5.1, this iterative process is illustrated in Table 5.5.2.
The values of ~k (1 -- h k) remain constant in the iteration process, since they
determine the slope between breakpoints. Their values are given by ~kh(1 - h)
in accordance with the values of Table 5.5.1. After the values of h k have been
calculated by running down the first column and up the second column of
each iteration, the new values for @k follow from the known values of
~kk (1 - hi). Sufficient accuracy was obtained in two steps.
Any finite element analysis of inelastic deformation problems will introduce

the constitutive equations of the material in sampling (or integration) points
of the elements. If these points are material points of the continuum, as they,
in case of small strains, usually will be, the fraction model equations may be
directly applied. Of course, for each sampling point in which inelastic
deformation has occurred, the history of the internal state variables must be
recorded. The history of the variables of all fractions that have contributed to
inelastic deformation must be traced by storing the values of the fraction
stresses with the model parameters. In the case of large deformations, the
mesh of finite elements has to be redefined in a continuous or discontinuous
process, but in either case the problem of keeping track of the material points
of the c o n t i n u u m with their history arises.
REFERENCES
1. Besseling,J. E (1953). A theory of flow for anisotropic hardening in plastic deformation of an

initially isotropic material. Nat. Aero. Res. Inst., Amsterdam, report $410.
2. Besseling, J. E (1958). A theory of elastic, plastic and creep deformations of an initially
isotropic material. J. Appl. Mech. 25: 529-536.
3. Besseling,J. E (1985). Models of metal plasticity: Theory and experiment, in Plasticity Today,
pp. 97-114., Sawczuk, A., and Bianchi, G., eds., Elsevier Applied Science Publishing.
4. Lambermont,J. H., and Besseling,J. E (1970). An experimental and theoretical investigation of
creep, in Creep in Structures, pp. 38-63, Hult, Jan, ed., Springer-Verlag.
5. Besseling, J. E, and Giessen, E. van der. (1994). Mathematical Modelling of Inelastic
Deformation, Chapman & Hall, 324 pages.
SECTION 5.6
Inelastic Compressible
and Incompressible,
Isotropic, Small
Strain Viscoplasticity
Theory Based on
Overstress (VBO)
E. KREMPL1 and K. HO 2
1Mechanics of Materials Laboratory, Rensselaer Polytechnic Institute,
Troy, New York
2yeungnam University, Korea
Contents
5.6.1 General Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . 336
5.6.2 Isotropic VBO Model for Inelastic
Compressibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
5.6.3 Reduction to a Simplified, Isothermal,
Incompressible Form . . . . . . . . . . . . . . . . . . . . . . 343
5.6.4 The Determination of VBO Constants
from Constant Strain Rate Data . . . . . . . . . . . . 343
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
5.6.1 GENERAL REMARKS
P h e n o m e n o l o g i c a l e x p e r i m e n t s are o n e of the f o u n d a t i o n s of the v i s c o p l a s -

ticity t h e o r y b a s e d o n o v e r s t r e s s (VBO). A t e n e t of m a t e r i a l s s c i e n c e [11] is

5.6 Compressible and Incompressible, VBO 337
that "the current behavior of a material is determined by its current state and
the current loading conditions" (italics added by the present authors). A
properly designed specimen represents the material and serves as the
integrator of all the micromechanisms. From these responses the continuum
model has to be synthesized. It is clear that an experiment-based approach
captures the physics of material behavior; after all, acting micromechanisms
are deduced from similar, if not identical, tests.
The aim is to create an experiment-based, physical, small strain
model that can be exercised like a real, servo-controlled testing machine
with strain measurement on the gage section. A time integration program
for a system of stiff, ordinary differential equations [5] is the numerical
testing machine.
VBO has been used at low, high, and variable temperatures with
one basic formulation. A static recovery term becomes negligible for low
homologous temperature. Terms that are present for variable temperature
equal zero when the temperature is constant. Creep and plasticity are
not separately formulated. All material constants are allowed to vary
with temperature.
To efficiently utilize the available space, provide an overview, and have the
equations collected in one place, Boxes are used. A nomenclature listing,
Box 5.6.1, precedes the display of the coupled, nonlinear differential
equations in Box 5.6.2 for inelastic compressibility. Inelastic incompressibility
is introduced in Box 5.6.3, where a simplified tensorial and a uniaxial VBO are
derived from the general theory.
5.6.2 I S O T R O P I C V B O M O D E L FOR
INELASTIC COMPRESSIBILITY
The VBO formulation was started by Cernocky and Krempl [2], who
showed that the overstress dependence enabled the modeling of long-
time asymptotic solutions with a slope that can be negative, zero, or
positive. The asymptotic solution provides a means of modeling the
so-called flow stress region and has been very useful in modeling real
material behavior. This aspect had not been discussed by Malvern [26,27]
and Perzyna [28]. Krempl [13,14] has shown the capability of the over-
stress model to reproduce normal and "paradoxical" inelastic deformation
behaviors that were found in the literature and in specially performed
experiments [ 1, 12, 18, 20].
338 Krempl and Ho
BOX 5.6.1 Nomenclature
Coefficient of thermal expansion 1/ temperature
Rate sensitivity coefficient No dimension
Shape function, 1 > ~ > Et/E No dimension

Decreasing or constant, Eqs. 3, 11
Rate of deformation, true strain rate 1/time

tensor
gl 1 ~g22 Axial and transverse components of true strain 1/ time

rate in a uniaxial test
.in
~0~g 0 Constants for normalization 1 / time
Strain beyond which the asymptotic solution No dimension

applies approximately
Effective inelastic rate of deformation, 1 / time

/tr(~.in~.in)
-- 1/ Eqs. 2, 10
V i 7 ~--~,
Overstress invariant, Eqs. 2, 9 Stress
Inelastic Poisson's ratio, 0 < t / < 0.5, No dimension

constant
Variable, total Poisson's ratio No dimension
Elastic Poisson's ratio, constant No dimension
True (Cauchy) stress tensor Stress
Isotropic stress Stress
Ac Constant, controls the speed with which No dimension

saturation is reached
Ai,Af Initial and final value of A Stress

Drag stress, constant, or a growth law; D > 0 Stress
E, Et Elastic modulus, tangent modulus at maximum Stress

strain of interest based on total strain
rate
F-.t Tangent modulus based on inelastic strain rate Stress
l~t--E/(1-~)
Flow function, positive, increasing, F[0] = 0; 1/time

see k.
Dimensionless flow function F - e9in0 F^ No dimension
Curve fit of data, P = F[F/D] - F[0] No dimension
Kinematic stress tensor Stress
Equilibrium stress tensor, Eqs. 3, 11 Stress
Effective equilibrium stress Stress
Identity No dimension
Viscosity function, positive decreasing, k[0] r 0, Time

F = F / ( E k ) , Eqs. 2, 10
Static recovery function, positive, 1/ time

increasing
True (Cauchy) stress deviator tensor Stress
Temperature Degree Kelvin
Time Time
Material time derivative of x 1 / time
( )a Deviatoric quantity
[ ] Denotes "function of"

340 Krempl and Ho
VBO is based on the standard linear solid [14, 17]. The spring in front of the
Kelvin element remains linear but the Kelvin element itself becomes nonlinear.
The viscosity of the dashpot is represented by a nonlinear, decreasing function
of the overstress. The "spring" of the Kelvin element has nonlinear and
hysteretic properties. Although the actual responses of the standard linear
solid and of VBO can be vastly different, some general properties remain the
same. The existence of long-time asymptotic solutions for constant loading
rate can be offered as an example. Also, in both models infinite time is
required to reach the equilibrium stress in a relaxation experiment.
BOX 5.6.2 Inelastic-Compressible, Isotropic VBO
Flow Law
d(.l+v _ m
v
(tr(~))l +
( l+r/
Ek[F/D]
rl (tr(a - g))I)
(~-g)- EkEr/D]
Y
viscosity function
~m
+ 0r (1)
~th
Invariants
F 2 = ((1 + ~/)2tr((o"- g)(o" - g)) + 012 - 2~/)(tr(a - g))2)/(1 + 2~/2)
= ---L-F = F[F]; ~ = ((1 + r/)2tr(gg)+ (r/2- 2t/)(trg)2)/(1 + 2t/2) (2)

flow function
Growth law for the equilibrium stress
= ~ + (~;)t~ + ~ ~- g r
~ k[r/D] A 7-/-fl--F
equilibrium elastic ~ /
stress rate hard. inelastic nrs
hardening "- Y 9
dynamic recovery
+ (1 - ~ ) f - R[~]g (3)
static recovery
Growth law for the kinematic stress

a-g IF]a-g
(4)
kinematic
stress rate
Growth law for the isotropic stress
~
A = Ac (Af - A)d) rate-dependent, complex forms possible
isotropic
stress rate
BOX 5.6.3 Inelastic-incompressible, isotropic VBO

Deviatoric, simplified, formulation, isothermal, ~/- 0.5, without static recovery
,~ _ ,~e7 + ~ (6)
(~e,) a_ ((1 + v ) / E ) i , tr ,~et = ((1 - 2v)/E)tr d (7)
(s)
- 2 Ek[ra/D] - 2 ra
rd _ r tr((s -- gd)(s -- gd)); (9)
?h - rd/Ek - F; ~_ r tr(gagd) (10)
gd_fa.)A + ( 1-~)~'d (11)

~ - r162 ( ~-g~
r~
,~ ~ Ek
~ -- EtF [~l s FJ
~~ (12)
Poisson's ratios based on strain rates
The ratios v and ~/are constant and are limited by 0 _< v _< 0.5 and 0 _< ~/<_ 0.5.
rl is variable
q _ _ t2__
A = vir/E + (n(~r - g)/(Ek[F/D])) (13)
~ olE + ((,~- g)l(Ek[r/D]))
Uniaxial equations
e [F~l'~-g;r-,~-g (14)
gA
-f) + (1 - ~)f (15)
) - ~ ' r [~] ~-g=r t~'~'n (16)

/...~ X
wh~r~ ~ - ' - ~ and ~milar h~ b~n u~d.

\3/
The flow law, Eq. 1, Box 5.6.2, consists of three parts: the elastic, the
inelastic, and the thermal strain rates, which are added to obtain the total true
strain rate. The elastic strain rate is given as a total time derivative to ensure a
path-independent elastic strain for variable temperature and temperature-
dependent material properties [21, 22]. Naturally, for isothermal conditions
342 Krempl and Ho
the terms containing temperature rate as a multiplier vanish. The inelastic rate
of deformation can be formulated using the viscosity function k[F/D] or the
flow function F[F/D], see Eqs. 2 and 10 for their interrelation. The overstress
invariant 1-', the effective inelastic strain rate (rate of deformation) q~ and the
effective equilibrium stress ~ are normalized to the uniaxial state of stress and
are given in Eqs. 2, 9, and 10. In the absence of the static recovery term, the
equilibrium stress evolves mostly in a rate-independent manner. The applied
stress must be different from the equilibrium stress to affect inelastic
deformation. The equilibrium stress can be thought of as a measure of the
strength of the defect obstacles that have to be overcome. The growth law for
the equilibrium stress g, Eq. 3, has elastic and inelastic hardening terms as
well as a dynamic recovery term. The last term, the static recovery term, plays
a significant role at high temperature and is zero at low temperature. The term
containing f is introduced in Eq. 3 to ensure the existence of the asymptotic,
long-time solution for any slope [16]. The growth law simulates the
hardening/recovery format attributed to Bailey/Orowan [4]. Note that only
this term contributes in a time-dependent manner. The growth law for the
kinematic stress is given in Eq. 4. The kinematic stress is the repository for
modeling the Bauschinger effect and for modeling the slope of the stress-strain
diagram at the maximum strain of interest. The constant inelastic Poisson's
ratio r/complements the elastic Poisson's ratio v. The actual, variable Poisson's
ratio see Eq. 13, can be easily calculated.
When modeling solid polymer deformation [1, 6, 17] inelastic compressi-
bility has to be accounted for. Following Lee and Krempl [21], who treated
the anisotropic case, the formulation of Eq. 1 was arrived at by Ho [6]. The
similarity of the expressions for the elastic and the inelastic strain rates is
obvious. For r / = 0.5 the usual forms are obtained and are given in Box 5.6.3
for a simplified version. The compressible solution may be applied to
cavitating, but otherwise incompressible, materials.
In Eq. 3 the equilibrium stress growth law is written in terms of stresslike
quantities. The formulation can also be given in terms of the strain rates by
using their respective definitions, [16]. The first term on the right causes a
m
nearly elastic growth with an initial slope of ~kE and establishes the quasi-
elastic region. The second term is needed for variable temperature [22]. The
next positive term represents the inelastic hardening, which is followed by the
dynamic recovery term.
The factor/~ in the dynamic recovery term of Eq. 3 and marked by nrs is
zero for normal VBO. It is the repository for modeling zero and negative rate
sensitivity and other unusual but important rate effects [7-9]. The modeling
of different rate effects is a rather unique capability of VBO.
The isotropic or rate-independent stress A primarily models cyclic
hardening/softening. The simple formulation of the growth law given in
Eq. 5 is sufficient to demonstrate constant strain amplitude cyclic hardening

or softening. For nonproportional loading extra hardening can be observed
with some metals and alloys. For the modeling of such behaviors special
growth laws are needed, e.g., [3, 29, 31].
5.6.3 REDUCTION TO A SIMPLIFIED,

ISOTHERMAL, INCOMPRESSIBLE FORM
The model given in Box 5.6.2 can be simplified and reduced to the usual
inelastic incompressible, deviatoric formulation. It is further assumed that
no isotropic hardening takes place and that static recovery terms are not
operating. Only the equilibrium stress and the kinematic stress change. With
these simplifications VBO models viscoplasticity with kinematic type
hardening.
Starting with Box 5.6.2, the following simplifications are introduced:
9 Inelastic Poisson's ratio is set to 7 = 0 . 5 to model inelastic
incompressibility.
9 The equations are separated into hydrostatic and deviatoric parts.
9 The shape function ~ is reduced to a constant with the same name and
the same limits as stated in Box 5.6.1.
9 The flow function F and five other constants (A, D, E, Et, and ~) are
needed to describe the inelastic behavior with the simplified model
when fl is set equal to zero.
Following Majors [25], the simplified model has been proposed by
Maciucescu et al. [24] and has been used by (Tachibana and Krempl [30]) for
high homologous temperature applications. The simplified model is capable
of modeling nonlinear rate sensitivity in strain and stress-controlled loading,
creep, relaxation, the Bauschinger effect, and cyclic neutral behavior.
5.6.4 THE DETERMINATION OF VBO

CONSTANTS FROM CONSTANT STRAIN
RATE DATA
The simplified VBO is applied to test conditions where recovery effects are
negligible. Therefore, Eqs. 13-16 apply. Recent room temperature data by
Khan and Liang [10] on bcc alloys cover a wide range of strain rates.
Figure 5.6.1 shows stress-strain diagrams for a Ta-2.5 W alloy with strain rates
ranging from 10 -6 to 1 1/s. The high static strain rate data show typical
344 Krempl and Ho
bcc behavior. The stress-strain curves are nearly equidistant in the flow
stress region.
The elastic modulus E and the tangent modulus Et at the maximum strain
of interest can be directly obtained from the graph. For the determination of
the flow function the relationships derived from the asymptotic solution and
their interpretation are important, see Eqs. 10-14 of Krempl [16]. While the
model given in Box 5.6.3 is valid for every loading, the asymptotic solu-
tion applies when plastic flow is fully established, i.e., at strains ~ > 0.04 in
Figure 5.6.1.
The equilibrium stress g and the constant drag stress D have to be
determined together with the flow function F. For nonlinear problems
9i n "
a normalized formulation is desirable. Accordingly, F - e0F where P is
dimensionless and where e90i, is an arbitrary constant with dimension of
reciprocal time. Substitution into Eq. 14 yields k / k 0 - / ~ [ F / D ] where k i , =
~ ( 1 - Et/E) has been used and where the arbitrary s0 is the total counter-
part of %.'i"
In determining the overstress, the unique evolution of g in the asymptotic
region is factored in as well as the fact that the equilibrium curve is below the
slowest stress-strain curve. The finite time endpoint of a relaxation test started
at a strain ~ can be below the slowest stress-strain curve [19]. With these
guides the equilibrium stress is estimated.
Next the condition F I l l - 1 is imposed. From actual stress-strain curves
for various strain rates such as shown in Figure 5.6.1 the overstress at a given
700 : ............................. ;
,~ 400
i 300 A........... i .................. ; ............ i ..................

2OO
100 o i vs I
| i : ] OIE-02 l/s
l I l l 0 IE-06 l/s
0.,, , ..... I ....................... I .... ; " '
0 0.05 0.1 0.15 0.2

True Strain
Figure 5.6.1 The influence of strain rate on the stress-strain diagrams of a Ta-2.5W alloy at
ambient temperature. The symbols are selected points taken off the original stress-strain diagrams
in Figure 6 of Khan and Liang [10]. The thick lines are the numerical simulation of the influence
of strain rate. The thin lines, top at a strain rate of 1000 1/s and bottom for 10 -8 l/s, are
extrapolations to demonstrate that VBO can model a large range of strain rates.
strain rate and a strain ~ in the flow stress region (~ > 0.04) is estimated. Here
the overstress for the strain rate of 1 1/s was found to be equal to 246 MPa.
These choices and the unity condition at the beginning of this paragraph
yield D = 246 MPa and k0 = 1 1/s. Knowing D, Et, and the stress, the isotropic
stress A can be easily calculated.
Since the strain rates cover several decades but stresses do not, log(k/k0) =
y is plotted as a function of the stress ratio F / D = x using an Excel trend line
analysis or equivalent. It yields, in the present case, a linear polynomial
approximation with R2=0.9969. The log-plot cannot be extended to the
strain rate origin. To satisfy F[0] = 0 we set F = g0(1 - Et/E) (F [F/D] - F[0])
where P is the function obtained from the trend line analysis that has all the
properties of F except that it is not exactly zero for zero argument. The
constants are listed in Table 5.6.1.
The value of ~ has to be determined next. Selecting a value and
numerically integrating the constitutive equation is a good procedure. To
avoid possible overshoots at the transition from quasi-elastic to inelastic
behavior, ~ < . is recommended. It is also possible to tailor ~ so that "yield
points" develop. Figure 5.6.1 shows such a yield point for the stress-strain
curve of 1000 1/s. Examples of experimentally observed overshoots are given
by Khan and Liang [10].
Numerical experiments using the data given in Table 5.6.1 were performed
and the results are plotted in Figure 5.6.1 together with the experimental data.
The correlation is very good.
The same calculation was repeated with A = 170 MPa and D = 266 MPa
with equally excellent results. There is no doubt that other values of A can be
found that would match the stress-strain data. It appears that the stress-strain
rate data are insufficient to determine the material constants of this "unified
constitutive law" uniquely.
Additional experiments of a different nature are needed to uniquely
determine A (or D) and @. Creep or relaxation tests are potential candidates.
Relaxation data are preferred since the strain rate range that can be obtained
in a single run is exceptionally high [23, p. 264]. The task is then to
determine both ~ and A so that the relaxation and the stress-strain data at
TABLE 5.6.1 VBO Material Data for Ta-2.5 W Alloy of Khan and Liang [10]
A D E /~t ~0 F -- ~o(i - Et/E)(F[F/D] - F[O]), i/s

MPa MPa GPa MPa 1/s
190 246 178 660 1 0.4 log/~ = 7 . 2 7 8 ( F / D ) - 7.183

346 Krempl and Ho
m
700500600
j !!!!!!!!!!!i
iiiiii !iiiiiiiiiiiiiiiiiiii : 0
i400 .....................
o
o !L
i
:
! o
......... =:i: o .................
300 ..... ~........... r................. ?.................. ~....................
200
100
0
0 0.05 0.1 0.15 0.2
True Strain
Figure 5.6.2 Numerical simulations of a repeated strain rate change experiment using the data
of Table 5.6.1. No strain rate history effect is modeled in the numerical and in the laboratory
experiments. The numerical simulations exhibit over- and undershoots, which Figure 15 of Khan
and Liang [10] does not. However, they have been observed in other laboratory experiments.
various strain rates are modeled. This can be done when such data
are available.
Numerical repeated strain rate change experiments are shown in
Figure 5.6.2. At the transition points over- and undershoots are seen which
are not found in the present data on Ta-2.5 W; see Figure 14 of Khan and
Liang [10]. Examples of overshoots are displayed in Figure 4 of the same
paper for Ta. Neither the experimental nor the numerical results show a strain
rate history effect.
REFERENCES
1. Bordonaro, C. M., and Krempl, E. (1992). The effect of strain rate on the deformation and
relaxation behavior of Nylon 6/6 at room temperature. Polymer Engineering and Science 32:
1066-1072.
2. Cernocky, E. P., and Krempl, E. (1979). A nonlinear uniaxial integral constitutive equation
incorporating rate effects, creep and relaxation. International Journal of Non-Linear Mechanics
14: 183-203.
3. Choi, S. H., and Krempl, E. (1993). Viscoplasticity Theory Based on Overstress: The Modeling
of Biaxial Hardening Using Irreversible Plastic Strain, Advances in Multiaxial Fatigue
San Francisco, American Society for Testing and Materials.
4. Gittus, J. (1975). Creep, Viscoelasticty and Creep-Rupture in Solids, New York: Halsted Press,
a Divison of John Wiley and Sons, Inc.
5. Hindmarsh, A. C. (1983). ODEpack, a Systematized Collection of ODE Solvers. Scientific
Computing. Amsterdam, North Holland: R. S. e. a. Stepleman.
6. Ho, K. (1998). Application of the Viscoplasticity Theory Based on Overstress to the Modeling
of Dynamic Strain Aging of Metals and to Solid Polymers, Specifically Nylon 66. PhD Thesis,
Mechanical Engineering, Aeronautical Engineering & Mechanics, Rensselaer Polytechnic

Institute, Troy, New York.
7. Ho, K., and Krempl, E. (1999). Extension of the viscoplasticity theory based on overstress
(VBO) to capture non-standard rate dependence in solids. International Journal of Plasticity
(In press).
8. Ho, K., and Krempl, E. (2000a). Modeling of positive, negative and zero rate sensitivity using
the viscoplasticity theory based on overstress (VBO). Mechanics of Time-Dependent Materials
4: 21-42.
9. Ho, K., and Krempl, E. (2000b). The modeling of unusual rate sensitivities inside and outside
the dynamic strain aging regime. J. of Engineering Materials and Technology 123: 28-35.
10. Khan, A. S., and Liang, R. (1999). Behaviors of three BCC metal over a wide range of strain
rates and temperatures: Experiments and modeling. International Journal of Plasticity 15 (10):
1089-1109.
11. Kocks, U. E, et al. (1986). Physical and Phenomenological Plasticity, p. 56, Los Alamos, NM:
Los Alamos National Laboratory.
12. Krempl, E. (1979). An experimental study of room-temperature rate sensitivity creep and
relaxation of AISI Type 304 Stainless Steel. Journal of the Mechanics and Physics of Solids 27:
363-385.
13. Krempl, E. (1987). Models of viscoplasticity: Some comments on equilibrium (back) stress
and drag stress. Acta Mechanica 69: 25-42.
14. Krempl, E. (1995). From the Standard Linear Solid to the Viscoplasticity Theory Based on
Overstress, Computational Engineering Science, Hawaii: Springer.
15. Krempl, E. (1995). The overstress dependence of the inelastic rate of deformation inferred
from transient tests. Materials Science Research International 1 (1): 3-10.
16. Krempl, E. (1996). A small strain viscoplasticity theory based on overstress, in Unified
Constitutive Laws of Plastic Deformation, pp. 281-318, Krausz, A., and Krausz, K., eds.,
San Diego: Academic Press.
17. Krempl, E., and Ho, K. (2000). An overstress model for solid polymer deformation behavior
applied to Nylon 66, in Time Dependent and Nonlinear Effects in Polymers and Composites STP
1357: 118-137, Schapery, R. A., and Sun, C. T., eds., West Conshohocken, PA: American
Society for Testing and Materials.
18. Krempl, E., and Kallianpur, V. V. (1985). The uniaxial unloading behavior of two engineering
alloys at room temperature. Journal of Applied Mechanics 52: 654-658.
19. Krempl, E., and Nakamura, T. (1998). The influence of the equilibrium growth law
formulation on the modeling of recently observed relaxation behaviors. JSME International
Journal, Series A 41: 103-111.
20. Kujawski, D., et al. (1980). An experimental study of uniaxial creep, cyclic creep and
relaxation of AISI Type 304 stainless steel at room temperature. Journal of the Mechanics and
Physics of Solids 28: 129-148.
21. Lee, K. D., and Krempl, E. (1991a). An orthotropic theory of viscoplasticity based on
overstress for thermomechanical deformations. Internationhl Journal of Solids and Structures
27: 1445-1459.
22. Lee, K. D., and Krempl, E. (1991). Uniaxial thermomechanical loading: Numerical
experiments using the thermal viscoplasticity theory based on overstress. European Journal
of Mechanics, A/Solids 10: 173-192.
23. Lemaitre, J., and Chaboche, J.-L. (1994). Mechanics of Solid Materials, Cambridge: Oxford
University Press.
24. Maciucescu, L., et al. (1999). Modeling the deformation behavior of a Pn-Pb solder alloy
using the simplified viscoplasticity theory based on overstress (VBO). Journal of Electronic
Packaging 121: 92-98.
348 Krempl and Ho
25. Majors, P. S., and Krempl, E. (1994). The isotropic viscoplasticity theory based on overstress
applied to the modeling of modified 9Cr-lMo steel at 538C. Materials Science and Engineering
A186: 23-34.
26. Malvern, L. E. (1951). Quarterly of Applied Mathematics 8: 405.
27. Malvern, L. E. (1951). The propagation of longitudinal waves of plastic deformation in a bar
exhibiting a strain rate effect. Journal of Applied Mechanics 18: 203-208.
28. Perzyna, P (1963). The constitutive equations for rate sensitive plastic materials. Quarterly of
Applied Mathematics 20: 321-332.
29. Ruggles, M. B., and Krempl, E. (1990). The interaction of cyclic hardening and ratchetting for
AISI Type 304 stainless steel at room temperature - - I Experiments and II Modeling with the
viscoplasticity theory based on overstress. Journal of the Mechanics and Physics of Solids 38:
575-597.
30. Tachibana, Y., and Krempl, E. (1998). Modeling of high homologous temperature
deformation behavior using the viscoplasticity theory based on overstress (VBO): Part III
A simplified model. Journal of Engineering Materials and Technology 120: 193-196.
31. Tanaka, E. (1994). A non-proportionality parameter and a cyclic viscoplastic model taking
into account amplitude dependency and memory effects of isotropic hardening. European
Journal of Mechanics, A/Solids 13: 155-173.
SECTION 5.7
An Outline of the
Bodner-Partom (B-P) Unified
Constitutive Equations
for Elastic-Viscoplastic
Behavior
SOL R. BODNER
Technion-Israel Institute of Technology, Haifa 32000, Israel
Contents
5.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
5.7.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
5.7.3 Description of the Basic B-P Model . . . . . . . . . 350
5.7.4 Modifications of the Model . . . . . . . . . . . . . . . . . 353
5.7.6 Integration of Equations and Implementation
into Computer Programs . . . . . . . . . . . . . . . . . . . 355
5.7.7 Table of Material Parameters . . . . . . . . . . . . . . . 355
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
5.7.1 VALIDITY
The B-P m o d e l of isotropic elastic-viscoplastic b e h a v i o r is i n t e n d e d to be

r e p r e s e n t a t i v e of the m a c r o s c o p i c r e s p o n s e of metals a n d metallic alloys to
l o a d i n g over a very wide range of strain rates, t e m p e r a t u r e s , a n d l o a d i n g
circumstances. It is an i n c r e m e n t a l t h e o r y c o n s i s t e n t w i t h the r e q u i r e m e n t s
a n d c o n s t r a i n t s of c o n t i n u u m m e c h a n i c s a n d t h e r m o d y n a m i c s a n d is

350 Bodner
considered "unified" in that plasticity and creep are particular response

characteristics based on a single inelastic strain rate variable. The model is
also "unified" in a more general sense by not separating a fully elastic region
from the overall response (no defined yield stress). A small strain formulation
is presented here; extensions to large strains have been developed.
5.7.2 F O R M U L A T I O N
The B-P elastic-viscoplastic constitutive equations do not require a yield

criterion or loading-unloading conditions. As a consequence, the elastic and
inelastic strain rate variables are generally nonzero throughout the deforma-
tion history, and the same equations apply for all circumstances. The
macroscopic response properties indicated by the model include strain rate
sensitivity and temperature dependence of inelastic deformation, stress
saturation under imposed straining, isotropic and directional hardening for
both monotonic and reversed loadings (e.g., the Bauschinger effect), primary
and secondary creep (by including thermal recovery of hardening), and stress
relaxation. Hardening corresponding to resistance to inelastic straining is
treated by introducing load history-dependent variables in the kinetic
equation for the inelastic strain rate and by developing suitable evolution
equations for their development with loading history.
The basic set of equations described in Section 5.7.3 is applicable for many
metals and loading conditions. For enhanced generality, a few modifica-
tions for special conditions have been proposed which are described in
Section 5.7.4.
5.7.3 D E S C R I P T I O N O F T H E BASIC B-P M O D E L

( F R O M [ 1, 21)
a. Additivity of elastic and inelastic strain rates:
b. Plastic flow law (direction of plastic straining) and incompressibility

condition:
5.7 B-P Unified Constitutive Equations 351
where sij is the deviatoric stress, sij = erij- (1/3)akkaij, and 2 is a positive
scalar function of stress, the overall hardening variable, and temperature,
which can be treated implicitly.
c. Expressions for the strain rate components:
/:~ -- (lIE)[(1 + v)dij - VdkkSij] (3)
which is Hooke's Law in rate form; and the proposed kinetic equation for
inelastic deformation as a function of state quantities is
(4)
,~ - Do exp - -~ it,o.2SS,] j o'df
Equation 4 is a general growth function that indicates that ~ is close to zero at

low values of effective stress r~cff followed by a region of rapid growth leading
to a saturation value. In Eq. 4, erdf is defined by ryeff- [(3/2)sidsij] 1/2, n
controls strain rate sensitivity, and Z is the overall scalar hardening variable.
The quantity Do is the presumed limiting value of inelastic strain rate
in shear and is usually set to be 108 sec -1, although a lower value, 104 sec -1,
has been used in exercises at low strain rates ( < 10sec -1) to avoid possible
numerical problems.
Particular cases of uniaxial stress ~11 and simple shear z12 are
/:P1 -- ~ \ o1, f Do exp - ~ \~-11/ J (5)
(6)
where ?12 and ~:12 are the engineering shear strain rate and stress.
The hardening variable Z consists of isotropic and directional components,
Z = ZI+ Z D, where Z ~ is due to resistance presumed to be uniformly
distributed throughout the volume and Z D arises primarily on the developed
slip planes of the materials and is therefore dependent on stress history and its
current value. Evolution equations for their development are
Z , ' ( t ) - m,[Z1-Z'(t)]~;Yp(t)-A1ZI[ Z'(t)Z,-Z2] r~ (7)
z (8)
352 Bodner
which is the component of the directional hardening tensor flij in the

direction of the current stress, uij, where
-- Vij(t) (9)
Z1
Uij(t) -- aij(t)/[ahl(t)crkl(t)] 1/2 (10)
and
Vii(t) -- flij(t) /[flkl(t) flhl(t)] 1/2 (11)
which is the current direction of riO"

For both components, the measure of hardening is the plastic work rate
(,Vp - aije,~, and the second terms in Eqs. 7 and 9 represent thermal recovery
of hardening with Z z - Z2 and flij - 0 as minimum (annealed) values. (Use of
Z1 in Eq. 9 is for dimensional purposes.) Initial values are ZI(o) = Zo and, if
annealed, rio(O) - O, and the saturation value for Z I is Z1 and that for Z D is Z 3.
From its definition, Eq. 8, Z D changes sign with stress reversal, with Z staying
positive, and thereby accounts for the Bauschinger effect. The equations
indicate stress saturation under imposed straining and secondary creep when
Z I and Z D reach steady values.
Temperature effects are treated implicitly through its influence on
the material parameters. Higher temperatures generally lead to decreased
values of n, which result in increased rate sensitivity and lower stress-
strain curves. The hardening terms, Z0,Z1, etc., and the hardening rates
m ~ , m 2 can be temperature-dependent, e.g. [29], while the terms in the
thermal recovery functions, A1, A2, rl, r2, and the elastic constants are
generally temperature-dependent. Numerical listings or functional forms
for the temperature dependence of the material constants are therefore part of
the characterization. Except for particular thermal history effects, such as
those due to dynamic strain aging, the use of material constants at the
current temperature obtained from isothermal test data is usually a valid
procedure even under nonisothermal loading [3]. For the condition of
only isotropic hardening without thermal recovery, the material constants
reduce to n, Z0,Zl,ml with Do fixed and the elastic constants provided.
In the case of uniaxial stress and constant plastic strain rate, the relevant
Eqs. 5 and 7 could be integrated analytically [4]. An investigation on
the thermodynamic consistency of the B-P equations is described in
Reference [26].
5.7.4 MODIFICATIONS OF THE MODEL
a. Generalization of hardening rates for enhanced correspondence of stress-

strain curves of strongly workhardening materials with test data [5], e.g., pure
copper and aluminum"
ml - mlb + (mla -- mlb)exp[--mlc(Z I - Z0)] (12)
m2 -- m2b + (m2a -- m2b)exp(--m2c ZD) (13)

b. Generalization of isotropic hardening rate to represent possible strain
rate dependence:
mxa -- M a
[
1--~- t~eff
r
) q]] (14)
where mla is the initial value of ml according to Eq. 12, ~eff is the effective
"O
(deviatoric) total strain rate, and eeff and q are additional material constants"
this generalization is applicable for copper (and probably aluminum and iron)
at very high strain rates, > 104 see-1 [6].
c. Representation of possible increase of isotropic hardening due to
nonproportional cyclic straining by the introduction of a measure of
nonproportionality in Eq. 7 [2].
d. Representation of possible changes in the evolution equation for isotropic
hardening due to repeated stress reversals, see Reference [7]. Note: repeated
reversed loading conditions with nonzero mean stress could lead to ratcheting
for some materials such as stainless steels; the method proposed by Ohno and
Wang [27] could be adopted to Eq. 9 for representation of that effect.
e. Introduction of continuum damage as a state variable [8] modification
of kinetic Eqs. 4-6 by
Z--~Z(1-co), 0_<co<l (15)
where co is a scalar load history dependent damage variable with a proposed
evolution equation that is a function of stress and damage.
THE MATERIAL PARAMETERS
Procedures have been developed by various investigators to obtain the

material constants for the B-P equations from test data. A method that is fairly
direct and simple is described in References [9, 10]. First, most of the
parameters at a given temperature can be obtained from monotonic uniaxial
stress-strain curves over a range of strain rates for which thermal recovery of
354 Bodner
hardening is not effective. The parameters include those associated with

directional hardening based on the observation that the rate of directional
hardening m2 is usually significantly larger than that for isotropic hardening
ml. As a consequence, directional hardening will saturate more rapidly and
have greater influence in the low strain inelastic range, i.e., the region slightly
beyond the essentially elastic range.
The method involves determining the stress-plastic strain relation from a
uniaxial stress-strain curve at a constant applied strain rate and determining
the quantity,
1 dO'll
/I - - dslP1
0"11 (16)
as a function of stress. The resulting curve is generally bilinear, with an upper

slope m2 and a lower slope ml. The intersection of the extended curve with
= 0 would be the saturation stress at which the total strain rate is equivalent
to the plastic strain rate. From this information obtained at various applied
strain rates, the parameter n could be obtained from the dependence of the
saturation stress on plastic strain rate using Eq. 5. The constants Z0, Z1, Z3 can
also be determined by this procedure. Recourse is then made to creep tests or
very slow straining tests to obtain the parameters for the thermal recovery of
hardening. It is noted that cyclic test data (with reversed loadings) are not
required by the preceding procedure but could be used for checking and
possible adjustments.
Reliance on stress relaxation tests and tests involving rapid increases or
decreases of applied strain rate are not recommended as references for
obtaining material parameters for the B-P equations. Relaxation tests cover
only a limited range of strain rates, whereas strain rate jump tests involve
complicated histories of elastic and inelastic strain rates. Those tests serve
well for examining of the predictive capability of the equations.
Some minor modifications of the preceding procedure are described in
References [11, 22]. The parameter values obtained by these procedures are
not necessarily unique unless further refined by the sophisticated methods of
References [12, 13], but are usually suitable for practical purposes.
In the early development of the B-P equations, the factor [(n + 1)/n]
appeared as a coefficient to the (Z2/Cr2eff)term in Eq. 4. Adjustment of the
hardening parameters obtained from that equation with the equation of the
present article is obtained by setting
Zo -[(n + 1)/n](1/2")Zo, etc. (17)
m
where the Z i values are those derived from the equation with the factor
(indicated by * in Table 5.7.1). The other material parameters are not affected
by the factor.
5.7.6 TABLE OF MATERIAL PARAMETERS
Material parameters obtained for the B-P formulation are available in the
literature. A representative listing is given in Table 5.7.1.
5.7.7 INTEGRATION OF EQUATIONS AND

IMPLEMENTATION INTO COMPUTER PROGRAMS
Methods for integrating the mathematically "stiff" equations of the B-P

formulation have been developed in References [14-16], and that of
Reference [16] seems to have received most attention. With a suitable
integration scheme, the constitutive equations could be readily included in
most finite element and finite difference programs. Computer simulations
based on the B-P equations have been performed with: MARC [10], EPIC-2
[16], ABAQUS [17, 18], STEALTH [28], and also special programs developed
for particular investigations, e.g., [19-21].
TABLE 5.7.1 Material Parameters.
Low strain rates ( < 1 sec-1); Do = 104 sec -1 References
Ni base alloy, B1900 + Hf (RT to 1093~ [9, 10]

Inconel 718 (650~ [17]
Hastelloy-X (RT to 538~ [11]
Astroloy (RT to 982~ [19]
Aluminum (high purity) (277~ * [12]
Aluminum alloy 8009 (RT to 275~ [11]
Aluminum alloy AMG-6 (Russian) (RT to 400~ [22]
Zirconium alloy (Zr-2.Swt% Nb) (250~ [18]
Eutectic solder, 63/37 Sn/Pb, ( - 4 0 to 100 ~C) [23 ]
High to very high strain rates (>10 sec-1); D o-- 108sec -1
C1008 steel, HY100 steel, 1020 steel

A16061-T6, A17039-T64
[24]
Nickel 200, W2-tungsten, Armco iron
(all at RT)
also in [ 16]
Copper (high purity) (RT) [61
Copper (high purity) (RT to 800~ ~ = 2000 S- I ) [29]
A533B steel ( - 6 0 to 175~ [25]
*Kinetic equation containing factor as discussed in Section 5.7.5.
Additional information on material parameters appears in a recent review of the B-P
equations [30].
356 Bodner
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132-139. (Translated from Prikladnaya Mekhanika 32(2), 64-72, Feb. 1996.)
23. Skipor, A. E, Harren, S. V., and Botsis J. (1996). On the constitutive response of 63/37 Sn/Pb
eutectic solder. ASME J. Engng. Materials Tech. 118: 1-11.
24. Rajendran, A. M., Bless, S. J., and Dawicke, D. S. (1986). Evaluation of Bodner-Partom model
parameters at high strain rates. ASME J. Engng. Materials Techn. 108: 75-80.
25. Dexter, R. J., and Chan, K. S. (1990). Viscoplastic characterization of A533B steel at high
strain rates. ASME J. Pressure Vessel Techn. 112: 218-224.
26. Bodner, S. R., and Lindenfeld, A. (1995). Constitutive modelling of the stored energy of cold
work under cyclic loading. Eur. J. Mech. A/Solids 14(3): 333-348.
27. Ohno, N., and Wang, J. D. (1993). Kinematic hardening rules with critical state of dynamic
recovery, Part I: Formulation and basic features for ratchetting behavior, Part II: Application
to experiments of ratchetting behavior. Int. J. Plasticity 9(3): 375-403.
28. Rajendran, A. M., and Grove, D. J. (1987). Bodner-Partom viscoplastic model in STEALTH
finite difference code. AFWAL-TR-86-4098, Materials Laboratory, WPAFB, OH, 45433.
29. Bodner, S. R., and Rajendran, A. M. (1996). On the strain rate and temperature dependence of
hardening of copper, Proc. of the Conf. of the Amer. Physical Society, Topical Group on Shock
Compression of Condensed Matter, Seattle, Washington (1995), AIP Press, pp. 499-502.
30. Bodner, S. R. (2000). Unified plasticity: An engineering approach, www.eJournal-of-
mechanics.org
SECTION 5.8
Unified Model of Cyclic
Viscoplasticity Based on
the Nonlinear Kinematic
Hardening Rule
j. L. CHABOCHE
O.N.E.R.A., DMSE, BP 72, 92322 Ch~tillon Cedex, France and LASMIS,
Troyes University of Technology, BP 2060, 10010 Troyes Cedex, France
Contents
5.8.1 Domain of Application . . . . . . . . . . . . . . . . . . . . . 358
5.8.2 Formulation of the Model . . . . . . . . . . . . . . . . . . 359
5.8.3.1 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
5.8.4 Determination of the Parameters . . . . . . . . . . . 363
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
5.8.1 DOMAIN OF APPLICATION
The presented viscoplastic model pertains to the class of unified constitutive

equations in which only one inelastic strain is considered as an i n d e p e n d e n t
variable [1]. Such a theory is particularly useful for the inelastic analysis of
c o m p o n e n t s or parts submitted to complex multiaxial and thermomechanical
cyclic loadings. The use of only one plastic strain ep to describe rapid and slow
inelastic deformation processes is an i m p o r t a n t simplification that is
particularly useful u n d e r nonisothermal conditions. The viscoplastic for-
mulation allows the stress state to overpass the purely elastic domain,
introducing the viscous part of the stress (or the overstress). The rate-
i n d e p e n d e n t plasticity can still be m o d e l e d as a limiting case.

5.8 Unified Model of Cyclic Viscoplasticity 359
These equations have been developed and applied essentially for metals
and alloys, even though there are some capabilities to also model polymers
through the limit case of a nonlinear viscoelastic model [2]. The domain of
validity covers the whole range of temperatures between room temperature
and very high temperatures, at least for situations where the material can be
considered stable. Microstructural evolutions (phase changes, precipitations,
aging) are not considered in the present article.
The presented constitutive model can be exploited for monotonic or cyclic
loading conditions or for more complex situations. Introducing static
recovery effects at high temperature allows us to correctly describe pure
relaxation and pure creep behaviors (including the secondary creep). The
only aspects not covered here concern the special overhardening effects
encountered under cyclic nonproportional loadings and the plastic strain
range memorization effects that can take place in some metals and alloys that
have a low stacking fault energy. These effects need additional variables and
models [3, 4].
5.8.2 FORMULATION OF THE MODEL
The model can be presented in a general thermodynamic framework using the

notion of local state and a set of internal state variables for the description of
the present state (reversible processes) and of the dissipative evolutions
(inelastic processes and associated hardening effects). One defines a state
potential (for example, the Helmholtz free energy) from which derives
Hooke's law and the relationship between hardening variables and their
conjugate forces. The existence of dissipative potentials allows us to derive in
a consistent way all the rate equations for the internal variables associated
with irreversible processes. This framework will not be recalled here (it can be
found in Reference [5]).
The principal state variables associated with viscoplasticity are the plastic
strain itself and the hardening variables. The plastic strain ~ p is defined by the
total strain partition in the case of small perturbations: ~ - E e 4- E p, where
and ~ e are, respectively, total and elastic strain (we do not consider here the
thermal expansion). The hardening description combines kinematic and
isotropic hardening. In the first case we use a set of second-rank tensors E i
(associated with short-range and long-range interactions at the level of the
microstucture). The corresponding conjugate forces are the back stresses X i,
whose sum X is considered as the current "center" of the elastic domain
(at least when considering its intersection with the deviatoric plane). The
isotropic hardening is considered an unique scalar r, to which is associated
360 Chaboche
the conjugate force R, the variation of the yield stress. The possibility for a
drag stress evolution will also be considered for isotropic hardening.
Therefore, kinematic hardening corresponds to a translation of the elastic
domain in the stress space, though isotropic hardening corresponds to a
change in its size.
Each hardening variable obeys a similar evolution equation, within an
hardening-dynamic recovery-static recovery format, represented formally for
the variable a:
da - h(... ) dep - r D(... ) a dep - r s(... ) a dt (I)
The first term is the direct hardening associated with the plastic strain
increment (and the corresponding increase of "obstacles" with the dislocation
density increase), and the second one is the dynamic recovery effect, which is
proportional to the variable a itself and to the plastic strain increment. This
second term globally represents the annihilations of dislocations by cross slip,
that take place without the influence of thermal activation. The last term, the
static recovery, needs time to take place. It is thermally activated (much more
important at high temperature) and represents rearrangements of dislocation
microstructures by climbing mechanisms (and also possible recrystallisations).
All equations are summarized in Table 5.8.1, on the left for their general
anisotropic form, on the right in the particular case of uniaxial tension-
compression. They are written here for a constant temperature. The
temperature dependency is discussed in Section 5.8.4. The different aspects
and functions of the model are presented successively:
9 The part of the free energy corresponding to the stored energy is

assumed to be quadratic in the hardening variables ~i and r. The same
anisotropy is assumed for all hardening stiffnesses, with N i - - C i N. Back,-..,
stresses X i and yield stress change R derive from this energy.-In the
isotropic case, we have N - 3Ia, where I a is the fourth-rank identity
tensor.
9 The yield surface is defined by Hill's criterion, with the generalized norm
][ a ]]n - (a" H" a) 1/2, which reduces to the von Mises yield criterion in
the isotropic case, with II a I ] - ( 3 ~ . ~)1/2, where ~ - a gL Tr a ~I is the
_
deviator of a.
,"4
9 The viscoplastic potential is normally taken as a power function off. In

the viscoplasticity case f > 0 is the viscous stress or overstress. D is the
drag stress, either a constant or depending on isotropic hardening (see
TABLE 5.8.1 General and Uniaxial Forms of Constitutive Equations.
General anisotropic Uniaxial
Free energy:
8 9 Ci ~ i "N :~ i + 89bQ r2 ~-,i Ci~ -+- 1 bQr 2
Yield surface:
f-I~-xll.-R-k_< O f= a-X -R-k<_O
Viscoplastic potential: plastic strain rate modulus:

D (f) n+l
~ = 77-i
D (fln+l
n----n
- -+ i + fin + 1 \ 7 6 /
Plastic strain rate:
~. ( ~ - x)
~p =/5 S i g n ( a - X)
e2p-Pll~_xi H
P - II ~p ,-,-~ p= e.p
Back stresses:
x = ~2~ c~ ~'~i
Rate independent kinematic hardening:

~ , = ~ p - ~ , ~ ~' F " Xip ~i = ~p -- ~b~ 7
Back stress rate equations:

5(i = Ci N" i p - q57i N" F 9X ~/5 i = Ci i p - q57iX~ ~'p
Static recovery of kinematic hardening:

~, _- (~,) - ,)r- x, < = ( < ) ~ - r (x,)x,
with: ~b~(Xi)= "

c-7 (
Static recovery on the back stress:
Ix, I~
Mi
~, = (x,)~ - c,<~(x,) r: x,
Isotropic hardening:
/" =/5 - ~ib - Tr Q Sign(R - Qr) R - bQr
other functions for isotropic hardening:

1
D - K(1 + a~br)
4)(r) = 1 + axbr
362 Chaboche
following text). One finds the plastic strain rate modulus/~ by deriving f~
in terms of f ' p - 0~2/c9f. A viscoplastic potential with two additive
terms is also mentioned, with two exponents (fl > 1), that could be
useful to limit the rate dependency in the large rate regime. The
normality rule then gives the three expressions for the viscoplastic strain
rate ~p. It is also shown that i b - ]]~plIH-~.
9 The back stress, used to translate the elastic domain (and the
equipotentials) in the stress space, is the sum of the individual ones:
9 The kinematic hardening rules write independently for each variable

~i. First we have indicated the rate-independent case, with the
hardening and dynamic recovery terms. The fourth-rank tensor F ,-..,
indicates the anisotropy of the dynamic recovery. It is replaced by 3 1 a in

the isotropic case. The scalar function ~b is used to couple the kinematic
hardening and the isotropic one (Marquis's format [6]). On the
subsequent line we indicate the corresponding equations for each
individual back stress X i.
9 The static recovery of kinematic variables is then introduced: (~i)~
denotes the rate-independent two first terms (the solution for high rate
loadings). In the static recovery term a power function of ]] X~]]r =
(X<F'X~)I/2 has been used, normalized by the high rate asymptotic
value for the back stress Mi - Ci/Yi (for ~b - 1).
9 The next line corresponds to the isotropic hardening, in terms of both
rate-independent and static recovery terms.
9 The last line indicates the functions ~b(r) and D(r) used for introducing
the effect of isotropic hardening on the back-stress evolution equation
and on the viscous stress (by means of the drag stress).
5.8. 3.1 REMARKS

9 The kinematic hardening takes place and evolves rapidly during
monotonic as well as cyclic loading conditions. On the contrary, the
isotropic hardening is used to describe a progressive cyclic hardening
( Q > 0) or softening (Q<0) taking place slowly in monotonic
conditions and saturating progressively for the stabilized cyclic
conditions (after 10, 100, or 1000 cycles), under which it becomes
inactive.
9 The stress can be decomposed into additive terms. Limiting here to the
uniaxial case, we have
o" m
Xi + [k + R ( r ) + D(r)l~pl 1/"] Sign(ip) (2)
i
Such a decomposition clearly shows the respective contributions for

isotropic hardening: R(r) for the size of the purely elastic domain
and D(r) for the value of the viscous stress, which is depending on
the plastic strain rate. The isotropic hardening also plays a role in the
current tangent stiffness associated with kinematic hardening, by the
function 4(r).
9 If necessary, it is possible to consider an elastic domain initially reduced
to one point ( k - 0) and to minimize the influence of isotropic
hardening on the yield stress, giving a very low value to Q (but not zero,
in order to still have the evolution of D(r) and 4}(r), because r is
independent of Q: neglecting static recovery, it integrates in closed form
to give r - l / b [ 1 - exp(-bp)]).
9 The evolution equations for the kinematic hardening variables ~i are
valid even for varying temperature conditions (for any kind of
temperature dependency for the parameters). Contrarily, the back-stress
rate equations must necessarily incorporate an additional term propor-
tional to the temperature rate. This term is easily deduced from the
thermodynamic potential by considering parameters Ci as depending on
temperature when we express the time derivative of X i - C i N 9~i.
9 The nonlinear kinematic hardening rule generally induces a too
important ratcheting effect under nonsymmetrical cyclic stress control
(or mean-stress relaxation under cyclic strain control). Introduction of a
threshold in the dynamic recovery term allows for better descriptions
(Reference [5]).
5.8.4 DETERMINATION OF THE PARAMETERS
The model is designed to be fairly general for both monotonic and cyclic
conditions at low or high temperatures. There are three main aspects of the
model to be determined successively: (1) the rate-independent response
(an advantage of this unified model is that it is applicable when not
considering the strain rate effect), (2) the viscoplastic response (but without
the static recovery), and finally, (3) the static recovery effects. In each case one
can separate between initial (monotonic) and stabilized cyclic conditions.
The test data can be chosen with great flexibility, depending of the set of
influence we try to determine. Clearly, if we want a model to be used in cyclic
conditions, we need cyclic tests. Obviously, if we want the effect of strain rate
(viscoplastic model), we need tests where the strain rate has varied by a large
amount (they can be creep or relaxation for monotonic as well as cyclic
conditions). Clearly also, if we want to identify static recovery effects, we need
long-duration tests at high temperature (creep or relaxation or recovery tests).
364 Chaboche
Let us develop the three determination steps just mentioned:
1. Determination of hardening rules in a rate-independent scheme. We

assume to have uniaxial monotonic and cyclic tests (with stress-strain
responses at the stabilized cycle), all of them realized in approximately the
same high strain rate regime (say, 10 -3 to 10 -2 s-i). From the cyclic curve,
considering ip ~ Ct at the peak stresses, one can identify the following
relation obtained by integrating the kinematic hardening models for uniaxial
conditions:
V x Ci Ae v
Aa _ k* + Q + Zi_,
/ - - t a n h 7i ~ (3)
2 " 7i
in which k* represents the sum k + (1 + aK)K[~1/n assumed to be constant

approximately. Eventually 7i is replaced by 7i~boo = 7i/(1 + ax) if coupling
between isotropic and kinematic hardening is considered. In practice, if we
have a sufficient number of kinematic hardening models (three, for example),
we can try to adjust k* + Q to be as small as possible. The third variable can
be assumed to be linear (73 = 0), and the parameter C3 is adjusted as the
tangent stiffness to the cyclic curve Ao - Aep for large strain ranges (2 or 3%.
For the rapid kinematic hardening, we can take high values for 71 (typical
values between 2000 and 10,000) to obtain a smooth transition between
elastic regime and moderate plastic flow. C1, C2, ~'2 follow from the
experimental data in the intermediate domain 0.02% <Aep < 1%.
Then we determine the parameters Q, ax, and b from the monotonic data
(same rate approximately) with the equation
~Ci
o- - k* 4- Q[1 - e x p ( - b ep)] 4- . 7 (1 4- axb gv)[1 - exp(-viep)] (4)
where 1 + axb ep is a linearization of q~ for low values of the accumulated

plastic strain. Let us recall that we have already determined k* 4- Q and Ci/
7i(1 4- ax) from the stabilized cyclic curve, b is more correctly identified by
plotting the normalized maximum stress as a function of the quantity p =
2NAe v in one (or several) cyclic tests, where N is the current number of
cycles. A few iterations allow us to finally obtain all the parameters
k*, Ci, ?i, Q, b, and ax.
2. Determination of the viscosity function. We now use the available data in
strain rate ranges between, say, about 10 .6 s -1 and 10 .2 s -1. The cyclic and
monotonic uniaxial equations reduce to
Ao A crint
= ~
1/n
4- k 4- K(1 4- aK)g,p (s)
2 2
Functions cri,,t(ep) and Ar are completely known from the previously

determined parameters. In the monotonic case we have assumed a negligible
evolution of the drag stress (that can be easily corrected). From the difference
in the log-log plots of r - r~i,t - k and Ar~/2 - &xi,,t/2 - k versus ~p (for test
values of k) one easily determines aK. Then, exponent n and the
corresponding values of k and K are obtained by trial and error (or by a
least-square method). Their determination is greatly facilitated if pure
relaxation tests are available, either in monotonic or in cyclic conditions.
3. Determination of static recovery. We use data available in the low rate
regimes (~p < 10 -6 s -1) in the long-duration creep or relaxation tests. In those
regimes the static recovery effect appears to change drastically the log-log
plot of c r - r as a function of ~p (with significant stress drops). It indicates
the lowering of O'int due to an increased contribution of time recovery. By
successive approximations one can determine the parameters that concern
these recovery effects: rni, "ci, Qr, mr, and 7r, taking all of the others as fixed.
The determination is improved if special recovery tests are available, where
after cyclic stabilization, a significant hold duration at high temperature (100
h, for instance) is applied after unloading (with a very low load, maintained to
prevent any increase or decrease of plastic strain), followed by the application
of the same cyclic loading as previously.
Implementation in finite element (FE) codes of such unified constitutive

equations can now be considered a standard operation. This is done as a local
process, the constitutive equations being necessary only at each individual
finite element integration point (independent of the others in classical
continuum mechanics). This model is available in several general purpose FE
codes (it is impossible to give a list here).
Two integration methods can be used in the framework of the implicit
Newton-Raphson algorithm (to solve simultaneously the overall equilibrium
and the nonlinear behavior):
The simplest way is through an explicit Runge-Kutta fourth-order

method, with a special substepping technique and automatic time step
control. Only the rate equations have to be explicitly written; i.e.,
5~ = Y(y, t), on the state variables y = {s p, E j, r}, where t indicates the
current total local strain control supposed to be known from a given
global iteration. The only disadvantage of this way is the inability to
deliver explicitly the consistent tangent stiffness matrix that should
enforce the best convergence of the implicit scheme.
366 Chaboche
9 The fully implicit, or semi-implicit integration procedure (0-method),

with the possibility to condense the determination to only one tensorial
and one scalar equation [7], and eventually to only one scalar equation
in the isotropic case. This method allows us to deliver the consistent
tangent stiffness matrix, but it requires a number of lengthy explicit
derivations (corresponding to the derivation of second-order rates ~).
The determination of model parameters as indicated in Section 5.8.4 shows

that the notion of one constitutive equation (one set of parameters) for a given
TABLE 5.8.2 Examples of Material Parameters for Rate-Independent Behavior.
Material T C1 71 C2 72 b Q ax k*
Building steel 20 280,000. 1300. 225.

35NCD16 steel 20 224,000. 400. 22000. 10. 980.
Nimonic 90 alloy 20 666,000. 1800. 505.
Cobalt VO 795 20 142,000. 400. 85.
TA6V alloy 350 91,000. 350. 1.6 -60. 350.
INCO 718 superalloy 550 210,000. 420. 2. -180. 610.
IN 100 superalloy 700 678,000. 1750. 900. -20. -0.15 530.
" 800 615,000. 1530. 800. -30. -0.18 405.
" 900 362,500. 1200. 500. -35. -0.22 236.
" 1000 139,500. 940. 200. -15. -0.22 162.
" 1100 41,000. 700. 110. -10. -0.16 120.
304 stainless steel 20 120,000. 2000. 3000. 1. 6. 60. 120.
316 stainless steel 20 162,400. 2800. 6750. 25. 8. 60. 185.
" 600 24,800. 300. 800. 25. 10. 60. 70.
Z3CND17-12 SPH 600 87,700. 1300. 3600. 25. 12. 104. 1. 89.
~ MPa MPa MPa MPa
TABLE 5.8.3 Examples of Material Parameters for Viscoplastic Behavior.
Material T n K k
TA6V alloy 350 40. 190. 200.

INCO 718 superalloy 550 40. 140. 500.
IN 100 Superalloy 700 28. 580. 110.
" 800 14. 630. 80.
" 900 9. 490. 60.
" 1000 7.5 450. 30.
" 1100 6.5 420. 17.
304 stainless steel 20 11. 118. 70.
316 stainless steel 20 24. 151. 82.
" 600 12. 150. 6.
Z3CND17-12 SPH 600 24. 116. 10.
oc MPa (MPa, s) MPa
material is not necessarily representative of the true situation. Very often the
material parameters should be depending on the considered application. The
choice of the various functions and the parameter values should be
appropriated with the range considered for the application: temperature
domain, small or significant strains, monotonic or cyclic, strain rate domain,
loadings with long holds or not, etc. Therefore, one should remember that the
use without caution of a set of parameters given in the literature can lead to
important misinterpretations. Tables 5.8.2 and 5.8.3 give some determined
values, to be treated as examples.
REFERENCES
1. Chaboche, J. L. (1977). Sur l'utilisation des variables d'~tat interne pour la description de la
viscoplasticit~ cyclique avec endommagement, in Probl~.mes Non Lin~aires de M~canique,
pp. 137-159. Symposium Franco-Polonais de Rh~ologie et M~canique, Cracovie.
2. Chaboche, J. L. (1997). Thermodynamic formulation of constitutive equations and application
to the viscoplasticity and viscoplasticity of metals and polymers. Int. J. Solids Structures
34(18): 2239-2254.
3. Chaboche, J. L., Dang-Van, K., and Cordier, G. (1979). Modelization of the strain memory
effect on the cyclic hardening of 316 stainless steel. Division L, Berlin, SMIRT 5.
4. Lemaitre, J., and Chaboche, J. L. (1985). M~canique des Mat~riaux Solides, Paris: Dunod.
5. Chaboche, J. L. (1996). Unified cyclic viscoplastic constitutive equations: Development,
capabilities and thermodynamic framework, in Unified Constitutive Laws of Plastic Deformation,
pp. 1-68, Krauss, A. S., and Krauss, K., eds., Academic Press.
6. Marquis, D. (1979). Etude th~orique et verification exp~rimentale d'un mod~.le de plasticit~
cyclique. Th~se de 3~me Cycle, Universit~ Pierre et Marie Curie, Paris 6.
7. Chaboche, J. L., and Cailletaud, G. (1996). Integration methods for complex plastic
constitutive equations. Comput. Methods Appl. Mech. Engrg. 133: 125-155.
SECTION 5.9
A Model of
Nonproportional
Cyclic Viscoplasticity
EIICHI TANAKA
Department of Mechano-Informatics and Systems, Graduate School of Engineering,
Nagoya University, Furo-cho, Chikusa-ku, Nagoya, 464-8603 Japan
Contents
5.9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
5.9.2 Formulation of a Model . . . . . . . . . . . . . . . . . 369
5.9.2.1 Fundamental Assumptions . . . . . . . . 369
5.9.2.2 Constitutive Equation of Inelastic
Strain Rate . . . . . . . . . . . . . . . . . . . . . . . 370
5.9.2.3 Evolution Equations of Kinematic
Hardening Variables . . . . . . . . . . . . . . 370
5.9.2.4 Structural Tensor and
Nonproportionality Parameter . . . . . 371
5.9.2.5 Description of Amplitude
Dependence of Cyclic Hardening.. 371
5.9.2.6 Evolution Equations of Isotropic
Hardening Variable . . . . . . . . . . . . . . . 372
5.9.3 Identification of Material Constants and
Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
5.9.3.1 Identification by Use of Analytical
Expressions of the Model . . . . . . . . . 373
5.9.3.2 Identification by Numerical
Simulations of the Model . . . . . . . . . 375
5.9.3.3 Examples of Material Constants
and Functions . . . . . . . . . . . . . . . . . . . . 376
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 76

5.9 A Model of Nonproportional Cyclic Viscoplasticity 369
5.9.1 INTRODUCTION
This viscoplastic constitutive model describes the behavior of both cyclic

hardening and softening under proportional and nonproportional loading.
The model is formulated by modifying the viscoplastic model proposed by
Chaboche et al. [1]. A macroscopic structural tensor to represent an internal
dislocation structure is first formulated, and a rational nonproportionality
parameter is defined. Then internal variables to express the amplitude
dependence of cyclic hardening are introduced. These variables are
incorporated into the evolution equations of the isotropic hardening variable
in order to describe the history dependence of cyclic hardening and softening.
The identification of material constants and material functions is also
discussed in detail.
5.9.2 FORMULATION OF A MODEL
5.9.2.1 FUNDAMENTALASSUMPTIONS
The initial isotropy of a material is assumed. The rate of deformation tensor

is separated into the sum of the elastic and the inelastic part. For brevity,
a deviatoric tensor is expressed as a vector in a five-dimensional vector space
of the von Mises type [2]. A set of orthonormal base vectors in the vector
space is represented by n~ (~ = 1 , . . . , 5). In the following, a Greek index
takes the value 1 , . . . , 5 and the summation convention on Greek indices is
adopted. Then the component P~ of a vector P = P~n~ related to strain
quantities or the component S~ of a vector S = S~n~ related to stress quantities
is defined by the corresponding tensor component Pij or sij (i,j = 1 , . . . ,3)
as follows:
(1)
P5 - 2p31/ x/3
S1 = (3/2)s11, $2 = x,/3(s11/2 + s22), $3 = v/-3s12~ 54 = x/~$23,

(2)
S~ = v/Ss31
3 70 Tanaka
5 . 9 . 2 . 2 CONSTITUTIVE EQUATION OF INELASTIC

STRAIN RATE
Based on the viscoplastic model [1], an inelastic strain rate t' and its
magnitude/5 are expressed by
~, _ p (s - x) (3)
Is-xl
p_ ( s- xl- k K _Q)n (4)
where S and X are the vectors related to the deviatoric stress tensor and the
kinematic hardening variable, and Q is the isotropic hardening variable.
The k, K, and n are material constants. The superposed dot on a variable
indicates the material time derivative, and the symbols ] ] and ( ) denote the
magnitude of a vector and the Macauley bracket defined by
x if x > O (5)
(x)- 0 if x < O
5 . 9 . 2 . 3 EVOLUTION EQUATIONS OF KINEMATIC

HARDENING VARIABLES
In this model, the nonlinear kinematic hardening rule [3] is adopted. The rate
of X is represented by
- X1 + X2 + X3 (6)
and their evolution equations are expressed as follows:
~(1 = C l ( a l P - Xl/~) (7)
~ = c:(a:~- x~P) (8)
~:~ = ~3(a3~- x~P) (9)

where C1~ al, c2, a2, c3, and a3 are material constants.
5 . 9 . 2 . 4 STRUCTURAL TENSOR AND

NONPROPORTIONALITY PARAMETER
Material hardening and softening behavior under cyclic loading is influenced

by the shape and the amplitude of a cyclic strain path. To describe the path
shape dependence, a macroscopic internal state variable C representing an
internal dislocation structure is introduced. Based on the discussion in
Reference [4], the variable C is represented by a second-rank tensor; i.e.,
C = C~/3n~ | n/3 in the five-dimensional vector space (this tensor is a fourth-
rank tensor in the conventional three-dimensional space), and its evolution
equation is formulated as
r= G(u | u - C)I6 (10)
where cc is a material constant, the symbol | indicates the tensor product,
and u = u~n~ is the normalized inelastic strain rate vector defined by
u = ~'/P (11)
In Eq. 10, u | u is the target value of C that represents the stabilized internal
dislocation structure formed by the loading process u.
By using C and u, a nonproportionality parameter A is defined by
/tr(CXC) - uoCXCu
A-- V ~riC-X~ , (0<__A<I) (12)
where the symbol (tr) and the superscript (T) indicate the trace and the
transpose of a tensor, and the symbol (o) expresses the inner product of
vectors. The component expression of A is given by
_ /C~C~ - u~C~C~u~
(0_~A_~ 1) (13)
A V
This variable always takes the value zero in the case of proportional cycles,
and is approximately l / v / 2 in the case of the nonproportional cycles with a
circular strain path.
5.9.2.5 DESCRIPTION OF AMPLITUDE DEPENDENCE OF

CYCLIC HARDENING
Next, to describe the amplitude dependence of cyclic hardening and

softening, two internal variables Y and R are introduced. The variable Y
3 72 Tanaka
describes the center of the translation range of the inelastic strain P, and the
relevant evolution equation is represented by
~I = r v ( P - r)l 6 (14)
where ry is a material constant. For example, in the case of uniaxial cycles of a
constant strain amplitude with nonzero mean strain (the case of cyclic
relaxation), the variable Y moves gradually from the initial location (usually
the origin of the inelastic strain space) to the center of the inelastic strain
range.
The variable R to describe the mean radius of a cyclic strain path is
defined by
R = [ P - r[ (15)
In the case of circular cycles of amplitude A P / 2 , R is almost equal to
the AP/2.
5.9.2.6 EVOLUTION EQUATIONS OF ISOTROPIC

HARDENING VARIABLE
In this model the target value QH of the isotropic hardening variable is

expressed by
QI-I = A [ q N ( R ) - qI,(R)] + q e ( R ) (16)
where qN(R) and qI,(R) are the functions of R to describe the target values for
the cases of nonproportional (A = 1) and proportional (A = 0 ) hardening,
respectively. To take account of the memory effects of cyclic hardening and
softening, a target value QL expressed by
QL -- QH + CR(Qmax -- QH} (17)
is also introduced, where cR is a material constant describing the ratio of
permanent hardening, and Qmax is the maximum value of the isotropic
hardening variable in the past. When cR equals unity, the memory effects are
permanent, and when ce = 0, they are completely recoverable. The evolution
equation of Qmax is described by
Qmax - (Q), when Q - Qmax (18a)
Qmax = 0, when Q < Qmax (18b)

The evolution equation of the isotropic hardening variable Q is finally
represented by
= dI-I(QL - Q)ff - d s ( Q - Qz.)P (19)
where d/-/and ds are the material constants describing the rates of hardening
and softening, respectively.
5.9.3 IDENTIFICATION OF MATERIAL

CONSTANTS AND FUNCTIONS
This model has 14 material constants k, K, n, 6ll, 612, a3, Cl, C2, C3, di-i, ds, CR, rr,
co, and two material functions qe(R) and qN(R). These constants and functions
are identified by using analytical expressions and numerical simulations of the
model. In the following, the vector component in uniaxial cases is represented
by the corresponding lightface character.
5.9.3.1 IDENTIFICATION BY USE OF ANALYTICAL

EXPRESSIONS OF THE MODEL
The analytical expression of stress for monotonic uniaxial tension is
s - x + Q + k + Kf"~/" (20)
In this equation, the rate effects are induced by the term KP 1/". Thus the
values of K and n are evaluated by comparing the stress values at the equal
inelastic strain value in the stress-inelastic strain curves at several constant
strain rates. The value of k is evaluated as the stress at P = 0 in the
(S - KP1/,) versus P curve.
The material constants of the kinematic hardening variables are
determined in the following. The linear hardening part in the stress-inelastic
strain curve of monotonic tension is first assumed to be approximated by
X3 + Q = bP (21)
The constant b is easily determined from the slope of the linear part. Then,
we have
X 1 + X 2 -- S - (bP + k + KP 1/n) (22)
The terms on the right-hand side are evaluated by use of the stress in tension
tests and the material constants identified previously, and the variables X1 and
X2 are represented by
Xi = a/{ 1 - exp(-cie)} (i = 1, 2) (23)
The constants al, a2, Cl, and c2 are estimated by fitting the value of the right-
hand side of Eq. 22 by Eq. 23.
3 74 Tanaka
In the saturated stage of cyclic hardening, the value of Q is almost constant,

so 5(3 is approximated by
2K3 -- b[' (24)
In this case, the stress amplitude AS~2 of circular cycles of inelastic strain
amplitude AP/2 with zero mean inelastic strain is represented by
(AS/2)2_ aicike/2
~=1 1 + (<AP/2) 2 + bkP/2
+ + k+ (25)
1 + (<AP/2) 2
where Qc is the saturated value of the isotropic hardening variable for the
circular cycles. The material constants in Eq. 25 are already known, and thus
the function value of Qc(AP/2) is evaluated by use of AS~2 obtained from the
experiments. Furthermore, the shape of AS~2 versus P curve is mainly
governed by the evolution of the isotropic hardening variable. Since Eq. 19
gives the analytical expression
Q(P) = Qc(AP){ 1 - exp(-dnP) } (26)
the value dH is determined by fitting Eq. 26 to the experimental curve.

Next, in the amplitude variation experiments of circular cycles, the target
value QL in the subsequent cycles of smaller amplitude (AP2/2) after the
saturated stage of cyclic hardening of larger amplitude (AP1/2) is specified by
Eq. 17. Solving Eq. 17 for cR gives the relation
~L -- ~H
cR = Qm x -- QH (27)
In this case, ~max = Qc(AP1/2) and QI-I= Qc(AP2/2), and the value of
Qz.- QI-I is the difference between the two saturated stress amplitudes of
the circular cycles of AP2/2 with and without the preceding cycles of AP1/2.
The constant ds is determined from the condition that the analytical
expression for Eq. 19 for the softening, i.e.,
Q = QI_ + [Qc(AP1/2) - Qz.]exp{-ds(V- Vo)} (28)
describes the AS~2 versus P curve in the cyclic softening process of amplitude
decrease experiments. In this equation, P0 and Qc(AP1/2) are the values of the
accumulated inelastic strain and the isotropic hardening variable at the end of
the preceding cycles.
5.9.3.2 IDENTIFICATION BY NUMERICAL SIMULATIONS

OF THE MODEL
The remaining constants rr, Cc, a3, c3 and the two functions qp(R) and qN(R)
are determined by performing the numerical simulations of the model. First
the value of ry is estimated by the condition that the transient behavior of Y
obtained from the simulation of Eq. 14 for the uniaxial cycles with nonzero
mean inelastic strain is similar to the resultant cyclic relaxation behavior.
Next, the assumption of the function value qp(R) and the use of the linear
hardening law (Eq. 24), together with the material constants identified
previously, enable the simulation of uniaxial cycles by the constitutive model.
Hence, by assuming the provisional relation qe(aP/2)=Q(AP/2) and by
comparing the saturated stress amplitude versus inelastic strain amplitude
relationship with the corresponding experimental results, we can obtain the
better estimate of the function qp(R). The repetition of this procedure enables
us to identify the material function qp(R). By the use of this function and the
Qr for circular cycles, the other material function qN(R) is expressed by
qN(AP/2) -- x/-2[Qc(AP/2) - qp(AP/2)] + qp(AP/2) (29)
Next, for monotonic uniaxial loading, from Eq. 20 we have
X3--S- (Xl q- X 2 q- Q -ff k -ff K P 1/ n ) (30)
Then the value of the right-hand side can be evaluated by using the
experimental value of stress S and the values of k + KP 1/n and X1 + X2
identified previously. By using the analytical expression of R, i.e.,
R = { 1 - e x p ( - r y P ) }/ry (31)
and by the numerical integration of Eqs. 16-19, the value Q of the isotropic
hardening variable in Eq. 30 can be evaluated, and the relation between X3
and inelastic strain P is determined from Eq. 30. The constants a3 and c3 are
determined by the condition that the analytical expression of X3 that is given
as i = 3 in Eq. 23 describes the preceding relation.
Finally, the constant cc is determined by the simulation of nonproportional
cycles such as the cruciform cycles that show intermediate hardening between
the proportional and the circular cycles. Since all constants and functions
except cc have already been identified, we can adjust the value of cc by
comparing the simulation results of the nonproportional cycles with the
saturated stress amplitude of the corresponding experimental results.
3 76 Tanaka
5.9.3.3 EXAMPLES OF MATERIAL CONSTANTS

AND FUNCTIONS
For reference we s h o w a set of material constants and functions identified for

316 stainless steel at r o o m t e m p e r a t u r e . The e x p e r i m e n t s of p r o p o r t i o n a l a n d
n o n p r o p o r t i o n a l cycles were p e r f o r m e d by the p r e s e n t a u t h o r a n d c o w o r k e r s
[5, 6]. The value of 3 x 10-5sec -1 is c h o s e n for the inelastic strain rate. The
material constants and the functions are
K = 92 MPa, n = 8, k = 75 MPa, al = 125 MPa,

a2 = 70 MPa, a3 = 310 MPa
cl = 1 6 0 0 , c2=250, c3=6, d/-/=6, ds=4,
CR=0.4, ry=40, cc=200 (32)
qp(R) = 4000R + 28{1 - e x p ( - 2 5 0 0 R ) } (MPa)
qN(R) = 73100R § 209{1 - e x p ( - 1 7 0 0 R ) } (MPa)
The e x t e n s i o n of this m o d e l to the description of inelastic b e h a v i o r of

316 stainless steel in the range from r o o m t e m p e r a t u r e to 973 K is found in
Reference [7].
It is found in References [4, 7] that this m o d e l can describe the cyclic
h a r d e n i n g a n d softening b e h a v i o r of various c o m p l e x p r o p o r t i o n a l and n o n -
p r o p o r t i o n a l cycles with a m p l i t u d e variations a n d p a t h changes at r o o m and
elevated t e m p e r a t u r e .
REFERENCES
1. Chaboche, J. L., and Rousselier, G. (1983). On the plastic and viscoplastic constitutive
equations. Part 1: Rules developed with internal variables concept. Trans. ASME, J. Press. Vessel
Technol. 105: 153.
2. Ilyushin, A. A. (1963). Plasticity, Moscow: Izd. Akad. Nauk (in Russian).
3. Armstrong, P. J., and Frederick, C. O. (1966). A mathematical representation of the multiaxial
Bauschinger effects. CEGB. Report, RD/B/N731, Berkeley Nuclear Laboratories.
4. Tanaka, E. (1994). A nonproportionality parameter and a cyclic viscoplastic constitutive model
taking into account amplitude dependences and memory effects of isotropic hardening.
European J. Mech., A/Solids 13: 155.
5. Tanaka, E., Murakami, S., and Ooka, M. (1985). Effects of plastic strain amplitudes on non-
proportional cyclic plasticity. Acta Mechanica 57: 167.
6. Tanaka, E., Murakami, S., and Ooka, M. (1985). Effects of strain path shapes on non-
proportional cyclic plasticity. J. Mech. Phys. Solids 33: 559.
7. Ohmi, Y., Tanaka, E., Murakami, S., Jincho, M., and Suzuki, T. (1995). Constitutive modeling
of proportional/nonproportional cyclic plasticity for type 316 stainless steel applicable to a
wide temperature range. Material Science Research International 1 (4): 247.
SECTION 5.10
Rate-Dependent Elastoplastic
Constitutive Relations
FERNAND ELLYIN
Department of Mechanical Engineering, University of Alberta, Edmonton, AB, Canada
Contents
5.10.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
5.10.2 Rate-Dependent Constitutive Model . . . . . . . 378
5.10.2.1 Stress-Strain Relation . . . . . . . . . . . . . . 379
5.10.2.2 Evolution of Centers of the Yield
and Memory Surfaces . . . . . . . . . . . . . 380
5.10.3 Numerical Implementation . . . . . . . . . . . . . . . . 382
5.10.4 Illustrative Examples . . . . . . . . . . . . . . . . . . . . . 383
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
5.10.1 BACKGROUND
A number of engineering alloys, such as type 304 and 316 stainless steels and
high-strength titanium alloys, exhibit rate-dependent behavior even at
ambient temperature; see Ellyin [2], who provides examples and references
to experimental data. The main manifestations of rate dependency are loading
rate sensitivity, creep, relaxation, and creep-plasticity interaction. A con-
stitutive relation for rate-dependent materials, therefore, should be able to
simulate the aforementioned behavior.
Constitutive models in which all aspects of inelastic deformation such as
plasticity, creep, and recovery are treated by one set of equations are generally
referred to as "unified models." Examples of this type of constitutive relation
are given in this chapter by a number of contributors, and an interested reader
is encouraged to consult them for details. There is, however, experimental
evidence that the effect of prior deformation on the subsequent creep or
plastic deformation is quite different. For example, a plastic prestrain has a

378 Ellyin
greater contribution to the creep hardening than the same amount of creep
prestrain [5]. This type of distinction cannot be accommodated by a unified
creep-plasticity model, since in these models creep and plastic strains are not
separable from each other.
The constitutive model to be described here is of a coupled nature, in the
sense that the effect of prior creep on the subsequent plastic deformation is
incorporated in the rate-dependent elastic-plastic constitutive relation.
Similarly, the influence of plastic prestrain on the subsequent creep
deformation is taken into account. Thus the framework for this constitutive
model is based on the concept that any loading sequence can be predicted by
two separate but coupled models. The rate-dependent elastoplastic consti ~.,-
tive model for the creep deformation is given elsewhere [6, 7], and an
interested reader is encouraged to consult these references.
5.10.2 RATE-DEPENDENT
CONSTITUTIVE MODEL
The uniaxial stress-strain response at different strain rates has a characteristic

feature which indicates an increase of yield stress with the increasing applied
strain rate. Another feature of these curves is related to the change of the
tangent modulus at the elastic-plastic transition region with the loading rate
change. To describe these observations in a multiaxial stress state, we
introduce two types of hypersurfaces: a yield surface, ~by,which is the locus of
the current elastic regime, and a stress memory surface, ~m, which defines the
maximum equivalent stress, Creq,max, to which the material has been subjected
in its previous history.
The rate- and history-dependent yield surface is given by
~y 3 _ q2
-- --S" S (~eq, lp) -- 0 (1)
2
in which g = 8 - 1/3 tr(8)l, and er = d - 0~. The 9 and q specify the center
and radius of the yield surface. The equivalent strain rate,/;eq - - (2/34- 4) 1/2
with 4 - e - 1/3 tr(e)l, and le - f ( 2 / 3 deP:deP) 1/2, is the accumulated plastic
strain length. Note that herein bold letters indicate tensorial quantity.
The evolution rule of the size of the yield surface is determined from
cgq cgq
dq - 0~eq d~eq q- -~p dlp (2)
An explicit relation of the radius of the yield surface can be obtained by

5.10 Rate-Dependent Elastoplastic Constitutive Relations 379
adopting the conventional logarithmic strain-rate dependency, i.e.,

q - q[1og(keq/~0q), lp] (3)
where geq'0iS a reference equivalent strain rate, usually taken to be the slowest
one in the loading history. The accumulated plastic strain length, is used tolp,
describe cyclic strain hardening or softening phenomenon [2].
The stress memory surface, ~b~, is related to the maximum equivalent
stress, ~ e q - ( 3 / 2 s " S) 1/2, experienced by the material during its past
loading history. It is expressed by
3
~r~ -- ~ S " ~ -- R2(~ -- 0 (4)
in which g - ~ - 1~with 1/denoting the center and R the radius of the current
memory surface.
The evolution rules for the center of the yield surface, 0~, and that of the
memory surface,//, will be described later on.
5.10.2.1 STRESS-STRAINRELATION
The total strain rate is decomposed into its elastic and plastic parts, i.e.,
~=g+~p (5)
where
i~ 1
-- ~ [(1 + v)6- - v tr(d)l] (6)
Ofy(~gfy
/~P -- g O-~-a\ 0 ~ " d
) (7)
with
1(1 1)
g-~qTq2 ~ - and fy-3-g'g2 (8)
In the preceding, Et is the current tangent modulus, E t - - Et(o'eq , tTeq, lp), which
is both rate- and history-dependent, similar to q in Eq. 3.
Inverting Eqs. 5-7, the stress rate is given by
E lol+ lol- g-g ~ (9)
~ - 1+ ~ 1 - 2~ [(1 + ~)/E] + q
Depending on the relative position of the current stress point with respect
to the yield and memory surfaces, three loading regimes are distinguished:
(i) elastic loading, (ii) monotonic plastic loading, and (iii) plastic reloading.
380 Ellyin
Each of these loading regimes has a different evolution rule, which is

described in text following.
For a loading to be classified as the elastic loading, the stress point must be
inside the current yield surface, or in the case of elastic unloading, s : d < 0.
In either case, the stress-strain relation is specified by Eq. 6, or the first two
terms on the right-hand side of Eq. 9. In the case of monotonic plastic
loading, s : 6 " > 0, and the current stress point is on the yield surface.
However, if the equivalent stress value increases, the stress memory surface
will expand but will remain tangent to the yield surface at the current stress
point. This condition is expressed by
Ofu (a - ~) = 2 ~ ~ (a - fl)
&r &r (i0)
fm(a- ,8) - R 2 = 0
where f y ( a - ~ ) is defined by the second equation of Eq. 8 and

fm(a- ~) = 3 / 2 ~ : ~. For the proportional loading fl = 0.
The plastic loading in which the current stress point is inside the stress
memory is termed the plastic reloading. For this loading case the memory
surface does not change; however, when there is a transition from elastic to
plastic loading, the size of the yield surface would be dependent on the
current equivalent strain rate; see Eq. 2. For the latter two plastic loadings, the
calculation of the tangent modulus are different, and they will be explained in
text following.
5.10.2.2 EVOLUTION OF CENTERS OF THE YIELD AND

MEMORY SURFACES
For the monotonic loading regime, the evolution rule for the center of the
yield surface is given by
O~ : / ~ ( a lim -- a y) (11)
and
o.li m ~ Rlim (o.li m _ ~g) (12)
q
where a y is the current stress point which is on the yield surface, and Rlim is a
constant depicting the maximum limit of the stress memory surface radius.
When Rlim>~q, then one approaches Ziegler's rule in which ~ll(~ry - ~ ) .
The value of Et in Eq. 8 is calculated from a family of strain rate-dependent
stress-strain curves, based on the current equivalent stress value and strain
rate. This will be explained later on. For the plastic reloading, the evolution of
the center of the yield surface is determined from
- ti(tr m - trY) (13)
where trm is a point on the memory surface whose exterior normal is parallel
to the normal at point try (see Fig. 5.10.1)"
R_
trm _ --,,,(try _ ~) (14)
q
The calculation of the tangent modulus, Et, requires attention for this loading
case. It is related to the ratio of two distances between three stress points,
namely, the stress at which plastic reloading took place (point C in
Fig. 5.10.1), the current stress point tr y and tr", determined according to
Eq. 13. For any point in the stress space, we define a ratio,
r - - -- (15)
82
where 61 is the distance measured from the current stress point, try (point D in
Fig. 5.10.1), to the corresponding point on the memory surface, trm (point E
in the same figure), and 82 is the distance from the point of onset of reversed
plastic flow (point C) to the current stress point, trY. The distance between
400 -
memorysurface
f
200 -
A
0
(2.
ZE
O .... i
-2oo -! initialyield ~:
& memorysurfaces
-400 t I i
-4O0 -200 0 200 400
(MPo)
FIGURE 5.10.1 Schematic representation of yield and memory surfaces for monotonic and
reversed plastic loading.
382 Ellyin
two points (1) and (2) in the stress space is calculated from
d - [((s) - (1)).((2)_ (1))]1/2 (16)
where(~ ) and (s2) are the deviatoric stress values at the two points.
Upon the determination of fi~ and c~2, the r value is calculated from Eq. 15.
Then an equivalent stress corresponding to point D is determined from
O'eq = (O'eq,max-~ rq)/(1 + r) (17)
This is the value at which the tangent modulus is calculated from the uniaxial
stress-strain curve at the current value of the strain rate. This procedure for
calculating the tangent modulus during reversed loading has several
advantages in comparison to previously proposed methods [1]. An accurate
determination of tangent modulus is of considerable importance in cyclic
loading and strain energy calculation.
For a monotonic loading, the center of the memory surface remains fixed;
i.e., ~ - 0. However, in the case of cyclic loading with a mean stress, the
evolution rule of the center of the memory surface is given by
0p
--= ~(a mean - fl) (18)
cole
w h e r e o"mean is defined as the geometric center of the cyclic stress path in the
stress space, i.e.,
~m~.n =
it+T /t+T
~ dl dl (19)
J t
where T is the period of cyclic loading and dl is the differential length of
the curve. Note that Eq. 17 is applied only during unloading case where the
radius of the memory surface does not change.
In addition to the transient hardening during cyclic loading, there is an
extra hardening due to nonproportional loading; see Ellyin [2], where
procedure for its determination is explained.
A computer subroutine has been prepared for the numerical implementation

of the constitutive model. In its most general form the model contains seven
material constants, in addition to a required set of rate-dependent uniaxial
stress-strain curves. The following are determined from the latter set of stress-
strain curves. Two elastic constants, E and v, are obtained from the elastic part
of the stress-strain relations. The rate- and history-dependent constants,
q q(~.eq, lp) and E t - Et(aeq,~.eq, lp), are determined from the family of
=
rate-dependent stress-strain curves; see illustrative examples to follow. A two-

dimensional interpolation is used to obtain a continuous description of the
dependency of the yield surface radius and tangent modulus on the equivalent
strain rate, ~eq, and the accumulated plastic strain length, lp.
5.10.4 ILLUSTRATIVE EXAMPLES
The rate-independent version of the previously described constitutive model

was programed and inserted into the user-supplied subroutine of ADINA
Finite Element Computer Code. Various examples ranging from uniaxial
to multiaxial monotonic and cyclic loading, for both proportional and
nonproportional loading paths, are given in References [2, 4]. This subroutine
is now available for commercial use and may be obtained by writing to
the author.
The rate-dependent version has also been programed and
can be implemented in any FEM Code which has an option for the
user-supplied material model. Here a couple of representative exam-
ples of the model prediction and comparison with experimental results
will be given. Figure 5.10.2 shows the experimental data and
model predictions of uniaxial stress-strain curves for three different
strain rates of a titanium alloy, TIMETAL 21S. For this
4ool 8.3X10-*
3OO
8 . 3 X I 0 -s
200
"9 8 . 3 X I 0 -s
C/) 9 lw
---,. _Mode!Prediction
0.0 0.2 0.4 0.6 0.8 1.0

FIGURE 5.10.2 Experimental data and model prediction for titanium alloy TIMETAL 21S at
650~ temperature for three strain rates.
384 Ellyin
material, E = 8 6 6 0 0 MPa, v = 0.34, Rlim -- 4 6 0 0 MPa, q(~eq) = 4 6 . 4 3 1 +

0.3292[1og(~eq/~0q)] 2"99, and ~eq
0 _ 8.3 x 106 s - .1 Two e x a m p l e s of t a n g e n t
m o d u l u s v a r i a t i o n w i t h the effective stress at r e f e r e n c e s t r a i n rates, are g i v e n
in Table 5.10.1.
A f u r t h e r e x a m p l e is d e p i c t e d in F i g u r e 5.10.3. In this e x a m p l e , a type 3 0 4
stainless steel t u b u l a r s p e c i m e n was s u b j e c t e d to cyclic axial a n d differential
a)
0,/. I
/ o . , 5 o:,s -- ' - G (MPo)
G C~-} . . . . . . . . . . ~ . f, r
o.'~S o.~5 ' o"o C~Po)
FIGURE 5.10.3 Biaxial stress-strain response for the first 10 cycles at a fast strain rate 4 x 10 -3
s -1. a. Strain path. b. Test results: (1) axial stress vs. axial strain, (2) tangential stress vs. tangential
strain, (3) axial stress-tangential stress trajectory, c. Model predictions [3].
F~ O
e~ O
e~ 0G
e~ e~
O
G
~ • ~
\
I
•
e~
ue~
eN
O
ce~ G O
o
o
o
.~
o
O O
ee~
~t" 00
o c5~
o O
o
e~ O
~" 00 v~
386 Ellyin
p r e s s u r e ( c o n s t a n t e x t e r n a l a n d cyclic i n t e r n a l p r e s s u r e ) . T h e axial
a n d t a n g e n t i a l strains (ea, et) w e r e c o n t r o l l e d , a n d t h e y v a r i e d in a
n o n p r o p o r t i o n a l m a n n e r in a s q u a r e d i a m o n d p a t t e r n as s h o w n in F i g u r e
5.10.3a. T h e biaxial s t r e s s - s t r a i n r e s p o n s e a n d the stress t r a j e c t o r y for the first
ten cycles are s h o w n in the figure for a s t r a i n rate of keq - 4 x 10 -3 s -1. It is
s e e n t h a t for this fairly c o m p l i c a t e d l o a d i n g , the m o d e l p r e d i c t i o n is in v e r y
g o o d a g r e e m e n t w i t h the e x p e r i m e n t a l results.
T h e m a t e r i a l p r o p e r t i e s for this type 3 0 4 stainless steel w e r e [3]
E -- 196,000 MPa, v -- 0.25, q~nit _ 75.7 MPa, q~t _ 122 MPa, and
qinit(~:eq) -- q0init[l+Cll~176 w i t h C1 - 0.153 a n d geq'0_ 6 • 10 -5 S-1.
The superscript "init" and "st" refer to the virgin and stable cyclic values of the
cyclic stress-strain curves. The tangent modulus versus effective stress for the
initial stress-strain curve at the reference strain rate is given in Table 5.10.1.
REFERENCES
1. Ellyin, E (1984). An anisotropic hardening rule for elastoplastic solids based on experimental
observations. ASME J. Appl. Mech. 56: 499-507.
2. Ellyin, E (1997). Fatigue Damage, Crack Growth and Life Prediction, London: Chapman & Hall.
3. Ellyin, E, Xia, Z., and Sasaski, K. (1993). Effect of rate and rate history on plastic deformation:
Experiments and constitutive modeling. Int. J. Plasticity 9: 951-959.
4. Ellyin, E, Xia, Z., and Wu, J. (1993). A new elastoplastic constitutive model inserted into user-
supplied material model of ADINA. J. Computers Struct. 10: 283-294.
5. Kawai, M., and Ohashi, Y. (1986). Creep-plasticity interaction of austenitic stainless steels at
elevated temperature. Proc. Int. Conf. On Creep, April 1986, Tokyo, Japan, pp. 454-464.
6. Xia, z., and Ellyin, E (1991). A rate-dependent inelastic constitutive model, Part II: Creep
deformation including prior plastic strain effects. ASMEJ. Engng. Mater. Technol. 113: 324-328.
7. Xia, Z., and Ellyin, E (1993). An experimental study on the effect of prior plastic straining on
creep behavior of 304 stainless steel. ASME J. Engng. Mater. Technol. 115: 200-203.
SECTION 5.11
Physically Based Rate-and
Temperature-Dependent
Constitutive Models
for Metals
SIA NEMAT-NASSER
Center of Excellence for Advanced Materials, Department of Mechanical and
Aerospace Engineering, University of California, San Diego, California
Contents
5.11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
5.11.2 Model Description . . . . . . . . . . . . . . . . . . . . . . . . 388
5.11.3 Athermal Stress Component, Za . . . . . . . . . . . 388
5.11.4 Viscous-Drag Component, ra . . . . . . . . . . . . . . 389
5.11.5 Thermally Activated Component, ~* . . . . . . 391
5.11.6 Three-Dimensional Model . . . . . . . . . . . . . . . . . 396
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
5.11.1 INTRODUCTION
Guided by the concept of dislocation kinetics [3] and accompanied by

systematic experimental investigation, a physically based model has been
developed [4-7] for several polycrystalline metals. The model addresses the
plastic deformation of metals in the range of temperatures and strain rates
where diffusion and creep are not dominant, and plastic deformation occurs
basically by the motion of dislocations.
Here, we summarize this model, provide a table of typical values of the
constitutive parameters, which have been experimentally evaluated, present a
few typical comparative results, and show how the model can be used for

388 Nemat-Nasser
three-dimensional computations. In what follows, z and ~ are the stress

and the corresponding strain rate in a uniaxial-stress compression test.
When the model is used in a three-dimensional setting, these quantities
are the effective stress and the effective plastic strain rate, respectively; see
Section 5.11.6.
5.11.2 MODEL DESCRIPTION
It is assumed that plastic deformation occurs by the motion of dislocations

and that the resistance to this motion corresponds to the flow stress. To
simplify the interpretation of the experimental results, this stress is
decomposed into three parts. One part, denoted by z*, is due to the
short-range barriers that dislocations may overcome through their thermal
activation. These barriers may include the lattice itself (Peierls stress),
point defects such as vacancies and self-interstitials, other dislocations that
intersect the slip planes, alloying elements, and solute atoms (interstitial and
substitutional). The second part, za, is the athermal component, mainly
due to long-range effects such as the elastic stress field of dislocation forests
and grain boundaries. Finally, there is a remaining viscous-drag component,
zd, which usually is important at high temperatures and high strain
rates. Although the decomposition of the stress in this manner may be an
oversimplification of a rather complex process [3], it has proved effective in
interpreting the experimental results and in obtaining explicit constitutive
relations of broad applicability. The flow stress is thus expressed as
z = za + zd + ' c * (1)
The stress, z, is a function of the strain rate, ~, temperature, T, and some

internal parameters that describe the microstructure. The microstructure here
refers to the grain sizes, the distribution of second-phase particles or
precipitates, and the distribution and density of dislocations. In general, the
most commonly used microstructural parameter is the average dislocation
density, p. The microstructure evolves differently for different histories of
and T, affecting the current value of p, accordingly.
5 . 1 1 . 3 A T H E R M A L S T R E S S C O M P O N E N T , Za
The athermal part, Za, of the flow stress, z, is independent of the current
value of the strain rate, ~. The temperature effect on Za is only through
the temperature dependence of the elastic moduli, especially the shear
modulus, #(T) [8]. Linear elasticity suggests that Za should be proportional
5.11 Physically Based Rate- and Temperature-Dependent Constitutive Models 389
to #(T). Hence,
= g(p, (2)
where d6 is the average grain size, the dots stand for parameters associated
with other impurities, and #0 is a reference value of the shear modulus. In a
general loading, the strain 7 represents the effective plastic strain that is a
monotonically increasing quantity in plastic deformation. In the present case,
7 defines the loading path in a uniaxial-stress deformation mode, and is also a
monotonically increasing quantity, since 9 > 0 (by definition, the strain rate is
viewed as positive even in uniaxial compression tests). Therefore, it may be
used as a load parameter to define the variation of the dislocation density, the
average grain size, and other parameters which affect "ca, i.e.,
ra = g[P(V), d6(7),.. "]P(T)/~0 = g,(v)~'(r)/*'o (3)
Further, as a first approximation, we use a simple power-law representation

of g(7) and choose an average value for #0 so that la(T)/la o ~ 1. Then, "ca may
be written as
"ca = ao + a17 n + . . . , (4)
where ao, al, and n are free parameters which must be fixed experimentally.
At high strain rates, ao may be neglected; i.e., ao ~ 0.
5.11.4 VISCOUS-DRAG COMPONENT, "ca
It is experimentally observed that, even at very high temperatures where the

thermal activation energy of the dislocations exceeds the short-range energy
barriers, the stress increases with increasing strain rate, especially when the
strain rate exceeds about 1000/s. Figure 5.11.1 illustrates this for AL-6XN
stainless steel. It displays the flow stress for 0.001/s, 0 . l / s , and 3500/s strain
rates, in terms of the temperature, for a common strain of 10%. From this
figure, it is seen that the high-temperature flow stress at low strain rates
(0.001-0.i/s) is insensitive to the strain rate, but not at the high strain rate
of 3500/s. This increased strain-rate sensitivity is usually attributed
to the electron- and phonon-drag effects on the mobile dislocations [9-12].
The viscous-drag stress, rd, is often related to the dislocation motion by
"ca ~ MB~/b, where M is the Taylor factor, B is the drag coefficient, ~ is the
average dislocation velocity, and b is the magnitude of the Burgers vector.
Since ~ relates to the strain rate by 9 = PmbF;/M (where Pm is the mobile
dislocation density), it follows that "ca=g[m2B/(Pmb2),9,T]. At high
temperatures, and in the absence of creep, the flow stress is essentially
390 Nemat-Nasser
1400
AL-6XN, 7 = 10%
1200
.,,--,.
1000
9 800
- 500Is
Q _
E 600
400 - :iiiiii i i i i i i i i i i i i
200 i | i | ! i | | | i | | i i I i i i i I i i i i I i I i i
200 400 600 800 1000 1200

Temperature (K)
FIGURE 5.11.1
independent of the temperature, T, and we may assume
"Cd -- g[M2B/(Pmb2), ~]
To examine the effect of the viscous drag, consider the experimental results
[13] for AL-6XN stainless steel, plotted in Figure 5.11.2. From these data, it is
seen that, when the strain rate exceeds about 1000/s, the flow stress increases
rapidly. Experimental results of Reference [14] for tantalum show that the
drag on dislocations is significant over a range of strain rates, from a few
hundred to several thousand per second. Based on this [7], we set
M2B
rd -- mo[1 -- exp(--e);)], a - (6)
Pmb2zy
where m0 is a material constant which can be measured directly at a very high

strain rate and high temperature, and B represents an effective damping
coefficient affecting the dislocation motion. The value of ~ may be established
empirically. It can be estimated that ~ = O(10 -4) when ~ is measured
per second. For ~ 1, we have "~d,.~mo~O, and for e ~ 1, we have
rd "-~ m0. These limiting cases may be used to simplify computations in three-
dimensional applications.
600
AL-6XN, y = 10%
To = 1,000K
550
9 experimental
A
...... calculated
500
v
450
~ ." ,,o"/
~
ID . . . . . _-----. ~ ,.
= 400
350
300
0.001 O. 1 10 1,000 100,000
Strain Rate (1 Is)
FIGURE 5.11.2
5.11.5 THERMALLY ACTIVATED

COMPONENT, z*
The thermally activated flow stress, z* in general, is a function of

temperature, T, strain rate, ~, and the internal variables characterizing the
microstructure of the short-range barriers. This microstructure may evolve
with the temperature and strain rate histories. To obtain a relation between ~,
T, and z *, let AG be the energy that a dislocation must overcome by its thermal
activation. Reference [3] suggests the following relation between AG and z*
representing a typical barrier encountered by a dislocation:
AG-G0 1- , O0-e2fb (7)
where 0 < p _< 1 and 1 _< q _< 2 define the profile of the short-range barrier to
the dislocation, ~ is the stress above which the barrier is crossed by a
dislocation without any assistance from thermal activation, and Go is the
energy required for a dislocation to overcome the barrier solely by its thermal
activation; 2 and g are the average effective barrier width and spacing,
392 Nemat-Nasser
respectively. We assume that ~ is related to AG by
where 7r = Pmbcoos here, k is the Bohzmann constant, and COo is the attempt
frequency of a dislocation to overcome its short-range barrier. From Eqs. 7
and 8, obtain
9* --'~ 1 - -~001n~r (9)
References [15 and 3] suggest that p = 2//3 and q = 2 are suitable values
for these parameters for many metals. Nemat-Nasser and coworkers have
verified this suggestion for a number of metals, although other values may
fit the experimental results better for certain cases; see Table 5.11.1 and
Reference [ 14].
For some materials (e.g., fcc metals), the dislocations that intersect the slip
planes are the most dominant short-range barriers. To account for the
microstructural evolution which affects the average dislocation spacing, ~, it is
assumed in Reference [5], that ~ = ~.o/f(?,T), where ~0 is a reference
(e.g., initial) average dislocation spacing. In view of Eqs. 7-9, this gives, for
this class of metals,
_ ?o zo Go
--z~ T) and 7r f(v,T)' with --b2fo and 7o-Pmbcoo~o
(10)
It is reasonable to expect that the average dislocation density increases with
straining (workhardening) and that it decreases with increasing temperature
(annealing). Based on this observation, and guided by experimental results,
we follow Reference [5] and assume that
f(?,T)-- --l+a i- ~mm (ii)
TABLE 5.11.1 Constitutive Parameters for Indicated Commercially Pure Metal.
Metal, bcc, k (K_I)

f= 1 al(Mea) n P q T~ G---o ~0(s-1 )
Tantalum 473 0.20 2/3 2 1100 8.62 • 10-5 5 x 108
Molybdenum 720 0.25 2/3 2 2450 8.62 • 10-~ 1.45 • 107
Niobium 440 0.25 2/3 2 1680 1.24 • 10-4 3.5 • 106
Vanadium 342 0.15 1/2 2 1260 1.24 • 10-4 3.5 • 106
800
700
600 . 398K"
~ gSK
50O
4OO
I00
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
'13"ueSm~,
16ooT . . . . . .
1400| M~
098K
g
o
0.00 0.05 0,10 0.15 0.20 0.25 0,30 0,35 0,40 0,45 0,50
True Strain
800 r
[[ Nb, 8,000 S"t
f.
600 ~ 2 9 6 K
~- . . . . 500K
~ 400
200
0,00 O.10 0.20 0.30 0.40 0,50 0,60 0,70 080

Tree Strain
700
F
Im
Vanadium, 8,000 s-1
6oo !- . . . . . . . . . . . T,,= ~ K
200
I00
0.00 0.05 0.10 0,15 0,20 0,25 0.30 0.35 0.40 0.45
Tn~ Strain
FIGURE 5.11.3 Comparison between model predictions and experimental results for indicated
metal and constitutive parameters given in Table 5.11.1.
394 Nemat-Nasser
where Tm is the melting temperature and the index m is a free parameter

which m u s t be evaluated from the experimental data. Combining Eqs. 9-11,
we arrive at the following expression for z*:
z* - z ~ 1 - - GooIn . f(2, T) for T<T~

7o
(12)
-b2go' 7o-bPmC~ f(Y,T)--l+a 1- 7m
where Tc is given by
To--
--
G~(lngf (?'- Tc)) -1 (13)
k 70
Note that z * - 0 for T > To. Note also that, at high strain rates, the
temperature of the sample increases due to heating t h r o u g h plastic work. This
temperature change can be c o m p u t e d by
AT -- zd7 (14)
PoCv
where P0 is the mass density, Cv is the t e m p e r a t u r e - d e p e n d e n t heat capacity,
and fl,,~l is the fraction of the plastic w o r k used to heat the sample. At
finite strains and high strain rates, it is s h o w n in Reference [16] that fl is
essentially 1.
For most bcc metals, the lattice provides the main source of the
short-range resistance to the dislocation motion. In this case, go = g = b,
and hence a = 0 and f = 1 in Eq. (12). Table 5.11.1 gives typical values
of the constitutive parameters for the indicated commercially pure bcc
metals, and Figure 5.11.3 compares the model and experimental results.
In these cases, the drag effect is neglected. Table 5.11.2 provides data
TABLE 5 . 1 1 . 2 C o n s t i t u t i v e Parameters for Indicated Metals.
Metal, p = 2/3, al z~ k/Go mo

q= 2 (MPa) n (MPa) (K-1) 9o(S-1) (MPa) ~(s) a m
OFHC Cu, 220 0.3 46 4.9 • 10-5 2• 1010 NA* NA* 20 0

annealed
OFHC Cu, 220 0.3 400 4.9 x 10-5 2• 101~ NA* NA* 1.8 0
as received
AL-6XN 900 0.35 630 6.6 x 10-5 2 X 1010 140 3 X 10 -4 5 1/2
Ti-6A1-4V 685 0.05 1560 6.2 X 10-5 1.32 X 101~ NA* NA* 2.4 1
*NA = Not available.
for annealed OFHC copper, AL-6XN stainless steel, and a titanium alloy.
The corresponding comparison with the experimental results is shown in
Figure 5.11.4 [17].
8O0 I I I I
Solid Curves:ModelPredictions OFHC Copper
Dashed Curves:Experments
700
T
/ .- .... ---. 8,000/s
600 .- ~7 i
100
0
0 0.2 0.4 0.6 0.8

True Strain
2400
Ti64 Solid Curves: Model Predictions
Dashed Curves: Experiments
2000
, l" . .~.,,,,~,.,.. 77K
~" 1600
, s" 296K
m
g 1200
798K
~- 800
_
.....
.....
3,700 s"
400
0.00 0.10 020 030 0.40 0.50 060 0.70

True Strain
2O0O
1600 /~,T
a'77K ~ "~,
,= J/!
0 " • " : . . . . . . ' ' '
0.00 0.10 020 0.30 0.40 0.50

Tme Sb~in
FIGURE 5.11.4 Comparison between experimental and model results for indicated commer-
cially pure metals and constitutive parameters given in Table 5.11.2.
396 Nemat-Nasser
5.11.6 THREE-DIMENSIONAL MODEL
Let ~ denote the deviatoric true stress tensor and DP the plastic deformation
rate tensor. We define the effective stress and strain rates by
(3 )1/2 ( 3 ) 1 / 2
"C - - "e " "e , f~ - - De: D v (15)
With f~(~,...) denoting the plastic potential [18, 19], we set

0f~
OP -- 7 c3~ (16)
For example, when f ~ - v ~ - 1:, we obtain
P
OP=7~, #= (17)
Here, ~ is given by Eqs. 8, 7, and 1. Since ~* = r - (l:a + l:d), and l:d is a

function of ~, the expression for ~ is not explicit. Hence, when the drag
resistance is significant, special numerical algorithms are necessary in
the applications.
Let L be the elasticity tensor, and ~o be the Jaumann rate of the stress
tensor. The final constitutive equation then is
~o = L" (D - O p) (18)
where D is the deformation rate tensor; see Reference [19] for more details.
REFERENCES
1. Nemat-Nasser, S., Okinaka, T., and Ni, U (1998). A physically-based constitutive model
for BCC crystals with application to polycrystalline tantalum. J. Mech. Phys. Solids 46 (6):
1009-1038.
2. Nemat-Nasser, S., Ni, L., and Okinaka, T. (1998). A constitutive model for FCC crystals with
application to polycrystalline OFHC copper. Mech. Mater. 30 (4): 325-341.
3. Kocks, U. E, Argon, A. S., and Ashby, M. F. (1975). Thermodynamics and kinetics of slip, in
Progress in Materials Science: Thermodynamics and Kinetics of Slip, p. 20, vol. 19, Oxford:
Pergamon.
4. Nemat-Nasser, S., and Isaacs, J. B. (1997). Direct measurement of isothermal flow stress of
metals at elevated temperatures and high strain rates with application to Ta and Ta-W alloys.
Acta Mater. 45:907-919.
5. Nemat-Nasser, S., and Li, Y. L. (1998). Flow stress of fcc polycrystals with application to
OFHC CU. Acta Mater. 46: 565-577.
6. Nemat-Nasser, S., Guo, W. G., and Liu, M. Q. (1999). Experimentally-based micromechanical
modeling of dynamic response of molybdenum. Scripta Mater. 40: 859-872.
7. Nemat-Nasser, S., and Guo, W.G. (2000). High-strain-rate response of commercially pure
vanadium. Mech. Mater. 32: 243-260.
8. Conrad, H. (1970). The athermal component of the flow stress in crystalline solids. Mater. Sci.
Eng. 6: 260-264.
9. Follansbee, P. S., and Weertman, J. (1982). On the question of flow stress at high strain rates
controlled by dislocation viscous flow. Mech. Mater. 1: 345-350.
10. Zerilli, E J., and Armstrong, R. W. (1992). The effect of dislocation drag on the stress-strain
behavior of fcc metals. Acta Metall. Mater. 40: 1803-1808.
11. Chiem, C. Y. (1992). Material deformation at high strain rates, in Shock-wave and High-Strain-
Rate Phenomena in Materials, pp. 69-85, Marca et al., eds., Marcel Dekker.
12. Regazzoni, G., Kocks, U. E, and Follansbee, P. S. (1987). Dislocation kinetics at high strain
rates. Acta Metall. 35: 2865-2875.
13. Nemat-Nasser, S., Guo, W., and Kihl, D. (2001). Thermomechanical response of AL6-XN
stainless steel over a wide range of strain rates and temperatures. J. Mech. Phys. Solids, in
press.
14. Kapoor, R., and Nemat-Nasser, S. (1999). High-rate deformation of single crystal tantalum:
Temperature dependence and latent hardening. Scripta Mater. 40 (2): 159-164.
15. Ono, K. (1968). Temperature dependence of dispersed barrier hardening. J. Appl. Phys. 39:
1803-1806.
16. Kapoor, R., and Nemat-Nasser, S. (1998). Determination of temperature rise during high
strain rate deformation. Mech. Mater. 27 (1): 1-12.
17. Nemat-Nasser, S., Guo, W. G., and Cheng, J. Y. (1999). Mechanical properties and
deformation mechanisms of a commercially pure titanium. Acta Mater. 47: 3705-3720.
18. Rice, J. R. (1970). On the structure of stress-strain relations for time-dependent plastic
deformation in metals. J. Appl. Mech. 37: 728-737.
19. Nemat-Nasser, S. (1992). Phenomenological theories of elastoplasticity and strain localization
at high strain rates. Appl. Mech. Rev. 45 (3): 519-545.
SECTION 5.12
Elastic-Viscoplastic
Deformation of Polymers
ELLEN M. ARRUDA1 and MARY C. BOYCE2
1Department of Mechanical Engineering, University of Michigan, Ann Arbor, Michigan
2Department of Mechanical Engineering, Center for Materials Science and Engineering,
Massachusetts Institute of Technology, Cambridge, Massachusetts
Contents
5.12.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 398
5.12.2 Description of the Model . . . . . . . . . . . . . . . . . 399
5.12.3 Identification of Material Properties . . . . . . . 402
5.12.4 Applications of the Model . . . . . . . . . . . . . . . . 402
5.12.4.1 Model Results for Simple States
of Deformation . . . . . . . . . . . . . . . . . . . 402
5.12.4.2 Modeling Complex Deformation
States and Histories . . . . . . . . . . . . . . . 404
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
5.12.1 BACKGROUND
The strain-rate- and temperature-dependent inelastic deformation of glassy

polymers has important applications in solid phase forming processes near
the glass transition temperature, such as blow molding and film stretching;
in impact absorption during large strain deformations; and in microscale
deformation processes such as crazing. We use established and speculated
physics of amorphous polymer deformation together with continuum
mechanics formulations of finite strain kinematics to develop and implement
a three-dimensional representation of the strain-rate-, temperature-, and
pressure-dependent response of glassy polymers.
The three-dimensional constitutive model for glassy polymer deformation
is a finite strain elastic-viscoplastic adaptation of the standard linear solid

5.12 Elastic-Viscoplastic Deformation of Polymers 399
linear
elastic
spring
viscoplastic rubbe r
element elasticity
Langevin
'spring'
FIGURE 5.12.1 Schematic of the three-element elastic-viscoplastic model.
model from viscoelasticity. The elements of the glassy polymer model can be
visualized in one dimension using the schematic in Figure5.12.1; this
approach builds on the original one-dimensional model of Haward and
Thackray [13]. The model elements include (1) a linear spring used to
characterize the initial response as elastic, acting in series with a Kelvin
element which is a parallel arrangement of (2) a thermally activated
viscoplastic dashpot used to represent the rate- and temperature-dependent
yield that monitors an isotropic resistance to chain segment rotation, and
(3) a non-Gaussian molecular network spring that models the molecular
orientation-induced anisotropic strain hardening. Constitutive descriptions
for each of these elements are summarized within the context of a general
finite strain deformation framework.
The representation of the kinematics begins with the multiplicative

decomposition of the deformation gradient F -- Vxx:
F = FeF p (1)
where FP is the deformation gradient of the relaxed configuration obtained

by elastically unloading to a stress-free state via F e-1. The elastic component
of the deformation gradient, F e, is restricted to be a stretch only.
F e = V e-- U e. Note that this results in no loss of generality, as shown in
Boyce et al. [7].
400 Arruda and Boyce
The velocity gradient, L, can be expressed as the sum of the symmetric

tensor D, the rate of deformation, and the skew-symmetric tensor W, the spin,
and is given as follows:
L = FF -1 = D + W = Le + FeLPF e-1 (2)
where the velocity gradient of the relaxed configuration, LP = FPF p-l, may be
represented in terms of its symmetric and skew-symmetric components:
Lp = D p + W p (3)
where Wp is the plastic spin and DP is the rate of shape change in
the relaxed configuration, which is constitutively prescribed through
the characterization of the viscoplastic element. It may be shown,
as in Boyce et al. [7], that Wp is algebraically prescribed without
loss of generality as a result of the imposed symmetry on the elastic
deformation gradient.
The linear spring used to characterize the initial response of the material is
constitutively characterized by the fourth-order tensor operator of elastic
constants, ~oe:
T -- l~-cpe[ln U e] (4)
3
where T is the Cauchy stress, (ln U e) is the Hencky strain, and J = det U e.
The nonlinear rubber elasticity spring element introduces a convected
network stress, T N, which captures the effect of orientation-induced strain
hardening. The underlying macromolecular network orients with strain and
has been found to be well modeled using the Arruda and Boyce [1] eight-
chain model of rubber elasticity. The network stress tensor (taken to be
deviatoric) is given by
X/~ ~,~'-1 ( ' ~ ~ n ) [ B - ~,chainI]

TN -- ~R '~chain (5)
where B - FPFpr, and '~chain- [1 tr B] 1/2 is the stretch on each chain in

the network. The material properties describing the strain-hardening
characteristics are #R, the initial hardening modulus, and N, the number of
rigid molecular units between entanglements. The Langevin function ~ is
given by
~o(fl) _ coth(fl) - ~; fl - (6)
and its inverse provides the functionality that as the chain stretch, '~,chain,
approaches its limiting extensibility ( v ~ ) , the stress increases drama-
tically. Temperature-dependent strain hardening modeled by this
element assumes that the thermally equilibrated number of chains per unit
volume follows:
n(O) -- A - B exp -~--~ (7)
where A represents the portion of the network that does not dissociate with
strain and the term containing B represents the thermally dissociating
network. Ea is the activation energy for thermal dissocation, R is the universal
gas constant, and | is the absolute temperature. Mass is preserved, which
provides n(|174 constant [4].
The viscoplastic element describes the rate- and temperature-dependent
yield behavior. The effective shear stress on this element is found from the
tensorial difference between the Cauchy stress, T, and the convected network
stress, TN:
1
T* -- T - - FeTNFe~ (8)
J
T* is the driving stress state, i.e., the portion of the total stress which
continues to activate plastic flow. The deviatoric component of the driving
stress state is denoted T *~, and it can be expressed in terms of its magnitude, r,
and its tensorial direction, N:
1
"c-- 2
1
N --~T*' (10)
The rate of shape change DP in the viscoplastic element is assumed to be

aligned with the deviatoric driving stress state:
D p = ~PN. (11)
where ~P is the plastic shear strain rate, which ensues once isotropic barriers
to chain segment rotation are overcome. The magnitude ~P is taken to depend
on the relative values of the effective shear stress, r, and the athermal shear
strength, s, according to the relation:
7P --7o exp -
[ -~xAS{ - (~)
~}]
(12)
where 7o is the pre-exponential factor proportional to the attempt

frequency, As is the zero stress level activation energy, and k is
Boltzmann's constant.
Strain softening is modeled after Boyce et al. [6] by taking the athermal
shear strength, s, to evolve from its initial annealed value, So--0.077 p /
( 1 - v) (where # is the elastic shear modulus, and v is Poisson's ratio), to a
TABLE 5.12.1 Material Properties.
Orientation
Elastic Viscoplastic Softening hardening
E ~o As h #R
Material (MPa) Y (S-1) (S) (MPa) so/Sss (MPa) N
PC 2300 0.33 2 (1015) 3.3 (10 -19) 500 0.78 18 2.8

PMMA 3200 0.33 2.8 (107) 1.9 (10 -19) 315 0.87 8 2.1
preferred state, Sss:
where h is the softening slope. Pressure dependence is taken into account by

adding the pressure contribution, ~p, to the athermal shear resistance, where p
is the pressure and ~ is the pressure-dependent coefficient of the material.
MATERIAL PROPERTIES
The constitutive description is thus summarized in Eqs. (4)-(13). Material

properties are obtained by reduction of uniaxial compression data at different
strain rates as discussed in References [2, 5]. Table 5.12.1 lists properties for
polymethylmethacrylate (PMMA) and polycarbonate (PC).
5.12.4 APPLICATIONS OF THE MODEL
5 . 1 2 . 4 . 1 MODEL RESULTS FOR SIMPLE STATES

OF DEFORMATION
Figure 5.12.2 shows both experimental and constitutive model results for the
cases of uniaxial compression and plane strain compression of PMMA. The
material constants for the model are fit to the uniaxial compression data; the
plane strain compression simulation is thus a true prediction. The model is
found to capture the uniaxial compression data and then found to predict the
plane strain compression data very well. This capability has also been shown
on other amorphous polymers. The predictive capability demonstrates that
the constitutive model contains the essential physics of the three-dimensional
anisotropic nature of the network deformation behavior.
/
/
./
200
5q
U~
,____,,_<i
i ......,:j
l ~. $:'~<
5q I .
100 . . . "!" "'~" '
i
.}
il . . . . . . . . . . . . uniaxial data
. . . . . . plane strain data
~~-uniaxial eight chain
I --.------plane strain eight chain
0
0.0 0.5 1.0 1.5
TRUE STRAIN
FIGURE 5.12.2 Deformation state-dependent response of PMMA at room temperature.
(Reprinted from International Journal of Plasticity, Vol. 9, Arruda, E. M., and Boyce, M. C.,
Evolution of plastic anistropy in amorphous polymers during finite straining, pages 699-720,
9 1993, with permission from Elsevier Science.)
Figure 5.12.3 depicts both experimental and model results for the
temperature dependence of strain hardening in PMMA; the results show
uniaxial compression true stress vs. true strain curves at different
temperatures. The simulations considered the temperature-dependent repre-
sentation of the network structure given in Eq. (7). Note that data are needed
at two temperatures to obtain the temperature-dependent material constants;
the third curve is a prediction. The strain hardening is found to be lower with
increasing temperature and is well predicted by the model. This same model
was used to simulate the rate dependence of PMMA as shown in
Figure 5.12.4, where both experimental and model results are shown. The
expected increase in initial yield stress with increase in strain rate is observed
and predicted; however, note the greater amount of softening observed at the
higher strain rate. The highest rate ( - 0 . l / s ) does not provide enough time for
heat transfer to occur, and there is a rise in the material temperature during
straining which produces thermal softening in addition to strain softening.
200 . . . . " i ! ! ! I 1 !
/
~176
./.
- 25oc ...
../ ";
I"'--I
CL,
&.,-.,,I
~.
. o.~ ~
.,
.. .i'~:" s "'~ .
100 - :':...---.~...
. ......
-----'~.'..,." .~ :
. . ....__ . . . . . ~ .
il f
,'//
." ./
0.0 0.5 1.0

TRUE STRAIN
FIGURE 5.12.3 Isothermal response of PMMA at various temperatures. (Reprinted from

Mechanics of Materials, Vol. 19, Arruda, E. M., Boyce, M. C., andJayachandran, R., pages 193-212,
9 1995, with permission from Elsevier Science.)
The model considers the network orientation contributions to the total energy
to be stored and not dissipated; therefore, only contributions from the driving
stress act to generate heat. A full discussion is provided in Arruda et al. [4] as
well as in Boyce, Montagut, and Argon [9]. The strong dependence of the
stress-strain behavior on rate and temperature is particularly important in
cases of processing polymers and designing polymer components for impact
loading situations, where thermal softening can alter the expected deforma-
tion response of the material.
5 . 1 2 . 4 . 2 MODELING COMPLEX DEFORMATION STATES

AND HISTORIES
Inelastic deformation of polymeric materials, their products, and their

processes typically involves inhomogeneous deformation the entire
200 , .... ' il , , ' ' ' I ' I I i
. . . . 0.1/s data
- . -- -O.O01/s data
. . . . . 0.1is theory
.,---- -O.O01/s theory
,'-q, /
u3
Dq >~...,... .... - ~ ., ,:..:...-. " ~
100 .' ...~,~.,.._ " ..~ . ~ . . . ~ ' ~ " -----.~ : _ , ~ -"=
; 9. . . . . . . . : , ~ ' , ' - - - - - - "~
i.
E~
0 ! ....... i i I i ,,,I ,,,i i I ,
0.0 0.5 1.0

T R U E STRAIN
FIGURE 5.12.4 Strain rate-dependent response of PMMA at room temperature. (Reprinted
from Mechanics of Materials, Vol. 19, Arruda, E. M., Boyce, M. C., and Jayachandran, R., pages
193-212, 9 1995, with permission from Elsevier Science.)
specimen or product is not deforming in a uniform, homogeneous manner.

The classic example is the necking and neck propagation behavior of
polymers during a tension test. Such inhomogeneous deformation can now be
analyzed in detail using accurate constitutive models together with the finite
element method. Neck propagation has been investigated using this
constitutive model in several studies, including Boyce and Arruda [8] on
waisted bars, Boyce, Montagut, and Argon [9] on thermomechanically
coupled cold drawing, Hasan [12] on both cylindrical bars (see Boyce and
Haward [11]) and thin sheets, and Wu and van der Giessen [20] on plane
strain tension.
Numerous other problems have also been examined using this constitutive
model together with the finite element method. Problems include simple
shear experiments [10], and hydrostatic extrusion of polymer cylinders [5],
and thermomechanically coupled compression [4], as well as indentation of
single- and multilayered polymeric coatings [14-16], micromechanics of

filled polymers [18,19], and stress fields at blunt notches [17]. Such
detailed simulations provide better understanding of specimen, product,
and process behavior and can be utilized in the design and develop-
ment of multiphase polymer materials, polymeric products, and polymer-
processing operations.
REFERENCES
1. Arruda, E. M., and Boyce, M. C. (1993). A three-dimensional constitutive model for the large
stretch behavior of rubber elastic materials. J. Mech. Phys. Solids 41 (2): 389-412.
2. Arruda, E. M., and Boyce, M. C. (1993). Evolution of plastic anisotropy in amorphous
polymers during finite straining. Int. J. Plasticity 9: 697-720.
3. Arruda, E. M., and Boyce, M. C. (1993). Effects of initial anisotropy on the finite strain
deformation behavior of glassy polymers. Int. J. Plasticity 9: 783-811.
4. Arruda, E. M., Boyce, M. C., and Jayachandran, R. (1995). Effects of strain rate, temperature
and thermomechanical coupling on the finite strain deformation of glassy polymers. Mech.
Mater. 19:193-212.
5. Boyce, M. C., Parks, D. M. and Argon, A. S. (1988). Large inelastic deformation of glassy
polymers, Part I: Rate dependent constitutive model. Mech. Mater. 7: 15-34.
6. Boyce, M. C., Parks, D. M., and Argon, A. S. (1988). Large inelastic deformation of glassy
polymers, Part II: Numerical simulation of hydrostatic extrusion. Mech. Mater. 7: 35-47.
7. Boyce, M. C., Weber, G. G. and Parks, D. M. (1989). On the kinematics of finite strain
plasticity. J. Mech. Phys. Solids 37: 647-665.
8. Boyce, M. C., and Arruda, E. M. (1990). An experimental and analytical investigation of the
large strain compressive and tensile response of glassy polymers. J. Polymer Engin. Sci. 30:
1288-1298.
9. Boyce, M. C., Montegut, E., and Argon, A. S. (1992). The effects of thermomechanical
coupling on the cold drawing process in glassy polymers. Polymer Engin. Sci. 32:
1073-1085.
10. Boyce, M. C., Arruda, E. M., and Jayachandran, R. (1994). The large strain compression,
tension and simple shear of polycarbonate. Polymer Engin. Sci. 34(9): 716-725.
11. Boyce, M. C., and Haward, R. N. (1997). The post yield deformation of glassy polymers, in
Physics of Glassy Polymers, Haward, R. N., and Young, R. J., eds., London: Chapman and Hall.
12. Hasan, O. A. (1994). Ph.D. Thesis, MIT Department of Mechanical Engineering, Cambridge:
MA.
13. Haward, R. N., and Thackray, G. (1968). The use of a mathematical model to describe
isothermal stress-strain curves in glassy thermoplastics. Proc. Roy. Soc. Lond. Series A
302: 453-472.
14. Jayachandran, R., Boyce, M. C., and Argon, A. S. (1993). Mechanics of the indentation test
and its use to assess adhesion of polymeric coatings. J. Adhesion Sci. Technol. 7: 813-836.
15. Jayachandran, R., Boyce, M. C., and Argon, A. S. (1994). Thermomechanical analysis of
indentation behavior of thin PMMA coatings. Journal of Computer Aided Materials Design 2:
23-48.
16. Jayachandran, R., Boyce, M. C., and Argon, A. S. (1995). Design of multi-layer poly-
meric coatings for indentation resistance. Journal of Computer Aided Materials Design 2:
151-166.
17. Lai, J., and van der Giessen, E. (1997). A numerical study of crack-tip plasticity in glassy
polymers. Mech. Mater. 25: 183-197.
18. Steenbrink, A. C., van der Giessen, E., and Wu, E D. (1997). Void growth in glassy polymers.
J. Mech. Phys. Solids 45: 405-437.
19. Socrate, S., and Boyce, M. C. (2000). Micromechanics of toughened polycarbonate. J. Mech.
Phys. Solids 48: 233-273.
20. Wu, P. D., and van der Giessen, E. (1995). On neck propagation in amorphous glassy
polymers under plane strain tension. Int. J. Plasticity 11: 211-235.
CHAPTER 6
Continuous Damage
SECTION 6.1
Introduction to Continuous
Damage
JEAN LEMAITRE
Universit~ Paris 6, LMT-Cachan, 61 avenue du Pr~.sident Wilson, 94235 Cachan Cedex, France
Damage of materials means the progressive or sudden deterioration of their

mechanical strength because of loadings or thermal or chemical effects. It
covers all related phenomena that occur from the virgin or reference state up
to a mesocrack initiation.
From a physical point of view, damage can originate from multiple
causes: debonding of atoms, nucleation, or growth and coalescence of
microcracks and microcavities. Despite the discontinuous nature of such
processes at the microscale, continuous damage means a homogeneous
modeling in which microcracks and microvoids are represented by a
continuous variable in the sense of the mechanics of continuous media.
Having said this, the scale at which this homogenization takes place needs to
be established. Microscale is the size at which the elementary mechanisms
occur, macroscale is the size of engineering structures which must not brake,
and Mesoscale is the size for which the homogeneous constitutive equations
are written: it is a material point in mathematics, a, "reasonable"
representative volume element (RVE) in the mechanics of materials. Let us
say, as an order of magnitude:
0.1 mm for metals

= 1 mm for polymers and some composites
10 mm for wood and some composites
-~ 100 mm for concrete
Most of the models of continuous damage introduce a damage variable at the

mesoscale related to the volume density p of microvoids (porosity or ductility)
or more generally to the surface density D of defects (microcracks and

412 Lemaitre
microvoids) in any plane of the RVE.

(~V cavities ~S defects
D
P= 6Vo ~So
O<p<l O<D<I
6Vo and 6So being the volume size and the surface size of the RVE.
These variables represent the weakness of the materials, which yields a
decrease in the elastic rigidity, in the actual yield stress, and in many other
properties. This coupling is often introduced in elastic and plastic constitutive
equations through the thermodynamics of irreversible processes. The
evolution of p or D represents the deterioration of the materials up to
mesofracture.
At the mesoscale, damage is observed as different phenomenological
phenomena, including:
9 Brittle or quasi-brittle damage when fracture occurs without significant
irreversible strain. See Sections 6.2, 6.3, and 6.15.
9 Ductile damage in metals subjected to large plastic strain at low
temperature: T(K)< ~ 1Tm, the melting temperature. See Sections 6.4,
6.5, 6.6, and 6.14.
9 Creep damage due to large plastic strain in metals subjected to elevated
temperature: T(K) > ~ 1Tm. See Sections 6.7 and 6.14.
9 Fatigue damage due to repetitions of loading either above the yield
stress, known as low cycle fatigue (see Sections 6.8 and 6.14), or below
the yield stress, known as high cycle fatigue (see Sections 6.9, 6.10, and
6.15), and even in the gigacycle range (see Section 6.11).
9 Some materials need special treatment even if the same formalism
applies. This is the case for the formation of crazes in polymers (see
Section 6.12), for the large difference of strength in tension and
compression of concrete (see Section 6.13), or for the debonding of
interfaces in composites (see Chapter 10).
SECTION 6.2
Damage-Equivalent Stress
Fracture Criterion
JEAN LEMAITRE
Contents
6.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
6.2.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
6.2.4 Identification of the Parameter cr~ . . . . . . . . . . 415
Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
6.2.1 VALIDITY
This is a fracture criterion that is valid for brittle and quasi-brittle materials
but also for ductile materials as a first approximation for a quick estimation
(at least much better than the von Mises equivalent stress criterion often
used).
6.2.2 BACKGROUND
In the continuum theory of isotropic damage, a damage state variable D is

introduced as the surface density of microcracks and microcavities. The
thermodynamics of irreversible processes defines its associated variable Y,
called the "energy density release rate" such that Y./~ is the power dissipated
in the process of damage. With the concept of effective stress ai) r - D - -
and the principle of strain equivalence, the Helmholtz state potential energy is
written as
1 r r
- 2 p EijhleiJGl(1 -- D) + . . .

414 Lemaitre
where p is the density, E/jkl is the elastic tensor, and ~ is the elastic strain
tensor. Then
0~t' we
Y = - P oqD -- l _ D
We being the total elastic strain energy density dWe - 0-ij&~.

In the case of linear isotropic elasticity coupled with damage,
Off e 1 -F v 0-0 v 0-k k ~ . .

0-ij = P ~j or ~'ij = E 1 -- D E 1 - D ''j
where E is the Young's modulus, v is the Poisson's ratio, and 6ij is the
Kronecker operator.
2
0-eq Rv
We = 2E(1 - D)
where 0-eq is the von Mises equivalent stress;
where 0-~ is the stress deviator 0 - ~ - 0-~j- 0-n~j; an is the hydrostatic stress
an - 89
0-kk; and R~ is the triaxiality function
Rv =2(1 + v) + 3(1 - 2v)(an/rrCq) 2
The damage-equivalent stress is defined similarly to the plastic von Mises-

equivalent stress for plasticity as the one-dimensional stress 0-* which, for the
same value of the damage, yields the same value of the elastic strain energy
density as in the case of a three-dimensional state. For the one-dimensional
case:
0-* 0 O] 0-eq -- 0-*

0-H 1
[a] - 0
0
0
0
0
0
1 0-eq
Rv= 1
=--
3
Writing the equality we(a*) -We(aij)"

0-*2 a e2qRv
2E(1 -**D) 2F (1 -- D)
6.2 Damage-Equivalent Stress Fracture Criterion 415
defines the d a m a g e e q u i v a l e n t stress
~7" -- ~TeqP~v/2.
Since the variable Y associated w i t h the d a m a g e D is r e l a t e d to the elastic

strain energy, it is p o s t u l a t e d that the fracture of a r e p r e s e n t a t i v e v o l u m e
e l e m e n t is g o v e r n e d by the total elastic strain e n e r g y density; that is, w h e n the
d a m a g e - e q u i v a l e n t stress r e a c h e s the value of the u l t i m a t e stress at fracture in
t e n s i o n (or c o m p r e s s i o n ) , ~ru is characteristic of each material.
o'* ~-- o-u
0"*

PARAMETER a~
T h e u l t i m a t e stress to r u p t u r e is o b t a i n e d from a tensile stress at m e s o s c a l e u p

to fracture.
T h e crack initiation in a s t r u c t u r e , or the fracture, will o c c u r in the z o n e

w h e r e or* is m a x i m u m , w h e n o r * - ~ r u . T h e d a m a g e - e q u i v a l e n t stress is
c a l c u l a t e d from the stress c o m p o n e n t s ~ij r e s u l t i n g from a s t r u c t u r e analysis.
TABLE 6.2.1 Table of Parameters

Material Temperature, ~ o'u, MPa
C 35 steel 20 458
A 201 steel 20 412
A 517 steel 20 790
316 st. steel 20 760
316 st. steel 600 650
304 st. steel 20 950
304 st. steel 593 700
Inco 718 550 1150
2024 A. alloy 20 500
Concrete in tension 20 3
Concrete in compression 20 35
Ceramic alumina 20 500
416 Lemaitre
This fracture criterion, proportional to the von Mises equivalent stress, takes
into account the important effect of the triaxiality ratio a~i/aeq by the triaxility
function Rv. See Table 6.2.1 for values of au corresponding to some materials.
REFERENCE
1. Lemaitre,J. (1994 and 1996). A Course on Damage Mechanics, SpringermVerlag.
SECTION 6.3
Micromechanically Inspired
Continuous Models of
Brittle Damage
DUSAN KRAJCINOVIC
Arizona State University, Tempe, Arizona
Contents
6.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
6.3.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
6.3.4 Identification of Parameters . . . . . . . . . . . . . . . . 419
6.3.5 Model Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . 420
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
6.3.1 VALIDITY
The continuum models of damage evolution that are based on the

micromechanics of damage are applicable to deformations during which the
irreversible changes of microstructure are related primarily to the random site
nucleation of microcracks and their stable growth. This class of deformation is
typical of materials with inferior cohesive strength and
(a) heterogeneous microstructure (such as composites) at any state of
stress; or
(b) all microstructures (including iron, carbon, many semiconductors,
ceramics, epoxies, cement, rocks, bones, etc.) in the absence of long-
range tensile stresses.
These two materials are known as being damage-tolerant and damage-
sensitive, respectively. The damage in the form of microcracks may be
attributed to manufacturing processes, environmental causes (such as
corrosion, low temperature), applied loads, etc.

418 Krajcinovic
6.3.2 BACKGROUND
Micromechanical models are deduced by the process of homogenization,

during which the effective parameters of the material points of a continuum
are derived by considering the volume of material, defined by a large number
of microcracks embedded in homogeneous matrix, that is centered by the
material point. The smallest volume for which a considered effective
parameter of the volume does not depend on the exact locations of
microdefects is known as the representative volume element (RVE). When
the RVE is small enough to consider the applied macrostresses and strains to
be uniform, the model is local. Assuming this to be the case, the relation
between volume-averaged stress and strains is
8ij -- Sijmn~mn (1)
where the bar above the symbol stands for the average over RVE and Sijmn is
the compliance tensor of the damaged volume. Assuming that the all tensors
in Eq. 1 are differentiable, the rate form of the stress-strain relation is
- -e -d
= + - + (2)
The dot above a symbol stands for the rates, and the superscripts e and d
stand for elastic and damage. This assumption may be violated when normal
stresses change the sign and a closed crack opens, or vice versa. Using positive
and negative projection operators, the stresses and strain tensors are divided
into positive and negative parts.
Assuming that a scalar damage potential f~(F, S) exists and the normality
rule is valid, the rate of the effective compliance may be derived from
Sijmn = 2 O0~"~(F,
~ S) where 1_ _
F=~aijam. (3)
is the thermodynamic force (that drives damage evolution) conjugate to the

selected internal v a r i a b l e Sijmn (effective compliance).
The damage (microcracks) density D is concealed within the effective

compliance of the RVE. Since the exact locations and geometry of all
microcracks cannot be determined at each material point (onto which the
RVE was mapped) and for all instances, the selection of a "best" choice of
damage parameters is somewhat arbitrary. The choice of the effective
compliance Sijmn(D) is hereby prescribed for these reasons:
6.3 Micromechanically Inspired Continuous Models of Brittle Damage 419
9 it can be relatively easily measured in the laboratory and in situ; and

9 it can be derived using methods of micromechanics.
Assume, for simplicity, that all microcracks are of penny-shaped geometry
defined by their radius a and orientations (0, ~b) that are not correlated.
Hence, the microcrack density function is
w(a, O, dp) ~ O(a) + p(O, dp) (4)
In this case the effective compliance of the RVE is
i,j== if=.
- +
a0 2/=
o, - +,j=.
In Eq. 5, S~m, is the compliance of the pristine material, Fom,, is the normalized
compliance attributed to a single crack, and co = N(a3), the Budianski-
O'Connell damage parameter for an isotropic distribution of penny-shaped
microcracks. Tensor ~/jm,, defined by the double integral in Eq. 5, generalizes
the Budiansky-O'Connell damage parameter to damages that are not isotropic.
Analytical quadrature of Eq. 5 and close-form estimates of the effective
compliance using one of the effective field models are available for dilute
concentrations of penny-shaped cracks and linear slits in the reference provided
below. Finally, the mean-field estimate (Eq. 5) of the effective compliance is
based on many other assumptions. The most debatable assumption is that the
released energy rate G is equal to the path-independent integral J.
Equation 5 defines the thermodynamic state under described assumptions
in all points if the microcrack density function (Eq. 4) is known. If the affinity
(the difference between the force F driving the damage evolution and the
thermodynamic force resisting the damage evolution) is small, the considered
irreversible process can be approximated by a temporal sequence of states
equilibrated by forces F. In this case the macropotential ~2(F, S) can be, at
least in principle, deduced from the micropotentials that regulate individual
microcrack growths.
In comparison to the determination of statistical distributions of microcracks,

the measurement of effective compliance is rather simple. However, the weak
aspect of the considered model, and many other continuum models of damage
evolution, is related to rather arbitrary determinations of the potentials in
Eq. 3. Hence, the evaluation of rates is often not very reliable.
The thermodynamic force Fomn, conjugated to the damage parameter
Sijmn(D), is related to the elastic energy release rate. These facts provide the
420 Krajcinovic
connection between the damage and fracture mechanics and may be used in
the experimental measurements of damage needed to determine the model
parameters.
The task of identifying the macropotential from micropotentials is a
nontrivial task that must reflect the statistical nature of the affinity as a
microcrack grows through a material with a disordered microstructure.
6.3.5 MODEL RESTRICTIONS
The considered continuum models, based on the mechanics of microcrack-

ing, belong to the class of mean-field models that relate average stresses and
strains using effective material (or structural) parameters. The Budiansky-
O'Connell damage parameter, used in most, if not all, models, does not
discriminate between a few large cracks and many smaller cracks as long as
the product co = N(a 3) is the same. Since the onset and stability of
propagation of large and short cracks are different, this damage parameter,
along with reliance on averages, becomes questionable when the microcrack
propagation and their clustering become a significant mode of damage
evolution. As soon as the affinity of a single microcrack becomes larger than
unity enough to render its growth unstable, the previous model and all other
local continuum models lose validity. The affinity of a single crack depends on
the local stress and local cohesive strength at its tip, which may be radically
different from the averages. Hence, any model that does not consider the
micro-scale disorder will be of limited utility for all but dilute concentrations
of damage. A rather novel method using particle dynamic simulations may
prove to be useful in determining constitutive equations in both quasi-static
and dynamic deformations.
In general, the described model is applicable to quasi-static deformations at
relatively small microcrack densities, especially when a damage-sensitive
material is subjected to large-range tensile stresses.
REFERENCES
1. Kachanov, M. (1993). Elastic solids with many cracks and related problems, in Advances in
Applied Mechanics, pp. 259-443, vol. 29, Hutchinson, J., and Wu, T., eds., New York:
Academic Press.
2. Krajcinovic, D. (1996). Damage Mechanics, North-Holland Series in Applied Mathematics and
Mechanics, vol. 51, Amsterdam, The Netherlands: Elsevier.
3. Mastilovic, S., and Krajcinovic, D. (1999). High-velocityexpansion of a cavity within a brittle
material. J. Mech. Phys. Solids 47: 577-610.
SECTION 6.4
Anisotropic Damage
C. L. CHOW and YONG WEI
Department of Mechanical Engineering, University of Michigan-Dearborn
Contents
6.4.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
6.4.2 Background on Damage Variables . . . . . . . . . . 422
6.4.3 Description of Damage-Coupled Constitutive
Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
6.4.4 Identification of Damage Effect Tensor M and
Damage Characteristic Tensor J . . . . . . . . . . . . 425
6.4.5 How to Use It by Numerical Simulation .... 428
6.4.6 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428
6.4.1 VALIDITY
The damage mechanics approach is based on the irreversible thermodynamics

theory. In the last two decades, this theory has been widely applied to study
the behavior of rocks, composite materials, and concrete, as well as ductile
fracture, creep rupture, and fatigue failure of metals. One basic hypothesis in
most damage models is that the damage can be viewed as a macroscopic state
variable D, known as the internal state variable, by ignoring the details on
the nucleation and growth of distributed microdefects in a material element.
The success of a damage model to a large extent depends on the definition of
the damage variable D that is related to the concept of effective stress tensor
F introduced first by Kachanov [1] and developed thereafter by many others
[2]. A scalar damage variable D was defined by Kachanov as the loss of an
effective load-carrying cross-sectional area that is responsible for accelerat-
ing the tertiary creep strain rate. The concept has been used by researchers
as the decrease of the elastic modulus in isotropic damage models. The

422 Chow and Wei
orientation-independent scalar damage variable was, however, subsequently

found to be inaccurate, since it implies that Poisson's ratio does not change.
Both theoretical analysis [3] and experimental measurement [4,5] have
revealed substantial damage-induced changes in Poisson's ratio that are
associated with the decrease of elastic modulus. In effect, an initially
isotropic material such as AL2024-T3 after gross plastic deformation has
been experimentally observed to undergo anisotropic damage [8]. The
deficiencies of scalar theories have therefore caused concern about their
effectiveness in modeling material behaviors.
In this section, several anisotropic damage models are presented. Damage
variables are first introduced. Then the damage-coupled constitutive
equations and the damage evolution equations are formulated within the
framework of irreversible thermodynamics based on the Helmholtz free
energy, the yield surface, and the damage surface. A distinct advantage of
the damage models is their ability to be readily incorporated in the finite
element analysis through a damage-coupled stiffness matrix. Finally,
several applications of the damage models are presented to illustrate failure
analysis in engineering structures subjected to either static and dynamic
loading.
6.4.2 BACKGROUND ON DAMAGE

VARIABLES
According to the theory of damage mechanics, the effective stress tensor is

applied to substitute for the Cauchy stress tensor in the development of
constitutive equations of elasticity and plasticity and of damage evolution
equations. The relationship between the effective stress tensor F and the
Cauchy stress tensor cr is expressed as [2]
#-- M(D)'# = (I- D)-I"cT (i)
where M(D) is the damage effect tensor and I is the unit tensor. Selection of
the damage variable tensor D may be based on the phenomenological or
micromechanics approach. Currently, most of the micromechanics models are
less ineffective for practical applications. This is primarily due to the
difficulties associated with the determination of the microcrack distribution
and the development of the evolution equation. Therefore, phenomenological
approaches are emphasized within the framework of irreversible thermo-
dynamics. Accordingly, the Helmholtz free energy 9 is postulated based on
the principle of equivalent elastic energy that "the elastic energy of the
6.4 Anisotropic Damage 423
damaged material is the same in form as that of an undamaged material except

that the stress is replaced by the effective stress," i.e.,
pW -- WE +pWp = 8 9 1" e + pWp(q) (2)
where p is the density, W E is the elastic energy, kI/p is the plastic part of free
energy due to strain hardening, Co is the elastic tensor of the undamaged
material, and q denotes a set of internal state variables for the strain
hardening. With the definition of the effective stress in Eq. 1, the free energy
can be derived in the Cauchy stress space as
p t p _ 89 M r ' C o 1" M ' a + ptpp(q) _= 8 9 c-l.a + ptpp(q) (3)
C -1 -- M r :Co 1 :M (4)
where C is the elastic tensor for damaged materials. Accordingly, the damage
energy release rate tensor Y, or the conjugate to the damage variable, is
defined as
ov (5)
Y = - P 0D
6.4.3 DESCRIPTION OF DAMAGE-COUPLED

CONSTITUTIVE EQUATIONS
The constitutive equation of elasticity can be derived in the Cauchy stress-true

strain space by the free energy in Eq. 3 as
8e = p ~
0tg = C - l . a (6)
where 8e is the true strain tensor.

For elastoplastic damaged materials, following the von Mises theory, the
yield surface is postulated in terms of the effective stress as
Fp(e, R) = op -[Ro + R(e)] = 0 (7)
where ap is the equivalent stress
1
~, = {~'-o .~}~ (8)
Ho is the plastic characteristic tensor for undamaged material, Ro is the yield

stress, p is the effective equivalent plastic strain, and R is the strain-hardening
threshold. In the Cauchy stress-true strain space, Eq. 8 becomes
ap = 89a T. H" a H = M ~ ' H o 9M (9)
424 C h o w a n d Wei
For anisotropic material, the form of the tensor Ho is given as [6]
g+ h -h -g 0 0 0
-h h+f -f 0 0 0
-g -f f+g 0 0 0
H0 = (10)
0 0 0 2r 0 0
0 0 0 0 2m 0
0 0 0 0 0 2n
where f, g, h, r, m, and n are parameters characterizing the current state of

plastic anisotropy. For isotropic materials, f = g = h = 1 and r = m = n = 3.
The constitutive equations of plasticity for damaged materials are derived
in the Cauchy stress-true strain space as
~,P -- 2p cga
(11)
oFp
P - 2P O ( - R ) = 2p
where ep is the plastic strain tensor and 2p is the Lagrange multiplier.

It is postulated that there exists a plastic damage surface Fd = 0 which
separates the plastic damaging domain from the undamaging domain. The
plastic damage surface is formulated with the thermodynamic conjugate
forces of the plastic damage variables as
Fd(Y, B) = Yd --[Bo + B(w)] = 0 (12)
where the equivalent damage energy release rate Ypd is defined as
Ya - ( 89 "J" Y)1/2 (13)
Bo is the initial plastic damage threshold, B is the plastic damage hardening, w

is the overall damage, and J is the damage characteristic tensor. The plastic
damage evolution equations are derived in a thermodynamic framework as
[7]
C3Fd _
--2d J : Y
(14)
aFd
The overall damage rate v~ can be determined by the plastic damage surface in
Eq. 12 as
oqYa.
~ Cr
c3cr (15)
~V -- c3ya OFa dB
OD OY f dw
Then the damage evolution equation can be written as
J:Y
15=-w (16)
2Yd
A failure criterion has been proposed based on the overall damage
accumulation associated with the concept of the plastic damage surface.
Based on this criterion, a material element is said to have ruptured when the
total overall damage w in the element reaches a critical value Wc.
6.4.4 IDENTIFICATION OF DAMAGE

EFFECT TENSOR M AND DAMAGE
CHARACTERISTIC TENSOR J
The generalized damage tensor D may be defined as a second-order, fourth-

order, or higher-rank tensor. It is always true that a higher-rank tensor
contains more information and provides a more accurate representation of the
behavior of material degradation. The drawback in applying a higher-order
tensor is often associated with the measurement difficulty of all the required
material parameters and with inefficient numerical analysis. Some simplifica-
tions may consequently be necessary from a practical viewpoint.
Several damage effect tensors M have been established with the
introduction of a second-order symmetric damage tensor D [8-10]. Some of
the proposed forms are summarized as
0 0 0 0
0 1
1-D2 0 0 0 0
0 0 1 0 0 0
1-D3
A. Mz 0 0 0 1 0 0
V/(1-D2)(1-D3)
0 0 0 0 1 0
V/(1-D1)(1-D3)
0 0 0 0 0 1
V/(1-D1) (1-D2)-
(17)
426 Chow and Wei
"I_-~ID~ 0 0 0 0 0
0 1
l-D2 0 0 0 0
0 0 1
1-D3 0 0 0
B. M---
0 0 0 2
2-(D2+D3) 0 0 (18)
0 0 0 0 2
2-(Dl+D3) 0
0 0 0 0 0 2
2-(D1 +D2).
0 0 0 0 0 "
0 1 0 0 0 0
l-D2
0 0 1 0 0 0
l-D3 .
C.M=
0 0 0 ~(~-~
1 1 + ~_~'~) o o
0 0 0 0 ~(~=~
1 1 + ~---k) o
o o o o o -~--~
2 ~,
+_<~
(19)
"eD~ 0 0 0 0 0
0 eD~ 0 0 0 0
0 0 eD3 0 0 0
D. U-- (20)
0 0 0 r 0 0
0 0 0 0 e(DI+D3)/2 0
0 0 0 0 0 r
where D1, D2, and D3 are the respective principal values of the damage
variable D. The damage energy release rate Y for cases A, B, and C have been
derived by means of Eq. 5 in Reference [10].
Models based on a fourth-order symmetric damage tensor D have been

proposed [2, 11, 12]. One sample form of damage effective tensor is [2]
- 1 0 0 0 0 0
l--D1
v D1 1 0 0 0 0
1--v l-D1
v D1 0 1 0 0 0
1-v l-D1
M (21)
0 0 0 1 0 0
0 0 0 0 1 0
1-Ds
_ 0 0 0 0 0
Based on the assumption that original isotropic materials will remain

isotropic under load, a damage effect tensor is expressed with two scalars D
and # [13]"
"1 # # 0 0 0 -
# 1 # 0 0 0
# # 1 0 0 0
M ~ (22)
1-D 0 0 0 1-# 0 0
0 0 0 0 1-# 0
.0 0 0 0 0 1-#_
This model is for isotropic materials, but the changes in both Young's modulus
and Poisson's ratio due to material degradation are taken into account.
The damage characteristic tensor J in Eq. 13 may be defined as [13]
-1 /1 /1 0 0 0
/1 1 /7 0 0 0
/1 /1 1 0 0 0
J ~.. (23)
0 0 0 2(1-/1) 0 0
0 0 0 0 2(1-/1) 0
0 0 0 0 0 2(1-/1)
where q is a material constant.

428 Chow and Wei
6.4.5 H O W TO USE IT BY NUMERICAL

SIMULATION
The procedure for formulating the finite element analysis with damage is
similar in principle to the conventional finite element method analysis.
However, the stiffness matrix C needs to be modified for the following
equation when damage effects are taken into account.
do" = C :dg (24)
where dcr is the Cauchy stress increment and de is the true strain increment.
The approach to deriving the damage-coupled stiffness matrix can be found in
References [13,14].
6.4.6 APPLICATIONS
Several CDM models have been applied successfully to characterize the failure
analysis of different materials for ductile fracture, metal forming, and fatigue
failure in the last decade. The failure analyses include the following:
9 Crack initiation and propagation in mixed-mode ductile fracture [14]

9 Three-dimensional ductile failure analysis [15]
9 Damage analysis in composite materials [ 16]
9 Prediction of forming limit diagrams [ 17]
9 Fatigue failure analysis [18,19].
REFERENCES
1. Kachanov, L. M. (1958). On the creep fracture time. Ivz. Acad. Nauk U.S.S.R. Otd. Tech. Nauk.
8:26-31.
2. Lemaitre, J., and Chaboche, J. L. (1990). Mechanics of Solid Mechanics, Cambridge University
Press.
3. Case, E. D. (1984). The effect of microcracking upon the Poisson's ratio for brittle solids.
J. Mater. Sci. 19: 3702-3712.
4. Cordebois, J. P., and Sidoroff, E (1982). Anisotropic damage in elasticity and plasticity.
J. Mech. Theor. Appl. 1: 45-60.
5. Chow, C. L., and Wang, J. (1987). An anisotropic theory of elasticity for continuum damage
mechanics. Int. J. Fract. 33: 3-16.
6. Hill, R. (1950). The Mathematical Theory of Plasticity, Oxford: Clarendon Press.
7. Yu, L. G., Chow, C. L., and Duggan, B. J. (1993). An orthotropic damage model with damage
field mobility (DFM) method for fatigue crack propagation, in Advances in Engineering
Plasticity and Its Applications, pp. 363-370, Elsevier Science Publishers.
8. Chow, C. L., and Wang, J. (1987). An anisotropic theory of continuum damage mechanics for
ductile fracture. Engineering Fracture Mechanics 27: 547-558.
9. Lu, T. J., and Chow, C. L. (1990). On constitutive equations of inelastic solids with
anisotropic damage. Theoretical and Applied Fracture Mechanics 14: 187-218.
10. Chen, X. E, and Chow, C. L. (1995). On damage strain energy release rate Y. International
Journal of Damage Mechanics 4: 251-263.
11. Hansen, N. R., and Schreyer, H. L. (1995). A thermodynamically consistent framework for
theories of elastoplasticity coupled with damage. Int. J. Solids Structures 31: 359-389.
12. Cauvin, A., and Testa, R. B. (1999). Damage mechanics: Basic variables in continuum
theories. Int. J. Solids Structures 36: 747-761.
13. Chow, C. L., and Wei, Y. (1999). Constitutive modeling of material damage for fatigue failure
prediction. International Journal of Damage Mechanics 8: 355-375.
14. Chow, C. L., and Wang, J. (1989). Crack propagation in mixed-mode ductile fracture with
continuum damage mechanics. Proc. Instn. Mech. Engrs. 203: 189-199.
15. Chow, C. L., and Chen, X. E (1998). An endochronic damage model for three-dimensional
ductile failure analysis of double-edge notched thick-tension specimens. Proc. Instn. Mech.
Engrs 212C: 25-34.
16. Chow, C. L., and Yang, E (1994). Elastic damage analysis of interlaminar stress distributions
in sysmetrical composite laminates with edge delamination cracks. Proc. Instn. Mech. Engrs
208:1-11.
17. Chow, C. L., Yu, L. G., and Demeri, M. Y. (1997). A unified damage approach for predicting
forming limit diagrams. ASME J. Eng. Mater. Tech. 119: 346-353.
18. Chow, C. L., and Yu, L. G. (1995). An anisotropic damage model for metal fatigue.
Computational Mechanics '95 2: 1904-1919.
19. Chow, C. L., and Wei, Y. (1996). A fatigue damage model for crack propagation. Advances in
Fatigue Lifetime Predictive Techniques, ASTM STP 1291, 86-99.
SECTION 6.5
The Modified Gurson Model
V. TVERGAARD1 and A. NEEDLEMAN2
1Department of Mechanical Engineering, Solid Mechanics, Technical University of Denmark,
2800 Lyngby, Denmark
2Brown University, Division of Engineering, Providence, Rhode Island
Contents
6.5.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
6.5.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
6.5.4 Identification of Parameters . . . . . . . . . . . . . . . . 434
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435
6.5.1 VALIDITY
The effect of microvoid nucleation, growth, and coalescence on the plastic

response of structural metals is modeled. The formulation is valid for finite
strains, and there are versions for both rate-independent and rate-dependent
plasticity. Porosity is accounted for through a single parameter, the void
volume fraction. Any effect of deformation-induced void shape changes is
neglected. The accuracy of the model is highest for states of relatively high
stress triaxiality of relatively low void volume concentration. In order to
predict crack initiation and growth, a length scale needs to be incorporated
into the problem formulation.
6.5.2 BACKGROUND
Ductile fracture in structural metals deformed at room temperature takes

place by the nucleation, growth, and coalescence of microvoids. The voids
generally nucleate by decohesion of second-phase particles or by particle
fracture, and grow by plastic deformation of the surrounding matrix. Void

430 Copyright 9 2001 by Academic Press. All fights of reproduction in any form reserved.
6.5 The Modified Gurson Model 431
coalescence occurs either by necking down of the matrix material between

adjacent voids or by localized shearing between well-separated voids. This
process of progressive cavitation softens the material, eventually leading to
plastic instability and/or fracture.
The basis for the material model is a modification of the flow potential due to
Gurson for a progressively cavitating solid.
~e
@ -- ~-~ 4- 2qd* cosh t 2 ~ / - 1 - (ql - 0
Here ~- is the matrix flow strength and
with o'ij being the Cauchy or true stress.

The potential q~ reduces to that for a Mises solid (see Chapter 4) when
f* - 0. The parameters ql and q2 were introduced to bring the predictions of
the model into closer agreement with full numerical analyses of a periodic
array of voids. The bilinear function f*(f) accounts for the effects of rapid
void coalescence at failure and is given by
f*- {f f<f~
f~ 4-(~-f~) (f - f~)l(ff - f~) f ~_f~
where f is the void volume fraction. As f ~ ff, f* ~ 1/ql and the material
loses all stress-carrying capacity.
The evolution equation for the void volume fraction is written as
where () denotes partial differentiation with respect to time.

The rate of increase of the void volume fraction due to the growth of
existing voids is determined from the condition that the matrix material is
plastically incompressible,
fgrowth -- (1 - f) d~k
Here, d/~ is the plastic part of the rate of deformation tensor (also called the
velocity strain tensor).
432 Tvergaard a n d N e e d l e m a n
The contribution resulting from the nucleation of new voids is taken to be

described by
Jnuc~at~on = ~'b +-~ ~k~

Nucleation for a given population of particles is generally regarded as either
plastic strain-controlled, d > 0 and ~ = 0, or stress-controlled, d = ~ , and
often taken to follow a normal distribution. For example, for strain-controlled
nucleation, M = 0 and
~r fN exp l(~-eN
when ~ - (B)max and ~ > O. Here, E and Et are, respectively, the Young's
modulus and the tangent modulus of the matrix material, fN is the volume
fraction of void-nucleating particles, eN is the mean nucleation strain, and SN
is the standard deviation. There is a similar expression for stress-controlled
nucleation.
For a rate-independent matrix,
1
d~ - -~ pij qkz CrhZ
where akz is the Jaumann rate of Cauchy stress and

I l
3 aij 3 aij
P iJ = 2 ~ 4- ~ ~ ij , q iJ -- 2 Fr 4- fl ~ ij
f* (q2ahk~ 90~
c~ - ~ qlq2 sinh \ 2~" / ' /3 - ~ +-g e-by
H = -g 3a(1 -f)--~f-+ d +--~a E - Et 1 -f~,F 2 gr

where
c9~
- = cosh - qls*]
of \2~/
with
1 f<fc
K-- (~_fc)/(ff _fc) f >_f~
0~ fie _ f , (Tkk
= - 2 ~-~ qlq2 -~- sinh \ 2~ /
0~
We also note that
3alj +f*qlq2 sinh (q2akk'~aij

Oaij 8.2 a \ 26- /
The preceding expression for the plastic strain rate pertains to plastic loading,
which is when 9 0 and qklakl/H > 0. Otherwise, d/~ - 0 .
The rate of increase of the matrix flow strength is given by
EEt aijdPij
E - Et ( 1 - f)a
Assuming small elastic strains, so that the elastic response can be
represented in terms of a hypoelastic relation, the stress-rate-strain-rate
relation can be written as
(r0 -- Lijhzdkz
where, for plastic loading,
Lijkl -- Lijkl 1
H + pmnLemnrsqrs /
Lij mnpmn (Lklrsqrs)
Here, L~jkzis the tensor of elastic moduli
Lijkl - -
E v
1+ (&~jz + &~jk) ~ 1 -- 2v
with v being Poisson's ratio.

For a rate-dependent matrix material, the plastic part of the rate of
deformation tensor is written as
dp _ (1 - f)8"~ 0 r
ahz Oakz
with ~ a function of the current state. For example, for power law strain
hardening and strain rate hardening, an expression of the form
- ~0
o(1 -F~/eo)
has been used in applications, when m is the strain rate-hardening exponent,

N is the strain-hardening exponent, and ko, ao, and ~o are a reference strain
rate, strength, and strain, respectively.
434 Tvergaard and Needleman
The stress-rate-strain-rate relation takes the form
e !1 --f)o'._.~ O~
O0"mn
In the rate-dependent case, strain-controlled nucleation is written as
fnucleation = ~ and stress-controlled nucleation is still characterized by
the previous expression with d = ~. The evolution of ~r is determined from
the consistency condition that q) - 0 during continued plastic deformation.
The elastic parameters E and v, as well as the matrix-hardening properties,

such as an initial yield strength, ~ry, and a strain-hardening exponent, N, are
determined from a uniaxial tension test for the matrix material, i.e., the
material with f = 0.
The parameters ql and q2 have been estimated by a number of
micromechanical analyses and by experiments on sintered metals. Generally,
the values are in the ranges 1.25 < ql < 2 and 0.9 < q2 < 1, and frequently used
values are ql -- 1.5 and q2 = 1.
For the coalescence model the parameters fc and ff have been estimated
using both experiments and micromechanical analyses. The value ff = 0.25
often reasonable, andfc ranges from 0.03 to 0.15 when the initial void volume
fraction ranges from 0.001 to 0.08.
The initial void volume fraction and the nucleation parameters such as fN,
eN, and sN differ a great deal from material to material. These parameters can
be estimated by studying micrographs for test specimens at different stages of
deformation.
The material model is typically used in a numerical computation, either to

predict flow localization or to predict final failure by void coalescence and
crack growth.
The onset of plastic flow localization is often predicted at small void
volume fractions, so that coalescence has not yet played a role. Several studies
of localization have used a simplified model, the M-K-model but localization
is also predicted in full numerical computations.
W h e n final failure b y v o i d c o a l e s c e n c e is p r e d i c t e d at a m a t e r i a l p o i n t , the

m a t e r i a l loses its s t r e s s - c a r r y i n g c a p a c i t y at this p o i n t . In a finite e l e m e n t
c o m p u t a t i o n it is p r a c t i c a l to r e p r e s e n t this in t e r m s of an e l e m e n t v a n i s h
t e c h n i q u e , w h e r e the stiffnesses a n d stresses for the e l e m e n t are n e g l e c t e d
s u b s e q u e n t l y . W i t h this p r o c e d u r e the m a t e r i a l m o d e l c a n p r e d i c t first d u c t i l e
failure as w e l l as d u c t i l e c r a c k g r o w t h in a n u m e r i c a l analysis. D i s c r e t i z a t i o n -
i n d e p e n d e n t p r e d i c t i o n s of f r a c t u r e r e q u i r e a l e n g t h scale to be i n c o r p o r a t e d
i n t o the p r o b l e m f o r m u l a t i o n .
REFERENCES
1. Becker, R., Needleman, A., Richmond, O., and Tvergaard, V. (1988). Void growth and failure
in notched bars. J. Mech. Phys. Solids 36: 317-351.
2. Chu, C. C., and Needleman, A. (1980). Void nucleation effects in biaxially stretched sheets.
J. Engin. Mat. Tech. 102: 249-256.
3. Gurson, A. L. (1977). Continuum theory of ductile rupture by void nucleation and growth,
Part I: Yield criteria and flow rules for porous ductile materials. J. Engin. Mat. Tech. 99: 2-15.
4. Koplik, J., and Needleman, A. (1988). Void growth and coalescence in porous plastic solids.
Int. J. Solids Struct. 24: 835-853.
5. Needleman, A., and Rice, J. R. (1978). Limits to ductility set by plastic flow localization, in
Mechanics of Sheet Metal Forming, pp. 237-265, Koistinen, D. P., and Wang, N. M., eds., New
York: Plenum.
6. Needleman, A., and Tvergaard, V. (1994). Mesh effects in the analysis of dynamic ductile
crack growth. Eng. Frac. Mech. 47: 75-91.
7. Pan, J., Saje, M., and Needleman, A. (1983). Localization of deformation in rate sensitive
porous plastic solids. Int. J. Fract. 21:261-278.
8. Tvergaard, V. (1981). Influence of voids on shear band instabilities under plane strain
conditions. Int. J. Fract. 17: 389-407.
9. Tvergaard, V. (1982). Influence of void nucleation on ductile shear fracture at a free surface.
10. Tvergaard, V. (1990). Material failure by void growth to coalescence. Adv. Appl. Mech. 27:
83-151.
11. Tvergaard, V., and Needleman, A. (1984). Analysis of the cup-cone fracture in a round tensile
bar. Acta Metall. 32: 157-169.
SECTION 6.6
The Rousselier Model for

Porous Metal Plasticity and
Ductile Fracture
GILLES ROUSSELIER
EDF/R&D Division, Les Renardidres, 77818 Moret-sur-Loing Cedex, France
Contents
6.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
6.6.2 Formulation [ 11-13] . . . . . . . . . . . . . . . . . . . . . . . 437
6.6.3.1 General Equations . . . . . . . . . . . . . . . . . . . 438
6.6.3.2 Extension to Viscoplasticity . . . . . . . . . . 438
6.6.3.3 Extension to Void Nucleation . . . . . . . . 439
6.6.3.4 Ductile Fracture . . . . . . . . . . . . . . . . . . . . . 439
6.6.4 Identification of the Material Parameters
f0, 0"1, and lc ............................... 439
6.6.5 Implementation in Finite Element Codes . . . 441
6.6.6 Tables of Parameters . . . . . . . . . . . . . . . . . . . . . . . 442
6.6.6.1 "ESIS" Ferritic Steel at 0~ . . . . . . . . . . . 442
6.6.6.2 Other Steels . . . . . . . . . . . . . . . . . . . . . . . . . 444
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
6.6.1 VALIDITY
In the f r a m e of c o n t i n u u m d a m a g e m e c h a n i c s a m o d e l for p o r o u s m e t a l
pla st i c i t y is p r e s e n t e d . This m o d e l y i e l d s m a t e r i a l instability ( l o c a l i z a t i o n of
d e f o r m a t i o n a n d d a m a g e in a p l a n e ) a n d c a n be u s e d to p r e d i c t d u c t i l e
f r a c t u re of p l a i n a n d c r a c k e d s t r u c t u r e s in the f r a m e of a local a p p r o a c h to
fracture.

6.6 T h e R o u s s e l i e r M o d e l 437
6.6.2 FORMULATION [11-13]
In the continuum theory of damage, a damage state variable f is introduced in

addition to the strain-hardening state variable p and the plastic strain tensor
el. The variables p and f are scalars, and the model is theoretically limited to
isotropic strain hardening and damage; in practice, the model can be used for
anisotropic ductile damage under proportional loading.
The thermodynamics of irreversible processes defines thermodynamical
forces (P, F) such that the specific intrinsic dissipated power is
O"
=
p . i-f - e p - F f > O (1)
where p is the density; p = Po in the undamaged reference state; and Po = 1

can be assumed if inertial effects are neglected. The variables E/P, P, F
associated with the internal variables __eP,p, f derive from the specific free
energy ~(~ - e__P,p,f) = ~(e_e, p,f) [8]:
_~ 0~t' 0~ 0~t' 0~
p e=Op' v-of (2)
The W is assumed to be an additive function W=

E .=~e + Uffp(p) + ~ f ( f ) . consequently, P - e(p), F - h - l ( f ) , and, inver-
~l~e . =
sely, f - h(F). The existence of a plastic potential is postulated that depends
on the first and second invariants of the stress tensor: Crm coupled with F and
Ceq coupled with P:
~vM--Creq/P- P is the yon Mises plastic potential (and yield criterion

q~M = 0), and P = R(p) is the strain-hardening curve of the material. The
simplest form is assumed for the second term: ~m = g(crm/p)h(F). The
normality rules gives
9 cg@~M -- 1-2 Cg@m = 3pg'(r (4)

- 3
/~ _ _ 2 0 ~ 0~ (5)
The variable f is defined as the void volume fraction, and the matrix
material is postulated to be incompressible (the volumic elastic strain eem is
neglected); therefore, p - ( 1 - f ) / ( 1 - f o ) and f - 3 ( 1 - f ) k P m. From the
438 Rousselier
latter equation it is demonstrated [12, 13] that
g (9) = D0-1 exp 0-m

(-~1) , F= Const.- 0-1 In 1
(ff) (6)
where D and 0-1 are constant parameters. The third parameter of the model is
the initial void volume fraction f0.
6.6.3.1 GENERAL EQUATIONS
The equations to be used in applications are resumed from the preceding

section:
~b = 0-e-Aq- R(p) + Df0-1exp(0-~) = (7)
0-
=p = _E.
-- _ _
(8)
= P 20-e----~q' ~'Pm= -~pDf exp ~ (9)
f = 3(1-f)/~Pm (10)
where 0-eq= (3__~" _.~/2)1/2 is the von Mises equivalent stress, __~ = ~ - 0-ml
is the stress deviator, 0-m = tr(_~)/3 is the hydrostatic stress,
/~ = (2~" ~ / 3 ) 1/2, k~ = ~ + ~Pml, p is t-he cumulated plastic strain, f is the
void volume fraction (initial value fo), P = (1 - f) / (1 - fo) is the relative
density (initial value Po = 1; since fo is small, some authors simply take
p = 1 - f ) , D, fo, 0-1 are constant parameters, and R(p) is the true stress-true
plastic strain curve of the material.
6.6.3.2 EXTENSION TO VISCOPLASTICITY
R(p) is replaced by R(p,/~) and/~ is deduced from (I)= 0. For example, if

R(p,/~) = R(p) + Mp 1/m, then
P= <1[~ _ R(p) -+-Df0-1exp(-~l)] ) rn

0-m (ii)
where (x) = x if x > 0 and (x) = 0 if x < O.

6.6 The Rousselier Model 439
6.6.3.3 EXTENSION TO VOID NUCLEATION
The rate of the void volume fraction is given by f - f g +fn with fg =

3(1 - f g ) ~ and f,, - A p or other rate equations.
6 . 6 . 3 . 4 DUCTILE FRACTURE
The model describes not only porous metal plasticity but also void
coalescence and ductile fracture. Actually, void growth in the model results
in strain softening, which promotes localization of deformation and damage
in a plane. Crack initiation and propagation occur naturally in a theoretical or
finite element calculation, resulting from the constitutive relations only, without it
being necessary to define a critical void volume fraction [11].
For practical reasons it may be useful to accelerate void growth beyond a
given value f - fc, for example, with f = 3B(1 - f ) ~ if f > fc (B > 1). The
value fc has to be chosen well beyond the void volume fraction at strain
localization, so that it will not affect the local instability, fc is not a parameter
of the model, in contrast with the Gurson-Tvergaard-Needleman model. It
may be useful too, for large crack growth, to set the rigidity to 0 when f
exceeds some given value ff [10]. Typical values are fc = 0.2, B = 3, and
--0.9.

PARAMETERS f0, o1, A N D lc
From cavity growth measurements [12] and theoretical considerations, it was

concluded that D can be considered as material-independent and that for most
materials
D--2 (12)
The identification is based on coupled mechanical testing and finite

element analyses. To calibrate f0, quantitative metallographic examinations
are recommended, but not mandatory. For steels, if these examinations are not
available, f0 can be estimated from the chemical composition thanks to the
Franklin formula (manganese sulfide and oxide inclusions):
[
f0 = 0.054 %S(wt) - %M--n(wt)] + O'055~176 (13)
The parameter al or the couple (Crl,f0) can be calibrated with smooth or

notched round tensile specimens. A stiff testing machine is recommended,
440 Rousselier
Lol Load
/ ~d o1(2)>o1(1 ) /
gc2> gcl
(1) (2) ecl
~ 0 = ~0- ~
FIGURE 6.6.1 Effectof parameters (O'1,f0) and lc on the load vs. diametral reduction curve of a
tensile specimen.
and the measurement of the reduction of diameter A~b = 4)0 - ~b is mandatory.

The load-versus-diameter reduction curve presents at ~b = ~bF a breakpoint of
rapid decrease of load corresponding to the inflation of a macroscopic crack
in the center of the specimen (Fig. 6.6.1). In the case of smooth specimens,
the diameter reduction of the minimum section can also be measured with
interrupted tests and the breakpoint determined from the residual diameters
of broken specimens.
The parameters are calibrated so that the experimental and numerical
breakpoints coincide. The hardening curve R(p) can be calibrated with the
same tensile experiments. A first try for al is the mean of 2R(p)/3 over the
range of deformation p = (0, gv), gF = 21n(~b0/~br) experienced by smooth
tensile specimens. If R(p) = Kp", then
2 Kg} 2 R(gF) (14)

O'1 = 3 n + 1 = 3 n+----~
This equation and the Franklin formula give a first estimate of (O'l,f0) but
cannot replace a complete calibration.
The ductile crack propagation in the center of tensile specimens, or crack
initiation and propagation in precracked specimens (compact tension [CT]),
depend on the finite element model: element size lc, element type,
symmetries, mesh geometry, etc. That is why (i) the additional parameter lc
has to be calibrated for applications to cracked geometries, and (ii) the same
finite element model has to be used for calibration with laboratory specimens
and for applications to structural components.
The parameter l~ can be calibrated with experiments on tensile specimens
or fracture mechanics specimens (CT). With tensile specimens the slope of
the load vs. diameter reduction curve after the breakpoint has to be well
defined. It may be not the case if the testing machine is not stiff enough, lc is
calibrated so that the numerical and experimental slopes coincide.
With fracture mechanics specimens, the calibration is performed on the
slope of the displacement vs. stable crack growth Aa curve, or on the slope of
the JR curve (tearing resistance parameter vs. Aa). For many steels lc is in the
range 0.4-0.6 mm. lc is related to the interparticle spacing.
6.6.5 IMPLEMENTATION IN FINITE ELEMENT

CODES
The following implicit algorithm is recommended. The symbols X - X- + AX

are used, in particular f - f - + Af. For a known strain increment A_~, Af is
given by the scalar implicit equation:
[(~-)-+2#A~_d]
eq
-31zAp-R(p-+Ap)+Dal(f-+ Af)exp (cry1) -0
where
-- -- +3K A e m -
Ap Bf(1 - f) D exp(am/pal)' p 3B(1 - f )
(16)
With the implicit algorithm, _a can be computed from A~_,i.e., a = | e).

The tangent operator derives consistently from this equation:
A a _ - dO(Ae__)/d(Ae) " Ae_..
The calculations have to be performed with large displacements and large
deformations options activated. In the finite element model a reduced
integration scheme has to be used: for two-dimensional models, 8-noded
quadratic elements (2 • 2 integration order), or: linear quadratic elements
(1 • 1 integration order) coupled with linear triangular elements.
For crack propagation and precracked geometries a uniform mesh along
the crack extension has to be used. Rectangular or square elements are
preferred, with sides lx along the crack extension and ly in the perpendicular
direction. The size lc of these elements is a parameter of the model, lc is
related to the height ly of the elements. For symmetrical geometries (half
model) and 8-noded quadratic elements l c - 2ly; rectangular elements with
lx - 2ly are preferred. For complete geometries lc - ly; square elements with
l x - ly are preferred (Fig. 6.6.2).
442 Rousselier
Cr~ Ick e,y = gc Or ~ck l,~ =~

_ _ , ;. . . . . . . I I
....... 9l . . . . . . .L . . . . . . -t . . . .
] ,! I,
! I
I I I
I l ,
ly ,
---, ......
!
-, . . . . . .
!
4. . . . . . .
|
L. . . . . . . . . . .
! ! l I
,~ , I |
"'- I I | I
,I I' i I
X___., . . . . . . . . . . . . . . . ,~. . . . . . i ............
II I I ,
i I
Complete model t
Half model
(symmetrical problem)
FIGURE 6.6.2 Uniform mesh of precracked geometries.
6 . 6 . 6 TABLES O F P A R A M E T E R S
6.6.6.1 " E S I S " FERRITIC STEEL AT 0 ~
A numerical round robin on the application of micromechanical models and

the local approach to fracture for characterizing ductile tearing has been
proposed by the European Structural Integrity Society (ESIS) [3]. It is based
on the data of a 22 NiMoCr 3 7 steel (German designation). The chemical
composition of this steel is given in Table 6.6.1.
The Franklin formula 13 gives f0 = 0.00015. The stress-strain curve is
R(p)--908p0 " 1 2 5 (MPa) for p > 0.1459. The experiments on smooth tensile
specimens (~b0 = 6 mm) show breakpoints at eF = 1.038 and 1.160. Equation
14 gives (71 - - 541 and 548 MPa, mean value 545 MPa.
A set of 14 finite element calculations has been performed by CEA (Saclay),
MPA (Stuttgart), and EDF (Les Renardi~res); the numerical breakpoints are
given in Table 6.6.2. A quadratic fit of s f0) is
ev - 0 . 5 9 0 4- 0.0642 lnfo - [3.83 4- 0.922 lnfo 4- 0.0192(lnfo)2](~rl/1000)

4- (2.54 4- 0.468 lnfo)(crl/1000) 2 (17)
For fo = 0.00015 and O"1 = 545MPa, Eq. 17 gives e F - 1.081, in the

interval of the two experimental values. This shows the good quality for this
steel of the simple calibration method based on Franklin formula 13 and
Eq. 14.
TABLE 6.6.1 Chemical Composition (Weight %)
Steel C S P Mn Si Ni
"ESIS" 0.22 0.004 0.007 0.88 0.23 0.84

304L 0.023 0.0013 1.64 0.41 9.6
Austenitic weld 0.010 0.0013 0.019 1.45 0.36 11.16
A48 0.20 0.021 0.022 0.97 0.23 0.12
Rotor steel 0.225 0.013 0.010 0.71 0.23 1.02
A508 class 3 heat A 0.143 0.0054 0.0063 1.265 0.267 0.745
A508 class 3 heat B 0.163 0.008 0.007 1.375 0.24 0.70
A508 class 3 (NKS1) 0.192 0.002 0.007 1.395 0.25 0.765
A508 class 3 (SC1) 0.22 0.012 0.012 1.32 0.20 0.78
NKS 3 0.25 0.011 0.009 0.68 0.23 0.71
10MnMoNi 5 5 0.10 0.004 0.007 1.29 0.15 0.94
Steel Cr Mo V N O
"ESIS" 0.39 0.51

304L 19.0 0.45 0.059 0.0061
Austenitic weld 18.20 2.78 0.054 0.068
A48 0.10 0.03 0.011 0.008
Rotor steel 1.72 0.70 0.035
A508 class 3 heat A 0.196 0.551 0.0025
A508 class 3 heat B 0.17 0.50 <0.01 0.007 0.0035
A508 class 3 (NKS1) 0.03 0.48
A508 class 3 (SC1) 0.08 0.57
NKS 3 0.47 0.75 <0.01
10 MnMoNi 5 5 0.06 0.58 0.01
TABLE 6.6.2 "ESIS" Steel ( K = 908 MPa, n = 0.125); Numerical Mean Strain eF at BreakPoint
(Smooth Tensile Specimen)
~f0, al(MPai 312 445 519 600 655 700 800
0.00010 0.989
0.00020 0.929 1.148
0.00021 0.924
0.00032 0.872
0.00061 0.796 0.872 0.945 1.011 1.078
0.00200 0.514 0.629 0.694 0.882
For a different choice of parameters: f0 = 0.00010 and cr1 - - 4 4 5 M P a

(~/: = 0 . 9 8 9 ) , the calculation of experiments on CT specimens gives
lc- 0.4 mm (square elements). If the rigidity of the material is set to 0 for
a very low value of the void volume fraction f = 3 ~ = 0.05, then lc has to be
increased to 0.6 mm.
444 Rousselier
TABLE 6.6.3 Parameters
Steel Orient. Temp ~ K MPa n f0 10-5 O"1 M P a lc mm
"ESIS" [3] 0 908 0.125 15 545

idem idem 908 0.125 10 445 0.4 a
304L [9] L (axial) 300 731 0.168 69 500 1
Aust. weld [13] T 20 10 565 0.4
A48 [2] circum. 300 1010 0.366 200 240 0.4
Rotor steel [ 13] circum. 40 974 0.060 50 490 0.4
A508 A[13] L (circ.) 100 795 0.1 16 445 0.55
A508 B[13][1] L (circ.) 100 795 0.1 18 445 0.55
idem idem 320 795 0.1 18 410 0.55
idem [6] T (axial) 0 1008 0.14 50 445 0.55 b
idem idem 320 797 0.1 50 365 0.55
NKSI [4] L (axial) 100 795 0.1 7 445 0.55
idem idem idem 820 0.13 7 400 0.55
idem idem 220 820 0.13 7 370 0.55
SC1 [7] T (circ.) 290 611 0.184 60 350 0.55
NKS3 [5] L (axial) 100 934 0.113 50 430 0.4
idem idem 220 995 0.121 50 415 0.4
idem idem 260 986 0.113 50 435 0.4
idem idem 290 988 0.111 50 445 0.4
idem idem 320 971 0.104 50 460 0.4
10M55 [10] L 20 1030 0.118 1 445 0.55 b
D=2 except for 304L (D=1.9). Rectangular elements lx = 21y except for "ESIS", 304L, A508 class 3
heat B direction T(axial) at 0 Celsius, and 10 MnMoNi 5 5 (square elements lx = ly). (a) lc=0.6 mm
with d~=0.05. (b) lc=0.8 mm with d~=0.05.
Equation 17 can give a first estimate of the parameters (0"1, fo) of a different
steel with stress-strain curve R ( p ) - I<pr' and critical strain ~F on smooth
tensile specimens, if n and h are very close, with the correction
ffl = 0"1[/~GfiF/(/'~-}-1)]/[K~/(n + 1)]. Equation 17 is valid for smooth tensile
specimens only. The corresponding equations should be determined for
notched tensile specimens and for other values of n.
6.6.6.2 OTHERSTEELS
Corresponding to the chemical compositions of Table 6.6.1, the parameters of

various steels are given in Table 6.6.3.
The parameter 0.1 depends on the stress-strain curve used in the
calculation, if it is different from the real curve of the material (NKS1 steel),
in a way more or less unpredictable by Eq. 14. The temperature dependence
of O"1 can be affected by dynamic strain aging (Portevin-Le Chatelier),

maximum at 220~ for the ferritic steels of Table 6.6.3. The parameter lc
s e e m s to b e 0 . 4 m m for t h e ferritic s t e e l s w i t h M n ( % ) < 1.0 a n d 0 . 5 5 m m w i t h
Mn(%) = 1.2"1.4.
REFERENCES
1. Batisse, R. (1988). Contribution h la Mod~lisation de la Rupture Ductile des Aciers. PhD thesis,
Universit~ de Technologie de Compi~gne.
2. Bauvineau, L. (1996). Approche Locale de la Rupture Ductile: application h u n Acier Carbone-
Manganese. PhD thesis, Ecole Nationale Sup~rieure des Mines de Paris.
3. Bernauer, G., and Brocks, W. (2000). Numerical round robin on micro-mechanical models,
Phase II: Results of task a. Technical report, ESIS-TC8 and GKSS/WMS/00/5.
4. Bethmont, M., Rousselier, G., Devesa, G., and Batisse, R. (1987). Ductile fracture analysis by
means of a local approach, in Trans. of the 9th Int. Conf. on Structural Mechanics in Reactor
Technology.
5. Bethmont, M., Rousselier, G., Kussmaul, K., Sauter, A., and Jovanovic, A. (1989). The method
of local approach of fracture and its application to a thermal shock experiment. Nucl. Eng.
Des. 119: 249-261.
6. Carassou, S. (1999). D~clenchement du Clivage dans un Acier Faiblement Alli~: R6le de
l'Endommagement Ductile Localis~ autour des Inclusions. PhD thesis, Ecole Nationale
Sup~rieure des Mines de Paris.
7. Eripret, C., and Rousselier, G. (1994). First spinning cylinder test analysis using a local
approach to fracture. Nucl. Eng. Des. 152: 11-18.
8. Lemaitre, J., and Chaboche, J.-L. (1985). M~canique des Mat~riaux Solides, Paris: Dunod-
Bordas.
9. Marques Vieira, E. (1998). M~canique Non Lin~aire et Approche Locale de la Rupture.
Application d l'Acier Inoxydable Aust~nitique Z2 CN 18-10 sous Chargements Complexes. PhD
thesis, Universit~ Paris VI.
10. Pitard-Bouet, J.-M., Seidenfuss, M., Bethmont, M., and Kussmaul, K. (1999). Experimental
investigations on the "shallow crack effect", on the 10 MnMoNi 5 5 steel, and computational
analysis in the upper shelf by means of the global and local approaches. Nucl. Eng. Des. 190:
171-190.
11. Rousselier, G. (1981). Finite deformation constitutive relations including ductile fracture
damage, in ThreeJDimensional Constitutive Relations and Ductile Fracture, pp. 331-355, North-
Holland.
12. Rousselier, G. (1987). Ductile fracture models and their potential in local approach of
fracture. Nucl. Eng. Des. 105: 97-111.
13. Rousselier, G., Devaux, J.JC., Mottet, G., Devesa, G. (1989). A methodology for ductile
fracture analysis based on damage mechanics: An illustration of a local approach of fracture.
ASTM STP 995, pp. 332-354.
SECTION 6.7
Model of Anisotropic
Creep Damage
SUMIO MURAKAMI
Nagoya University, Furo-cho, Chikusa-ku, Nagoya, 464-8603 Japan
Contents
6.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
6.7.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447
6.7.2.1 Representation of Anisotropic
Damage State . . . . . . . . . . . . . . . . . . . . . . . . 447
6.7.2.2 Restriction and Interpretation of
Damage Tensor . . . . . . . . . . . . . . . . . . . . . . 448
6.7.2.3 Definition of Effective Stresses . . . . . . . 450
6.7.3.1 Anisotropic Damage Variable
and Effective Stress . . . . . . . . . . . . . . . . . . 450
6.7.3.2 Evolution Equation of Anisotropic
Creep Damage . . . . . . . . . . . . . . . . . . . . . . 451
6.7.3.3 Constitutive Equation of
Damaged Material . . . . . . . . . . . . . . . . . . . 451
6.7.4 Identification of the Parameters . . . . . . . . . . . . 451
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452
6.7.1 VALIDITY
This m o d e l was originally developed to describe the anisotropic state of creep

damage and the related evolution equation of the damage. Since the m o d e l is
based on the concept of effective area reduction caused by distributed
microscopic cracks and cavities, it can also describe anisotropic states of
damage observed in creep-fatigue, elastic-plastic, and elastic-brittle damage of

6.7 Model of Anisotropic Creep Damage 447
more general materials such as metals, composite materials, concretes, and

rocks. The damage variable proposed here can describe the anisotropy with
symmetry larger than or equal to orthotropy.
6.7.2 BACKGROUND
The present model of three-dimensional anisotropic damage [1-3] has been

developed by extending the isotropic damage theory of Kachanov [4].
6.7.2.1 REPRESENTATIONOF ANISOTROPIC

DAMAGE STATE
Let us take a representative surface element PQR of an arbitrary orientation in

the current (actual) damage configuration Bt of a body, and represent the line
elements PQ, PR, and the area of PQR by vectors dx, dy and vdA as shown in
Figure 6.7.1a, where v is a unit normal vector of the element PQR. It is
assumed that the principal effect of the material damage is the effective area
decrease due to three-dimensional distribution of microcavities. Then the
effective net area of vdA will be equivalent to a smaller undamaged
area element v* dA* in a fictitious (equivalent) undamaged configuration Bf of
FIGURE 6.7.1 Definition of three-dimensional state of damage, a. Current damaged

configuration, b. Fictitious undamaged configuration.
448 Murakami
Figure 6.7.1b which is mechanically equivalent to Bt. The symbols in Bf

corresponding to those in Bt are denoted by an asterisk (*).
Since the decrease in the effective area of vdA to v* dA* is related to the
material damage, the damage state can be identified uniquely by specifying
the transformation between vdA and v* dA* of the two configurations Bt and
Bf properly. If we represent the fictitious deformation gradient from Bt to Bf by
G and employ Nanson's theorem, the area vector v* dA* in Bf is related to the
vector vdA in Bt as follows:
v*dA - (1/2)dx* • (1)

= K(G-1) r(vdA), K -- det G
By introducing a new tensor I - D to represent the tensor K(G-1) r in the

form of
K(c-x) = i - D (2)
Equation 1 can be written as follows:

v* dA* = (I - D)(vdA) (3)
where I denotes the unit tensor of rank two. Thus the second-rank tensor D of
Eq. 3 is an internal state variable representing the anisotropic damage state of
materials, and will be called a damage tensor with respect to the current
damage configuration Bt.
6.7.2.2 RESTRICTION AND INTERPRETATION OF

DAMAGE TENSOR
In view of the requirement

(v* dA* )(vdA) = [(I - D)(vdA)] 9(vdA) > 0 (4)
the asymmetric part of ( I - D) can be excluded without loss of generality.

Thus we can assume symmetry of the damage tensor D, and D can be
expressed in a canonical form
3
D -- ~ Dini | ni (5)
i-1
where ni(i = 1, 2, 3) and Di are the principal directions and the correspond-
ing principal values of the tensor D.
Then we take two sets of principal coordinate systems OXlX2X3
and O*XlX2X3 of the tensor D, and construct two tetrahedra QPQR and
O*P*Q*R* as shown in Figure 6.7.2. Substitution of Eq. 5 into Eq. 3

furnishes
3
v* dA* = ~ (1 - Di)dAini
i=l (6a)
= n,dA; + n2dA~ + ,,3dA~
dAi - ( 1 - D i ) d A i (no sum oni; i - 1 , 2, 3) (6b)
where dAi - vidA and dA/* - v/~dA* (i - 1, 2, 3) designate the facet areas of
the tetrahedra perpendicular to the principal direction n,. According to Eq. 6,
the principal values Di of the tensor D can be interpreted as the effective area
reduction ratios or the effective void area densities on the three principal
planes of D in Bt.
Though the damage state corresponding to arbitrary distribution
of microscopic cavities can be described by the second rank symmetric
tensor D, the canonical expression (5) implies that the tensor D cannot
describe the damage states which have more complicated symmetry than
orthotropy.
FIGURE 6.7.2 Cauchy stress and effective stress in current damaged configuration and fictitious
undamaged configuration, a. Current damaged configuration, b. Fictitious undamaged config-
uration.
450 Murakami
6.7.2.3 DEFINITION OF EFFECTIVE STRESSES
According to the notion of effective stress usually employed in damage

mechanics [4-6], the effective stress with reference to the current damaged
configuration Bt for the general states of damage can be defined as a stress a*,
which will be induced in the tetrahedron O *P * Q *R * in Bf of Figure 6.7.2 if
the surface element P* Q* R * is subject to the identical force vector t(V)dA as
that on the element PQR in Bt (where t (v) denotes the stress vector on the
surface element PQR). This stress a * corresponds exactly to the first Piola-
Kirchhoff states tensor concerning the reference configuration Bf, and is given
as follows:
a* = K-1Go"
-- ( I - D)-Ia 9
(7)
where a is the Cauchy stress tensor in Bt.

The effective stress a* of Eq. 7 is asymmetric. Since it is inexpedient to
formulate constitutive and evolution equations of damaged materials by using
the asymmetric tensor a*, we adopt the symmetric part of the Cartesian
decomposition of a *
S - [a ~is _ (1//2)[( I _ D)-lo. q_ a ( I - D)-ll (8)
Thus it can be interpreted that the mechanical effect of the Cauchy stress a in
Bt is magnified to the effective stress S of Eq. 8 as a result of the effective area
reduction due to damage.
Representation of a damage state with respect to the elastically unloaded
damage configuration and the effective stress in reference to the initial
undamaged configuration were also discussed in Reference [1].
Based on the theory just described the model of anisotropic creep damage can
be developed as follows.
6 . 7 . 3 . 1 ANISOTROPIC DAMAGE VARIABLE AND

EFFECTIVE STRESS
A state of anisotropic damage and the increased effect of stress due to the
cavity development are described by a second-rank symmetric damage tensor
D and a symmetrized effective stress tensor as follows [1, 2]"

3
D = |
i=1
S -- (1/2)[(I- D)-l~r -k ~r(I- D) -1] (10)

where Di and ni are the principal value and the principal direction of D.
6 . 7 . 3 . 2 EVOLUTION EQUATION OF ANISOTROPIC

CREEP DAMAGE
By employing the damage variable D of Eq. 9 together with the effective stress
S of Eq. 10, and by taking account of the microscopic mechanisms of damage
development, the evolution equation of isotropic creep damage [4-6] can be
extended to the anisotropic case as follows [2, 3]"
/~ --B0~S(1) q- fltrS -k (1 - ~ - j~)SEQ] m (11a)
• [tr{(I - D ) - I ( v (1) Q Y(1))}]g'-m[l]y(1) (~ y(1) .or_(1 - rl)I]
SEQ --[(3/2)trS2D] 1/2, SD -- S - (1/3)(trS)I (11b)
where (') denotes the material time derivative, and the symbols S (1), SEQ, SD,
and v (1) designate the maximum principal value, the equivalent value of the
effective stress tensor S, the deviatoric tensor of S, and the direction of the
maximum principal stress. The symbols B, ~, m, ~(0 _< ~ <__1), /~(0 _<//<__ 1),
and ~1(0 ___~/___ 1), on the other hand, are material constants.
6 . 7 . 3 . 3 CONSTITUTIVE EQUATION OF DAMAGED

MATERIAL
A constitutive equation of the damaged material can be derived from the

corresponding constitutive equation of undamaged material by employing the
effective stress tensor S of Eq. 10 and by postulating the hypothesis of strain
equivalence [5, 6] or that of energy equivalence [5, 6] in damage mechanics.
6 . 7 . 4 I D E N T I F I C A T I O N OF T H E P A R A M E T E R S
The material parameters of Eq. 11 are identified by performing creep damage

tests under combined tension and torsion, and then by fitting Eq. 11 together
452 Murakami
TABLE 6.7.1 Table of Parameters of Eq. 11
Materials Temperature~ B ~ ]3 m ~
OFHC copper 250 4.46 • 10 -13 0.75 0.25 5.55 10.55 0.5
(MPa)-5.55(h) -1
Nimonic 80A 750 9.48 x 10 -16 0.46 0.54 5.0 5.0 1.0
(MPa)-5-~ -1
with a proper damage-couple constitutive equation of creep to the

corresponding results of the tests.
The evolution equation of anisotropic creep damage (Eq. 11) can be

effectively applied to problems where damage anisotropy has significant
effects. These problems are usually found in the case of nonproportional
loading. See Table 6.7.1.
REFERENCES
1. Murakami, S. (1998). Mechanical modeling of material damage. J. Appl. Mech., Trans. ASME
55: 280-286.
2. Murakami, S., and Ohno, N. (1981). A continuum theory of creep and creep damage, in Creep
in Structures, Proc. 3rd IUTAM Symposium, pp. 422-444, Ponter, A. R. S., and Hayhurst, D. R.,
eds., Berlin: Springer-Verlag.
3. Murakami, S., Kawai, M., and Rong, H. (1988). Finite element analysis of creep crack growth
by a local approach. Int. J. Mech. Sci. 30: 491-502.
4. Kachanov, L. M. (1986). Introduction to Continuum Damage Mechanics, Dordrecht: Martinus
Nijhoff.
5. Lemaitre, J. (1996). A Course on Damage Mechanics, Berlin: Springer-Verlag.
6. Skrzypek, J., and Ganczarski, A. (1999). Modeling of Material Damage and Failure of Structures,
Berlin: Springer-Verlag.
SECTION 6.8
Multiaxial Fatigue
Damage Criteria
DARRELL SOCIE
Department of Mechanical Engineering, University of Illinois, Urbana, Illinois
Contents
6.8.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
6.8.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
6.8.3 Description of the Models . . . . . . . . . . . . . . . . . . 454
6.8.4 Determination of Material Constants . . . . . . . 455
6.8.5 How to Use the Models . . . . . . . . . . . . . . . . . . . . 455
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
6.8.1 VALIDITY
Two muhiaxial fatigue damage criteria are needed for metals. One criterion is
used for ductile materials that fail by the nucleation and growth of shear
microcracks. A second criterion is used for higher-strength materials where
failure is governed by the nucleation and growth of mode I tensile cracks. The
models provide an estimate of the fatigue life, 2Nf, for complex muhiaxial
loading.
6.8.2 BACKGROUND
Microcracks emanate from slip bands in materials subjected to cyclic plastic

deformation. Once formed, these microcracks are driven by cyclic tensile or
shear strains. A separate damage criterion is needed for each case (see
Fig. 6.8.1). During shear loading, the irregularly shaped crack surface results
in frictional forces that will reduce crack tip stresses, thus hindering crack
growth and increasing the fatigue life. Tensile stresses and strains will separate
the crack surfaces and reduce frictional forces. Fractographs from specimens
that have failed in pure torsion loading show extensive rubbing and are

454 Socie
o As l~
I I ,,
I I " I
Damage due to cyclic tension strains Damage due to cyclic shear stains
(a) (b)
FIGURE 6.8.1 a. Damage due to cyclic tension strains, b. Damage due to cyclic shear strains.
relatively featureless, in contrast to tension test fractographs where individual

slip bands are observed on the fracture surface, thus providing experimental
evidence for the influence of mean normal stresses.
The following damage model [1] may be interpreted as the cyclic shear strain
modified by the normal stress to include the crack closure effects that were
previously described.
-AT(1
- r'
+ k Crn'max~ = ~(2Nf) b' + 7'f(2Nf) c'
2 O'y f
where
A7/2 --maximum shear strain amplitude;
fin,max = normal stress on maximum shear strain amplitude plane;
try - yield strength of material;
k - material constant.
The left-hand side of the model describes the loading conditions, and the
right-hand side describes the material resistance. Shear strain life properties
are introduced and summarized in Section 6.8.4. The sensitivity of a material
to normal stress is reflected in the value k/cry. This model not only explains
the difference between tension and torsion loading but also can be used to
describe mean stress and nonproportional hardening effects in complex
multiaxial loading histories.
6.8 Multiaxial fatigue damage criteria 455
An alternate damage model is needed for materials that fail predominantly

by crack growth on planes of maximum tensile strain or stress. In these
materials, cracks nucleate in shear, but early fatigue life is controlled by crack
growth on planes perpendicular to the maximum principal stress and strain.
Smith et al. [2] proposed a suitable relationship that includes both the cyclic
strain range and the maximum stress. This model, commonly referred to as
the SWT parameter, was originally developed and has widespread use as a
correction for mean stresses in uniaxial loading situations. The SWT
parameter can also be used in the analysis of both proportionally and
nonproportionally loaded components constructed from materials that fail
primarily because of mode I tensile cracking. The SWT parameter for
multiaxial loading is based on the principal strain range, Ael, and maximum
stress on the principal strain range plane, O'n,max;
Ag1 r~52 (2Nf)2~ + rrSe)(2Nf) b+c

T
The stress term in this model makes it suitable for describing mean stresses
during multiaxial loading and nonproportional hardening effects.
6.8.4 DETERMINATION OF M A T E R I A L
CONSTANTS
Material constants are obtained from standard low-cycle fatigue tests of the
material (see Table 6.8.1). As a first approximation or if test data from
multiple stress states are not available, k -- 1 and ~y -- or).
6.8.5 HOW TO USE THE MODELS
For a complex stress state the planes experiencing the largest amplitudes of
shear and normal strains must be determined from the stress and strain
TABLE 6.8.1
Axial Shear
Fatigue strength coefficient ~r} z~ ~ cr}/x/3
Fatigue strength exponent b by ~ b
Fatigue ductility coefficient ~ y~ ~/v/3e~
Fatigue ductility exponent c cy ~ c
Modulus E G
456 Socie
TABLE 6.8.2 Table of Material Constants
1045 steel 304 stainless steel Inconel 718
Fatigue strength coefficient, cry, MPa 948 1000 1640

Fatigue strength exponent, b -0.092 -0.114 -0.060
Fatigue ductility coefficient, s) 0.26 0.171 2.67
Fatigue ductility exponent, c -0.445 -0.402 -0.82
Modulus, E, GPa 210 185 208
Shear fatigue strength coefficient, z~, MPa 505 709 902
Shear fatigue strength exponent, by -0.097 -0.121 -0.055
Shear fatigue ductility coefficient, ~) 0.413 0.413 4.31
Shear fatigue ductility exponent, c~ -0.445 -0.353 -0.82
Shear modulus, G 80 78 83
Yield strength, ~zy, MPa 358 280 972
Material parameter, k 0.3 0.8 0.4
tensors. Once these planes are identified, the normal stresses are determined.
Fatigue lives can be estimated from both models. Frequently, the expected
mode of damage, tensile or shear, is not known. In this case, the lower of the
two estimates is often used. See Table 6.8.2 for the material constants.
REFERENCES
1. Socie, D. E, and Marquis, G. B. (2000). Multiaxial Fatigue, Society of Automotive Engineers.

2. Smith, R. N., Watson, P., and Topper, T. H. (1970). A stress-strain parameter for the fatigue of
metals. Journal of Materials 5 (4)" 767-778.
SECTION 6.9
Multiaxial Fatigue
Criteria Based on a
Multiscale Approach
K. DANG VAN
kaboratoire de Mechanique des Solid, Ecole Polytechnique, 91128 Palaiseau, France
Contents
6.9.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
6.9.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457
6.9.3 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459
6.9.4 Identification of the Parameters . . . . . . . . . . . . 461
6.9.5 How to use the Model . . . . . . . . . . . . . . . . . . . . . 461
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463
6.9.1 VALIDITY
Prediction of high-cycle fatigue resistance is of great importance for structural

design. In spite of this clear industrial need, until now modeling of metal
behavior in a high-cycle fatigue regime was often based on empirical approaches:
the WShler curve and the Goodman-Haigh or Gerber diagrams are still the very
popular tools for engineers. However, these concepts are not appropriate when
studying the muhiaxial stress cycles that are frequently encountered on modem
mechanical components. These muhiaxial stresses arise from factors such as
external loadings, the geometry of the structure, which can induce muhiaxiality
even if the loading is uniaxial, and finally residual stresses.
6.9.2 BACKGROUND
In order to derive a muhiaxial endurance fatigue criterion, an original method

of computing based on a muhiscale approach was proposed by Dang Van.

458 Dang Van
This method is quite different from existing fatigue approaches. It arises from
the observation that generally the first fatigue damage processes begin in
grains which have undergone plastic deformation, with the appearance of slip
bands in some grains which broaden progressively with the applied cycles;
this stage is then followed by localized damage corresponding to formation of
intragranular microcracks; these microcracks can be arrested by grain
boundaries, but they may also propagate. After a certain number of cycles,
a main crack initiates, grows in size, and shields the other defects and
consequently leads to the final rupture of mechanical structure. In a high-
cycle fatigue regime, even if it is necessary to have plastic deformation at the
micro- or the mesoscale (corresponding to the grain size), most of the time no
visible irreversible deformation at the macroscopic level can be detected. It is
thus characterized by a large heterogeneity of plastic deformation from grain
to grain: only certain misoriented crystals undergo plastic slips, and in this
way a very heterogeneous distribution of microcracks can be observed. In this
fatigue regime, the initiation of the first visible cracks takes a large part of the
fatigue life of the structure. It demonstrates the importance of studying
conditions governing the crack initiation process.
In most of the existing fatigue models, these conditions are described with
the help of macroscopicparameters which are evaluated according to different
assumptions of homogeneity and isotropy. For example, engineers evaluate
the stress 12 not at a point of a structure but over a finite volume V that defines
the macroscopic scale which is used (see Fig. 6.9.1). Typically V is of the
order of the dimension of the strain gauges. However, because the phenomena
which cause fatigue initiation are microscopic, the local parameters (for
example, local stress 6) differ from the macroscopic ones. Thus the use of
classical macroscopic engineering parameters does not seem pertinent, since,
l
Y'T tz'
x,t ] _z_,g
xi
FIGURE 6.9.1 Differentscales of material description: the macro- and mesoscopicscales.

6.9 Multiaxial Fatigue Criteria Based on a Multiscale Approach 459
at that local scale, the material cannot be considered anymore as

homogeneous. In particular, the local redistributions induced by the
inhomogeneous incompatible strains ep, and as a consequence local residual
stress p, are not accounted for.
6.9.3 FORMULATION
The originality in Dang Van's proposal is precisely the use of local mesoscopic
mechanical parameters a to derive fatigue resistance criteria. These
parameters are evaluated from the macroscopic parameters thanks to a
hypothesis of elastic shakedown. More precisely, it is postulated that, near the
fatigue limit threshold, the mechanical structure shakes down elastically at all
scales of material description. Under this assumption, the precise knowledge of the
local constitutive equations, which is not possible to evaluate, is not necessary.
The physical interpretation of this hypothesis is that after a certain number of
loading cycles the response is purely elastic (or at least the plastic dissipation
rate becomes negligible). Then, using shakedown theorems (Melan's theorem
and its generalization by different authors; (see, for instance, Reference [1]), it
is possible to derive a method for estimating the apparent stabilized stress
(tensorial) cycle at the macroscopic and mesoscopic level which intervenes in
the proposed fatigue criteria, provided that the material is considered a
structure made of grains of different crystallographic orientations.
Theoretical developments of this theory are presented in Reference [2]. For
practical applications, it is only necessary to remember how to derive local
parameters from macroscopic stress cycles near the fatigue limit, which is
presented in following text.
The general relation between macroscopic and local stress tensor is
~(m, t) -- A.~(M, t) + p(m, t)
This relation is well known in the theory of polycrystalline aggregates. In this
equation A is an elastic localization tensor which depends on the
microstructure; ~(M,t) is the macroscopic stress tensor at time t in the
representative volume element V(M) surrounding M, and ~(m, t) and p(m, t)
are, respectively, the local stress tensor and the residual stress tensor at any
point m of V(M). For the sake of simplicity, let us assume that A - identity
(elastic homogeneity); then p characterizes the local stress fluctuation
in V(M).
If elastic shakedown happens, then p must become independent of time
after a certain number of cycles, so that the local plastic yield criterionf(m) is
no longer violated. Assuming that an approximate elastic shakedown occurs if
the loading cycles are near the fatigue limit, then there must exist a local fixed
460 Dang Van
C ~'-- m~ ~
FIGURE 6.9.2 Determination of the local residual stress p , at the shakedown state.
(independent of time) residual stress tensor p*(m) and a fixed set of local
hardening parameters ~(m) such that:
t) = Z(M, t) + V (m)
f(6(m, t), ~(m)) - fOg(M, t) 4- p* (m), ~(m)) _< 0

If the Mises criterion is chosen, then 6(m, t) belongs to the hypershere in five
dimensional space, representing the limiting value of the Mises norm for
which elastic shakedown is possible. Mandel et al. [1] showed that p* (m) can
be approximately taken to be the center of the smallest hypersphere
surrounding the loading path in the deviatoric macroscopic stress space
represented in Figure 6.9.2. In this figure, S (resp. s) represents the deviatoric
stress corresponding to Ig (resp. 6). Because of the shakedown hypothesis at
all scales of material description, S at stabilization is also elastic. Finally, by
that construction, the local stress state is known at any time t of the apparent
stabilized state.
One must still choose a fatigue criterion. Since the local stress is
approximately known at any time t, it is natural to try to take account of
the characteristic of the loading path (as in plasticity). Thus a reasonable
fatigue criterion could be stated as follows.
Crack initiation will occur in a critically oriented locus (usually
corresponding to a grain) within V(M) that has undergone plastic
deformation, if, for at least one time instant t of the stabilized cycle, one has
t)] ___ 0 for m c v(M)
In such a criterion, the current stress is considered, in contrary to most (or

all) existing fatigue criteria. Damage arises over a precise portion of the
loading path (or equivalently, over a precise time interval of the loading
period). Since cracks usually occur in transgranular slip bands, the local shear
acting on these planes is an important parameter. Moreover, the normal stress
acting on these planes accelerates damage formation. However, this quantity is
rather difficult to compute generally because it depends of the considered
plane. For this reason, hydrostatic stress is preferred because it is much easier
to use, being an invariant scalar. Furthermore, it can be interpreted as the
mean value of the normal stresses acting on all the planes that pass through
the considered point of the structure. Based on these remarks, F(a) is chosen
to be a function of the local shear r and the local hydrostatic stress p.
The simplest criterion that can be conceived is a linear relation between

these quantities,
v(~) - ~ + a p - b
where a and b are material parameters that can be determined by two simple
types of fatigue experiments: uniaxial tests of tension-compression and
torsion on classical fatigue test machines. If f is the fatigue limit strength
in alternate tension-compression, and t is the fatigue limit in alternate
twisting, then
t -f/2
a - - ~ b-t
f/3 '
The safety domain (no fatigue crack initiation) is delimited by the two straight
lines represented in Figure 6.9.3. The ordinate is the algebraic shear stress
acting in an oriented direction, and the abscissa is the hydrostatic stress p. On
the same figure the loading paths for fatigue limit in tension compression and
in twisting are represented. Two more loading paths are shown. Path lP1 is
nondamaging because it lies entirely within the straight lines that delimit the
safe domain, whereas a small portion of path F2 induces damage.
To check automatically the fatigue resistance of a structure is a rather difficult

task, because at each point one has to consider the plane on which the loading
path (z[t], p[t]) is a "maximum" relative to the criterion. This computation can
462 Dang Van
"t
I tension-compression
.
~
.
. .
FIGURE 6.9.3 Fatiguelimit domain and loading paths.
be simplified as follows. The maximum shear stress according to Tresca's

measure is calculated over the cycle period:
z(t) = Tresca[tT(t)]
It is useful to notice that
Tresca[tT(t)] = Tresca[s(t)] = MaxultT,(t ) -r
The stresses r and trj(t) are principal local stresses at time t. The quantity d
that quantifies the danger of fatigue failure defined by
"c(t)
d - Max
t b- p(t)
is calculated over the loading period. The maximum is to be taken over the
cycle. If d > 1, the fatigue failure will occur.
Working this way, all couples (~, p) are situated in the positive part of ~. All
facets which could be involved by the crack initiation are automatically reviewed.
Couples (~, p) verifying the condition d > 1 are associated with specific facets.
Therefore, the criterion also provides the direction of crack initiation.
Another possibility is to use the octahedral shear J2[a(t)] instead of z(t).
However, this method does not give the critical facets.
Another interesting proposal derived from the multiscale approach was
given by I.V.Papadopoulos: the fatigue limit for a given periodic loading 2Q(t)
corresponds to the limit of the intensity 2 such that elastic shakedown is
possible. Beyond this limit, plastic shakedown or ratchet phenomena will
induce damage and fracture because of subsequent softening. The limit size k*
of the hypersphere surrounding the loading path (as explained previously) is

one possible and natural way to characterize this state. If k* is greater than
some limit value which depends on the local maximum hydrostatic stress in
the cycle, fatigue will occur. This corresponding fatigue criterion is
k* 4-~Pmax - fl > 0
As previously, the parameters ~ and fl can be identified by two different tests.

By this method it is no longer necessary to describe the whole loading path
once k, is determined. In many cases, the predictions are very similar to the
current state methodology as presented previously.
REFERENCES
1. Mandel, J., Halphen, B., and Zarka, J. (1977). Adaptation d'une structure elastoplastique
ecrouissage cinematique. Mech. Res. Comm. 4: 309-314.
2. Dang Van, K. (1999). Introduction to fatigue analysis in mechanical design by the multiscale
approach, in C.I.S.M. Courses and Lectures N ~ 392 on High Cycle Metal Fatigue, from Theory to
Applications, Dang Van, K., and Papadopoulos, I.V., eds., New York: Springer Wien.
SECTION 6.10
A Probabilistic Approach to
Fracture in High Cycle
Fatigue
FRAN(~OIS HILD
LMT-Cachan, 61 Avenue du PrEsident Wilson, F-94235 Cachan Cedex, France
Contents
6.1 o. 1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
6.10.2 General Framework . . . . . . . . . . . . . . . . . . . . . . 464
6.10.3 Description of a Probabilistic Model in
High Cycle Fatigue . . . . . . . . . . . . . . . . . . . . . . . 466
6.10.4 Identification of the Material Parameters .. 469
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 71
6.10.1 VALIDITY
Fracture data obtained in high cycle fatigue (HCF) are usually scattered for
many different materials. In HCE most materials are loaded in their elastic
domain. Their failure is often catastrophic, with no warning signs such as
nonlinearities. Therefore, the probabilistic treatment of fracture in HCF
closely follows the one used to model the failure of brittle materials [1]. The
key distinction, however, is that stable propagation occurs at the microscopic
level instead of unstable propagation at all scales. It follows that the
framework of the weakest-link statistics [2] can be used under the assumption
of a gradual change of the flaw distribution with the number of cycles.
6.10.2 GENERAL FRAMEWORK
In many situations, initial flaws are randomly distributed within a structure.

We assume that the flaw distribution is characterized by a probability density

6.10 A Probabilistic Approach to Fracture in High Cycle Fatigue 465
function f. The function f gives the flaw distribution at a given stage of the
load history. It may depend upon several morphological parameters w (e.g., a
flaw size denoted by a, a flaw direction characterized by a normal n [1]).
The failure probability PF0 within a domain ~0 of volume V0 is given by the
probability of finding a critical flaw. The latter distribution refers to the initial
flaw distribution characterized by a probability density function f0. For a
given load level, the set of flaws D splits into two subsets. The first subset, Dc,
is related to the flaws that are critical (e.g., the energy release rate
G[w; Q] _>Go, where Q is a loading parameter, and Gc a critical energy release
rate). The second one, Dnc, is related to the flaws that are not critical (e.g.,
G[w; Q] < Go). The higher the load level, the larger Dc becomes with respect to
Dnc. When propagation is unstable, the failure probability PFo(Q) of a domain
f20 for a given loading parameter Q is expressed as [1]
PFo(Q)- I fo(w)dw (1)

JD
with, for instance, Dc(Q) = {wiG(w;Q) >G~}. In the case of stable propaga-
tion, the initial morphological parameters w evolve to become W after N
cycles. In particular, bifurcation may take place (therefore _N ~ o, and other
morphological parameters may be needed). The morphological parameters W
are assumed to be uniquely related to their initial values w through
deterministic functions of C 1 class that model the crack propagation law
w = r Q, N) (2)
For a given number of cycles N and a fixed Q, the failure probability Pr0(Q, N)
is linked with the flaw density function fN:
Pro(Q, N) -- f fN(W; Q, N)dw (3)

JDc(Q)
e.g., Dc(Q) - {WIG(W; Q) _~Gc}. If no new cracks initiate during the loading,
fn is related to fo by
fn[~(W; Q, N)] - J - l ( w ; Q, N)fo(w) (4)
where J denotes the Jacobian of the transformation defined in Eq. 2. Through
Eq. 4, Eq. 3 can be written as Eq. 5, where Dc defines the initial flaws that
become critical after N cycles:
Pro(Q,N)- f fo(w)dw (5)

JD/ (Q,N)
e.g., Dc (Q,N)= {wIG[~(w; Q,N); Q] >_Go}. Equation 5 constitutes a unified
expression for the failure probability with or without stable propagation. In
both cases, it relates the failure probability to the initial flaw distribution f0.
466 Hild
If we neglect the interaction between flaws, the cumulative failure

probability Pv of a structure ~ of volume V can be derived in the framework
of the weakest-link theory [2] and with the independent events assumption.
The expression for Pv can be related to the failure probability Pro of a link by
[1,21
P F - - 1 - e x p I~o fa l n ( 1 - P,o)dV 1 (6)
The failure probability PF0 as well as the failure probability Pv depend on the
loading parameter Q and the number of cycles N. By means of Eqs. 5 and 6, a
general relationship between the initial flaw distribution and the failure
probability of a structure f~ can be derived:
exp[0/ln/
Equation 7 shows that the failure probability of a structure can be related to
the initial flaw distribution even for materials exhibiting time-dependent
behaviors. The time dependence is given in the definition of the set D~ (Q, N)
of initial defects that become critical after N cycles when the applied load level
is equal to Q. Equation 7 constitutes a generalization of the existing failure
probabilities that are only valid under time-independent behavior [1]. It is
worth noting that Eq. 7 allows for the competition of flaws of different sizes at
different locations with different stress levels, and the weakest link is not
necessarily a flaw located at the most loaded point(s) but the most critical flaw
defined by G[~(F; Q, N); Q] _ Go. Even though this section addresses the case
of HCF, the same formalism can be used to study subcritical crack growth of
monolithic ceramics [3].
6.10.3 D E S C R I P T I O N OF A PROBABILISTIC
M O D E L IN H I G H C Y C L E F A T I G U E
In the following, we consider volume elements where the defects are

described by penny-shaped cracks. These volume elements are subjected to
cyclic and proportional loading conditions. The normal to the crack plane is
assumed to be aligned along the maximum principal stress direction (i.e.,
mode I mechanism). This direction is constant during the whole stress history.
If the stable crack extension is assumed to remain in a mode I configuration, a
failure criterion can be rewritten in terms of stress intensity factors:
Ycrv~ = Kc with cr = max ai (8)
i=1,3
where Y is a dimensionless shape factor dependent upon the modeled defect,

and o"i are the principal stresses. The critical flaw size is expressed as
ac- ~ (9)
The threshold size ath, below which no propagation occurs, is related to a

threshold stress intensity factor Kth by
[ Kth ]2 (10)
ath- [Yg(R)aJ
where the function g models the effect of the load ratio R = Kmin/Kmax on the
closure condition [4, 5]. The function g is defined by [5]
1-R
g(R) - 1 - mR (11)
where m is a material parameter. The crack growth law is expressed in the
framework of linear elastic fracture mechanics. A modified Paris' law models
the crack growth rate da/dN [4, 5]
O a < ath
when
da _- CAi~eeff when ath < a < ac (12)
dN
+oo when a _> a,
where C and n denote material parameters. The effective stress intensity factor
range AKeff is expressed as
Kmaxg(R) -- Kth
AKeff -- Kth (13)
Kc
g(R)
For cyclic loadings, the flaw size distribution evolves with the number of
cycles N (when a constant stress level a is applied): its value after N cycles is
denoted by fN(a). By using the previous crack propagation law, the density fN
can be linked to the initial density f0. By integrating the crack propagation law,
one can determine the relationship between the critical defect size ac and the
initial critical flaw size aco:
(a~M) (~~0)_ Kthg(R). (O'max~ n

q) - (P\ y aM IK Kth I \Tt-t~thf Nv (14)
with
Kth
Sth -"
Yg(R)4
468 Hild
where the function r depends upon the value of the power n
(X -- Xth)l-n[(1 -- n)x + Xth]

when n ~ l a n d n ~ 2
(2 -- n)(1 --n)
q~(x) -- 2[x + Xthln(x -- Xth)] when n - - 1 (15)
2X
2 ln(x -- Xth) when n = 2
X -- Xth
and aM is a characteristic defect size to be specified later on.

It is useful to introduce a function ~ such that a ( 0 ) = ~[a(N)]. This
function can be computed by using the previous results. Since the crack
propagation is assumed to be deterministic, the probability of finding a defect
of size a and range da after N cycles is equal to the probability of finding a
defect of initial size ~(a) and range d~(a). If no new defects nucleate during
the loading cycles, the density fN can be related to the initial density f0 by
fN(a) -- fo(ff[a(N)]) da (16)
where the coefficient dq/da comes from the change of measure (from da to
d~[a]). The failure probability of a volume element is the probability of
finding defect sizes greater than or equal to ac after N cycles:
Pv0 -- fN(a)da (17)

f~ct~176
Under the previous assumptions, the failure probability Pro can be rewritten
as [6]
Pv0 -- fo(a)da (18)

~ac0~~176
where aco = ~k(ac)denotes the initial defect size that becomes critical after N
cycles (i.e., equal to ac when N -- Nv). At the level of a structure f], the failure
probability Pv is expressed as
Pv - l -exp[~o f ln(1- faco~~)fo(a)da)dV] (19)
Equation 19 particularizes Eq. 7 when only one morphological parameter is

used to characterize the defect distribution.

PARAMETERS
Two different sets of parameters have to be determined. The first set is related
to the crack propagation law: C, n, m, k = Kth/Kc, Y, and Sth. The second set is
associated with the flaw size distribution. In this section, the flaw size
distribution is modeled by a beta density function
a~(aM--a) ~
fo(a) -- , _~+B+I (20)
DaflUM
where a, fl, and aM are material parameters. The constant B~ is equal to

B(~ + 1, fl 4- 1), where B(., .) is the Euler function of the first kind. It can be
noted that the size aM now corresponds to the maximum flaw size within the
material. In addition to the parameters of the beta distribution, one has to
consider the volume V0 containing on average one defect.
Two different routes can be followed to identify the parameters of the
previously mentioned model. The first one uses data obtained at the structural
or sample level and deduces the behavior at the level of one volume element
(i.e., link). The second one uses microscopic observations of the flaw
distribution and determines the crack propagation law from global
considerations. If possible, the latter can be compared to conventional
fracture mechanics experiments.
9 If the only available data are W6hler plots, one can identify the material
parameters by first considering the fatigue limits (usually defined for a
conventional value of the number of cycles to failure, say 107). It must be
remembered that there are as many fatigue limits as values of the failure
probability. The fatigue limits correspond to the case where the initial
critical flaw size ac0 used in Eq. 19 can be replaced by the threshold flaw
size ath defined in Eq. 10. The following parameters can be identified:
cz, fl, Sth, and V/Vo. Then, by considering one constant failure probability
(say 50%), one can determine the parameters of the crack propagation
law: C/aM, n. The constant k is usually on the order of 1/3 for metallic
materials. If only one load ratio is considered, one may consider an
approximated value for the constant m: m ~ 0.5. On the other hand, if at
least two load ratios are available, the comparison of the fatigue limits
for the same failure probability and the two load ratios allows one to
identify the constant m. Table 6.10.1 shows the parameters obtained for
an austempered spheroidal graphite (SG) cast iron [7].
9 The second procedure is more time-consuming, but its predictive
capability is usually higher than in the previous case. Systematic
observations of fractured surfaces of fatigued samples using a scanning
470 Hild
TABLE 6.10.1 Material P a r a m e t e r s for Two Grades of SG C a s t Iron
Material Austempered SG cast iron [7] Ferritic SG cast iron [9]
aM (~tm) -- 400
Y -- 2
Sth (MPa) 175 105
0~ 1.75 2.3
]~ 17.5 18
V0 ( m m 3) V/112 340
k -- Kth/Kc 1/3 1/3
C/aM 3.4 • 10 -4 5.9 • 10 -5
n 2.34 2.0
m ~0.5 0.59
electron microscope (SEM) are performed to determine the flaw size

distribution (here, ~,]~,aM, and V0). The value of V0 is usually
representative of the gauge volume of the sample. The parameters of
the crack propagation law are determined by considering one constant
failure probability. It should be noted that a constant failure probability
is equivalent to the same defect size in tension-compression [6]. If
independent fracture mechanics experiments are available (e.g.,
propagation in a compact tension (CT) specimen), the identified values
can be compared to them. This is particularly important when the
defects distributed within the material behave like small cracks. For
those cracks, the threshold stress intensity factor is different from that of
large cracks [8, 9]. Table 6.10.1 shows the parameters obtained for a
ferritic SG cast iron [9].
This model is coupled with an elastic calculation. A commercial finite element

code can be used when closed-form solutions are not available. The
computation of the failure probability is then performed numerically in a
postprocessor [10]. At each integration point i, the equivalent stress (e.g., the
maximum principal stress; see Eq. 8) is computed. To this equivalent stress
corresponds an initial flaw size ac0 that is computed by solving Eq. 14 through
a Newton method. The failure probability Pvj of a finite element j depends
upon the element volume Vj, the number ng of integration points for this
element, and the weight wi of the integration point i
Vj ng
i--1
w h e r e Pvi is the c u m u l a t i v e failure probability at a p o i n t i c o m p u t e d by u s i n g

Eq. 18. T h e failure probability PF of the w h o l e s t r u c t u r e is t h e n c o m p u t e d as
Pv-1-exp Ij~__~ll n ( 1 - Pvj)] (22)
w h e r e ne is the total n u m b e r of e l e m e n t s \( V - ~jn~=l V i i .

/
REFERENCES
1. Hild, E (2001). Probabilistic approach to fracture: The Weibull model, In Handbook of

Materials Behavior, Nonlinear Models and Properties, this volume 558-565.
2. Freudenthal, A. M. (1968). Statistical approach to brittle fracture, In Fracture pp. 591-619,
vol. 2, Liebowitz, H., ed., New York: Academic Press.
3. Hild, E, Marquis, D., Kadouch, O., and Lambelin, J.-P. (1996). Analysis of the failure due to
subcritical crack growth. J. Eng. Mat. Techn. 118: 343-348.
4. Elber, W. (1970). Fatigue crack closure under cyclic tension. Eng. Fract. Mech. 2: 37-45. See
also Elber, W. (1971). The significance of fatigue crack closure. ASTM STP 486: 230-242.
5. Pellas, J., Baudin, G., and Robert, M. (1977). Mesure et calcul du seuil de fissuration apr~s
surcharge. Recherche a~rospatiale 3:191-201 (in French).
6. Hild, E, and Roux, S. (1991). Fatigue initiation in brittle heterogeneous materials. Mech. Res.
Comm. 18: 409-414.
7. Hild, E, Billardon, R., and B4ranger, A.-S. (1996). Fatigue failure maps of heterogeneous
materials. Mech. Mat. 22: 11-21.
8. C14ment, P., Angeli, J.-P., and Pineau, A. (1984). Short crack behavior in nodular cast iron.
Fat. Fract. Eng. Mat. Struct. 7: 251-265.
9. Yaacoub-Agha, H., B4ranger, A.-S., Billardon, R., and Hild, E (1998). High cycle fatigue
behavior of spheroidal cast iron. Fat. Fract. Eng. Mat. Struct. 21: 287-296.
10. Chantier, I., Bobet, V., Billardon, R., and Hild, E (2000). A probabilistic approach to predict
the very high cycle fatigue behavior of spheroidal graphite cast iron. Fat. Fract. Eng. Mat.
Struct. 23: 173-180.
SECTION 6.11
Gigacycle Fatigue Regime
C. BATHIAS
Laboratoire de M~canique de la Rupture, CNAM/ITMA, 2 rue Cont,, 75003 Paris, France
Contents
6.11.1 Experimental Device . . . . . . . . . . . . . . . . . . . . . . 474
6.11.1.1 Principle . . . . . . . . . . . . . . . . . . . . . . . . . 474
6.11.1.2 Specimen . . . . . . . . . . . . . . . . . . . . . . . . . 475
6.11.2 Gigacycle Fatigue of Alloys with Flaws . . . . 476
6.11.2.1 SN Curves up to 109 Cycles . . . . . . . 477
6.11.2.2 Initiation Zones at 109 Cycles . . . . . 479
6.11.2.3 Integration of the da/dn Curve . . . . . 479
6.11.2.4 Prediction of Gigacycle Fatigue
Initiation from a Flaw . . . . . . . . . . . . . 480
6.11.3 Gigacycle Fatigue of Alloys without
Inclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481
6.11.3.1 Gigacycle Fatigue of Ti Alloys . . . . . 482
6.11.3.2 Fatigue Initiation of Ti Alloys . . . . . . 482
6.11.4 General Discussion of the Gigacycle
Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 486
6.11.4.1 Initiation Zones at 109 Cycles . . . . . 486
6.11.4.2 Initiation Mechanisms at
109 Cycles . . . . . . . . . . . . . . . . . . . . . . . . 486
6.11.4.3 Role of the Inclusions . . . . . . . . . . . . . 486
6.11.4.4 Role of the Porosities . . . . . . . . . . . . . . 487
6.11.4.5 Role of the Grain Size . . . . . . . . . . . . . 487
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....... 487
W h e n the fatigue curve or SN curve is defined, it is u s u a l l y d o n e in reference

to c a r b o n steels. T h e SN curve is g e n e r a l l y l i m i t e d to 107 cycles, a n d it is
a d m i t t e d , a c c o r d i n g to the s t a n d a r d , that a h o r i z o n t a l a s y m p t o t e allows one to
d e t e r m i n e a fatigue limit value for an a l t e r n a t i n g stress b e t w e e n 106 a n d 107
cycles. B e y o n d 107 cycles (Fig. 6.11.1), the s t a n d a r d c o n s i d e r s that the fatigue
life is infinite. F o r o t h e r alloys, it is a s s u m e d that the a s y m p t o t e of the SN
curve is n o t horizontal.

6.11 Gigacycle Fatigue Regime 473
100 Failure area

(All samples are broken)
r~ 90
r/3
[..., 80
scatter
70
60
0
50 9 9 9 n m n ~
.<
40
30
20 IFatigue [ unlimited
limit ? fatiguelife
I I I I I I I I
0 1 2 3 4 5 6 7 8
0 10 10 10 10 10 10 10 10
CYCLES TO FAILURE, Nf
FIGURE 6.11.1 Typical SN curve is defined by international standardisation.
For fatigue limits based on 109 cycles, few results can be observed in
References [1 to 6]. Until now, the shape of the SN curve beyond 107 cycles
was predicted using the probabilistic method, and this is also true for the
fatigue limit. In principle, the fatigue limit is given for a number of cycles to
failure. Using, for example, the staircase method, the fatigue limit is given by
the average alternating stress crD, and the probability of fracture is given by the
standard deviation of the scatter (s). A classical way to determine the infinite
fatigue life is to use a Gaussian function. Roughly speaking, it is said that aD
minus 3 s gives a probability of fracture close to zero. Assuming that "s" is
equal to 10Mpa, the true infinite fatigue limit should be aD--30MPa.
However, experiments show that between aD for 106 and aD for 1 0 9 the
difference is greater than 30MPa for many alloys. It is important to
understand that if the staircase method is popular today for determining the
fatigue limit, this is because of the convenience of this approximation. A
fatigue limit determined by this method to 107 cycles requires 30 hours of
tests to get only one sample with a machine working at 100 Hz. To reach 108
cycles, 300 hours of tests would be necessary, which is expensive. Thus a
high-frequency test is needed to explore the gigacycle fatigue regime.
The actual shape of the SN curve between 106 and 101~ cycles is a better
way to predict risk in fatigue cracking. Since W6hler, the standard has been to
represent the SN curve by a hyperbole more or less modified as follows.
474 Bathias
Hyperbole: Ln Nf=log a - L n era; other methods may be listed as:
9 W6hler: Ln Nf= a-b ~ra

9 Basquin: Ln Nf= a-b Ln aa
9 Stromeyer: Ln Nf-- a-b Ln (oa-c)
Only the exploration of the life range between 106 and 101~ cycles will create
a safer approach to modeling the gigacycle fatigue regime.
When the crack nucleates from a defect, such as an inclusion or pore, it is
said that a relation must exist between the fatigue limit and the crack growth
threshold. However, the relation between crack growth and initiation is not
obvious for many reasons. First, it is not certain that a fatigue crack grows
immediately at the first cycle from a sharp defect. Second, when a defect is
small, a short crack does not grow as a long crack. In particular, the effect of
the R ratio or the closure effect depends of the crack length. Thus the relation
between AKth and aD is still to be discussed.
Another important aspect is the concept of infinite fatigue life. It is
understood that below AKth and below CrD the fatigue life is infinite. In fact,
the fatigue limit crD is usually determinated for Nf= 107 cycles. As has been
shown [1-6], fatigue failure can appear up to 109 cycles and may be beyond
109 . The fatigue strength difference at 10 7 and 109 cycles could be more than
100 MPa. It means the relation aD versus AKth must be established in the
gigacycle regime if any relation exists.
The experiments show that there are several mechanisms, depending on
the alloys and defects. It seems that there is no general relation between AKth
and crD even at 109 cycles. But, when initiation depends of inclusions, a
Murakami-type model appears to be efficient.
6.11.1 EXPERIMENTAL DEVICE
6.11.1.1 PRINCIPLE
Since the first 20kHz machine was constructed in 1950 by Mason [7],
ultrasonic fatigue testing has become less time-consuming.
A schematic view of our USF system for this study is shown in Figure
6.11.2. The machine is essentially an ultrasonic machine constituted of a
Branson power generator whose frequency is held at 20 kHz. The vibration of
the specimen is induced with a piezo-ceramic transducer which generates
acoustical waves to the specimen through a power concentrator (horn) in
order to obtain more important stress and an amplification of the
displacement. The resonant length of the specimen and concentrator is
stress .. Axial ~ 1
\ alsplacem~nt I
I I
I I
I I holln ~ ~J 'I
~.I..~_L..~ ~ .
sample
FIGURE 6.11.2 Schema of a Piezoelectric Machine
calculated at a frequency of 20 kHz. The dynamic displacement amplitude of

the specimen extremity U0, is measured by an optic fiber sensor, which
permits one to measure the displacement from 1 ~tm to 199.9~tm with a
resolution of 0.1 ~tm. A system of video-camera/television is used for the
detection of crack initiation with a magnification of 140-200 times.
6.11.1.2 SPECIMEN
The specimen design for the ultrasonic test is shown in Figure 6.11.3. The
dimensions Ro, R1, R2, and L2 were fixed for all materials to facilitate the
machining of specimens, and the specific length L1 w a s determined
analytically to have a resonance frequency of the first longitudinal vibration
(f = 20 kHz) and a maximum strain value in the middle section of the
specimen (x = 0), which is capable of damaging materials.
A detailed analysis has been given [1], and the obtained solutions can be
summarized as follows:
Specimen resonant length ( f = 20 kHz):
L1 = ~ arc tan tanh~fl L2) atanh/oL2/]} /1/

476 Bathias
R=31 Kt=1.03
2R1 . . . .
]~1 ,.~I..d
L2
"1
FIGURE 6.11.3 Ultrasonic Fatigue Specimen
with
1
a = - - arc cosh(R2/R1) (2)
L2
K-- 2rcf~ (3)
fl = v/a2 - K2 (4)
where f - v i b r a t i o n a l frequency (= 20,000 Hz), p - d e n s i t y , g/cm 3, and
Ea= dynamic Young's modulus, MPa.
Relation between Uo ( x = L) and e,.(x= 0) or am(x=O)
~ = Vo~(L1, L2)fl (5)
~ = EdVo~(L~, L~)fl (6)

with
~b(L1, L2) = cos(KL1)ch(aL2)/sh(flL2) (7)
where U o = m a x i m u m displacement amplitude at the extremity of the
specimen, mm, em = maximum strain occurred in the middle section of the
specimen, and am = maximum stress deduced from Hooke's law, MPa.
6.11.2 GIGACYCLE FATIGUE OF ALLOYS WITH

FLAWS
How to model gigacycle fatigue initiation? First, a new SN curve must be

determined up to 1010 cycles, which is, in fact, more than the fatigue life of all
technological machines. Second, a new fatigue strength at 109 cycles has to be
predicted using the regular statistical method. More specifically, the

prediction of gigacycle fatigue is based on two different mechanisms"
9 Initiation is related to flaws (inclusions, defects, pores), and prediction

is derived from stress concentration, fracture mechanics, or the short
crack approach.
9 Initiation is not related to defect; in this case, microstructure is
a key parameter, such as grain size, interface, load transfer, and micro-
plasticity.
Thus the discussion of gigacycle fatigue prediction is split in two parts. The
first part is devoted to alloys with flaws.
6.11.2.1 S N CURVES UP TO 1 0 9 CYCLES
In the specialized literature, few results were given on this topic until
"Euromech 382" was held in Paris in June 1998 (3). In order to present an
overview of gigacycle SN curves, four types of alloys have been selected: high-
strength steels, spring steels, Ni base alloys, and cast iron (3-9). The
experimental results (Figs. 6.11.4 to 6.11.7) show that specimens can fail up
to 109 and beyond. It means that the SN curve is not an asymptotic curve.
Thus the concept of infinite life fatigue is not correct, and the definition of a
10 -3 ! ! ! ! ~ !i
r
y~8,i45~c i i ii
10-4
E
Z 10-5
..........................
!...............i..........!........i ......i':~~ ........;" .........!...............!...........i........i... iii'~"
..... ....
"~ 10 -6
..........................i...............i..........i........~ " ~ ; ~ i ~ .........i...........i........!......i... i'i'i"
.......................... i............... i.......... i-...~%~ ...... ~ ....... i............... i........... i........ i ...... i...... F.i-..i...
10 -7 ..........................i...............i..........i.......i............... i...i...........................!...............i...........i........i......i......
i i i i ii ! i. ~o,~i i i i i
i.. .i. .i. .
10 -8 ..........................
.............................. ............ . . . . . . . . . . . .i.............
.. ..........
10 -9 i i,,
.......................................................... ii i i i........i......i......i....i...i...
;; ..........................................................
10 -10
10 100
A K (MPalm)
FIGURE 6.11.4 S-N curves for High Strength Steels

478 Bathias
950
900
850 9 9
x 9
E 800 9
t~
750
,,,,,,
700 .................. , , ,,,,,,l , , ,,,,||l , , ,,,,,,i , , ,,,,,,i , ,
1.E+04 1.E+05 1.E+06 1.E+07 1.E+08 1.E+09 1.E+10 1.E+11
Cycles to Failure
FIGURE 6.11.5 S-N curves for Spring Steels
400
350 iB
II B 9 9
300 9 9
9 9 ill
9R=0.8 seeded
D,.
~ 25o 9R=0.8 standard
9R=0 standard
200
9R=0 seeded
150
0 0 , , , , 11111 , , , 111111 , I , , ,,l,l l l I 111111 , I I, 11111 l I , , 11111 , , I 111,
1.E+04 1.E+05 1.E+06 1.E+07 1.E+08 1.E+09 1.E+10 1.E+11
Cycles to failure
FIGURE 6.11.6 S-N Curves for Nickel Base Alloys
fatigue limit at 106-107 cycles is not conservative. Depending on the alloy, the
difference between TDH at 106 and 109 can be 200 MPa. From a practical point
of view, the gigacycle fatigue strength becomes the more realistic property for
predicting very long life.
.---. 320
~300 Transition 920KHz
v
E 280 O 925 Hz
::3
._E
X
260
t~ | O
E 24O
ID
0~0 00
" 220
t~
t__..~
r- 200
O
O 180
1,0E+04 1,0E+05 1,0E+06 1,0E+07 1,0E+08 1,0E+09 1,0E+10
Nombre de cycles
FIGURE 6.11.7 S-N Curves for Cast Iron
6.11.2.2 INITIATION ZONES AT 10 9 CYCLES
According to our own observations and those of Murakami [i0], the gigacycle
fatigue crack initiation seems to occur essentially inside the sample and not at
the surface, as is observed for some with shorter life. Therefore, we can create
a model for three types of crack initiation in a cylindrical sample whose
surface was polished, depending on whether it is low (104 cycles), megacyclic
(106 cycles), or gigacyclic (109 cycles) fatigue. Let us say that for the smallest
numbers of cycles to rupture, the crack initiation sites are multiple and on the
surface; according to the standard, at 106 cycles, there is only one initiation
site, but, for the higher number of cycles to rupture, the initiation is located at
an internal zone.
6.11.2.3 INTEGRATION OF THE da/dn CURVE
Consider da/dn = CAK"H and A K = 0z/2) Act v/rca where Aa is the fatigue
limit at 109 cycles for a given R ratio and a is the m a x i m u m size of the radius
of the internal propagation. We compute the initial value of AK at the tip of
the inclusion or at the pore. The average AK initial is given in Table 6.11.1 for
a nickel-base alloy (N18).
480 Bathias
TABLE 6.11.1
R ratio AKth AKi particle MPav/m AKi pore MPax/m

-1 5.5 8.5 6
0 8 12 6.25
0.8 4.5 6.7 3.3
Concerning the particles, for a given AKi the crack growth rate is always
higher than 10 -6 mm per cycle. It means that the fatigue life of the specimens
should be less than 106 cycles instead of 109 cycles. Thus it is not realistic
to say the crack grows as soon as the first cycle is applied. A nucleation
time is operating.
Concerning the pores, AKi is smaller than AKth for the same R ratio, but
AKth is determined in air and for a long crack. In vacuum AKth is higher than
in air. In this respect, it is reasonable to think that the crack initiates without
nucleation from a pore.
6 . 1 1 . 2 . 4 PREDICTION OF GIGACYCLE FATIGUE

INITIATION FROM A FLAW
Few models are able to predict the effect of nonmetallic inclusions on fatigue
strength. This may be because adequate reliable quantitative data on
nonmetallic are hard to obtain. Murakami and coworkers [10] have
investigated the effects of defects, inclusions, and inhomogeneities on fatigue
strength of high-strength steels and have expressed the fatigue limit as
functions of Vickers hardness HV (Kgf/mm 2) and the square foot of the
projection area of an inclusion or small defect: x/area (btm). The fatigue limit
prediction equation proposed by Murakami is as follows:
O"w
+ [(1-
(v/area) 1/6 2
where C--1.45 for a surface inclusion or defect, C--1.56 for an interior
inclusion or defect, and a = 0.226 4-HV x 10 - 4 .
The model does not specify the number of cycles for which the stress aw is
represented. According to experimental data, a modified empirical equation
based on the Murakami model was proposed to estimate gigacycle fatigue
initiation from inclusions and small defects. This model is especially accurate
for high-strength steels.
O"w
(v/area) 1/6 2
6.11 GigacycleFatigue Regime 481
where / ~ - - 3 . 0 9 - 0.12 log Nf for an interior inclusion or defect, and /~--

2 . 7 9 - 0.108 log Nf for a surface inclusion or defect.
Figures 6.11.8 and 6.11.9 show examples of the small inclusions and
defects caused fatigue fracture of the specimen. The size x/area of the
inclusions at the fracture origin is about 20 btm.
Table 6.11.2 compares the fatigue strength predicted by Eq. 2 and the
experimental results in the gigacycle regime.
6.11.3 GIGACYCLE FATIGUE OF ALLOYS

WITHOUT INCLUSION
What does happen in alloys without inclusion in the gigacycle fatigue regime?
To answer this question, titanium alloys were tested in crack propagation and
in crack initiation. It is well known that in titanium alloys there is not any
inclusion or porosity. In this condition, nucleation of fatigue crack cannot
nucleate from defects.
FIGURE 6.11.8 GigacycleFatigue Initiation on Inclusion.

482 Bathias
6.11.3.1 GIGACYCLE FATIGUEOF TI ALLOYS
A Ti-6246 alloy was supplied by the RMI Company: the chemical composition
is shown in Table 6.11.3. Four thermomechanical process (TP) routes - - a
TPI(1), TPI(2), TP2, and T P 3 - were used to produce the forging with
different microstructures and attendant mechanical properties (Table 6.11.4).
The fl-processed microstructures present a similar lamella a-phase morphol-
ogy with a different primary ~ volume fraction and grain size in a transformed
fl matrix. The ~ + fl process conduces to a bimodal structure with duplex
lamellae and a globular primary alpha phase.
Quantification of the morphological aspects has been performed to provide
a complete description of various microstructures.
6.11.3.2 FATIGUE INITIATION OF TI ALLOYS
With the same alloys it is found that crack initiation and fatigue can occur up
to 109 cycles even if there is no inclusion or pore. Figure 6.11.9 presents SN
curves depending on the thermal processing.
At room temperature a significant difference can be observed in SN curves
between the different TP conditions. Thus the TP3 material has comparatively
650 -
600
550
9 ' 9 mm 9 TP1 (1)
m
a. 500
9 TP1 (2)
x 450 r TP2
E
400
....<.. 9 TP3
"--.t.
350
300
250 .........
1.E+04 1.E+05 1.E+06 1.E+07 1.E+08 1.E+09 1.E+10
Cycles to failure
FIGURE 6.11.9 GigacycleSN Curve for Ti 6246 at 300 K and R - - 1

TABLE 6.11.2 Comparison of Predicted Fatigue Strength and Experimental Results
HV 465 465 465 345 450 445 550 554 445 500
Nf 5.75=+8 8.76'+7 7.12e+8 4.92e+5 2.59=+5 4.5'+5 2.0e+7 1.63e+6 1.45'+7 1.7e+8
Jarea 20 16 13 25 20 60.1 14.1 28.9 53 25
H (pm) 900 135 25 0 0 0 0 240 350 650
Gxp 760 740 750 630 760 588 862 883 550 780
~ ~ ( 2 ) 724 787 775 592 763 621 862 902 588 762
Err.% -4.7% +6.4% +3.3% -6.0% +0.4% +5.6% 0% +2.2% +6.9% -2.3%
(2)
a,,,: maximum stress applied to specimen (MPa), cr, (11, u, (2): fatigue strength estimated by Eqs. 1, 2 (MPa), error %: (ow-uexp)/aexp.
484 Bathias
TABLE 6.11.3 Chemical Composition of Ti-6246. Alloy Investigated (in wt%)
TP A1 Sn Zr Mo C Cu Si Fe 02 H2 N2
Number (ppm) (ppm) (ppm) (ppm) (ppm) (ppm) (ppm)
1 (1) 5.68 1.98 3.96 6.25 90 <50 <50 400 930 44 80

1(2);2&3 5.70 2.04 4.08 6.43 83 <50 <50 300 1100 28 70
TABLE 6.11.4 Mechanical Properties of Ti 6246
0"0.2 (MPa) UTS (MPa) A (%) RA (%)
TPI(1) 1003 1135 15 17

TPI(2) 985 1144 12 21
TP2 924 1043 17 28
TP3 1044 1145 11.5 13
the best fatigue resistance (510 MPa); the TP 1 (1) and TP 1 (2) materials exhibit
a lower response, with a fatigue limit estimated, respectively, at 490 and
400 MPa for 109 cycles, and the TP2 material has the worst fatigue limit
resistance, with only 325 MPa.
Note that the TP3 alloy gives the lowest AK threshold and the best fatigue
limit.
The SEM fractographic observations indicate that all the TPI(1) broken
samples have systematic surface initiation (less than 40 ~tm of the external
surface), whereas TPI(2), TP2, and TP3 have a systematic internal fatigue
crack site. In TP2 conditions, the microstructure and, more particularly,
colonies of the primary alpha phase (P) are showing through the fracture
surface by backscattered electron observations and form a sort of facet
(Fig. 6.11.10). It can be seen that the facets are oriented to the fracture plane:
a feature common to all specimens.
In conclusion, it is emphasized that the gigacycle fatigue regime is not
always correlated with defects such as inclusions or pores. For Ti-6246, the
gigacycle fatigue stength is associated with a transformed amount and a
secondary alpha volume fraction. Internal fatigue initiation with quasi-
cleavage facets in primary alpha phase has been shown.
In those conditions, it is very difficult to get a general relation between
AKt~ and A~D. A nucleation process must exist. In this case, a linear relation
between yield stress and ~D in the gigacycle regime is found:
crD -- - 1 1 8 4 4- 1.6 ~rv

FIGURE 6.11.10 Fatigue Crack Initiation on ~ Primary Phase

486 Bathias
6.11.4 GENERAL DISCUSSION OF THE

GIGACYCLIC FATIGUE
6.11.4.1 INITIATION ZONES AT 10 9 CYCLES
In the specialized literature, few results are given on this topic [1]. According
to our own observations and those of Murakami [10], the gigacycle fatigue
crack initiation seems to occur essentially inside the sample and not at the
surface, as is observed for some with shorter life. Therefore, we can create a
model for three types of crack initiation in a cylindrical sample with a
polished surface, depending on whether it is low (10 4 cycles), megacyclic (10 6
cycles), or gigacyclic (10 9 cycles) fatigue. For the smallest numbers of cycles
to rupture, the crack initiation sites are multiple and on the surface; according
to the general opinion, at 10 6 cycles, there is only one initiation site, but, for
the higher number of cycles to rupture, the initiation is located at an internal
zone. What remains is to specify how and why some fatigue cracks can initiate
inside the metal in gigacyclic fatigue.
6.11.4.2 INITIATION MECHANISMS AT 1 0 9 CYCLES
The explanation of the phenomenon is not obvious. It seems that the cycle
plastic deformation in plane stress condition becomes very small in the
gigacycle regime. In this case, internal defects or large grain size play a role, in
competition with the surface damage. It means also that the effect of
environment is quite small in the gigacyclic regime, since the initiation of
short cracks is inside the specimen. Thus the surface plays a minor role if it is
smooth. The effect of plane stress plasticity is evanescent compared to
microplasticity due to defects or microstructure misfits. It means that internal
initiation is correlated with stress concentration or load transfer.
6.11.4.3 ROLE OF THE INCLUSIONS
The inclusions can be some privileged crack initiation sites, especially if the R
load ratio is high. Figure 6.11.6 presents an example of the N18 alloys. If the
crack initiates from an inclusion or from a pore, it seems a relation between
AKth and CrD at 10 9 cycles can exist. But it is not a general relation.
6.11.4.4 ROLE OF THE POROSITIES
The porosities can initiate crack in competition with inclusions, so much that
the load ratio is low, particularly in tension-compression.
6.1 1.4.5 ROLE OF THE G R A I N S I Z E
In titanium alloys, the inclusions and the porosities are not important. They
are only grain anomalies that initiate cracks. In the T6A4 V and 6246 alloys,
the internal initiation often occurs near long primary ~ platelets. Nevertheless,
the secondary phase seems to also play an important role in the resistance at
gigacycle fatigue, enhancing more or less the ~P/b platelet cracking [5]. The
important influence of the microstructure on the fatigue resistance at a high
number of cycles has already been mentioned. In this case, the relation
between AKth and CrD is difficult to justify.
REFERENCES
1. Stanzl-Tschegg, S. (1996). Ultrasonic fatigue. Fatigue 96: 1886-1887.

2. Wells, J. M. (1982). Ultrasonic fatigue. AIME-ISBN member 0-89520-397-9.
3. Bathias, C., Miller, K. J. and Stanzl-Tschegg, S. (1999). Gigacycle fatigue. FFEMS 22(7).
4. Ni, J. (1991). Mechanical Behaviour of Alloys in Ultrasonic Fatigue. Th~se de Doctorat, CNAM.
5. Jago, G., and Bechet, J. (1999). Influence of microstructure of (c~ +/3) Ti alloy on high-cycle
fatigue and tensile behaviour test. FFEMS 22(8): 647-655.
6. Tao, H. (1996). Ultrasonic Fatigue of Ti and Alloys at Cryogenic Temperature. Th~se de Doctorat
CNAM.
7. Mason, W. P. (1950). Piezoelectric crystals and their applications, Ultrasonics, pp. 161-164.
8. Wu, T., and Bathias, C. (1994). Application of fracture mechanics concept in ultrasonic
fatigue. Engng. Fract. Mech. 47(5): 683-690.
9. Bonis, J. (1997). Th~se de Doctorat, Univ. Paris-Sud.
10. Murakami, Y., and Endo, M. (1994). Effects of defects, inclusions and inhomogeneities on
fatigue strength. Fatigue 16: 163-182.
SECTION 6.12
Damage Mechanisms in
Amorphous Glassy
Polymers: Crazing
ROBERT SCHIRRER
Institut Charles Sadron, 6 rue Boussingault, 67083 Strasbourg, France
Contents
6.12.1 Basic microstructure of Glassy Polymers 488
6.12.1.1 Macromolecules . . . . . . . . . . . . . . . . . 489
6.12.1.2 Amorphous and Crystalline
Structures . . . . . . . . . . . . . . . . . . . . . . . 489
6.12.1.3 Glassy and Rubbery States . . . . . . . 490
6.12.2 Crazing Versus Micro Shear Bands . . . . . 491
6.12.2.1 Local Deformation Mechanism ... 491
6.12.2.2 Craze Growth . . . . . . . . . . . . . . . . . . . 496
6.12.2.3 Craze Rupture and Running
Crack Tip . . . . . . . . . . . . . . . . . . . . . . . 498
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
6.12.1 BASIC MICROSTRUCTURE OF GLASSY

POLYMERS
Any mechanical damage mechanism is closely dependent on the micro-

structure of the material. In polymers these mechanisms are dominated by the
long and flexible macromolecules. Since crazes arise mainly in amorphous
glassy polymers, or at least in the glassy phase of multiphase polymers, the
basic structural concepts of this type of material will first be summarized
briefly.

6.12 Damage Mechanisms in Amorphous Glassy Polymers: Crazing 489
6.12.1.1 MACROMOLECULES
Macromolecules are long repetitive sequences of an elementary chemical

structure called the monomer (Fig. 6.12.1). The backbone of this long chain is
mainly composed of carbon atoms linked together, and since the angle
between two carbon atoms has a fixed value, successive atoms are located at
only partially random positions. The stiffness of the macromolecule results
from the stiffness of the monomer itself and from the shape and size of the
space it occupies. Figure 6.12.2 shows the physical environment of the
macromolecule modeled as a more or less flexible tube in which the
macromolecule creeps, the energy necessary for this creep being either
thermal or mechanical. The principal basic property of a macromolecule is its
weight: M, (the number weight) or Mw (the molecular weight).
6.12.1.2 AMORPHOUS AND CRYSTALLINE STRUCTURES
A polymer is a large condensed assembly of macromolecules, which in the

solid state may have two quite different microstructures. The first is a glassy
disordered structure in which the smallest elementary volume representing
the material has nearly the size of a monomer (Fig. 6.12.3). The
macromolecules are connected to one another through physical entangle-
ments (reversible knots) or irreversible chemical bonds, and consistent
mechanical properties are attained when each macromolecule is connected to
at least two others. In this microstructure the basic parameter is the molecular
weight between entanglements. The second solid state is a semicrystalline
structure in which the macromolecules are arranged on more or less regular
small rigid lamellae with flexible amorphous connecting macromolecules
(Fig. 6.12.4). The lamellae adopt a radial disposition to form large rigid
/ ~
"'4, Z--.-~C.~."m~
~ rn ( Dimension \-~--. / /
=-Angstroms ~ / / //
""~"" -~O^
FIGURE 6.12.1 A simple image of a macromolecule.

490 Schirrer
ee o
other molecules ~ "
FIGURE 6.12.2 The tube model.
Entanglement kn
Crosslinked
Thermoplastic
FIGURE 6.12.3 Amorphous microstructure showing physical or chemical links.
spherulites. In these polymers, the smallest elementary volume representing

the material is much larger than in amorphous polymers, ranging from several
tens of micrometers to millimeters. The semicrystalline polymer may be
regarded as a two-phase material.
6.12.1.3 GLASSY AND RUBBERY STATES
Amorphous polymers are in their glassy state below the glass transition
temperature Tg and rubbery above this temperature. Below Tg, the short-range
molecular interactions between nonlinked atoms are strong and local loads
are carried from atom to atom. If a small elastic strain is applied to the
polymer, almost all carbon-carbon bonds are stressed and the carbon-carbon
cone angles are distorted. In the case of large plastic strains, the atoms (or
larger molecular groups) may flip from one position on the cone to another,
Amorphous state
FIGURE 6.12.4 A typical semicrystalline microstructure.
leading to nonrecoverable deformations. Above Tg, the short-range interac-

tions between nonlinked atoms vanish, entanglements remain the only
connecting points in the material, and the atoms are free to twist on the
carbon-carbon cone. The elastic properties are mainly due to the entropy of
variation of the positions of entanglements, which is nearly proportional to
the macroscopic strain. The linear reversible behavior of the rubbery polymer
may reach an extension ratio of up to 10.
6.12.2 CRAZING VERSUS MICRO SHEAR BANDS
6.12.2.1 LOCAL DEFORMATIONMECHANISM
Figure 6.12.5 shows that a network of entanglements may follow the external
strain, and this schema is close to true in either the glassy or the rubbery state.
In the glassy state the interactions between atoms render the elongation
irreversible. Apart from the new positions of the entanglements, the molecular
structure of the polymer nevertheless remains basically unchanged, and the
energy input into the material is converted into heat. Conversely, under
certain circumstances some molecules may break and a cavity may occur
(Fig. 6.12.6). Once cavities are created, the microstructure of the polymer
alters dramatically: some macromolecules have broken and the material is
now a "composite" of bulk and holes.
6.12.2.1.1 Ultimate Extension Ratio
Figure 6.12.5 also shows that the extension ratio ,~max of the fully extended
macromolecule is roughly Lc/Lo, where Lc is the contour length and L0 the
492 Schirrer
Lc
Fullyelongated~
molecules ,4
Neck'~
FIGURE 6.12.5 Molecularelongation in the glassy state.
aro
S
J
f
FIGURE 6.12.6 A cavity at the instant of creation.
geometrical distance between entanglements. In the case of a real polymer,

2max of the fully extended material must be calculated in the three-
dimensional situation. On a molecular basis:
Lc ~ LmMe/Mmo and '~,max '~ Lc/k(Me) 1/2 (1)
where Me is the average molecular weight between entanglements, Lm the

length of the monomer, Mmo the monomer molecular weight, and k a
constant. Lm and Mmo a r e known from the chemistry, and the unknown
molecular value Me may be calculated from the rubbery plateau shear
modulus GN, the density p, the temperature T, and the gas constant R:
M~ = pRT/G~ (2)
At extensions above /~max, the stress-strain constitutive equation may be
simply modeled by an infinite stress-strain slope. In usual glassy polymers
/~max lies between 2 and 10.
6.12.2.1.2 Cavitation under Hydrostatic Tension

Unlike in metals, cavities do not preexist in glassy polymers. The cavity
shown in Figure 6.12.6 may be created only if the closing forces due to surface
tension in the cavity are smaller than the opening forces due to the hydrostatic
tension. Moreover, the energy balance criterion between the elastic energy
density available in the material and the surface energy consumed in the
cavity must be fulfilled. Since the voids are quite small, close in size to the
macromolecules (radius r0 of 1-10nm), a mechanical analysis of their
equilibrium if fairly difficult. Another difference between voids in metals and
polymers is that voids in polymers do not evolve into a porous microstructure
but into crazes through a collective yield flow deformation process. Some
models have nevertheless been developed on molecular bases.
In the mechanical approach, a number of basis assumptions can be made.
Thus the energy consumed is at least the thermodynamic surface energy Ws
arising from the specific thermodynamic surface energy F, Ws = 4rrr2F. At the
critical equilibrium point, the closing stress 2F/ro due to the surface tension
acting at the boundary of the cavity is equal to the hydrostatic tension ah, and
hence r0 = 2F/ah. In rubbers, for example, F is roughly 0.03Jm -2, and the
critical value ah is approximately 10 MPa, which means that the void radius r0
is very small (6 nm). The elastic hydrostatic energy density stored in the body
is a~/2kb where kb is the bulk modulus, and the elastic energy used to form
the cavity is drawn from the bulk in its vicinity over a distance ~r0
proportional to the radius of the cavity. Prior to cavitation, the amount of
energy stored in this vicinity is 4~ 3~ a h /26 k ~ , and it is only partly consumed
to create the cavity. Finallly, there is the critical hydrostatic tension:
crh < 3kb/~ 3 (3)
It is not easy to determine what proportion ~ of the local elastic energy is

consumed to form the cavity. This concerns the nonlinear mechanical
behavior around the cavity, where nonlinear viscoelastic or even plastic flow
takes place. In addition, the size of the volume from which the energy is
drawn is so close to the molecular size that continuum mechanics is not
494 Schirrer
necessarily relevant. Experimental values of Crh ( ~ 30 MPa) and kb

( ~ 10 GPa) in glassy polymers indicate that only a very small part of the
local energy is used to create the cavity surfaces in these polymers. Local yield
consumes much more energy.
6.12.2.1.3 Craze Microstructure (Fig. 6.12.7)

The local stress increase around an isolated new cavity may create other
neighboring organized cavities to form a craze precursor. A craze inside a
polymer has usually a penny shape and resembles a crack except that fibrils
bridge the crack surfaces, carrying loads from one to the opposite surface.
These fibrils are thin (10-100nm) and rather long (up to 10 ~tm), and they
grow like micronecks. Therefore, the load Crc applied to the craze surface is a
material property roughly constant along the craze boundary and similar to
the yield stress Cry, while the craze shape is close to that predicted by the
/'+,+(,'
Dugdale or Rice model:
~-<,<~ and S(x/-~ '-~ -~ ~)

_ x i7-7 (4)
where K1 is the stress intensity factor and E* the plain strain modulus.
0.01 to O. 1/xm
[, I,, ~ Fibril
Macromolecules 1 ] Io. c / Vacuum Craze tip
1 to 10 # m
>
FIGURE 6.12.7 The craze microsturcture.

6.12.2.1.4 Craze Micromechanics

Figure 6.12.8 shows how the craze fibrils grow by extracting polymer from
the bulk in the so-called fluid process zone. In the fibrils the polymer
macromolecules are fully stretched. Some molecules, caught at their ends in
two separate fibrils, must therefore break or create a connecting cross fibril.
The mechanical parameters governing the extraction process are the local
flow stress ac, the surface tension F, the fibril diameter D, the radius R
connecting bulk and fibrils, and the process zone size h. Simple scaling laws of
fluid mechanics show that the fibril diameter is of the order of
D 8r/ c 2R h
Since the volume before and after fibrillation remains constant, the extension
ratio in the fibrils is
/]'fibril ~ (D 4- 2R)2/D 2 (6)
Values for/],fibril normally lie between 2 and 10.
6.12.2.1.5 Craze versus Micro Shear Band

If a glassy polymer is subjected to a mechanical stress, local microscopic
fluctuations may induce a cavity or a micro shear band. A first cavity is the
necessary precursor of any subsequent craze. Several criteria must be satisfied
to obtain crazes rather than micro shear bands, some of which have a
Macromolecule ~ , ~ ~ O'c
~ zone
h=D Flow.. ~ zone limi
Vacuum ~ " Active "fluid"
~--------Fibril Micro neck ~ Surface tension
FIGURE 6.12.8 The micromechanics of craze growth. The fibrils extract material from the bulk
in the process zone h.
496 Schirrer
molecular basis whereas others are related to the mechanics of the material. In
mechanical terms, cavitation occurs at a certain level of hydrostatic tension
and cannot in fact occur in compression or pure shear. Figure 6.12.9
illustrates this crazing criterion: within the grey area there is no damage,
whereas in the upper right zone (tension) crazes arise and in the lower left
zone (compression) micro shear bands arise. Obviously, this mixed-mode
criterion must be separately determined for each glassy amorphous polymer.
A frequently used equation correlates the critical macroscopic crazing strain ~c
and the principal stresses Crl, or2, or3 through constants A and B:
~c = A + B/(~I + ~2 + ~3) (7)
In molecular terms, Eq. 1 defines the highest extension ratio 2max of the
polymer. Equation 6 indicates the required micromechanical extension ratio
~,fibril in the craze fibrils, and if/~max < ~,fibril, it is clear that a craze cannot form.
Finally, all these criteria depend on temperature, strain rate, and molecular
weight and structure.
6.12.2.2 CRAZE GROWTH
As seen in Figure 6.12.10, the craze grows through a meniscus instability

mechanism with a craze front resembling fingertips. Since the fibril growth is
similar to a creep mechanism extracting material from the bulk, it seems
FIGURE 6.12.9 Von Mises criterion plotted together with the crazing criterion for a typical
polymer (polymethylmethacrylate).
FIGURE 6.12.10 The meniscus mechanism governing craze growth.
reasonable that the craze front will move with a velocity Vc governed by a
creeping law.
In polymers, creep is generally a stress- and temperature-activated process.
The stress acting on the craze surface is controlled by the external load and
the craze shape by the stress intensity factor K 1 of Eq. 4. In this equation, to
obtain the craze growth law in the basic mechanical situations like constant
external load (creep mechanism) or linear increasing external load, the
material properties crc and E have to be replaced by the equivalent time-
dependent properties ~c(t) and E(t). The local material property ere(t) is
readily determined by recording the craze length as a function of time S(t), in
an experiment at low constant K1 where the crack does not grow into the
craze.
(/~K 2 ~ 1/2
crc(t)- \8S(t),] (8)
In most cases the growth of the craze length can be expressed as
S(t) = At n (9)
where A is a constant depending on the loading conditions and n ~ 0.5.

498 Schirrer
Velocity Vc Velocity Vc
>
Q Midrib
O
Propagation
r-
FIGURE 6.12.11 The steady-state propagating craze at a crack tip.
6.12.2.3 CRAZE RUPTURE AND RUNNING CRACK TIP
Once a craze has formed and grown for a certain time, some fibrils may break.
Although most models of fibril breakage are based on molecular theories and
do not concern mechanics, the case of crazes breaking in their midrib region
(Fig. 6.12.11) can be described in mechanical terms. This type of craze
breakdown is quite common in brittle polymers. If the fibrils grow by
extracting polymer from the bulk, their oldest part is the midrib. Thus, if the
fibrils break in their midrib, the concept of lifetime z(~r) (the time ~ a
structure survives a stress ~r) can be applied to the center of a fibril. Use of this
concept is satisfactory from a molecular point of view, since the molecular
theory holds that the fibrils break through a slippage mechanism (molecular
creep) evolving to disentanglement. The model is particularly simple for a
crack propagating with velocity Vc and having a craze S at its tip:
"r(r = S/Vc (10)
Using Eq. 4,
KI - - ~c[8T(~Yc)Vc/7~]1/2 (11)
Equation 11 relates the macroscopic fracture toughness of a propagating crack

to local material properties like the lifetime of fibrils and the Dugdale craze
stress. Conversely, real measurements of craze length S and toughness K1 at a
running crack tip may be used to obtain the local mechanical properties Z(ac)
and ac.
BIBLIOGRAPHY
1. Crazing in Polymers, Vol. 2 in Advances in Polymer Science 91/92, Kausch, H. H., ed., Berlin:
Springer Verlag 1990.
2. Narisawa, I., and Yee, A. E (1993). Crazing and fracture of polymers, in Structure and Properties
of Polymers, Materials Science and Technology, A Comprehensive Treatment, pp. 698-765, vol. 12,
Thomas, E. L., ed., Weinheim: VCH.
3. Ward, I. M., and Hadley, D. W. An introduction to the Mechanical Properties of Solid Polymers,
New York: Wiley 1993.
4. Trassaert, P., and Schirrer, R. (1983). The disentanglement time of the craze fibrils in PMMA.
Journal of Material Science 18: 3004-3010.
5. Schirrer, R., Lang, R., Le Masson, J., and Tomatis, B. (1984). The disentanglement time of the
craze fibrils under cyclic loading. Polymer Eng. and Science 24: 820-824.
6. Fond, C., Lobbrecht, A., and Schirrer, R. (1996). Polymers toughened with rubber micro-
spheres. Int. J. of Fracture 77: 141-159.
SECTION 6.13
Damage Models for
Concrete
GILLES PIJAUDIER--CABOT 1 and JACKY MAZARS 2
1Laboratoire de G~nie Civil de Nantes Saint-Nazaire, Ecole Centrale de Nantes, BP 92101,
44321 Nantes Cedex 03, France
2 LMT-Cachan, ENS de Cachan, Universitd Paris 6, 61 avenue du Prdsident Wilson, 94235,
Cachan Cedex, France
Contents
6 . 1 3 . 1 I s o t r o p i c D a m a g e M o d e l [4] . . . . . . . . . . . 501
6.13.1.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . 501
6.13.1.2 B a c k g r o u n d . . . . . . . . . . . . . . . . . . . . 501
6.13.1.3 E v o l u t i o n of D a m a g e . . . . . . . . . . . 502
6.13.1.4 I d e n t i f i c a t i o n of P a r a m e t e r s . . . . . 503
6.13.2 Nonlocal Damage ...................... 503
6.13.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . 504
6.13.2.2 P r i n c i p l e . . . . . . . . . . . . . . . . . . . . . . . 504
6.13.2.3 D e s c r i p t i o n of the M o d e l . . . . . . . 505
6.13.2.4 I d e n t i f i c a t i o n of the I n t e r n a l
Length ............. ............ 505
6.13.2.5 H o w to Use the M o d e l . . . . . . . . . . 506
6.13.3 Anisotropic Damage Model ............ 506
6.13.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . 506
6.13.3.2 P r i n c i p l e . . . . . . . . . . . . . . . . . . . . . . . 507
6.13.3.3 D e s c r i p t i o n of the M o d e l . . . . . . . 508
6.13.3.4 I d e n t i f i c a t i o n of P a r a m e t e r s . . . . . 510
6.13.3.5 H o w to Use the M o d e l . . . . . . . . . . 511
References .................................... 512

6.13 Damage Models for Concrete 501
6.13.1 ISOTROPIC DAMAGE MODEL
6.13.1.1 VALIDITY
This constitutive relation is valid for standard concrete with a compression

strength of 30-40 MPa. Its aim is to capture the response of the material
subjected to loading paths in which extension of the material exists (uniaxial
tension, uniaxial compression, bending of structural members) [4]. It should
not be employed (i) when the material is confined (triaxial compression)
because the damage loading function relies on extension of the material only,
(ii) when the loading path is severely nonradial (not yet tested), and (iii)
when the material is subjected to alternated loading. In this last case, an
enhancement of the relation which takes into account the effect of crack
closure is possible. It will be considered in the anisotropic damage model
presented in Section 6.13.3. Finally, the model provides a mathematically
consistent prediction of the response of structures up to the inception of
failure due to strain localization. After this point is reached, the nonlocal
enhancement of the model presented in Section 6.13.2 is required.
6.13.1.2 BACKGROUND
The influence of microcracking due to external loads is introduced via a single

scalar damage variable d ranging from 0 for the undamaged material to 1 for
completely damaged material. The stress-strain relation reads:
1 + v0 v0
8ij
Eo(1 - d) aij - Eo(1 - d) [akhcSij] (1)
E0 and v0 are the Young's modulus and the Poisson's ratio of the undamaged
material; eij and aij are the strain and stress components, and 5ij is the
Kronecker symbol. The elastic (i.e., free) energy per unit mass of material is
p~' = 1(1 - d)sijC~ (2)
where C~ is the stiffness of the undamaged material. This energy is assumed

to be the state potential. The damage energy release rate is
~/ 1 0
Y = - p - ~ - ~sijCijhlshl
with the rate of dissipated energy:

Opt,
502 Pijaudier-Cabot and Mazars
Since the dissipation of energy ought to be positive or zero, the damage rate is
constrained to the same inequality because the damage energy release rate is
always positive.
6.13.1.3 EVOLUTIONOF DAMAGE
The evolution of damage is based on the amount of extension that the

material is experiencing during the mechanical loading. An equivalent strain
is defined as
i--1(<~i>4- (3)
where (.)+ is the Macauley bracket and ~i are the principal strains. The loading
function of damage is
f(~, ~c) = ~ - ~ (4)
where tc is the threshold of damage growth. Initially, its value is ~c0,which can
be related to the peak stress ft of the material in uniaxial tension:
f' (5)
~c0 = E0
In the course of loading ~c assumes the maximum value of the equivalent
strain ever reached during the loading history.
If f ( ~ , t c ) - O and f(~,tc)=O, then
{d ~-h(~c)
-~ with c~ ___ 0, e l s e / C~ ~- 0- 0
The function h(~c) is detailed as follows: in order to capture the differences of

(6)
mechanical responses of the material in tension and in compression, the

damage variable is split into two parts:
d = o~td t -+- o~cdc (7)
where dt and dc are the damage variables in tension and compression,

respectively. They are combined with the weighting coefficients at and 0~c,
defined as functions of the principal values of the strains ~lj and ~ due to
positive and negative stresses:
t -1 t c
e i j - (1 - - d)CijklO'kl, eij = (1 - d) -lcCijklcrkl (8)
~ - 52 , ~ - (9)
9_ ~ _ ..__
Note that in these expressions, strains labeled with a single indicia are
principal strains. In uniaxial tension c~t = 1 and ~c = 0 . In uniaxial
compression ~c = 1 and at = 0. Hence, dt and dc can be obtained separately
from uniaxial tests.
The evolution of damage is provided in an integrated form, as a function of
the variable ~c:
~Co(1 - At) At
dt ~ 1 ~
~c exp[Bt(~c- ~Co)] (10)
~Co(1 - A c ) Ac
dc ~ 1 - -
~: exp[B~(~c- ~Co)]
6.13.1.4 IDENTIFICATION OF PARAMETERS
There are eight model parameters. The Young's modulus and Poisson's ratio
are measured from a uniaxial compression test. A direct tensile test or three-
point bend test can provide the parameters which are related to damage in
tension (tc0, At, Bt). Note that Eq. 5 provides a first approximation of the
initial threshold of damage, and the tensile strength of the material can be
deduced from the compressive strength according to standard code formulas.
The parameters (Ac, Bc) are fitted from the response of the material to
uniaxial compression. Finally, fl should be fitted from the response of the
material to shear. This type of test is difficult to implement. The usual value is
f l = 1, which underestimates the shear strength of the material [7].
Table 6.13.1 presents the standard intervals for the model parameters in the
case of concrete with a moderate strength.
TABLE 6.13.1 STANDARDModel Parameters

E0 ~ 30,000-40,000 MPa
v0 ~0.2
~c0~ 1 x 1 0 - 4
0.7 <~At<~1.2
104~Bt<~5 • 104
1 ~<Ac~<1.5
103~<Bc~<2 • 103
1.0~<fl~ 1.05
5
| ! | | | | ! , ~~ ,
-0,008 -0,007 -0,006 -0,005 -0,004 -0,003 -0,002 -0,001 n 0,001
35J
-40
Strain
FIGURE 6.13.1 Uniaxial response of the model.
Figure 6.13.1 shows the uniaxial response of the model in tension and
compression with the following parameters: E 0 - 30,000MPa, v 0 - 0.2,
to0 = 0.0001, At = 1, Bt = 15,000, Ac = 1.2, Bc = 1500, ]~ = 1.
6.13.2 NONLOCAL DAMAGE
The purpose of this section is to describe the nonlocal enhancement of the

previously mentioned damage model. This modification of the model is
necessary in order to achieve consistent computations in the presence of
strain localization due to the softening response of the material [8].
6.13.2.1 VALIDITY
As far as the type of loading is concerned, the range of validity of the nonlocal
model is exactly the same as the one of the initial, local model. This model,
however, enables a proper description of failure that includes damage
initiation, damage growth, and its concentration into a completely damaged
zone, which is equivalent to a macrocrack.
6.13.2.2 PRINCIPLE
Whenever strain softening is encountered, it may yield localization of strains

and damage. This localization corresponds to the occurrence of bifur-
cation, and a surface (in three dimension) of discontinuity of the strain rate
appears and develops. When such a solution is possible, strains and damage
concentrate into a zone of zero volume, and the energy dissipation, which is
finite for a finite volume of material, tends to zero. It follows that failure
occurs without energy dissipation, which is physically incorrect [1].
Various remedies to this problem can be found (e.g., [5]). The basic idea is
to incorporate a length, the so-called internal length, into the constitutive
relation to avoid localization in a region of zero volume. The internal length
controls the size of the region in which damage may localize. In the nonlocal
(integral) damage model, this length is incorporated in a modification of the
variable which controls damage growth (i.e., the source of strain softening):
a spatial average of the local equivalent strain.
6.13.2.3 DESCRIPTION OF THE MODEL
The equivalent strain defined in Eq. 3 is replaced by its average ~:
~(x) -- V,.(x----) r s)~(s)ds with V,.(x) - r s)ds (11)
where ~ is the volume of the structure, Vr(X) is the representative volume at

point x, and ~ ( x - s) is the weight function, for instance:
r 4 [ ' xs['2)12
- (12)
where l~ is the internal length of the nonlocal continuum. The loading

function (Eq. 4) becomes f(~, Z) = e - Z. The rest of the model is similar to
the description provided in Section 6.13.1.
6.13.2.4 IDENTIFICATION OF THE INTERNAL LENGTH
The internal length is an additional parameter which is difficult to obtain

directly by experiments. In fact, whenever the strains in specimen are
homogeneous, the local damage model and the nonlocal damage model are,
by definition, strictly equivalent (~ = ~). This can be viewed also as a
simplification, since all the model parameters (the internal length excepted)
are not affected by the nonlocal enhancement of the model if they are
obtained from experiments in which strains are homogeneous over the
specimen.
The most robust way of calibrating the internal length is by a semi-inverse
technique which is based on computations of size effect tests. These tests are
carried out on geometrically similar specimens of three different sizes. Since
their failure involves the ratio of the size of the zone in which damage can
localize versus the size of the structure, a size effect is expected because the
former is constant while the later changes in size effect tests. It should be
stressed that such an identification procedure requires many computations,
and, as of today, no automatic optimization technique has been devised for it.
It is still based on a manual trial-and-error technique and requires some
experience. An approximation of the internal length was obtained by Bazant
and Pijaudier-Cabot [2]. Comparisons of the energy dissipated in two tensile
tests, one in which multiple cracking occurs and a second one in which failure
is due to the propagation of a single crack, provided a reasonable
approximation of the internal length that is compared to the maximum
aggregate size da of concrete. For standard concrete, the internal length lies
between 3da and 5da.
6.13.2.5 H o w To USE THE MODEL
The local and nonlocal damage models are easily implemented in finite
element codes which uses the initial stiffness or secant stiffness algorithm.
The reason is that the constitutive relations are provided in a total strain
format. Compared to the local damage model, the nonlocal model requires
some additional programming to compute spatial averages. These quantities
are computed according to the same mesh discretization and quadrature as for
solving the equilibrium equations. To speed the computation, a table in
which, for each gauss point, its neighbors and their weight are stored can be
constructed at the time of mesh generation. This table will be used for any
subsequent computation, provided the mesh is not changed. Attention should
also be paid to axes of symmetry: as opposed to structural boundaries where
the averaging region lying outside the structure is chopped, a special
averaging procedure is needed to account for material points that are not
represented in the finite element model.
The implementation of the nonlocal model in an incremental format is
awkward. The local tangent stiffness operator relating incremental strains to
incremental stresses becomes nonsymmetric, and, more importantly, its
bandwidth can be very large because of nonlocal interactions.
6.13 D a m a g e M o d e l s for C o n c r e t e 507
6.13.3 ANISOTROPIC DAMAGE MODEL
6.13.3.1 VALIDITY
Microcracking is usually geometrically oriented as a result of the loading

history on the material. In tension, microcracks are perpendicular to the
tensile stress direction; in compression microcracks open parallel to the
compressive stress direction. Although a scalar damage model, which does not
account for directionality of damage, might be a sufficient approximation in
usual applications, i.e., when tensile failure is expected with a quasi-radial
loading path, damage-induced anisotropy is required for more complex
loading histories. The influence of crack closure is needed in the case of
alternated loads: microcracks may close and the effect of damage on the
material stiffness disappears. Finally, plastic strains are observed when the
material unloads in compression. The following section describes a
constitutive relation based on elastoplastic damage which addresses these
issues. This anisotropic damage model has been compared to experimental
data in tension, compression, compression-shear, and nonradial tension-
shear. It provides a reasonable agreement with such experiments [3].
6.13.3.2 PRINCIPLE
The model is based on the approximation of the relationship between the

overall stress (simply denoted as stress) and the effective stress in the material
defined by the equation
t 0 e t 0 (cdamaged -1
cr0 -- CoktekZ or crij -- Cijkl )klmnO'mn (13)
e
where alj is the effective stress component, ekZ is the elastic strain, and t--damag
"~0kl ed
is the stiffness of the damaged material. We definite the relationship between
the stress and the effective stress along a finite set of directions of unit vectors
n at each material point:
a _
[1 - d(n)]nial)n ) ,
v _
[1 - d(n)] i=1 [cri)nj - (nkCrnknt)nii2 (14)
where a and z are the normal and tangential components of the stress vector,
respectively, and d(n) is a scalar valued quantity which introduces the effect of
damage in each direction n.
The basis of the model is the numerical interpolation of cl(n) (called
damage surface) which is approximated by its definition over a finite set of
directions. The stress is the solution of the virtual work equation:

~,
find ~rij such that Vei)
47~ , ~ t *
-3-aije'iJ = a~ ([(1 - d(n))nkat~tntni + (1 - d(n))(aijn ) - nkathlnlni)] . eij nj)d.Q
(15)
Depending on the interpolation of the damage variable d(n), several forms of
damage-induced anisotropy can be obtained.
The variable d(n) is now defined by three scalars in three mutually orthogonal
directions. It is the simplest approximation which yields anisotropy of the
damaged stiffness of the material. The material is orthotropic with a
possibility of rotation of the principal axes of orthotropy. The stiffness
degradation occurs mainly for tensile loads. Hence, the evolution of damage
will be indexed on tensile strains. In compression or tension-shear problems,
plastic strains are also of importance and will be added in the model. When
the loading history is not monotonic, damage deactivation occurs because of
microcrack closure. The model also incorporates this feature.
6.13.3.3.1 Evolution of Damage

The evolution of damage is controlled by a loading surface f, which is similar
to Eq. 4:
f(n) = nie_,eijnj - e,d -- z(n) (16)
where Z is a hardening-softening variable which is interpolated in the same
fashion as the damage surface. The initial threshold of damage is ea. The
evolution of the damage surface is defined by an evolution equation inspired
from that of an isotropic model:
Iff(n*) -- 0 and n.~ de~nf > 0
rid(n) gd[1 nt- c/(rl i e * . ,

then = (n~*e~nj) 2 exp(-a(n~* ~o"J
~ * -~a)) n, de~.j (17)
else dd(n*) = O, dz(n) = 0

The model parameters are ea and a. Note that the vectors n* are the three
principal directions of the incremental strains whenever damage grows. After an
incremental growth of damage, the new damage surface is the sum of two
ellipsoidal surfaces: the one corresponding to the initial damage surface, and
the ellipsoid corresponding to the incremental growth of damage.
6.13.3.3.2 Coupling with Plasticity

We decompose the strain increment in an elastic and a plastic increment:
deij - de~j 4- d ~ (18)
The evolution of the plastic strain is controlled by a yield function which is

expressed in terms of the effective stress in the undamaged material. We have
implemented the yield function due to Nadai [6]. It is the combination of two
Drucker-Prager functions F1 and F2 with the same hardening evolution:
~t A.Itl (19)
Fi -- J24- , 3 - Bi w
where J~ and I~ are the second invariant of the deviatoric effective stress and
the first invariant of the effective stress, respectively, w is the hardening
variable, and (Ai, Bi) are four parameters (i = 1, 2) which were originally
related to the ratios of the tensile strength to the compressive strength,
denoted 7, and of the biaxial compressive strength to the uniaxial strength,
denoted fl:
A1 -- V/ 2 1 -- 7 A2 -- V ~ fl - 1 B1 - - 2 x,/2 7 B2 -- X/~
1 +7' 2 f l - 1' 1 +7' 2/3- 1
(20)
These two ratios will be kept constant in the model: fl = 1.16 and 7 = 0.4.
The evolution of the plastic strains is associated with these surfaces. The
hardening rule is given by
w = qpr + Wo (21)
where q and r are model parameters, w0 defines the initial reversible domain
in the stress space, and p is the effective plastic strain.
6.13.3.3.3 Crack Closure Effects

Crack closure effects are of importance when the material is subjected to
alternated loads. During load cycles, microcracks close progressively and the
tangent stiffness of the material should increase while damage is kept
constant. A decomposition of the stress tensor into a positive and negative
part is introduced: a = (a)++(~r)_, where (a)+, and (a)_ are the positive and
negative parts of the stress tensor. The relationship between the stress and the
effective stress defined in Eq. 14 of the model is modified:

rrijnj -- [1 - d(n)]/rr) t+i;n; + [1 -dc(n)]lrr)2i;n; (22)
where de(n) is a new damage surface which describes the influence of damage
on the response of the material in compression. Since this new variable refers
to the same physical state of degradation as in tension, de(n) is directly
deduced from d(n). It is defined by the same interpolation as d(n), and along
each principal direction i, we have the relation
dic-( dj(1 2-(~iJ)/~z'

iC [1, 3] (23)
where ~ is a model parameter.
The constitutive relations contain six parameters in addition to the Young's

modulus of the material and the Poisson's ratio. The first series of three
parameters (~d, a, ~) deals with the evolution of damage. Their determination
benefits from the fact that, in tension, plasticity is negligible, and hence ~d is
directly deduced from the fit of a uniaxial tension test. If we assume that in
uniaxial tension damage starts once the peak stress is reached, ~d is the
uniaxial tensile strain at the peak stress (Eq. 5). Parameter a is more difficult
to obtain because the model exhibits strain softening. To circumvent the
difficulties involved with softening in the computations without introducing
any nonlocality (as in Section 6.13.2), the energy dissipation due to damage in
uniaxial tension is kept constant whatever the finite element size. Therefore, a
becomes an element-related parameter, and it is computed from the fracture
energy. For a linear displacement interpolation, a is the solution of the
following equality where the states of strain and stresses correspond to
uniaxial tension:
h4~ - Gf, with 4~ - [~t(~)nk~tklnzn~]njdf~de~j (24)
where ~b is the energy dissipation per unit volume, Gf is the fracture energy,
and h is related to the element size (square root of the element surface in a
two-dimensional analysis with a linear interpolation of the displacements).
The third model parameter e enters into the influence of damage created in
tension on the compressive response of the material. Once the evolution of
damage in tension has been fitted, this parameter is determined by plotting
the decrease of the uniaxial unloading modulus in a compression test versus
the growth of damage in tension according to the model. In a log-log

coordinate system, a linear regression yields the parameter ~.
The second series of three parameters involved in the plastic part of the
constitutive relation is (q, r, w0). They are obtained from a fit of the uniaxial
compression response of concrete once the parameters involved in the
damage part of the constitutive relations have been obtained.
Figure 6.13.2 shows a typical uniaxial compression-tension response of
the model corresponding to concrete with a tensile strength of 3 MPa and a
compressive strength of 40MPa. The set of model parameters is:
E - 35,000 MPa, v - 0.15, f t - - 2.8 MPa (which yields e,a - 0 . 7 6 • 10-4);
fracture energy: G f - - 0 . 0 7 N/mm; other model parameters: 0~ = 12, r = 0.5,
q = 7000 MPa, COo -- 26.4 MPa.
6.13.3.5 H o w TO USE THE MODEL
The implementation of this constitutive relation in a finite element code

follows the classical techniques used for plasticity. An initial stiffness
algorithm should be preferred because it is quite difficult to derive a
consistent material tangent stiffness from this model. Again, the evolution of
5. |
Stress
MPa
-
-_5,
-20. _
I
-15.
-20.
-25.
-30. I I I I i
-6. -4, -2, O. 2. 4, 6.
Strain (xlO00)
FIGURE 6.13.2 Uniaxial tension-compression response of the anisotropic model (longitudinal

[1], transverse [2], and volumetric Iv] strains as functions of the compressive stress).
damage is provided in a total strain format. It is computed after incremental

plastic strains have been obtained. Since the plastic yield function depends on
the effective stress, damage and plasticity can be considered separately (plastic
strains are not affected by damage growth). The difficulty is the numerical
integration involved in Eq. 15, which is carried out according to Simpson's
rule or to some more sophisticated scheme.
REFERENCES
1. Bazant, Z.P. (1985). Mechanics of distributed cracking. Applied Mech. Review 39: 675-705.
2. Bazant, Z.P., and Pijaudier-Cabot, G. (1989). Measurement of the characteristic length of
nonlocal continuum. J. Engrg. Mech. ASCE 115: 755-767.
3. Fichant, S., La Borderie, C., and Pijaudier-Cabot, G. (1999). Isotropic and anisotropic
descriptions of damage in concrete structures. Int. J. Mechanics of Cohesive Frictional Materials
4: 339-359.
4. Mazars, J. (1984). Application de la m~canique de l'endommagement au comportement non
lin~aire et h la rupture du b~ton de structure, Th~se de Doctorat ~s Sciences, Universit~ Paris 6,
France.
5. Muhlhaus, H. B., ed. (1995). Continuum Models for Material with Microstructure, John Wiley.
6. Nadai, A. (1950). Theory of Flow and Fracture of Solids, p. 572, vol. 1, 2nd ed., New York:
McGraw-Hill.
7. Pijaudier-Cabot, G., Mazars, J., and Pulikowski, J. (1991). Steel-concrete bond analysis with
nonlocal continuous damage. J. Structural Engrg. ASCE 117: 862-882.
8. Pijaudier-Cabot, G., and Bazant, Z. P. (1987). Nonlocal damage theory. J. Engrg. Mech. ASCE
113: 1512-1533.
SECTION 6.14
Isotropic and Anisotropic
Damage Law of Evolution
JEANLEMAITRE 1 and RODRIGUE DESMORAT 2
1Universit~ Paris 6, LMT-Cachan, 61 avenue du PrEsident Wilson, 94235 Cachan Cedex, France
2 Universit~ Paris 6-LM2S, 8, rue du Capitaine Scott, 75015 Paris, France
Contents
6 . 1 4 . 1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
6.14.2 Background .............................. 514
6.14.2.1 I s o t r o p i c Case . . . . . . . . . . . . . . . . . . . . 515
6.14.2.2 A n i s o t r o p i c Case . . . . . . . . . . . . . . . . . . 515
6 . 1 4 . 3 K i n e t i c L a w of D a m a g e E v o l u t i o n . . . . . . . . . 516
6.14.3.1 I s o t r o p i c Case . . . . . . . . . . . . . . . . . . . . 516
6.14.3.2 A n i s o t r o p i c Case . . . . . . . . . . . . . . . . . . 516
6.14.3.3 D a m a g e T h r e s h o l d . . . . . . . . . . . . . . . . 517
6.14.3.4 M e s o c r a c k I n i t i a t i o n C r i t e r i o n . . . . . 518
6.14.3.5 Different E v o l u t i o n of D a m a g e in
Tension and Compression . . . . . . . . . 518
6 . 1 4 . 4 I d e n t i f i c a t i o n of T h e M a t e r i a l P a r a m e t e r s . . 519
6 . 1 4 . 5 H o w to U s e t h e M o d e l . . . . . . . . . . . . . . . . . . . . 522
6.14.5.1 Use it as a P o s t p r o c e s s o r . . . . . . . . . . 523
6.14.5.2 Use it in a F u l l y C o u p l e d S c h e m e . 524
Bibliography ..................................... 524
6 . 1 4 . 1 VALIDITY
Based on the thermodynamics of irreversible processes dealing with elastic

energy and plastic strain at mesoscale, this law is able to model any kind of
damage: ductile, creep, fatigue, and even quasi-brittle if it is used at
microscale.
According to the definition of the damage variable, the micromechanisms
act only as the surface density of microcracks and microvoids in any plane of

514 Lemaitre and D e s m o r a t
the Representative Volume Element. The materials act according to the

numerical value of the parameters which quantify the law.
The weakness of the damage law results from its generality; the accuracy of
its prediction is much better when the identification of the parameters is
performed from tests as close as possible to the case being considered for the
application.
6.14.2 BACKGROUND
The damage variable as previously defined is a scalar D if the hypothesis of

isotropy is made. It is a second-order tensor _D if, as shown by microscopic
observations, it is mainly driven by the plastic strain which makes it
orthotropic.
The specific Gibbs energy ~k* taken as the thermodynamic state potential is
qualitatively written from experimental results of damage measurements in
several directions:
p6, l+v D D 3(1-2v) rr2 +p~P

= 2E HijO'jkHklrYli-I-
2E 1 - riD n (1)
where
9 E and v are the Young's modulus and the Poisson's ratio, p is the density;
9 a is the Cauchy stress, rr~ = a i j - an6ij is the stress deviator and
a n - lahk is the hydrostatic stress;
9 /-/- (1 - _D) -1/2"
9 D n = 89
9 r/is a material parameter needed to take into account the variation of the
contraction coefficient with damage during a tension test ( r / ~ 3 for
many materials);
9 ffP is the plastic part of the thermodynamic potential.
If isotropy is considered, Dij - D~ij, H -- 1 / v / 1 - D, rI -- 1.

The isothermal law of elasticity coupled with damage derives from
e 0~*
- 'OG,; (2)
from which the effective stress is
~ __ D )D o-H
rrij (HikCrklHl j -4- 1 - r l D n fiij (3)
6.14 Isotropic and Anisotropic Damage Law of Evolution 515
or
~
~ij (4)
oiJ=l_ D
for the isotropic case (the superscript z) denotes the deviatoric part).
The energy release rate density _Y, as the contracted product _Y: /5 is the
power dissipated in the process of damage, derives from
(5)
Y~j= PODv
6.14.2.1 ISOTROPIC CASE
Y- F2qRv/2E, where rYeqis the effective von Mises equivalent stress:
~
%~J (6)
O'eq --- 1- D
R~ is the triaxiality function:
e~--5(1+v)+3(1-2v) crn (7)
6 . 1 4 . 2 . 2 ANISOTROPIC CASE
The expression of Yij will not be used. We will need instead the expression of
the effective strain energy density, denoted Y and defined as for the isotropic
case (scalar Y) as
~2
- 1 1 aeqev (8)
with the effective triaxiality function
Rv 5(1+v)+3(1-2v) F/q 2
(9)
(7H
~ e q - (_H_~D_H)eq, F/q -- 1 -Y/DH (10)
516 Lemaitre and Desmorat
6.14.3 KINETIC LAW OF DAMAGE EVOLUTION
Here again, from qualitative experiments, it is possible to choose the

dissipative potential from which derives the damage constitutive equation
F = f + FD (11)
where f is the von Mises plastic loading function written for kinematic
hardening _X, isotropic hardening R, and the yield stress ay:
f = (F_- X_)eq - R - ay (12)
and where FD is the damage potential function.
6.14.3.1 ISOTROPIC CASE
The damage evolution law is given by

OF O~FD S (s/S+l
/)=,~-~=,~--~, FD--(s+I)(I_D) (13)
where ,~ is the plastic multiplier and S and s are two material- and
temperature-dependent parameters. The normality rule also defines the
evolution of the state variable r associated with R as
/" = --;~--
OF p(1 - D), /~ -- ( 2 ~ ) 1 / 2 (14)
Then 2 =/" is identified as the accumulated plastic strain rate ib multiplied by

(1 - D ) .
Finally, the istropic damage law of evolution is
/)= ~ /~ (15)
6.14.3.2 ANISOTROPIC CASE
An extension of the isotropic case is keeping the two main properties of the
damage evolution driven by the elastic energy and the plastic strain. The
dissipative potential is now chosen as
F=f + YO[dr[o
where [.[ stands for the absolute value of the principal values of the plastic
strain tensor, so that the damage rate/)ij is always positive.
fgij--J~ ~ - (s)Slde--P J~ (17)
with i - d r / d t - J~ being always positive, the anisotropic damage law of

evolution is
/30 -- ~Pl/j (18)
or
I~1 (19)
if written in terms of principal values.
6 . 1 4 . 3 . 3 DAMAGE THRESHOLD
Experiments show that the damage initiates when a certain value of the
accumulated plastic strain pD is reached. This corresponds to the nucleation
of micro-defects, and pD is related to the energy stored in the material ~bs.
Unfortunately, standard thermodynamics gives a much too large value of Cs,
and a correction must be added. Furthermore, the contribution of the
kinematic hardening is small in the static case and negligible in the cyclic
case:
A
d/)~-
/0 R(p)z(p)dp with z(oc)-0
/m with two material parameters A and m > 1 and

(20)
Taking z(p)__~p(l-ml
writing the equality of ~b~ for the general three-dimensional case and for the
one-dimensional tensile case allows us to express PD as a function of the one-
dimensional threshold epD in pure tension (strain hardening saturated at the
ultimate stress au),
A fo p~' (aeq -- fly)L'(X-m)/m dp - A(au - ffy)epD

, 1/m (21)
mF
where (.} denotes the positive part. Then
~ _ ~ ~m
PD - - C'pD ( _
for the monotonic case, and

m
Cru -- Cry
p D - - g'pD o.mqax_}_ O.e~in
--O'y"
2
for the periodic case; / S i j - 0 if ~s---~bD or in an equivalent manner if

PK_PD.
6.14.3.4 MESOCRACK INITIATION CRITERION
Because of the definition of the damage variable, a mesocrack initiates in a

plane of normal ni when the corresponding damage reaches a critical value Dc.
This corresponds to instability of atomic decohesion after localization of
damage and strain in this plane. The damage in such a plane is given by the
norm of the damage vector Dijnj or by the larger principal value DI.
Max(D)1 = Dc ---+mesocrack initiation
6.14.3.5 DIFFERENT EVOLUTION OF DAMAGE IN

TENSION AND COMPRESSION
In compression there is partial closure of the microcracks or microvoids, and

the evolution of the damage is slower than in tension. A way to model such a
phenomenon is to introduce a crack closure parameter h, 0 < h < 1, in the
effective stress ~. A thermodynamics analysis leads then to the same laws
(Eqs. 15 and 18) of damage evolution with a change in the definition of the
effective strain energy density Y (isotropy) or Y (anisotropy).
6.14.3.5.1 Isotropic Case

We have ~ - a/(1 - D) in tension, and ~ - a/(1 - hD) in compression. The
strain energy release rate, taking into account the different behaviors in
tension and in compression, is
Y = 1~+ (or)+: (6)+ + h (rr} (o-) ~ - (1

~ -q - 2 (22
2E O - - D--)2- (1 hD) ~ D) (1 - hD)2J )
6.14 lsotropic and Anisotropic Damage Law of Evolution 519
where (.)+ (resp. (.)_) denotes the positive part (resp. negative) of a tensor in
terms of principal components and where (.) is the positive part of a scalar.
~2 /2E and to the initial damage law,
The case h - 1 corresponds to g - CreqRv
which is identical in tension and in compression. For most metals h ~ 0.2.
6.14.3.5.2 Anisotropic Case

For the anisotropic damage model the stress deviator Cr~ and the hydrostatic
stress Cr/-Iact as independent variables. This feature allows us to introduce the
quasi-unilateral conditions in the model by simply taking the positive part of
the stress deviator instead of the full stress tensor. The corresponding
function to use in the damage law (Eq. 18) is
_ 1 + V(HCrDH)2 3(1 - 2v) (CrH)2
3E --- + 2E (23)
where the "special" positive part cr~ is used, built with the eigenvalues/~i and
the corresponding eigenvectors Ti of (/-/_aD),
D - Eu - 1
Ti][_/--/-1Ti] (,~i) (24)
with the normalization T~H_-ITj -- 60. The h parameter is no longer needed to

reproduce the same order of magnitude of differences between tensile and
compression behaviors given by h ~ 0.2 in the isotropic case.

PARAMETERS
This model possesses six specific parameters which have to be identified for
each material and which are, in fact, monotonic functions of the temperature.
9 S, s, h stand for the damage evolution;
9 epD, m stand for the damage threshold; the single parameter epD is
sufficient to model the damage threshold in monotonic loading;
9 Dc stands for the mesocrack initiation.
The Young's modulus E, the Poisson's ratio v, the ultimate stress cru, and the
yield stress Cry are not specific to the damage law and are known from
elsewhere (see Table 6.14.1)
The proposed method is to first obtain rough values of the parameters from
standard tests. This set of material parameters can then be used as a starting
solution of an optimization procedure to minimize the difference between
predictions by the model and available test results of any kind.
TABLE 6.14.1 Table of material parameters
Materials Temp. E v ~y ~ru Bpu BpD m S s Dc h

~ (MPa) (MPa) (MPa) (MPa)
Steel AISI 1010 20 190,000 0.28 320 700 0.44 1 2.4 1 0.2 0.2
Stainless steel 20 200,000 0.3 260 0.10 1 7 1 0.15 0.2
AISI 316
600 140,000 0.32 6 0 1 0.2 1 0.5 0.5
Stainless steel 20 195,000 0.3 190 340 0.26 2 2.8 2 0.2 0.2
2 1/4 Cr Mo
300 177,000 0.3 145 235 0.18 2 2.4 2 0.2 0.2
500 150,000 0.3 105 165 0.12 2 1.4 2 0.2 0.2
580 134,000 0.3 85 135 0.10 2 0.6 2 0.2 0.2
Steel SOLDUR 20 200,000 0.3 380 475 0.25 0.025 1.3 0.3 5.5 0.3 0.2
355
A1. alloy 2024 20 72,000 0.32 300 500 0.03 1 1.7 1 0.23 0.2
Ceramic A1 20 400,000 0.2 306 500 0.10 1 6 1 0.99 0.2
Concrete 20 30,000 0.2 2.5 3 0 1 2.5 10-7 1 0.2 0.2
(a) A s t a n d a r d t e n s i o n test gives
9 the u l t i m a t e stress ~ru;

9 the yield stress (ry;
9 the u l t i m a t e plastic strain ~pu from w h i c h ~p~) ~ ~pu;
9 for the d a m a g e t h r e s h o l d still, m - i or 2 is a "good" value for a starting
solution.
(b) A strain localization theoretical analysis s h o w s that the l o c a l i z a t i o n in

t e n s i o n o c c u r s for ~/D~/~ 1. As in t e n s i o n (in d i r e c t i o n 1), we have
D2 -- D3 ---- D 1 / 2 (from the d a m a g e e v o l u t i o n law [Eq. 18]) a n d ~ / ~ 3; t h e n
3
Dc - Dlc ~ -
2r/
~ 0.5 (25)
(c) T h e identification of the p a r a m e t e r s S a n d s n e e d s d a m a g e
measurements;, it is best to l o o k for elasticity c h a n g e s i n d u c e d by d a m a g e
d u r i n g very l o w cycle fatigue tests (this m e a n s a n u m b e r of cycles to failure of
10 to 100).
F o r the o n e - d i m e n s i o n a l case of t e n s i o n in d i r e c t i o n 1, the law of elasticity

c o u p l e d w i t h d a m a g e s h o w s that the d a m a g e in the d i r e c t i o n s 1, 2, a n d 3 is
s i m p l y r e l a t e d to the Young's m o d u l u s E, the d a m a g e d m o d u l u s E1 in
direction 1, the Poisson's ratio v, and the damaged contraction ratio ~12 by
D1 ~ 1 E1 (26)
E
D2 = D3 --~ 1 E1 1+ v (27)
E 1 + 3v12 - 2v
Then D1 and D2 may be evaluated from experiments if the strains gl and e2 are
carefully measured during unloadings. This allows us to check the feature
D1 = 2D2 in tension and to evaluate ~/~ 3 for most metals from
rlDH -- 1 E1 1 -- 2V with DH -- 3D1 (28)

E 1 - 2v12
Referring again to the damage law written in uniaxial tension (UT) for
which [~111]- / ~ and considering the strain hardening saturated at 8eq "~ tru, we
have
d V x _ ~O'uRvU[ dD1 o"u
dp \ 2ES or og~--Log ~-~ +sLog Rvvz (29)
with
Rvuz
-
2
5(1 + v) + 3 ( 1 - 2v)
[(
1- D1
2
1-D1
Then the graph of Log (dD1/d~11) as a function of Log(Rvvz) allows for the
+
1
1--~
/1-'
identification of S and s (see Fig. 6.14.1).
I i i i
SOLDUR 355
dD11
log dEp - -
oo Plane tension
-1 I I I I
-0.1 0 0.1 0.2

log Rv
FIGURE 6.14.1. Determination of S and s.
If some very low cycle fatigue tests are not available, take s = 1 or 2,
consider Rvur ,-~ 1 (for the isotropic damage law we always have Rvur = 1),
)1/~
and obtain S from
(30)
(7 u2 g,pR - - g,pD
S ~ ~---E Dc
Having the approximate values of au, ay, gpD, m, Dc, S, and s, it is possible
to perform an optimization procedure for better values if additional test
results are available. In fact, a sensibility analysis shows that the two main
parameters that have to be adjusted are m and S.
The optimization procedure consists of two steps.
1. First, we calculate each available experiment by performing the

numerical time integration of the set of constitutive equations
fully coupled with damage. Concerning the identification of the
damage law, it is sufficient to calculate the Damage versus Accumulated
plastic strain D(p) curves (damage and plastic strain are both
directly measured) and to compare them with the experiments. A finite
element computer code may be used, of course, but mathematics
softwares are generally more efficient for uniaxial loading:
such softwares allow us to define the material parameters as arguments
of functions, and they allow us to draw curves in the programming
pattern.
2. Next, we minimize the error between computations and experiments.
This can be done on the full stress-strain curves up to failure, but again
it is advised to do it on the D(p) curves. If complex loading needs to be
considered for the identification process, a software such as SIDOLO is
needed to drive the finite element computations and to optimize the full
set of material parameters.
For the anisotropic damage law, the set of equations to be solved for any case
of loading is
D,j - I pl,j, ? = e qRv

2E
with
2
Rv ~(1 + v ) + 3(1 - 2v)
Gq -- (_H_~D_H)~q, ~n --
cr_______En
1
1 1
ff H -- -~O'kk, D. -- -~Dkk
_/-t - (_1 - p)-~/2
The integration of the damage differential equation is performed until

Max D1 = Dc, which corresponds to a mesocrack initiation. The work is fully
similar for the case of isotropic damage.
6.14.5.1 USE IT AS A POSTPROCESSOR
p
The history of stress ~rij(t) and the history of plastic strain gij(t) are given at
each point considered. They may come from
- an elastoplastic structure calculation for ductile failure;

- an elasto-viscoplastic calculation for creep or creep-fatigue failure;
- an elastic structure calculation with a local analysis by Neuber's method
when small-scale yielding induces low cycle fatigue.
They lead then to the knowledge of the history of Y, at least if the

dependency of the triaxiality function upon the damage is neglected. The time
integration of the damage evolution law (Eq. 15 or 18) is performed "a
posteriori" with an eventual initial damage D~
Dij -- D O -4-
/,0 I~_P(t) ijdt if p > PD (31)
For better accuracy, the dependency of Rv upon damage has to be made

explicit. For the uniaxial tensile case, we get
[RvuT(D1)]-SdD1 -- - ~G, depl (32)
Ductile and creep damage as well as low cycle fatigue may be analyzed by this
method. For brittle failure and high cycle fatigue, a two-scale damage model is
needed, as explained in Section 6.15.
6.14.5.2 U S E IT IN A FULLY C O U P L E D S C H E M E
When the damage is not localized and if a high accuracy is needed, the full set
of the elasto-(visco-) plastic constitutive equations coupled with damage
needs to be solved as field variables. Such constitutive equations coupled to
isotropic or to anisotropic damage need to be implemented in a finite element
computer code (for example, as a subroutine UMAT for ABAQUS). For
details, see Section 9.2. The price to pay is a very important time of
calculation.
BIBLIOGRAPHY
1. Desmorat, R. (2000). Strain localization and unilateral conditions for anisotropic induced
damage model, in Symposium on Continuous Damage and Fracture, pp. 71-79, Benallal, A., ed.,
Elsevier.
2. Desmorat, R. (2000). Mod~lisation et estimation rapide de la plasticit~ et de l'endommagement.
Th~se d'Habilitation h Diriger des Recherches, Universit~ Paris 6.
3. Desmorat, R. (in press). Fast determination of localized plasticity and damage by energetic
methods. Int. J. Solids Structures, submitted for publication.
4. Lemaitre, J. (1992). A Course on Damage Mechanics, Springer Verlag.
5. Lemaitre, J., Desmorat, R., and Sauzay, M. (2000). Anisotropic damage law of evolution. Eur. J.
Mech. A/Solids 19: 187-208.
6. Sermage, J. R, Lemaitre, J., and Desmorat, R. (2000). Multiaxial creep fatigue under
anisothermal conditions. Fatigue and Fracture of Engng Mater. & Struct., 23(3): 241-252.
SECTION 6.15
A Two-Scale Model for Quasi-
Brittle and Fatigue Damage
RODRIGUE DESMORAT1 and JEAN LEMAITRE2
1Universit~ Paris 6-LM2S, 8, rue du Capitaine Scott, 75015 Paris, France
2 Universit~ Paris 6, LMT-Cachan, 61 avenue du Pr~.sident Wilson, 94235 Cachan Cedex, France
Contents
6.15.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
6.15.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . 526
6.15.3 Description Of The Model . . . . . . . . . . . . . 527
6.15.3.1 Three-Dimensional Model for
any Kind of Loading . . . . . . . . . . 528
6.15.3.2 Monotonic Failure of
Brittle Materials . . . . . . . . . . . . . . . . 529
6.15.3.3 Formulae for Proportional
Fatigue Loading . . . . . . . . . . . . . . . 530
6.15.3.4 Formulae for Two-Level
Fatigue Loading . . . . . . . . . . . . . . . 532
6.15.3.5 Stored Energy-Based Damage
Threshold for Multilevel Loading. 532
6.15.4 Identification of the Material Parameters 533
6.15.5 How to Use the Model . . . . . . . . . . . . . . . . . 534
6.15.6 Tables of Material Parameters . . . . . . . . . . 535
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
6.15.1 VALIDITY
This model describes the progressive deterioration of solid materials up to a

mesocrack initiation. It can be used to predict the state of damage and the
conditions of crack initiation in mechanical components subjected to
mechanical and thermal loadings. It applies to the quasi-brittle type of

526 Desmorat and Lemaitre
damage as brittle failure and high cycle fatigue. In both cases the damage is
always very localized at a microscale in the vicinity of a defect considered as a
weak inclusion.
Two scales are considered (in addition to the macroscopic scale of
structures): the mesoscale or scale of the representative volume element
(RVE) of continuum mechanics, and the microscale or scale of a microdefect
(microvoids, microcracks) embedded in the RVE. The model is written for
isotropy, but anisotropic damage (Section 6.14) may be easily incorporated.
An initial elastic structure calculation (analytical or by finite element [FE]
analysis) is needed to define the stress and strain fields at the mesoscale. The
time histories of the stresses and strains at the most loaded point(s) of the
structure are then the inputs of the model. The main output is the evolution of
the damage as a function of loading, time, or of the number of cycles.
The present analysis may also model failure with (visco-)plasticity at
mesoscale. In that case the mesostresses and mesostrains may be the result of
a mechanical analysis of the structure by means of an FE analysis or of any
analytical or semianalytical procedure like the Neuber method following an
elastic calculation.
6.15.2 BACKGROUND
The points that need to be recalled are as follows:

1. The description of elastoplasticity coupled or not to damage (see
Sections 4.2 and 9.2).
2. The isotropic damage law of evolution described in Section 6.14.
3. The definition of two scales to model a weak inclusion embedded in the
RVE. The fields in the inclusion (stress tensor a~, total strain and plastic strain
tensors ~ , f, ~P
ij , damage D ~ . .) have a #-superscript meaning microscale when
the fields at the mesoscale of the RVE are simply denoted crij, ~ij, ~. Note that
we consider damage at microscale only, and we will omit the #-superscript in
that case by setting D ~ = D.
The scale transition is made by using the Eshelby-Kr6ner localization law:

the total and plastic strains at microscale are related to the strains at the
mesolevel as
F,~ -- F,ij -~ j~(F,~ p -- 4) (1)
where fl is given by Eshelby's analysis of a spherical inclusion,
2 4-5v
= (2)
15 1 - v
6.15 A Two-Scale Model for Quasi-Brittle and Fatigue Damage 527
Equation 1 may also be written in term of stresses or effective stresses:
ff~J -- 1 - D : O'ij - 2G(1 - fl)(e~ p - ePij) (3)
where v is the Poisson's ratio, G the shear modulus, and E the Young's
modulus.
4. The definition of a proportional loading. A proportional loading at
mesoscale corresponds to a stress field aij(M, t) of constant principal
directions proportional at the considered point M to a given tensor Tij(M),
6i) -- a(t)Tij, Teq -- V/3 TijDTijD -- 1 (4)
Tension-compression is of course a proportional loading.
Brittle and high cycle fatigue (HCF) damages are always very localized at
a scale much smaller than the plastic strain. This is the reason to consider a
two-scale model in which the damage occurs in a weak microinclusion
embedded in a meso-RVE that is elastic (or elasto-[visco-]plastic) and free
of damage. This hypothesis allows us to obtain the mesostress and strain
by a classical structure calculation that is elastic (or elasto-[visco-]plastic)
with no damage at mesoscale and to solve the constitutive equations of
elasto-[visco-]plasticity coupled with damage as a postprocessor at micro-
scale.
STRUCTURE CALCULATION
Elastic t~i~(t) ei~(t) { E

v RiE
p~ el.t
Plastic ~ ij (t) e ij (t) e ij (t) (Yf
Damage D Elastic E
v
micro Self-consistent scheme MESO
FIGURE 6.15.1 Microelement embedded in an elastic RVE.

The mechanical behavior of the material is modeled in two different

manners related to the two different scales.
- At the mesoscale the material is considered elastic because brittle or

HCF failures occur at states of stresses below or close to the yield stress.
- At the microscale the behavior is modeled by elastoplasticity coupled
with damage. The weakness of the inclusion is related to its yield stress
a; taken equal to the true fatigue limit af of the material, below which
we consider that no damage occurs. The elastoplastic properties of the
inclusion are those of the material at mesoscale below and above the
yield stress. To simplify, only linear kinematic hardening is assumed at
microscale, but with the same plastic modulus C than at mesoscale.
Since damage is considered at microscale, the isotropic damage
evolution law of Section 6.14 will in fact be written in terms of
microstress, the microenergy density release rate, and microaccumulated
plastic strain, i.e., 13 = (Y~/S)Sp~.
6.15.3.1 THREE-DIMENSIONALMODEL
FOR ANY KIND OF LOADING
The history of the plastic strains 4 ( 0 and of the stresses aij(t) at the mesolevel
being inputs, the fields at microlevel are obtained from the time integration of
the constitutive equations at microscale coupled together with the law of
localization (Eq. 1) even for fatigue cyclic loading. The equations to be solved
are those of elastoplasticity coupled with damage with linear kinematic
hardening (yield function f ~ - (#9- X_#)eq-af in which X~ is the back
stress):
~ = aj + fl(a~P - ~ ) (or Eq. 3)
r 1 + v. v .~
=
c?~= 1 - D
(5)
2 (_~" - _X")e,/1 - D
X~" -- ~ 2 C ~ 7 ( 1 - D )
/3-- p~ if Cs>r or P~>pD
O- u u O'y
PD -- 8pD .ry~e~a
x - + a~d, _ for cyclic loading
2
The strain energy release rate Y', taking into account the different behaviors
in tension and in compression, is defined as
Y~ l+v[(_a~)+:(_a~/+ (rr~) .(rr~) ]

= 2---Y il--D) +h (1 -- hD) -.
vI(Trcr~)2 (-Trcr/~)2] (6)
where (.) + (resp. (.)_) denotes the positive part (resp. negative) of a tensor in
terms of principal components and where (.) is the positive part of a scalar. By
the introduction of the crack closure parameter h (for most of metals h ~ 0.2),
the consideration of the damage law 1 3 - (Y~/S)Sp ~' takes into account the
partial closure of the microcracks or microvoids in the evolution of the
damage. The case h - 1 corresponds to Y~ - 6~2R~'/2Eeq - - v i
(with the notations of
Section 6.14) and to a damage law that is identical in tension and in
compression.
Finally, 2 = p ~ ( 1 - D) is the plastic multiplier calculated from the con-
sistency condition f~ = 0 and f ~ - 0 in plasticity, and from Norton's law
JL -- (f~/K) N in viscoplasticity. C is the kinematic hardening parameter, and K,
N are Norton's parameters.
When the damage D reaches the critical value Dc, there is initiation of a
mesocrack.
6 . 1 5 . 3 . 2 MONOTONIC FAILURE
OF BRITTLE MATERIALS
For proportional monotonic loading at mesoscale aij = a(t)Tij, Teq = 1, it is

possible to perform an analytical integration of the damage law up to D = De.
The hypothesis of no plasticity at mesoscale is made, and the formulae
obtained here apply to quasti-brittle materials. A damage threshold epD -- 0 is
considered (take also m = 0).
There is microplasticity for mesostresses larger than the fatigue limit af.
A scalar e~ is defined to quantify it under the proportional loading
assumption,
Ct)
when Cr~f 8~P---~8~Tij
3 D and 6-" -- C/~ ~ 3G(1 - fl) (7)
In general, we have C/G ~ 1" this shows that for a _> r the von Mises stress at
microscale remains quasi-equal to the limit fatigue (d"~ ~ 0 in the previous
equation and then a~ ~ af).
The time integration of the damage law (coupled with Eq. 7) allows us to
calculate the damage D at a given mesostress a,
3G(1 - fl)(2ES) s RS"* fff.,I
by introducing
2 1 (1 - 2v)~ 2
Rv, ( ~ ) - - 7 ( 1 + v ) + 7 (9)
The function Rv, (~) varies significantly over the integration intervals, and
an approximate formula for the stress to failure may be derived only for small
values of s not far from 1"
30(1 - fi)(2ES)SDc
err ,-~ ~f + _2sDs (Tkk) (10)
f /XV*
For compression-like loading (a < 0), considering the parameter h within the
comp
damage law allows us to calculate the stress at failure in compression crR
much larger than in tension and to show that
0"~ nsi~ -- tTf '~ hS (11)
oR I-os
comp
6.15.3.3 FORMULAE FOR PROPORTIONAL

FATIGUE LOADING
For proportional cyclic loading at mesoscale aij = a(t)Tij, Teq = 1, of

constant stress amplitude Aaij = AaTi) between O'minand Crmax - - O'min+ A o ' , it
is possible to obtain accurate formulae for the number of cycles to crack
initiation. For simplicity we assume here that h = 1 and we limit the analysis
to the case of elastic fatigue (Aa ~_ 2af).
The model will predict failure only if the stress amplitude at mesoscale is
larger than twice the fatigue limit (i.e., if Ao- > 2o-f). The plastic strain
increment over one cycle fcyde p~dt is then
ap, 2(a~- 2~f)
6--N = 3G(1 - fl) (12)
Damage will initiate after a number of cycles No when the damage threshold
pD is reached:
No=PD [6G(1-fl) Ou-Cry ]m
@ , pD -- g,pD C mo- - ~ f (13)
aN
The damage increment over one cycle will then be
aN = 3ES 3G(1 - fl) if Tkk -- TrT - 0 (14)
o-~s+lq)* (o-minTkk' o-maxTkk) (15)

cSD _ \ o-f o-f if Tkk -- TFT yk 0
aN Tkk3G(1 -- fl)(2ES) s
where the adimensional function ~. is introduced,
cp* (x, y) ~
2
RS~.({)d{ +
/x R~. ({)d{ (16)
with Rv, defined by Eq. 9. The function qg* (x, y) can be easily calculated by
using mathematics softwares. A simple conservative approximate formula
may be derived only for small values of s,
q)* (x, y) ~ (y - x - 2)[RSv.(x) + RSv.(y)] (17)
The formulae for the number of cycles at crack initiation are finally
3es e
N -N0+ (1 -/3)D~
2(Ao-- 2o-f) if Tkk -- 0 (18)
Tkk3G(1 -- fi)(2ES)~D~
- if Tkk r 0
NR No -q- o-ffs+l(49* (o-min o-f Tkk)
k,, o-f Tkk, o-max (19)
They exhibit
9 a mean stress effect in tension identical to the mean stress effect in
compression (due to h = 1); a mean stress effect different in tension and
in compression is obtained with h = 0.2;
9 no mean stress effect in shear as experimentally observed.
6.15.3.4 FORMULAE FOR Two-LEVEL

FATIGUE LOADING
We consider here a two-level periodic loading in the fatigue regime

of stress amplitude At)"1 ~ O'maxl--O'minl and A~2 and of mean stress
~1 -- (O'maxl -Jr- O'minl)/2 and F2. N -- N1 cycles of level i = 1 are followed by
N2 cycles of level i = 2 up to failure for a number of cycles N R - N1 q-N2.
Each level (denoted i) applied alone leads to a number of cycles to failure NRi
after a number of cycles up to damage initiation Noi.
Two cases may be defined:
(a) N01 < N1; damage initiation occurs during the first level. The number of
cycles at failure NR -- N1 -Jr-N2 (N1 known) is determined by:
N, + NR -- N1 _ NR1 (20)
NR1 - - No1 NR2 -- No2 NR1 -- No1
(b) N01 ) N 1 , damage initiation occurs during the second level. The
number of cycles to failure is given by
N1 } NR -- N1 = . ~NR2 (21)
No1 No2 No2
Because of the existence of a nonzero damage threshold (No/~ 0), the

previous relationships lead to a rule of damage accumulation different from
the classical Miner's rule N1/NR1 + N 2 / N R 2 - 1. In the diagram N1/NR1
versus N2/NR2, the rule obtained is bilinear with an angular point P of
coordinates ([NR -- NOl]/NR2, Nol/NR1). It represents well the nonlinear
accumulation of damage observed experimentally.
6.15.3.5 STORED ENERGY-BASED DAMAGE THRESHOLD

FOR MULTILEVEL LOADING
Each level is periodic between Omi n-(i) and a~)ax at mesoscale, corresponding
to von Mises stresses a ~'(i) eqmin and a l'(i)
eqmax at microscale (stress amplitude
A o . i _ O.(m/)ax_ ~ larger than 2crf). Damage will initiate after n levels when
the stored energy density reaches a loading-independent threshold or in an
equivalent manner when the accumulated plastic strain p~ reaches the
loading-dependent threshold PD given by:
/ Cry(")
Cqmin + ~(")
cq. . . . / iIm 11 m ]
2 -- [eD -( P n"- 1 ) q-
(22)
_qt_ eqmin -~- eqmax 1/m 1 x 1/m
k=l 2 -- O'f [(p~) -- ( P ~ - I ) /m] __ (0. u _ O'Y)g'P D
where p~ is the value of the accumulated plastic strain reached at the end of
level (k).
6.15.4 I D E N T I F I C A T I O N OF THE
MATERIAL PARAMETERS
For each material at each temperature considered, the numerical values of two
sets of parameters must be identified.
9 Parameters at mesoscale. The Young's modulus E, the Poisson's ratio v, the

yield stress try, the linear kinematic hardening parameter C, and the
ultimate stress rru are identified from a classical tensile test at mesoscale.
The damage threshold ~po may also be derived from such a test (see
Section 6.14) or may be identified from two-level fatigue tests at the same
time as the exponent m (next paragraph). The fatigue limit rrf needs
some fatigue tests in order to obtain the quasi-asymptotic part of the
W6hler curve.
~ Parameters at microscale. The damage strength S, the damage exponent s,
the damage threshold ~pm, the exponent m, and the critical damage De
can be determined only by a nondirect identification, since mechanical
tests at microscale are not possible to perform.
The W6hler curve and some two-level low cycle fatigue tests are the
experimental data needed to identify the five parameters S, s, ~pm,m, and
Dc by an optimization procedure, either by "manual groping" or
numerically with a "good" starting solution deduced from the number of
cycles to failure for periodic tension-compression tests (Eq. 19).
The explicit formulae given for two-level fatigue tests may help in the
identification of the damage threshold parameters (if such tests are
available, of course). The angular point P already defined corresponds to
the case N01 = N1 for which the damage initiates at the time of level
change. This is a way to m e a s u r e N01 and to consequently adjust the
values of ~po and m of Eq. 13.
For brittle materials with no fatigue tests available, one can consider
epD = 0, m = 0 (there is then no need of C), O'f of the order of cru/2, s = 1, and
D~ = 0.2, and use Eqs. 8-10 and 11 to identify S and h.
In general, the set of material parameters concerning the damage law (at
microscale here) is identical to the set at mesoscale obtained for the single-
scale damage model of Section 6.14, the parameter which needs to be
carefully identified in fatigue being then the exponent m.
Failure of brittle materials and high cycle fatigue (HCF) of ductile materials
are both calculated with the two-scale model (with different material
parameters) with the same computer code, the postprocessor DAMAGE2000,
which is the numerical implementation of the three-dimensional constitutive
equations. The code DAMAGE2000 is able to handle any kind of loading,
proportional or not, monotonic or fatigue, and fatigue periodic by block or
random fatigue.
To integrate the set of equations for a given history or(t), ~(t) of mesostress
and strain, a strain-driven algorithm is used in the classical iterative Newton's
method with the elastic predictor-plastic corrector procedure. A "jump in
cycle" procedure based on stepwise linearized damage saves much computer
time in the case of HCE The scheme for the numerical integration of the
constitutive equations as well as the Fortran subroutine of the initial version
of the two-scale model may be found in Reference [7].
For brittle materials, the simple formulae of Eqs. 8-11 may be used for
failure under tensile, compression, or any other proportional loading.
For HCF applications, the simple formulae of Eqs. 19 and 20-21 may be
used for single- and two-level fatigue loading. For multilevel experiments the
accumulation rule of the damage is
(N1 - N01) N + ~ Nh ~-~ -- Dr (23)

k=2
where for simplicity damage is assumed to initiate on the first level after a
number of cycles N01 and where Nh cycles of periodic loading at level (k) are
made. The total number of cycles NR is then given by Eq. 23 with
NR - - N1 q- N2 q - . . . q- Nn, each number of cycles N 1 , . . . , N n - 1 being known.
It has been confirmed that this model contains the following properties:
effect of stress or strain amplitude, effect of mean stress in tension, no effect in
shear, effect of compression (with h < 1), nonlinear accumulation (due to the
existence of the damage threshold), effect of an initial hardening or initial
damage, no effect of an overload, fatigue limit in two or three dimensions,

bi- or three-axial fatigue, effect of nonproportional loading, and fatigue under
any history or random loading.
6.15.6 TABLES OF M A T E R I A L P A R A M E T E R S
TABLE 6.15.1 HCF of Steels (E = 200,000 Mpa, v = 0.3).
Material ay (Mpa) Cru (Mpa) ~rf (Mpa) C (Mpa) epD m S(Mpa) s Dc h
Stainless steel 400 600 200 2000 0.005 1 0.5 2 1 0.2

SOLDUR355 400 475 180 500 0.025 1.3 0.3 5.5 0.3 0.2
TABLE 6.15.2 Brittle Material.
Material E(Mpa) v cru(Mpa) crf(Mpa) epD S(Mpa) s Dc h
Concrete 30,000 0.2 3 1.5 0 2.3 • 10 -8 1 0.2 0.05
REFERENCES
1 Desmorat, R. (2000). Mod~lisation et estimation rapide de la plasticit~ et de

l'endommagement. Th~se d'Habilitation fi Diriger des Recherches, Universit~ Paris 6.
2 Desmorat, R. Fast determination of localized plasticity and damage by energetic methods. Int.
J. Solids Structures (submitted for publication).
3 Eshelby, J. D. (1957). The determination of the elastic field of an ellipsoidal inclusion and
related problems. Proc. Roy. Soc. London, A241: 376.
4 Kr6ner, E. (1961). On the plastic deformation of polycrystals. Acta Metall. 9: 155-161.
5 Lemaitre, J. (1992). A Course on Damage Mechanics, Springer Verlag.
6 Lemaitre, J., Desmorat, R., and Sauzay, M. (2000). Anisotropic damage law of evolution. Eur. J.
Mech. A/Solids 19: 187-208.
7 Lemaitre, J., and Doghri, I. (1994). Damage 90: A post-processor for crack initiation. Comput.
Methods Appl. Mech. Engrg. 115: 197-232.
8. Sauzay, M., and Lemaitre, J. (2000). Post-processeur de m~canique de l'endommagement.
Notice 10, LMT-Cachan.
9. Sermage, J. P., Lemaitre, J., and Desmorat, R. (1999). A two scale damage concept applied to
fatigue. Int. J. Fract. 97: 67-81.
CHAPTER 7
Cracking and Fracture

SECTION 7.1
Introduction to Cracking
and Fracture
JEAN LEMAITRE
Fracture mechanics deals with existing cracks. But from a practical point of
view, what is an initial crack?
It can be a known defect created by a mesofracture event during a forming
process, for example, which has the sharp shape of a crack. It can also be a
known defect with a smooth shape which does not represent a crack in the
sense of fracture mechanics. The fracture analysis of such a defect needs first a
"crack" initiation procedure to be applied to initiate a sharp shape, and then
the fracture mechanics procedure is followed.
It can also be the final stage of damage giving rise to a mesocrack of the size
of the representative volume element (RVE): an abstract concept. A way to
match damage mechanics and fracture mechanics is to consider that the
damage mesocrack of size a0 has consumed an energy which can be calculated
in two ways:
3 Dc
9 a volume damage energy: a o fo YdD, Y being the associated variable to
the damage variable D;
9 with a surface fracture mechanics energy: fjoa~ Gd(a2), G being the strain
energy release rate, the associated variable to the crack surface.
A development of this concept may be found in Section 7.2, but an

approximation of microcracks or crack growth in mode I at constant stress
allows us to write
2E Gc
ao = cr~ Dc
where Gc is the toughness of the material and Y the damage energy density
release rate, (see Section 6.2)
6 e2qRv O"u2
y z
2E(1 - D)

540 Lemaitre
with rru the ultimate rupture stress, E the Young's modulus, and Dc the critical
damage at mesocrack initiation (De ~ 0.5 for many materials).
Fracture mechanics relates the length or the surface and the shape of the
cracks to the intensity of the loading related to the crack.
9 From the thermodynamic point of view, the load is expressed by the
energy release rate G, the conjugated variable to the crack surface A
which can be calculated from the overall potential energy W of a
structure calculation:
0W
G=~
OA
9 From the point of view of conservation of energy, loading is described
in terms of contour integrals around the crack tip, such as the
Rice integral:
J = Wen1 - ffijnj OX1f ds
where we is the elastic energy density, ff is the normal to the contour C,

nl being its component along the linear crack in a bidimensional
medium, and ff is the displacement in the structure.
9 In a local analysis, crack loading is in terms of the stress intensity factors
characterizing the singularity of the elastic stress field at the crack tip.
For example, in a pure mode I of opening of the crack
KI -- lim (0"222V/~)
r---,0
r being the polar coordinate from the crack tip r = 0 and rr22 being the
normal stress in the direction normal to the crack. This background is
described in Section 7.3. Nevetheless, the probabilistic approach of
Weibull directly relates the probability of fracture to the applied loads
(see Section 7.4).
Fracture mechanics considers different mechanisms of failure, depending
upon the materials and the loadings.
9 Brittle failure, in which no or almost no plasticity avoids an instability
phenomenon of sudden fracture (see Section 7.5, and Section 7.6, in
which the friction between crack lips is taken into account).
Delamination of coatings is described in Section 7.7.
9 Ductile or creep failures when plasticity or viscoplasticity induce stable
crack growth (see Sections 7.8 and 7.9).
9 Fatigue failure for cyclic loading (see Section 7.10) where the
crack grows at each cycle with the phenomena of crack opening and
7.1 Introduction to Cracking and Fracture 541
crack closure as explained in Section 7.11. It can also be related to

damage concepts (Sections 7.11 and 7.12). It induces specific
phenomena when dynamic effects occur (as discussed in Section 7.13).
Fracture mechanics is finally an engineering tool for designing and
controlling the structures in service for safety purposes (see Section 7.14).
SECTION 7.2
Bridges between Damage
and Fracture Mechanics
JACKYMAZARS1 and GILLES PIJAUDIER-CABOT2
1L3S-Institut National Polytechnique de Grenoble, 38041 Grenoble Cedex 9, France
2Laboratoire de G~nie Civil de Nantes Saint-Nazaire, Ecole Centrale de Nantes, BP 92101,
44321 Nantes Cedex 03, France
Contents
7.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542
7.2.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543
7.2.3 Equivalences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 544
7.2.4 How to Use These Bridges . . . . . . . . . . . . . . . . . 545
7.2.4.1 Behavior of a Structure Using a
Combined Approach of Damage and
Fracture Mechanics . . . . . . . . . . . . . . . . . 545
7.2.4.2 Residual Strength of Initially
Cracked Structures . . . . . . . . . . . . . . . . . . 547
7.2.4.3 Identification of the Internal Length.. 548
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
7.2.1 VALIDITY
The p u r p o s e of this section is to provide a view on the possible c o n n e c t i o n s

b e t w e e n damage and f r a c t u r e m e c h a n i c s in the particular case of quasi-brittle
materials (concrete, rocks, ceramics) for w h i c h linear approaches are realistic.
The objective of this exercise is to offer the possibility to pass from one theory
to the other d u r i n g a same calculation or to obtain, from one theory,
i n f o r m a t i o n on h o w to use the other.

7.2 Bridges between Damage and Fracture Mechanics 543
7.2.2 BACKGROUND
A unified way to present damage and fracture mechanics is through

thermodynamics. It deals with energetic considerations, from which it is
easy to relate local damage variables and global fracture variables. These
considerations start with the assumption of a specific form of the free
(reversible) energy stored in the material during straining. Let us emphasise
that this section deals with the simplest possible forms of such energy. The
state equations are deduced from the free energy defined as
T = U- TS (1)
(U, internal energy; T, temperature; S, entropy).

For the elementary volume at a given state of damage D, the free energy
density is
1 D
u - ~ Aijkl~ijekt (2)
For the overall body, damaged or partially cracked, the total free energy is
written as
1
U - ~ Kq~ (3)
AijDkz is the local stiffness matrix at a given stage of damage, and eij is the local
strain component. A load denoted as Q is applied to the structure, q is the
corresponding displacement, and K is the global stiffness. Assuming linear
elasticity and isotropic damage, the relationship between AijDkl and the initial
stiffness of the undamaged material is
AijDk,- Aijk,(1 -- D) (4)
AijkZ is the stiffness matrix for the virgin material, with constant components
depending upon the Young's modulus and the Poisson's ratio for an isotropic
material which is linear elastic. At uniform and constant temperature the
state laws provide the stress-strain relations and the definition of the energy
release rates.
9 For the damaged material, Y is the damage energy release rate:

OT cOT 1
ffij ~-- O~ij -- Aijkl(1 -- D)~kl, Y = OD -- - -2 Aijkl~'ij~kl (5)
9 For the cracked structure (A is the actual area of the crack), G is the
fracture energy release rate:
cg~k cgT 1 2 OK
Q - --~q - K q , G - - - ~ -- -~ q c3A (6)
544 Mazars and Pijaudier-Cabot
The first and second principles of thermodynamics are completely satisfied if

the Clausius-Duhem inequality is also verified. For the two considered cases,
we obtain
-Y/)_0, -GA_>0 (7)
Since (-Y) is a quadratic function and K decreases when A increases

(see Eq. 6), these equations imply that / 5 _ 0 and A___ 0, showing
that irreversibilities correspond to micro- or macrocracking
propagation.
7.2.3 EQUIVALENCES
Considering the similarity of the two approaches, it seems natural to go from

one concept to the other [5]. One possible method is to transform a given
damage zone into an equivalent crack. This equivalence is thermodynamically
acceptable if the consumption of energy is the same during the two processes.
Considering the case of LEFM, the critical condition of crack propagation is
- G = Gc (Gc is the critical energy release rate). Then, the equivalent
progression dA of a crack equivalent to a state of damage in the same structure
is the solution of
a aA - - r aD(x) (8)
Conversely, it is possible to derive the fracture energy Gc from the distribution
of damage around a macrocrack which propagated in the considered structure
(Fig. 7.2.1). For this, one needs to know the distribution of damage around
the macrocrack, which is approximated as follows. Consider an infinite body
subjected to uniaxial tension in direction 1, cr~ with cr~ - 0 for i r 1 and
j 7~ 1. We assume at this stage a distribution of damage denoted as D O and the
corresponding strain field denoted as s ~ When small deviations from this
equilibrium state are analyzed, the displacement field is the solution of the
partial differential equations div((rij)- O. The evolution law of damage is
nonlocal. It is generically denoted as D = f(~) where ? is the nonlocal strain
defined in Chapter 6 of this volume [6]. The equilibrium equations have a
nontrivial (e.g., nonhomogeneous) harmonic solution with a wavelength
which is not indeterminate. In fact, the wavelength 2rt/co is proportional to
the internal length of the nonlocal continuum (for more details, see Reference
[2]). The wavelength is also a function of the evolution law of damage. The
calculation of the approximated fracture energy performed with the smallest
value of the wavelength calculated for a uniaxial tensile test and corresponds
to mode I crack opening.
FIGURE 7.2.1 Geometry of the localization band assumed for the calculation of the
fracture energy.
With the minimum wavelength, the distribution of damage perpendicu-

larly to the crack direction is (the coordinate perpendicular to the crack path
is denoted as y):
D(y) - f'+~ o~(s)I/(y 4- s)ds r/(z) -- COS((-OmaxZ)ifZ E 2 ~ m a ' 2(O--max

f7 with x
r/(z) - 0 elsewhere
(9)
The energy consumption due to crack propagation is the integral of the energy
dissipation at each material point in the fracture process zone, which
encountered damage:
r dy (10)
oo JO 2 1~1-11 1
7.2.4 HOW TO USE THESE BRIDGES
7.2.4.1BEHAVIOROF A STRUCTURE USING A COMBINED

APPROACHOF DAMAGE AND FRACTURE MECHANICS
The structure considered is a compact tension specimen (Fig. 7.2.2a) tested

by Mazars [3,4]. During the tests many observations and measures were made
r)Ocm
thickness= 10
(a) ?s
KlkN/m|
lOS !
(b) .I
t \.---..c e
"i j 1,.1
- a~)
o 13 J 20 ~n ~ ffz
a
Q kN
20
l-e,
(c)
0 -- X
---- test.
--e-+-- caLc.
Opening t"1
I I t .~
0 o.~ o.z
BIT1
FIGURE 7.2.2 Compact tension specimen, a. Geometry. b. Evolution of the stiffness with the
crack, (t) theoretical, (e) experimental, c. Global behavior. The calculation is performed using
the damage-fracture combined approach.
showing that the global behavior includes three stages:

9 OA, linear elastic;
9 AB, damage with microcracks, but without macrocrack;
9 BC, combination of both microcracking and macrocrack.
To simulate this behavior, we propose two kinds of calculation:
9 from O to B with a nonlocal damage model;
9 from B to C with linear elastic fracture mechanic.
The bridge from the first calculation to the other directly uses the equivalent
crack concept previously presented; this necessitates predetermining the
evolution K = K(A), A being the actual equivalent area of the crack equal to
a.t (a and t, respectively, being length of the crack and thickness of the plate).
See Figure 7.2.2b.
The following parameters have been used:
9 nonlocal damage calculation: E = 34,500MPa, to0 = 1.23E - 04,

At = 0.8, Bt = 20,000, lc = 3 0 m m (K0 being initial damage threshold,
and At, Bt, and lc being non local damage parameters, see Reference [6];
9 critical fracture energy at point B: QB = 18.9 kN, qB = 0 . 2 E - 03 m,
KB -- 9.5E + 04 kN/m; (-dK/dA)B - 51E + 05 k N / m 3 Gc - 1/2q 2
(-dK/dA)B = 102 N / m
9 LEFM calculation: from Eq. 6 and as - G = G~ at propagation, one can
deduce q = ( 2 G ~ ) / ( - d K / d A ) , from which comes Q = Kq.
From Figure 7.2.2b it can be pointed out:
9 that the equivalent crack length at point B is a = 13 cm;

9 that the experimental curve which gives the evolution of the ratio Q/q
(#K) versus the crack length measured directly on the surface of the
specimen is very different from the theoretical one. It confirms that the
real crack appears close to the maximum load and that the evolution on
the surface is faster than inside the specimen.
We may notice that the global behavior deduced from the G~ value is close to
the experimental one and the value determined from the analytical calculation
w is Gf = 115 N / m , which is close to the 102 N/m obtained for Go.
7.2.4.2 RESIDUAL STRENGTH OF INITIALLY

CRACKED STRUCTURES
Given a crack observed in a structure, it is possible to transform the crack into

an equivalent damage zone. Equation 9 provides the distribution of damage
except at the crack tip. The radial distribution of damage at the crack tip is
assumed to follow the same mathematical expression (in which the distance r
to the crack tip replaces the coordinate y. This distribution of initial damage
can be projected on a finite element mesh, and the response of the initially
cracked structure can be computed. Bod~ et al. [2] tested such a procedure
and found that it provided reasonable accuracy (10 to 30% error on
blind predictions).
7.2.4.3 IDENTIFICATION OF THE INTERNAL LENGTH
Size effect tests directly provide the fracture energy of the material (see
Reference [1]). Hence Eq. 10 yields a relationship between the evolution law
of damage and the wavelength of the distribution of damage, or the internal
length of the nonlocal model equivalently. Assuming that the evolution law of
damage D = f(~) is completely known, the single unknown in Eq. 10 becomes
the internal length. In practice, the evolution of damage is not necessarily
entirely known. The model parameters in the nonlocal constitutive relations
are obtained by fitting the computations of the size effect tests with the
experiments. Equation 10, with the knowledge of the fracture energy Gc, is an
additional piece of information which is helpful for reaching a good fit of the
size effects tests more easily.
REFERENCES
1. Bazant, Z. P., and Planas, J. (1998). Fracture and Size Effect in Concrete and Other Quasi-Brittle
Materials, CRC Press.
2. Bod~, L., Tailhan, J. L., PijaudieroCabot, G., La Borderie, C., and Clement, J. L. (1997). Failure
analysis of initially cracked concrete structures. J. Engrg. Mechanics, ASCE 123: 1153-1160.
3. Mazars, J. (1984). Application de la m~canique de l'endommagement au comportement
non lin~aire et h la rupture du b~ton de structure. Th~se de Doctorat ~s Sciences, Universit~
Paris 6, France.
4. Mazars, J. (1986). A description of micro- and macroscale damage of concrete structures,
Engineering Fracture Mechanics 25: 729-737.
5. Mazars, J., and Pijaudier-Cabot, G. (1996). From damage to fracture mechanics and
conversely: A combined approach. Int. J. Solids Struct. 33: 3327-3342.
6. Pijaudier-Cabot, G., and Mazars, J. (2000). Damage models for concrete. Chapter 6,
this volume.
SECTION 7.3
Background on
Fracture Mechanics
Htyg DUONG BuI 1'2, J-B. LEBLOND 3, N . STALIN-MULLER 1
1Laboratoire de M~canique des Solides, Ecole Polytechnique, 91128 Palaiseau, France
2 Electricit~ de France, R&D, Clamart, France
3 Laboratoire de Mod~lisation en M~canique, Universit~ de Pierre et Marie Curie, 8 rue du Capitaine
Scott, 75015 Paris, France
Contents
7.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
7.3.2 S t r e s s or Velocity F i e l d s Singularities? . . . . 550
7.3.3 Plane Strain, A n t i p l a n e Strain, a n d
Plane S t r e s s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551
7.3.4 Dynamic Stress Intensity Factors .......... 551
7.3.5 Small-Scale Yielding A s s u m p t i o n . . . . . . . . . . 552
7.3.6 Plasticity a n d D a m a g e . . . . . . . . . . . . . . . . . . . . 552
7.3.7 Viscoplastic Soliton ....................... 553
7.3.8 Energy considerations .................... 553
7.3.9 Ductile Fracture .......................... 554
7.3.10 Fatigue Cracking ......................... 555
7.3.11 C o n c l u s i o n s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556
References ....................................... 556
7.3.1 V A L I D I T Y
Linear elastic fracture mechanics (LEFM) is based on the analysis of cracks in

linear elastic materials. It provides a tool for solving most practical problems
in engineering mechanics, such as safety and life expectancy estimation of
cracked structures and components. The main success of the theory is based
precisely upon linearity, which makes it possible to combine very simply

550 Bui et al.
the theoretical, numerical, and experimental analyses of fracture. Today,

stress analyses of the complex geometry of structures as well as of test
specimens are provided by powerful computers using finite element
methods. The computed stress-intensity factor KI in mode I, which governs
the strength of the singular field near the crack tip, depends linearly on the
applied load. Its critical value, related to the toughness Kic of the material, is
obtained by measuring the critical load Fc at the onset of unstable crack
propagation. Strictly speaking, this scheme is an ideal one and can be used
only under restricted conditions involving the geometry of the specimen, the
flow stress level, etc. For example, there exist empirical conditions on
the crack length a which must be greater than b, the specimen thickness,
and the flow stress a>>b>>2.5(Kic/aO) 2. These empirical conditions result
from test data and correspond to the smallness of the process zone size
compared to a length scale. It also expresses the condition of smallness
of plastic deformation when compared to elastic strain. This is the
small-scale yielding assumption.
7.3.2 STRESS OR VELOCITY FIELDS

SINGULARITIES?
Without experiments, it is not easy to know to what extent a theory may be

"good" enough for practical use. Nor is it simple to do "rigorously"
experimental work to validate the theory. The rigor consists of carefully
checking the actual conditions of the experiments. For example, the
toughness of material is determined by testing specimens subjected to
monotonous increasing loads only when some onset of crack propagation is
observed. In an elastic medium with a propagating crack with the velocity V,
in plane strain or in antiplane strain loading, it is well known that the singular
stress fields near the crack tip (r --. 0) are governed by the stress-intensity
factors in modes j = I, II, III:
Kj - l i m ( r ~ O)a2i(j)(2nr) 1/2 i(I) - 2, i(II) - 1, i(III) - 3 (1)
The velocity field dui/dt is also singular at the crack tip and yields an
alternative mean for characterizing the strength of the singularity. As a matter
of fact, near the crack tip, the velocity is related to the displacement by
dui/dt ~ -VOui/Oxl, or to the crack opening displacement (COD) (I)i, because
in the vicinity of the crack tip one has ~i = [ui(xl - Vt, x2)], where [. ] denotes
the jump across the crack surface. Hence there exist three crack opening
displacement intensity factors, in the form
K}u) - l i m ( r --~ 0)? ~i(j)(27r,/r) 1/2, i(I) -- 2, i(II) -- 1, i(III) -- 3 (2)
7.3 Background on Fracture Mechanics 551
7.3.3 PLANE STRAIN, ANTIPLANE STRAIN,

AND PLANE STRESS
Equation 2 is valid for plane strain modes I and II, with 32= #/(k + 1), and
k = 3 - 4 v , /2 being the shear modulus, and v the Poissons ratio. The
mode III fracture corresponds to the antiplane shear loading with the
value 7 = #/4.
We do not give here the usual value 7 for the plane stress case,
because contrary to common belief, the formula for plane stress is
questionable. To show that, remember that the plane stress assump-
tion implies that the normal strain e33(X1,X2)-=--Y(0"11 -Jr-O'22)/E is a func-
tion of the first two coordinates Xl, x2 because aij does. The compatibility
equation for g33(X1,X2) implies that all partial second derivatives with
respect to Xl, x2 are equal to zero; hence it may be a linear function
of the coordinates e33 (Xl, x2) = aXl + bx2 + c. Clearly, the compatibility
condition is violated in the vicinity of the crack tip because precisely
the strain component g33(r, 0) as given in the textbook is singular as r -1/2.
This contradicts the linear function variation. Hence the common belief
that for thin shells the formula for plane stress prevails near the crack
tip is questionable.
7.3.4 DYNAMIC STRESS INTENSITY FACTORS
In quasi-static linear elasticity, both definitions, either by the stress (Eq. 1) or

by the COD (Eq. 2), are strictly equivalent. However, in dynamic crack
propagation, when inertial forces cannot be neglected, Eqs. 1 and 2 lead to
two distinct crack tip parameters. It has been proved that there are universal
relationships between these parameters:
K} - (v)Kj (3)
with for mode j = I, II, III
fx(V) -- {4fil (1 - flz2)}/(k + 1){4fllf12 (1 - fl2)2}

fII(V) - - {4fl2(1 - f122)}/(k + 1){4fllf12 (1 - fl2)2}
filI(V) = lift2
where flj - (1 - V2/c~) 1/2, with Cl the velocity of the compressive P-wave, c2
the velocity of the shear S-wave, and k = 3 - 4v [1]. The ratio fi is equal to 1
for V = 0, and greater than i for V ~ 0, tending to infinity when V approaches
the Rayleigh velocity.
552 Bui et al.
The multiplicity of crack tip parameters raises the question, What is the
true parameter measured in testing materials in dynamic fracture, stress- or
velocity-intensity factors? If the onset crack propagation velocity V is not
negligible, or undetermined, the critical state determining the toughness of
the material from experimental results may be differently interpreted by
inappropriate formulae for stress-intensity factors.
7.3.5 SMALL-SCALE YIELDING ASSUMPTION
This assumption is essential in LEFM theory. It explains the apparent

paradoxical statement that a linear elastic theory is capable of describing
complex situations involving nonlinearity such as plasticity, viscoplasticity,
damage, etc., which prevail in the process zone near the crack tip. Modern
asymptotic analyses using some small parameter for example, the ratio of
the process zone size to the crack length provide a mathematical
justification of this well-known concept that everyone in engineering science
is familiar with, without any mathematical tool. A good review paper on
this topic is provided recently by Willis [17]. We shall consider some
aforementioned nonlinearities.
7.3.6 PLASTICITY AND DAMAGE
A plastic correction to the linear elastic solution was first given heuristically
by Irwin. In the plastic zone, defined by the overstressed region, the normal
stress cr22 is cut off to the constant yield stress or0. Later, an exact solution
taking account of perfect plasticity was provided by Rice [15] for the
antiplane shear loading of a semi-infinite crack. The plastic zone is a circle
passing through the crack tip. According to modern terminology, the plastic
field is the inner solution while the elastic field governed by the stress
asymptotics 0"3i ~ Kiiir-1/2g(O) at infinity, r--+ oo (not for r--~ 0), is the outer
solution. Rice [15] gives an exact solution matching inner and outer
solutions. This solution has been generalized by Bui and Ehrlacher [3] to a
notch with the slit width 2h ~ 0 and the notch geometry to be determined in
such a way that cr3~ = cr0 along the notch. It is found that the notch is a cusped
cycloid and that the elastic-plastic boundary is a curled cycloid. For the
limiting case where ~r0--+ oo, one recovers Rice's solution for the crack h--+ 0
with the circular plastic zone. The notch solution can be interpreted as an
elastic-brittle damage model where the material inside the slit has been totally
damaged (zero stress state). The slit of thichness 2h is the wake damage zone,
and the cusped cycloid is the damage front.
7.3.7 VISCOPLASTIC SOLUTION
The process zone is likely a high-stress region where viscous plastic flow may
occur. An asymptotic inner solution for r--+ 0 has been provided by Hui and
Riedel [10] in the case of steady state propagation of a crack, with the velocity
V and without inertial force. The Norton and Hoff visco-elastoplastic law
without threshold is considered in the form
~ - Cl0"r H- g I0"lm-ls (m ~ 3) (4)
(the superscript r means "rate", er is the strain rate, 0"r is the stress rate, s is the
stress deviator, and 10"1is the von Mises deviator norm). In antiplane shear
loading, the nonlinear equilibrium equation corresponding to this law has
been given by Kachanov [11] in terms of the stress function ~(xl,x2):
-Vk(O~/OXl) + tl div{Igrad oIm-lgrad ~} - 0 (5)
(0"31 = --~//,2, 0"32 = ~/,1), with suitable boundary conditions on the crack tip.
Readers interested in the numerical solution of Kachanov's equation can refer
to Hui and Riedel [10]. We do not go into the details of their numerical
solution, but consider qualitatively instead its essential behavior.
The main feature of the solution is that there is an inner solution ~(r, 0, V)
having the asymptotics ~ ~ C(V)r(m-2)/(m-1)g(O) for r--+ 0. Not only is the
angular function g(0) uniquely determined, but the amplitude C(F) as well.
There is no free parameter like the stress-intensity factor K or Rice's J-integral.
We are faced with what is known in nonlinear physics as the soliton solution
of a nonlinear wave, like the well-known Korteweg and de Vries soliton in
fluid dynamics. The term soliton has the meaning of a solitary wave. The term
viscoplastic soliton was coined for the first time in Bui [5]. Let us draw the
consequence of an existing match between the inner soliton and the outer
elastic solution 0"3i~ KiIIr-1/2 at infinity r--+ oo. A matching of solution, which
can be achieved only by numerical methods, means that there exists a
relationship between KII1 and the amplitude C(V). This theoretical analysis
provides an explanation for the dependence of the toughness on crack
velocity, likely due to a viscous phenomenon occurring in the process zone.
7.3.8 ENERGY CONSIDERATIONS
Paralleling with the simple approach of LEFM, a more elaborate avenue based
on energetic considerations was followed by various authors, and notably by
Irwin in the late 1950s and 1960s. This other approach was initiated by
Griffith in the 1920s. Griffith showed that an energetic analysis of a quasi-
statically growing crack led in a natural way to some propagation criterion
554 Bui et al.
involving a critical value of the so-called energy release rate G, which could be
related to the derivative of the overall stiffness K (or compliance C) of the
body considered with respect to the crack length a, G = -(1/2)u2dK/da (or
G = (1/2)T2dC/da). This led to a simple interpretation of G in the overall
strain-overall stress diagram. From there, Irwin proved a famous relation
connecting G to the stress-intensity factors, for example, in plane strain mixed
modes I and II
G - (1 - v2)(KI2 + K~)/E (6)
This established the equivalence of Irwin's propagation criterion
involving the stress-intensity factor(s) and Grifftith's one involving the energy
release rate.
Also, Rice [15] and Cherepanov [6] simultaneously established the
existence of a line integral noted J (or F in Russian), the contour of which
must surround the crack tip and which possessed the following nice
properties: first, it is independent of the integration contour; second, it is
equal to G and thus, by Irwin's formula, connected to the stress-intensity
factor(s). If the crack is not loaded in pure mode I, the expression of J involves
all three stress-intensity factors, so that not all values of these three quantities
can be deduced from that of J. However, at least in mixed mode I + II, the
problem of separating the modes, that is, of deducing the values of both stress-
intensity factors from Rice-type integrals, was solved by Bui [4]. The main
interest of Rice's J-integral is essentially numerical: indeed, it allows us to
evaluate the stress-intensity factors through numerical integration on a path
located far from the crack tip, thus circumventing the difficulty of such an
evaluation from the unavoidably somewhat inaccurate values of the near-tip
mechanical fields.
7.3.9 DUCTILE FRACTURE
The first approach to ductile fracture, that is, fracture of materials undergoing
considerable plastic deformation prior to failure, was based on Rice's
J-integral. Indeed, the property of invariance of J with respect to the
integration path remains true in nonlinear elasticity, which made it tempting
to apply it to problems involving plasticity (unloading effects being
disregarded). In this approach, propagation was assumed to occur when
some critical value of J was reached, this critical value being allowed to
depend upon the crack length. This theory was later named the global
approach to ductile rupture, since it did not rely on any detailed
micromechanical analysis of the mechanism of ductile rupture, that is,
nucleation, growth, and finally coalescence of voids, through breaking of the
inclusions-matrix interfaces or the inclusions themselves and subsequent

plastic flow of the matrix. In contrast, the more modern theory of ductile
rupture, named the local approach, is based on such an analysis. As years
passed, the superiority of the latter approach has become clear, although the
older one is still widely used in practical problems. A first, a seminal
contribution was made by Rice and Tracey [16]; it consisted of an
approximate analysis of the growth of a void in an inifinite plastic matrix
loaded arbitrarily at infinity. Later, approximate criteria for porous plastic
solids were proposed by Rousselier [14], who extended Rice and Tracey's void
model, and Gurson [9], who proposed a model based on an approximate limit
analysis of a typical elementary cell in a porous medium (hollow sphere). This
model has become very popular. It was recently extended by Gologanu et al.
[8] to incoporate void shape effects, which were neglected in Gurson's model
of spherical voids. Void growth in plastic solids is thus now fairly understood
and described by suitable models. Therefore, the theoretical analysis of
coalescence has now become the major challenge in the local approach
to ductile rupture.
This phenomenon is very complex and is influenced by numerous factors,
such as void shape, inhomogeneities in the distribution of cavities, the
presence of a second population of secondary, smaller voids, etc. Significant
contributions have already been made in this direction, but much remains
to be done.
7.3.10 FATIGUE CRACKING
Generally, cracks leading to failure of structures originate from fatigue

phenomena. Classically, the fatigue life is divided into "initiation" and
"propagation" phases; depending on observation scales, the relative part of
each phase is variable. In structural analyses, the crack initiation size is a few
millimeters. For metallurgists, it may be of the order of microns. Some
authors neglect the initiation phase [13]. Paris's law gives the crack
propagation rate per cycle
d a / d N = C(AKI) m (7)
for long cracks in terms of the amplitude of stress-intensity factor
variations AKI. For these cracks, the defect will not grow if AKI <AKth;
however, if the applied stress S is sufficient high enough, S > 5f (the
fatigue limit), and cracks initiate and propagate until final rupture. In
Kitagawa's diagram [12], based on Paris's law and the fatigue limit concept,
the size of crack initiation corresponds to the region of LEFM applicability,
which is of the order of 100 g or more for steels. Below this size, which
556 Bui et al.
corresponds to the domain of short cracks, studied by metallurgists at the

scale of some microns. Different empirical formulae are proposed to correlate
the crack growth rate with the local shear stress acting on the gliding
plane of microcracks and/or plastic sliding shear along these planes.
Nevertherless, the way to evaluate these quantities is questionable; these
local quantities differs from macroscopic stress fields because the medium is
no longer homogeneous at the microscopic scale. The scale to be considered is
the grain size. There are stresses induced by incompatible plastic strain in
grains. An attempt to evaluate the incompatible stresses is provided by Dang
Van [7] for high cycle fatigue. This model is based on an elastic shakedown
hypothesis at all scales.
7.3.11 CONCLUSIONS
The assumption of smallmscale yielding allows us to apply LEFM

to a variety of nonlinear situations, such as plasticity, damage, visco-
plasticity, fatigue, etc. This is why LEFM is so popular in the engineering
sciences. It explains the apparent paradoxical statement that a linear elastic
theory can be used for describing complex situations involving nonlinearity. It
also explains why a theory based on stress singularity does not contradict the
small strain assumption of linear elasticity. LEFM is irrelevant in nonlinear
phenomena in ductile rupture, with fully developed plasticity, with void
growth, or in damage theory with localized phenomena. Today, such
nonlinear phenomena can only be analyzed with some confidence by the
so-called local approach to ductile rupture. However, there are still many
engineering problems for which LEFM is still useful (for example, the fluid-
filled crack problems, stress-corrosion cracking) or can be generalized to
(cracks in electro-piezoelasticity, in coupled elasticity-electromagnetism,
poroelasticity, etc.). Numerous unsolved problems in LEFM, particularly
in the fields of inverse problems (crack detection, seismology, etc.) are
also challenges.
REFERENCES
1. Achenbach,J. D., and Bazant, Z. (1972). Elastodynamicnear tip stress and displacementfields
for rapidly propagating cracks in orthotropic materials.J. Appl. Mech. 97: 183.
2. Bui, H. D. (1977). Stress and crack displacement intensity factors in elastodynamics.4th Proc.
Int. Conf. Fracture, vol. 3, Waterloo.
3. Bui, H. D., Ehrlacher, A. (1981). Propagation of damage in elastic and plastic solids, in
Advances in Fracture Mechanic, p. 533, vol. 3, Francois, D., et al., eds., Oxford-New York:
Pergamon Press.
4. Bui, H. D. (1983). Associated path-independent J-integrals for separating mixed modes. J.
Mech. Phys. Solids 31: 439.
5. Bui, H. D. (1993). Introduction aux probl~nes inverses en m~canique des mat~riaux, Paris:
Eyrolles. English translation Inverse Problems in the Mechanics of Materials: An Introduction,
CRC Press, Boca Raton, 1994.
6. Cherepanov, G. P. (1968). Cracks in solids. Int. J. Solids Struct. 4: 811.
7. Dang Van, K., and Papadopoulos, T. Y. (1997). High cycle metal fatigue: From theory to
applications.
8. Gologanu, M., Leblond, J.-B., Perrin, G., and Devaux, J. (1997). Recent extensions of Gurson's
model for porous ductile metals, in Continuum Micromechanics, chapter 2, pp. 61-130,
Suquet, P., ed., Springer-Verlag.
9. Gurson, A. L. (1977). Continuum theory of ductile rupture by void nucleation and
growth: Part I. Yield criteria and flow rules for porous ductile media. ASME J. Engng. Mat.
Tech. 99: 2-15.
10. Hui, C. Y., and Riedel, H. (1981). The asymptotic stress and strain field near the tip of a
growing crack under creep conditions. Int. J. Fract. 17: 409.
11. Kachanov, L. M. (1978). Crack under creep conditions. Izv. An SSR Mekhanika Tverdogo Tela
9(1): 57.
12. Kitagawa, H., and Takahashi, S. (1976). Applicability of fracture mechanics to very small
cracks or cracks in the early stage. 2nd Int. Conf. on the Mechanics of Behavior of Materials.
ICM2, Boston, Metal Parks, Ohio: American Metals Society.
13. Miller, K. (1997). The three thresholds for fatigue cracks propagation. Fatigue and Fracture
Mechanics, pp. 267-286, vol. 27, Piascik, R. S., et al., eds.,
14. Rousselier, G. (1981). Finite deformation constitutive relations including ductile fracture
damage. Proc. IUTAM Symposium, on ductile fracture and 3D constitutive equations, Dourdan.
Nemat-Nasser, S. N., ed., North-Holland.
15. Rice, J. R. (1968). Mathematical analysis in the mechanics of fracture, in Fracture, p. 2,
Liebowitz, H., ed., New York: Academic Press.
16. Rice, J. R., and Tracey, D. M. (1969). On the ductile enlargement of voids in triaxial stress
fields. J. Mech. Phys. Solids 17: 201-217.
17. Willis, J. (1997). Asymptotic analysis in fracture, Proceedings ICF9, vol. 4, 1849-1859,
Karihaloo, B. K., et al., eds., Pergamon.
SECTION 7.4
Probabilistic Approach
to Fracture:
The Weibull Model
FRAN(~OIS HILD
Universitd Par/s 6, LMT-Cachan, 61 avenue du President Wilson, 94235 Cachan Cedex, France
Contents
7.4.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 558
7.4.2 General Framework . . . . . . . . . . . . . . . . . . . . . . . . 559
7.4.3 Description of the Weibull Model . . . . . . . . . . 559
7.4.5 How to Use the Weibull Model:
Numerical Implementation . . . . . . . . . . . . . . . . . 564
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565
7.4.1 VALIDITY
In this section we will study the failure properties of brittle materials (e.g.,
monolithic ceramics, rocks, cement, concrete, some brittle-matrix compo-
sites). The overall behavior of these materials remains linear elastic. The
strains to failure are assumed to be small c o m p a r e d to unity. Lastly, the
toughness is at most on the order of a few M P a v ~ .
All these materials are sensitive to initial heterogeneities (e.g., inclusions,
porosities). These imperfections are created during the fabrication of the
material and are usually r a n d o m l y distributed within the material or at the
surfaces. They lead to a scatter of the failure load. Therefore, there is a need
for a probabilistic treatment of failure.

7.4 Probabilistic Approach to Fracture: The Weibull Model 559
The (cumulative) failure probability PF will be determined for structures made

of brittle materials. As soon as local crack propagation occurs at one location of
the material, the whole structure fails. In other words, as soon as the weakest
link is broken, the whole chain (i.e., the structure) fails. Within the framework
of the weakest-link statistics [1], the local failure probability Pro within a
domain ~0 of volume Vo is related to the global failure probability Pr of a
structure f2:
PF-1- exp [~o s In (1-Pr;o)dV] (i)
This relationship constitutes the basis for all existing models developed to
describe the failure of brittle materials. The cumulative failure probability of an
elementary volume Pro is the probability of finding a critical defect within a
domain f2o. The latter refers to the defect distribution characterized by a
probability density function f. The initial flaw distribution (f0) depends upon
morphological parameters related to the modeling of the defect: first a size (a),
then a defect orientation (described by a unit normal n), and then other
parameters (denoted by w). For a given load level, the set of defects D splits into
two subsets. The first one (De) is related to the defects that are critical (i.e., they
lead to the failure of a link, and therefore of the whole structure). The second
one (Dnc) contains the defects that are not critical. The higher the load level, the
larger Dc becomes with respect to D,,c. When the local propagation is unstable,
the cumulative failure probability Pro(Q) of a domain f20 for a given loading
parameter Q is given by
P.(Q) - fo(a. _.2. w) aa a.2 aw (2)

c
This definition ensures that Pro lies between 0 (i.e., D c - ~" no defect is
critical) and 1 (i.e., Dc = D: all defects are critical).
7.4.3 DESCRIPTION OF THE WEIBULL MODEL
One considers a three-dimensional situation of penny-shaped cracks of radius a

whose orientation is defined by a normal n. The failure criterion is defined as
Yll ( l, Kc (3)
560 Hild
with
, 0"2, 0"3, n)l I - - 0-1G(0-2, -0-3

-, n / (4)
- \0" 1 0" 1 -
where 0"1 > 0"2 > 0"3 are the principal stresses, Y a dimensionless geometrical
parameter, and Kc the material toughness. Let ~2c(]l~l], a) denote the solid angle
containing all the defect normals n for which the failure criterion is satisfied. By
assuming an equiangular distribution and an unbounded maximum value of defect
size, the failure probability Pro is expressed as
f
Pro - - / . fo(a) da (5)
"-'~c (ll_~ll)
_
4~
where a~([l~ll) denotes the smallest critical defect size. Similarly, the cumulative
failure probability PFo can be written as
Pro fO 4~ -~1 1 - Fo K2c 2 dn- (6)

{ Y0-1G (0-~-~212
0-3,
--,0.1 ~))
where Fo is the cumulative probability distribution of sizes. These two expressions
are completely equivalent. This fact was only recognized in the last decade [21.
When the initial distribution fo is equivalent to Ka -n for large values of the
defect size a [31, the cumulative failure probability Pro is approximated by
Pro k So / I 2 ( n - 1) , 0-1, ~---11 (7)

with
K c ( n - 1 ) 1/2(n-l)
So - u K (8)
I 2(n - 1) 0-2 0"3 _ 2 n/ ~/2 G 2(n-l) 0.2, --, /1 COS(.pd~9 d~// (9)
0-1~ ~d0 dO \0-1 0-1 -
where (.) denotes the Macauley brackets. The previous expression can be used
to derive the cumulative failure probability described by a two-parameter
Weibull law [4]"
1 (0-1(M)> I m, --(M) - - ( M ) dV (10)

Pv = 1 - exp So 0-1 ' 0-1
where m - 2(n - 1) is the shape parameter and VoS~ the scale parameter. If a
nonvanishing threshold stress Su below which no failure occurs can be defined
(i.e., there exists a bounded maximum flaw size), a three-parameter Weibull

law [4] can be defined:
Ps- 1 - exp
1
'
(~1 (M)
S0
S.) I m, - - (M) - - (M)
~ '0-1
dV (11)
Initially, Weibull proposed to consider the normal stress along the direction
n as a suitable equivalent stress [4] expressed in terms of the angles q~ and
defined in Figure 7.4.1"
ow 0, (12)
- \0-1 0"1
with
Gw , - - , ~J, r - cos 2 ~ j + - s i n 2~ cos 2 r 2r (13)

0-1 0-1 0-1
By using the angles r and ~, the solid angle is defined as
~c([l~ll,a)- {~, r 0-2, 0-3, ~, ~P)llV/-~- Kc} (14)
and
I m,~l,
(15)
-- -2 fo=/2/'~/2 [ ( cos2~p + ~0-z sin2~p) cos 2(p + -o-3
- sin 2q~]m cos q~dq~ d~
7/: J0 0-1 (9-1
It is worth noting that the equivalent stress chosen by Weibull corresponds

to an assumption of a mode I mechanism of failure (even though this notion
was not yet discovered).
Some other models enter the present framework. Of those, one may
mention the model developed by Batdorf et al. [5-7]. The formalism of that
model follows Eq. 5. Lastly, the model proposed by Evans and Lamon [8-10]
uses yet another failure criterion and is closer to Eq. 7. All the models
alluded to in this section are very similar. The key distinction between
the three models is given by the failure criterion (described by the func-
tions G) [2].
For all the models, the failure probability can be rewritten in the following
form:
PF-l-exp - ~ \ So )
562 Hild
03
~o2
FIGURE 7.4.1 Definition of the orientation of a normal n by the angles ~k and ~o.
where a stress heterogeneity factor Hm can be expressed as
1 / ~m dV (17)
Hm = Vo'~ J~
with
0"2 0"3
= alI m,--, , av -- Max (7l(m) > 0 (18)
0-1 f2
The stress heterogeneity factor characterizes the effect of the load pattern
on the cumulative failure probability. An effective volume Veff can be
defined as [ 11 ]
Vr = VHm (19)
When the latter is loaded in pure tension (i.e., Hm=l), it would lead to the
same failure probability as the considered domain ~ subjected to any loading
condition. Similarly, a Weibull stress can be defined as [12]
[- (20)
with
- (vHq ~/~ (211

Lastly, the average failure stress dv and the corresponding standard deviation
dv can be written as
{TF - S0 ( g ~ m ) l/m F ( 1+ 1) ,
(22)
-- I'(] ._~_2)-1.2(1_~__1)
where F is the Euler function of the second kind.
In some situations, the previous model is simplified by noting that
I[m, 0-2/0-1, 0-3/0-1]--constant for a unidimensional stress field. There is no
need to use the function I of Eq. 9. Instead, one may consider the maximum
principal stress at each point [12]. The model in this form is commonly used
in materials science.
For a two-parameter Weibull law, the identification procedure is straight-

forward. It consists in recasting Eq. 16 in the following form:
i (VoS~'~ (23)
In[In(l_ pF)] -- mln(o-F) - ln\vHm f
Therefore, in a Weibull plot [4], it is expected that the material data follow a
straight line whose slope corresponds to the Weibull modulus. Once the
Weibull modulus is known, the stress heterogeneity factor can be computed
by using Eq. 17, and then by knowing the intercept, the shape parameter VoS'~
TABLE 7.4.1 Weibull Parameters for Various Materials
Weibull Weibull Reference

Material modulus m stress (MPa) volume (mm 3)
Sintered SiC 9-10 400 1

SiC-B 27 550 1
SiC-HIP 8-9 600 1
SIC-150 15 250 1
SiC Nicalon fibers 3-4 1650-1750 3 10 -3
C fibers 4-5 1150 3 10 -3
A1203 8-10 100-600 1
Si2N4 8-9 750-1350 1
ZrO2 10-15 200-500 1
564 nild
can be identified. One can note that a conventional least-squares method can
be utilized to identify the Weibull parameters.
For a three-parameter Weibull law, a least-squares method can be used as
well. However, the identification procedure is not as simple as the previous one.
It is worth mentioning that a maximum likelihood procedure is also well suited
for the identification of statistical distributions such as the Weibull model.
Table 7.4.1 summarizes data for different monolithic ceramics. It can be
noted that the processing route influences the Weibull parameters of materials
with the same name.
7.4.5 HOW TO USE THE WEIBULL MODEL:

NUMERICAL IMPLEMENTATION
This model is usually coupled with an elastic calculation even though some
examples show that a nonlinear behavior may need a probabilistic description
of fracture [12]. A commercial finite element code can be used when closed-
form solutions are not available. The computation of the failure probability is
then performed numerically in a postprocessor. At each integration point i,
the equivalent stress distribution Ii[m, 0-2/0-1, 0"3/0"1] is computed by using
Eq. 9. The contribution Hmj of an element j is
~ m 0"2 0"3
= ~ 0"li Ii m , ~ , - wi (24)
Hmj 0"}' i=1 0"1 0"1
where ng is the number of integration points of the considered element and 141i
the weight of the integration point i. The stress heterogeneity factor H m is
then computed
1 ne
- /q jvj (25)
j=l
where Vj denotes the volume of the element j and ne the total number
of elements:
/1 e
V- ~ Vj (26)
j=l
Note that the computation of models described by Eq. 5 (e.g., the one
proposed by Batdorf et al. [5]) is more difficult to carry out. Lastly, the
cumulative failure probability Pv of the structure is computed by using Eq. 16
for different stress levels, since the stress intensity factor Hm is independent of
the load level. This result is not true if a three-parameter Weibull model
is used [ 14].
REFERENCES
1. Freudenthal, A. M. (1968). Statistical approach to brittle fracture, In Fracture, pp. 591-619,

vol. 2, Liebowitz, H., ed., New York: Academic Press.
2. Chao, L. Y., and Shetty, D. K. (1990). Equivalence of physically based statistical fracture
theories for reliability analysis of ceramics in multiaxial loadings. J. Am. Ceram. Soc. 73:
1917-1921.
3. Jayatilaka, A. de S., and Trustrum, K. (1977). Statistical approach to brittle fracture. J. Mat.
Sci. 12: 1426-1430.
4. Weibull, W (1939). A statistical theory of the strength of materials. Roy. Swed. Inst.
Eng. Res. 151.
5. Batdorf, S. B., and Crose, J. G. (1974). A statistical theory for the fracture of brittle sructures
subjected to polyaxial stress states. J. Appl. Mech. 41: 459-465.
6. Batdorf, S. B. (1977). Fundamentals of the statistical theory in fracture. In Fracture Mechanics
of Ceramics, pp. 1-30, vol. 3, Bradt, R. C., Hasselman, D. P. H., and Lange, E E, eds., New
York: Plenum.
7. Batdorf, S. B., and Heinish Jr., H. L. (1978). Weakest link theory reformulated for arbitrary
fracture criterion. J. Am. Ceram. Soc. 61: 355-358.
8. Evans, A. G. (1978). A general approach for the statistical analysis of multiaxial fracture.
J. Am. Ceram. Soc. 61: 302-308.
9. Lamon, J., and Evans, A. G. (1983). Statistical analysis of bending strengths for brittle solids:
A multiaxial fracture problem. J. Am. Ceram. Soc. 66: 177-182.
10. Lamon, J. (1988). Statistical approaches to failure for ceramic reliability assessment. J. Am.
Ceram. Soc. 71: 106-112.
11. Davies, D. G. S. (1973). The statistical approach to engineering design in ceramics. Proc. Brit.
Ceram. Soc. 22: 429-452.
12. Beremin, E M. (1983). A local criterion for cleavage fracture of a nuclear pressure vessel steel.
Met. Trans. A 14A: 2277-2287.
13. Weibull, W. (1951). A statistical distribution function of wide applicability. J. Appl. Mech.
18: 293-297.
14. Chantier, I., Bobet, V., Billardon, R., and Hild, F. (2000). A probabilistic approach to predict
the very high cycle fatigue behavior of spheroidal graphite cast iron. Fat. Fract. Eng. Mat.
Struct. 123: 173-180.
SECTION 7.5
Brittle Fracture
DOMINIQUEFRANCOIS
F_cole Centrale de Paris, Ch~ttenay-Malabry, 92295, France
Contents
7.5.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566
7.5.2 General Framework . . . . . . . . . . . . . . . . . . . . . 567
7.5.3 Plastic and Damaged Zones at the
Crack Tip . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 568
7.5.3.1 Small-Scale Yielding . . . . . . . . . . . . . . . 568
7.5.3.2 Perfectly Plastic Zone . . . . . . . . . . . . . 569
7.5.3.3 Damaged Zone . . . . . . . . . . . . . . . . . . . 570
7.5.4 Brittle Fracture Mechanisms . . . . . . . . . . . . 572
7.5.5 Fracture Toughness Models . . . . . . . . . . . . . 573
7.5.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . 573
7.5.5.2 Deterministic Models for Metals... 573
7.5.5.3 Deterministic Models for Brittle
Nonmetallic Materials . . . . . . . . . . . . . 574
7.5.5.4 Stochastic Models . . . . . . . . . . . . . . . . . 575
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 576
7.5.1 VALIDITY
In the case of brittle fracture, linear elastic fracture m e c h a n i c s applies, since

no or little plastic d e f o r m a t i o n precedes fracture so that small-scale yielding
conditions can be observed. The sizes of the plastic a n d of the d a m a g e d zones
are studied. Triggering of brittle fracture requires stress c o n c e n t r a t i o n s w h i c h
are p r o d u c e d either by small defects in the case of nonmetallic materials or by
h e t e r o g e n e o u s plastic d e f o r m a t i o n in the case of metals. This c o r r e s p o n d s to a
critical value of the overall m a x i m u m principal stress. Because of the r a n d o m
distribution of the m i c r o s t r u c t u r a l fracture nuclei, the fracture stress is

7.5 Brittle Fracture 567
statistically distributed. The Weibull distribution is used. Early models to

describe the fracture toughness in terms of the uniaxial stress-strain behavior
equated the maximum principal stress at some distance ahead of the crack tip
to the critical fracture stress. Using the Weibull distribution of the fracture
stress obtained by testing small specimens, a fair estimate of the fracture
toughness can be calculated and the influence of the crack front length,
temperature, and irradiation can be estimated.
Usually a material is considered brittle when it breaks at low elongations, not

exceeding a few percentage points. As a result, linear elastic fracture
mechanics (LEFM) applies well, since the deformations near the crack tip
remain very close to the elastic limit. The problem to be considered is to
understand and determine the relations between the global mechanical
behavior of the material, often determined by a uniaxial test, and the fracture
toughness, that is to say, the resistance to crack propagation. This requires
considerations about fracture mechanisms which take place near the crack
tip, since a crude model of crack propagation consists in visualizing a tiny
fictitious tensile specimen ahead of the crack tip whose fracture starts the
propagation of the crack (Fig. 7.5.1).
The notion of brittleness applies also to the fracture mechanisms. This
excludes fracture that is the result of nucleation, growth and coalescence of
cavities, since this phenomenon is essentially due to large local plastic
deformation, even though it can happen for quite low overall elongations in
some cases. This type of micromechanism will not be considered; it is covered
in another chapter of the handbook.
LEFM yields a stress and strain singularity at the crack tip which cannot
exist for real materials. A local perturbation has to take place due to either
microcracking or plastic deformation or both, which limits the stresses and
strains at finite values. Thus, for LEFM to be valid, the plastic and the
damaged zones at the crack tip must remain small enough with respect to the
size of the specimen or of the structure. The conditions for this to be achieved
will first be explained by analyzing these zones. A description will then be
given of the main brittle fracture mechanisms in order to understand the
fracture criterion and to evaluate the characteristic length needed in deriving
the relations between microscopic and macroscopic behaviors. This will allow
us to study the models which relate the brittle fracture criterion and the
fracture toughness. The most recent ones take into account the random nature
of the brittle fracture mechanisms. It will be shown how they are derived and
568 Fran~:ois
l l
FIGURE 7.5.1 Principle of the local approach to fracture mechanics, allowing us to relate the
mechanical properties of a representative volume element to the fracture toughness: the crack
propagates when the stresses and the strains at a critical distance ahead of the crack tip reach the
fracture criterion of a ficticious tiny specimen.
the important consequences which they have on the influences of various

parameters on the fracture toughness.
7.5.3 PLASTIC AND DAMAGED ZONES

AT THE CRACK TIP
7.5.3.1 SMALL-SCALE YIELDING
LEFM implies r -1/2 stress and strain singularities at the crack tip, whereas
real materials are damaged or yield plastically so that the stresses cannot
exceed a certain limit, t~c. Damaged and plastic zones perturb the LEFM
solutions near the crack tip. Small-scale yielding is such that the LEFM
singularity dominates at infinity. We keep the same designation for completely
brittle materials even though they do not yield plastically. Under this
condition of small-scale yielding, the sizes of the damaged or plastic zones are
proportional to (K/crc) 2, K being the stress-intensity factor (Fig. 7.5.2). For
LEFM to apply, they must remain small with respect to the size b of the
ligament remaining ahead of the crack. We now need to describe in more
detail these zones to obtain a good approximation of their sizes.
c~0
(K/(~c)2
FIGURE 7.5.2 Accordingto the r -1/2 elastic stress singularity, in small-scale yielding the plastic
(or damaged) zone is proportional to (K/aa)2.
7.5.3.2 PERFECTLY PLASTIC ZONE
A closed-form solution exists in mode III for the description of the plastic
zone for a perfectly plastic material the flow shear stress of which is k [ 1 ]. The
plastic zone is found to be a circle of radius ry such that
1(?) 2
ry --~-~ (1)
In mode I a fair approximation of the plastic zone size R is given by

I(K~) 2
R -- prr (2)
where Rp is the flow stress, and p is equal to 1 in plane stress and to 3 in

plane strain.
The model of Dugdale-Barenblatt is based on the representation of the
plastic zone by a constant closure stress equal to the flow stress Re acting on
the tip of a ficticious crack over a distance equal to the plastic zone size R
(Fig. 7.5.3). It is valid for thin sheets in plane stress. In this model, in small-
scale yielding, R is given by
R - -8 (4)
570 Fran~:ois
Rp
It I
FIGURE 7.5.3 In the Dugdale-Barenblat (or the Hillerborg) model, the plastic (or the damaged)
zone is represented by the extremity of a fictitious crack which encloses this plastic (or damaged)
zone, along which the closing stresses act.
This is not much different from the previous expression, Eq. 3. The small-
scale yielding condition states that the ligament size b must be large com-
pared to the plastic zone size. The condition for LEFM to be valid is
conventionally written
The mode III solution for a perfectly plastic material allows us to calculate the
strain within the plastic zone. This shows that there is a 1/r plastic strain
singularity. This cannot exist for real materials, and large deformations and
damage perturb this ideal solution.
7.5.3.3 DAMAGED ZONE
Bui and Ehrlacher [2, 4] derived a closed-form solution for the damaged zone
around a propagating crack in a brittle material which is elastic and breaks
when the maximum principal stress reaches a critical value aa. In their model
the damaged zone supports no stress, so that the crack is similar to a notch
filled with broken material. The thickness 2h of this damaged zone is given by
the simple expression
- (4)
Similarly, Bui [3, 4] treated the problem of a propagating crack in a perfectly

plastic material with a fracture strain 7g in mode III. He found that the
d a m a g e d zone w i d t h was given by
1 II
(5)
2h- 27R/7o - 1 ~
w h e r e 7o is the yield strain k/p, p being the shear m o d u l u s .

As for the w i d t h of the plastic zone 2R, it is given by
2R--- 1 ~ i E (
sin c o s - 1 - 2 h h (
+-cos-
g
1 -2h (6)
This e x p r e s s i o n r e d u c e s to Eq. 1 for a c o m p l e t e l y ductile material with no

d a m a g e d zone (h = 0).
The fictitious crack m o d e l of Hillerborg [5] is quite similar to the Dugdale-
Barenblatt one. The difference is that the closure stress d i s t r i b u t i o n at the
crack tip is n o t c o n s t a n t b u t decreases from the b o u n d a r y b e t w e e n the
d a m a g e d zone a n d the elastic singularity to zero at the crack tip (Fig. 7.5.4).
D e p e n d i n g on the function describing this distribution, the size of the
d a m a g e d zone is slightly different. This is m o r e realistic than the c o m p l e t e
and s u d d e n d e s t r u c t i o n of the resistance of the material w h e n the fracture
FIGURE 7.5.4 The slip line field around a crack tip in plane strain yields, within the large
square, the maximum principal stress which is indicated. Blunting of the crack tip assimilated
to a circle of diameter c~, the crack tip opening displacement (CTOD), modifies locally the slip
lines in the shape of logarithmic spirals. Ahead of the crack the maximum principal stress follows
a logarithmic variation as a function of the distance to the tip.
572 FranCois
stress is reached, as in the model of Bui and Ehrlacher, since it represents

better the postpeak behavior of materials like concrete. However, it suffers
from the oversimplified representation of the damage zone by a thin strip
ahead of the crack.
7.5.4 BRITTLE FRACTURE MECHANISMS [6]
The stress needed to break atomic bonds, the theoretical fracture stress, is
very large, of the order of E / I O , E being the Young's modulus. The reason that
actual fracture stresses are orders of magnitude lower is the heterogeneous
distribution of the stresses in the material. Various mechanisms can explain
this fact.
The first category of materials contains numerous microcracks. This is the
case, for instance, of glass, the microcracks occurring at the surface, or of
concrete, where they are scattered within the entire volume, particularly at the
interfaces of aggregates. These microcracks create large stress concentrations
such that the theoretical fracture stress can easily be reached. Each
microcrack can be represented by a penny-shaped crack of radius a for
which the stress intensity factor is given by
2
KI- -- c r V / - ~ (7)
7~
where a is the uniform applied stress along the normal to the crack. Such a
crack will propagate unstably when KI reaches a critical value related to the
fracture energy ?c, that is to say, the energy needed to create a unit area of
crack. The fracture stress aR is then given by
I[ ~Ey~],/2
aR -- -~ (i - v2)aJ (8)
v being the Poisson's ratio; aR is larger the smaller the microcrack size a. Since
these microcracks all have different sizes, and furthermore, since they have
different orientations, the fracture stress is statistically distributed.
The second category of brittle materials, such as ceramics, can be
microcrack-free but contain impurities in their grain boundaries which lower
the fracture energy. It is then easy to trigger fracture by breaking the material
which possesses the lowest resistance because of a combination of impurity
level, grain size, and orientation.
The third category includes the materials like metals which can deform
plastically. The stress concentration needed to create a crack, which is either a
cleavage along a particular crystallographic plane or an intergranular crack,
originates from heterogeneous plastic deformation. This plastic deformation
starts in the most favorably oriented grains for high shear stress on a
crystallographic glide plane. Shear bands are formed, at the tip of which the
stress can be high enough to cleave an adjacent grain or to break a grain
boundary embrittled by impurities. Often cleavage takes place in nonmetallic
inclusions because of the stress concentration, again created by heterogeneous
plastic deformation. The stress concentration is the higher the longer the
shear band, the length of which is related to the grain size. The fracture stress
is inversely proportional to the square root of the grain size. It is important
to note that in those materials fracture cannot occur before the elastic
limit is reached.
Thus in general it is found that the brittle fracture criterion is that of
Rankine: a critical value of the maximum principal stress. In all cases this
fracture stress, which is inversely proportional to the square root of the size of
the characteristic microscopic triggering features, is statistically distributed
because of the various sizes, orientations, and resistances of these fracture
nuclei, whether they are microcracks, weak boundaries, or grains.
7.5.5 FRACTURE TOUGHNESS MODELS
7.5.5.1 INTRODUCTION
The problem is now to relate the fracture toughness Kc, or, in terms of
fracture energy, Gc, to the fracture stress aR. The solution is sketched in
Figure 7.5.1. We need to equate the maximum stress level ahead of the crack
tip to the fracture stress. The distribution of the maximum principal stress
must be known. Furthermore, the maximum level must be reached over a
critical distance which is related to the microstructure of the material.
7.5.5.2 DETERMINISTIC MODELS FOR METALS
7.5.5.2.1 Model of Wilshaw, Rau, and Tetelman [7]

Wilshaw, Rau and Tetelman used the slip lines field around the crack tip to
evaluate the stress distribution in the plastic zone in mode I. This slip lines
field (Fig. 7.5.4) is valid in plane strain for a perfectly plastic material. It
shows that, ahead of the crack, plastic constraint increases the maximum
principal stress level up to (2 + r0k. However, the blunting of the crack tip
produces a gradual logarithmic evolution of this stress from 2k at the very
tip up to the preceding value at a distance equal to 1.9b, b being the crack tip
opening displacement. It is assumed that the blunting gives a circular shape to
5 74 Fran~:ois
the crack tip. The maximum stress is then reached at the elastic-plastic
boundary. Using the expression of the plastic zone size (Eq. 2), the fracture
toughness Kzc is found by equating the maximum principal stress at a distance
R from the crack tip to the fracture stress ag:
Kxc--3.16R v exp af _1 X/~ (9)
7.5.5.2.2 Ritchie, Knott, and Rice Model [8]

Ritchie, Knott, and Rice used the stress distribution ahead of the crack tip
given by the Hutchinson, Rice and Rosenfield (HRR) field. The HRR field
results from the J/r plastic strain energy density singularity deduced from the
path-independent J integral. In small-scale yielding, J is equal to the strain
energy release rate G. If the stress-strain law is written
--=0~ (10)
~o
where ~0 and a0 are the yield strain and strength, the stress distribution is
given by
G_ ( J ~ 1/(N+1)
ao \~aogor/ ~(N, O) (11)
where r and 0 are the cylindrical coordinates at the crack tip.

By equating this stress at the characteristic microstructural distance p to
the fracture stress, and using the relation between the strain energy release
rate G and the stress-intensity factor, it is found that
KIc -- A (crR~
--
(N+1)/2a0X ~ (12)
\Cro/
A is a coefficient close to 1, and p is equal to once or twice the grain size.
7 . 5 . 5 . 3 DETERMINISTIC MODELS FOR BRITTLE

NONMETALLIC MATERIALS
In the model of Bui and Erlacher [2, 4] the width of the damage zone h can be
set equal to the characteristic microstructural size. Equation 4 then provides
an evaluation of the fracture toughness:
K k - aav/-p (13)
where p would be the size of a volume element containing one microcrack.
7.5 BrittleFracture 5 75
7.5.5.4 STOCHASTIC MODELS
7.5.5.4.1 Fracture Toughness of Metals; Beremin Model [11]

The stress distribution in the plastic zone near the crack tip being given by the
HRR field (Eq. 11), it is possible to calculate the Weibull stress aw. A fair
approximation is given by integrating the equation giving crw within a plastic
sector of thickness B, the length of the crack front, of angle 0 and of radius R,
the size of the plastic zone, ahead of the crack. This yields
m=
aw
N+ 1
2(N + 1) - m
Cro Jk
E/
\~ao~o,/
-BO
- R2-(m/(N+1))
Vo
JIc is the critical value of J which is equal to K2c(1- v2)/E in small-scale

(14)
yielding. R being given by Eq. 2, the Weibull law (see Section 7.4) yields
IVo(~p)m (1) 1/4
KIc -- C - - au log 1 - PR RV (15)
where C is a constant.
Equation 15 includes a characteristic microscopic size as Vo, the volume
corresponding to one cleavage nucleus, is related to the grain size.
The average cleavage stress au and the Weibull exponent m are considered
to be independent of temperature. The yield stress Rp decreases when
the temperature increases, and since m is large, greater than 4, the fracture
toughness increases with temperature in relation with the yield stress.
The decrease of the fracture toughness after irradiation is also related to the
increase of the yield stress under those conditions.
Another important conclusion from this model is that the fracture
toughness is size-dependent and varies as B -1/4, where B is the length of
the crack front. This is well supported by experiments.
7.5.5.4.2 Fracture Toughness of Nonmetallic Materials

A similar model can be considered for brittle nonmetallic materials replacing
the plastic HRR field by the elastic singularity (Eq. 1). If the integration is
done over a distance r equal to the damage zone size of the order of (Kic/au)2,
an expression similar to Eq. 15 is found:
KIc--C[~-~ log(1 -
1pR) ] 1/4au (16)
The size dependence of the fracture toughness is then the same as for the
cleavage of metals.
5 76 Fran~:ois
REFERENCES
1. Rice, J. R. (1968). Mathematical Analysis In the Mechanics of Fracture, p. 191, vol. 2, Liebowitz,
H., ed., Academic Press.
2. Bui, H. D., and Erlacher, A. (1980). Propagation dynamique d'une zone endommag~e dans
un solide ~lastique fragile en mode III et en r~gime permanent. C. R. Acad. Sc. Paris, S~rie B,
290: 273.
3. Bui, H. D. (1980). Solution explicite d'un probl~me de frontKre libre en ~lasto-plasticit~ avec
endommagement. C. R. Acad. Sc. Paris, S~rie B, 290: 345.
4. Bui, H. D., and Erlacher, A. (1981). Propagation of damage in elastic and plastic solids, in
Advances in Fracture Research, pp. 533-551, vol. 2, Francois, D., ed., Oxford: Pergamon Press.
5. Hillerborg, A., Modeer, M., and Petersson, P. E. (1976). Analysis of crack formation and crack
growth in concrete by means of fracture mechanics and finite elements. In Cement and Concrete
Res. 6: 773-782.
6. Francois, D., Pineau, A., and Zaoui, A. (1998). Mechanical Behaviour of Materials, vol. 2:
Viscoplasticity, Damage, Fracture Mechanics and Contact Mechanics, Dordrecht: Kluwer
Academic Publishers.
7. Wilshaw R. T., Rau C. A., and Tetelman, A. S. (1968). A general model to predict the elastic-
plastic stress distribution and fracture strength of notched bars in plane strain bending. In Eng.
Frac. Mech. 1: 191.
8. Ritchie, R. O., Knott, J. E, and Rice, J. R. (1973). On the relationship between critical tensile
stress and fracture toughness in mild steel. In J. Mech. Phys. Solids 21: 395-410.
9. Pineau, A. (1981). Review of fracture micromechanisms and local approach to predicting crack
resistance in low strength steels, in Advances in Fracture Research, pp. 553-577, vol. 2,
Francois, D., ed., Oxford: Pergamon Press.
SECTION 7.6
Sliding Crack Model
DIETMAR G a o s s
Institute of Mechanics, TU Darmstadt, Hochschulstrasse 1, D 64289 Darmstadt, Germany
Contents
7.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
7.6.2 Basic Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
7.6.3 Simplified Models . . . . . . . . . . . . . . . . . . . . . . . . . 578
7.6.3.1 Displacement-Driven Model . . . . . . . . . . 579
7.6.3.2 Force-Driven Model . . . . . . . . . . . . . . . . . 579
7.6.4 Internal Variable Model for Brittle
Inelastic Materials . . . . . . . . . . . . . . . . . . . . . . . . . 579
7.6.5 Material Parameters . . . . . . . . . . . . . . . . . . . . . . . . 580
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581
7.6.1 VALIDITY
This is a two-dimensional model describing crack growth u n d e r compressive

loading in brittle materials and taking dry friction into account. Like others, it
is considered a basic dissipative m i c r o m e c h a n i s m underlying macroscopic
inelastic deformation, brittle damage, and splitting p h e n o m e n a at final failure
of rocklike materials.
7.6.2 BASIC MODEL
The model consists of a preexisting closed crack of length 2c with frictional

crack faces u n d e r increasing remote compressive loading, given by the
principal stresses cri with I~rll > I~r21 (Fig. 7.6.1a). Frictional crack face sliding
may be activated if the M o h r - C o u l o m b - t y p e condition
Tll2 / -- ,Fc - - ~O'111~

578 Gross
FIGURE 7.6.1 Sliding crack model, a. Basic model, b. Force-driven model, c. Displacement-
driven model.
is fulfilled where Zl,2, , and 0"1,1, are the actual stresses along PP' and Zc and
are the cohesion and friction coefficient, respectively. Once sliding with a
local relative slip b(x'2) occurs, the crack is under pure mode II loading, giving
rise to crack kinking with an angle 0 at a critical load and subsequently to the
formation of wing cracks growing under mode I conditions. They align with
the maximum compression direction after short initial curving. During crack
growth the condition
K I - - KIc
must be fulfilled. When unloading, the wings may partly close, and certain
backsliding is possible.
The change of complementary energy of the system because of crack
sliding and open wings is given by
Aqj - 2 c f0 Zl,2,(a,/~)d/~+2f0 ff(l) dl and if- K~+K~E,
where/~ is the average slip over 2c, ff is the energy release rate, l is the wing
length, KI, KH are the stress-intensity factors, and
E' -- f E plane stress
( E/(1 - v2) plane strain
7.6.3 S I M P L I F I E D M O D E L S
The basic model may be replaced approximately by the models in Figure 7.6.1b,c,
allowing a simplified calculation of the stress-intensity factors.
7.6 Sliding Crack Model 579
7.6.3.1 DISPLACEMENT-DRIVENMODEL (Fig. 7.6.1c)

E'/~ sin 0
KI = -}-
2V/2~(l + l**)
V ~ [0-11 COS2( 0 -4- (D) -4- 0-22 sin2(O q- (#) q- T12 sin 2(0 -4- qo)]
KII -~ _
E'/~ cos 0
-
1
1:12 cos 2(0 + q~) - ~ (0"11 - 0"22) sin 2(0 + q~)
]
2 V/2rc(l + l** )
7.6.3.2 FORCE-DRIVENMODEL (Fig. 7.6.1b)

F sin 0
KI - - q-~[0"11 c o s 2 ( 0 - } - ~ ) + 0"22 sin2(0+ q~) + 1:12sin 2(0+ q~)]
2v/2 (z + z*)
F cos 0 E 1
KII ~ - - x / ~ ~12 cos 2(0 + r - ~ (0"11 - 0"22) sin 2(0 + q~)
2V/2lr(l + l*)
l** -- 0.27crcZ/32, wing length correction;

l* - 0.27c, wing length correction;
F - -2q:eff, splitting force;
Te ff __ Tlr2 t - r l , Z ,r, effective shear stress;
r __ 1
Tl~2~ - - - - ~ (O'11 -- 0"22) sin 2rp + "/712 c o s 2(]9, resolved shear stress.
7.6.4 INTERNAL VARIABLE MODEL FOR

BRITTLE INELASTIC MATERIALS
The macroscopic material behavior is described by a representative volume

element (RVE) consisting of an elastic matrix material containing N
distributed noninteracting sliding crack defects. The description is based on
Rice's internal variable thermodynamic framework.
Splitting the total strain increment as
d~, = de~, + di ~,
the elastic strain increment is given by

d e ~ - M" da
580 Gross
where
a2~
Mohz --
OaijOakl , instantaneous complinance;
= 89aijMijhlahl
o + A~t, Gibbs (complementary) energy density;
M~ -- compliance of matrix material;
1 N
A - RVE area.
The inelastic strain increment follows from
1 N cgf~
where f~ is the set of thermodynamic forces in the actual state conjugated to

the internal variables (microfluxes).
Restricting the number of variables of each defect to
/~, relative slip,
l, length of straight wing cracks,
0, orientation of wings,
the thermodynamic forces and conjugated microfluxes are identified as
fl-2CZl,2,, f2-~, f 3 = S0 l -ff~dl

0~
d~l -db, d~2 - dl, d~3 - dO

The constitutive equations are completed by the three growth conditions
OK/
"FlP21 --- "/7c - - f l O ' l t l ~ , K I - - Kic, (00 - - 0
7.6.5 MATERIAL PARAMETERS
The following material parameters have to be known:

M~ , compliance of the matrix material;
2c, microcrack length;
#x, friction coefficient;
zc, cohesion;
KIc, fracture toughness;
COo - N c 2 / A , initial crack density.
7.6 Sliding Crack Model 581
As an example, approximate values for granite are

E ~ -- 580002ptMPa; v~ --0.23; c - 5 . 1 0 -4 m; COo = 0.375;
# = 0.65; 1:c = 12MPa; Kic = 0.7MPav/-m;
The model may be used:
a) as a basic mechanism in nonsimplified form, implemented directly in

numerical codes (BEM, FEM);
b) with a reduced number of internal variables (simplified model) as
material model, implemented in numerical codes (FEM, BEM).
BIBLIOGRAPHY
1. Basista, M., and Gross, D. (1998). The sliding crack model of brittle deformation: An internal
variable approach. Int. J. Solids Structures 35: 487-509.
2. Horii, H., and Nemat-Nasser, S. (1986). Brittle failure in compression: Splitting, faulting
and brittle-ductile transition. Philosophical Transactions of the Royal Society of London
319: 337-374.
SECTION 7.7
Delamination of Coatings
HENRIKMYHREJENSEN
Department of Solid Mechanics, 404, Technical University of Denmark,
DK-2800 Lyngby, Denmark
Contents
7.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
7.7.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 582
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586
7.7.1 VALIDITY
This is a method for evaluating the adhesive strength and the development of
delamination of thin coatings under small-scale yielding conditions. The
boundary between delaminated and bonded parts of the coating is treated as
an interface crack front. The radius of curvature of the crack front has to be
large compared to the thickness of the coating.
7.7.2 FORMULATION
For a large class of problems including delamination of thin coatings, possibly

with a thin adhesive interlayer, on a substrate, the analysis of the adhesive
strength can be evaluated by a method which allows the boundary between
the bonded and unbonded coating to be treated as an interface crack front. If
the radius of curvature of the crack front is large compared with the thickness
of the coating, the analysis further simplifies into a plate-type problem for the
Handbookof MaterialsBehaviorModels.ISBN 0-12-443341o3.

7.7 Delamination of Coatings 583
delaminated coating with boundary conditions along the crack front given
by displacement continuity. For a coating which is thin compared to the
substrate, displacement continuity is simply formulated by imposing
the substrate deformations as boundary conditions along the crack front.
For the plate problem, geometrical nonlinearities due to large deformations
of the delaminated coating may be included.
The interface fracture mechanics parameters are in turn computed by the
effective normal (N) and shear (5) membrane stresses and the bending
moment (M) in the delaminated region along the crack front as obtained by
the plate problem. The generalized stresses N, 5, and M should be regarded as
differences relative to the state in the bonded part of the coating just outside
the crack front, which in general should be nonzero due to residual stresses
and external loading of the composite system. A fracture criterion of the type
G = G~V(~,, 4,)
is then formulated where G is the energy release rate, Gc is the (mode 1)
fracture toughness and F is a toughness, function which describes the
dependence of the adhesive strength on the phase angles of loading, ~ and ~b
measuring the near tip mode mix.
The energy release rate and the phase angles of loading are given by
G-6(1-v 2) M 2 + h2N2~ + $2(1 + v)
Eh 3 12 J Eh
tan ~ - v ~ 2 M cos co + hN sin co cos q~ = SV/1 + v

-V/12M sin co + hN cos co'
where E and v are the Young's modulus and the Poisson's ratio for the coating,
assuming isotropic elasticity, and h is the coating thickness. The angle co is
a function of the elastic parameters for the materials on the two sides of
the interface.
The following empirically based toughness functions have been suggested
on the basis of experimental observations:
F - (1 + (22 - 1)sin2~ sin2~b + (23 - 1)cos2~) -1
F= l+(1-24) tan21/r for~=rt/2
F = 1 + tan2((1 - 25)~), for ~b = rt/2

584 Jensen
where the parameters 2 lie in the range 0 to 1 and adjust the relative
contributions of modes 2 and 3 to the fracture criterion. The following
fracture criterion has been suggested on the basis of a simple micro-
mechanical model where the variation of the fracture toughness with the
phase angles of loading is assumed to be the result of rough crack faces
getting in contact under shear-dominated loading conditions, including
frictional sliding:
1, f o r O < 6 and 4) = n/2

F -- (cos(O - a) - # sin(O - a)) -2, for a < ~ < a + arccot # and 4) = n/2
Here,/z is the Coulomb friction coefficient between the crack faces and 6 is
the angle between the normal to facets on the crack faces and the crack plane,
assumed to be the same for all facets. For ff > ~ + arccot/t the crack faces are
frictionally locked. Toughness functions formulated for combined mode 1 and
2 loadings (~b = re/2) can approximately be generalised to other loading
conditions by substituting ff with 0 where
cos 0 - Re(Khi~)
vq*c
where e is the bimaterial index and
E +
with subscript ( )~ denoting elastic constants of the substrate and fl the second
Dundurs' parameter. Finally,
where 0~ denotes the first Dundurs' parameter.
The angle co is a function of the elastic mismatch in the bimaterial system;

in most cases of interest 45 ~ ~ The elastic parameters for the
coating and the substrate may be obtained by standard methods, including
uniaxial testing.
7.7 Delamination of Coatings 585
The first Dundurs' parameter is under plane strain conditions given by
E Es
1 - v 2 1 - v s2
O~ - - -
E Es
1 - v 2 1 - v s2
and the second Dundurs' parameter fi and the bimaterial index e for practical
purposes may both be set to zero.
The parameters Go, 2, 22, and 23, and, possibly, # and & if they are not
directly measured, can be identified by fracture mechanics tests such as the
cut test or the blister test.
Residual stresses in the coating have a significant influence on the
delamination mechanics and on triggering the active mode of delamina-
tion. The residual stresses may be determined by methods such as
curvature measurement on coated wafers and x-ray diffraction lattice
strain measurement.
The model would typically be used to evaluate experimental results obtained

by standardized tests for measuring adhesive strength and residual stresses, or
it would be applied to design for safety against possible delamination modes.
As high compressive stresses are often present in the thin coatings, interface
crack propagation and buckling of the delaminated region are commonly
observed as failure modes.
Common delamination modes include edge delamination, buckling
delamination, edge delamination buckling, and propagation of buckling
delamination. For a straight-sided edge delamination parallel to a free edge
(1 - v2)N 2 71;
G-- 2Eh ' 4 ~ = 2 and 6-c~ for N > 0
where N is the effective membrane stress component in the bonded coating

perpendicular to the crack front, assuming that this stress is completely
released in the delaminated region. For N < 0 the crack faces are closed.
Instabilities of the crack front morphology frequently show up during
&lamination propagation. When investigating for stability of the crack front
shape, the mixed mode fracture criterion is compared on the original crack
front and on a sligthtly perturbed front. The preferred shape of the front is
that with the highest value of G/F(~,qS).
586 Jensen
Data are available for the following model systems:
Epoxy/glass 22 = 23 = 0.1-0.15 Gc - 5-6 J / m 2

Epoxy/glass 24 -- 0-0.5 Gc- 5-6J/m 2
Polyimide/glass 22 = 23 -- 0.1-0.15 Gc- 2J/m 2
Epoxy/plexiglass 22 = 0.3, 25 = 0.33 G~ - 30J/m 2
Mica/aluminium 25 = 0.3 Gc - 0.4-1.7J/m 2
REFERENCES
1. Jensen, H. M. (1991). The blister test for interface toughness measurement. Engineering
Fracture Mechanics 40: 475-486.
2. Jensen, H. M. (1993). A numerical method for delamination in composites. Computational
Materials Science 1: 319-324.
3. Jensen, H. M., Hutchinson, J. W., and Kim, K.-S. (1990). Decohesion of a cut prestressed film
on a substrate. International Journal of Solids and Structures 26: 1099-1114.
4. Jensen, H. M., and Thouless, M. D. (1993). Effects of residual stresses in the blister test.
International Journal of Solids and Structures 30: 779-795.
5. Jensen, H. M., and Thouless, M. D. (1995). Buckling instability of straight edge cracks. Journal
of Applied Mechanics 62: 620-625.
6. Hutchinson, J. W., and Suo, Z. (1992). Mixed mode cracking in layered materials. Advances in
Applied Mechanics 29: 63-191.
7. Suo, Z., and Hutchinson, J. W. (1990). Interface crack between two elastic layers. International
Journal of Fracture 43: 1-18.
SECTION 7.8
Ductile Rupture Integrating
Inhomogeneities in
Materials (DRIIM)
A. PINEAU and J. BESSON
Ecole des Mines de Paris, Centre des Mat~riaux, UMR CNRS 7533, BP 87,
91003 Evry Cedex, France
Contents
7.8.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
7.8.2 Formulation and Description . . . . . . . . . . . . . . . 589
7.8.2.1 Constitutive Equations . . . . . . . . . . . . . . . 589
7.8.2.2 Heterogeneities . . . . . . . . . . . . . . . . . . . . . . 590
7.8.3 Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 590
7.8.3.1 C-Mn Steel . . . . . . . . . . . . . . . . . . . . . . . . . 591
7.8.3.2 Hydrided Zircaloy . . . . . . . . . . . . . . . . . . . 591
7.8.3.3 Duplex Ferrite-Austenite Steel . . . . . . . 593
7.8.5 List of Parameters . . . . . . . . . . . . . . . . . . . . . . . . . 595
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 596
7.8.1 VALIDITY
E n g i n e e r i n g m a t e r i a l s c o n t a i n i n c l u s i o n s or precipitates. T h e s e i n h o m o -
geneities either are u n d e s i r e d i m p u r i t i e s or have b e e n a d d e d to i m p r o v e the
m e c h a n i c a l p r o p e r t i e s of the base material. T h e s e s e c o n d - p h a s e particles are
p r e f e r e n t i a l sites for the initiation of voids (either by interface d e b o n d i n g or
by particle fracture) w h i c h , in a ductile f r a c t u r e process, will g r o w a n d
coalesce, l e a d i n g to final r u p t u r e .

588 Pineau and Besson
These second-phase particles cannot be perfectly homogeneously dis-

tributed in the matrix. Their distribution is spatially heterogeneous because
particles tend to form clusters, whereas some regions of the material contain
fewer particles. Their strength (or cracking resistance) may also be
statistically distributed. The spatial distribution is characterized by a
length scale parameter 2. Depending on the size of the sample or
structure (L) compared to the characteristic length, two different situations
can be envisaged:
2 <<L: In that case the effect of the local heterogeneities cannot be noticed
at the macroscopic level. However, at the microscopic level, hetero-
geneities play an important role, so that the macroscopic ductility is
reduced compared to an ideally homogeneous material [1, 2].
2 - L: Since the material characteristic length is of the same order of
magnitude as the size of the structure, dispersion and size effects
are observed.
Size effect and dispersion have been widely studied in the case of brittle
fracture for both metals and ceramics. On the other hand, very little has been
done in the case of ductile fracture. In the present work, a "local approach to
failure" type model is presented which accounts for such phenomena in
the case of ductile failure. The model consists of two main ingredients:
(i) an experimentally measured distribution function of the heterogeneities,
and (ii) finite element (FE) calculations of samples integrating the
experimental distribution.
The model is applicable to the case of ductile fracture when inelastic
deformation is mainly due to plasticity. The model therefore excludes creep
damage, although a similar approach could be developed in that case. Metals
for which the model is relevant are therefore: (i) BCC metals above the
brittle-ductile transition temperature, (ii) FCC metals at all temperatures
for which viscoplastic deformation is limited, and (iii) hexagonal metals
(e.g., Zr).
Since the model is based on an experimentally measured distribution
function of heterogeneities, these heterogeneities have to be clearly identified
as controlling the rupture process.
The model uses constitutive equations for porous materials which are
applicable to a wide range of stress triaxiality ratios. It can therefore be
applied to any type of specimen geometry, from smooth tensile bars to
cracked structures.
The model can be coupled with a postprocessing analysis of brittle fracture
in the transition regime. In that case, local high stresses generated during
plastic (ductile) straining in the heterogeneous microstructure will be
accounted for in the calculation of the brittle rupture probability.
7.8 Ductile Rupture Integrating lnhomogeneities in Materials 589
7.8.2 FORMULATION AND DESCRIPTION
7.8.2.1 CONSTITUTIVE EQUATIONS
Inside clusters as well as in regions containing fewer defects, the material

behavior is described using constitutive equations for porous materials.
Two models are commonly used: Rousselier [3] and Gurson-Tvergaard-
Needleman (GTN) (see review in Reference [4]). They both use plastic yield
surfaces (~b = 0) incorporating the effect of pressure which are given by
Rousselier f)cry + ~00-y

~b - - (1 -0-eq "1
f D exp ((1- f)0-1) -1
0"m
(1)
2
0-eq (3q20-m~ 2 2
GTN ~b - --v + 2qlf, cosh -1- q~L (2)
\ 2~y /
where 0-eq is the von Mises invariant of the stress tensor q; 0-m is the mean
stress 1/3 trace q; D, al, ql, and q2 are constant parameters; Cry is the flow
stress of the undamaged material; and f is the porosity, jr, (GTN model) is
some function of the porosity used to represent void coalescence. In most
cases, the following simple form is used: f, = f if f<fc, f, =fc + ~ 5 ( f - f c)
otherwise. The use of f, is a phenomenological extension of the original
Gurson model for which Eq. 2 is written with f, = f.
The normality rule is assumed so that the plastic strain rate tensor is
given by
~p - fi ~ (3)
where ~ is the plastic multiplier obtained by the consistency condition q~ = 0.

The evolution of the porosity by the mass conservation:
f - (1 - f ) trace ~p (4)
These models can be modified to account for the nucleation of new

cavities. For strain-controlled nucleation (which is the most used nucleation
law), Eq. 4 is then rewritten as
f - (1 - f)trace ~p + fn with fn - An/~ (5)
where fn is the amount of nucleated porosity. An is some material-dependent

function of the state variables which relates the rate of nucleation fn to the
cumulated plastic strain rate/~ defined by the model. In some cases, damage
nucleation corresponds to the apparition of cracks in second-phase particles.
This nucleation process does not correspond to the creation of cavities as in
the case of debonding, so the volume fraction f is unchanged. In that case the
evolution law o f f is given by Eq. 4. fn represents an effective porosity that is
mechanically equivalent to the nucleated cracks. A total porosity ft is then
defined as j~ = f +fn and used in lieu o f f in Eq. 1 or 2. fn can be computed
from the crack density and the crack size, assuming that a crack has the same
mechanical effects as a spherical pore having the same projected surface. This
assumption is supported by recent extensions of Gurson's model to voided
materials containing elliptical cavities [5].
7.8.2.2 HETEROGENEITIES
To account for the heterogeneities in the material, it is necessary to define a

characteristic length ~ together with a distribution function (~-) of the
material random parameter corresponding to areas of size ~2 (resp. ~3) in the
two-dimensional (resp. three-dimensional) case. The material is represented
as a grid (although a better geometrical description such as Vorono'i cells
could be used) in which each cell is randomly assigned a value of the
parameter. An FE mesh is then superposed to this grid, as depicted in
Figure 7.8.1. Each Gauss point corresponds to a grid cell and a given value.
Note that the cell size 2 and the mesh size h are a priori not related.
Parameters of the constitutive equations, i.e., D, 0"1, ql, and qz, are usually
chosen according to values commonly used for the Rousselier or Gurson
FIGURE 7.8.1 Schematic representation showing how a random value is attributed to each
Gauss point of a mesh. The position of each Gauss point in the grid is used to determine the value
of the random parameter.
7.8 Ductile Rupture Integrating lnhomogeneities in Materials 591
model. As long as damage remains limited (i.e., no macroscopic softening

caused by damage), cry can be directly obtained from tensile experiments.
According to the spirit of the "local approach to fracture," the characteristic
length 2 and the distribution function ~- should be measured directly from
the microstructure examination (e.g., using image analysis). Fitting of
macroscopic data (displacement-load curve, crack advance) using ~- as the
adjustment parameter is not advised. If some fitting appears necessary,
realistic bounds for the parameters should be proposed based on micro-
structure examinations.
According to the previous remarks, the identification procedure will
strongly depend on the investigated material. In the following, it is illustrated
using three very different materials: (i) a C-Mn steel containing MnS
inclusions [6], (ii) Zircaloy containing various amount of zirconium hydride
precipitates [7], and (iii) a ferrite-austenite duplex steel [8, 9].
7.8.3.1 C - M n STEEL
In this type of material, ductile rupture is controlled by the growth and

coalescence of voids initiated around large MnS inclusions which debond
during the early stages of plastic deformation. These inclusions are not
homogeneously distributed and tend to form clusters as depicted in
Figure 7.8.2. The mean distance between clusters is equal to 250 ~tm, which
is considered the characteristic length (2). Images of size 2 x 2 were then
analyzed to determine the local inclusion content which corresponds to a
local initial porosity which is considered as the random variable. The
resulting distribution function is plotted in Figure 7.8.2.
7.8.3.2 HYDRIDED ZIRCALOY
In this example, ductile rupture is controlled by the nucleation of numerous

cracks in brittle hydrides. This material is presented to illustrate how the
nucleation kinetics can be measured based on microstructural observations.
The nucleation kinetics can be experimentally determined using tensile
necked specimen after rupture. Because of the presence of the neck, a strong
plastic strain gradient exists. This allows, using a limited number of
specimens, the establishment of a relation between plastic strain and crack
density for different contents of hydrogen. The crack density is then
converted into an effective nucleation kinetics as explained previously
(Fig. 7.8.3).
FIGURE 7.8.2 Distribution function of the local porosity measured using field of
size 250 x 250~tm. The micrograph shows the heterogeneous spatial distribution of the
MnS inclusions.
FIGURE 7.8.3 Experimental nucleation kinetics on hydrided Zircaloy for different contents of
hydrogen. The micrograph illustrates the nucleation of cracks in the brittle hydrides and the
subsequent void growth.
7.8 Ductile Rupture Integrating Inhomogeneities in Materials 593
FIGURE 7.8.4 a. Microstructure of a duplex ferrite-austenite steel showing a highly damage

region surrounded by undamaged regions, b. Voronoi cells drawn around individual cleavage used
to define damage zones.
7.8.3.3 DUPLEX FERRITE--AUSTENITE STEEL
In this duplex material the ferrite (30% vol.) is aged and embrittled so that
cleavage cracks are nucleated during deformation. As the ferrite is surrounded
by ductile austenite, cracks grow into voids. The observation of the material
after deformation shows that damage is highly heterogeneous, as shown in
Figure 7.8.4a. To quantify damage, tensile fiat samples were polished and
subsequently deformed in order to reach different levels of plastic
deformation. For each level, the surface of the specimen was observed using
SEM, allowing us to determine the position of cleavage cracks. Vorono'i cells
were then drawn around those cracks. A typical result is shown in Figure
7.8.4b. These observations were used to determine the surface crack
nucleation rate. The effective nucleation porosity is then computed as in
the previous case. As evidenced by the Vorono'i tesselation, cleavage cracks are
not homogeneously distributed. The nucleation rate parameter An is therefore
defined locally in the different regions. It was found that An can be considered
as constant for a given area but that it varies spatially.
Given a set of the different material parameters, the model is based on FE

simulations of random structures as depicted in Figure 7.8.1. For each
specimen type (smooth tensile bar, notched bar, cracked specimen), several
simulations have to be performed in order to evaluate dispersions and mean
values of mechanical properties. Figure 7.8.5 illustrates damage evolution in a
notched bar. In particular, it was shown that, for a given average value of the
FIGURE 7.8.5 Damage (white: no damage, black: broken) growth in a notched bar. Cracks
propagate between highly damaged sites.
FIGURE 7.8.6 a. Comparison of experiment and simulated ductilities for different notch
geometries (duplex steel). Averagevalues are represented by lines, b. Comparisonof experimental
and simulated ductilities for different specimen sizes (C-Mn steel).
random parameter, heterogeneous materials have reduced mechanical

properties compared to an ideally homogeneous material. This effect is
mainly due to the interaction of highly damaged regions.
Size effects are modeled using larger meshes for a given value of 2. In order
to keep the same geometrical discretization of the microstructure, the element
size should also be kept constant. Consequently, more freedom is needed to
model large structures. Figure 7.8.6 illustrates the kind of results that can
be obtained.
Figure 7.8.6a compares experimental values of the ductility of smooth and
notched bars to simulated results (TB: tensile bar, AEz: notched axisymmetric
bars with ~ = 10 • R/dp, R: notch radius, ~b minimum diameter of the
specimen). The ductility is defined as the reduction of area in the notch cross
section, the initial diameter ~b is equal to l Omm. It can be noted
that average ductilities for smooth tensile bars are equal to those observed
7.8 Ductile Rupture Integrating Inhomogeneities in Materials 595
on AElo notched bars. This is related to a size effect, since the deformed
volume in a smooth bar is larger than in a notched bar that has the same
initial diameter.
Figure 7.8.6b compares experimental and simulated ductilities (Gurson
and Rousselier models) for the C-Mn steel obtained for AElo notched bars
with different initial diameters: 3.75, 6, 10, and 15 mm. It is observed that
both dispersion and average values decrease with increasing size. This trend is
correctly represented by the model.
7.8.5 LIST OF PARAMETERS
TABLE 7.8.1 C-Mn Steel Random Parameter: Initial Void Volume Fraction
~, d~/dx Gurson Rousselier
1 ~ l exp(~) ql
= 1.5 , q2 = 1.0,
o-1
250 gm
fl~r(~)x- = 240MPa,
o~= 1.14, fl = 0 . 2 2 10 .2 8 = 3, fc =0.4% D = 1.5
TABLE 7.8.2 Hydrided Zircaloy Nucleation Law (C~ hydride concentration [ppm])
An--bB exp (bp) with B = 5.10 -~ and b = 5.37 + 0.0006Cn
TABLE 7.8.3 Duplex Steel Random Parameter: Local Nucleation Rate An

2 ~ Gurson
i mm Uniform ql = 1.5, q2 = 1.0,

An = 0 . 1 . . . 1 . 0 no f,
Note: In the case of the duplex steel, it was not necessary to adjust an f, function. This is due to
the fact that rupture is entirely controlled by a single mechanism and also to the integration of
material heterogeneities in the model. On the other hand, an f, function had to be used in the
case of the C-Mn steel. Examinations of fracture surfaces have shown that smaller particles
(carbides) play a role during the coalescence of voids nucleated at MnS inclusions. This second
population of defects is not accounted for by the model and has therefore to be represented
phenomenologically.
REFERENCES
1. Becker, R. (1987). Effect of porosity distribution on ductile failure. J. Mech. Phys. Solids
35 (5): 577-599.
2. Leblond, J. B., and Perrin, G. (1999). A self-consistent approach to coalescence of cavities in
inhomogeneously voided ductile solids. J. Mech. Phys. Solids 47: 1823-1841.
3. Rousselier, G. (1987). Ductile fracture models and their potential in local approach of fracture.
Nuclear Engineering and Design 105: 97-111.
4. Tvergaard, V. (1990). Material failure by void growth to coalescence. Advances in Applied
Mechanics 27: 83-151.
5. Gologanu, M., Leblond, J. B., and Devaux, J. (1994). Approximate models for ductile metals
containing nonspherical voids - - case of axisymmetric oblate ellipsoidal cavities. Trans. ASME,
J. Eng. Mat. Technol. 116: 290-297.
6. Decamp, K., Bauvineau, L., Besson, J., and Pineau, A. (1998). Size and geometry effects
on ductile rupture of notched bars in a C-Mn steel: Experiments and modelling. Int. J.
Fracture 88 (1): 1-18.
7. Grange, M., Besson, J., and Andrieu, E. (2000). Anisotropic behavior and rupture of hydrided
Zircaloy-4 sheets. Met. and Mat. Trans A. 31A: 679-690.
8. Joly, P., Meyzaud, Y., and Pineau, A. (1992). Micromechanisms of fracture of an aged duplex
stainless steel containing a brittle and a ductile phase: Development of a local criterion of
fracture, in Advances in Fracture/Damage Models for the Analysis of Engineering Problems,
pp. 151-180, Giovahola, J., ed., ASME.
9. Devillers-Guerville, L., Besson, J., and Pineau, A. (1997). Notch fracture toughness of a cast
duplex stainless steel: Modelling of experimental scatter and size effect. Nuclear Engineering
and Design 168: 211-225.
SECTION 7.9
Creep Crack Growth

Behavior in Creep-Ductile
and Creep-Brittle Materials
A. TOSI-IIMITSUYOKOBORI,JR.
Fracture Research Institute, Graduate School of Engineering, Tohoku University, Aoba 01 Aramaki
Aoba-ku Sendai-shi #980-8579, Japan
Contents
7.9.1 Creep Crack Growth Behavior in
Creep-Ductile and Creep-Brittle Materials .. 597
7.9.2 Creep Damage Accumulation Behavior
and Crack Growth Rate in
Creep-Ductile Materials . . . . . . . . . . . . . . . . . . . . 600
7.9.3 Creep Crack Growth Behavior for
Creep-Brittle Material . . . . . . . . . . . . . . . . . . . . . . 605
7.9.4 Prediction of Creep Fracture Life
Throughout from Ductile to
Brittle Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
7.9.1 CREEP CRACK G R O W T H BEHAVIOR IN

CREEP-DUCTILE AND CREEP-BRITTLE
MATERIALS [4]
Experimental correlation between the creep crack growth rate and the C*
parameter for Cr-Mo-V steel (a high-temperature creep-ductile material)
and IN100 alloy (a high-temperature creep-brittle material) is shown in
Figures 7.9.1 and 7.9.2, respectively [1, 2]. For the case of Cr-Mo-V steel, a
non-unique correlation between d a / d t and C* in the lower creep crack growth
region is clearly apparent. This region typically occupies 30-40% of the total
creep fracture life [1]. In the case of IN 100 alloy, the behavior is different from
that of the creep-ductile material. There is a tendency for crack growth rate to

598 Yokobori
100
|. . . . . . "1
Cr- Mo-V CT Specimen O
!0-1
E
E
.
"0 . 9 Q
"~ io-2 ._ Ji O -
t, . 9
10-3
t _ i I I,,
10-I i0o 101 102
C* , kJ/m2/hr
FIGURE 7.9.1 Creep crack growth rate plotted against C* [1] (Cr-Mo-V steel).
~ IN-I00(NO SG)
B = 25.4mm
T = 825 "C Fracture /
P 24500 N
101 = 9: corresponds ~j,O
--= to C* decreasing ././d"
Z O: corresponds ./.~
--" tO
' -
E
- 10o
-]
10-I _ ~ e ~ -=- 90% of Fr~ture Life

-EL/I I IIIIll 1 ! I!11111 I
lO0 101 102
C* , k J / m m 2 / h r
FIGURE 7.9.2 Creep crack growth rate plotted against C* [2] (IN100 alloy).
decrease initially, and the region where the data are concentrated near the
lowest da/dt value occupies 80-90% of the total creep fracture life, as shown
in Figure 7.9.2 [2]. Note that both creep crack growth rate and the load line
displacement rates attain steady-state, constant values in this region, where
the 80~90% of the total creep fracture life is concerned.
The different characteristics between creep-ductile and creep-brittle
materials which can be seen in Figures 7.9.1 and 7.9.2 are caused by the
7.9 Creep Crack Growth Behavior 599
differences in the behavior of creep crack growth and load line displace-
ment. Creep crack growth curves of CT precracked specimens for Cr-Mo-V
steel (a creep-ductile material) and IN100 (a creep-brittle material) were
plotted against nondimensional time t/tf as shown in Figure 7.9.3 [3],
where tf is the creep fracture life for each specimen. For the case of Cr-Mo-V
steel, acceleration in the creep crack growth rate begins at a relatively
early stage of creep fracture life, and it occupies approximately 60% of the
total creep fracture life. On the other hand, in IN100 alloy, the creep crack
growth curve is quite different from that for Cr-Mo-V steel. A linear
relationship between creep crack extension and nondimensional time is
observed, this region occupies the major portion of the creep fracture life,
approximately 80%, and the accelerating portion occupies only 10% of the
total life. As a result, the creep crack growth rate attains a constant value
during the major portion of the total life. This region is called the steady-state
region for which the growth rate is determined by the initial stress-intensity
factor [2]. In the creep displacement curve for IN100 alloy, a linear
relationship between load line displacement and nondimensional time is
observed, as seen in Figure 7.9.4 [4], and it occupies a major portion of
the creep fracture life, approximately 80%, similar to the creep crack
growth curve.
Similar characteristics were observed in structural strengthening
materials such as a TiA1 intermetallic compound with full lamellar
structure [4] and 12Cr-W-Co-B steel (TAF650) with lath martensite
structure [4, 5].
l 'I I I I I ' ! I I
I"
o ; IN 100 ','
3 z~ ;Cr-Mo-V / -
E /
0 0.2 0.4 0.6 0.8 1.0

t/tf
FIGURE 7.9.3 The relationship between creep crack length and tits for Cr-Mo-V steel and
IN 100, tf in creep fracture life [3].
600 Yokobori
INIO0
2 0.6
0.4
" ~ '. . . . . . . . . . . ~ E
'~ 0.2 ,q
0
0 0.2 0.4 0.6 0.8 1
t/tf
FIGURE 7.9.4 The experimental relationships between creep crack length and t/tf,, and load
line displacement and t/tf.
7.9.2 CREEP DAMAGE ACCUMULATION

BEHAVIOR AND CRACK GROWTH RATE
IN CREEP-DUCTILE MATERIALS [4]
In situ observation on creep damage initiated from a notch tip in a

double-edge notched specimen (DEN specimen) is shown in Figure 7.9.5 for
Cr-Mo-V steel [4]. Tensile stress is applied in the horizontal direction. The dark
region in Figure 7.9.5 shows the creep damage. In this region, voids are formed
and their coalescence occurring at a grain boundary results in the formation of
grain boundary microcracking as shown in Figure 7.9.6 [4]. Relative notch
opening displacement time, A ~ / ~ 0, as the creep displacement and creep
damage area D, are plotted against nondimensional time, as shown in Figures
7.9.7 and 7.9.8 [4]. Here, 9 is the notch opening value; ~0 is the initial value of
the notch opening, i.e., the value before applying the load; and A~ = ~ - ~0 is
the increment of the notch opening value 9 from the instant of load application
[6]. All data of D and A ~ / ~ 0 are expressed by a unique master curve,
respectively, as shown in Figures 7.9.7 and 7.9.8, which show an accelerating
behavior almost throughout the curve that is independent of applied stress and
temperature [4].
Some studies have performed the analyses of creep damage progression
using the damage function, co, based on the Kachanov-Rabomov theory [7-11].
dco D* (Act 1 q- 3Bam + Cae) z

d--7 = (1 + +)(I - co)`/' (1)
FIGURE 7.9.5 Creep damage around the notch tip (Cr-Mo-V steel) [4].
FIGURE 7.9.6 Magnified photograph of creep damage. Microcracks are seen in grain
boundaries (Cr-Mo-V steel) [4].
where D*,A, B, C, Z, and q5 are constants and A + B + C - - 1 , al is the

maximum principal stress, am is the mean stress, ae is the effective stress, co is
the damage function (0 _< co < 1), and O" 1 - - 3am - ae - a for the uniaxial
tensile condition.
Integrating Eq. 1, co is given by Eq. 2 for the uniaxial condition:
- (2)
where tf - (DaZ) -1, q 0 - 6.

The characteristics of Eq. 2 are shown by the solid line in Figure 7.9.8,
which is in good agreement with that of damage area, D, obtained by our
602 Yokobori
Cr-Mo-V DEN Specimen

(TOHOKU UNIV)
T~ SU.SSl~p,) Synr --Catculation
538 353 Xl
560 274 &
314 0
353. O
.o io
O
~,
Xll
025 170 UI J gkJf~agr
194
L=o ',, _ _ ' . c,~'~
0.5 1
t/t,
FIGURE 7.9.7 The experimental relationship between notch opening displacement and t/tf.
A~ = ~ - ~ s - ~ 0 : ~ o and ~s (the fracture time for each specimen) are notch opening
displacement at time and the instantaneous one at the instant of load application, respectively. ~o
is the initial notch opening value (notched specimen, Cr-Mo-V steel) [3].
. . . . . , , , ,,,
,0 DEN Specimen ij
remp. 5|tess 5~'va)o~ Crack
('c) (MP=) Initiation
600 'i94 4 !
6z~ 17s E! /
E "6r,o
ZZl
~9,
:I0
9
I I
=
. 0.5 ss0 ~i4 9 i
O
A
I I i .... ' I
0 0.2 0.4 0.6 0.8 1.0
tlh
FIGURE 7.9.8 The experimental relationship between creep damage area size, D, and t/tf
(notched specimen, Cr-Mo-V steel). Solid line is Eq. 2 [3].
e x p e r i m e n t s . T h e r e f o r e , D is f o u n d to be c o r r e l a t e d to co. F r o m F i g u r e s 7.9.7
a n d 7.9.8, we can o b t a i n the r e l a t i o n s h i p b e t w e e n D a n d (A(I)/(I) 0) [4].
D-~-0.5 (A~00)~~ (3)

T h e s e voids in the creep d a m a g e r e g i o n c o n c e n t r a t e a h e a d of a m a i n crack

a n d cause a front crack at this point. This links w i t h the m a i n crack, a n d creep
crack g r o w t h occurs. T h e typical b e h a v i o r is s h o w n in F i g u r e 7.9.9 a n d 7.9.10
for SUS304 stainless steel u n d e r creep c o n d i t i o n s [4].
FIGURE 7.9.9 Microcrack initiation and coalescence with the main crack under creep
condition, a. t/tf = 0.8. b. t/tf = 0.95 (SUS304 stainless steel, 650~ ag= 191MPa, tf= 68 h) [4].
FIGURE 7.9.10 Scanning electron micrograph of microcrack and creep damage around a main
crack under creep condition (SUS304 stainless steel, 650~ Crg= 191MPa) [4].
604 Yokobori
From these results, it can be seen that the creep displacement curve is
dominated by the damage accumulation behavior, which results in creep
crack growth.
For creep-ductile materials, the creep crack growth rate, da/dt, is related to
the creep displacement rate, c$, in the range accelerated region except for the
nose part (t/tf ~_ 0.4), as shown in Figure 7.9.11, as well as to the C*
parameter (Fig. 7.9.1).
From these results, mutual correlation among creep damage progression,
creep displacement, and crack growth can be seen. The creep crack growth
rate is obtained from Eq. 4 [12-16, 17-20,2,21,22]"
da
C *al ~ C t 2 ~ (A(I)) ~ ~ exp(Q*) (4)
dt
where 0~1, 0~2, and 0~3 are constants. From Eqs. 3 and 4 we have
da
a t = Bv(o , Co)
where F is a function of o3 and co, and where B is constant. Therefore, the

creep fracture life is given by Eq. 6:
~ fa~a: Cda
tf --
/o"d t - L B(~:da (f)) ~ 0~3 *{X
--7
Ct ~ exp(Q* ) (6)
ioo I ! I %
Cr-Mo-Y CT Specimen
lO-i
E
~
"~ io-1
,t e
1o-3
I i I, ,, ,,. L .
10 -3 10-2 10 -i 1oo
~. mm/hr
FIGURE 7.9.11 The relationship between creep crack growth rate and load line displacement
rate for Cr-Mo-V steel [3].
Therefore, co is found to be a dominant factor of creep fracture life for a

precracked specimen and can be characterized by the dominant parameters of
the creep crack growth rate, such as C* [12-15], Ct [16], ~s [17-201, and Q*
[2,21,22], as is shown in Eq. 6. From these results, creep fracture lives of
precracked and notched specimens for creep-ductile materials were found to
be dominated by creep damage progression.
7.9.3 C R E E P C R A C K G R O W T H BEHAVIOR FOR

CREEP-BRITTLE MATERIAL
It has been shown by Yokobori and Ichikawa [23] that, for homogeneous
structure materials, the macroscopic crack proceeds macroscopically perpen-
dicular to the applied stress in a zig-zag crack growth manner that is
independent of the orientation of the initial microcrack, under the
assumption that the stress intensity at the tip of the nearest segment controls
the further extension of the total (main) crack. On the other hand, for
heterogeneous materials such as a full lamellar TiA1 intermetallic compound,
many prospected zig-zag crack paths are distributed in terms of lower-
strength grain boundaries around the hard lamellae. In this case, the crack
will proceed along the grain boundaries which are located as close as possible
to the maximum stress intensity. In this way, for this case, the crack proceeds
in a zig-zag crack growth manner that is macroscopically perpendicular to the
applied stress. This behavior is in good agreement with the zig-zag crack
growth observed by this experiment (Fig. 7.9.12) [4].
Now, in this case, if the length of the segment corresponding to zig-zag
crack growth is assumed to be nearly equal, say, to the length of the grain size,
then the macroscopic crack growth rate will be revealed as constant (equal
velocity), because this segment size will be controlling the creep crack growth
rate. That is, in such materials, with a microstructure which causes crack
bridging or provides the stress shielding effect, the creep crack growth rate
may not be controlled by the total length of the past zig-zag path, but by the
nearest segment length of the main creep crack. Since the segment length may
be nearly equal, a constant rate of subcritical crack growth and creep
displacement occurs. This causes the characteristics of a constant rate of creep
crack growth and creep displacement over a major portion of the creep crack
growth and displacement curves, as shown in Figure 7.9.4.
The same reasoning may be used with 12Cr-W-Co-B steel [4, 5] and IN100
alloys [2]. For these creep-brittle materials, the creep crack growth rate was
shown to be dominated by the initial stress-intensity factor, Ki, and the
temperature, T, as given by Eq. 7a [2]. Therefore, some modifications are
necessary to obtain a dominant parameter which characterizes the creep crack
606 Yokobori
FIGURE 7.9.12 Creep crack path and fracture pattern for TiA1 intermetallic compound.
T = 850~ crg = 87.75 MPa, tf= 178 h [4].
growth rates for these materials. The Q* parameter for creep-brittle materials
was derived and is given by Eq. 7b [2]. Furthermore, since the Ct parameter
includes a local stress component around a crack tip under a small-scale creep
condition [16], it can be correlated to Q~rittle as given by Eqs. 7b and 7c.
d~
dt =fl (Ki, T) (7a)
= A exp(Qbrittl~) (7b)
= f2[Ct(k = Ki)] (7c)
7.9.4 P R E D I C T I O N OF CREEP FRACTURE

LIFE T H R O U G H O U T FROM D U C T I L E TO
BRITTLE MATERIALS
The Q* parameter is defined as a power coefficient of the exponential in the

thermal activation process equation for da/dt for both creep-ductile and
creep-brittle materials [2, 21, 22].

da
dt - A exp ( Q* ) (8)
where A is a constant independent of temperature. Q* can be written as
a~g - 4,g(o)
(9)
RT
where AHg is the activation free energy for crack growth and dpg(a) is a
positive function of the local elastic-plastic stress field around a crack tip.
Integrating Eq. 8, creep fracture life concerned with creep crack growth is
given by
1 f~c da
m, _ (10)
Aoag exp RT f
Since ac ~ a0, Eq. 10 reduces to
1
ts=
( AHg~ (11)
Aoa~ gexp - RT ,]
where A1 = Ao[(m1-2)/2] 6/0"(m~-2)/2
On the other hand, with respect to the creep strain rate, many studies have
been carried out with a thermal activation process, such as a diffusion
mechanism [24], a viscoelastic creep mechanism, and a cavitational
mechanism [24,25]. The creep strain rate, ~, is written by the following
thermally activated equation:
~--Alexp (-AHg-dPc(a))RT (12a)
= Acagexp (- AHc~ (12b)

RT/
where Ac and mc are constants. By multiplying both sides of Eqs. 11 and 12b,
we get [26]
tf~ = Ma~exp - RT / (13)
where m = m c - mg, AH*= AHc-AHg, and M--At~A1. In general, mc is

not equal to mg and AHc is also not equal to AHg. Therefore, the right-hand
side of Eq. 13 is in general a function of applied stress eg and temperature
T. For instance, with respect to SiC as typical creep brittle materials, the
relationship between the logarithmic value of the creep fracture life, log tf,
versus that of the steady creep rate, log ~s, is experimentally expressed by a
608 Yokobori
10 2 I i I
z:
I..
101 IL,&O'~
10o I~20~'~'~
E
ID
10-1
D
=
re"
10-2 - SiC
v
10-s i0-4 i0-3 i0-2
Steady Creep Rate ~s , /hr

FIGURE 7.9.13 The relationship between creep fracture life and steady state creep rate for SiC
as affected by temperature [26].
10 3 I I I I"
r
10 2
101
~=.
10 o -
ID Sht~
10-1 -
~. 10-2 . ~, 9 -
ID
L
10-3 I ! I ....... | I
10-5 10-~ 10-3 10-2 10q 10 0
Steady Creed Rate ~;~ Ihr

FIGURE 7.9.14 The relationship between creep fracture life and steady state creep rate for
Si3N4 [26].
linear line, and the line depends on the temperature and applied stress, as
shown in Figure 7.9.13. This relationship is theoretically suggested by Eq. 13.
On the other hand, for the case of m~ - mg and AH~= AHg, then the right-
hand side of Eq. 13 takes the constant value and the straight line becomes one
and the same line independent of applied stress and temperature for Si3N4,
as shown in Figure 7.9.14. [26]. Apparently, the equation is in accord
with the formula of Monkmann and Grant [27], but it is to be noted that the
10 3 ' "1 ' i ~ ~. I^-% I "- I
,.- 10 2
101
~D
10 -I
~ lo -2
oo 10 -3 ' , I L . I
10-6 10-5 10-~ 104 I0 -2 I0-I 100
Steady Creep Rate E s , /hr

FIGURE 7.9.15 The relationship between creep fracture life and steady state creep rate for
various materials [26].
right-hand side of Eq. 13 differs with different m a t e r i a l s - it may be called

creep ductility.
In Figure 7.9.15, the relationship between log tf and log ks is plotted for
various materials. From this figure, it can be seen that for the same fracture
life, tf, the steady state creep rate, 4, will decrease, say, become brittle as
the creep ductility given by the right-hand side of Eq. 13 will decrease.
Detailed descriptions and correlation with the microstructure obtained by
TEM (transmission electron microscope) may be found elsewhere [28].
These characteristics enable us to discriminate creep ductility and predict
creep fracture life not only for creep-ductile materials but also for creep-
brittle materials.
REFERENCES
1. Yokobori, A. T., Jr., and Yokobori, T. (1996). Engineering Fracture Mechanics 55: 493.
2. Yokobori, A. T., Jr., Uesugi, T., Yokobori, T., Fuji, A., Yamaya, I., Kitagawa, M., Yagi, K., and
Tabuchi, M. (1998). J. Mater. Sci. 33: 1555.
3. Yokobori, A. T., Jr. (1997). Advances in fracture research, in Proc. of the Ninth Int. Conf. Fract.
(ICF9th)., Karihaloo, B. L., et. al., eds., vol. 1, p. 39.
4. Yokobori, A. T., Jr. (1999). Engineering Fracture Mechanics 62: 61.
5. Yokobori, A. T., Jr., Takamori, S., Yokobori, T., Hasegawa, T., Kubota, K., and Hidaka, K.
(2000). Key Engineering Materials 171-174: 131.
6. Yokobori, A. T., Jr., Yokobori, T., Kuriyama, T., and Kako, T. (1984). Proc. of the Sixth Int.
Conf. Fract. (ICF6th), vol. 3, p. 2181.
610 Yokobori
7. Kachanov, L. M. (1958). IZV. Akad. Nauk. SSSR, Otd.tekhn.nauk 8: 26.

8. Rabotnov, Yu. N. (1959). Vopr. Prochn. Mat. I Konstr. Izd. AN. SSSR, Moscow.
9. Lemaitre, J., and Plumtree, A. (1979). Journal of Engineering Materials and Technology, Trans. of
the ASME 101: 284.
10. Bassani, J. L., and Hawk, E. (1990). Int. J. Fract. 42: 157.
11. Hayhurst, D. R. (1992). J. Mech. Phys. Solids 10: 381.
12. Landes, J. R., and Begley, J. A. (1976). ASTM STP 590: 128.
13. Ohji, K., Ogura, K., and Kubo, S. (1975). Trans. Jap. Soc. Mech. Engng. 44: 183. In Japanese.
14. Taira, S., Ohtani, R., and Kitamura, T. (1979). Trans. ASME, J. Engng. Mater. Technol. 101: 154.
15. Koterazawa, R., and Mori, T. (1977). Trans. ASME, J. Engng. Mater. Technol. 99: 298.
16. Saxena, A. (1986). ASTM STP 905: 185.
17. Yokobori, A., T., Jr., Yokobori, T., Kuriyama, T., Kako, T., and Kaji, T. (1986). Proc. of the Int.
Conf. on Creep, JSME, IMechE, ASME 135.
18. Fuji, A., and Kitagawa, M. (1994). Advances in Fracture and Structural Integrity, p. 487,
Panasyuk, V. V., et. al. eds., Pergamon.
19. Dogan, B., and Schwalbe, K-H. (1992). ASTM STP 1131, Erunst, H. A., Saxena, A., and
McDowell, D. L., eds., p. 284.
20. Saxena, A., Dogan, B., and Schwalbe, K-H. (1994). ASTM STP 1207, Landes, J. D., McCabe,
D. E., and Boulet, J. A. M. eds., p. 510.
21. Yokobori, A. T., Jr., and Yokobori, T. (1989). Advances in fracture research, in Proc. of the 7th
Int. Conf. Fract. (ICF7th), p. 1723, vol. 2, Salama, K., et. al., eds.
22. Yokobori, A. T., Jr., and Yokobori, T. (1993). Creep and fracture of engineering materials and
structures, in Proc. of Fifth Conf. London, p. 81, Wilshire, B., and Evans, R. W., eds., The
Institute of Materials.
23. Yokobori, T., and Ichikawa, M. (1965). Proc. of the First Int. Conf. Fract., p. 1039, vol. 2,
Yokobori, T., et. al., eds.
24. Lange, E E, Clarke, D. R., and Davis, B. I. (1980). J. Mater. Sci. 15: 611.
25. Evans, A. G., and Wiederhorn, S. W. (1974). J. Mater. Sci. 9: 270.
26. Yokobori, A. T., Jr., Yokobori, T., and Yamazaki, K. (1996). J. Mater. Sci. Lett. 15: 2002.
27. Monkmann, E C., and Grant, N. J. (1956). Proc. ASTM 56: 593.
28. Yokobori, A. T., Jr., Yano, T., and Mitchell, T. E. (1997). Materials Sci. Forum 233-234: 109.
SECTION 7.10
Critical Review of
Fatigue Crack Growth
TAKEO YOKOBORI
School of Science and Engineering, Teikyo University, Utsunomiya, Toyosatodai, 320-2551, Japan
Contents
7.10.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . 611
7.10.2 Identification of the Power Exponent
and Proportional Constant . . . . . . . . . . . . . 612
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620
7.10.1 BACKGROUND
There are many theories, models, criteria, and mathematical equations [1-19] for
fatigue crack growth; however, these include discrepancies. Most predict some
experimental characteristics but do not explain others. Thus it is necessary to
examine what theories or models are more correct or to develop a new criterion.
Regarding this complex problem, the following statements may be helpful.
1. The ln(da/dN) versus AK curve assumes an S-type or sigmoidal
behavior (Fig. 7.10.1), that is, a first region, a second region, and a
third region, including final catastrophic fracture. Different factors may
be predominant for each region, the mechanism of which still remains
unsolved. Thus if we attempt to describe behavior covering all three regions in
terms of a single equation, it may be necessary to include many parameters
which may not be correlated with the micromechanism. Also, it may even be
awkward and thus may not be useful from the mechanism's point of view.
It is unrealistic to assume that, in the first region, however small AK may
be, the crack will still grow. Thus, as a matter of course, the effective

612 Yokobori
T /
i,., ,,J... , ,,,J. J
!I~
',/, ,~//
first I second )'
z regionl region /Ilhir(
o 'I ' /Ire;, reg;i
g
"13 I I
I /' I
o
.=.
, !/ I
I
II l I
I! i !
,! i
I
L
I
KTH A ~+ Kmln = Kfr

10g A K
FIGURE 7.10.1 Schematic illustration of fatigue crack growth rate versus AK.
stress-intensity factor AK~ff, smaller than AK, for instance, A K - A KTH,

should be used instead of AK only, where AKTH is the threshold stress-
intensity factor.
In the third region, it is also needless to say that da/dN will accelerate, and
the factor controlling final catastrophic fracture should be included in the
equations. Nevertheless, the maximum stress-intensity factor Km~x is, in
general, different from KF~ (so-called static fracture toughness), and, instead,
fatigue fracture toughness Kf~ is proposed [20, 21].
2. If the mean stress is significant, then this effect should be included. As
already described, however, the first step is to approach the case with a small
or zero stress, and then to modify the equations to include it.
7.10.2 IDENTIFICATION OF THE POWER

EXPONENT AND PROPORTIONAL CONSTANT
This section concerns, from the foregoing point of view, the identification and
the justification of the theories and the models on fatigue crack growth
described in Section 7.10.1.
Below or at room temperature, the plastic deformation near the fatigue
crack is under small-scale yielding. Thus, if we assume only the energy
balance criterion, the criterion determining the crack growth rate may obey
7.10 Critical Review of Fatigue Crack Growth 613
linear elasticity fracture mechanics. On the other hand, the fatigue crack
growth rate is not completely predicted [19,22, 17] by linear fracture
mechanics. This, in turn, means that in fatigue crack propagation the local
plastic stress distribution may play a dominant part. This may also be inferred,
since the plastic deformation near the fatigue crack tip may play an important
role whatever the physical model may be. Thus for the case of fatigue, even
under small-scale yielding it is necessary to formulate the local stress
distribution near the crack tip. The result obtained is as follows:
2fl
@ -- f(fl)Crcy v/~@y (1)
where AK is the stress-intensity factor; @y is the initial yield stress in cyclic

straining (not static yield stress); fi is the cyclic strain-hardening exponent;
f(fl) is some function of fl; and ~ is distant from the crack tip in the direction
of crack.
On the other hand, the experimental formula for the fatigue crack growth
rate d a / d N for a simple case is expressed as [1]
da
- AAK n (2)
dN
where A and n are constants. The problem is how A and n are correlated with
the material parameters and testing conditions.
By using Eq. 1 as the local stress distribution near the crack tip, the
mathematical formula for the fatigue crack growth can be derived for a
nucleation model [6, 17], for a dislocation group dynamics model [18, 19],
and for a vacancy diffusion model [22]. Thus d a / d N is given in the
following form:
a--d = B (3)
where n is expressed by the equation shown in Table 7.10.1, according to the

different models. That is, d a / d N of the type of Eq. 1 is in common with
all three physical models as far as stress-intensity factor dependence
is concerned.
In Figures 7.10.2 and 7.10.3 the n experimentally obtained is plotted
against d -1/2 (d = averaged ferrite grain diameter) and static yield strength
asy. It should be noted that n decreases with an increase of d -1/2 or a decrease
of d (or increase of static yield stress Crsy). It is interesting to note that n tends
to be a slowly increasing function of ferrite grain diameter.
In Figure 7.10.4, logx0A was plotted against n for plain low-carbon steels
[23-24], 3Si-Fe [25], high-strength eutectoid steel [26,27], high-strength
614 Yokobori
TABLE 7.10.1 Power Coefficient n of AK in da/dN ( T = a b s o l u t e temperature, k--

Boltzmann's constant)
Dislocation group
Nucleation model dynamics model Vacancy diffusion model
1+13 l+~L(m+2) + (1 +p)(1 + [3) +
m' 1 v -2/s
m - H~/4kT, m" = constant
= 2 . 2 6 ~ p ( 1 - v 2)
Hk = activation energy p = measure of time increase
[16,171 [18,191 of the energy vacancy
concentration in the
plastic region [22]
n
4- 9 9 o
3-
2-
| --- I I, , I I 1 m I I I
10 d" 89 " 89
I
0 I 2 3 4 5 6 7 8 9
I , I ...... I .... I. ,
I0 15 20 25 (Y',~ ( kg/rnm 2 )
FIGURE 7.10.2 Value of n against ferrite grain diameter and static yield stress for low-carbon
steels. C)" 0.05 weight percent carbon steel [23]" @" 0.08 weight percent carbon steel [24].
tempered martensitic steel [24, 28], and high hardened bearing steel [29, 30].
Figure 7.10.4 shows that lOgloA is expressed by an equation of the
following type:
log A -- log B - n l o g ( x / ~ a c y ) (4)
which corresponds to the result obtained by equating the right-hand side of

Eqs. 2 and 3.
Figure 7.10.4 shows that lOgloB and logl0v/~acy in Eq. 3 are practically
independent of static yield strength asy, but n is a slowly increasing function
of the ferrite grain diameter, and thus indirectly a decreasing function of
static yield strength for low-carbon steel and 3 weight percent silicon
iron, respectively.
A R- 0.27
I0 A R,O.5
%
%%
",. /X
n
5
,,, i ,, ,q . . . . . . . a
o ; z 5
t/,Fd- (mm't)
3'5 ............ 4'O " 45
O",y kg/mm z
FIGURE 7.10.3 Value of n against ferrite grain diameter and static yield strength for
3Si-Fe [25].
Equation 3 can be shown as in Figure 7.10.5. If n assumes various values

instead of a fixed value, say 4 or 2, all the lines predicted by Eq. 3 cross one
point corresponding to In AK = lnx/~acy or In AK/x/~acy = 1. The data for
the case of low-carbon steel as affected by ferrite grain size show that n
increases with the increase of d or the decrease of d -1/2, and this trend is
manifested in Figure 7.10.5. It is interesting to note that in the region of the
smaller da / dN (orA K), say, nearthefi rstregionincludingthethreshold, da/dNishi ghe
rforsmal lergrainsizesatthesamev alueof A K, asshownbyFi gure 7.10.5. Thetrendmay
correspondtotheobserv ationsontitaniumal loy s [31]andontheeffectofgrainsi zeonK;H
oflow - carbonsteel[32].
In Figure 7.10.6, n is plotted against static yield strength asy for both low-
carbon steels [23, 24] and 3 weight percent silicon iron [25]. It should be
noted that n is not uniquely determined by ferrite grain size or indirectly by
static yield strength, but is also affected by some other microstructural factor.
This feature may also be reflected in the data for logloA and n for high-
strength tempered-martensitic steel, eutectoid steel, and high hardened
616 Yokobori
-8
-9
l -IO
o'11
m
0 -12
-I 3
-14
-15 +
-16 .
-17 . . . . . . . . . . . - 9
0 I 2 3 4 5 6 7 8
rl--~
FIGURE 7.10.4 Plot of lOgl0A versus n for low-carbon steels and 3Si-Fe wRh various ferrite
grain diameters, respectively. 9 0.05 weight percent plain carbon steel [23]; 0 : 0 . 0 8 weight
percent plain carbon steel [24]; &: 3Si-Fe ( R - 0.27) [25]: • high-strength eutectoid steel
[26,27]; Q high-strength tempered martensitic steel [24,28]; +: high hardened bearing
steel [29, 30]. Data on high-strength and high hardened steels also are plotted.
bearing steel plotted as in Figure 7.10.4. This figure shows that, for the two
former steels, the higher the static yield strength, the smaller the value of n,
and that, on the other hand, for the more hardened bearing steel, the value of
n is rather larger than those of the two former steels. All these features
probably show that n may be a function of the strain-hardening exponent,
especially of the cyclic strain-hardening exponent, and this measure may
be related to ferrite grain diameter (indirectly related to the monotonic
yield strength).
If ~ is assumed to be the length over which the high value of AK is
averaged, A K / x / ~ in Eq. 3 will mean a measure of high localized stress,
and in this case local stress may be a criterion-determining factor. If crcy
is assumed to be the same as crsy, then ~ in Eq. 3 should be proportional to
the inverse of crsy, 2 so that x/~crcy is independent of crsy as seen from
---ns> na)n, ni
da
Ind-R i
ds :>dl > d, d~/'
, ..nz
/
/
I l In[~'(:Tc
InZ~K - >
FIGURE 7.10.5 Schematic illustration of the proposed relation of da/dN versus AK as affected
by ferrite grain size in the second region.
i
8.0
7.0
6.0
5.0 .
4.0-
3.0-
2.0-
1.0-
0 I I I .I I , I . I ,,I I
0 1 20 30 40 50
static yield stress , (Tsy kg/mm t

FIGURE 7.10.6 Comparison of n for low-carbon steel and 3Si-Fe as a function of static yield
strength changed by ferrite grain size. Arrow shows this value will be higher for R = 0.24-0.40.
Legend is the same as in Figure 7.10.4.
618 Yokobori
t Pororneter
nt
O'sy --~
FIGURE 7.10.7 Schematic illustration of monotonic strain-hardening exponent ~, and mono-
tonic yield strength asy
decrease --- :: d
FIGURE 7.10.8 Schematic illustration of cyclic strain-hardening exponent ]~ and ferrite

grain diameter d.
Figure 7.10.4. In this case, however, e should not necessarily be the same as
the total length of the plastic zone, and therefore is not proportional to the
2 Also, it is concluded that v~asy is not proportional to AK,
inverse of Crsy.
because, if this were the case, then Eq. 3 would show no dependence on AK.
Further, even if we assume that a criterion-determining factor is energy,
it is still not established a priori that e should be proportional to the
2
inverse of asy.
It is well known [33] that the static strain-hardening exponent 2 against
static yield stress asy is as shown in Figure 7.10.7, which shows that 2 is also a
function of some microstructural parameter such as the percentage of carbon
in steels. It has been proposed [16,19,34] that strain-hardening character-
istics, especially cyclic strain-hardening characteristics, play a role in fatigue
crack growth. Furthermore, the cyclic strain-hardening exponent // has a
similar dependence [35] on ferrite grain size or indirectly on static yield
strength, as shown in Figure 7.10.8, which is similar to Figure 7.10.7.
On the other hand, da/dN based on elastic-plastic treatment in the criteria
[16, 19, 34] is expressed as proportional to AK", where n is an increasing
function of ft. From this and Figure 7.10.8 it may be inferred that the power
coefficient n will show a decreasing function with a decrease of ferrite
grain size (or indirectly with an increase of asy) with some other micro-
structural parameter, as shown in Figure 7.10.6. Concerning the other
microstructural parameter, the difference in the configuration of dislocation
cell structures between low-carbon steel and 3 weight percent silicon
iron may be mentioned.
Furthermore, acy is not necessarily equal to or proportional to static yield
strength asy. Instead, acy is considered practically unaffected [35] by ferrite
grain size, or directly by asy.
For the foregoing reasons, Eq. 3, in which n is expressed respectively as
three models in Table 7.10.1 will be plausible.
From dimensional analysis and a comparison of mathematical equations for

fatigue crack growth in the literature, the fatigue crack growth rate in the
second region is expressed with sufficient generality for the case without
significant mean stress as
d--N= S a
where ac and e are constants with dimensions of stress and length,

respectively. By compiling the experimental data and using the foregoing
equation, one reaches the following conclusions.
1. B and v~ac in the foregoing equation are practically independent of

monotonic yield strength, but n tends to be a slowly increasing function
of the ferrite grain diameter, and thus indirectly a decreasing function of
the monotonic yield strength for low-carbon steel and 3 weight percent
silicon iron, respectively.
2. The latter features mean that n is an increasing function of the cyclic
strain-hardening exponent.
3. n may also be affected by some other microstructural factor.
4. From the experimental characteristics described in Section 7.10.2 and
the theoretical models described in Section 7.10.1, it can be seen
that crc in Eq. 1 corresponds to the initial yield stress in cyclic strain
hardening, acy.
5. Furthermore, the characteristics of the power exponent n in Eq. 1 are in
accord with those predicted by the theories described in Section 7.10.1.
620 Yokobori
6. From this point of view, most of the existing equations for fatigue crack
growth should be subject to some criticism, at least for low-carbon steel
and 3 weight percent silicon iron.
7. In the region of smaller da/dN (or AK), say, near the first region
including threshold, da/dN may be higher for smaller grain size at the
same value of AK.
REFERENCES
1. Paris, P., and Erdogan, R. (1963). Transactions, American Society of Mechanical Engineers,
Journal of Basic Engineering 85: 528.
2. Liu, H. W. (1961). Transactions, American Society of Mechanical Engineers, Journal of Basic
Engineering 83: 23.
3. Paris, P. (1964). Fatigue: An Interdisciplinary Approach, Syracuse: Syracuse University
Press, 107.
4. Raju, K. N., (1972). International Journal of Fracture Mechanics 8: 1.
5. Cherepanov, G. P., and Halmanov, H. (1972). Engineering Fracture Mechanics 4: 219.
6. Rice, J. R. (1967). Fatigue Crack Propagation ASTM STP 415: 247.
7. Weertman, J. (1965). Proceedings, First International Conference on Fracture, Sendai, Japan,
1: 153.
8. Weertman, J. (1973). International Journal of Fracture Mechanics 8: 125.
9. Mura, T., and Lin, C. T. (1974). International Journal of Fracture Mechanics 10: 284.
10. Lardner, R. W. (1971). Philosophical Magazine 17: 71.
11. Schwalbe, K. (1973). International Journal of Fracture 9: 381.
12. Pook, L. P., and Frost, N. E. International Journal of Fracture 53.
13. Tomkins, B. (1968). Philosophical Magazine 18: 1041.
14. McEvily, A. J. (1974). The Microstructure and Design of Alloys: The Metals, p. 204, London:
15. Donahue, R. J., Clark, H. M., Atanmo, P., Kumble, R., and McEvily, A. J. (1972). International
Journal of Fracture Mechanics 8: 209.
16. Yokovori, T. (1969). Physics of Strength and Plasticity, pp. 327-338, Argon, A. S., ed.,
Cambridge: Massachusetts Institute of Technology Press.
17. Yokobori, T., and Ichikawa, M. (1968). Reports of Research Institute for Strength and Fracture of
Materials 4: 45-53.
18. Yokobori, T., Yokobori, A. T., Jr., and Kamei, A. (1975). International Journal of Fracture 11:
781-788; also, Corrigenda (1976), 12: 519-520.
19. Yokobori, T., Konosu, S., and Yokobori, A. T., Jr. (1977). Proceedings, Fourth International
Conference on Fracture, University of Waterloo, Waterloo, Ontario, Canada, vol. 1,
pp. 665-682.
20. Yokobori, T., and Aizawa, T. (1970). Reports of Research Institute for Strength and Fracture of
Materials 6 (1): 19-23.
21. Kawasaki, T., Nakanishi, S., Sawaki, Y., Hatanaka, K., and Yokobori, T. (1975). Engineering
Fracture Mechanics 7: 465-472.
22. Yokobori, T., and Ichikawa, M. Reports of Research Institute for Strength and Fracture of
Materials 6: 75.
23. Yokobori, T., Kawada, I., and Hata, H. (1973). Reports of Research Institute for Strength and
Fracture of Materials 9 (2): 35-64.
24. Yokobori, T., Tanaka, M., Hayakawa, H., Yoshimura, T., and Sasahira, S. (1967). Reports of
Research Institute for Strength and Fracture of Materials 3 (2): 39-71.
25. Ando, K., Ogura, N., and Nishioka, T. (1976). Preprint, Japan Society of Mechanical
Engineers, No. 760-2, 153 (in Japanese).
26. Yokobori, T., Sawaki, Y., Shono, S., and Kumagai, A. (1976). Transactions, Japan Institute of
Metals 17 (1): 1-10.
27. Yokobori, T., Sawaki, Y., Shono, S., and Kumagai, A. (1976). Reports of Research Institute for
Strength and Fracture of Materials 12 (2): 29-54.
28. Yokobori, T., Kuribayashi, H., Kawagishi, M., and Takeuchi, N. (1971). Reports of Research
Institute for Strength and Fracture of Materials 7 (1): 1-23.
29. Yokobori, T., and Nanbu, M. (1976). Reports of Research Institute for Strength and Fracture of
Materials 2 (2): 29-44.
30. Yokobori, T., and Aizawa, T. (1977). Reports of Research Institute for Strength and Fracture of
Materials 13 (2): 75-78.
31. Pineau, A. G., private communication.
32. Masounave, J., and Batlon, J. P. (1976). Scripta Metallurgica 10: 165.
33. Hollomon, J. H. (1945). American Institute of Mining Engineers Technical Publication No.
1879, 1.
34. Yokobori, T. (1969). Reports of Research Institute for Strength and Fracture of Materials 5: 19.
35. Yokobori, T., Ishii, H., and Koyama, S. (1979). Scirpta Metallugica 13: 515-517.
36. Yokobori, T. (1979). ASTM STP 675: 683-701.
SECTION 7.11
Assessment of Fatigue
Damage on the Basis
of Nonlinear
Compliance Effects
HAi~L M U G H R A B I
Universitht Erlangen-Niirnberg, Institut fiir Werkstoffwissenschaften, Martensstr. 5,
D-91058 Erlangen, Germany
Contents
7.11.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 622
7.11.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 623
7.11.3 Description of the Model: Intrinsic and
Damage-Induced Nonlinear Compliance ... 624
7.11.5 Applications: Examples of Assessment
of Fatigue Damage Based on Changes in
the Nonlinear Elastic Compliance . . . . . . . . . 626
7.11.6 Table of Parameters . . . . . . . . . . . . . . . . . . . . . . 631
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632
7.11.1 VALIDITY
Fatigue damage in the form of cracks which reduce the load-bearing cross
section gives rise to a nonlinear (elastic) compliance which superimposes on
the intrinsic nonlinear elastic behavior. In this article, the theoretical
principles for the assessment of fatigue damage (and crack propagation),
based on the measurement of nonlinear compliance effects and on
complementary data obtained from parallel replica studies of surface cracks,
will be outlined. The applicability to fatigued plain (unnotched!) specimens
of commercial alloys will be demonstrated. It will be shown that, under
Handbook of MaterialsBehaviorModels. ISBN 0-12-443341-3.

7.11 Assessment of Fatigue Damage on the Basis of Nonlinear Compliance Effects 623
favourable conditions, the novel technique proposed is suitable for obtaining

in a nondestructive manner data on fatigue crack propagation, crack opening,
and crack closure from fatigue experiments on plain specimens.
7.11.2 BACKGROUND
It has been shown earlier that the differential Young's modulus of an

undamaged material
do
ED(o") -- deez (1)
becomes noticeably stress-dependent at larger stresses in the sense that ED

decreases (increases) at higher tensile (compressive) stresses [1]. This is a
consequence of the anharmonicity of the atomic potential, which is probed
increasingly when a material is strained to higher and higher elastic strains,
giving rise to an increasingly nonlinear elastic behavior. The latter can be
taken into account by adding a second-order term in Hooke's law
(corresponding to a third-order term in the potential energy), so that
O. - - Eo " Sel + k" ~,el (2)

The constant Eo corresponds to Young's modulus in the linear Hooke
approximation in the limit of vanishing o., and k is a constant which describes
the deviation from linear elastic behavior. The constant k is always negative.
Wasserb/ich [2] has derived a relation which expresses the constant k in terms
of the third-order elastic constants and has listed the computed values of the
constant k (which he has called kM) and the elastic moduli Eo for a dozen
different steels. From Eqs. 1 and 2 it follows that the differential Young's
modulus is given by
ED- ~E2o+ 4ko. (3)
The parameters Eo and k are real material constants which are closely related
to the atomic potential curve of the material in question. In a pure elemental
material, this relationship is well founded. In single-phase alloys or in more
complex multiphase materials, the constants Eo and k should be viewed as
effective material constants averaged over the constituents of the material.
The material constants Eo and k can be determined in a cyclic deformation
test on an undamaged specimen from the slopes of the hysteresis loop, i.e.,
from the ED-values, at the load reversal points in tension and compression
and/or by intermittent elastic unloadings within a closed cycle, as described
in Section 7.11.4; compare also Reference [1].
624 Mughrabi
Now, in the case of a damaged material, the load-bearing cross section

decreases (increases) progressively with increasing tensile (compressive) stress.
Therefore, in the stress-strain response curve, the tangent modulus decreases
(increases) in a qualitatively similar fashion as the differential Young's modulus
of the undamaged material. The difficulty is, of course, to separate the intrinsic
nonlinear behavior from the additional nonlinear contribution which super-
imposes when the material is damaged and which can be considered as a direct
measure of the damage, as will be described in the next section.
7.11.3 DESCRIPTION OF THE MODEL:

INTRINSIC AND DAMAGE-INDUCED
NONLINEAR COMPLIANCE
In the absence of damage, the elastic stress-strain behavior will be well

described by Eq. 2 with a stress-dependent differential (tangent) Young's
modulus given by Eq. 3. It has been observed that, once damage develops, a
relation such as Eq. 2 is still suitable for describing the elastic stress-strain
behavior. Now, however, the tangent modulus ED and the parameters Eo and k
lose their meaning as true material constants and begin to deviate, showing
increasingly nonlinear behavior with reduced ED-values, as long as the cracks
(cavities) are open. This behavior is also reflected in a decrease of Eo and an
increase in magnitude of the negative parameter k [3]. According to
Eisenmeier et al. [4,5], the difference AED between the intrinsic value of
ED of an undamaged specimen and of a damaged specimen with opened
cracks (cavities) can be expressed as
AEo - IE2o + 4kor - Eo(ar) (4)
Here, Eo and k are the intrinsic material constants of the undamaged

specimen, ~r~r is the stress at the tensile reversal point, and ED (~rir) is the
stiffness of the damaged specimen at that point. Alternatively, AED can be
obtained from a series of elastic unloadings within a closed cycle [1], as
described in Section 7.11.4. The normalized value AED/Eo has been found to
be a suitable damage parameter, as will be described in text following.
As a starting point, it is necessary to identify the intrinsic material parameters

ED(~r), Eo, and k, which can all be obtained from a hysteresis loop of the
undamaged specimen. Here, it is important to plot the stress not vs. the total
strain et but vs. the plastic strain epl = e , t - cr/Eo in the linear Hooke
approximation. It should be noted that, in a plot of cr vs. et, one usually
obtains (very narrow) loops that are inclined with a slope of approximately
the Young's modulus. Frequently, these loops have unusual, sometimes sickle-
shaped forms [1]. Quite generally, they are not suitable for extracting the
information which is of interest here. In the plot of o vs. gpl, the elastic slope
becomes vertical in the limit of vanishing stress and corresponds to the
intrinsic (linear) Young's modulus Eo. At finite positive and negative stresses,
the elastic slopes will now deviate from the infinite (vertical) limit as a
consequence of the intrinsic nonlinear behavior and will assume (high)
positive and negative values, respectively. An example from the work of
Biermann et al. [6] on the particulate reinforced metal-matrix composite
(MMC) AA6061-A1203-15p-T6 is shown in Figure 7.11.1.
There are two possibilities for obtaining ED(cr) from the hysteresis curve.
First, it is sufficient to determine the extreme values of ED at the peak tensile
and compressive stresses ~rT and rrc, respectively, from the slopes of the elastic
lines immediately after stress reversal. With these two values, an optimal fit
according to Eq. 3 with appropriate values of Eo and k can be obtained. A
more accurate technique is to perform a number of elastic unloadings within
300
2OO
13_
~ 100 f <1/r j r "' s
:~ 0 r
-100 L"
-200
-300 ' ' ' ' ' ~ '

-2 0 2 4 6
~:p~/ 10 -4
FIGURE 7.1 l . l Hysteresis curve of aluminium-matrix composite AA6061-AIzO3-15p-T6 with

elastic unloadings at different stresses in a plot of o vs. epl--e,t-cr/Eo. Ae,t/e= 3• -3,
N=18189. Before the elastic unloadings, the anelastic relaxation was allowed to decay. From
Reference [6].
626 Mughrabi
220
0
210
$===l
r
o.
w
200
l.iJ
190
180 . . . . . . . . . . I I ii I .... I,, I= ~,,~
-3OOO -2000 -'K)O0 0 1000 2000 3000
o[MPa]
FIGURE 7.11.2 Dependence of differential Young's modulus Eo of a bainitic variant of the roller
bearing steel SAE 52100 on stress ~ at room temperature. Data points were obtained from elastic
unloadings. The curve has been fitted to the data points according to Eq. 3. From Reference [1].
one closed cycle, as is also shown in Figure 7.11.1. Then, it is possible to

determine ED(a) for each of the stresses from which the unloadings were
performed. From an optimal fit of Eq. 3 to these values of ED, one can then
obtain quite acurate values of Eo and k. For the example shown in Figure
7.11.1, Eo ----88.6 4- 0.3 GPa and k -- - 3 1 8 4- 20 GPa [6]. An example for the
actual measured stress dependence of ED(cr) is shown for a bainitic variant of
the roller bearing steel SAE 52100 in Figure 7.11.2, from Reference [1].
Once the behavior of the undamaged specimen has been well character-
ized, the onset and development of fatigue damage can be monitored
continuously by repeating the procedures described already and by noting any
changes in ED, Eo, and k, compared to the corresponding values of the
undamaged specimen. Examples of the assessment of fatigue damage in
different materials will be presented in the next section.
7.11.5 APPLICATIONS: EXAMPLES OF ASSESSMENT

OF FATIGUE DAMAGE BASED ON CHANGES IN THE
NONLINEAR ELASTIC COMPLIANCE
As a first example of how to apply these concepts, the strain-controlled fatigue

behavior of the fatigued aluminium-matrix composite AA6061-A1203-20p-T6
which is reinforced with A1203-particles with a volume fraction of fp - 20%
will be considered [3]. It is found that Eo and k (in tension, i.e., with open
cracks) depend in an interesting manner on the total strain amplitude Ae,t/2,
as shown in Figure 7.11.3 for N = Nf/2 cycles (Nf: number of cycles to
failure). At low amplitudes, Eo and k (in tension) are constant (Eo = 97.9 GPa,
k = - 5 0 2 GPa), as expected. Starting at about Ae,t/2 = 0.004, Eo begins to
decrease and becomes constant again at Ae,t/2 = 0.007. The parameter k
decreases continuously. From these results, it could be concluded that, at total
strain amplitudes which exceed a value of about 0.004, particle fracture
occurs. This conclusion is consistent with metallographic observations of
broken particles. It should be pointed out that, in an earlier study of
monotonic deformation, Lloyd [7] also related a decrease in Young's modulus
to an increase of the fraction of broken particles.
In the case of MMCs, there is a difficulty in relating the variations in the
nonlinear compliance quantitatively to the loss of the load-bearing cross
section, since the Young's moduli of the matrix ( ~ 68GPa) and of the
particles ( ~ 380 GPa) differ very strongly. Moreover, since the damage is
more or less homogeneously distributed internally and not in the form of
discrete propagating cracks, the nonlinear variations of the compliance
cannot be evaluated reliably in order to obtain information on crack
propagation. As will be shown in the following, the approach described
100 -1000
98 A
0 O
- -800
96 9
-- E0 ~3
i,
.@ 9- - o - - k
94
6 N-Nf/2 - -600
0
92 " 0 . . . . "(5 " 0
f p - 20 vol. %
g
i
RT
90 I , I , I I i I t -400
2 4 6 8 10
A e t / 2 / 1 0 -3
FIGURE 7.11.3 Variation of Eo and k in the fatigued aluminium-matrix composite AA6061-
A1203-20p-T6 as a function of total strain amplitude A~t/2, indicating particle fracture at
Aet/2 > 0.004. From Hartmann et al. [3].
628 Mughrabi
previously can be applied advantageously in the case of more homogeneous

materials such as the cast magnesium alloy AZ91.
In References [4,5], it has been demonstrated that the propagation of
fatigue cracks can be studied advantageously by a combination of surface
replica studies (compare Reference [8]) and measurements of compliance in
order to obtain the differential stress-dependent Young's modulus ED, as
defined in Eqs. 1 and 2; compare also Reference [9]. The modulus ED should
be measured both as a function of the number of cycles and also intermittently
within closed hysteresis loops. As shown in the following for the cast
magnesium alloy AZ91, it is thus possible to obtain information on the
propagation of cracks not only along the surface but also into the depth. In
addition, from the in situ compliance measurements during a closed cycle,
crack opening and crack closure stresses can be determined.
Figure 7.11.4 shows a sequence of traces of cracks obtained from surface
replicas taken intermittently in a fatigue test on the alloy AZ91 after different
numbers of cycles, employing the technique first applied by Ebi [8]. This
technique permits one to trace the evolution of the fatal crack to its origin
shortly after its initiation. In the case of the cast magnesium alloy AZ91,
many small cracks initiate almost simultaneously at contraction cavities
[4,5,9]. Then, larger cracks form as a result of the coalescence of
these microcracks, until one fatal crack propagates and failure occurs.
_.~---._..s'-.-~ ~
N- 150 -"- -.,
I cy
N = 300 -'
-- N = 705
0.3 m m
N = 906
FIGURE 7.11.4 Tracesof coalescing fatigue microcracks in the magnesium alloy AZ91 forming
the main crack, as observed in a sequence of surface replicas after different numbers of cycles N.
A~t/2 -- 5• -3, T -- 20~C. From Reference [4,5].
The loss of the load-bearing cross section is reflected directly in

appropriate compliance measurements, making use of the Eqs. 1-3. Thus,
Figure 7.11.5a shows an example of elastic unloadings during a cycle early in
the fatigue test, when there still exists no fatigue damage. Here, the slopes of
the unloading paths, which are vertical in the limit of vanishing stress,
decrease a little at higher tensile stresses and become slightly negative
at higher compressive stresses. This is typical of the intrinsic nonlinear
elastic behavior.
Figure 7.11.5b shows examples of intermittent elastic unloadings later in
the test after fatigue damage has spread over a larger part of the cross section.
Now the nonlinear effects described previously for the intrinsic nonlinear
behavior become much more pronounced and reflect the superposition of an
appreciable additional nonlinear component due to the fatigue damage. The
variation during the cycle of the differential elastic modulus ED according to
Eqs. 1 and 2 (with appropriate values of Eo and k) is plotted in Figure 7.11.6
as a function of the stress or. It should be noted that this figure shows two
important features, namely, the intrinsic stress dependence of ED for the
specimen with closed cracks (upper line and dashed extension) and the stress
dependence with damage, after the (main) crack has opened at a tensile stress
of about + 12.5 MPa (lower inclined line). Crack closure corresponds to the
jump AED from the lower to the upper line at a compressive stress of about
- 2 5 MPa, as the stress is decreased from tensile to compressive values. The
behavior is well described by the damage parameter AED/Eo, which is related
to the loss of the load-bearing cross section [4, 5].
lO0 lO0
a)
50 50
0 0
D D
-50 -50
- 1 0 0 . . . . . 100 , , ,
-0.04 0.00 0.04 0.08 0.00 0.02 0.04 0.06

ct-cs/E0/% 8t-cs/Eo/%
FIGURE 7.11.5 Hysteresis loops in the form of cr vs. (~t-':r/Eo) of fatigued AZ91 with
intermittent elastic unloadings, Aet/2 -- 2.25• -3, 20~ a. Early in fatigue life, N/Nf ,~ 10%.
b. Late in fatigue life, N/Nf '~ 80%. From References [4, 5].
630 Mughrabi
42
41
4O
=39
38 ~ m n -
9 compression to tension
3 7 A , tension tq cprrtPres~ion . . . .
-100-75-50-25 0 25 50 75 100
/MPa
FIGURE 7.11.6 Differential elastic modulus ED (stiffness values), as determined by the
intermittent elastic unloadings shown in Figure 7.11.5b. From References [4, 5].
14 16
12 9 crack length from replicas /
zx ZXED/E0 by unloading tests J 12
10 -- AED/E o from stiffnesses at l
8 tensile peak stresses ~ n
/ - 8
=~~ 6 Art/2 = 5 x 10-3 / [.~~
T = 20 ~ / / m
o 4 <
~ 4
2
M
0 ~ , I , I , 0
0 400 800 1200 1600
N
FIGURE 7.11.7 Evolution of crack length (main crack) at the surface (replicas) and in the bulk
(see text), as derived from the damage parameter AEo/Eoin different ways. From References [4, 5].
Finally, in Figure 7.11.7, the development of the crack length is plotted, as

deduced by different methods [4,5]. The damage parameter AED/Eo is
approximately proportional to the length of the main crack, as observed on
the replicas, up to about 80% of fatigue life and then deviates toward higher
values. This behavior reflects the fact that the crack obviously first spreads
mainly along the surface and then propagates into the bulk only at a later
stage. The magnitude of the deviation reflects the mean depth of the crack
into the bulk. In Figure 7.11.7, another set of values of AED/Eo, which were
determined automatically solely from the stiffness values at the load reversal
points in tension and compression, are also plotted; compare Eq. 4. The good
agreement between these data and those derived from the elastic unloadings
is emphasized.
In summary, the experimental approach just described can be considered
novel and has the merit of obtaining crack growth data (in a quasi-
nondestructive manner) during a standard fatigue test on a plain (unnotched)
specimen without the need to use a standardized fracture mechanics
specimen. The work reported here has been complemented by a mesome-
chanical model of fatigue crack initiation and growth which describes the
fatigue crack growth and fatigue life data very satisfactorily [10].
The intrinsic nonlinear elastic compliance of a number of engineering

materials has been studied in the past. The values reported for the material
parameters Eo and k are listed in Table 7.11.1. The values of Eo are accurate
within 1-2%, those of k within about 5%. The magnitudes of typical variations
of Eo and k in fatigue-damaged specimens follow from inspection of
TABLE 7.11.1 List of Intrinsic Material Constants Eo and k, as Determined for Materials
Temperature Eoin
Material in ~ GPa k in GPa Ref.
Steels:
SAE 52100, bainitic 20 205 -750 [1]
SAE 52100, martensitic 20 203 -720 [11
Al-alloy, peak-aged:
AA 7022 20 73 -285 [111
MMC:
AA6061-A1203-15p-T6 20 88.6 -318 [61
AA6061-A1203-20p-T6 20 97.9 -502 [31
X2080-SiC-15p-T4 20 99 -420 [12]
Ti-alloys:
IMI 834 400 99.5 -261 [111
]%Ti Beta-C 20 111.3 -185 [11]
632 Mughrabi
Figures 7.11.3, 7.11.6, and 7.11.7. It is clear that such variations and the
values of the corresponding damage parameter AED/Eomust be determined
from case to case, employing the procedures previously outlined.
REFERENCES
1. Sommer, C., Christ, H.-J., and Mughrabi, H. (1991). Acta Metall. Mater. 39: 1177-1187.
2. Wasserbhch, W. (1991). Phys. Stat. Sol. (b) 164: 121-125.
3. Hartmann, O., Biermann, H., and Mughrabi, H. (1998). In Low Cycle Fatigue and Elasto-Plastic
Behaviour of Materials, pp. 431-436, Rie, K. T., and Portella, P. D., eds., Elsevier
Science Ltd.
4. Eisenmeier, G., Mughrabi, H., HSppel, H. W., and Ding, H. Z. (2000). In DFG-Kolloquium
2000 "Lebensdauervorhersage", pp. 153-164, Deutscher Verband ffir Materialforschung
und-prffung e.V.
5. Eisenmeier, G., Holzwarth, B., HSppel, H. W., and Mughrabi, H. (2000). In Proceedings of
ICSMA 12, Special Volume of Mater. Sci. Eng. A (in press).
6. Biermann, H., Beyer, G., and Mughrabi, H. (1996). In Verbundwerkstoffe und Werkstoffverbunde
pp. 197-200, Ziegler, G., ed., DGM Informationsgesellschaft, Oberursel.
7. Lloyd, D. J. (1991). Acta Metall. Mater. 39: 59-71.
8. Ebi, G. (1987). Doctorate Thesis, Rheinisch Westf'hlische Technische Hochschule, Aachen.
9. Mughrabi, H. (2000). In Fracture Mechanics: Applications and Challenges, invited papers
presented at 13th European Conference on Fracture (ECF 13), ESIS Publication 26,
pp. 13-28, Fuentes, M., et al., eds., Elsevier Science Ltd.
10. Ding, H. Z., Eisenmeier, G., and Mughrabi, H. (2000). In Proceedings of Fourth International
Conference FATIGUE 2000: Fatigue and Ductility Assessment of Materials, Components and
Structures, pp. 209-217, Bache, M. R., et al., eds., EMAS Ltd.
11. Christ, H. J. (2000). Personal communication.
12. Maier, H. J., Rausch, K., and Christ, H.-J. (1996). In Proceedings of the Sixth International
Fatigue Congress FATIGUE'96, pp. 1469-1474, vol. 3, Lfitjering, G., and Nowack, H.,
eds., Pergamon.
SECTION 7.12
Damage Mechanics
Modeling of Fatigue
Crack Growth
XING ZHANG AND JUN ZHAO
Division 508, Department of Flight Vehicle Design and Applied Mechanics, Beijing University of
Aeronautics and Astronautics, Beijing, 100083, China
Contents
7.12.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 633
7.12.2 Constitutive Relations . . . . . . . . . . . . . . . . . 633
7.12.3 Governing Equations of
the Process Zone . . . . . . . . . . . . . . . . . . . . . . 634
7.12.4 Boundary Conditions of
the Process Zone . . . . . . . . . . . . . . . . . . . . . . 637
7.12.5 Crack Growth Rate . . . . . . . . . . . . . . . . . . . . 638
7.12.6 Table of Parameters . . . . . . . . . . . . . . . . . . . 644
7.12.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . 644
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 644
7.12.1 VALIDITY
This approach is valid w h e n the crack length increment during one load cycle
is very small in comparison with the total crack length.
7.12.2 CONSTITUTIVE RELATIONS
The damage coupled constitutive relations of cyclic loading can be established

by means of the strain equivalence principle [1] and the O s g o o d - R a m b e r g
equation and Masing principle [2] in the vicinity of the fatigue crack

634 Zhang and Zhao
tip as follows:
~ -n n-l~ 3b(1
eij = ~(D tTe sij ~ = 2(E(1)n (1)
where
!
gij -- Fij - c~ijFij/3, Fe -- ~r cp -- 1 - D (2)
and F/j is the cyclic range of the stress component, D is the extent of damage,
E is the Young's modulus, b is the coefficient of plastic term in the Osgood-
Ramberg equation, n is the exponent of previous term, and (1 is the
magnification factor due to subsequent yielding. It must be mentioned that
there are no crack surfaces in the current model; instead, there is a
continuous, long, thin damage band (Fig 7.12.1).
The increment rate of ~ per load cycle for a prescribed material point is
given as
>
(3)
aN l, 0, _<
where N is the number of load cycles, C(R) is a known function of the cyclic
stress ratio R, and Y is the cyclic range of the damage driving force and
equal to
1
= -~ Cijklq)-2Fij~kl (4)
where Cij~z is the compliance of the tensor component of the original

sound material.
7 . 1 2 . 3 G O V E R N I N G E Q U A T I O N S OF
THE PROCESS ZONE
In the polar coordinate system depicted in Figure 7.12.1, the Airy stress
function A corresponding to Fij can be expressed by
,4- ~rZ+2,4(0) (5)

from which the stress components satisfying the equilibrium equations will be
~rr -- ~ r ' ~ r r ( O ) , ~00 -- R r ~ o o ( O ) , ~rO -- R r ~ r O (6)

7.12 Damage Mechanics Modeling of Fatigue Crack Growth 635
traditiona~ t (r,O)
~ rack
x
ces zone
crack length --------- da/dN
i-
FIGURE 7.12.1 A fatigue crack in the sense of damage mechanics.
Application of Eq. 2 gives

Srr ~- ~r2Srr(0), SO0 -- ~r~goo(O), St0 -- ~l'2"SrO, (7)
~ = ~r~(0) (8)
The extent of continuity (p is equal to
q) = flr~'Fp(O) (9)
It is known that the crack tip is a point of null continuity; then/2 > 0.
According to the damage coupled constitutive equations, i.e, Eq. 1,
we have
~,rr - - ~ rn(2-#)~,rr(O)
~oo - ~ r"(~-~)~oo(O) (10)
~rO -- ~ rn(2-~)~,ro(O)
The equation of compatibility is

1 02~rr O~;rr 02 2(O~,rO~
- r -- 0 (11)
r oqO2 Or ~- ~ r 2(re'~176- r\ O0 ,]
Substitution of Eq. 10 into Eq. 11 gives

--H --!
err -11-ClerO -t- C2~,rr + C3~,00 - - 0 (12)
where
C1 = - 2 ( S -~ 1), C2 = -S, C3 = S(S + 1), S = n(2 - #) (13)
636 Zhangand Zhao
Eq. 13 is a fourth-order nonlinear differential equation of A(0) and ~(0)

containing the unknown eigenvalues 2 and/.t.
Equations 4, 9 and 10 give us
//~,~ 2 Y(0) E
~F-- k-fiJ r2(~-~) E ' Y(O)-- CijkZFP-2~kZ#ij (14)
Inserting Eq. 14 into Eq. 3 yields
d~o C (~/2p+2 1)(2-#) ~p+l

d---N= E(p+ 1) r2(p+ (15)
Using Eq. 9 and Figure 7.12.2 and preserving the dominate terms,
we have
dq9 = flr~_l(~,si n 0 - #~cos 0) dN

d~ (x6)
dN
Comparison of Eq. 15 and Eq. 16 shows
~tsin 0 -/.t~cos 8 - _~p+l (17)
2(p + 1 ) ( 2 - #) -- # - 1 (18)
1 (19
dN EP+1 fl
Eq. 17 is another nonlinear ordinary differential equation of A(0) and ~(0).
I
a fixed element J ~ ]
! /,---
j /
I /
I
i X
da
FIGURE 7.12.2 Geometric relations with respect to crack growth.

7.12.4 BOUNDARY CONDITIONS OF

THE PROCESS ZONE
Because of the symmetry of a mode I crack, it can be confirmed that

A' (0) = A"' (0) -- ~' (0) -- 0 (20)
From Eq. 5, we may assume
A(0)- 1 (21)
Furthermore, ~(0) and ~"(0), needed in the integration, can be expressed
using Eqs. 12, 17 and 18 as forms of
- - (0)] (22)
A reasonable scheme of boundary conditions of the process zone is

q~(r, Od) = O, aoo(r, Od) -- a~0(r, 0d) -- 0 (23)
where 0 < 0a < re. Physically, the domain of 0 E [Od, rc] can be recognized as a
region full of totally damaged media. So far, there are three undetermined
values, i.e., #, k ~(0), and 0d, to be solved by three conditions shown in Eq. 23.
Equations 12 and 17 can be integrated under the boundary conditions of
Eqs. 20, 21 and 23 with consideration of Eq. 22 by means of the fourth-order
Runge-Kutta method with adjustable steps. Then, A(O) and ~(0) can be
obtained, and 2 can be found by Eq. 18. The computational results are shown
in the table of parameters (Section 7.12.6), from which it can be seen that the
damage field order is a positive number less than 1, the stress field order 2 is
positive, the strain field order n(2 - #) is negative, and Od is greater than re/2
and less than n.
The boundary of the plastic process zone can be also confirmed. In
accordance with SEP and Masing's principle, the subsequent yon Mises
yielding criterion for damaged media is given by
= as (24)
where a~ is the initial yielding stress. Substituting Eqs. 2 and 9 into Eq. 24
results in
1
Figures 7.12.3 to 7.12.6 show the normalized angular distribution modes

of stress, strain, continuity, and the profiles of the plastic process zones, in
which COp- rp(0).
638 Zhang and Zhao
0.6 frO0
Lfan s ssI
(a) p=0.5, n=3.0
0.8
0.6 o'~
(b) p=0.5, n-9.0
0.4 O.4
0.2 0.2
~ o o
030 60 90 120 0I ~ 30 (d) 60p=1.590=9.0120
"'n ]
~. 1 1 -
0.8 0.8 (plane stress)
i 0.6 0.6
0.4 0.4
~ 0.2 0.2
~ o o
~ 1 ~0 _0 40 60 80 100 120 140
] 1 --~40 (~0 L . I , 00n=~; i40
0.8 oa - (plane strain)

ffoo
0.6 0.6
0.4 0.4
0 0 ,
0 30 60 90 0 20 40 60 80 I00
ANGLE 0 (degrees)
FIGURE 7.12.3 Normalizedangular distribution of stress.
7.12.5 CRACK GROWTH RATE
It can be seen from Eq. 19 that 0~ and fl are required to determine the crack
growth rate da/dN. For this purpose the demarcation of different zones needs
to be performed first. Since the yield limit is higher than the fatigue damage
threshold, the plastic process zone, elastic process zone, and nondamaged
elastic influenced zone lying from the crack tip to the outer area are depicted
7.12 D a m a g e M e c h a n i c s M o d e l i n g of F a t i g u e C r a c k G r o w t h 639
a) p~.5 :n=3.0 1.4 b b) p~i5, n=9.0

1.2 ~- (plane s t r e s s ) ~
1
0.8
0.4 o.6
0 o.2
-0.4 -0.2
Z9
-0.8 ~ j , -0.6t l i I
O- 30 60 90 120 0 30 60 90 120
2 ~-(c) 7 =2"0'~--3"0 -- ~ 1.75 t (d) p=l.5, n--9.0

~r~ 1.5
1.25
Z 0.5 0.75
0 3.25
-0.5 0.25
N -I 0.75 c , ~ I I I I
0 20 40 60 80 100 120 140 O. 20 40 ....60 80 100 120 140
1.8 [ (e) p~.5, n=3.0 ~ 1.8 ~ (f) p-~.5, n=9.0

1.3
1.3
0.8 0.8
0.3 0.3
-0.2 ~ -0.2
-0.7 -0.7
.1.2 t ~ ~ 1 1 -1.2
0 30 60 90 0 35 70 105
ANGLE 0 (degrees)
F I G U R E 7.12.4 N o r m a l i z e d a n g u l a r d i s t r i b u t i o n of strain.
in Figure 7.12.7. ~ and fl can be determined by employing the connection

conditions between neighboring zones. For a primary investigation, we
merely consider the connection requirement along the radius of 0 - 0.
In the plastic process zone, from Eqs. 10 and 17, we have
~0 - ar~80(O), ~,ij - ~ r"(~-')e, ij(O) (26)

640 Zhang and Zhao
0.8 0.8
0.6 q~
0.6
0.4 0.4
0.2 0.2
(plane stress)
0 I I , I \
F- 30 60 90 120 0 30 60 90 12Q
9 ,.,,
Z 1
[.-
Z 0.8 0.8
0
~D
0.6
q~ q~
0.6
0.4 0.4
0.2
(plane stress)
0.2
(d) p=~.
(plane stress) ~
O I I ' i ,~
! i I
Z 0
0 30 60 90 120 '0 40 60 80 100 120 140

9 . . . . . .
0.8 0.8
q~
0.6 - q~ 0.6
0.4 0.4
0.2 0.2
9 (plane strain) \~ .
I ,, I ,, 3
30 60 90 0 35 70 105
ANGLE 0 (degrees)
FIGURE 7.12.5 Normalized angular distribution of continuity extent.
While in the elastic process zone, it can be known that [3]
~!f) = ~(e)rCd(e) ~!f) = ~(e) ~g(e)~ r r ~!f)(0) (27)
It can be concluded that the nondamaged elastic influenced zone has the same
asymptotic fields as those of a V-notch [3] (see Fig. 7.12.7 and note that the
... y/o)
[_ (a) Co)
1.8 1.5
1.2
x/m
L L I 9 ' ' i
A , . * ~
-1 -0.5 0 0.5 l -0.6 -0.2 0.2 0.6

y/co y/m
(c) (d)
4. 15
L
x/co x/~o
, . 1 , 1
-2.5 -1.5 -0.5 0.5 1.5 2.5 -0.8 -0.2 0.4 1
y/o) ~ y/o~
(e) (f)
1.6
1.
1 0.8
x/~ x/~
, I . l ' ' ' ] 9 i I [
-1 -0.5 0 0.5 t 1.5 2 -0.6 -0.2 0.2 0.6 1 1.4
FIGURE 7.12.6 Profiles of plastic process zones.
material of 0 > 0d has no stiffness), so the concerned stress and strain

components are
e!v. ) -- I(~vr(-1/q)el; ) (0) ~,~v) _ ff~.vF(_l/q)~,l;)(0), q > 2 (28)
To establish the requirements of connection, the radius at 0 - 0 of the

boundary point of each zone is needed. From Eq. 25 the radius at 0 - 0 of the
642 Zhang and Zhao
- J Linear elastic process zone

\
Non-damage linear elastic
Damage zone influenced zone
/
Plastic process zone
FIGURE 7.12.7 Demarcation of different zones around the crack tip.
boundary point of the plastic process zone can be determined as follows:

1
From Eqs. 27 and 3, the radius at 0 = 0 of the boundary point of the elastic
process zone will be
1
% ~ % (0)% (o)
/
The requirements of connection between the plastic and elastic process
zones are
~_ ~:/, ~00 _ ~ / at ~ _ ~ , 6- 0 (31/
The connection conditions between the elastic process zone and the elastic
influenced zone will be
Fire ) - F [ [ ), ~--~) at r--toe, 0--0 (32)
Substituting Eqs. 26-28 into Eqs. 31 and 32, we have
-~ = Q/<[q(~-~) / 3 - S/<~-q~ (33)

/3
where
Q- (Q~Q~)-(~-.), s- (R~R~Q~-"Q~-")-~ (34)

e, - (e,Q,) ~-~ e!:)(o) (35)

err(0)
1
Pp -- ~laS ee(O)]
8!~) (0) ~ (36)

1
e~ - --7-(~--2-~ -
Inserting Eq. 33 into Eq. 19 and taking note of Eq. 18 results in

~2(p+1)
da - Ff(~ F.- c ~ (37)
dN ' EP +1
which express the crack growth rate.

Particularly in the case of small-scale damage, the noninfluenced zone
around the crack tip can be described by linear elastic fracture mechanics.
Thus the conservative integral J can be applied to correlate/(~ with/(i, which
is the cyclic range of the crack stress-intensity factor, as follows:
1 --2
~2 (.oel_(q/2)i(Od)E1 ~ j _ -~1 KI
Kv (38)
where I(0d) can be derived using Eq. 28.

According to Eqs. 30 and 36, we can rewrite Eq. 38 as
~q
~2
Sv = KI (39)
(PeQe)l-(q/2)I(Od)
Solving/(v from Eq. 39 and substituting it into Eq. 37 leads to
da ?.
dN = c* K 2, c* (PeQe)l_(q/2)i(Od) (40)
This equation is verified by some experimental result mentioned in

Reference [4].
644 Zhang and Zhao
TABLE 7.12.1 Asymptotic Orders and Other Related Parameters for the Plastic Process
Zone (v = 0.3): 1 = Plane Stress, 2--Plane Strain
Relevant
Section of
State p n # 2 n ( 2 - #) Oa Figs. 7.12.3-7.12.6
1 0.5 3 0.5840 0.4453 -0.4161 119.3 a

1 0.5 9 0.8026 0.7368 -0.5922 116.5 b
1 2 3 0.3228 0.2099 -0.3387 125.6 c
1 1.5 9 0.6599 0.5918 -0.6120 127.6 d
2 0.5 3 0.9912 0.9898 -0.0084 90.4 e
2 0.5 9 0.9092 0.8789 -0.2727 98.8 f
7.12.7 CONCLUSIONS
With the aid of a mode I fatigue crack model coupled with plastic damage, we
find that:
(1) the stress field has no singularity whereas the strain field still has a
singularity in the vicinity of the crack tip;
(2) the angular scope of the process zone (1 active zone) is confined to
[0, Oa] with (0 < Od< re) in the upper semiplane.
(3) the material of 0 E [0a, rc] is totally damaged and thus has no rigidity;
(4) a Paris-type formula for crack growth rate is theoretically derived.
REFERENCES
1. Lemaitre, J. (1992). A Course on Damage Mechanics, Berlin: Springer, pp. 12-16.

2. Moskvigin, B. (1965). Plasticity for Variable Loading. Moscow: Publishing House of Moscow
University, pp. 103-107.
3. Zhao, J. and Zhang, X. (1995). The asymptotic study of fatigue crack growth based on damage
mechanics. Engng Fracture Mech. 55: 131-141.
4. Liu, H.W. (1991). A review of crack growth analysis. Theor. Appl. Fracture Mech. 16: 91-108.
SECTION 7.13
Dynamic Fracture
W. G. KNAUSS
California Institute of Technology, Pasadena, California
Contents
7.13.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645
7.13.2 Stress Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 647
7.12.3 Mode I Fracture . . . . . . . . . . . . . . . . . . . . . . . . . . 651
7.13.3.1 Initiation and Arrest . . . . . . . . . . . . . . 651
7.13.3.2 The Running Crack: Roughness
and Branching . . . . . . . . . . . . . . . . . . . . 653
7.12.3.3 The Running Crack: Speed Limit.. 654
7.13.3.4 Crack Speed and the
Stress-Intensity Factor . . . . . . . . . . . . 655
7.13.4 Mode II Fracture . . . . . . . . . . . . . . . . . . . . . . . . . 656
7.13.5 Crack Front Waves . . . . . . . . . . . . . . . . . . . . . . . 657
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658
7.13.1 VALIDITY
Fracture mechanics is a mechanics discipline that addresses the failure of

materials in terms of crack propagation. The issue of the generation of cracks
from an apparent continuum is usually ignored or circumvented, so that only
the propagation of preexisting cracks is considered. The objective of fracture
mechanics is then to predict the conditions under which a crack will
propagate as a function of the geometry, loading, and material properties. Of
primary concern is the response of the material in the immediate vicinity of
the crack tip, which essentially serves as a stress intensifier of the stresses or
deformations applied far from the tip. With respect to material properties, one
typically distinguishes between brittle and ductile solids, with the latter
representing a large range of plastic responses. Ignoring, for the moment,
viscoelastic and viscoplastic material behavior, quasi-static fracture mechanics
is usually (minimally) concerned with the dependence of the failure process

646 Knauss
on loading conditions and domain configuration, with the r a t e of deforma-

tions playing a secondary role or none at all.
The field of dynamic fracture mechanics covers a vast range of physical and
analytical research endeavors which is too large to cover in a brief review.
However, it appears useful to examine the latest understanding of fracture
processes based primarily on experimental results, with purely analytical
treatments taking on a decidedly secondary character.
The specific field of dynamic fracture mechanics is typically characterized
in terms of far-field loading and crack-tip local response characteristics that
invoke (a) motions strongly influenced by material inertia and (b) high rates
of deformation of the material in the crack tip vicinity. These latter conditions
can generate a constitutive response that is significantly different from
its quasi-static counterpart. Constitutive behavior that is independent
of deformation magnitude and rate is the classical basis for all elasto-
dynamic analyses.
Historically, the most difficult problem obstructing improved under-
standing concerned the marriage between experiments and analyses: before
the advent of extensive computational power, tractable analyses were limited
to the infinite domain of linearly elastic solids containing mathematically
sharp cracks. In contrast and by their very nature, experiments are restricted
to finite domains of "real" materials. Much of the study of dynamic fracture
phenomena was thus relegated to qualitative investigations. Nevertheless,
several classical analytical studies honed our early understanding of crack
motion under dynamic conditions. These early investigations drew heavily on
dimensional analysis [5,33]. Yoffe's [42] description of the stresses at the tip
of a finite crack translating across a plane (artificial healing at the trailing
crack edge) established (1) the crack speed-dependent change in orientation
of the principal stress circumferential to the moving crack tip, and (2) the
inertia-driven decrease in the stress intensity with increasing crack speed. The
similarly illuminating solutions by Broberg [3] for the crack expanding
symmetrically at a constant rate, and by Baker [2] for the semi-infinite crack
propagating in infinite domains established that cracks propagating along a
single line (plane) possess speeds bounded by the Rayleigh wave speed. These
fundamental contributions to the dynamic fracture literature pointed out that
the stress intensity and thus the energy released by a crack propagating (in
infinite domains) at arbitrary velocity decrease monotonically from its static
value to zero as the crack speed approaches the Rayleigh wave speed.
In a sequence of papers devoted to allow for loading on crack surfaces as an
arbitrary function of time and space while the crack propagates in an infinite
domain, Freund generalized and confirmed these results [9-12] and
established a balance between the energy released by a moving crack tip
and the flux of energy into the crack tip region [13]. As a result of all these
7.13 Dynamic Fracture 647
analytical developments, the obvious variable of interest was the crack speed,
so that gradually virtually all dynamic fracture phenomena were examined in
terms of the speed of crack propagation as the controlling parameter. This
trend of viewing the crack speed as an independent descriptor was reinforced
by numerous experimental observations that dynamically moving cracks tend
to branch at a presumably critical speed. Hand-in-hand with these
observations, it became abundantly clear that cracks in "real materials" never
reached the theoretically possible Rayleigh wave speed during propagation.
The most serious "excuse" voiced was that prior to reaching that speed a crack
would always branch. For several decades the search was thus on to explain
(a) the criterion for crack branching and (b) the reason for crack speeds at
typically half or a third of the theoretically maximal Rayleigh speed.
Sufficient information has surfaced during the last two decades [ 18, 27-31]
which explains the significant differences between elastodynamic analyses
and laboratory experiments: on the one hand, these discrepancies are the
result of the idealization of the fracture process in the analyses, and, on the
other, of the truly complicated details accompanying fracture in the small
region around the crack tip when a crack propagates rapidly. We shall discuss
first certain aspects of the relevant stress analysis.
7 . 1 3 . 2 S T R E S S ANALYSIS
One of the perennial questions surrounding discrepancies between analytical

(for linearly elastic materials) and experimental results concerned the
accuracy with which analyses could explain the physical situation. Although
numerous examples had been established for quasi-static situations over the
last few decades, no comparative certainty existed with respect to the dynamic
case. A sizable body of dynamic photoelastic stress analysis emerged during
the 1970s and early 1980s. Qualitatively, the stress distribution around crack
tips that were suddenly loaded or moving at high rates agreed with the
asymptotic expansions, but their matching with initial and temporal
boundary conditions was rather uncertain, since early solutions were
prevalent only for the infinite domain.
Besides the mainstay of photoelasticity for experimentally determining the
stress and deformation state around dynamically affected crack tips, the late
1970s experienced a growing use of the caustic method, which depends on
the out-of-plane surface deformations in the crack tip vicinity [17, 20, 21, 37].
Critical experiments have shown that this method does rather well when
applied to brittle materials but is questionable in its accuracy where plastically
deforming solids are involved. An example of the former case, as applied in
dynamic situations [27,32], is shown in Figure 7.13.1. Here a comparison is
648 Knauss
0.3
Experiment
Theory
o
Q.
0
o
0.2
2. --.[---~-----
.'2_
r
c
,a,.,
_a
.t.
0.1
I I
I00 200
(a) Time (F sec)
C 9K, Experiment
0 a, Experiment
0
(1. K,TheorY
:s
1.0
8O
c j 60 E
"" 0
c 0.5 9 c
~ 9 . 01
| 40 ~c
g) x
W
20 o
0 o
0
- ' 0
0 I00 200
(b) Ti m 9( F sec )
effected between the computational result of a time-dependent stress-intensity

factor in a plate of Homalite 100 (a "brittle solid" by all engineering standards)
and the computation of the stress-intensity factor following Freund's
formulation [12] and using a well-calibrated load history applied to the
crack surfaces. The experimentally determined stress-intensity factor
corroborates the computed one very well, including the transient effects as
the crack starts to move.
For the case of plastically deforming solids, the situation is not so clear-cut.
Although no analytical (closed form) solution for a crack moving dynamically
through an infinite (or finite) domain exists in this case, results developed for
static cracks shed light on this question without the complication of dynamic
effects. In a study of crack tip deformations utilizing the highly precise
methods of Twyman-Green interferometry (out-of-plane) and moir~-inter-
ferometry (in-plane) [34-36], displacement profiles were compared to finite
element computations involving a thorough elastoplastic characterization of
the material behavior (incremental J2-theory) and the maximal discretization
allowed by a Cray Y2 computer. It was found that as long as plastic
deformations do not play a significant role, linear elastostatics describes the
physical displacement exceedingly well with a precision at the micron level.
However, when the stresses exceed levels of those corresponding to about half
the failure load, measurable deviations arose, which increased at the fracture
point to differences on the order of 25%, as illustrated in Figure 7.13.2. Thus a
sizable error can exist when out-of-plane deformations are used to deduce the
in-plane crack tip stress field. The most troubling feature of this discrepancy is
that the deformation field, as represented by optical fringes or by the shape of a
caustic, looks just like it is supposed to, except that the numbers are incorrect,
so that one has no a priori or practical criterion as to whether the caustic
analysis is appropriate in the presence of plastic material behavior or not. One
must deduce then that all methods for determining the in-plane stress-intensity
field from out-of-plane deformations in non-linearly deforming solids are
suspect, even if the best numerical methods available today are being utilized.
This caution must thus also be applied to caustics as well as to gradient sensing
methods [38] when significant plastic deformations arise at the crack tip.
FIGURE 7.13.1 Comparison of analytically determined stress-intensity histories (solid lines)

with experimentallydetermined values (solid dots) for two loading conditions on the crack faces.
a. "Point force" applied to crack faces, b. Uniform pressure, including the effects of initial crack
propagation. It is essential in the experimental determination of the stress-intensity factor that the
domain from which the optical (caustic) information is gathered is of the proper size to all the
transient information that has radiated out from the crack tip to the "initial curve." (Reproduced
with kind permission by Kluwer Academic Publishers from Ravi-Chandar, K., and Knauss, W. G.,
Dynamic crack-tip stresses under stress wave loading: A comparison of theory and experiment,
International Journal of Fracture, 20, pp. 209-222, 1982.)
650 Knauss
e : o~ xa/t = 0.50
20
-20
-40
m
e"
-60
O
e
o -80
_E
.,4
", - 1 0 0
/ / ~-~,Expt, 3 5 . 0 kN
-120
// / ............ FEN, 3 5 . 0 kN
/ / : : : Expt, 52.3 kN
-140
/ .... FEN, 52.3 kN
, 9, E x p t , 7 3 . 5 kN
-160
-. FEN, ~ 7 3 . 5 kN
-180 " ' . . . . . .

.0 .5 1.0 1.5
(a) rtt
e = • ~ x3/t = 0 50
150
, : : Expt, 3 5 . 0 kN
............ FEM, 3 5 . 0 kN
125 : : = E x p t , 5 2 . 3 kN
FEN, 5 2 . 3 kN
' - : E x p t , 7 3 . 5 kN
FEN, * 7 3 . 5 kN
100
0
f_
~ 75
E
v
50
25
L8~ _- . -. o ..... ..............................."........................................................
b ...... ~ .....
'O0
9 .25 .50 .75 1.00 1.25 1.50 1.75 2.00 2.25
(b) r/t
FIGURE 7.13.2 Comparison of computationally and experimentally determined displacements
at the tip of a crack in 4340 steel, a. Displacement normal to the specimen surface along crack
extension line. b. In-plane surface displacement parallel to the crack along line at 60 ~ with respect
to crack extension. (Reproduced with kind permission by Kluwer Academic Publishers from
Schuhheisz, C., Pfaff, R. D., and Knauss, W. G., An experimental/analytical comparison of three-
dimensional deformations at the tip of a crack in a plastically deforming plate, III. Comparison of
numerical and experimental results, International Journal of Fracture, 90, pp. 47-81, 1998.)
7.13.3 MODE I FRACTURE
Let us turn next to considerations of dynamic brittle fracture in mode I

deformations, and examine first the question of initial crack propagation
under impulsive loading, followed by observations on running cracks.
7.13.3.1 INITIATION AND ARREST
One refers to initiation when a crack starts to propagate from rest, and to
arrest when the reverse occurs. Criteria for initiation have not been
established uniformly, other than achieving a critical stress intensity,
which does not address the situations under very rapidly rising stress
pulses or such pulses of very short duration. Curran et al. [6] observed in
spall experiments that the stress to generate fracture from a continuum and
to propagate it increases rapidly as the initiating stress pulse becomes
shorter (times are measured in fractions of microseconds). They offered
a reaction rate type of criterion as an explanation, insinuating that to
fail (chemical) bonds in the solid requires a certain time frame which should
be governed by the molecular structure. In experiments employing
preexisting cracks in Homalite 100 plates subjected to ramp pressure
histories with increasing initial loading rates applied to the crack
flanks, Ravi-Chandar and Knauss showed that a similar phenomenon
prevailed, though the time scale was somewhat longer, namely, in the
microsecond range.
In an attempt to explain this phenomenon on a purely mechanical
basis, Liu, Knauss, and Rosakis [19] drew on experience gained from
Ravi-Chandar's and Knauss's experiments on dynamically propagating
cracks and the importance of a dynamically governed process zone (discussed
in text following). They postulated that in order for fracture to start, a
sufficiently large domain of material at the crack tip (process zone) must
be developed to a critical stress level before further crack advance can take
place. To achieve this condition in shorter and shorter times with a square-
root singular stress field that emanates from and grows at the crack tip
requires that the stress level of the boundary loading must increase ever
more rapidly andfor to larger and larger values. This simple consideration
is examined analytically with the experimental data as illustrated in
Figure 7.13.3. For "slow" loading histories such that the stressqntensity
field is well established over a sizable domain around the crack tip at all
times, crack propagation starts at a critical stress intensity factor, say Kic. Note
that the basic idea underlying this phenomenon is devoid of any dynamic
652 Knauss
9 ExperimentalResult
1.2 I
0
I ! 2 ./ ~=l.OOmm
"~ 1.0
~
~W,// 6 = 0.50ram
I!
0
~= 0.25mm
o 0.8 \ , ~ , / 6 = 0.05mm
o,-.4
~ 0.6
r162
0.4
o9
~q
-~ o.2
.,--4
Planestrain
0.0
0 20 40 60 80 100 120
Time to Fracture, tcr (#sec)
FIGURE 7.13.3. Relationbetween the instantaneous stress-intensity factor Kdc and the time to
initiate crack propagation tcr. The quantity r denotes the size of the zone over which the stress-
intensity field at the crack tip has to be established before fracture propagation can begin (plane
strain and example). (Reproduced with kind permission by Kluwer Academic Publishers from
Liu, C., Knauss, W. G., and Rosakis, A. J., Loading rates and the dynamic initiation toughness in
brittle solids, InternationalJournal of Fracture, 90, pp. 103-118, 1998.)
argument, other than the transient inertial evolution of the stress field at the
tip of a crack.
The inference of this result for Currans et al.'s [6] spall crack generation is
that, while an existing crack already possesses a stress-intensity field due to
the finiteness of the crack, the initiation from a flawed "continuum" m u s t
occur from defects smaller than the tip zone of a macroscopic crack. This
requires still higher stress levels to cause fracture in their vicinity than the
macroscopic crack, if the times to achieve this are to be very short. Both
observations fit the Curran et al. experiments.
The process of crack arrest is not a simple time reversal of the initiation
process. As will be evident, the history of crack propagation is important,
even in brittle elastic solids. Thus crack arrest does not occur at the same
value of the stress-intensity factor as initiation of crack motion, but the value
of the arrest stress-intensity factor Kia is typically smaller (Kza < Kzc) by about
10% [28]. Reinitiation after arrest occurs a g a i n - within experimental
u n c e r t a i n t i e s - at the same stress-intensity level as the original initiation
value Kzc.
7 . 1 3 . 3 . 2 THE RUNNING CRACK" ROUGHNESS

AND BRANCHING
Once the crack propagates, it does so often by generating increasing

surface roughness along the crack path, which has been historically divided
into "mirror, mist, and hackle." This division is arbitrary inasmuch as
the roughness increases continuously along the crack path as measured in
terms of an rms-value [30]. Although the roughness is somewhat related
to the crack speed, it is more clearly associated with the magnitude of
the stress-intensity factor, since the roughness increases with the latter.
The "mirror, mist, and hackle" characteristic is thus primarily a consequence
of the fact that in earlier test configurations the stress-intensity factor
increased with the growing crack, which occasions an increase in the process
zone [29]. Branching is thus connected to the nature and evolution of the
process zone.
To demonstrate this feature more clearly, Ravi-Chandar and Knauss [29]
photographed a crack running at high speed close to the (empirical)
crack branching conditions, viewing the crack so that the domain ahead of
the crack through the plate thickness was visible in real time. This
observation revealed that the different zones of "mirror, mist, and hackle"
are associated with varying numbers of microfractures ahead of the
main crack. The mirror zone produces (at the scale of the optical resolu-
tion) a virtually defect-free zone ahead of the main crack, while the hackle
zone was associated with numerous microfractures ahead of the main crack
front. Thus the propagation of a (main) crack in a brittle material really
occurs through the generation of a process zone in the form of a cloud of
microcracks ahead of the main crack which then coalesce to form the new
macrocrack. These microcracks occur in a band accompanying the main
crack; the wider this main crack is, the higher is the instantaneous stress-
intensity factor.
The process of crack branching is then a consequence of these microcracks
generated "off-axis" ahead of the main crack and parallel to it. Their stress
fields interact with that of the main crack, which determines their further
propagation direction as well as their linkup with the main crack. Drawing on
the analytical (quasi-static) analysis by Pucik [25] for interacting cracks, one
can see clearly that cracks, in relative positions to each other as would occur
in the micro-/macrocrack problem, lead to growth of the leading end of
the microcrack away from the macrocrack, thus forming the initiation of the
branch. This behavior is corroborated by real-time photographs of crack
branches that consistently start at the small scale parallel to the main crack
and then turn continuously.
654 Knauss
7.13.3.3 THE RUNNING CRACK" SPEED LIMIT
A long-standing puzzle in dynamic crack propagation was the observation

that experiments produced crack propagation speeds that are significantly
below the maximum value (Rayleigh wave speed) allowed or predicted by
linearized elastodynamics. These values are typically one third to one half of
this "theoretical" value. The observation that the fracture process occurs
through a "cloud of microcracks," the stress fields of which interact with each
other, establishes quickly that the time for this microcrack interaction is not
considered in typical elastodynamic models. Clearly, establishing an interac-
tion between microcracks requires more time than the idealized continuum
model (a single, sharp macrocrack) allows. At the same time, one observes
that the multiple microfractures result from high stresses at the crack tip; the
higher these stresses, the more microfractures one would develop. Thus, if the
stress level is reduced so that fewer or no microcracks develop, then the crack
might possibly propagate at its maximal allowed speed, the Rayleigh surface
wave speed.
Reduction of the crack tip stress levels is achieved if the material possesses
vanishing cohesive strength. To simulate that condition, one needs to generate
a continuum with all the proper physical properties (wave speeds) but with
(nearly) zero strength. This condition may be achieved by manufacturing
plates with an increasingly weak plane, such as obtained in imperfect bonding
or welding of Homalite 100 or Plexiglass half-planes.
This proposition was explored experimentally by Washabaugh and Knauss
[40, 41], who rebonded previously broken (or machined) plates of Plexiglass
under controlled temperatures, pressure, and time to produce plates
containing a weak plane (the future "crack" propagation plane) of controllable
strength. The weakest plate bond was determined by the need to handle the
plates in the laboratory. Plates generated in this manner possessed virtually
homogeneous properties - - no adhesive layer - - with a variably weak line or
plane along the path normally taken by a crack propagating through a plate
possessing the material's full strength. By performing tests on plates
possessing decreasing cohesive strength, it was found that the propagation
increases asymptotically toward the Rayleigh wave speed, the highest speeds
achieved being 90 4-5% of that velocity.
These results illustrate that, in principle, elastodynamic theory does indeed
predict the correct propagation behavior for an idealized material. The
idealization consists in viewing fracture to occur along a vanishingly thin strip
and under sufficiently small stresses at the crack tip so that the stresses and
strains follow the linearity assumption underlying the material description for
stress analysis purposes. When this linearity assumption is violated, a
different crack propagation response results.
Related situations of crack propagation along weak planes arise in the

fracture of crystals as the crack propagates along a (weak) cleavage plane so
that "off-axis" microcracking or damage is minimized or eliminated. Field [8]
has recorded crack propagation in crystals and has demonstrated that cracks
do indeed propagate at 80 to 90% of the respective Rayleigh wave speeds. This
result, together with that described previously for isotropic plates, suggests
very strongly that it is the generation of multiple fractures at the crack tip
rather than the intrinsic elastic properties (crack or wave speed) of the solid
that limit the rate of crack growth.
7.13.3.4 CRACK SPEED AND THE STRESS-INTENSITY FACTOR
In the beginning of dynamic fracture investigations (1960s), analyses were

based on the assumption that the energy required to form new crack surfaces
was a material constant. Experiments did not support this idea in the context
of dynamically moving cracks, though quasi-static crack initiation corrobo-
rated this idea rather well. Thus investigators moved to treating this quantity
as a function of crack speed; see, e.g., Freund [9, 13]. This suggestion went
hand-in-hand with the earlier notion that crack tip velocity was an important
and independently controlling parameter. In fact, the crack speed should be
viewed as a direct consequence of the (history of the) stress-intensity factor, as
its dependence on the roughness of the fracture surface indicates. At any rate,
this emphasis on crack speed as a controlling parameter precipitated the
search for, or determination of, the velocity-dependent toughness, or the
supposedly one-to-one relation (K-v curve) between the stress-intensity factor
and the crack speed.
Experiments on large plates simulating the infinite domain no wave
reflections and large crack extensions - - do not support this idea. Instead, as
Figure 7.13.4 indicates, the crack speed can be totally independent of the
stress-intensity factor (within the resolution of the experimental setup), and
seems to be dictated more by the history by which the stress-intensity factor
was initially established to make the crack propagate. Thus there appears to
be no one-to-one relation between the speed of a dynamically moving crack
and the stress-intensity factor, at least not for brittle materials. It has been
suggested that this observation does not carry over to plastically deforming
materials; however, the data supporting this notion have been typically
obtained under conditions similar to those which produced the continuous
K-v curve in Figure 7.13.4 rather than large plates with far running cracks and
in the absence of interaction with stress waves reflected from the specimen
boundary. It is also noteworthy that crack speeds can undergo finite jumps as
656 Knauss
500 -
400
300
E
>-
i--
m
(,.)
o
_.1
>
2_00 Y
o
,,,::(
nr
(_)
I00
L I
0-5 I -0
STRESS INTENSITY FACTOR, (MPa.qm)
FIGURE 7.13.4 Crack propagation velocities in (brittle) Homalite 100. The "horizontal" lines
represent measurements of the tip motion of cracks in large plates as they grow with no or
minimal influence of stress waves reflected from the plate boundaries. The solid curve represents
the postulated "unique" relation between the instantaneous stress-intensity factor and the
resulting crack speed derived from relatively small fracture specimens as delineated in Dally [7].
(Reproduced with kind permission by Kluwer Academic Publishers from Ravi-Chandar and
Knauss [28-31].)
a result of an interaction of the crack tip with a stress wave of suitable

magnitude [30, 31]
7.13.4 MODE II FRACTURE
Following extended considerations of quasi-static fracture along interfaces

during the last decade, and specifically of the role of shear stresses in such
situations, the influence of mode II deformations in dynamic conditions has
been addressed more recently. These investigations have been coupled with
examinations of the development and role of shear-banding in dynamic
fracture scenarios.
The first experimental study explicitly devoted to dynamic crack

propagation under substantial shear loading in PMMA, Araldite, and steel
was offered by Kalthoff [16]. The interesting result emerged that, as the
deformation rates increased, the crack propagation changed from nearly
quasi-static propagation governed by, essentially, a maximum stress criterion,
to a mode that is heavily influenced by the evolution of a shear-band
structure, from which a crack then emanates.
A more recent and broader effort to elucidate the role of shear stresses on
the dynamic propagation of cracks was undertaken by Rosakis and
collaborators. Starting from the behavior of interfacial separation under
dynamic loading conditions, this team examined the propagation of a
separation along a weak plane in sheet material, much as Washabaugh and
Knauss [40] did for mode I loading. In contrast to the results established by
the latter, these shear-dominated separations produced tip speeds that
exceeded the shear wave velocity of the material (Homalite 100, an optically
clear polyester). Associated with these "crack growths" were sizable contact
zones. Relevant linearly elastodynamic stress analyses, drawing on energy
flow into the tip regions of mode I and of mode II separations [4, 14,39]
confirmed that this different behavior is admissible for shear-governed
separations, but not for mode I-driven failures. Although these analytical
results provide necessary fracture conditions in agreement with the
observations in both mode I and II conditions, they shed no direct light on
the physical reason for this propagation response. In view of the fact that the
mode II-dominated propagation behavior occurs, apparently, only with solids
containing a weak plane, it is thus possible that the inhomogeneous
dilatational stress field ahead of the "crack tip" causes (multiple) separations,
thus "dragging" a composite shear zone along. If the dilatational or normal
stress components ahead of the crack tip are insufficient to cause failure
across the weak plane, presumably damage propagation will follow a different
path (or zero path) as governed by different local constitutive behavior. Crack
propagation phenomena that occur with rates bounded by the shear speed of
the (isotropic) solid and the dilatational speed are associated with weak
planes or fissures under pressure that possess no or weak intrinsic cohesion,
such as is the case potentially in the slippage of earth faults. Indeed, supra-
shear-speed slip motion has been reported in such situations [1, 24].
7 . 1 3 . 5 C R A C K F R O N T WAVES
A phenomenon suggested on the basis of analytical work, but not yet

demonstrated explicitly in the laboratory, is the spreading of a wave attached
658 Knauss
to the front of a propagating crack and propagating along the crack front.
Starting from the three-dimensional numerical spectral analysis of Geubelle
and Rice [ 15], Morrissey and Rice [22] examined the response of a crack front
to a small perturbation of fracture energy. They found a wave propagating
along the future crack front persistent for as long as the computations
could be carried out. These computations were performed for a crack growing
with a law connecting the cohesive stress to the separation, which translates,
in the limit of the singular crack model, to growth at a constant fracture
energy. This result motivated Ramanathan, Ertas, and Fisher [26] to use the
Movchan and Willis [23] small-perturbation elastodynamic analysis of the
front of a three-dimensional planar crack to examine whether such a wave was
actually implied by the equations of elastodynamics. After extending the
formulation by Willis and Movchan to describe growth under constant
fracture energy, they showed that such a propagating mode, localized along
the crack front, did indeed exist.
Whether this mode of crack front deformation is observable and significant
or important in the dynamic crack propagation process needs to be seen.
Although there are many features of dynamically generated fracture surfaces,
some of which may speak to this phenomenon, the most prevalent type,
which has been discussed and analyzed extensively, is the parabolic surface
feature. These features result from the interaction of a straight crack front
with failure at a point ahead of the crack and off the crack propagation plane.
By contrast, if crack front waves generate features at all, they should lead to
straight line characteristics (constant crack speed) emanating from a point;
perhaps more careful attention to fracture surface interpretations can begin to
resolve this question. On the other hand, because such a perturbation would
have to occur at the crack front and in the plane of propagation, and because
flaws away from that plane have a much higher probability of occurrence, it is
possible that the crack front waves and associated features become apparent
relatively seldomly.
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449-458.
3. Broberg, K. B. (1960). The propagation of a brittle crack. Arkiv f6r Fysik 18 (10): 159-192.
See also Broberg, K. B. (1999). Cracks and Fracture, Academic Press.
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1-13.
5. Craggs, J. W. (1963). Fracture criteria for use in continuum mechanics. Fracture of Solids,
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6. Curran, D. R., Seaman, L., and Shockey, D. A. (1987). Dynamic failure of solids. Physics
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7. Dally, J. w. (1979). Dynamic photoelastic studies of fracture. Exp. Mech. 19: 349-361.
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Constant rate of extension. J. Mech. Phys. Solids 20: 129-140.
10. Freund, L. B. (1972). Crack propagation in an elastic solid subjected to general loading: II.
Nonuniform rate of extension. J. Mech. Phys. Solids 20: 141-152.
11. Freund, L. B. (1973). Crack propagation in an elastic solid subjected to general loading: III.
Stress wave loading. J. Mech. Phys. Solids 21: 47-61.
12. Freund, L. B. (1974). Crack propagation in an elastic solid subjected to general loading: IV.
Obliquely incident stress pulse. J. Mech. Phys. Solids 22: 137-146.
13. Freund, L. B. (1976). Dynamic crack propagation. ASME, AMD 19: 105-134.
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84: 2199-2209.
15. Geubelle, P. H. and Rice, J. R. (1994). A spectral method for 3-dimensional elastodynamic
fracture problems. J. Mech. Phys. Solids 43 (11): 1791-1824.
16. Kalthoff, J. E (1988). Shadow optical analysis of dynamics shear fracture. Opt. Eng.
27 (10): 835-840.
17. Kalthoff, J. E (1993). Shadow optical method of caustics, in Handbook on Experimental
Mechanics, pp. 407-476, Kobayashi, A.S. ed., VCH Publishers.
18. Knauss, W. G. and Ravi Chandar, K. (1985). Some basic problems in stress wave dominated
fracture. Int. J. Fract. 27: 127-143.
19. Liu, C., Knauss, W. G. and Rosakis, A. J. (1998). Loading rates and the dynamic initiation
toughness in brittle solids. Int. J. Fract. 90: 103-118.
20. Manogg, E (1964). Anwendung der Schattenoptik zur Untersuchung des Zerreissvorgangs
von Platten, Dissertation, Freiburg, Germany.
21. Manogg, P. (1964). Schattenoptische Messung der spezifischen Bruchenergie w~hrend des
Bruchvorgangs bei Plexiglas, Proc Int Conf Phys Non-Crystalline Solids, Delft, The Nether-
lands, pp. 481-490.
22. Morrissey, J. W., and Rice, J. R. (1998). Crack front waves. J. Mech. Phys. Solids 46 (3):
467-487.
23. Movchan, A. B., and Willis, J. R. (1995). Dynamic weight-functions for a moving crack: 2.
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24. Olsen, K. B., Madariaga, R., and Archeluta, R. J. (1997). Three-dimensional dynamic
simulation of the 1992 Landers earthquake. Science 278 (5339): 834-838.
25. Pucik, T. A. (1972). Ph.D. Thesis, California Institute of Technology.
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heterogeneous media. Phys. Rev. Lett. 79 (5): 873-876.
27. Ravi-Chandar, K., and Knauss, W. G. (1982). Dynamic crack-tip stresses under stress wave
loading: A comparison of theory and experiment. Int. J. Fract. 20: 209-222.
28. Ravi-Chandar, K., and Knauss, W G. (1984). An experimental investigation into dynamic
fracture: I. Crack initiation and arrest. Int. J. Fract. 25: 247-262.
29. Ravi-Chandar, K., and Knauss, W. G. (1984). An experimental investigation into dynamic
fracture: II: Microstructural aspects. Int. J. Fract. 26: 65-80.
30. Ravi-Chandar, K., and Knauss, W. G. (1984). An experimental investigation into
dynamic fracture: III: On steady-state crack propagation and crack branching. Int. J. Fract.
26: 141-154.
660 Knauss
31. Ravi-Chandar, K., and Knauss, W. G. (1984). An experimental investigation into dynamic
fracture: IV: On the interaction of stress waves with propagating cracks. Int. J. Fract. 26:
189-200.
32. Ravi-Chandar, K., and Knauss, W. G. (1987). On the characterization of the transient stress
field near the tip of a crack. JAM 109: 72-78.
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comparison of three-dimensional deformations at the tip of a crack in a plastically deforming
plate, I. Optical interferometry and experimental preliminaries, Int. J. Fract. 90: 1-25.
35. Schultheisz, C., Pfaff, R. D., and Knauss, W G. (1998). An experimental/analytical
plate, II. Material characterization and finite element analysis, Int. J. Fract. 90: 27-46.
36. Schultheisz, C., Pfaff, R. D., and Knauss, W G. (1998). An experimental/analytical
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40. Washabaugh, P. D., and Knauss, W G. (1994). A reconciliation of dynamic crack velocity and
Rayleigh wave speed in isotropic brittle solids. Int. J. Fract. 65: 97-114.
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42. Yoffe, E.H. (1951). The moving Griffith crack. Phil. Mag. 42: 739-750.
SECTION Z14
Practical Application of
Fracture Mechanics
Fracture Control
DAVID BROEK
263 Dogwood Lane, Westerville, Ohio
Contents
7.14.1 General Background . . . . . . . . . . . . . . . . . . . . . . 661
7.14.2 Residual Strength (Permissible Crack Size) 664
7.14.2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . 664
7.14.2.2 Background . . . . . . . . . . . . . . . . . . . . . . . 664
7.14.2.3 Calculation of Residual Strength ... 665
7.14.2.4 Accuracy . . . . . . . . . . . . . . . . . . . . . . . . . 667
7.14.2.5 Material Properties . . . . . . . . . . . . . . . . 667
7.14.3 Fatigue Crack Growth Analysis . . . . . . . . . . . 667
7.14.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . 667
7.14.3.2 Procedure . . . . . . . . . . . . . . . . . . . . . . . . . 668
7.14.3.3 Limitations and Accuracy . . . . . . . . . . 670
7.14.3.4 Material Data . . . . . . . . . . . . . . . . . . . . . 671
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
Fracture control of structures is the concerted effort by designers,

metallurgists, production and maintenance engineers, and inspectors to
ensure the safe operation of large structures without catastrophic fracture
failures. Very seldom does a fracture occur because of an unforeseen overload
on the u n d a m a g e d structure. Usually, it is caused by a structural flaw or a
crack: because of repeated service loads a crack may develop and grow slowly
in size. Cracks impair strength. Thus, during the continuing d e v e l o p m e n t of

662 Broek
the crack, the structural strength decreases until it becomes so low that the
service loads cannot be carried anymore, and fracture ensues.
If fracture is to be prevented, the strength should not drop below a certain
safe value. This means that cracks must be prevented from growing to a size at
which the strength would drop below the acceptable limit. In order to
determine which size of crack is admissible, one must be able to calculate how
the structural strength is affected by cracks; and in order to determine the safe
operational life, one must be able to calculate the time in which a crack grows
to the permissible size. Analysis then must provide information on crack
growth times and on structural strength as a function of crack size. This type
of analysis is called damage tolerance analysis.
Damage tolerance analysis has two objectives, namely to calculate:
1. the effect of cracks on strength (margin against fracture);

2. the crack growth as a function of time.
Figure 7.14.1 shows diagrammatically the effect of crack size, a, on

strength. The strength is expressed in terms of the load, P, the structure can
carry before fracture occurs (fracture load). This implies that a limit should
be set, namely, that the residual strength should never be less than Pp, a
limit set by rules and regulations issued by engineering societies or
government authorities.
Pres I
(LOAO)_ | Pu = JP~
pp =gp~
I
i
I
!
FIGURE 7.14.1 Residualstrength in the presence of cracks; strength of new structure (a -- 0)

is Pu --jPs.
7.14 Practical A p p l i c a t i o n of Fracture Mechanics 663
ao
,, ,, ,j
tI H time
FIGURE 7.14.2 Crack growth curve (schematically).
If the shape of the residual strength diagram is known, and Pe is prescribed,

the largest permissible crack size can be obtained. The first objective is to
calculate the residual strength diagram of Figure 7.14.1.
Knowing that the crack may not exceed a e is of little help unless it is
known when the crack might reach ap. The second objective of the damage
tolerance analysis is then to calculate the crack growth curve, shown
diagrammatically in Figure 7.14.2. Under the action of normal service
loading, the cracks grow by fatigue, stress corrosion, or creep. The permissible
crack, ap, following from Figure 7.14.1 can be plotted on the curve in
Figure 7.14.2. Provided one can calculate the crack growth curve in
Figure 7.14.2 one obtains the time H of safe operation (until at, is reached).
If ao, is for example, an (assumed or real) initial defect, then the component
or structure must be replaced after a time /-/. Alternatively, ao may be the
smallest detectable crack. Then, the time between inspections must be less
than/-/. At an inspection at time tl, the crack will be missed, because ao is the
detection limit. If the next inspection were to take place/-/hours later, the
crack would have reached ap already, which is not permitted; i.e., the
inspection interval must be less than H; it is often taken as H/2. Better
methods for determining the inspection interval are based on the probability
of detection. In any case, the time of safe operation by whatever means of
fracture control follows from/-/. In turn,/-/emerges from the damage tolerance
analysis, provided that both the residual strength diagram (ap) and the crack
growth curve can be calculated to obtain H. Hence, the practical application of
664 Broek
fracture mechanics consists of two parts: (a) calculation of the residual

strength diagram, and (b) calculation of the crack growth curve.
7.14.2 RESIDUAL STRENGTH

(PERMISSIBLE CRACK SIZE)
7.14.2.1 VALIDITY
Validity is limited to larger crack sizes, as shown in text following. Also, in the
case of extensive plastic deformation, validity is limited to cases where the
load is constant or increasing.
7.14.2.2 BACKGROUND
The basic criterion for fracture is

dU dW
d--a= da (1)
The left-hand term is the available energy when the crack size a increases by
da. The right-hand term is the fracture resistance, i.e., the work required to
make fracture over da possible. Further, these quantities are for a unit
thickness, so that the dimension is LF/L2= F/L (e.g., N/m). When the
equation is just satisfied, fracture proceeds in a stable manner. Fracture
instability (uncontrollable fracture) occurs when
d2U d2W
da2 ~- da2
In the case of constant load, the strain energy increases, so that dU/da is the
surplus work done by the load. In the case of constant displacement, the load
does no work, and dU/da is the release of strain energy. In both cases dU/da is
equal to the absolute value of the change in strain energy. Since during
unloading from an advanced plastic state there is no release of strain energy,
the equations in which U is the strain energy are valid only for constant or
increasing load.
Shorthand denotations for dUIda are G (elastic only) Jd, Jpz; those for
dWIda are R (quasi-elastic), Jc, JIc, Ja. Expressions such as G = R, J = JR,
.]el 4-Jpl = Ja, Jzc are all equivalent to Eq. 1.
Suppose the material's stress-strain curve can be described by
= o/E § ( - / - o ) " = - / E §
7.14 Practical Application of Fracture Mechanics 665
Then the general expression for Eq. 1 becomes

Ca2a/E + H(n) an+la/F =JR or O +Jpz --JR or J~z +Jpi =JR
which can be confirmed easily by checking the dimension (FL/L 2) of (strain)

energy per unit area of crack extensions.
In these equations, a is the measure of the remotely applied stress, and C
and H(n) are dimensionless multipliers depending upon a/L where L is a
generalized length parameter. The factor H also depends upon the strain-
hardening exponent n. The factor C equals fl2v/n , where fl is the geometry
factor in the expression for the stress intensity K = flav/na. Hence
nfl2(a/L)a 2 a/E + H(a/L,n)an+la/F =JR
The material's fracture resistance, JR, can be measured by subjecting a sample
with a crack, a, to a fracture test in which the fracture stress (remote), a, is
measured. With fl and H known for the geometry, and E and F from the stress-
strain curve, JR, can be inferred by substitution of the known values in the
left-hand side of the equation. Stress, crack size, fl, and H increase while
fracture is in progress. This permits measurement of the (rising) fracture
resistance, JR, up to the point of fracture instability (the point of instability
depends upon the geometry and the loading system).
7.14.2.3 CALCULATION OF RESIDUAL STRENGTH
When the fracture resistance, JR, is known from measurements, the same
equation can be used to calculate the fracture stress of a structure (geometry
with certain fl and H) containing a crack of size a. There are two extreme
cases. When the structure's deformation is primarily elastic, the value of the
second term in the equation is negligible with respect to the second. If plastic
deformation is extensive, the value of the second term becomes so large that
the first term is negligible.
First consider the quasi-elastic case. Ignoring the second term, the
equation becomes
~]~20"2a/E = JR or G= R
Using K = flav/na, where K is called the stress intensity factor, this can be
reduced to
K---- v/EJR or K =- v/ER or K-- Kc

When the fracture resistance JR or R is (assumed to be) rising only moderately,
the fracture can be assumed to become instable immediately. Then the
666 Broek
fracture strength follows from

fl~47~a-- K c or r ~- K c / f l 4 ~ a (2)
which is the simplest form of linear elastic fracture analysis.
If the first term is negligible (mostly plastic) and again the rise of resistance
is ignored, the equation reduces to
Han+la/F=JR or J--JR or J=JIc (3)
so that the fracture stress follows from
fffr - (FJR/HCl) l/n+1 (4)
For (rare) intermediate cases in which both terms must be included, the
algebraic equation to be solved is of a degree without solution. (Computer)
iteration is then required to obtain the unknown fracture stress, a, from
the equation.
2a 2 + ~a "+1 = JR (5)
In all cases the equation must be solved for a range of "a" values; when the
results are plotted, one obtains the residual strength diagram from which the
permissible crack size, ap, can be obtained, as explained previously. It can be
seen immediately from Eqs. 2, 4, and 5 that the fracture stress tends to infinity
when "a" tends to zero. Despite all claims, elastic-plastic fracture mechanics
does not solve this basic problem. Artificialities that introduce the limit load
in the equation are just that; they solve nothing and are turgid language to
cover up turbid thinking. Using simple limit load analysis to calculate the
fracture stress for cases with small cracks is the best solution.
For most practical problems, the preceding calculation of the residual
strength diagram and permissible crack size is more than adequate, provided
KC, KIC, Jic, o r JR values are used that properly reflect the state of stress
(usually this means properly accounting for thickness). Also, if the fracture
resistance is rising considerably, these properties should be defined at the
fracture instability point in the test, despite the fact that the instability point is
not unique (if the test specimen is at least somewhat representative of a
structure: a center-cracked specimen is, but a compact specimen is not). The
calculation is easily done with a spreadsheet program, but the use of software
with libraries for fl and H is advisable.
More sophisticated analysis recognizes that the fracture resistance is rising.
In that case, R, KR, or JR curves must be available from tests. The analysis
procedure then proceeds as follows:
1. Compute afr from Eqs. 2, 4, or 5, whichever is applicable.
2. Compute dU/da by numerical differentiation of the left-hand terms of
Eqs. 2, 4, and 5 for constant stress at the given a.
3. Compute dJR/da or dR/da from the measured resistance curve at given a

(numerical differentiation).
4. If dU/da < dJR/da, go to step 1 with a = a + Aa, else instability
is reached.
This iteration can be accomplished in many ways. Dedicated software usually

contains a very fast iteration scheme.
7.14.2.4 ACCURACY
Scatter in the material property (fracture resistance) is often so large that it

makes errors in computational procedures negligible.
Consider Eq. 3. If n = 10, the measurement of JR in two tests, one yielding
a 10% higher fracture stress than the other (normal scatter), gives rise to a
"scatter" of 1.111= 2.85. Hence, tests on the same material may give values of
JR from 10,000 to 28,500 (units). This seems to be an extreme (and
unacceptable) scatter in material properties. However, in the calculation
of the residual strength this scatter is immaterial, because in using
Eq. 4 we obtain
or-- (10,000) 1/11 -- Crl or cr -- (28, 500) 1/11 -- 1.1~1
with only a difference of 10% in the calculated fracture stress. This is as good
as any engineering analysis gets. In elastic fracture mechanics the effect of a
difference in fracture resistance is obviously larger (i.e., proportional).
7 . 1 4 . 2 . 5 MATERIALPROPERTIES
Values for Kc, K~c, Jic, JR, etc. for different alloys have not been systema-
tically compiled. No numbers can be q u o t e d - even as e x a m p l e s - because
doing so would be deceitful.
7.14.3 FATIGUE CRACK GROWTH ANALYSIS
7.14.3.1 VALIDITY
During most fatigue crack growth (the greater part of the crack growth life),
the stress intensity is low and, therefore, plastic zone sizes are small. This
means that the use of an elastic parameter such as the stress-intensity factor,
668 Broek
K, does not put serious limitations on the validity. Besides, the fatigue
crack rate data, da/dN, i.e., the increase of a resulting from the increase in the
number of cycles, N used for the analysis were interpreted on the basis
of K. If any intrinsic errors occur in the test data interpretation, they are
for the most part eliminated when the interpretation process is reversed
during integration.
Limitations of validity are mostly due to engineering judgments that are
necessary to decide (postulated) crack shape, interpretation of future random
or semirandom load sequences, the decision whether or not to account for
retardation, and the accounting for the effect of a changing environment on
da/dN. For cases with complicated load sequence, it is hardly possible to
predict future crack growth curves for a structure within a factor of 2. Of
course, repredicting a test result is no measure for prediction made for the
"real world."
7.14.3.2 PROCEDURE
The analysis consists of the numerical integration of

da/dN = f (AK, R)
where AK is the range of K from minimum to maximum in a cycle, R the ratio
of minimum and maximum stress in a cycle, a the crack size, and N the
number of cycles. The integration is
N= / ap da f ap da = / aPFt (a ) da
a0 f(AK, R) =a0 f(flAav/rca, O'minKmax) a0
The geometry factor, fl =f(a/L), must be obtained first (L is a generalized
length parameter). It can be found for many geometries in handbooks [1], but
compounding and superposition may be necessary [2]. If the loading is of
constant amplitude, Aa and R are constants. Then integration is straightfor-
ward, and can be performed in small steps, Aa, during which F~(a) is
presumed constant. Steps of A a - - 0 . 0 1 a are sufficiently small to keep
integration errors below 1%. Steps of Aa = 0.1 a will keep integration errors
generally below 3%. While f(AK, R) may be represented by a simple curve-
fitting equation such as the Paris or Walker equations,
da/dN = CAKm (Paris) or da/dN = CAKn/(1 - R)p (Walker)
it is just as easy to let the computer interpolate in the actual rate diagram
presented as a tabular file in the form of AK vs. da/dN for a range of R-values.
For simple cases the integration can be performed easily enough with a
spreadsheet program. However, a dedicated computer program is preferable
because it can include databases for da/dN, /3, and stress spectra and can
accommodate random and semirandom loading. Assuming a simple Paris
curve fit, the integration then proceeds as follows:
1. 6/i
2. AK = fl(ai) Acrx/rcal
3. d a / d N = CAK m (Paris curve fit, or interpolate in rate file)
4. A a = 0.01ai
5. A N = A a / ( d a / d N )
6. ai+ 1 ~ a i ~ Aa; N i + 1 - - N i q- A N
7. ai = ai+ l , N i - - Ni+ l
8. If ai < ap then go to 1
With Aa = 0.01ai the crack size doubles in 70 steps, so that growth

from 1 to 64 mm takes 420 steps. The computer provides the answer in
a split second.
In general, the loading is not of constant amplitude, but A~r and R are
different in every cycle. This may give cause to retardation: a high load
causing less growth during subsequent cycles. The cyclic sequence may be
random, semirandom, or follow a preset pattern which must be known by
(submitted to) the software. Some software permits the use of an exceedance
diagram from which realistic load sequences are generated automatically.
Most software permits only a tabular input file of stress cycles and number of
repeats, and possibly the option of a random pick from the file. The
integration then proceeds as follows for every load cycle:
o c/i
2. fl(ai) from library of geometry factors
3. Acri, Ri from load sequence generated
4. A K i = ~ A c r v/gCl i
5. d a / d N =f(AK, R) interpolation in rates from library
6. Sequence accounting for retardation; slow down 0~
7. da / dN -- o~ da / dN
8. N i + l - - N i q- 1
9. ai+l ~ ai + l * d a / d N
10. ai ~ ai+l~ N i - - N i + l
11. If ai < ap then go to 1
Despite the great speed of present-day computers, crack growth covering

many millions of cycles may take considerable computing time (several
minutes up to several hours). Dedicated software is available. Development
costs of software may run very high (several millions of dollars), depending
upon the conveniences offered.
670 Broek
7.14.3.3 LIMITATIONSAND ACCURACY
Despite claims to the contrary, retardation models (most software

provides options for several models) are simplistic and inaccurate: a mere
change of yield strength by 10% (normal scatter) may give rise to a factor
of 2 in crack growth life. Besides, elimination of one or a few of the highest
loads in the sequence may easily change the crack growth life by another
factor of 2 to 3. Consequently, for nonmilitary applications, retardation
is usually not applied in the analysis (conservative). Considering the
other uncertainties, this is most probably the best thing to do in view of
the following:
a. Most analysis is done for postulated (not real) cracks. A postulated

initial crack of 0.5 mm easily gives a life twice as long as a postulated
1-mm crack. For part-through cracks the calculated life may vary
by a factor of 10, depending upon the assumed aspect ratio of crack
depth to length.
b. The purpose of the analysis is to predict future crack growth, but the
future loads and load sequences are unknown. Extrapolation of past
experience is the best we can do. This is acceptable for loads occurring
frequently, but the load statistically occurring once in the structure's life
may or may not occur. If retardation is ignored, the effect is negligible,
but with retardation the difference may be a factor of 2.
c. Most structures experience changing environments: if the chemical
environment doesn't change, the temperature certainly does. Besides,
cyclic frequencies are usually lower than those used in the laboratory,
and chemically affected processes, such as crack growth, are time
(frequency) dependent. The differences in da/dN for different
frequencies, environments, and temperatures may easily be a factor of
2, but the usual is a factor of 5 to 10. Using laboratory rate data would
then introduce uncertainties as large as those factors. The typical
engineering approach is to use a weighted average of da/dN data (i.e.,
weighted with regard to time spent at low and high temperature,
moisture level, etc.). Such engineering pragmatism is certainly
defendable, but certainly not accurate.
In view of these remarks, no prediction of future crack growth can be very

reliable. One may hope to be within a factor of 2. Any academic refinements in
stress analysis, geometry factors, and retardation models pale in the light
of reality. In the end, the resulting crack growth analysis depends solely
upon engineering judgments and ever so slightly upon academic niceties of
fracture mechanics.
7.14.3.4 MATERIAL DATA
Fatigue crack growth rates are a function of AK and R. Apart from this
dependence there is a considerable effect (often factors of 2 to 3, sometimes
more) of (1) environment, (2) cyclic frequency, (3) direction in material,
(4) temperature, and (5) heat treatment. Consequently, the rate data for
a single alloy (if reasonably complete) cover a dozen or so pages. The
only systematic data compilation is the USAF Damage Tolerance Handbook
covering aerospace materials. Otherwise data must be obtained from
scattered publications.
BIBLIOGRAPHY
1. Rooke, D. P., and Cartwright, D.J. (1980). Compendium of Stress Intensity Factors, Her Majesty's
Stationery Office.
2. Broek, D. (1988). The Practical Use of Fracture Mechanics, Kluwer Academic Publishing.
CHAPTER 8
Friction, Wear
Coating, Corrosion
SECTION 8.1
Introduction to
Friction and Wear
JEAN LEMAITRE
UniversitF. Paris 6, LMT-Cachan, 61 avenue du PrEsident Wilson, 94235 Cachan Cedex, France
The surface phenomena in mechanics of materials are difficult subjects

because the "representative volume element" does not exist anymore.
9 It involves friction when two solid bodies glide one on the other on their
surface boundaries and a force develops against their relative movement.
This force is due to a "film" in which microfractures or microdisconti-
nuities occur. It is called a "third body" in Section 8.2, and it exists even
in lubricated contacts with interaction or not on the friction resistance for
hydrostatic low-pressure lubrification or for hydrodynamic high-pressure
lubrification (see Sections 8.3 and 8.4). Phenomenological models such
as the Coulomb friction are widely used, but the phenomenon can be
analyzed in the framework of thermodynamics (see Section 8.5). Its use
in structural calculations together with the corresponding algorithms is
described in Section 8.6.
9 It includes wear due to the fracture of microroughness of the two
surfaces in contact, a phenomenon that engineers have tried to avoid
forever, but its prediction is difficult (see Sections 8.2, 8.5, and 8.7).

SECTION 8.2
Background on
Friction and Wear
YVES BERTHIER
Laboratoire de M~canique des Contacts, UMR CNRS-INSA de Lyon 5514, Batiment 113, 20,
avenue Albert Einstein, 69621 Villeurbanne Cedex, France
Contents
8.2.1 Localization of the Problem . . . . . . . . . . . . . . . 677
8.2.2 Scale of A n a l y s i s . . . . . . . . . . . . . . . . . . . . . . . . . 677
8.2.3 Approach and Procedure .................. 678
8.2.4 History and Co n s eq u en ces of a Divergence 679
8.2.5 Fluid Third Bodies ....................... 680
8.2.6 Solid T h i r d B o d i e s . . . . . . . . . . . . . . . . . . . . . . . 680
8.2.6.1 F r i c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . 681
8.2.6.2 W e a r . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 682
8.2.6.3 E v a l u a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . 682
8.2.7 Contact Mechanics ....................... 683
8.2.8 Industrial Selection Criteria ............... 684
8.2.9 Evaluation ................................ 685
8 . 2 . 1 0 Life o f a C o n s t a n t w i t h a Solid
Third Body ...................................... 686
8.2.10.1 D e s c r i p t i o n . . . . . . . . . . . . . . . . . . . . . . . 686
8.2.10.2 E v a l u a t i o n . . . . . . . . . . . . . . . . . . . . . . . . 688
8.2.11 Nomenclature and Concepts .............. 689
8.2.11.1 Tribological Triplet . . . . . . . . . . . . . . . . 689
8.2.11.2 T h e Tribological Circuit . . . . . . . . . . . 691
8.2.11.3 E v a l u a t i o n . . . . . . . . . . . . . . . . . . . . . . . . 692
8.2.12 Solution of a Problem . . . . . . . . . . . . . . . . . . . . 693
8.2.12.1 C o n t e x t . . . . . . . . . . . . . . . . . . . . . . . . . . 693
8.2.12.2 Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . 693
8.2.12.3 T h e M e c h a n i c a l Viability of
a Solution ........................ 695
8.2.12.4 I n t e r p r e t a t i o n s . . . . . . . . . . . . . . . . . . . . 696
Handbook of Materials Behavior Madels. ISBN 0-12-443341o3.

8.2 Background on Friction and Wear 677
8.2.13 Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 697
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 697
8.2.1 LOCALIZATION OF THE PROBLEM
Although friction and wear are common parameters, they nonetheless raise
scientifically and technically difficult questions [1]. Indeed, the friction
coefficient, the ratio of the components of a force, is a dimensionless scalar
with practically no physical content and therefore is "independent from
everything, though nonetheless dependent on nearly everything." As for wear,
its definitions, units, and sign vary as a function of application: positive
variation of mass related, for example, to the oxidation of detached particles,
or negative variation related to a real loss of material, or surface degradation
without loss of mass, or volume worn per unit of distance traveled over
normal load, or wear power linking wear volume to the energy dissipated, etc.
Therefore, friction and wear are not magnitudes in the normal meaning of
the word, nor are they intrinsic properties of materials in contact, but
properties of use depending in particular on the mechanism that encompasses
the bodies in contact, which is why they do not appear in any legal system
of units.
Publications on these subjects range from atomic to mechanical scales [2].
Because of lack of an indisputable arbiter, which could come from in vivo
instrumentation of the contact, the hypotheses announced in publications
have become certitudes which when taken out of context, spread false ideas,
such as "the harder it is the less it will wear." The multitudinous bibliography
available means that it is always possible to find the interpretation on the
shelves of a tribology department that is necessary to justify in good faith
anything and its contrary, though rarely to find a solution to a problem.
The main problem is not the lack of information but the lack of structuring
tools to identify the parameters that effectively govern the life of a contact and
link the interpretations and correlations ranging from the infinitely small
to the relatively large. Thus it is above all necessary to define the scale of
the analysis.
8.2.2 SCALE OF ANALYSIS
When the apparent surface area of the contact is less than about 10 ~tm, the
flatness of the body in contact can allow the action of a monolayer and
678 Berthier
interactions at the atomic level if still lower. In such cases, it is possible to

calculate friction on the basis of physical laws [3-5]. On the contrary,
for contacts of larger size, i.e., for most industrial contacts, it is neces-
sary to take a global and thus mechanical approach. This is the scale
dealt with by this chapter and on which friction, wear, and lubrication
constitute the components of tribology, a discipline still in the process of
forging its tools and in which knowledge and know-how are equivalent.
Consequently, and at the risk of disappointing the reader of this handbook on
materials, it is not possible to compile "material and coating couple
solutions"; all that can be proposed is an approach to investigating and
solving a problem.
8.2.3 APPROACH AND PROCEDURE
The solution of friction and wear problems runs counter to the ex-
pectations of engineering offices that are accustomed to dealing with
highly formal disciplines such as fluid and structural mechanics and design
software requiring intrinsic values. This situation must first we understood in
order to:
9 analyze the relative role of materials and the mechanism contained by

the contact;
9 explain why friction and wear are not functions that can be bought and
why their solution demands skill, which in turn demands feedback
from experience;
9 acquire basic concepts and a nomenclature that structure information,
permit understanding, set in context, and solve a problem by avoiding
false ideas and the obvious and hasty generalizations brought about to a
great extent by the requirement for intrinsic properties.
This last point may come as surprise to some, but "materials with hexagonal
structures have low friction coefficients" can still be heard, whereas it is well
known that graphite and molybdenum bisulfate, both of which have
hexagonal structures, have high friction in a vacuum and in an ambient
environment. Likewise, there are erroneous images related, for example, to
the representation of roughness profiles (Fig. 8.2.1), with scales that are so
different for the abscissa and ordinates that they bring to mind the contact
between two mountains, whereas simply restoring the scales would give the
correct image of a contact between two surfaces.
This false image of interpenetrating roughnesses has led to models
removed from reality. It is obvious that this interpenetration of roughness can
FIGURE 8.2.1 Steel spectrum, a. Classical representation, b. Harmonization of abscissa and

ordinate scales.
exist, but it stems from either design error or deliberate will. The main source
of error stems from a static perception of the dynamic phenomena brought
into play in a contact. This state perception is supplied by the observation of
the bodies brought into contact after their disassembly. It is precisely
this that could be qualified as the "tribological Pompeii complex," since it
requires the reconstruction of a dynamic view on the basis of postmortem
examinations.
This is the context in which the chapter attempts to provide a method of
interpretation to find a way through the jungle of friction and wear in order to
analyze a problem, explain a fault, and transpose test results to a real contact.
The difficulties of these tasks are often exacerbated by the fact that the first
two bodies of a mechanism do not belong to the same society or to the same
division of the same society. The problem of physical interface therefore
becomes a problem of human interface. Solutions to the problems, often badly
represented, are postponed. Living with them can be a profitable compromise.
Indeed, although wear has a cost, it is also source of profit. The solutions can
be obtained more easily than is thought, since the interest of friction and wear
lies in their complexity.
Since a tribologist cannot be trained on the strength of just a few pages, we
shall not deal with classical phenomena such as adhesion, abrasion, erosion,
etc., already well described elsewhere; rather, emphasis will be given to ways
of offsetting conceptual weaknesses by structuring feedback form experience,
and to the use of contact mechanics and a phenomenological approach.
8.2.4 HISTORY AND CONSEQUENCES

OF A DIVERGENCE
A simple way of understanding the situation is to compare the changes of the

two main components of tribology, which are, on the one hand, lubrication,
680 Berthier
meaning "in thick film," and, on the other, friction, wear, and so-called
solid lubrication.
If mechanics is the science of movement, then tribology is the science that
controls this movement (M. Godet 1990). This is why our history and that of
tribology are related [6]. Our joints use tribology, as do bowel movements and
the friction of the eyelid on the eye. This friction occurs on a film of a
thickness in the region of 16 ~m and whose pressure can reach 0.5 MPa [7].
This situation illustrates the basic configuration of the mechanical approach
of tribology in which the two bodies, or the first bodies, are not in contact but
always separated by a third that can be fluid or solid. Although the notion of
the fluid third body used in hydrodynamics and hydrostatics is banal [8], this
is not the case for solid third bodies, which are constituted by particles
detached from the first bodies or introduced artificially between them. The
histories of fluid and solid third bodies have caused them to attain different
levels of formalism, which now influence their use by engineering offices.
8.2.5 FLUID THIRD BODIES
The Egyptians already mastered the technology of fluid third bodies as they
lubricated their transport sled runners with silt. The relation between
viscosity and friction then became apparent by observing the differences of
friction in presses used to produce olive oil in comparison with grape juice.
The mechanical measurement of viscosity permitted mechanics to go beyond
the chemical nature of the third body and lay the foundations of lubrication,
which accompanied industrial evolution. This was largely thanks to the large
quantities of mineral oil made available by the discovery of petroleum and to
the products derived from it, such as additives, synthetic oils, etc, and,
obviously, to the models formulated by O. Reynolds in 1886, which made
viscosity predicable [8] by calculating the friction, loads, and speed gradients
in film. It is only recently that new questions have been raised [9, 10] because
of the increasing stresses applied to mechanisms.
8.2.6 SOLID THIRD BODIES
This notion, introduced by Maurice Godet in 1974, provides a degree of

freedom which permits harmonization of points of view from materials
science, physical chemistry, and mechanics, the objective being to achieve
convergence toward a single approach to friction, wear, and, at a later stage,
fluid and solid third bodies.
8.2.6.1 FRICTION
The analysis of friction was first done via the tests carried out by L. de Vinci,
who formulated the law # - TIN where T is the tangential force, N the
normal force, and # the friction coefficient. Not long after came the notions of
rolling friction and static and dynamic sliding introduced by R. Hooke (1660),
who based on his works on the deformation of solids. This led him to study
the formation of an "agglomeration" at the entry of the contact. Then,
Amontons restored the law # - T/N, which often, and erroneously, bears the
name Coulomb's law, despite his being its main critic [11], since he had
observed that it was only true when the bodies in contact were coated with old
"cart grease" which could thus be assimilated with a fluid third body.
Coulomb, and above all B~lidor (1737), modeled or, more exactly,
attempted to conceptualize friction on the basis of displacing macroscopic
spherical asperites (Fig. 8.2.2), used later at the atomic scale with Bohr's
model (1920), and then at the scale of tectonic plates. This geometric
conceptualization has resulted in reliable models for these two extreme scales:
i.e., atomic level and tectonic plates. On the contrary, work on the mechanical
scale suffered a decisive setback in 1882 when Reynolds abandoned his study
of friction and wear because they were "too complex." In fact, he abandoned
friction and wear to materials specialists whose priority was the mass
production of fault-free materials. These specialists only carried out friction
and wear tests when necessary, creating islands of competency rather than a
generalized corpus of knowledge such as that provided by viscosity for fluid
third bodies.
Bowden and Tabor [12] raised the bar by using a relatively mechanical
approach, though this was interpreted physically, which limited its mechan-
ical repercussions. The ensuing increase in the number of surface
characterization tools made possible by vacuum technology led to the
predominance of physical-chemistry approaches. This predominance has
increased over the last ten years with characterization techniques in ambient
FIGURE 8.2.2 Conceptualizationof friction, a. Coulomb'sview. b. B~lidor'sview. c. Bohr'sview.

682 Berthier
environments. In addition to chemical analysis, this permits one to apply

stress to examine surfaces by carrying out, for example, atomic force
microscopy and therefore "enact friction" at the nanometric scale.
8.2.6.2 WEAR
Although wear and friction are often coupled, science seems to have taken an
interest in wear much later than friction. Apart from a Scottish study on the
loss of weight of coins in the eighteenth century, there were no developments
until 1940 [13], when Achard attempted to model wear, leaving a law that
bears his name and which is practically the basis for all the other laws
concerning wear. It should be remembered that the loss of weight in coins
meant their loss of function. Consequently, "the measurement of wear by loss
of weight" was in direct relation with the loss of function, which is not the
case of every application. Despite this, the loss of weight remains the most
usual unit of wear.
At present, the literature offers over a hundred laws on wear [2], each of
which is no falser than the other. After a so-called wear test, it is always
possible to find a function that correlates several parameters. The develop-
ment of data processing software encourages this explosion of correlations.
This is not a problem in itself insofar as modeling does not amount to
describing; all that is needed is to establish a univocal relationship between
the input data and output, i.e., wear, by using more or less reasonable
adjustment parameters. This explains why, for example, Young's modulus of
one of the materials in contact in certain wear laws can have a positive or
negative sign assigned to it.
8.2.6.3 EVALUATION
The situation has become such that friction and wear are not modeled but
rather correlated with parameters that belong more to the cultures and means
of investigation of researchers than to reality, the effect of which has amplified
the isolation of skills and eliminated the concern for generality. In order
words, when disciplines such as lubrication, structural mechanics, etc.,
expressed the relations of mechanical balance and then saw how materials
were a part of this generality of friction and wear, they complied results from
experimental and theoretical tests but failed to go further in search of the
logical response, i.e., without attempting to analyze the reality of the contact.
8.2.7 CONTACT MECHANICS
Contact mechanics is not often taken into account by friction and wear
studies that are highly experimental. This is a shame, since, like lubrication, it
has maintained the same direction through time, thereby making it efficient in
spite of its hypotheses, which are nonetheless clear on closer inspection.
It started with the works of Newton, who pressed glass spheres on metal
discs in order to evaluate the deformations. Though not providing any
tribological results, these works were to have a future under the name
Newton's rings. The decisive barrier was broken down by Hertz in 1881. He
found an analytical solution to the calculation of the stress field in the contact
of a cylinder on a semi-infinite mass. Progress was then continual: the taking
into account of any normal load by Boussinesque (1885); then Carter (1926),
Cattan~o (1938), and Midlin (1949) accounted for rolling and sliding
conditions. A new step forward was made in 1958 by K. L. Johnson, who more
or less gave the field of contact mechanics its current analytical framework.
Using these works as a basis, Kalker progressed from 1963 to 1973 in the area
of rolling contacts and introduced numeric methods. Their works have
become References [14, 15]. From 1985, Kalker's works were extended to
coatings and more generally to multilayers, including cracking under
tribological stresses [16, 17]. These stresses owe their specificity to the joint
presence of normal and tangential forces which lead to modeling and material
characterization problems which will be dealt with later.
Since the beginning of the nineties, the finite element method has been
used increasingly in contact mechanics [18-20]. Developed for structural
calculations, and therefore for volumes, it should, however, be used with
caution for contact and therefore surface problems. Indeed, although it has
become commonplace in structural mechanics, much remains to be done
at the level of so-called contact elements, i.e., the management of
contact conditions.
The restrictions of contact mechanics dictated by the use of conditions
with debatable limits such as "Coulomb's friction," and the still painstaking
taking into account of solid third bodies and major deformations, can be
overcome easily by varying the different parameters. It then becomes an
excellent experimental analysis aid that permits:
9 varying a single parameter at a time, which is practically impossible

under experimental conditions;
9 targeting the expertise, for example, of a metallographic section by
defining the most deformed zone. Since considerable enlargements are
required for observation, it is often unrealistic to carry out an expertise
of an entire contact.
684 Berthier
The contribution of contact mechanics is decisive in calculating stress

and deformation fields in order to predefine solutions, i.e., to define
their mechanical viability. Indeed, it is unrealistic to take a tribological
view of an undersized contact configuration. Tribology is not a miracle
remedy, and it is difficult to divine stress fields in three dimensions. The
effect of a coating is even more difficult to identify since it can act as a
material by its thermoelastic characteristics or act geometrically via its
thickness. This is one of the first steps toward solving a friction and wear
problem (see Section 8.2.12).
8.2.8 INDUSTRIAL SELECTION CRITERIA
As early as 1915, due to lack of scientific data and faced by the emergence of
new materials, coatings, and surface treatments, technicians in industry
attempted to formulate selection criteria for materials and their operating
limitations in order to solve their problems. Before this, the conquest of the
West tentatively opened the way for solid lubrication with the discovery of
molybdenum bisulfate in the natural state and graphite, known to the Indians,
who spoke of "fields of stones that slide." Despite this, solid lubrication
remained restricted to specific applications, such as glass molding, satellite
mechanism joints, electric motor contacts, etc.
The first criterion was contact pressure limit (1915), which was followed
by output limit (pressure • speed) (1920), the chemical compatibility of
the materials in contact (1940-1965), the role of the chemical environ-
ment (1955-1970), wear coefficients (1958), and interface temperature
(1964), which appeared at the same time as the arrival of polymers in
mechanical construction.
Initial advances were made from 1970 to 1974 in drawing up utilization
properties with operating condition sheets. Drawing away rather too quickly
from the standpoint of intrinsic properties and because of a lack of scientific
structure, this approach was succeeded by the more classical approach of wear
cards (1986), then by damage cards (1989) using dimension parameters in an
attempt to privilege extrapolations of geometry from one card to another. The
failure of these cards will be explained during the presentation of the "life of a
contact" with a solid third body. If confirmation was still thought necessary
that friction and wear are not intrinsic properties of materials, it came with
the widely varying results (30%) from the series of friction tests carried out by
many laboratories of different countries [21].
Since 1992, emphasis has been given to dissipated energy models by
attempting to retrace wear on the basis of damage criteria formulated for the
volumes, using the most accurate parameters in order to draw close to

tribological stresses.
It should be noted that since 1970-74, when operating condition cards
were developed, approaches linked to advances in computer science have
been applied, with the use of expert systems, experiment plans, and neuronal
networks. None of these has given complete satisfaction. An experiment plan
permits the study of the parameters it contains, without making it possible to
find those that have not been predicted. However, in tribology, the problem of
identifying parameters is frequent. Since the period mentioned, the only
tangible result is a succession of fashions lasting from 5 to 8 years, during
which the "hard" alternates with the "soft," as well as massive materials,
coatings, and surface treatments.
8.2.9 EVALUATION
An area of imprecision has been maintained with respect to the role of

materials, since tribology did not carry sufficient scientific weight to channel
the development of new materials for which it offered one field of application
among others, bringing to mind the tribological infatuation with ceramic
materials. With hindsight, tribological applications without at least a film of
water, graphite particles, or, more generally, a third body inserted in the
contact to save the situation are unknown.
Only one material has been designed for a tribological application, namely,
braking. It is produced by the Englishman Frood under the brand name
Ferodo and, up to the recent prohibition of asbestos, used one of the
components of asbestos. One product has evolved to fulfil its tribological
function; this is the tire whose optimization of volume has permitted the
control of surface properties and thus of adherence. This control, combined
with mechanics, materials science, and physical chemistry, as well as with the
couple volume/surface, is exceptional in tribology, though it demonstrates the
path to be taken.
On the periphery of contact mechanics, friction and wear have been
combined in models of all types, since they provide a field of application to
model developers and reassure tribologists who are "lacking science." This is
not too serious, except when a company wishing to develop its product
attempts to use the model in reverse to ascertain the modifications and
parameters to be applied. Since the model is not generally adjusted to physical
parameters, the results are surprising.
What then, given this technological and scientific reality, is the reality of
the life of a contact with a solid third body?
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8.2.10 LIFE OF A CONTACT WITH

A SOLID THIRD BODY
This "life," observed from the mechanical standpoint, is described schema-

tically using the operation of a disc brake. It could just as well have been the
contact of a magnetic tape over a reading head, a wheel on a rail, a bow on the
strings of a violin, steel sheet on a stamping press, a stud on the disc of a
tribometer, and even that of the head of an atomic force microscope on a
surface. Consequently, the reader can transpose the vocabulary of this
description to that of his own application.
8.2.10.1 DESCRIPTION
This brake mechanism, placed vertically (Fig. 8.2.3), it composed of a disc

and two linings, themselves composed of circular blocks which are fixed to
the support. During braking, the linings are clamped on the disc by an
articulated system controlled by a pneumatic cylinder while the application of
braking torque is ensured by a connecting and fixed to the upper part of each
lining. This architecture ensures that the balance of forces causes the contact's
geometry to become dynamic, implying that the braking torque depends on
the direction of rotation of the disc. This is the initial mechanical effect. It
should be borne in mind that the friction is measured by way of a tangential
force or torque, via a mechanism and not directly in the "contact." Likewise,
during the measurement of the tangential forces required to move the point of
an atomic force microscope. This measurement is carried out via the point
holder blade whose bending also to the point-surface contact taking on a
I
-~--
]Pad
_I - 7 -
Air jack i
FIGURE 8.2.3 Brakearchitecture.

FIGURE 8.2.4 Thirdbody. a. On a pad. b. Third body "in movement".
dynamic geometry. Consequently, the mechanism containing the contact

always plays a major role.
Let us continue the analysis on the level of the blocks. Because of the
machining tolerances, previous operating conditions, dynamic geometry, etc.,
the blocks do not come under identical stress. Some of them heat and expand
more than others. These differential expansions are more or less absorbed by
the stiffness of the support plate. Here again, this is a mechanical effect that
controls the distribution of the normal force on each of the blocks and the
dynamic geometry.
Careful examination of a block (Fig. 8.2.4) when relaxing the brake reveals
the presence of "entities of the third body" of a length of about 10 gm and a
thickness of several micrometers, mostly stemming from the blocks. The
"entities of the third body" correspond to "particles in movement" in the
mechanical meaning of the term, without prejudging the size of the
elementary particles, in the physical meaning" which compose them. The
morphology of these entities leads one to believe that they can slide against
each other, which is confirmed by visualization tests using a high-speed
camera, and which is made possible by a transparent first body. These
visualizations show flows at the scale of the instantaneous contact zones
which group around twenty entities of the third body. These zones relay each
other. Consequently, after opening the contact, a layer of the third body
appears to adhere strongly to one of the first bodies but which "flowed" during
movement. Furthermore, the relays between the instantaneous contact zones
mean that the instantaneous pressures of the contact can be from five to ten
times greater than the apparent pressure. The flows lead to variations of
thickness of the third body and thus of the behavior of the brake. These flows
depend on the stiffness of the mechanism and that of the clamping system: the
688 Berthier
pneumatic or oil-actuated cylinder and its control law. This is an interaction

between the mechanism and the third body.
The particles can be drawn along at the scale of one or more blocks and
even be reintroduced in the contact during a revolution of the disc or, on the
contrary, fall onto the road. In the latter case, they are definitively lost from
the contact and constitute wear particles. Thus wear can be treated as flows of
third body that are permanently lost from the contact. This explains, for
example, that for the same materials and apparent pressures of equivalent
contacts, the change of a lining-disc geometry to a disc-disc geometry leads
to different wear values.
When, under mechanical action, the particles transit in the contact, they
"sheer," creating "fresh" surfaces on which the physical chemistry of the
environment will or will not have time to react. Depending on the case, this
permits the particles to reconstitute, oxidize, adhere to the first body, etc. For
a mechanical engineer, this competition between mechanical kinetics and
physical chemistry can be expressed in a law of behavior: the rheology of the
third body. This rheology is controlled by brake lining manufacturers
empirically using loads placed in the blocks from which most of the third
body comes. It should be noted that imposing the source of the third body
from only one of the first bodies is a means of simplifying the problem and
thus of better controlling the friction and wear that depend on the interaction
between the mechanism, the first and third bodies as a function of the
materials, the physical chemistry and the mechanics. To be complete, what is
required is the explanation of the steps of conception and birth of the third
body, since what has been described is its actual life.
This description remains valid for a contact in alternating motion, even
when of low magnitude, as in the case of fretting-corrosion. This problem
requires the distinction between the detachment of the particles and their
oxidation when they circulate in the contact. An amalgam is often made of
detachment and oxidation, which amounts to considering oxidation as the
cause of the phenomenon, whereas it is only a consequence. In tribology,
inversions between causes and consequences that bias the solution to the
problem are common.
8.2.10.2 EVALUATION
This dynamic view of solid third body flows:
9 gives credit to the idea that wear can be approached in terms of flows
and rheology of the third body by taking into account the role of the
mechanism, the first and solid third bodies making up the tribological
8.2 Backgroundon Friction and Wear 689
triplet and three disciplines, namely, mechanics, physical chemistry, and

materials science;
9 explains the inadequacy of the vocabulary in the bibliography, which
gives an overly static view of contacts and shows that materials are put
under stress at pressures reaching several GPa, well over the traditional
range of their characterizations.
The interaction between the elements of the tribological triplet

explains that friction and wear test results include the signature of the
tribometer (mechanism) used and that friction and wear are not
intrinsic properties of materials but of a tribological triplet. This explains
the problems of extrapolating one contact to another. Solving
problems requires the management of the tribological triplet, though this
management is of an essentially phenomenological nature, since tools for
characterizing solid third body flows are still in the process of construction.
This is why a nomenclature is proposed to facilitate the application of the
phenomenological work.
8.2.11 NOMENCLATURE AND CONCEPTS
8.2.11.1 TRIBOLOGICALTRIPLET
8.2.11.1.1 Mechanism
This is the entire system which contains the contact and which
imposes mechanical and physical-chemical stresses. Observations are made
too frequently only at the scale of the contact, i.e., by forgetting that
the balance of the forces is exerted by the mechanism, whence the
dynamic geometry of the contact which can be considerably different from
its static geometry.
8.2.11.1.2 First Bodies and the Role of Materials

The first bodies are materials that enclose the contact and respond
to tribological stresses. This response can be qualified as both indirect
and direct.
It is indirect when the properties and thermoelastic properties of the first
bodies respond to the stresses transmitted by the mechanism by deforming.
These deformations contribute to defining, with the third body, the
elementary contact zones where they then respond directly to local
tribological stresses (Fig. 8.2.5), schematically, by cracking and/or by
690 Berthier
FIGURE 8.2.5 Metallographicsection of the top of the rail.
changes of phase and structure. Abrasion, adhesion, etc., which have been
omitted voluntarily here, can also be considered specific responses that are
either desired or that can be avoided.
Stresses here are qualified as tribological, since a contact is the only case
where a normal force and an imposed movement coexist, implying a sustained
tangential force that affects volumes of material from a few nanometers to a
hundred cubic micrometers. The notion of response has been chosen,
since the start of crack formation and structural changes are under study.
In fact, the conditions of the formation of incipient cracks are still to be
understood, as are the changes of phase and structure which lead by
fragmentation to the detachment of particles of elementary size ranging
from a nanometer to several micrometers. To draw attention to the fact that
these changes of phase and structure are induced more by pressure and major
deformations than by temperature, they are called superficial tribological
transformations (STTs). This remark may cause surprise, since their
chemical composition makes it tempting to use a diagram of equilibrium to
trace back to a formation temperature and therefore a contact temperature.
This logic omits the fact that pressure can have the same effects as
temperature [22, 23]. Consequently, care must be taken with the "temperature
mperature reflex." STTs have been observed with metallic and nonmetallic
materials and appear to be a fairly generic case for the source flow of the third
body. The materials differ in their incubation times for producing STTs, the
depths of the latter and then the rheology of the third body that they have
contributed to produce.
In this nomenclature, a coating is an integral part of the first body, although
layers of oxides, pollution, etc., already present on the first bodies belong to
the third body. To get around the difficulties of analyzing these layers, they are
qualified in this mechanical approach on the basis of one of their functions,
which is to "screen" (hence their name) the adhesion forces between the
first bodies.
8.2.11.1.3 The Third Body

This is a volume of material that includes the screens present between
the first bodies. It is an "operator" that separates the first bodies and
transmits the load (bearing) between the first bodies while accommodating
the greater part of their difference in speed. Its three functions can be
highlighted by following its deformations and its position in the contact.
Models of it are being developed at present [24-26]. In a mechanical
approach, it is sometimes of interest to geometrically distinguish the
screens whose thickness is usually less than 5 0 n m and the solid particles
circulating in the contact, which constitutes a "more or less continuous film"
of a thickness of about 10 pm and which is the volume part of the third body.
The third body is called natural when its volume stems from one or both of
the first bodies. It is termed artificial when it is introduced into the contact, as
in the case of coating one of the fist bodies with graphite, molybdenum
bisulfate, etc.
8.2.11.2 THE TRIBOLOGICAL CIRCUIT
8.2.11.2.1 Flows
The flows of the third body composing the tribological circuit are defined for
an elementary contact in two dimensions (Fig. 8.2.6).
Internal source flow QiS corresponds to the detachment of particles
due to STTs, cracking, bonding, etc. It leads to the formation of the
natural third body. External source flow Q~ stems from the intro-
duction of that artificial third body in the contact. Internal flow
Qi is the flow of the third body that circulates between the first
i i Qr
natural "~ dx "
FIGURE 8.2.6 Tribological circuit.

692 Berthier
bodies. External flow Qe is the flow of the third body that escapes
from the contact. It is divided into a recirculation flow Qr and a wear
flow Qw. The recirculation flow is composed of the third body reintro-
duced into the contact, drawn, for example, by one of the first bodies and
which will contribute once again to accommodating the speed.
On the contrary, wear flow Qw is composed of the third body which is
definitively ejected from the contact and which can no longer participate
in speed accommodation.
8.2.11.2.2 Rheology
The rheology of the solid third bodies is evaluated on the basis
of their "cohesion" and "ductility." The term cohesion has been
chosen by analogy with the cohesion of powder environments [27], although
in the case of solid third bodies this is rather more akin to compacting.
The term ductility has been chosen by analogy with the plastic flow
characteristics of metals.
Cohesion and ductility are determined on the basis of observation
(optical, electronic) coupled with the analysis of images of the mor-
phology and texture of solid third bodies. This determination may
appear surprising, but at present observation is often the method that
disturbs the measurement the least. Even characterization by nano-indenta-
tion disturbs the layer of the third body too much; measurement is already
handicapped by its surface condition. Furthermore, the range of stresses
applied with nano-indentation is quite different from that brought into play in
the contact.
The cohesion and ductility values evaluated at a given scale are correlated
with friction values. Obviously, this phenomenological procedure is
unsatisfactory, though it is preferable to static characterizations, which are
much further from reality.
8.2.11.3 EVALUATION
When carried out well, characterization, even at the phenomenological

level, of the rheology of solid third bodies is a means of tracing
local conditions in the contact and is thus a tool for extrapolation
between different tribological triplets. It is also a means of coding
feedback form experience and a way of getting round the complex of Pompeii
by delayed in vivo instrumentation.
8.2.12 SOLUTION OF A PROBLEM
8.2.12.1 CONTEXT
As with fluid third bodies, a solution to the problem of friction and

wear that would satisfy an engineering office would take many years. It is
therefore necessary to offset the lack of continuity of interpretations
and available models by a forthright approach that integrates mechanics,
materials science, and physical chemistry. This means that in order to
solve a problem, and therefore manage the interaction between the elements
of the tribological triplet, engineering offices must combine rigorous
design with a scientific approach. They must at least have acquired a
tribological culture, which they lack, since although the curriculum followed
by technicians includes courses on materials, very few include one on
tribology. This is perhaps why the "natural" solutions are materials, i.e., the
first bodies. However, the cost and loss of reliability of solutions increase
when they concern first the mechanism, then the first bodies, and, lastly, the
third body.
It is obvious that this section cannot give an exhaustive description of the
approach taken to solve a problem; it prefers to focus on only a few often
neglected points.
8.2.12.2 STRATEGY
The first step is to determine whether it is possible to get round the

problem by accommodating movements with elastic deformations such as
spring rod joints and joints composed of multilayer materials, or by
using thick film lubrication which can be modeled and whose third body
has known properties. What is more, they can be readily purchased;
however, solid third bodies are produced in situ, thus subjecting the
mechanisms to their properties. It should not be forgotten that one of the
three functions of the third body is to separate the first bodies. This separation
occurs via the bearing, whose friction is in some way the price to be paid,
and hence an energy dissipation that a fluid third body evacuates better
than a solid third body. This thermal aspect remains the attribute of fluid
third bodies, though for applications over 220~ only solid third bodies
are suitable.
Although the solid third body is the only way out, one strategy can be the
following. Technologically, it entails obtaining a third body composed of
materials similar to those present in the analysis of the life of a contact and
694 Berthier
whose flows will be as low as possible [28]. This can be done by ensuring
that the source flow comes from one of the first bodies. The internal
flow can be limited by ensuring the reconstitution of the entities of
the third body. This reconstitution depends on the rheology of the third
body, and thus its source. The scale of activation of the flows
depends on roughness, among other things. If it is too smooth, there is a
risk of observing the internal flow activated throughout the contact: the entire
third body will constitute the external flow. However, greater roughness
will limit the activation zones of the internal flow and can reduce the
latter considerably. This explains why a progressive improvement of a
solution of the surface condition is no longer possible beyond a roughness
threshold value.
Scientifically, the problem is to control this situation rather than impose it
on the contact. This requires iteration between modeling, tribometry, and
expertise. By expertise is meant structured feedback from experience. The
objective of these iterations is to:
identify the parameters that have a significant impact on the contact's
functions and define the real conditions of the contact to be simulated
in tribometry;
establish for an application the criteria for transportation
with tribometry, in order to solve the problem while taking
care for future applications to reduce testing times and develop
simplified tests that permit engineering offices to design products
more quickly.
"Accelerated or truncated" tests should be avoided; they have often shown
themselves to be dangerous, since they do not truncate the right parameters.
Wear flows are not always activated when stresses are greatest. In tribology,
care must be taken not to concentrate overly much on the obvious at
the expense of neglecting the real contact conditions that activate the
tribological circuit.
Iterations between modeling, tribometry, and expertise are possible
because models are analytical tools that allow varying and .exacerbating
parameters more easily than in experiments; this is so for both industry and
tribometry. A tribometer is merely a specific mechanism that does no more
than bring the materials of the real mechanism into contact. This is followed
by an expertise of the prototype, carried out with both models and the first
tribometry results, which allows for identification of the flows of the third
body and the stresses actually brought into play. Thus it reconstructs the
dynamics of the contact by distinguishing the mechanical effects from the
material effects. It is only at this stage that tribometry can be efficiently used
to sort from a given result the indirect and direct contributions of the
materials. Moreover, it is only at this stage that an experimental approach

has significance.
This strategy provides solutions for both the mechanism and the
materials in contact. Generally, the solutions for the mechanism
formulated by structural mechanics studies are easier to control than
the solutions for materials sensitive to physical chemistry. Obviously, the
mechanical solutions imply taking into account all the elements of
the mechanism involved in the sequence of forces and moments and
not the contact alone.
It is worthless to attempt to control interactions between the elements of
the tribological triplet and the three disciplines if the potential solution is
not mechanically viable, i.e., if the indirect response implies excessive
direct stresses.
8.2.12.3 THE MECHANICAL VIABILITY OF A SOLUTION
A serious mechanical analysis assisted by contact mechanics and including

thermomechanics permits one to minimize direct stresses in at least 80%
of industrial cases and privileges the STT response rather than the
cracking response.
This mechanical analysis must be carried out for the entire mechanism in
order to avoid everything that can from being in the contact. Care must also
be taken that the engineering office complies with the initial conditions
recommended, since they very first moments of the actual life of the contact
depend on the design phase. Therefore, cleaning and machining conditions
are decisive. For example, the same roughness value expressed in Ra, but
obtained by a genuine section or by folding, will have significant
consequences on the rheology of the third body. Likewise, two coatings with
the same chemical compositions but of different morphologies will have
different tribological behaviours. The source flow will be different, as will be
the trapping of the third body and thus the internal flow, etc. The property
gradients of injection molded polymer first bodies often depend on the
thickness of the latter; thus their direct response will change during the
activation of their source flow. The loads required to improve the volume
properties are not necessarily those required to optimize the rheology of the
third body. For example, certain loads permit one to reduce the cohesion of
the third body and limit the extent of activation of the internal flow.
Consequently, since the surface is borne by the volume, optimization of the
surface and the volume require knowledge of the main parameters of a given
application; hence the usefulness of the feedback from experience.
696 Berthier
8.2.12.4 INTERPRETATIONS
During extrapolations of configuration from one contact to another, it is

important to be wary of solutions that give satisfaction without the reasons
being understood. This is often the case for coatings and surface treatments
that can intervene in different ways by:
9 substituting their response for that of another first body and thus
imposing the source flow (direct role);
9 modifying the stress field because of their thickness and/or their
thermoelastic properties relative to those of the substrate (indirect role);
9 adding residual constraints (direct role);
9 because of their morphology, trapping the third body and thus acting on
the internal flow.
The effects can be difficult to disassociate. For example, shot-blasting leads

to residual stresses and cupules on the surface that trap the third body. Still on
the subject of coatings, one should use multilayer models rather than attempt
to guess "hard layer on soft substrate" effects with and without residual
stresses. It is also illusory and even dangerous to implement a solution
concerning one of the elements of the triplet without evaluating the
consequences on the others. Feedback at the ultimate stage of a contact's
life provides too much information for it to be used easily. It is preferable to
get feedback at the beginning of the contact's life on that which is at the source
of the problem and evaluate the correct sequence between cause and effect.
For example, a high wear rate means a high wear flow, which can stem from:
9 a high source flow that "pushes" the third body toward the exterior of
the contact;
9 opening of the contact caused by a dynamic geometry, which then leads
to reactivating the source flow.
The solution to these problems will differ according to each case.
8.2.13 COMMENTS
Though it does not provide "material couple" solutions, the objective of this
approach is to have:
9 added the "mechanism" dimension to that of "materials";

9 substituted a dynamic perception in place of a static one;
9 drawn attention to the interaction of the elements composing the

tribological triplet and highlighted that it is pointless to experiment with
a solution if its "mechanical" viability has not been ascertained.
The interaction between the elements composing the tribological triplet of

mechanics, materials science, and physical chemistry makes friction and wear
a crossroads discipline whose limited formalism could transform it into a
dead-end science if the identification of the sequence of phenomena leading to
the activation of the tribological circuit is incorrect.
Although quality departments possess criteria for controlling material
volume properties, they are unable to apply the evaluation criteria required to
ensure the reproductibility of the properties of the "skin of the first bodies"
necessary to determine the tribological reproducibility of machining and
surface cleaning. This is a subject on which much work remains to be done to
define efficient measures.
ACKNOWLEDGMENTS
The author acknowledges Maurice Godet, who, with the third body, opened the way for the
work carried out by the Solid Third Bodies Team of the Laboratory of Contact Mechanics of
INSA-Lyon, France, and whose views form the basis of this article.
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concepts which flow from the third body, in Proceedings of the 22nd Leeds-Lyon Symposium
The Third Body Concept: Interpretation of Tribological Phenomema, Tribology Series 31,
Elsevier, pp. 91-102.
SECTION 8.3
Models of Friction
A. R. SAVKOOR
Vehicle Research Laboratory, Delft University of Technology, Delft, Netherlands
Contents
8.3.1 Introductory Background . . . . . . . . . . . . . . . . . 702
8.3.2 Global Model of Amontons-Coulomb
Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
8.3.3 Apparent Deviations from the Basic
Coulomb Friction . . . . . . . . . . . . . . . . . . . . . . . . 708
8.3.3.1 Influence of Normal Pressure
(Load) on Friction . . . . . . . . . . . . . . . . . 708
8.3.3.2 Influence of Sliding Velocity on
Friction (Static and
Stationary Sliding) . . . . . . . . . . . . . . . . . 709
8.3.4 Friction of Viscoelastic Materials (Polymers
and Elastomers) . . . . . . . . . . . . . . . . . . . . . . . . . . 711
8.3.4.1 Friction of Elastomers in
Contact with Hard Solids in
Stationary Sliding . . . . . . . . . . . . . . . . . . 712
8.3.4.2 The Falling Friction-Velocity Curve
and Stick-Slip . . . . . . . . . . . . . . . . . . . . . . 714
8.3.5 Nonstationary Characteristics of Friction.. 716
8.3.5.1 Nonstationary Friction Model . . . . . . 717
8.3.6 Dynamics of Friction Models for
Nonstationary Sliding: Frictional Vibration
and Stick-Slip . . . . . . . . . . . . . . . . . . . . . . . . . . . . 718
8.3.6.1 Dynamic Behavior Assuming a
Purely Velocity-Dependent Friction. 719
8.3.6.2 Identification of Model for Friction
of Elastomers Based on
Bifurcation Characteristics . . . . . . . . . . 720
8.3.6.3 Comparison of Friction Models
(Case A and Case B) . . . . . . . . . . . . . . . 723
8.3.7 Influence of Normal Vibration on Friction. 724

8.3 Models of Friction 701
8.3.8 C o n t a c t and Friction of D e f o r m a b l e Solids:

The Local C o u l o m b Friction Model . . . . . . . 725
8.3.8.1 The Local Model of C o u l o m b
Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . 726
8.3.8.2 Contact of Solids Subjected to
Purely N o r m a l Load . . . . . . . . . . . . . . . 727
8.3.8.3 Hertz Theory of Contact for Purely
N o r m a l Loading of Solids . . . . . . . . . . 728
8.3.9 The T r a n s m i s s i o n of Tangential Forces
b y Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 730
8.3.9.1 Transition from Static to
Kinetic Friction by Partial
Slip (0 < T _</~P) . . . . . . . . . . . . . . . . . . . 730
8.3.9.2 Irreversible Effects, the Dependence
on Loading History and Contact
Hysteresis . . . . . . . . . . . . . . . . . . . . . . . . . 732
8.3.10 Friction in Rolling C o n t a c t of Solids . . . . . . 734
8.3.10.1 Rolling Friction of a
Free-Rolling Wheel . . . . . . . . . . . . . . . 734
8.3.10.2 Friction Model for Traction
in Rolling Contact . . . . . . . . . . . . . . . . 735
8.3.11 M a t h e m a t i c a l Models of Friction . . . . . . . . . . 740
8.3.11.1 Model Based on Plasticity T h e o r y . . 740
8.3.11.2 Dahl Model Based on
Hysteresis Behavior . . . . . . . . . . . . . . . 740
8.3.11.3 Extension of Dahl Model . . . . . . . . . . 742
8.3.11.4 Mathematical F r a m e w o r k for
F o r m u l a t i o n of Contact and
Friction Problems . . . . . . . . . . . . . . . . . 742
8.3.12 Physical Modeling of Friction . . . . . . . . . . . . . 742
8.3.12.1 Characteristics of Surfaces and
the Adhesion Model of Friction . . . . 742
8.3.13 E l e m e n t a r y Physical T h e o r y of Friction . . . 745
8.3.13.1 Plastic Deformation of Asperities
under C o m b i n e d N o r m a l and
Tangential Loading . . . . . . . . . . . . . . . 747
8.3.14 Models Based on Contact, Adhesion, and
Fracture Mechanics . . . . . . . . . . . . . . . . . . . . . . . 749
8.3.14.1 The JKRS Adhesion Model . . . . . . . . 750
8.3.14.2 Tangential Loading of Adhesive
Contact, Modeling of
Static Friction . . . . . . . . . . . . . . . . . . . . 752
702 Savkoor
8.3.15 Models Based on Friction on the

Atomic Scale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756
8.3.16 Concluding Remark . . . . . . . . . . . . . . . . . . . . . . 756
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757
8.3.1 INTRODUCTORY BACKGROUND
Friction is a common phenomenon that arises whenever solid bodies are

presented together and certain parts of their surfaces come into contact. The
contact enables solids to transmit forces reciprocally across their contact
surface (also referred to as the interface). The resultant contact force acting on
a solid may be resolved into two components in the directions of the normal
and the tangent to the interface. The two components are the normal reaction
force and the force of friction. Both the normal reaction and the friction
forces depend on the applied force, or the load that is pressing the solids
into contact.
The essential characteristic of friction is that it is a force that resists relative
motion of material points within the contact interface even though there is no
"obvious" impediment to sliding. Friction is generally characterized by a
coefficient defined as the ratio of the tangential and the normal components of
the contact force. The coefficient of friction (#) depends on the normal load,
the relative motion, the material properties of solids, and even more critically
on surface and interface conditions (any foreign materials in the interface).
Although one is aware that friction is a surface-sensitive phenomenon, it is a
common practice to associate the coefficient of friction with the materials of
the pair of solids. This is because of the difficulty of specifying precise surface
and interface conditions except in ver general terms such as by saying "dry or
wet," or by providing a detailed description of preparing or "cleaning" surfaces
prior to performing friction experiments. It should be emphasized that
friction is not purely a property of the solid materials, or solely that of the
surfaces or the interface. Friction involves a complex interaction between the
properties of solid materials, their surfaces, and any contaminating material
introduced or existing in their contact interface. Therefore, the coefficient of
friction is not a fundamental physical quantity, and it could be regarded
merely as a convenient nondimensional representation of the force of friction.
The dominant properties of interest concerning friction are as follows:
1. solids: the mechanical properties related to deformation (e.g., elastic,

viscoelastic, plastic) of bulk material;
2. surfaces: the geometry on the macroscopic (overall shape) as well as on
the microscopic (surface roughness, including texture) scales and the
physicochemical properties (surface energy, adhesion, and fracture

strength) of adsorbed surface films formed in a gaseous (e.g., air)
environment;
3. interface contaminants: physical and chemical properties of any foreign
material introduced intentionally) e.g., oil, solid lubricants) or
inadvertently (e.g., water or dust) in the contact interface.
Clearly, it is common knowledge that lubrication of the surface by fluids

has a strong influence on friction, generally that of reducing friction
substantially. The present chapter excludes discussion of lubrication resulting
from interfacial liquids and restricts the scope to nonlubricated conditions or
"dry friction." In practice, even in the dry state the physical and chemical
properties of the surface and the interface are significantly different from
those of the bulk material. One of the most important causes of this difference
is the presence of a gaseous environment and/or traces of ill-defined foreign
contamination. The difficulty of determining and controlling the inevitable
films and traces of contamination on solid surfaces is to a large extent
responsible for the relatively poor repeatability and large scatter of
experimental results of friction. Consequently, only the strong and consistent
trends are sufficiently robust to warrant the development of quantitatively
reliable and useful models of friction. Furthermore, the ill-defined surface
chemistry leads to a lack of definitiveness in the absolute magnitude of p that
is tabulated for various materials in the open literature.
Because friction arises in most mechanical contrivances, some under-
standing of its behavior was needed even in age-old times. The historical
evolution of friction and lubrication is documented in the work of Dowson
[1], which describes the pioneering scientific studies of da Vinci, Amontons,
and Coulomb. It is interesting to note that despite the large differences in
physical and chemical properties of solid materials such as ferrous and
nonferrous metals, polymers, ceramics, concrete, wood, etc., the range of #
quoted in the open literature in dry conditions is (0.2 < # < 1). For a number
of pure metals with clean surfaces (outgassed in high vacuum), values of #
from 5 to 200 have been recorded [2, 5]. Paradoxically, soft solid materials
such as elastomers (rubber) that exhibit significant adhesion and support
tensile loads yield large and even quite absurd values of # (p < 0). The force of
friction is the outcome of mechanical and physicochemical processes
involving the entire system that consists of the solid materials, including
their surfaces and the interface.
The phenomenon of friction may be classified in many different ways. A
customary way is to look at the overall pattern of relative motion between
macroscopic solids and classify friction according to the three distinct
patterns: (1) static friction, (2) sliding friction, and (3) rolling friction.
704 Savkoor
However, because friction is concerned with relative motion between

contacting surfaces rather than that between bulk solids, it is more
appropriate to classify the distinct manifestations of friction into only two
basic types: "static" and "kinetic" friction. A large part of this chapter
concentrates mainly on the modeling of static and kinetic friction; the
technologically important case of friction in rolling contact will be described
in a separate section.
Modeling friction generally implies construction of theoretical models that
describe the nature and behavior of frictional force of a mechanical system
that consists of solids making contact in an inert, well-defined environment
(such as ambient air at constant temperature, pressure, and relative
humidity). A tacit assumption is that thermodynamic equilibrium prevails
so that the properties of the solids, their surfaces, and the environment are
practically invariant in the time span of interest. The modeling of friction is
broadly pursued along two distinct but complementary paths that accentuate
the differences in the requirements and interests of the engineering and the
scientific community.
In technological applications the emphasis is on the development of
"functional" models or the so-called laws of friction primarily as tools that suit
the purpose of engineering design. The modeling approach focuses directly on
friction at the mesoscopic scale because the main concern is not how or why
friction arises but the ability to characterize friction in terms of its effects on
the dynamic behavior of mechanical components or systems involving
friction. The development of such models rests on the examination of the
salient and repeatable features of the frictional behavior of a certain class of
solid materials in well-defined basic experiments on specially designed
tribometer devices. The observed features are then structured in some
compact mathematical form. It is then necessary to carry out a large-scale
experimental program and establish from that the domain of validity of
models for a particular class of materials. Considering the inevitable
variability and anomaly of experimental data on friction, the time and effort
of the investigator often limit the validation phase of the development. It is for
this reason that, for quantitative estimation of friction, practicing engineers
are advised to measure and identity friction of complex devices in the actual
operating situation.
In contrast to engineering modeling, scientific interest in modeling friction
arises primarily from its enigmatic physical mechanism. The mechanism is
enigmatic because it is hard to find evidence of any impediment to sliding of
solids that can explain friction in unequivocal terms. The theoretical analysis
of the mechanism of friction is motivated primarily by a desire to understand
and establish the root cause of friction as reflected by the choice of
microscopic or even atomic scale used to develop the models. The starting
point for development of microscopic physical models uses two notions: (1) a
conjecture of the physical mechanism of friction and (2) the choice of a
relevant scale for describing the process of friction. The modern approach to
modeling the physical mechanism of friction on the microscopic scale of
surface asperity has become established since the profound work of Bowden
and Tabor [3]. Their adhesion and ploughing model, to be described in a later
section, is the most widely used physical model of friction.
More recently physicists have taken a lively interest in developing models
and conducting experiments on friction at the atomic or nanoscale. Specific
experiments and models are developed to shed light on the fundamental
aspects of frictional behavior on the scale of atoms, but the generality of the
experimental results and theoretical models and their relevance to friction on
the mesoscopic scale of solids is not yet clear. Hence the essential findings of
friction on the nanoscale will be reported briefly in a separate section.
Interestingly, early research on friction by Coulomb proceeded simulta-
neously along both the aforementioned paths but met with different degrees
of success. The principal mechanism of friction as conjectured by Coulomb is
based on a model of contact between extensive and wavy surfaces of perfectly
rigid solids. The surface asperities interlock upon contact, therefore sliding of
surfaces necessitates the application of a sufficiently large external force that
pulls the solids up the slopes and across the tiny summits of the asperities.
From a rudimentary analysis this mechanism results in a value of/, ~ tan(0),
where 0 is the average slope of an asperity, independent of the load and the
size of the contact. The model ignores the deformation of materials, and it
does not account for the order of magnitude of either friction or the energy
dissipation by friction observed in sliding experiments. On the other hand,
the functional relations defined by the "laws of friction" of Amontons and
Coulomb along the second path, even today, yield the most viable, albeit
approximate, model of friction. The functional models of friction for
describing the dependence of friction on operational variables such as the
normal contact force and the relative motion between contact surfaces of
solids will be considered first.
8.3.2 GLOBAL MODEL OF

AMONTONS-COULOMB FRICTION
The most commonly used model of friction is that based on the Amontons-
Coulomb law of friction. It is referred to as the Coulomb friction model. In it
original form the model is essentially global because it deals with relations
between resultant contact forces and overall motion of solids considered as
706 S~vkoo~
"rigid bodies" subjected to a self-equilibrating system of forces. A tacit

hypothesis in the Coulomb friction model is the unilateral nature of contact.
Most elementary courses in mechanics acknowledge as an obvious inference
from everyday experience that contact can support large normal compressive
forces, limited only by the strength of the solid materials, but hardly any
normal tensile forces at all. However, significant tangential forces can be
transmitted readily by friction provided the solids are pressed together by a
normal compressive force. The static friction that prevents relative motion of
solid bodies in a state of rest has a finite limit, whereas the kinetic friction that
opposes sliding is practically constant over a wide range of speed.
The laws of friction describe the influence of a constant normal load, the
contact area, and the relative motion (static and sliding) on friction.
9 Friction is proportional to the normal reaction force acting in the contact.

9 Friction is independent of the macroscopic area of contact between
the solids.
9 Friction opposes relative motion between solids, both in the state of rest
(zero relative velocity) and in the state of sliding (nonzero relative motion).
The proportionality implied by the first law applies both to the limiting value
of static friction and the kinetic friction. Referring to Figure 8.3.1a, for solids
in equilibrium the components of applied forces normal and tangential to the
contact area, respectively, P (such that P > 0) and T, are balanced by the
corresponding components, namely, Fn (the normal reaction) and Ft, the force
of friction in the contact interface.
If Fn < 0 A P + Fn = 0 ' * T + Ft = 0 and if Fn = 0 ~ Ft = 0 (1)
According to the global version of the Coulomb friction model, the state of
relative motion between the solids when both P and T are applied depends on
FIGURE 8.3.1 a. Friction in uniform relative translation of a rigid block on a large plane and
rigid solid, b. The global model of Coulomb friction, c. friction in relative rotation of rigid solids
in contact.
the ratio of the tangential component (Ft) and the normal component (Fn)
of the reaction force. The two possible states of tangential relative motion
are as follows.
1. If the relative surface velocity Vs z 0, friction opposes the applied force
and prevents the relative motion between solids.
if Vs -- 0 --~ Ft -- - T sgn(T) ~ Fts
where Fts is given by F t s - -#o Fnlsgn(T) (2)
Ft is the force of static friction, and Fts is the m a x i m u m value or the limiting
value of the force of static friction; it is customary to express Fts in terms of the
coefficient of (limiting) static friction
#o = IFt~l/IFnl (3)
2. When sliding takes place, i.e., for V~ ~ O, the force of kinetic friction Ftk
opposes the sliding speed.
For Vs ~: 0 -~ Ft = Ftk where Ftk = -/~klFnlsgn(Vs) (4)
The force Ftk is the force of kinetic or sliding friction, and #k is the coefficient
of kinetic friction.
In the Coulomb friction model #s and #k are assumed constant and equal.
The determination of the frictional moment for relative rotation of rigid
bodies (Fig. 8.3.1c) requires additional assumptions concerning the distribu-
tion of normal load and the introduction of the "local version" of the basic
Coulomb friction model.
The essential behavior of static and kinetic friction in the Coulomb model
can be demonstrated with simple experiments where the tangential force is
prescribed and the relative motion is observed (Fig. 8.3.2). Remarkably, the
technological importance and robustness of the first of the so-called
Coulomb's laws that enunciates direct proportionality between the frictional
and the normal forces, albeit as a first approximation, are acknowledged
universally. This law has inspired the development of physically based models
of friction. The other two laws are much less robust.
FIGURE 8.3.2 Simpleand direct experimental setups to establish the nature and the limiting
force of static friction and the transition to kinetic friction.
708 Savkoor
Application and validity: The elementary so-called Coulomb friction model

in Figure 8.3.1b is used extensively in several textbooks (see, e.g., [4]) and in
several engineering applications. The solids are modeled by rigid bodies, and
the main interest is only in the absence or presence of gross relative motion
between solids. The model is valid when the relative motion of sliding is
much larger than the preliminary displacement in static friction (see the
section on deformable solids). Furthermore, because the dependence of
friction on relative motion is highly simplified, it is not adequate for
describing friction under dynamic sliding conditions.
8.3.3 APPARENT DEVIATIONS FROM

THE BASIC COULOMB FRICTION
Friction experiments with various materials indicate marked deviations from

the basic Coulomb model concerning the dependence of friction both on the
normal contact force and the relative motion between the solids. The nature of
deviations reported in the open literature is generally observed in experiments
performed under conditions of stationary sliding, that is, for constant normal
load (P or F,) and uniform relative motion with sliding speed (Vs > 0).
Relatively few studies report data concerning measurements of static friction
(Vs = 0). The experimental determination of the limit of static friction by
observing incipient relative motion between material points in contact proves
to be a difficult task, especially because of the roughness of the surfaces.
It should be noted that the dominant trends of friction behavior commonly
"observed" in a limited range of variables, assuming that several other
parameters which may influence friction, such as the temperature and the
geometrical and physicochemical properties of the solids, their surfaces, and
the contact interface, are maintained constant.
8 . 3 . 3 . 1 INFLUENCE OF NORMAL PRESSURE (LOAD)

ON FRICTION
The influence of normal load P on friction is expressed alternatively as that of

the nominal normal pressure p, with p = P/A, (where A, is the area of
nominal contact).Friction of some pairs of materials, such as steel, aluminum,
and wood, is almost independent of the normal load, in accordance with
Coulomb's first law over a wide range of loads, as illustrated by Rabinowicz
[5]. If the surface and interfacial properties are not altered by normal loading
and friction, the trends for the pressure dependence of the limiting static
gk
P
FIGURE 8.3.3 Influence of normal pressure (normal load) on coefficients of static and
kinetic friction. The dotted lines indicate the range of pressures (not very low or high)
used in experiments.
coefficient #0(P) and the kinetic coefficient/.zk(p) at some nonzero, constant

sliding velocity V~ are shown in Figure 8.3.3. Over a fairly broad range of
pressures, both /t0(p) and #k(P) decrease with increasing pressure p (or
normal load P),
Its oc. (p)k and #k <x (p)k, where k ~ - 0 . 1 to - 0 . 3 3 (5)
The physical explanation of the influence of the nominal pressure or normal

load on friction through the index n is based on the Bowden and Tabor theory
of friction, which postulates direct proportionality between friction and the
area of true contact of solids. This aspect will be described later in the section
on physical models of friction.
As a rough approximation, the influence of increasing normal pressure is
generally to scale down the limiting static coefficient /t 0 and the kinetic
friction-speed curve 12k(Vs). However, it is worth noting that with some
materials, notably metals, surface conditions may be affected by loading.
Surface films of oxides, especially on certain metal surfaces formed in air, are
relatively brittle. The films may rupture when the normal load (or pressure)
exceeds some critical value, resulting in bare metal-to-metal contact that leads
to strong adhesive bonding. The critical normal load depends upon the nature
of the roughness of the surface. For instance, for unlubricated copper on
copper, the coefficient of friction of 0.4 obtained in the range of low
loads increases beyond some critical load rapidly to a high value of nearly
1.6 ([5] Fig. 4.9).
8.3.3.2 INFLUENCE OF SLIDING VELOCITY ON

FRICTION (STATIC AND STATIONARY SLIDING)
From the experimental results of friction for different materials and surface
conditions (all dry), it is found that kinetic friction (#k) varies with the sliding
710 Savkoor
I .... . . . . . . . . . .
I .......
Vs vs Vs vs
(a) (b) (c) (d
FIGURE 8.3.4 Typical shapes of friction-sliding speed curves for stationary sliding (constant
speed) with constant normal load for different solid materials having nominally smooth
and dry surfaces.
velocity. The different forms of the coefficient of friction #, all as an odd

function of the relative (sliding) velocity Vs, are shown for Vs in Figure 8.3.4,
assuming a constant normal load pressing the solids together. All these forms
have in common that there is a finite limit #0 for the static friction.
For Vs - 0 , # < #0 (6)
where #0 is the limiting coefficient of static friction.
For Vs -r O, # _</~k(Vs), (7)
where #h is the coefficient of kinetic friction.
In some cases, as depicted in Figure 8.3.4a, friction behaves according to
the Coulomb model. In the "stiction" variant of Figure 8.3.4a, the static
friction is relatively high and the transition from static (#0) to kinetic (#h)
friction may be discontinuous, as in Figure 8.3.4b. More generally, one finds
that friction varies with sliding velocity; it decreases initially to some
minimum value and then shows an increasing trend at higher velocities, as in
Figure 8.3.4c. This curve has a form similar to the so-called Stribeck curve [6]
for lubricated contact, but the rising part of the curve occurs very rarely with
dry contact.
The variation of kinetic friction with sliding velocity may be caused by
different physical mechanisms. It may be due to the influence of surface
strains, strain rate, and the rise in temperature during sliding on either the
surface properties or on the bulk properties of the solids. Friction of metals
generally does not vary with speed over the modest range of sliding speeds
encountered in most engineering applications. However, over a much broader
speed range the friction versus speed curves for some metallic pairs such as
steel on indium and steel on lead are qualitatively of the form shown in
Figure 8.3.4d [5, Fig. 4.13]. In the range of very low speeds friction for some
metals is found to increase with sliding speed, while at high speeds friction
shows a decreasing trend with increasing speed.
It is highly unlikely that the behavior at very low speed can be attributed to
any variation of the bulk properties of metals, suggesting that the trend
reflects the influence of speed on surface properties. On the other hand, the
decrease in friction at high velocities may be explained by frictional heating
leading to high surface temperatures, which influence not only the surface
properties but also the material properties of solids near the sub-
surface region. In extreme conditions the heating may cause severe wear
and surface melting of material.
Other more specific but generally weaker trends reported elsewhere, such
as the anisotropy of friction (directional behavior) that depends on bias in
surface texture or material anisotropy, are not sufficiently general to be
considered in modeling friction.
In contrast with friction of metals, the trend shown in Figure 8.3.4d is
intrinsic to many polymers where strain rate and temperature exert a
dominant influence on bulk material properties. The coefficient of friction
increases in the range of low velocities until a maximum value and then
decreases with further increase in velocity. In particular, viscoelastic materials
such as elastomers exhibit a pronounced variation of friction with speed and
also with temperature. This will be considered separately in the following
section. It is necessary to emphasize that there is a certain amount of
ambiguity in the interpretation of experimental data in regions where friction
decreases with increasing sliding speed because of the nonstationary nature of
sliding. The nonstationary aspect and its consequence for the measurement of
friction in a dynamic situation will be discussed in Sections 8.3.4.2 and 8.3.6.
8.3.4 FRICTION OF VISCOELASTIC MATERIALS

(POLYMERS AND ELASTOMERS)
Polymers and elastomers are increasingly important because of the rapid

growth in their industrial usage. In particular, much work on friction has been
devoted to the sliding of PTFE (polytetrafluoroethlene) and elastomers mainly
because of their extraordinary tribological properties. PTFE and related
polymers are well known for their properties of low adhesion (nonstick pans)
and low friction (bearings) but unfortunately these materials display poor
wear resistance unless additional modification of the material is engineerd.
Industrial elastomers consisting of long chain molecules with sufficient
chemical cross-linking can sustain large deformation and display high friction
with relatively low wear (automobile tires). The friction of most polymers is
closely related to their viscoelastic behavior. The coefficient of friction increases
with the sliding velocity until it attains a maximum value at a certain speed,
712 Savkoor
followed by a decrease of the coefficient when the speed is increased further.

The main factor that governs the variation in mechanical properties and friction
is the flexibility of the polymer chains. A broad classification in the order of
decreasing structural flexibility is linear crystalline polymers, linear amorphous
polymers at temperatures below their glass transition, and highly cross-linked
thermosetting polymers.
At low speed of sliding the coefficient of friction of PTFE sliding on PTFE
is very low (#k of 0.07 to 01). With increasing speed the coefficient increases
to its maximum value (/.tk = 0.3 at Vs = 0.5 m/s), decreasing thereafter as
speed increases [7]. The study of friction of both amorphous and crystalline
polymers clearly brings out the important role of the bulk material of solids.
Similar experimental studies of Bahadur and Ludema [8], Steijn [9], and
Tanaka [10] on PTFE and other linear crystalline polymers such as PE
(polyethylene), Polypropylene, and Nylon show strong influences of sliding
speed on friction at room temperature (22~ With increasing (constant)
temperatures the friction-speed curve shifts correspondingly toward a higher
velocity. For polymers below the glass transition, an increase in temperature
from T1 to T2 causes the friction curve to shift from a speed of V1 to V2 on a
logarithmic scale according to the Arrhenieus equation:
log(V2/V1) = ( Q / R ) ( 1 / T 2 - l/T1) (8)

where Q = activation energy and R = universal gas constant.
8 . 3 . 4 . 1 FRICTIONOF ELASTOMERSIN CONTACT WITH HARD

SOLIDS IN STATIONARY SLIDING
The kinetic friction of elastomers on relatively hard solids with nominally

smooth surfaces exhibits a marked dependence on sliding speed and
temperatures. Interestingly, Grosch [ 11] observed a strong correlation
between the influence of speed and temperature on friction and the well-
documented dependence of viscoelastic deformation on strain rate and
temperature. The principle of time-temperature equivalence that holds for the
deformation behavior of thermo-rheologically simple and linear viscoelastic
materials such as elastomers also applies to friction of such materials. This
principle can be used fruitfully to design experiments to study the influences
of speed and temperature on friction separately. Friction of a test specimen of
elastomer is measured at a constant temperature in a limited range of low
sliding velocities driven by a tribometer device. The device is mounted inside
a chamber with a controlled temperature environment (air), and the highest
driving speed of the tribometer is restricted to the order of 10 -2 m/s to avoid
FIGURE 8.3.5 a. Construction of a full master curve (bell-shaped) for the isothermal friction-
speed curve by shifting partial curves measured at different temperatures using the WLF
transform, b. The shifting of the isothermal friction master curve at different temperatures along
the logarithmic speed axis.
any significant rise in temperature due to frictional heating. The results of

measurements in the limited range of sliding velocity yield a partial friction-
speed curve at a constant temperature because friction may be regarded as a
quasi-isothermal process. A similar set of friction-speed curves for the limited
range of sliding speeds is obtained at different ambient temperatures, typically
from - 6 0 ~ to +70 ~
The curves in Figure 8.3.5a illustrate the strong influence of temperature
on the isothermal friction-speed curve of Styrene-butadiene rubber
compounds sliding on nominally smooth and hard solids. On the right of
the same figure is shown how such partial curves, appropriately shifted,
appear as segments that merge into a single master curve at a desired value of
temperature. The shift corresponding to a test temperature T along the
logarithmic speed axis defined by ar is given by an empirical relation such as
the well-known WLF transform (instead of the Arrhenieus equation):
- 8 . 8 6 ( T - T~)
log ar -- (9)
101.5 + T - Ts
where Ts is a characteristic temperature with Ts ~ Tg + 50~ and Tg is the
glass transition temperature of the elastometer.
The construction of the master curve enables one to examine the influence
of sliding speed on isothermal friction at the reference temperature over a very
wide range of speed. At higher temperature the master curve of isothermal
friction shifts toward higher speeds (Fig. 8.3.5b). The shape of the isothermal
master curve of friction versus speed determined from experiments (e.g.,
[11]) can be represented by an empirical relation [12]:
ltk(Vs) = lao + (/am - / . t 0 ) e x p ( - ( h 2 / 2 ) ~na(]Vs]/Vm)) (10)
714 Savkoor
In this expression, #0 is the coefficient of static friction, /Am is the maximal

coefficient for [Vs[ = Vm, and h is a dimensionless parameter reflecting the
width of the speed range in which friction varies significantly. The width
corresponds approximately to that of the rate-dependent viscoelastic proper-
ties such as the creep or relaxation spectra of elastomers. Friction increases
with increased speed if [Vs[~,Vm, and it decreases if [Vs[ ) Vm.
8 . 3 . 4 . 2 THE FALLING FRICTION--VELOCITY CURVE

AND STICK-SLIP
One of the major difficulties in the measurement and interpretation of the

stationary friction-speed relationship is the persistence of frictional vibration
(stick-slip) that arises in the range of sliding velocities where [Vs[ ~ Vm.
Despite keeping a constant driving speed of the tribometer, it becomes
generally impossible to impose the velocity of sliding because of the
persistence of friction-induced vibration known commonly as "stick-slip."
The sliding velocity and the applied tangential force driving the tribometer
exhibit strong fluctuation with large peak-to-peak values. In isothermal
sliding of most rubber compounds, this phenomenon occurs at low
temperatures where friction decreases with an increase in velocity. The
magnitude of the fluctuation depends on the driving velocity, and,
interestingly, this magnitude becomes smaller with increasing velocity, as
seen in Figure 8.3.6a. For modeling friction the stick-slip phenomenon
poses two problems: first, whether and how to determine the stationary
friction-velocity curve in this range, and second, how to model the behavior
of friction under conditions of nonstationary sliding.
The determination of stationary friction in the failing part of the friction-
velocity curve at low ambient temperature was realized by providing damping
in the tribometer system that is sufficiently large (positive) to overcompensate
the negative damping associated with the decreasing friction-veloicity
function. In the range of very low velocity, a convenient and effective way
to produce sufficient positive damping is to use the rising part of the friction-
velocity curve of the elastomer. The practical implementation based on this
solution led to the construction of the tandem tribometer device shown in
Figure 8.3.6c [13]. The test specimen that slides isothermally at low
temperatures inside a climate-controlled chamber is mechanically coupled to
the stabilizing specimen sliding at room temperature. The tandem device has
proved successful in the suppression of stick-slip.
Figure 8.3.6b displays the traces of the tangential force measured with a
force transducer for different driving speeds of the tribometer. The force
FIGURE 8.3.6 a. Isothermal friction-velocity curve showing the stick-slip region in the falling
part of the curve, b. Tangential force plots with and without stick-slip for different driving
velocities (specimen: SBR compound on stainless steel at -25~ normal load 1.5 N, nominal area
30 mm2). c. Schematics of the tandem tribometer arrangement for suppressing the stick-slip
phenomenon, d. Stationary friction-velocity curve in the falling part of the curve determined with
the aid of the tandem tribometer (specimen: SBR on stainless steel at -45~ normal load 1.5 N,
nominal area 30 mm2) [13].
oscillation (marked "P;') resulting from the stick-slip that arises in the base
configuration of the tribometer is successfully suppressed with the aid of the
stabilising pair of the tandem arrangement, as evidenced by the steady trace of
force (marked "B"). The tandem tribometer device is depicted in Figure
8.3.6c. The stationary friction-velocity curve (free of stick-slip) determined
with the tandem tribometer is seen in Figure 8.3.6d.
It is interesting to note that although the success achieved in suppressing
n o n u n i f o r m sliding (stick-slip vibration) enabled the determination of the
entire stationary friction-velocity curve, two crucial questions remained
unanswered. First, does the model based purely on the stationary friction
curve hold under conditions of stick-slip found using the base arrangement of
the tribometer? Second, can the stationary friction curve by itself explain the
successful suppression of stick-slip achieved using the tandem arrangement?
The answers to both these questions depend upon the outcome of an analysis
of the nonlinear dynamic behaviour of the base and the tandem versions of the
716 Savkoor
tribometer, where the friction model is defined solely by the stationary

friction-velocity curve. The analysis reported in Section 8.3.6 shows that the
answer to the first question negative. The answer to the second question
requires additional work on the identification of an accurate dynamic model
of the modified version of the tribometer used in the experiments. However, it
is not fruitful to dwell here on the issue of stationary friction because recent
experimental findings discussed in the following section suggest that
modeling the nonstationary aspects of friction may be important.
8.3.5 NONSTATIONARY CHARACTERISTICS

OF FRICTION
The global Coulomb model that assumed a constant #s with no explicit

dependence on time of contact and a constant Ph where /zk = / z s cannot
explain the observed dynamic p h e n o m e n o n (frictional vibrations and stick-
slip) of mechanical systems involving friction. It is frequently noted in
experimental studies that friction of various materials displays significant
nonstationary behavior that is not taken into account in the formulation of
either the Coulomb model or a kinetic friction model that defines the friction
as a function of only the instantaneous sliding velocity. The d o m i n a n t trends
of nonstationary behavior discovered in experimental work using different
tribometer devices are illustrated in Figure 8.3.7. These trends have been
discussed by various investigators and are summarized in a comprehensive
report by Oden and Martins [14]. Creep of bulk material resulting in the
growth of the contact area and the time-dependent microscopic process of
gk
t10 lg)l - - .~V1
~k(V2)~___._~ __" ..............

v . _ w , v, ,
!.................q
....................
t t t
Time of static contact V = drivingvelocity Transientresponseof friction
(Tangential load rate) to step changein sliding velocity
b c
FIGURE 8.3.7 Typicaltrends for friction at normal load observed in experiments, a. Influence
of static contact time on Ps. b. Influence of the rate of tangential loading on #s (V3 > V2 > V1).
c. Transient response of friction to a step in sliding velocity Vs from V1 to V2 > V1 depends on the
history of motion (state) and may include an instantaneous response. The dashed line applies to
the rising part [#k(V2) > ~Ak(V1)], and the dotted line applies to the falling part [#h(V2)<#k(V1)]
of the stationary friction curve.
adhesive bonding are offered as plausible physical explanations for the

behavior of static friction (Figure 8.3.7a). The effect of loading rate (driving
velocity) on static friction observed by some workers is sketched in
Figure 8.3.7b. It is claimed that this trend is distinct from that depicted by
Figure 8.3.7a. However, it is difficult to establish from such experiments when
the limit of static friction is reached. The effect of tangential loading rate
(driving velocity) requires additional investigation, and it is generally not
considered in most models of friction.
The history-dependent transient nature of friction was noted in the early
work of Rabinowicz [5] on metals and by Schallamach [15] on rubber on
glass. Both these investigators suggested that the instantaneous value of
friction depends on past sliding motion over a certain characteristic distance.
The effect is attributed to the surface roughness or more generally to
"conditioning" of sliding surfaces. The-transient frictional sliding of rocks has
been investigated thoroughly by Dieterich [16], whose experiments were
motivated by the phenomenon of earthquakes caused by geological faults. The
response of/~k to a step change in sliding speed from Vl to V2 (V2 > V1),
the sliding speeds assumed to be imposed) is shown in Figure 8.3.7c. The
distinctive features are:
1. an instantaneous response of friction (positive jump for V2 > V1 and
vice versa);
2. a subsequent asymptotic decay to the stationary value of friction
corresponding to the new speed.
The new stationary value may be larger or smaller than the initial one,
depending upon whether V1 is in the rising or falling part of stationary
friction curve/.Zk(Vs). This work has led to the development of "rate and state
dependent friction" models developed by Ruina [17] and by Rice and Ruina
[18]. The history dependence is represented by a state variable description
that takes into account the effect of the past relative motion of solid surfaces.
Since the work on rocks, the trend has been found in experiments using
various other materials such as PMMA, PTFE, and wood. The more well-
established trend of nonstationary behavior of friction is the noninstantaneous
asymptotic decay of friction, whereas the noninstantaneous response of
friction that acts as a linear viscous contribution is a relatively new feature
that merits more detailed investigation in the case of elastomers.
8.3.5.1 NONSTATIONARY FRICTION MODEL
A model based on work in References [15] and [18] was recently proposed by
Meijaard and Savkoor [19]. It applies to the friction-speed curves such as
718 Savkoor
those in Figure 8.3.7c. For any sliding velocity Vs there are two terms that
contribute to the instantaneous coefficient of friction. The first term is that
due to an instantaneous response #i(Vs) that depends only on the current
sliding velocity, and the second is the internal state defined by a variable 0 that
reflects the past history of sliding motion. In nonuniform sliding, the state
variable 0 satisfies a first-order differential equation
b = (1/'Cs + IV l/dh)( k(V ) - o) (11)
For constant Vs, the state variable 0 approaches the stationary value #h(Vs)
asymptotically. The time constant in the sliding phase is: 1/(1/1:s + [Vsl/dk).
The model (Eq. 11) describes the rise in static friction (for Vs = 0) with the
time of static contact as portrayed in Figure 8.3.7a with a time constant of rs.
For large sliding velocities, the equation approximately describes the behavior
discovered by Rabinowicz with one state variable, that the instantaneous
value of friction is the mean of the friction-velocity function over a past slid
distance dh.
In nonstationary sliding, the instantaneous value of the friction force is
given by
#(t) = #(Vs, O) = O sgn(Vs) + ~i(Vs) (12)
The model contains two functions, #h and #i, and in addition two fixed
parameters, rs and dh, that have to be identified from experiments.
8.3.6 DYNAMICS OF FRICTION MODELS FOR

NONSTATIONARY SLIDING: FRICTIONAL
VIBRATION AND STICK-SLIP
The modeling of the functional relation between friction, the nominal normal
pressure (contact force), and the relative motion relies essentially on
experimental identification of the relation of the dynamic behavior of simple
and well-defined mechanical systems such as a tribometer. The influence of
friction curves on the dynamics of sliding solids can be studied using a simple
tribometer that is represented by a one-degree-of-freedom system consisting
of a block with mass m restrained by a spring with rate k and a viscous damper
of rate c. As shown in Figure 8.3.8, a block rests on a rigid surface that is
pulled by some electromechanical device at a constant velocity V.
Although the driving velocity V of the tribometer is imposed, the device
cannot prescribe the relative sliding velocity V~ of the slider. It is given by
V~ = V - Yr
FIGURE 8.3.8 A basic one-degree-of-freedom model of a tribometer to study friction-

induced vibrations.
The equation of motion for this system for the horizontal displacement x of
the body from the undeformed state of the horizontal spring is
m~ + cs + kx = #N (13)
In the nondimensional form the equation reads
+ 2~2 + x = N# (14)
Here the time scale is chosen as v/(m/K) and the length scale as the deflection
of the horizontal spring caused by the maximal static friction force, while
= (c/2)/v/(mK) is the relative damping.
The stability of the sliding motion for the one-degree-of-freedom
tribometer may be analyzed using Eq. 14 together with the friction model.
In the case of Coulomb friction (Fig. 8.3.4a), the stationary solution is
globally stable. Therefore, at constant normal load the model does not explain
the occurrence of stick-slip. The discontinuous static-to-kinetic friction
model of Figure 8.3.4b was treated Blok [20] in a brief study on the frictional
oscillation. He stated that stick-slip instability occurs if the tangential force
decreases with increasing speed of sliding and found that the stability of the
stationary sliding is governed by two dimensionless parameters:
vv~ c
D -- (#o - # k ) N and the relative damping ~ - 2x/-k-~ (15)
For a sufficiently stiff systems and at higher velocities a minimal amount of

damping is sufficient to suppress the stick-slip motion and guarantee that the
stationary solution is stable Considering that most materials have some
intrinsic damping, the model of Figure 8.3.4b cannot explain the stick-slip
phenomenon observed with nonmetallic materials at high speeds.
8 . 3 . 6 . 1 DYNAMIC BEHAVIOR ASSUMING A PURELY

VELOCITY-DEPENDENT FRICTION
This section considers the influence of the shape of the friction-speed curve
on the stability of motion of a single degree of freedom sliding system shown
720 Savkoor
in Figure 8.3.8. Rewriting the equation of motion (Eq. 14) for this case:
= N I a ( V - 5c). For every prescribed (positive) driving
5c + 2~5c + x = N # ( V s )
velocity of the surface, there is a unique stationary solution given by
x = ~h(V). For convenience, taking the value N = 1 upon linearization of the
equation of motion (Eq. 14) in this solution yields the equation for small
perturbations,
~#k
~+ 2~+~-V-Ts(V) z ~ + k a c - 0 (16)
The prefix A denotes a perturbation of a variable with respect to its nominal

value. The term in the square bracket will be denoted by ~c, which may be
regarded as an effective damping.
K- 2~ +~-V-Ts(v) (17)
The stationary solution is stable if the effective damping ~c > 0, and it is

unstable when ~c < 0.
This latter case can arise provided the friction force decreases with
increasing sliding velocity, such as with the shapes in Figure 8.3.4c and d. For
the case when ~c = 0, a Hopf bifurcation occurs and the stability is determined
by the third derivative of the function #(V~). The solution is unstable if the
third derivative is negative and a subcritical, or hard, bifurcation occurs.
Conversely, if it is positive, the solution is stable [see 21], and a supercritical, or
soft, bifurcation occurs. Since the third derivative is negative for most of its
decreasing part, this bifurcation is often of the hard type and a large-amplitude
limit cycle, mostly of the stick-slip kind, is found. Apparently the stationary
solution can be stabilized by adding a sufficiently large damping, whereas other
measures, such as modifying the slider mass or the stiffness, give no solace.
8 . 3 . 6 . 2 IDENTIFICATION OF MODEL FOR FRICTION OF

ELASTOMERS BASED ON BIFURCATION CHARACTERISTICS
The dynamic stability and bifurcation behavior of the one-degree-of-freedom

tribometer model will be considered now in the context of experiments on
friction of an elastomer sliding on a nominally smooth surface of a relatively
rigid solid (steel). The dynamics of sliding friction on the tribometer system
shown in Figure 8.3.8 is considered, and the predicted dynamic behavior of
the system of the two friction models, one without the state variable (case A),
and the other including a state variable (case B), is compared. In both cases
the influence of driving speed V of the tribometer on the dynamic behavior
will be examined (V is treated as the bifurcation parameter). The
speed d e p e n d e n c e of/~k on Vs in stationary sliding is represented by Eq. 10

with the following parameter values" /t o - 1, #m - 4, Vm -- 0.1, h -- 0.35,
and ( - 0.01.
8.3.6.2.1 Case A: A Purely Velocity-Dependent Coefficient of

Kinetic Friction, #k -- Pk (V s)
Inserting Eq. 10 that defines the friction model for an elastomer and using
the parameters given in Eq. 17 it turns out that the stationary solution is
stable (uniform sliding motion) for V < 0 . 1 0 0 5 and for V > 3 7 . 8 4 . The
stationary solution is unstable for driving speeds in the interval
0 . 1 0 0 5 < V < 1 8 . 2 0 3 . The results of the numerical analysis of dynamic
behavior of the model assuming a purely s p e e d - d e p e n d e n t coefficient are
s u m m a r i z e d in Figure 8.3.9 (the velocity extremes and the period of the
limit cycles are shown). It is interesting to note that because
the third derivative of the friction function is positive at the low-velocity
boundary, the corresponding Hopf bifurcation is stable and a stable limit cycle
is found. The limit cycle grows rapidly in amplitude with increasing driving
velocities. At the u p p e r b o u n d a r y the third derivative is negative and an
unstable limit cycle originates. At V = 37.84, the two limit cycles annihilate
each other in a saddle-node bifurcation.
The maximal velocity in the limit cycle motion (almost horizontal line) is
approximately but not exactly equal to the drive velocity. The apparent
Normalised sliding
velocity extremes z ~** Normalised period
~.5i ..................... ? ~ - , ...............................................................................
m 2
**,, Stable limit cycle
1.0
0.5
t
- 0.5
1
- 1.5
t Drivin~ velocity V
r
--0
["
0.01 O.1 1 10 1O0
FIGURE 8.3.9 Velocityextremes, normalized with respect to driving speed V, and the period of
the limit cycles (divided by 2zc) for ~ = 0.01 [22]. Solid lines show stable branches, dashed lines
the unstable branches (the horizontal dash line is the unstable stationary solution). Period is
shown by dotted line.
722 Savkoor
"sticking" phase is not ideal because the actual sliding speed is either slightly
smaller than, or exactly equal to, or a little larger than the velocity of the
driven surface as found from the numerical results (not presented here). More
importantly, the force variations are large, and such variations do not decrease
sufficiently with increasing driving velocity.
8.3.6.2.2 Case B: Friction Model Including a Hidden State

Variable 0 Such that #h = #~(0, Vs)
The dynamics of the same tribometer system are considered now with the
nonstationary friction law (including a state variable 0, according to Eqs. 11
and 12). In the present analysis the instantaneous response term #i will be
taken to be zero because there is no known experimental evidence hitherto
concerning the instantaneous response of the friction of elastomers. The
additional parameters in the nonstationary friction law are # i ~ 0 , Ts - - 25,
dk = 2.5. Linearization of Eqs. 11, 12 and 14 around the stationary solution
for the driving speed V yields
a s + (2r + + ax + a0 = 0
(18)
A0 + (1/zs + V/dh)(#gAYr + A0) = 0
Here #~ is the derivative of the friction function #k (Vs). The stability

condition expressed by the Routh-Hurwitz criteria is:
2~[1 + (1/'rs + V/dh)(#~ + 2~)] + (1/'rs + V/dk)2(#~ + 2~) > 0 (19)
Therefore, the following condition is sufficient for stability of the

stationary solution:
+ 20 > 0 (20)
It is the same as that which holds for the model in case A without a state
variable. Hence the stationary motion is always stable in the rising part of the
stationary #k(Vs) curve. However, an examination of the necessary condition
for stability, given by Eq. 19, reveals that stable stationary solutions are
possible for driving velocities even in the falling part of the stationary friction
curve. The characteristic dynamic behavior represented by bifurcation and
limit cycles is presented in Figure 8.3.10. The Hopf bifurcation occurs at
V = 0.1973 and V = 17.966. There is a saddle-node bifurcation for the limit
cycle for V = 24.037. It is interesting to note that the stationary sliding
motion is stable in the velocity range (0.1005< V <0.1973) where friction
decreases with increasing velocity and where (#~ + 2~)< 0.
FIGURE 8.3.10 Velocityextremes and period of the limit cycle as a function of the sliding
surface velocity for the friction model with a state variable [22]. Drawn lines denote extremes in
stable branches, the horizontal dashed line is for the unstable stationary solution, the curved
dashed line shows the extremes in the unstable branch, and the dotted line denotes the period.
8 . 3 . 6 . 3 COMPARISON OF FRICTION MODELS

(CASE A AND CASE B)
Comparison of the results shown in Figures 8.3.9 and 8.3.10 shows that stable
stationary sliding for case B is possible over a significantly wider range of
velocity than that in case A. The nonstationary behavior of friction has a
stabilizing influence on the dynamics of the tribometer system. The variation
of sliding velocity in case B is considerably smaller, especially with respect to
the negative velocity. Figure 8.3.11 shows the variation of friction force during
one period of the limit cycle at the relatively high driving speed V -- 15. The
most striking difference between the predicted behavior with the two models
becomes apparent from the magnitude of variation of the friction force for the
larger driving velocities.
In particular, as the driving speed increases, the variation of the friction
force displayed by the model including the state variable (case B) becomes
significantly smaller, which is in agreement with the experimentally observed
trend shown in Figure 8.2.6a. This clear trend is not predicted by the model,
assuming a purely velocity-dependent friction (case A). These results lead to
the conclusion that the stationary friction-velocity relation by itself is
insufficient for describing nonstationary sliding motion such as stick-slip and
that the friction model must include the state dependence of friction such as
724 Savkoor
FIGURE 8.3.11 Comparisonof the sliding velocity and friction force predicted by the two
friction models for the driving velocity V - 15. The results for the purely velocity-dependent
friction (case A) are shown by dashed lines and those for the model including an internal state
variable (case B) by drawn lines [22].
that in Eqs. 11 and 12. The present analysis illustrates the application of
bifurcation and stick-slip behavior for identification of the friction model.
8.3.7 INFLUENCE OF NORMAL VIBRATION

ON FRICTION
It is worth noting that the frictional vibration and stick-slip that occur in
sliding may be influenced by the occurrence of normal vibration. Most
engineers are aware of the fact that in many practical situations friction
between contacting components is generally reduced by the normal vibration
of such components. As pointed out by Blok, the decay of frictional force may
be due to the falling # as discussed before or to a decrease in the normal force
with increasing velocity, but # remains constant as in the Coulomb model.
Among others, Tolstoi [23] and Oden and Martins [14] have stressed the
importance of normal vibrations in friction. Tolstoi suggested a physical
mechanism based on the adhesion theory of friction that leads to a coupling of
normal motion and tangential motion. However, while such a coupling
mechanism is certainly active in the contact of viscoelastic solid materials, it
may not necessarily be the principal source of frictional vibration in general,
especially at a very low speed of sliding. Clearly a sliding surface is commonly
subjected to some significant excitation in the normal direction because of the
dynamics intrinsic to the mechanical system of machine components and
because of the inevitable roughness of surface. Additionally, there is usually
some significant coupling between the normal and tangential elastic fields;
normal pressure affects the tangential displacement and vice versa.
Oden and Martins characterize the interface response of a multiple-asperity
contact for normal deformation (separation) by a nonlinear spring-damper
system. The normal stress an is related to the normal deformation Wn as
given by
an - - - - ( C n W m" q- bnwl"w) (21)
and the tangential response is modeled according to a slightly modified

Coulomb model connecting shear tractor ~ and the sliding velocity Vs, where
the normal pressure term is replaced by a nonlinear spinglike term in w.
r = -Gwm~sgn(Vs) (22)
The constants in the equations, cn, b,,, mn, and ln, for the normal and G, me for
the tangential deformation are determined experimentally. The authors
pointed out that these representations do not always agree with the
experimental data for static contacts. The equations are used in conjunction
with a two-degree-of-freedom mechanical system (tribometer) to study the
stick-slip motion induced by normal vibration of a sliding block on a plane. It
is suggested that the high sensitivity of the frictional force to normal
separation couples the normal and the tangential vibration and may actually
cause the intrinsically Coulomb friction to manifest itself as a decreasing
friction-velociy relation at low velocities. Furthermore, these authors studied
elastodynamic problems of sliding friction for the Coulomb model and
addressed the issue of computational difficulties arising from the Coulomb
model while crossing zero sliding velocity.
8.3.8 CONTACT AND FRICTION OF

DEFORMABLE SOLIDS: THE LOCAL COULOMB
FRICTION MODEL
When deformable solids are pressed together, a finite area of contact C is

formed and the contact force is generally distributed nonuniformly inside the
contact area. The local loading on a surface element in the contact can be
defined in terms of the normal and shear components of traction. Generally,
the contact mechanics analysis ignores normal adhesion between surfaces
whereby the action of normal traction in the contact is assumed unilateral.
The shear traction at any point in the contact arising from friction depends on
the normal traction and the relative motion between the surfaces at this point.
A simple and effective way of defining this relationship is based on the
726 Savkoor
pointwise application of the global Coulomb model. The relationship is the

local Coulomb friction model that applies inside the contact of deformable
solids. Whether or not relative motion can occur at any point inside the
contact depends on the ratio of the tangential and the normal traction at that
point. Therefore, the macroscopic frictional behavior of the solids, in
particular the transition from static to kinetic friction of solids, essentially
depends on the distribution of normal and shear traction in the contact. The
contact mechanics of deformation and traction of solids is treated extensively
by Johnson [24] and Kalker [25]. The treatment in the following sections
briefly presents the typical features of contact and friction of deformable
solids based on the local Coulomb model, which is widely used to study the
friction of deformable solids. The model successfully explains the transition
from static to sliding friction of solids through partial slipping of points in
contact for both sliding and rolling contact situations. It is also useful for
predicting the overall contact behavior for monotonic loads and other more
complex patterns of loading.
8.3.8.1 THE LOCAL MODEL OF COULOMB FRICTION
The local model of Coulomb friction applies at any point inside the contact
(C) (see Fig. 8.3.12). It determines whether or not the local shear traction
(~x, l:y) due to friction is sufficiently large to initiate sliding, depending upon
the local normal pressure p and the coefficient of friction #. At a point in the
contact interface where z ___ #p, static friction (frequently referred to as
adhesion) prevents relative motion of surface points in contact (local slip). If
slip occurs at any contact point, then the local shear traction equals 9 - #p.
The model rules imply that the distribution of normal pressure has a strong
FIGURE 8.3.12 Left: normal pressure and shear traction inside the contact (C).
Right: components of traction and slip in a point inside the contact (C).
influence on the relative motion of points in contact. The model also requires
that at any contact point the traction and slip vectors are collinear and
oppositely directed. Generally, in the case of rolling and sliding contact, the
local sliding motion is expressed in terms of relative velocity (Vsx, Vsy).
If (Vsx, Vsy) -- 0 ~ (T,2 + z2) 1/2 </~p,
I
for (Vsx, V~y) ~= 0 -0 rx - -lapV~x / v/V2~ + V2y

/
and (23)
- / §
In static contact problems, the sliding motion is defined instead, by the

relative surface displacement of the solids at the point in question. The local
sliding motion at a contact point depends upon the relative rigid body motion
(shift) of the solids at points remote from the contact and the differential
surface displacement due to deformation of the solids.
8 . 3 . 8 . 2 CONTACTOF SOLIDS SUBJECTEDTO

PURELY NORMAL LOAD
The size and shape of the contact area (C), the normal approach, and the
normal pressure p due to normal load P can be determined from the
knowledge of the geometry of the undeformed solids and their bulk material
properties. The solid materials respond to loading by elastic, plastic, or
viscoelastic deformation, depending upon the load and their properties. In the
following, only elastic response of solids will be considered. The analysis of
contact under purely normal load involves the solution of a mixed boundary
value problem of continua using well-established methods of contact
mechanics. Following Dundurs [26], the nature of contact between elastic
solids depending upon the undeformed shape of the solids may be classified
as advancing or receding, depending upon how the contact evolves with
increasing load. The contact is of the "advancing type" if an increase in normal
load leads an enlarged contact such that it includes new surface points of the
solids in addition to those already existing inside the initial contact. The
Hertzian contact is a typical example of this type of contact, which is both
common and technically important. Conversely, if increasing load does not
lead to a growing contact area with additional surface points, the contact is
classified as the "receding type." The receding contact occurs, for example,
when a rigid punch with a fiat-face and constant cross section indents a
728 Savkoor
semi-infinite elastic solid. The size and shape of the contact area are prescribed
by the cross section of the punch, irrespective of the imposed normal load.
When solids of dissimilar materials are subjected to a purely normal load, the
presence of friction in the contact will produce radially symmetric shear
traction, possibly causing slipping in some part of the contact.
8.3.8.3 HERTZ THEORY OF CONTACT FOR PURELY

NORMAL LOADING OF SOLIDS
In many technical applications of interest, the material behavior is linear

elastic and the size of the contact is small in relation to the dimensions of the
solids (approximately a semi-infinite body). The analysis of the global contact
deformation is usually performed by ignoring adhesion, that is, by assuming a
unilateral contact. Additionally, the presence of surface asperity and the
influence of friction in the contact are neglected. The latter condition implies
that there is no or only a small interaction between tangential and normal
fields (low ~). If the interaction is strong, the normal and tangential fields are
couple and the analysis becomes more complex.
The Hertz theory analyzes advancing contact of two deformable solids with
smooth, contraformal shapes, ignoring friction. As the solids approach closer,
initial contact in their undeformed state occurs in a point (point contact) or
line (line contact). Under the action of a normal load, the solids deform,
resulting in conformity of parts of their surfaces over a small (with respect to
the dimensions of the solids) but finite area of contact. The contact
deformation can be calculated by treating the solids as semi-infinite bodies.
The contact area is generally an ellipse defined by its semima]or axis,
semiminor axis, and an eccentricity. The Hertz theory of contact can be used
to calculate the normal approach (compliance) of bodies, the size and
shape of the contact, the contact pressure, and the internal stresses within
the bodies.
For illustrative purposes, the main results of the Hertz theory under the
aforementioned assumptions are presented here for the case of contact
between two spherical solids. The contact between two elastic solids of
revolution with radii R1 and R2 and with material constants El, Y1 and E2, v2
under a normal load P results in a circular area of radius a and a central
deflection ~. The central deflection ~ is the normal approach between material
points remote from the contact area.
a ( pR, ,J3 and

__~_f ~
( 16~g~,2/
9p2 1j3 (24)
The geometric and elastic properties of the two solids are combined into two
constants, an equivalent radius R* and an equivalent elastic modulus E*.
1
=
1
}
1
and
1
=
l-v~ }
l-v~ (25)
R* R1 R2 E* E1 E2
The distribution of normal pressure in the contact area has an elliptical form
p(r)
_ 3P
2~a2 ( 1-
a2j
(26)
The normal pressure distribution in this Hertzian contact is depicted in

Figure 8.3.13 (left).
Domain of validity: The theory does not consider the following aspects
arising from contact between real-world solids: (i) contact friction, (ii) surface
roughness, and (iii) adhesion between solids.
Finite friction in the contact produces shear traction in the contact
between solids made from materials with generally dissimilar elastic
constants. Excepting few special material combinations (identical materials
or materials with Poisson ratio of 0.5, which holds approximately for
elastomers), the dissimilarity leads to interaction between elastic fields
produced by normal and tangential traction. For small values of # this
interaction introduces minor modifications in the Hertz formula but at the
expense of a considerable increase in complexity of the analysis [24, 25]. The
surface roughness results in disperse true contact with high local pressure, but
its effect on the global (smoothed-out) contact behavior becomes significant
FIGURE 8.3.13 Left: pure normal load (Hertz). Centre: tangential force applied to a Hertzian
contact without slip. Right: partial slip caused by a tangential force applied to a Hertz contact with
finite friction.
730 Savkoor
only for very small normal loads. Similarly, the effect of surface adhesion on
the normal contact, which is discussed in the section on fracture mechanics
models, is significant under very light loads only.
8.3.9 THE TRANSMISSION OF TANGENTIAL

FORCES BY F R I C T I O N
The effects of friction in the contact of deformable solids are significant when
an additional tangential force is applied to the normally loaded bodies at
points remote from the contact area. Of special interest is the role of friction
in the transition from a static to a sliding contact. When solids are subjected
to both normal and tangential forces, the distribution of normal pressure and
shear traction in the contact area of solids is nonuniform and the two profiles
are generally dissimilar. In the case of deformable bodies, the local normal
pressure and shear traction are conceived as the normal and shear loads at
each point in the area of contact. The aforementioned interpretation of
traction as a local loading prompts the formulation of the local model of
Coulomb friction for the contact between deformable solids. In a manner
analogous to the global model, the ratio of the shear traction z and the normal
traction p at any point inside the contact area determines whether or not
sliding can occur in that point.
8.3.9.1 TRANSITIONFROM STATIC TO KINETIC FRICTION BY

PARTIAL SLIP (0 ~ T ~ # P )
The analysis requiring a local interpretation of the classical Coulomb model

has been presented independently by Cattaneo [27] and Mindlin [28]. The
tangential mixed boundary problem is formulated by assuming the half-space
model of solids. In the case of a circular Hertzian contact, the simpler
tangential problem considered first is that where slipping is prevented
(infinite friction) across the entire contact area. The tangential boundary
conditions applied to the surface of each half-space take the following form:
1. A uniform tangential displacement (shift) u = ~ is prescribed inside the

entire contact circle r < a.
n
2. There is no traction outside the contact circle r > a, hence 9 = 0.
The result of the linear elastic analysis for the shear traction ~ and the shift c~
using the above boundary conditions is given by Eq. 27 below and is
presented in Figure 8.3.13 (centre).
T2
& - 8---a where 2 = [(2 - Vl)/G1 + (2 - v2)/G2]
(27)
and r(r) - ~ ( aT 2 . r 2) -1/2," r < a
It is interesting to note that the shear traction z is axially symmetric in

magnitude only; it is directed everywhere parallel to the applied force T.
Clearly, for any finite value of T, the traction is unbounded at the boundary:
r--. a, z(r)--+ oo, whereas p(r)--. O. Based on the local version of the
Coulomb law, one may conclude, as Cattaneo and Mindlin did, that slip must
commence spontaneously at point close to the boundary of the contact area as
soon as any tangential force is applied. Because the magnitude of z is axially
symmetric, one would expect slipping to start at the boundary and with
increasing T spread radially inwards toward the center.
For tangential forces 0 _< T _</~N, static friction prevents slip inside a
circular "locked region" of radius c, whereas slipping occurs in an annular
region c _< r G a. The relative displacement of the solids in the direction
of T is the shift c~. For the tangential contact problem for finite friction,
the boundary conditions according to the local Coulomb friction model
as follows"
1. Inside in a circular region r _< c, a uniform tangential displacement

(shift) u - c~ is prescribed such that no slip occurs and the shear
traction in the region is z G #p.
2. Slip occurs in the angular region c G r _< a, hence z - #p.
3. There is no traction outside the contact circle r > a, hence r ---0.
The results found by Cattaneo and Mindlin for the circular locked region of
radius c, and the shear traction both in the locked (r < c) and the annular slip
region (C < r < a), read
1/3
a- 7P
and (28)
3/~P /2
- -
2rca2(1 - r2/a2) 1 - ( c / a ) ( 1 - r2/c2) 1/2 in 0 _< r _< c;
3#N
2tea2(1 - r2/a 2) 1/2 in c K r K a
- -
732 Savkoor
The expressions for tangential shift c~ and the tangential compliance are
c~ 32#N{1-(1-T) 2/3} d~ 2( Ty 1/3
-- 8a ~ and dT=--4a 1 - ~ - ~ / (29)
These results may be viewed as close approximations because traction and

slip vectors are not precisely collinear in the region of slip.
The results according to Eqs. 28 and 29 for the annular slip region, the
variation of shear traction and the tangential displacement (shift) for the
Hertzian circular contact subjected to a tangential load (0< T<pP) are
depicted in Figure 8.3.13 (right).
8.3.9.2 IRREVERSIBLE EFFECTS, THE DEPENDENCE ON

LOADING HISTORY AND CONTACT HYSTERESIS
Kinetic friction that arises in the region of slip is essentially an irreversible

process. It is not surprising, therefore, that shear traction in the contact
during tangential unloading differs from that during loading. We start with
the situation described in the previous section where solids under a constant
normal load are subjected to a tangential load T = T1, such that T1 </.tP.
Subsequently, if the bodies are tangentially unloaded by reducing the
tangential force to T2 where T2 < T1, the unloading step may be viewed as
reversed loading by force AT = T 2 - T1 < 0 (directed opposite to T1). The
shear traction resulting from this additional loading may be superposed on
the existing traction due to T1. For a finite coefficient of friction, the addition
of AT results in slip in the opposite direction (counterslip), again starting
from the contact boundary and extending to the concentric inner circle of
radius b given by: b - a { 1 - ( T 1 - T2)/(2[.IP)}1/3. The shift 52 in the
unloaded situation becomes [29]
] (30)
The resulting traction, shown in Figure 8.3.14, is obtained similarly by

superposition.
It is of interest to note that the compliance at the instant of unloading at
T = T1 is the same as the initial compliance during the first loading, i.e., at
T - 0. If the unloading proceeds until the contact is load-free, i.e., T2 = 0,
there remains a displacement shift or permanent set. In order to remove this
permanent set, unloading must continue in the reverse direction until ~ - 0.
The situation of cyclic loading and unloading (load reversal) by tangential
forces applied to solids in contact under a constant normal load occurs in
FIGURE 8.3.14 Shear traction zl (for the initial tangential load T1) and z2 following unloading
to T2 ( < T1).
FIGURE 8.3.15 Hysteresis loop of friction-displacement in cyclic tangential loading at constant

normal load.
many mechanical joints. The force-displacement curves generated during

a cycle of loading and unloading form a closed loop as sketched in
Figure 8.3.15. This loop is the well-known "hysteresis loop" that encloses
an area which represents the energy dissipation during the cyclic process.
The energy dissipation results in heat generation within an annular slip region
inside the contact.
The rise in the contact temperature depends on the dissipated power and
the thermal properties (heat conductivity and diffusivity) of the materials. In
the long run such cyclic loading causes fretting wear of solid surfaces and
under more severe loading conditions it may lead to catastrophic wear or
seizure as a result of thermoelastic instability. Initially a tangential force T1 is
applied to solids pressed under a normal load P. The tangential force is then
cyclically varied between T1 and - T 1 . The energy dissipated per cycle is given
by [301
(31)
lOa ~-P - -
734 Savkoor
The foregoing analysis is based on the assumption of a constant coefficient of

friction. In reality, slipping in the annular region generates heat and causes
surface damage or conditioning that may continuously modify the value of #
at points inside the region of slip.
8.3.10 FRICTION IN ROLLING CONTACT

OF SOLIDS
An important class of industrial applications successfully makes use of

components or elements involving rolling contact of solids such as the wheels
and tires of transportation vehicles. The rolling wheel or tire is capable of
generating resultant frictional forces of desired magnitude and direction
simply by controlling its relative motion m the "slip" m and these forces can
be used in turn to control the motion of vehicles. The force generated can
cover a wide range, from a very small value, barely sufficient to overcome
resistance encountered by a cruising vehicle, to sufficiently large values
required for acceleration, braking, or turning of a vehicle.
8.3.10.1 ROLLING FRICTION OF A FREE-ROLLING WHEEL
If solids are assumed to be rigid, one obtains a "point" or a "line" contact that
results in the ideal situation of "pure rolling" of solids. However, pure rolling
does not occur in the rolling of deformable solids where the size of the contact
is finite. "Free rolling" along a straight path of wheels (deformable solids) is
the closest approximation to the ideal situation of pure rolling. When rolling
is with a constant speed along a straight path, the resistance to rolling is the
"roiling friction." Energy lost in the cyclic inelastic deformation of materials
("hysteresis") is the dominant mechanism of roiling friction of free-rolling
solids. Free rolling is accompanied by a minute amount of sliding in some
small pockets inside the contact, but the resultant tangential force contributed
by the almost (antisymmetric) self-equilibrating shear traction within the
contact to free rolling is relatively insignificant. The viscoelastic normal
deformation of tire carcass, tread, and sidewalls results in a distinctly
asymmetric normal pressure distribution within the contact (Fig. 8.3.16). The
resultant normal reaction shifts forward in the direction of rolling motion,
which is equivalent to a moment resisting rolling. The free-rolling motion is
sustained by a minimal tangential force (driven wheel shown in Fig. 8.3.16)
or, in the case of a driving wheel, by a minimal torque applied to the
driving axle.
FIGURE 8.3.16 Rolling resistance of a wheel (tire) in stationary, free straight rolling on
a fiat road.
The principal mechanism of rolling resistance is the pronounced

asymmetry in the distribution of normal pressure during roiling caused by
the inelastic (viscoelastic) nature of deformation of solids. As illustrated in
Figure 8.3.16 the asymmetry is mainly in the pressure p, and it is insignificant
in the shear traction z. The rolling resistance is represented by the moment
Mr. For a free-rolling wheel under a normal load, the linear velocity V and the
angular velocity co are related through the effective roiling radius re of
the wheel, where
ro > r~ > rh (32)
Here r0 is the radius of the undeformed wheel and rh the height of the
deformed wheel above the ground.
The rolling resistance of automotive and aircraft tires is of the order of 1%
of the normal load. The structural materials, mainly rubber, undergo large,
cyclic, and viscoelastic deformation during roiling. Typically, with steel wheels
of railway vehicles roiling on steel rails, the much smaller contact deformation
re ~ ro. The small deformation coupled with relatively low hysteresis of steel
results in a very low rolling resistance of only 0.1%.
8.3.10.2 FRICTION MODEL FOR TRACTION

IN ROLLING CONTACT
The relative rigid body motion between tWO solids making contact may
involve both translation and rotation, each with three components resolved
736 Savkoor
along the normal and tangent to the plane of contact. In most cases of interest,
the normal component of the relative translation is taken to be zero (constant
normal load and deformation). In addition, one of the two components of
rotation in the tangent plane that gives rise to "rolling" is taken as zero
(rolling in one direction). This leaves the following components of relative
motion: two components of relative translation (longitudinal and lateral) and
the two rotational components. One of the rotation components is the rolling
in the plane of the wheel, and the other rotation normal to the contact plane is
termed the "spin." The components of relative motion of interest are shown in
Figure 8.3.16, where rolling takes place about the y-axis.
The relative rigid body motion is generally expressed as deviation from the
state of free rolling. A convenient measure of this deviation normalized with
respect to the rolling velocity Vr is the "wheel slip" or "overall rigid body
slip," usually referred to simply as "slip" ("creep ratio" in railway
vehicle terminology). In the case of railway wheels or automobile tires,
the countersolid (rail or road) in contact is at rest. In applications for
traction, the emphasis is usually on describing the functional relation
between components of resultant contact force (and moments) and the
corresponding slip or creep ratio. The relation is established at a constant
speed of rolling (the rolling velocity is taken as the linear velocity
of the wheel).
The transmission of tangential forces (or a moment) through the rolling
contact of deformable solids is inevitably accompanied by partial slipping.
The contact area is divided into regions of adhesion (no slip or stick) and the
remaining regions of slip. The division is based on the local Coulomb friction
model of Eq. 23, with #k = #0- The no-slip region generally begins at the
leading edge (boundary) of contact and ends where shear traction builds up to
a level that cannot be sustained by the available static friction. The shear
traction 0:x, l:y) satisfies Eq. 22, connecting it with the local sliding velocity
(Vsx, Vsy) according to the local Coulomb friction model.
With increasing tangential force, the region of slip expands at the
expense of the region of adhesion, and this growth continues with
increasing force until the entire contact begins to slide. The determination
of the extent and location of the slip region and the shear traction in the
contact is again a mixed boundary value problem in the mechanics of rolling
contact. The complexity of the solution directly depends upon that of the
friction model used (# as a function of the slip). Most rolling contact
problems in the open literature are solved by assuming the local Coulomb
friction model.
The kinematic input variables for the rolling and slipping motion
of the wheel and the contact forces and moments of interest are presented
in Figure 8.3.17.
FIGURE 8.3.17 The wheel-slip input and output of contact forces and moments for rolling
with slip.
The longitudinal slip ex, the lateral slip ey, and the rotational slip or "spin" q5
are defined by
-- (Ore. _ __VY (Dza

e,lx)" - e( y) and 4~- (33)
Vr ' Vr Vr
with a = semi-contact length and Vr ~ Vx. The longitudinal and lateral

components of local sliding velocity or microslip at a point (x, y) inside the
contact area are then defined by
Ou) Ou
Vsx(X, y) - Vr ~, -- 4)y + ~ -- -Ot
(34)
( O~) Ov
W sy ( X , y ) - - Mr 8 y Jr- ~) x -[- -~x c~t
Here u and v are, respectively, the x and y components of the surface

displacement of a point (x, y) inside the contact, and the second term in each
equation (time derivatives) is the nonstationary part of the motion. The
surface displacements (u, v) are brought about mainly by shear traction
(rx, ry) and to small extent by the normal pressure p. Conversely, the shear
traction influences normal displacements and thereby influences both the
normal pressure p and the size and shape of the contact area. This set of
complex elastic interactions increases the complexity of solution techniques
used to solve contact problems. In many cases where the interaction of normal
and tangential elastic fields may be ignored, the local tangential surface
738 Savkoor
displacement (u, v) can be expressed in terms of shear traction (Zx, Zy) with
the aid of the surface influence functions
u(x, y) = f / [~x(~,tl)G,~,(x, y; ~,~?) + ~y(~,tl)Gxy(X, y; n)Jd an

(35)
c
v(x, y) = Fl)Gyx(X, Y; ~, rl) + "Cy(~,Fl)Gyy(X, y; ~, rl)Jd~drl

c
For the steel-on-steel contact (railway wheel on rail), the classical solutions
for a semi-infinite elastic solid subjected to point load on its surface is taken as
the influence functions for the contact problem [25]. No such functions are
available in the case of pneumatic tires; therefore, and in view of the
complexity of its construction, the material properties, and the geometrical
nonlinearity, approximate structural models that define the influence function
are developed.
Even with the relative simplicity of the Coulomb model, the effort towards
a solution of the aforementioned equations is not trivial. It involves a
numerically intensive process to determine the regions of adhesion and slip
according to the local Coulomb model. Efficient numerical techniques
developed recently are based on variation principles; these methods enable
direct determination of the adhesion and slip regions.
The solution for tractions can be integrated to yield the resultant forces and
moments. The three more important ones for the longitudinal and lateral
forces and the aligning torque (or spin moment) are
Fx = //~cxdxdy; Fy = / / ' c y dxdy; Mz - / / (X'Cy- y'cx)dxdy (36a)

c c c
The other two components are the overturning moment and the
rolling moment:
Mx -- f f y'Cz dxdy and My=/fX'Cx dxdy (36b)

c c
The technically important results for the overall behavior of rolling and
slipping wheels for constant normal load and constant rolling velocity may be
expressed formally in terms of a function (q):
{Fx, Fy, Mx} = ~(~x, ~y, c~;V) (37)
The typical trends of the longitudinal force-slip relation predicted by the
Coulomb friction model and those from measurements under practical
conditions are compared in Figure 8.3.18 (right). The differences become
pronounced in the region of large slip where the frictional behavior deviates
FIGURE 8.3.18 Left: transmission of tangential forces in stationary rolling (V, co, #, and s are
constants) with increasing longitudinal slip. Right: Comparison between typical traction curve
from measurement and that according to Coulomb friction. The regions of adhesion and slip,
the latter, starting from the trailing edge of the contact, spreads with increasing Fx toward
the leading edge.
significantly from the simple Coulomb model. The slope of the traction-slip
curve at the origin where the slip region tends to zero is known as the slip
stiffness or creepage coefficient. For steel-on-steel contact of the Hertzian type
(railway wheel on rail), the slope can be determined exactly for any slip
mode. The slope is known after Kalker's work [31] as Kalker creep
coefficients. For tire-on-road contact, such results can be obtained either
through an elaborate finite element analysis or empirically from experiments
on full-scale tires.
Application and validity: The essential simplicity of the local version of the
Coulomb model has facilitated analysis of technically important contact
problems of complex mechanical systems. The local Coulomb friction model
is extensively used in the analysis of contact forces, slip, energy dissipation
(damping), and wear of solids in contact in static, oscillatory (contact
damping in joints), and roiling (wheels) situations.
The local Coulomb model proves highly effective in applications where
mainly the overall (or average) behavior of solids in contact (resultant forces
and moments versus slip) is of interest and experimental data of the actual
behavior are available. The predicted behavior can be made to fit the actual
experimental data by selecting an appropriate value for the coefficient of
friction #0 (#h = #0). However, the detailed behavior, such as the size
and location of the slip region and the local sliding velocity, which affect wear
and the temperature distribution in the contact, is not reflected correctly
740 Savkoor
because the friction model does not take into account the actual pointwise
variation of p.
8.3.11 MATHEMATICAL MODELS OF FRICTION
8.3.11.1 MODEL BASED ON PLASTICITY THEORY
The similarity between a number of trends of frictional behavior and those

related to elastoplastic deformation of materials or to the hysteretic behavior
of materials has inspired some researchers to develop models of friction. A
Coulomb friction model based on the framework of the theory of plasticity
has been developed by Curnier [32]. In an analogy with the elastic and plastic
deformation of solids, the distance between points on surfaces is decomposed
into a no-slip (adherence) component and a slip component both in normal
and tangential directions. It enables a unified treatment of the nonpenetration
condition (unilateral) for normal deformation and the tangential slip between
surfaces. The slip criterion of the Coulomb model is similar to the von Mises
criterion for plastic yielding of bulk metals. The slip rules are similarly based
on the flow rules of the plasticity theory and defined in terms of a convex
potential. However, as pointed out by Klarbring [33] and Oden and Martins
[14], the local friction law does not follow the normality rule of classical
plasticity. The analogy is useful if the normal pressure in the contact is known
or can be prescribed a priori. The contact problem of deformable solids is
posed in the framework of variational inequalities. The reader is referred to
the original work containing the author's model of "standard generalized
friction." De Souza Neto et al. [34] developed models that assume friction to
be a function of the density of frictional work along lines similar to the theory
of workhardening elastoplasticity.
8.3.11.2 DAHI. MODEL BASED ON

HYSTERESIS BEHAVIOR
The modeling of damping of joints and bearings in mechanical systems

motivated Dahl [35] to extend the global Coulomb friction model by
including the hysteretic behavior of frictional contact. As discussed earlier, the
transition from static to sliding friction of deformable solids takes place by
partial slipping that gives rise to contact hysteresis during a tangential loading
cycle. This displacement-dependent effect may be incorporated into a
global model of Coulomb by suitable modification of the discontinuity at
V s - 0 The Dahl model is described in terms of the slope of the friction-

displacement function
dl- ~ 1--- sgn 1 - ~---sgn(2) (38)

#0 #0
The displacement derivative does not depend explicitly on t or on x, and the
value of the coefficient of friction # is bounded within the limits (-#0, #0).
The Dahl model may be considered as a hysteresis operator, and the index i is
thought to describe ductile behavior for i _> 1 and brittle behavior for i < 1.
The hysteresis cycles with the nonsmooth global Coulomb model, the stiction
model, and their regularized smooth behavior are shown in Figure 8.3.19. The
friction model may be expressed in terms of sliding velocity by putting
d# d#
dt = dx 2
and writing
fi--~ 1- (
sgn 1-Y-~-sgn(~)
#o
)
Putting i -- 1 and writing ~ - Vs, the equation may be cast into
fi - ~ ( Vs - # lVS
In this form it is similar to the nonstationary relation described previously by

Eqs 11 and 12 in the section describing the evolution of friction depending
on a state variable
............ ~........ ~176 ...... ~. . . . . . . . . . ~. . . . .
........ I
a) Global Coulomb b) Dahl model
FT
I 9 9
i
........................... i .......................... 8
. . . . . . ~176
...... ~176176176176
..... i| .... ~176176176176176176
~176176
I
c) Stiction d) Smoothed stiction
FIGURE 8.3.19 Hysteresis behavior of Coulomb and stiction models (a and c) and their
smoothed versions (b and d).
742 Savkoor
8.3.11.3 EXTENSIONOF DAHL MODEL
The Dahl model has been developed as a hysteresis operator and has been
generalized by Bliman and Sorine [36], especially for dealing with control of
mechanical systems. The Coulomb model without and with stiction and the
corresponding smoothed versions are depicted in Figure 8.3.19. Canudas de
Wit [37] has also studied the Dahl model in the context of large-scale
mechanical systems. Bliman and Sorine proposed an extension of the Dahl
model to a second-order differential equation to consider the (Stribeck form)
velocity dependence of friction.
8.3.11.4 MATHEMATICAL FRAMEWORK FOR

FORMULATION OF CONTACT AND FRICTION PROBLEMS
Klarbring [33] has presented a general mathematical framework for

formulating unilateral problems of contact and friction and for solving such
problems numerically based on the methods of mathematical programming.
The contact problems of solids, including a thin layer separating the bodies,
are considered by Ganghoffer et al. [38]. A thin layer of surface film called
"interphase" is modeled in a thermodynamic formulation using viscoplastic
and nonlinear incompressible elastic constitutive laws for the material.
The model permits the physically significant description of damage and
wear caused to the interphase by adhesion friction. The discussion of
these and other mathematically oriented models is beyond the scope of
this chapter.
8.3.12 PHYSICAL MODELING OF FRICTION
8 . 3 . 1 2 . 1 CHARACTERISTICS OF SURFACES AND

THE ADHESION MODEL OF FRICTION
The development of physical models of friction is based on two important

observations concerning the nature of real-world surfaces and especially those
employed in engineering applications (see Fig. 8.3.19). First, practically all
solid surfaces are geometrically rough and wavy with the heights of peaks and
valleys small in relation to the dimensions of the macroscopic solid. The
second equally important observation is that surfaces are covered with films
that inevitably form under the influence of the ambient gaseous environment.
The terms smooth and rough, used sometimes for qualifying, respectively, low
and high friction of surfaces, can be misleading because under dry conditions
friction generally decreases with increasing surface roughness. Generally, the
geometrically smooth and chemically clean surfaces are those that exhibit
very high friction under dry operating conditions. In lubricated contacts,
where smooth surfaces tend to separate normally due to the intrusion of thin
hydrodynamic films, the surface roughness can prevent the formation of such
films and thereby enhances friction by promoting direct contact between
surfaces. Surface roughness plays an important role in dry friction, but its
role is much more subtle and indirect than merely that of obstructing
relative motion.
8.3.12.1.1 Contact Geometry and the Nominal and True Contact

Under a given normal load, the overall region of contact of solids is
determined by considering the macroscopic geometry of solids (ignoring
surface roughness) and the material properties of the solids. The region is
termed the nominal area of contact and the pressure is known as the nominal
pressure. Because the surfaces are rough, the regions of "true" or "real" contact
between solids are dispersed within the nominal area. Under light and
moderate load, the true area of contact between solids occurs near the asperity
summits, and, as a rule, it is only some small fraction of the nominal contact
area (Fig. 8.3.20).
Consequently, the normal pressure in the true contact is considerably
higher than the nominal pressure based on macroscopic geometry of solids
with perfectly smooth surfaces. In the contact between solids like metals and
alloys, such high pressure may cause plastic deformation of surface asperity.
The first contact between initially undeformed and oxide-free metallic solids
often leads to plastic deformation of asperities. After some repeated loading
and unloading cycles (running in), plastic shakedown occurs, and therefore
even metallic surfaces subsequently resist loads by elastic deformation of
asperities. The surface roughness can be represented conveniently by
FIGURE 8.3.20 Contact between solid surfaces covered with asperity and films of oxides
and contaminants.
744 Savkoor
considering asperity heights (and tip radii) to be distributed randomly.

Greenwood and Williamson [39] presented a simple and useful model of
surface roughness for engineering surfaces (Fig. 8.3.21). The asperities on
engineering surfaces display a random Gaussian height distribution with
standard deviation a. For simplicity, the shape of the asperities in the
neighborhood of the summits is assumed to be spherical with a uniform tip
radius ]~ that represent the sharpness of the surface texture (see Fig. 8.3.21).
The tip radius and the standard deviation are generally correlated with the
average slope of an asperity.
From the viewpoint of material reversibility or damage, the onset of plastic
deformation is an important consideration. A simple criterion for delineating
the elastic and plastic nature of contact deformation is given by the parameter
known as the plasticity index ~. An estimate of ff may be given based on the
Greenwood-Williamson model for describing the surface topography of
surfaces employed in engineering practice. Denoting the plastic yield pressure
of the softer metal in terms of its hardness H and the equivalent elastic
modulus for the two solids by E*, the plasticity index ff is given by
O- F ~-z 9 (39)
The superscript star indicates the combined quantity for the two solids and
their surfaces. The two constants E*,/~* are the equivalent modulus and radius
of asperity tips, and a* denotes the equivalent standard deviation of the peak
height of asperities. Since a* and/~* are related to the average slope of an
asperity, it implies that the average asperity slope governs the transition from
elastic to plastic contact.
8.3.12.1.2 Elastic Contact

In many engineering applications, surfaces of newly manufactured products
are "run in" during some initial period by repeated loading and sliding to
polish or wear out their initially high and relatively sharp asperities. The
plastic deformation of asperities of metals is practically inevitable during the
Ti ra ioso po it Son oviatioo

. . . . . . .
asperityheights
FIGURE 8.3.21 Asperitymodel of surface topography (Greenwood-Williamson).
running-in process, whereas with some other materials running in may result
in brittle fracture of some of the tall asperities. Generally, the repetitive
contact involving loading and unloading cycles results in modification of
surface profiles and, in the case of metals, in workhardening of surfaces. Both
these effects imply that, after running in, the surface asperities of most solid
materials (including metals) respond to any subsequent loading mainly by
elastic deformation (and viscoelastic deformation in the case of polymers).
The true contact at or near the rounded tips of surface asperities may be
visualised as a Hertzian microcontact (see Fig. 8.3.20). Assuming linear elastic
deformation and the Hertzian formula to apply to an asperity contact, the size
of any microcontact is proportional to the two-thirds power of the normal
load carried by an asperity tip. The latter quantity is represented by the
"smoothed-out" nominal pressure p that would result if the surfaces of solids
were assumed to be ideally smooth. Because of the statistical dispersion of
asperity heights, an increase in normal load (nominal pressure) brings an
increasing number (roughly in proportion to the load) of asperity tips into
contact. Although a single asperity contact grows in a Hertzian manner, the
total area of true contact, At, is
Ar oc pn where 2/3 < n G 1 (40)
Under light load (the tail of the Gaussian distribution approximately tending
to an exponential distribution), the mean value of the area of true contact of
an asperity remains approximately constant. The result is that the true area is
nearly proportional to the normal load (n ~ 1). The same relation is obtained
if the loading of asperities should cause plastic instead of elastic deformation
of asperities, assuming that the plastic yielding is characterized by a constant
parameter value such as the hardness of the softer metal. The model explains
why the true area of contact is nearly proportional to the normal load,
irrespective of the mode of deformation of asperities.
Since both normal and tangential forces are transmitted across the true
contact, the true (real) area plays an important role in modeling friction. The
distinction between the true and the nominal areas of contact is essential for
understanding the physical basis of how the properties of solids affect contact
and friction.
8.3.13 ELEMENTARY PHYSICAL THEORY

OF FRICTION
The modern approach to modeling the physical mechanism that explains

friction as a resistance to motion arising from adhesion and irreversible
746 Sa~koo~
deformation of near surface material is credited to Bowden and Tabor [2, 3].
They argued that the proximity of atoms and molecules of solids that is
responsible for cohesion of any single solid should act similarly to bring about
adhesion between atoms and molecules of different solids. The interaction is
mainly concentrated in the region where the contact is intimate between two
distinct solids. However, they considered the interaction of surface asperity on
the microscopic scale of true contact as the scale relevant for modeling both
adhesion and the process of friction between real-world solids. Their so-called
adhesion theory of friction has been generally accepted as a sound qualitative
explanation of the major mechanism of friction.
The Bowden and Tabor theory envisages dry friction to result from two
mechanisms. The primary one is brought about by adhesion between surfaces
in the true area of contact of solids, and the secondary source is the inelastic
deformation while the asperities plough across the material in regions
surrounding the true contact. However, the contribution of "ploughing" to
friction strongly depends on that due to adhesion. Friction by pure ploughing
can occur when adhesion is absent. Ploughing without adhesion involves
deformation of a relatively small volume of material. Even if the deformation
should occur in a largely irreversible manner, it would account for p of utmost
0.15 corresponding to the average slope of asperity of engineering surfaces.
For most solid materials, the contribution due to ploughing would be still
smaller. Adhesion significantly enhances the contribution of the ploughing
component of friction.
The importance of the true contact is linked to the adhesion mechanism
because forces between atoms and molecules of the solid surfaces have a
relatively short range of action. This interaction between surfaces over the rest
of the nominal contact region is insignificant because of their larger
separation. Adhesion between surfaces of solids in the true contact area acts
as a joint or weld that restrains relative motion between the surfaces of solids.
The restraining force is the friction, and hence the limiting force of friction
depends ultimately on the strength of the adhesive joint or "junction." In
essence, the theory considers the force of friction to depend on the true area of
contact as well as on the strength of the individual junctions. The presence
of surface films generally tends to reduce adhesion, leading to the formation
of weak junctions. The low shear resistance of junctions formed between
surface films explains why friction coefficients observed in ordinary atmo-
spheric conditions rarely exceed a value of unity.
Assuming that the joint separates or fractures along or in the vicinity of the
area of true contact, the force of friction, Ft may be expressed in the form
Ft -- Arzf (41)
The area of true contact Ar and the ultimate fracture strength in shear zf are
the two essential variables that determine friction. Irrespective of the mode of
deformation of asperities, if n ~ 1:
FT
Ar c< P yields 12- P cx: "cf (42)
Assuming that l:f remains constant (a property of either one of the materials or
the interface), this rudimentary analysis explains the physical reason behind
the Coulomb friction model, which postulates # being independent of P. More
generally, for values of n between 2/3 and 1:
FT pn-1 (43)
#-~ oc T,s
Assuming again a constant ZS, this gives # oc pk where p is the nominal contact
pressure and k = n - 1 varies between - 1 / 3 and zero, as found generally from
friction experiments.
If the joint fractures along a path that cuts through the subsurface layer
within the bulk material, resulting in wear, the value of zf will be close to the
shear strength of a thin subsurface layer of the solid material. The basic
structure of this model has been refined and extended, amongst others, by
Bowden and Tabor. First, the extended model takes into account the criterion
for plastic deformation under the combined influence of the normal pressure
and the shear stress. Second, the model considers the effect of contaminating
surface films in reducing the shear strength of the adhesive joint.
The contact between freshly prepared metallic specimens generally causes
plastic deformation of asperities because of the intense pressure in the area of
true contact. The plastic deformation determines in turn the size of the true
contact Ar :Ar = P/H, where H is the hardness of the softer of the two
metallic solids. Hence, the area of true contact Ar increases almost in
proportion with the normal load P. Assuming Ar = P/H yields
12 = FT/P = z.f/H, and this gives for many metals an estimate of 12 ~ 0.2
independent of the normal load as in the Coulomb model, but this estimated
value is much lower than that observed in experiments. Bowden and Tabor
later extended this rudimentary calculation by including the effect of shear
traction on the plastic deformation of asperity.
8.3.13.1 PLASTIC DEFORMATION OF ASPERITIES

UNDER COMBINED NORMAL AND TANGENTIAL LOADING
Under the combined action of pressure and shear traction, plastic flow is
predominantly in the direction of the normal. It leads to an increase in the
748 Savkoor
area of true contact. This process, known as "junction growth," may be

studied on the basis of a detailed analysis with a suitable yield criterion (von
Mises or Tresca) and flow rules of the plasticity theory for specific geometrical
shapes and material properties of asperities. Friction experiments on
relatively soft metals suggest an elementary empirical relation for describing
the combined action of average pressure p and shear stress 1: on yielding.
p2 if_ or _ p2 (44)
with
P'c s
Ar = P/p; T = Arz, s = e ( ' c s / p ) = -+ ~ ~ (p2 _ ~gs2) 1/2 (45)
(192 -- ~'s2) 1/2
Large growth of junction occurs with clean and soft metals in vacuum-
producing values of # > 10. In certain experiments of friction of metals such
as indium and platinum, the results suggest a value of a = 12, but the value
-- 3 is found appropriate with gold, silver, copper, and platinum.
However, the value found now is too large compared to the coefficient of
friction of the order of unity found in air. In the ordinary environment,
shearing of relatively weak surface films of oxides or contaminants may be
responsible for early termination of the junction growth. Consequently, the
values of # for metals rarely exceed unity in the ordinary atmospheric
environment. The new extension of the Bowden and Tabor theory offers a
reasonable explanation based on the relative weakness of the adhesive joint in
comparison with the inherent shear strength of both the solid materials. The
shear strength r,f, in this case is the ultimate strength of a thin layer of
interfacial material in adhesive failure. Amongst others, Briscoe and Tabor
carried out experiments on thin films of polymers (from a few nanometers to a
micrometer thick) to determine the influence of normal pressure p on the
shear strength r,f.
These investigations suggest that the shear strength zf increases linearly
with increasing normal pressure, resembling the bulk behavior of polymers. It
is given by
'~S = "~SO+ ~P (46)
where ~:SOand ~ are empirically determined constants, ~SObeing considerably
smaller than the corresponding value for the bulk polymer and the values of
being in the range of 0.08 to 0.57. The lowest values apply to PTFE films, and
the highest values are obtained with PVC (polyvinylchloride) films.
Considering the pressure dependence of shear strength Ft = A , ~ f =
Ar('Cfo +" ap) and assuming P ,.~ A r p ,
tx - F t l P ~ "cS--9-~+ o~ (47)
P
For very large pressure ~---+ ~ and the pressure dependence vanishes
resulting, in Coulomb-like behavior.
Validity of the model: The basis of the theory is the adhesion between
surface atoms and molecules of the contacting solids that bonds the solids and
resists external forces applied to separate the bodies. It explains friction as the
tangential force resisting the rupture of the adhesive bonds between surfaces.
The theory has had a testing time because under ordinary conditions there is
no obvious evidence of any tangible resistance offered by the postulated
adhesive bonding to normal separation of solids in contact. The paradox has
been resolved more recently by analyzing the fracture mechanics of an
adhesive joint by normal separation. The other major problem arises from the
rudimentary nature of deformation analysis, especially the fracture criterion
used to model the strength of the adhesive joint. Some progress made in
addressing these two problems is described briefly in the following section.
Notwithstanding the oversimplified nature of analysis, the basic qualitative
conclusions of this theory have been widely accepted in the field of tribology.
8.3.14 MODELS BASED ON CONTACT,

ADHESION, AND FRACTURE MECHANICS
If the basic mechanism of friction is based on adhesion in the true area of

contact of asperities, it should follow that the force of friction may be
determined by the resistance of the adhesive junction to fracture in shearing.
Similarly, such a junction should be expected to resist fracture when subjected
to a purely normal force, although the strength of the junction in tension may
be quite different from that in shear. A miniaturized version of Hertzian
contact between spheres is a suitable geometrically simple model of contact
between asperities near their smooth and rounded peak.
As mentioned earlier, the "adhesion paradox" remained the most
vulnerable element of the hypothesis underlying the Bowden and Tabor
model of adhesive friction. The explanation of why the contact adhesion is
generally intangible becomes clear from the analysis of Johnson et al. [40] and
that carried out independently by Sperling [41]. The JKRS (Johnson-Kendal-
Roberts and Sperling) (or JKR) analysis extends the basic framework of
contact mechanics by introducing two new elements. The first one is that
adhesion is modeled as a constraint on relative normal displacements of
surface points in contact that can support tensile tractions. The second
element is to represent the action of interatomic forces by an additional source
of energy the surface energy (the work of adhesion). The latter energy is
the product of the specific surface energy 7 and the area of contact.
750 Savkoor
The global energy balance equation, including a surface energy term in the
spirit of the Griffith theory of brittle fracture, has been discussed thoroughly
by Rice [42]. Applying the laws of thermodynamics to the process of
propagation of a Griffith crack in a solid, Rice [43] stated the basic restrictions
that must hold irrespective of the specific structural details on an atomic scale.
The entropy production rate A is
1
A - T /(G - ~)~ ds (48)
where G is the elastic energy release rate or the generalized force due to the
stress field acting on the crack, ~ the specific work of adhesion (in an inert
environment or vacuum), and g the length of the crack (the dot to denote
time derivative).
The second law requirement of non-negative entropy production is
Az0 =~ ( G - 7 ) ~ > 0 (49)
The equality applies only when the process is energetically reversible. This
assumption is implicit in the use of the reversible work ~ in the JKRS
equations. In a reactive environment, the expression of surface energy has to
be modified [43]. The JKRS energy balance approach was utilized to
investigate the influence of adhesion on the Hertzian contact between
spherical surfaces of macroscopic solids with ideally smooth surfaces. The
approach has also been extended to investigate the influence of adhesion
between rough surfaces using a Greenwood-Williamson rough surface model
of micro-Hertzian contact of individual asperities.
8.3.14.1 THE JKRS ADHESIONMODEL
Assuming thermodynamic reversiblity, the JKRS adhesion model minimizes

the total potential energy (free energy) of the system with respect to the size of
the contact. The model predicts that adhesion between two counterformal
solids pressed into contact by a normal load produces contact of a larger size
than that according to Hertz theory for the same load. For the point contact
configuration of a rigid sphere (radius R) pressed against an elastic semi-
infinite solid (half-space), the contact area formed under a purely normal load
P0 has a circular shape with a radius ao. Under the influence of adhesion
(specific adhesion energy ~), the radius of contact increases to a radius al.
= (50)
The most tangible evidence of adhesion is the significant resistance against

separation of solids when a tensile force is applied. The contact can be
sustained under the action of a small tensile force. The equilibrium remains
stable until the tensile "pull-off" force P attains a critical value Pp0. The
contact cannot sustain tensile loads larger than Ppo given by
Ppo -- - 1.5 ~nR (51)
An annular region adjoining the boundary of the enlarged contact area

supports tensile traction. The normal traction in the adhesive contact is
1 1/2 r2/a2)1/2
P(r) -- 2rca 2 (3P1 (1 - r2/a 2) - 6 x T K a 3 (1 - } (52)
Here P1 is the value of Hertzian (ignoring adhesion) normal load that

corresponds to the enlarged contact of radius al. The second term involving
the surface energy term ~ gives rise to a local field of singular tensile traction.
Figure 8.3.22 shows the normal traction in the adhesive contact which varies
from a compressive pressure in the central region to a singular tensile traction
towards the contact boundary. It is also seen in this figure that the deformed
shape of the surface at the contact boundary has a vertical tangent
characteristic of the square-root singularity of the traction. Considering the
geometry of the gap surrounding the contact as an external crack, the JKRS
model falls neatly into the standard framework of linear elastic fracture
mechanics (LEFM). It admits alternative formulations in terms of the strees-
intensity factor, the energy release rate G (or the J integral). In terms of the
intensity factor KI corresponding to the crack-opening mode in the linear
elastic fracture mechanics: tTij]r___~ a = KIp-1/2~ at equilibrium,
KI- - (53)
FIGURE 8.3.22 Influenceof adhesion on the surface contour of a solid and the normal pressure
in the "larger than Hertzian" contact area with radius al. A region near the contact boundary bears
tensile traction.
752 Savkoor
The size of the contact corresponds to the stress-intensity factor at

equilibrium (crack) of radius al. The constant KIE expresses the fracture
toughness of ideal solid-to-solid interface in resisting the crack movement by
normal separation. The interfacial strength KIF in mode I (normal separation)
is related to the surface energy (the reversible work of adhesion) ~, as given
by Eq. 52 if the process of adhesion is reversible, as is assumed in the
JKRS analysis.
Domain of validity: The resolution of this paradox by Johnson et al. [40] is
undoubtedly an important milestone in the tribology of adhesion between
solid materials. The JKRS model applies to Hertzian contact of solids
(considered semi-infinite with respect to the extent of the contact) under a
purely normal load and it extends the analysis load by including normal
adhesion. Just as in the Hertz analysis, the model ignores interfacial friction. It
holds for elastically similar materials. In the contact between dissimilar
materials, shear traction arises at the interface due to friction even under
purely normal loads. However, the influence of contact friction leads only to a
minor modification of the JKRS model. The more serious limitation is the
assumption that adhesion is a reversible process. There is insufficient
experimental evidence concerning any damage to surface films that might
occur during the process of normal separation.
8.3.14.2 TANGENTIAL LOADING OF ADHESIVE

CONTACT, MODELING OF STATIC FRICTION
As discussed earlier, adhesion in the form of static friction that constrains

relative tangential motion (slip) in the contact of solid surfaces is a well-
established concept in the field of contact mechanics of solids (both static and
rolling). From a basic physical viewpoint, it would be more consistent to
interpret the role of adhesion more explicitly, as a "joint" that imposes a
general constraint on all components of relative displacements. It includes the
JKRS case, where adhesion resists only the normal separation of surfaces. In
this sense slip may be envisaged as a local failure or fracture by tangential
separation of the adhesive joint, and the Coulomb friction model has no
fundamental significance other than as one of the possible criteria of
interfacial failure. More generally, the prediction of slip in the friction model
is based on an appropriate criterion of fracture mechanics rather than the
friction "law" of Coulomb. The model based on fracture of an adhesive joint
implies that the role of normal pressure in the process of friction, if any, can be
regarded as minor and indirect. It is conceivable that normal pressure exerts
some influence on the strength of the interface through some mechanism such
as compaction of the boundary layer.
8.3.14.2.1 Effect of a Tangential Force on Contact in Adhesion

(Initial Peeling of Surfaces)
The effect of a tangential force on the contact of solids with Hertzian
configuration has been analyzed by Savkoor and Briggs (S-B) [44]. The
starting point of their analysis is the contact of spherical bodies under a purely
normal load in the presence of adhesion such that the contact area formed is
larger than the Hertzian area as described by the JKRS theory. The application
of a (constant) tangential force T (say, along the x-axis) makes an additional
energetic contribution which depletes the total energy of the loaded system.
The system seeks a new state of equilibrium where elastic energy is released at
the expense of the adhesion energy of the surface in contact. Starting from the
initial situation (JKRS) of purely normal loading of solids in the presence of
adhesion, the application of a tangential force T results in a new equilibrium
solution for the contact area of radius al, given by
a31 _ 3R(14E- v2) P0 4- 3~,rcR 4- 6~,rrRP04- 9)'2/l;2R 2 - ZK

16 r (54)
Clearly this result of the S-B analysis shows that the initially "greater-than-
Hertzian contact" under a purely normal force (JKRS model) decreases
monotonically with increasing tangential force. The tangential force, as it were
"peels" the adhesive joint by a process of normal separation of surfaces
of the solids.
The problem can also be formulated in terms of the stress-intensity factors
of the linear fracture mechanics theory. These intensity factors which
represent the strength of the stress-singularities (square-root type) in points
close to the boundary of the contact area may be derived easily from
the solutions of the contact problem for normal and tangential traction. The
singularity of the normal tensile traction at the contact boundary yields
the stress-intensity factor KI. The singular shear traction directed along T may
be decomposed into in-plane KII and antiplane KIII components. The joint
contribution of the stress-intensity factors of modes I II, and III to the total
energy release rate G is
1 2
G - ~--~{(1 - v)(K 2 4- K2II) 4- KIII} (55)
The equilibrium size of a Griffith crack (contact) is determined by the
condition that G equals the reversible work of adhesion 3) of the interface.
While all three modes (stress-intensity factors, KI, KII, and Kin) occur
754 Savkoor
simultaneously and contribute jointly to the energy release rate, the actual
crack growth is supposed to take place by the opening mode only. The
necessity of invoking some assumption regarding the prospective path of
crack growth arises because the specific mode of fracture cannot be
determined from the energy balance criterion alone.
The result predicted by this model in the form of Eq. 54 is in qualitative
agreement with experiments with glass on rubber described in Reference [44]
and the experimental observations of Barquins [45] for similar materials. In
friction experiments of Homola et al. [46] on mica, there was no observable
effect of tangential force on the size of the contact area. Surprisingly, the JKRS
adhesive contact appears to persist even under negative (tensile) normal load.
According to Eq. 53, a real solution requires that T is smaller than a limit
force To given by
4
To -- 4- (27~RPo4- 372~2R2)1/2 (56)
At the point T - To, the system attains a state of neutral equilibrium. The
equilibrium becomes unstable for higher values of T because the energy
release rate exceeds the rate of energy absorption by the surface. The force To
is the peeling limit of static friction. It is of interest to note that the peeling
limit force To can be significant because it does depend upon the normal load
P0. Consequently, the tangential force, even in this early phase of static
friction, is already much larger than the pull-force in normal adhesion.
For T ) T o , there can be no equilibrium and the authors came to the
conclusion that the instability will cause the size of the contact to decrease
rapidly by peeling unto its Hertzian size corresponding to the normal load.
The last conclusion has not been verified experimentally for elastomers.
8.3.14.2.2 Interfacial Strength (Toughness) in Mixed Mode Loading

(Transition from Peeling to Sliding)
The criterion of fracture in the previous work is based on the assumption
that interfacial strength in the opening mode is the work of adhesion
7 of creating two free surfaces. The parameter 7 is constant regardless
of the presence or absence of the shear intensity factor Kn. Indeed,
if one assumes an ideal Griffith-like brittle fracture, it should be possible to
achieve perfectly reversible processes of normal adhesion (JKRS) and
incipient static friction. Recent experimental work on interfacial strength
under mixed mode loading indicates that strength or toughness increases
with the contribution of mode II. Following Hutchinson [47], the typical
behavior of interfacial toughness Gc operating under a mixed mode loading
(KI and Ku) is expressed by

Gc(~t) - Go (1 4-tan2~p) (57)
where Go(if) = tan -I(Ku/K~). The factor ~ denotes the so-called phase of the
stress-intensity factor of the combined mode. This would mean that Ku
contributes not only to the applied energy release rate for propagating the
crack but also to the resistance of the interface to fracture in the opening
mode. Recently, in the context of the S-B model, Johnson [48] took into
account the increase in fracture strength (toughness) due to the influence of
mode II. He was able to explain why the stable peeling observed by Briggs may
continue with increasing T well beyond the critical force To. If tan ff = 1, the
effect of increasing Ku is compensated fully by the increased strength, and the
tangential force has no effect on the size of the JKRS. It is suggested that this
situation may apply to the experiments [46] on thin sheets of mica, which
seem to show the JKRS contact is sustained during frictional sliding. However,
no specific details are reported concerning their observations of the transition
from the static to the sliding friction. Moreover, as discussed earlier, the
inerpretation of these results is not yet clear because the JKRS analysis does
not apply to such experimental configurations.
The physical explanation of the effect of Ku on the interracial toughness
may be sought in the microprocesses of blunting the crack tip or shielding
by small-scale plastic deformation. It would seem that these effects are
inherently irreversible from the energetic viewpoint and perhaps also from
considerations of material (damage) in the interracial layer. This implies that
the interfacial toughness Gc may not be related to the reversible work of
adhesion 7. Different equilibrium states (solutions) may be reached depending
upon how the contact approaches the particular state. More detailed
experimental work is needed to check the aspect of reversibility of both
JKRS and S-B analyses in order to understand these basic aspects.
Qualitatively, the important aspect that comes to light is the interaction
between adhesion and friction which results in peeling of the adhesive joint in
a manner similar to that caused by a purely normal tensile force.
The transition from static to kinetic friction after the peeling phase
is modeled in a manner that is qualitatively similar to that in the
Cattaneo-Mindlin problem described in Section 8.3.9. However, unlike in
the Cattaneo-Mindlin model, where slip is initiated according to the local
Coulomb model, the analysis based on the fracture mechanics approach [49]
considers slip as a mode II fracture and includes a constant (relatively low)
postfracture residual strength independent of the normal pressure.
Application and validity: the JKRS model of adhesion and the S-B model of
peeling caused by a tangential force have been used to study the group
behavior of small particles (powders). A tacit assumption in the theory is that
756 Savkoo~
the contact fails or grows in a self-similar manner. This is only approximately

true, because the energy contributions of modes II and III are not equal.
Consequently, the shape will not remain truly circular. Ignoring the small
deviation from axial symmetry, the main physical assumption in the theory is
that the energy released goes towards the initiation of the "opening mode" of
the crack. The local slip is considered as a mode II fracture and the Coulomb
friction law is not invoked. It is important to emphasize that the models
described here are considered speculative, and hence they are of interest to
research scientists rather than to practicing engineers.
8.3.15 M O D E L S B A S E D ON FRICTION ON
THE ATOMIC SCALE
More recently, mainly physicists have taken lively interest in modeling friction
on the nanoscale of atoms, supported by experimental work on clean and
smooth surfaces using specialized apparatus and nearly ideally defined
geometry and materials of the test specimen. The foremost aim is to study the
nature of contact and friction under ideal and well-defined conditions by
removing much of the complexity arising from roughness and contamination
of practical surfaces. Various hypotheses have been put forward based on
atomic interactions where the primary dissipation of mechanism is explained
by the production of phonons. Computational models to simulate atomic
interactions are made, and the simulation of interactions is based on the
equations of molecular dynamics described by Landman et al. [50]. The
models have successfully predicted the influence and structural behavior of
thin and well-defined liquid films squeezed between ideal solid substrates.
However, such simulations are highly computation intensive, and it remains
to be seen how long it takes before issues of adhesion and friction of practical
surfaces can be tackled with this approach.
8.3.16 CONCLUDING REMARK
There is yet no unified quantitative theory that can reliably predict friction
from the knowledge of all measurable physical variables that are deemed to
govern friction in any specific situation. The presence of several kinds and
variable amounts of ill-defined foreign materials (contaminants) in the
interfacial region makes it virtually impossible to derive quantitative estimates
of the absolute magnitude of friction from basic physical properties of solids.
For engineering calculations the interfacial frictional properties are generally
8.3 Models of Friction 75 7
characterized by the local Coulomb model of friction based on a

nondimensional number known as the coefficient of friction. The coefficient
of friction depends on the normal load, the relative motion, the material
properties of the solids, and even more critically on surface conditions (any
foreign materials in the interface).
Although the precise modeling and controlling of friction, even today,
remains in its infancy, considerable progress has been made in understanding
the nature of friction that led to the formulation of models expressing the
dependence of friction on a number of important operating variables. The
models describe functional relations for extrapolating the magnitude of
friction that is empirically determined at some fixed values of the variables.
The modeling of the constitutive relation of friction takes into account the
following elements:
1. the magnitude of the static friction and its dependency on the time of
static contact;
2. the variation of the stationary value of kinetic friction with sliding
velocity in uniform sliding (without stick-slip);
3. the influence of interfacial temperature on the magnitudes of static and
kinetic friction;
4. the dependence of the magnitudes of static and kinetic friction on the
normal pressure;
5. the transient nature of friction in nonstationary sliding motion that
includes at least one hidden state variable.
However, a proper application of such relations requires understanding of the

physical background and the domain of validity of each model. When
interpreted correctly, the models offer adequate guidance for avoiding pitfalls
and saving labor involved in extensive empirical testing under real-life,
practical situations.
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758 Sa~koo~
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for frictional contact accounting for wear effects. Phil. Trans. R. Soc. London A354: 819-843.
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o
37. Canudas De Wit, C., Astr6m, K. J., and Braun, K. (1987). Adaptive friction compensation in
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solids. Proc. Roy. Soc. London A324: 301.
41. Sperling, G. (1964). Eine Theorie der Haftung yon Feststofteilschen an festen Koerpern.
Doctoral dissertation, Fakultaet der Machinenwesen, T. H. Karslsruhe (Germany).
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Solids 26: 61-78.
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elastic solids in adhesion. Proc. Roy. Soc. London A356: 103.
45. Barquins, M. (1987). Adherence, frottement et usure des elastomeres. Kautschuk/Gummi
Kunstoffe 40 (5): 410-438.
46. Homola, A. M., Israelachvili, J. N., McGuiggan, P. M., and Gee, M. L. (1990). Fundamental
experimental studies in tribology: The transition from "interfacial" friction of undamaged
molecularly smooth surfaces to "normal" friction with wear. Wear 126: 65-83.
47. Hutchinson, J. W. (1990). Mixed mode fracture mechanics of interfaces, in Metal-Ceramic
Interfaces, Acta Scripta Metallurgica, pp. 295-306, Pergamon Press.
48. Johnson, K. L. (1996). Continuum mechanics modeling of adhesion and friction. Am Chem.
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49. Savkoor, A. R. (1992). Models of friction based on contact and fracture mechanics, in
Fundamentals of Friction Macroscopic and Microscopic Processes, pp. 111-133, Singer, I. U, and
Pollock, H. M., eds., NATO ASI Series E. Dordrecht: Kluwer Academic Press.
50. Landman, U., Luedtke, W. D., and Ringer, E.M. (1992). Molecular dynamics simulations of
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Dordrecht: Kluwer Academic Press.
SECTION 8.4
Friction in
Lubricated Contacts
JEAN FRI~NE1 and TRAIAN CICONE2
1Laboratoire de M~canique des Solides, Universit~ de Poitiers, France
2Dept. of Machine Elements and Tribology, Polytechnic University of Bucharest, Romania
Friction is the resistance to motion that occurs when one body slides
over another. The definition can be extended to the motion of a solid
body in a fluid. The resistive force acting in the opposite direction of the
relative motion is known as the friction force. The friction force has two
forms: the force required to initiate sliding, known as the static friction
force, and the force necessary to maintain the sliding, called the kinetic
friction force.
In 1902, R. Stribeck [1] presented experimental results on friction in
plain and rolling-element bearings. His results were summarized on curves,
which show the variation of friction versus relative speed. These curves
are very general and can be used to present the different phenomena
that occur in lubricated contacts. Figure 8.4.1 shows the variation of
friction versus surface velocity for a plain journal bearing. Similar results
can be presented for any other type of conformal contact like bearings
(i.e., plain or tilting pad thrust bearings and journal bearings). The
Stribeck's curve can be also plotted for a lubricated nonconformal contact
like that in gears, cams, and rolling-element bearings (i.e., ball and
roller bearings).
The original Stribeck's curve was only a small part of the curve given in
Figure 8.4.1. This figure shows that different regimes of lubrication can occur
in a lubricated sliding contact, depending on the relative speed. These regimes
also depend on the pressures occurring in the lubricating film. For conformal
contacts (distributed contacts with low contact pressure), four different
regimes of lubrication can be put in evidence. In the case of nonconformal
contacts (concentrated contacts with high contact pressure), regime IV is
impossible to be found. Table 8.4.1 shows the different lubrication regimes
that can be found in lubricated contacts. Generally, the transition from one
regime to another cannot be precisely defined. These regimes will be
successively described in following text.

8.4 Friction in Lubricated Contacts 761
FIGURE 8.4.1 The Stribeck's curve.
TABLE 8.4.1 Regimesof Lubrication

Conformal contacts: Nonconformal contacts:
low contact pressure high contact pressure
Regime I Boundary lubrication Extreme pressure (EP) lubrication
Regime II Mixed lubrication
Regime III Hydrodynamic ( H D ) Elastohydrodynamic (EHD)
lubrication lubrication
Regime IV Superlaminar flow
Regime I is called boundary lubrication for conformal contacts, whereas

for nonconformal contacts, this regime is known as extreme pressure
(EP) lubrication.
Boundary lubrication is defined [2] as a condition of lubrication in which
friction between the two surfaces in relative motion is determined by the
properties of the surfaces and by the properties of the lubricant, other than
viscosity. A very thin lubricated film (of order of 100 A) is formed on metallic
surfaces, either by physical adsorption of polar molecules or by chemical
adsorption. This film separates the opposite surfaces in relative motion,
reducing friction and preventing surface damage (Fig. 8.4.2). Polar oils such
as esters or fatty acids are very efficient in forming lubricant layers. The
coefficient of friction is in the range of 0.05 to 0.15, depending on the metal
sliding combination and on the nature of the lubricant.
The main feature of boundary lubrication in comparison with solid-to-
solid contact is that although the reduction in the friction coefficient is less
76 2 Fr~ne and Cicone
FIGURE 8.4.2 Boundary lubrication model.
important (2 to 10 times), the reduction in wear is quite impressive (by a

factor of 102 to 104).
For very high contact pressures and for high shear stresses the adsorbed
layers do not remain on the metal surfaces, so that extreme pressure (EP) films
must be generated in the contact to protect the surfaces and to prevent
seizure. An extreme pressure film is formed by nonreversible chemical
reactions between special extreme pressure additives, which are included in
the lubricant, and the metallic surface. These additives can be lubricant
molecules with sulphur, chlorine, and phosphorus or inorganic films formed
in the contact on metal surfaces (due to local pressure, shear stress, and
temperature). The friction coefficient is also between 0.05 and 0.15,
depending on the metal surfaces and the nature of the lubricant.
Regime III corresponds to hydrodynamic (HD) lubrication for low-pressure
films, or to elastohydrodynamic (EHD) lubrication for high-pressure films.
For low-pressure films (i.e., mean pressure between 10 s and 10 7 Pa) and
negligible elastic displacements of the bearing surfaces, the hydrodynamic
regime is observed. The film thickness is quasi-proportional to lubricant
viscosity and to surface relative speed. In this case, the Reynolds equation can
be used and the bearing characteristics can be calculated [3]. For a sliding
contact in isothermal conditions, the friction force is given by
F - k #VS (1)
have
where # is the fluid viscosity, V is the relative speed, S is the area of the
contact, have is the average film thickness, and k = 0.4 to i is a correction
coefficient depending on the bearing configuration. The hydrostatic (HS)
lubrication is similar to hydrodynamic lubrication except that the pressure
field does not influence the friction. Equation 1 can also be used.
For an unloaded circular journal bearing, the friction torque, Ca, is
given by
Ca -- 2rc#c~ (2)
C
where # is the dynamic viscosity, co is the angular velocity, R is the bearing

diameter, L is the bearing length, and C is the bearing clearance. With the
increase in load and the consequent increase in eccentricity, the value
calculated with Eq. 2 gives a good approximation up to an eccentricity ratio of
= 0.6, since the friction torque remains practically constant. For greater
eccentricities, the friction torque sharply increases so that it is 4 times greater
at e - 0.9 (i.e., for highly loaded bearings). Figure 8.4.3 shows the variation
of the nondimensional friction torque, Ca, versus the eccentricity ratio, e, for
various L/D ratios, in the case of a plain journal bearing.
It is worth mentioning that, in the case of hydrostatic and hydrodynamic
bearings, the use of the friction coefficient must be avoided. Its values can
vary between zero or a very low value (10 -6 or 10 -7) to infinite, depending
on the speed and on the load. The following two examples are very suggestive:
1. The Hale telescope on Mount Palomar [4] is supported by three groups

of two hydrostatic thrust bearings. The telescope mass is approximately
450 000 kg, and it is driven by only a 60 W electric motor; this power is
considerably in excess. Correspondingly, the friction coefficient is less
than 10 -6 . The very low friction is due to the fact that the rotational
speed of the telescope is only i rev./24 h.
Notations
q= - ............. L I D = 0. 25 I
- bearing diameter, D.
- L/D=I /!'
...... LID = O. 5 ]|
e
L/D= 2 - eccentricity ratio, e - - - ;
Id
i|
60 _ ..____.. L / D = = <
C
cr e where, e is the eccentricity of the
shaft in respect with the bush center.
40 Ii
'e
/ -
I ,"
I, ~
._r "
2O ~ .
.~
0 _ I , [ w
0 0,5 1
eccentricity ratio, e
FIGURE 8.4.3 Friction torque in an HD journal bearing [3].

764 Fr6ne and Cicone
2. The hydrodynamic journal bearings of a centrifugal pump working in a

vertical position do not carry any load except the very small unbalance.
The friction torque is given by Eq. 2, and correspondingly, the friction
coefficient can be written as
co (3)
f - RW
Since the applied load, W, is almost zero and the friction torque, Ca, is
not equal to zero, the friction coefficient, f, tends to infinite.
These two examples illustrate that the friction coefficient should not be used
for hydrostatic and for hydrodynamic lubrication.
For high-pressure films (i.e., for mean pressure from 2.108 up to
3.109 Pa), both the surface elastic displacements and the lubricant viscosity
variation with the pressure should be taken into account. The viscosity
increase with pressure (called the piezoviscous effect) can be as high as 50
times the viscosity at atmospheric pressure. On the other hand, the elastic
deformations of the surfaces, even small, can be two or three times the
minimum film thickness, so that cannot be neglected. Similar effects appear in
high compliant conformal contacts, even at medium contact pressures (for
example, in connecting-rod bearings). This regime is called elastohydro-
dynamic (EHD) lubrication. Because of the complexity of the phenomena,
there is no simple equation to calculate friction. Usually frictional effects are
defined in terms of traction coefficients and are given in graphical forms.
Some typical traction curves for the roller-bearing case are presented in
Figure 8.4.4.
Regime II corresponds to mixed lubrication in which several mechanisms
act simultaneously. This regime is a transition regime between boundary
lubrication and hydrodynamic lubrication for low-pressure films or between
extreme pressure lubrication and elastohydrodynamic lubrication for high-
pressure films. In these cases, by viscous effect, surface motion carries on the
lubricant into the contact film to generate hydrodynamic or elastohydrody-
namic pressure, which tends to separate the contact surfaces. Because of
waviness and roughness effects, part of the contact is fluid film lubrication
and part of the contact is still in the boundary lubrication regime or the
extreme pressure lubrication regime (Fig. 8.4.5). As the friction for full fluid
film lubrication is smaller than that corresponding to boundary or extreme
pressure lubrication, the overall friction decreases as the hydrodynamic or
elastohydrodynamic effects increase.
Regime IV is characterized by superlaminar flow in hydrodynamic
lubrication. This regime occurs for high-relative-speeds, low-viscosity
lubricants or very large dimensions.
8.4 F r i c t i o n in L u b r i c a t e d C o n t a c t s 765
1"5'i I i ,'- . . . . . . . . . . i
1
I i ' !
l.o ..........................i-...................... !. . . . . . . . ~ ~ ' ' : " - - " ' ~ , ~
/ i i/Li" .,,@"*- _.I < 0 G" I.o+7
="1 .................. t .............. .......

a G - l.e+6
" o.o-t ................... - . . . . . . - - . ~ ~ ....... !.................

mlli~(lm m i r a e l l loH N I N I OOl
~ i.~:/:.~ i + G - S,e+5
-o.,-I ......... :,..,L-i-,,,:--:.tTJ4- .................... i ..................

l i B e l i W l i I ,ISlSll I -- --I
X G - 2.0+5
o Q - 1.i+5
-I.S ; i . . . . . . . . .
-10.0 -S.O 0.0 S.O iO.O
SLIDIN@ RflTC (UI-b'2)/(UI+U2) lY.)
G - transversal m o d u l u s of
elasticity
F I G U R E 8.4.4 Typical traction curves for a cylindrical contact [5].
F I G U R E 8.4.5 Mixed lubrication model.
In journal bearings, Taylor vortices first appear, and then turbulent flow is
gradually developed. The transition between laminar flow and Taylor vortices
is defined when the Taylornumber,
T=pcoRC
/x
v~~- 9t V/~~ (4)
reaches the critical value Tc = 41.2 - 38~ + 63.33~ 2 [6].

766 Fr6ne and Cicone
L/D = 1
q~
. ,. C/R = 0.003
" J ,
,, ,
Id 20o C~-,~':237o | 7~o

= | ~:,;74o |
g (~) ~ ' : 17776
100
o o.s 1
eccentricity ratio e
FIGURE 8.4.6 Nondimensional friction torque in superlaminar regime [6].
It is generally assumed that the turbulent flow is fully developed when the
Reynolds number, ~R = pVh/#, is twice the critical value, which marks
the appearance of first vortices.
Nonlaminar flow in the film drastically increases the friction dissipation in
the bearing. The turbulent shear stresses, Zxy, on the bearing surface can be
approximated by:
h c3p ~_V ~0.94
Zxy(Y- 0, h ) - _ ~ ~x + (1 + 0.0012. ) (5)
where p is the fluid pressure and p is the fluid density.

For the plain journal bearing case, the nondimensional friction torque, Ca,
largely increases with the average Reynolds number, as shown in Figure 8.4.6.
For thrust bearings, some kind of G6ertler vortices appear before turbulent
flow. The transition, which marks the end of laminar flow, is obtained for the
critical Reynolds number:
580 < ~Rc < 800 (6)
REFERENCES
1. Stribeck, R. (1902). Die Wesentlichen Eigenschaften der Gleit und Rollenlager. Zeitschrift Vereines
deutche Ingenieure. 46 (38): 1341-1348, 1432-1438; 46 (39): 1463-1470.
2. O'Connor, J. J., Boyd, J., and Avallone, E. A. (1968). Standard Handbook of Lubrication
Engineering, McGraw-Hill Book Company.
3. Fr~ne, J., Nicolas, D., Degueurce, B., Berthe, D., and Godet, M. (1997). Hydrodynamic
Lubrication. Bearings and Thrust Bearings, Tribology Series No. 33, Amsterdam: Elsevier.
4. Fuller, D. D. (1956). Theory and Practice of Lubrication for Engineers, New York: John Wiley
and Sons.
5. N~lias, D. (1999). Contribution h l'~tude des roulements, Habilitation h Diriger des Recherches,
INSA de Lyon, Universit~ "Claude Bernard" Lyon I.
6. Fr~ne, J. (1974). Regimes d'~coulement non-laminaire en films minces. Application aux paliers
lisses. Th~se de Doctorat es Sciences Physiques- Universit~ "Claude Bernard" Lyon.
SECTION 8.5
A Thermodynamic
Analysis of Wear
Hug DUONG BuI, MARTA DRAGON-LouISET, and CLAUDE STOLZ
Laboratoire de M~canique des Solides, Ecole Polytechnique, 91128 Palaiseau, France
Contents
8.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . 768
8.5.2 General Thermodynamical Considerations
on Wear Phenomena . . . . . . . . . . . . . . . . . . . . 769
8.5.2.1 Analysis of Entropy Production ... 770
8.5.3 Global Approach of the Interface
Behavior Laws . . . . . . . . . . . . . . . . . . . . . . . . . . 771
8.5.3.1 Interface Study . . . . . . . . . . . . . . . . . . . 771
8.5.3.2 Wear Criteria . . . . . . . . . . . . . . . . . . . . 775
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 775
8.5.1 INTRODUCTION
Wear phenomena due to contact and relative motion between two solids
depend on the loading conditions and material mechanical behaviors and are
characterized by a loss of materials. Particles are detached from sound solids
~1, ~'~2when some criteria are satisfied at the boundaries Fi (i - 1, 2) between
~'~i and the complex medium ~23, called hereafter the "interface", with some
wear rates ~i (normal component of the velocity). The interface is a com-
plex medium made of detached particles, eventually a lubricant fluid, and
damaged zones. Macroscopic descriptions of the interface are known in
the literature [1-4]. Recently, Dragon-Louiset [5,6] and Stupkiewicz and

8.5 A Thermodynamic Analysis of Wear 769
Mr6z [7] introduced microscopic scale models in order to derive macroscopic

laws. A thermodynamical analysis of the evolution of the moving surfaces Fi
is provided by Zmitrowicz [8], Dragon-Louiset and Stolz [9], and Stolz and
Pradeilles-Duval [12]. The evolutions of the damaged surfaces are complex,
particularly in the transient phase of the interface life. However, for particular
geometry of the interface, and for the steady state case, with constant fluxes of
materials, continuous wear states can be studied experimentally. There are
useful wear criteria, such as Archard's law [10], but most of them depend on
experimental conditions and cannot be used for other geometry or for
different loading conditions.
In contrast with the eulerian description used in References [5, 6], we
reconsider the model of the interface given in References [5, 6, 11], using
rather the lagrangian approach. In this paper, the interface description is
based on given macroscopic laws and differs from the one derived from
microscopic considerations in Dragon-Louiset [5,6]. The local approach
allows us to make a distinction between mechanical quantities evaluated
on a given geometry and for specific loading conditions and intrinsic
ones associated with any moving wear surfaces Fi. Our approach to wear
criteria is based on the energy release rate like quantities, similar to
Griffith's theory in fracture mechanics. All these quantifies, some of them
accessible to experiments, make it possible to better define wear criteria and
w e a r rates.
Throughout this article, we make the small perturbations assumption.
8.5.2 GENERAL THERMODYNAMICAL

CONSIDERATIONS ON WEAR PHENOMENA
We consider a system consisting of two sliding contacting solids (~'~1 and ~22)
and the contact interface zone f)3, having some mechanical properties which
are assumed to be known and described by usual laws of continuous media
(Fig. 8.5.1). Such interface laws may be understood in a macroscopic sense, as
average or homogenized through the thickness of ~23 (for a model of
macroscopic laws issued from microscopic considerations, see Dragon-
Louiset [5, 6]). The interface thickness is small compared to the size of the
tribological system; it results from damage mechanisms occurring in sound
solids at Fi. Outside the damaged process zones in both solids the behavior
laws are described by the free energies ~/i and the dissipation potentials di. As
a result of wear mechanisms, the boundaries Fi m o v e with the velocities t~in i
in the reference configuration. Along the boundary, we define If ]ri - f / + - f / -
with the (+) sign in ~2i, ( - ) sign in F13.
770 Bui et al.
~3 1
r2
FIGURE 8.5.1 The contact interface.
By expressing the conservation laws in ~"~i and across Fi as in

References [6,9,12], we get the following equations for the quasi-
static case:
9 Mass conservation (v: velocity; [2i" mass flux; p: density; a: stress):
/5 + div(pv) - 0 in f2i, Pi = Pir on Fi (1)

9 Momentum conservation:
div2pta - 0 in f2i, ni" [a]r,- 0 on Fi, (2)

9 Energy balance (q: heat flux; ~: strain; Z: internal energy; s: entropy;
T: temperature):
pj~=a : ~-divq in ~2i, (3)
Pi[6 + sT]r,-ni.a.[V]r,+[q]r, .ni = 0 on El.
On each moving surface, using the second conservation law (Eq. 3), one can
show that there exists a heat source along Fi, with the density
#iGth -- Pi[6 + sT]r,-ni.a.[v]ri (4)
8.5.2.1 ANALYSIS OF ENTROPY PRODUCTION
The internal entropy production is positive and consists of different kinds of

separately positive contributions:
9 volumic thermal conduction:
Dth -- - q . V T / T 2 >_ 0 (5)
9 volumic intrinsic mechanical irreversibility:
Dm -- -~1(~" g r a d v - p ( ~ + s T ) ) _>0 (6)

9 and surface (or line in two-dimensional problems) irreversibility terms:

1
Dr -- -~ (#i[0]r,-ni.~.[v]vi) >_ 0
If at any point of Fi the mass flux vanishes ~i = 0, the displacement u is

continuous, the velocity jump is [v]r i = 0, and then Dr = 0. This means that
the last dissipation Dr is a characteristic of material loss, i.e, the part of
dissipation due to wear.
8.5.3 GLOBAL APPROACH OF THE INTERFACE

BEHAVIOR LAWS
At each front Fi, the normal ni is directed toward the sound solid. The
interface of thickness e = 2h(x, t) is defined by its mean surface F. The total
dissipation per unit area of F is given by
D -- D3dz + . ~ F,
where D3 is the volumic dissipation of the interface medium:
D3--{-q.VT/T 2 +-1T(a" g r a d v - p(q~ + s~))}f~3 (9)

The total global dissipation associated with each surface contact element
contains two distinct terms, D3 due to friction associated with relative
movements of solids, and terms on Fi due to the fluxes of material losses
(ill and #2)-
For a given mechanical behavior of the interface ff~3, issued either by
experiments or by micromechanical considerations as was done in References
[5,6], the resolution of the evolution equations of a strip of height e(x),
subjected to uniform loadings, with the surfaces z = +h sliding with the
relative velocity V, may give separately the dissipation rates by friction
and by wear.
8.5.3.1 INTERFACESTUDY
The displacement is assumed to be continuous across the sound solids

and the interface. Let us describe the tribological system f~l, f~2, f~3 by
772 B u i et al.
considering the interface f~3 as an abstract medium with some surface

energy ~s and dissipation potential Ds to be defined hereafter. The mean
surface 1-" is defined by S(x, t) -- 0. At each point x of 1", with the normal n(x),
we define the surfaces r'l and r'2, respectively, by x 4. h(x,t)n(x) and
x - h(x, t)n(x).
We introduce the convected differential Drf of functions f (scalar, vector)
with respect to F,
f (x 4. endt, t 4- at) - f (x, t)

Drf(x, t) := limav-,o
dt
In particular, we have for the evolution of the middle surface
DrS(x, t) -- 0,
Dr(x + h(x, t)n(x)) -- r n, Dr(x 4. h(x, t)n(x)) - r
Dr(x) -- en, Dr(n(x)) -- divr(r
At each Fi, the displacement u is continuous, and the velocity fields v

satisfy the Hadamard condition D r [ u ] / = 0, or equivalently
[v]r ,4.r = 0 (10)
The total dissipation takes the form
D= D3dz+ . (11)
where Gi and G3i are the same expressions as given in References [5, 6]:
Gi = PiOi - ni.~i.Vui.ni (12)
G3i -- P3il//3i - ni.~3i.Vui.ni (13)
In Eq. 11, the two dissipation terms are of different natures. The first one,
volumic at the origin (or at a microscopic scale in Reference [5]), becomes a
surface dissipation by the thickness average process, per unit contact area
(the macroscopic scale in Reference [5]). It corresponds to friction, which
depends on the characteristics of f~3. The complementary terms in Eq. 11 are
due to wear rates r which depend on the characteristics of both media ~'~i
and ~"~3 9
Let us consider the isothermal evolution of the interface under uniform

temperature. The global dissipation is written in the following form:
D-l{f (a3"gradv3-P3~3)dz+~~i(Gi-G3i)}>_O/ (14)
It follows that a global approach of wear can be done by means of surface-

free energy defined a priori on F. The interface of thickness 2h is
characterized by the free energy per unit volume ~3 and the local strain ~.
We define the surface energy by
- (2ps(x)h(x)) -1 f p(x,z)~3(e(x 4- zn))j(x,z)dz (15)

J2 h
where j(x, z) is a scalar which takes account of the curvature of F (case of

wear in rotors, for example). The associated mass Ps is defined as
Ps - ( 2 h ( x ) ) - l f p(x,z)j(x,z)dz (16)
J2 h
The section of the interface of thickness 2h is in equilibrium with external

loads. Since the displacement fields are continuous on Fi, the surface energy
~s is a function of the displacement fields and internal parameters a,
discussed later. The global potential energy of the tribological system can be
written as
d.tl i all
where ul = u(x 4- hn, t) and u2 = u ( x - h n , t). At equilibrium, cr -- picg~i/c%

and divcr -- 0 on F~/.
In the case of the nonviscous interface, one has g.ni = 2p~hc3~s/OUion Fi.
In the case of the viscous interface, for a given dissipation potential
D3 --d(k; 0~) a similar average through the thickness can be done giving the
surface dissipation Ds(Vl, v2; 0~):
2PshDs(vx,v2) -- f pd(k(x 4- zn); ~)j(z)dz (17)

d2 h
Equation 17 yields
= 2psh(a ,s/OU, + aDs~Ova) on F/
The macroscopic description given here ignores the details on the

microscopic level, so that the thickness h(x) is the relevant parameter
geometrically defining the interface, while a describes the given physical
properties of the interface. In a microscopic analysis of the interface, as given
in References [5, 6, 11], the parameter ~ also contains a description of the
774 Bui et al.
constituents, i.e., the set of volume fractions of debris {991,992} or the mass
fractions {ml, m2}, together with their physical properties, etc. It can be shown
that in the steady state case when only one solid, for example, f~2, is subjected
to wear and when damage occurs in an elastic-brittle manner, both q92 and m2
are equivalent to the interface thickness 2h(x). In a microscopic approach to
wear, the set of internal variables for general constitutive laws of the
constituents is {991,992, ~1, ~2,-..}.
The variation of the potential energy can be written as
dP _ --d fn P,~i[e(u)]dco + ~d [ ~r 2psh~/s(U 1 u2,~)dA]

dt dt i
which becomes after simple rearrangements
d P = ~ pil~/i[~3(u)]do) - j ; pil//i~idA _F ~F {Dr(2pshOs)+2pshg/sdpT}dA

dt ,
where ? is the curvature. Similarly, the average process through the thickness
of the mass conservation law yields
/r{ Dr(2psh) + 2pshdpT}dA - - P i l l + P2~2 (18)
Equation 18 makes it possible to relate the internal variables c~, h, or other

relevant variables defining the interface properties appearing in its left-hand
side to the wear rates q51, ~b2. Equation 18 is another form of the mass
conservation law, more suitable for the interface description. Its right-hand
side may be considered as the source terms feeding the contact interface.
The variation of the potential energy P can be written in the form
--
dt = ,/r, n . o - . v dA - , PiOi4idA+ 0s[p4~] 2
idA - , ni.~i.vidA
+ 2Psh-~ui . (v, + Vu~.~b,n,)+ 2 p s h - ~ . Dr(~) dA (19)
We obtain the dissipation
n.o-.v dA - - {p,r - ni.~i.Vui}.~b,nidA

dt ~lr,
+ 2 p s h - ~ . Dr(~/- Cs(pCk)~-2psh---~. Dr(u~) dA
We recover the dissipation because of the interface movement. The first

term corresponds exactly to Gi, and the complementary ones correspond to
the interface contribution.
In particular, if 2h is the internal parameter c~, since Dr(2h)n+
2hDr(n) = (q51 -~b2)n, the previous expression takes a form similar to the
global dissipation in w h i c h G3i is given by
G3i - Gsi - ~ksPi - 2psh c9o~
In this approach, the interface is in equilibrium at any time. This

expression shows that Gsi are p a r a m e t e r s directly associated with the
interface model.
8.5.3.2 W E A R CRITERIA
8.5.3.2.1 Local M o d e l
A wear criterion can be defined as a relationship b e t w e e n the n o r m a l velocity

~)i and the associated t h e r m o d y n a m i c force ~i ~ - - G i - G3i. O n e can define a
dissipation potential d, a convex function of 7i, such that ~bi = Od/Oyi. The
simplest criterion is similar to Griffith's criterion in fracture mechanics, for
w h i c h d(7i) is the s u p p o r t i n g function of the convex 7i-< Tic. The wear
criterion of m e d i u m (i) d e p e n d s on ~:c, Tic, G3i, i.e., on five parameters.
8.5.3.2.2 Interface Model

There are simplifications w h e n the free energy and the potential dissipation
have simple forms
~/s(ul, u2, cz) "-- f ( u l - u2, ~), Ds(Vl, v2, ~) := g(vl - v2, c~)
We can s h o w that, at first order, [o].n = 0 and the viscous dissipation
term is r e d u c e d to 2psh(cgDs/c% ) " [Di-(ui)] 21" Since the velocities q~i are
small c o m p a r e d to the relative velocity V, we have 2psh(cgDs/c% ).
DF(ui)l 1 "~ 2Psh(cgDs/Ov).V, w h i c h means that the dissipation is essentially
due to friction. Such an a p p r o x i m a t i o n is a s s u m e d in References [5, 6, 11].
REFERENCES
1. Georges, J. M., Millot, S., Loubet, J. L., and Tonck, A. (1993). Drainage of thin liquid film
between relatively smooth surfaces. J. Chem. Physics 98 (9): 7345-7359.
2. Godet, M. (1990). Third bodies in tribology. Wear 136 (1): 29-45.
3. Singer, I. L., and Wahl, K. J. (1999). Role of Third Bodies in Friction and Wear, 1999 MRS
Workshop Series: Tribology on the 300th Anniversary of Amonton's Law, San Jose, California.
4. Meng, H. C., and Ludema, K. C. (1995). Wear models and predictive equations: Their form
and content. Wear 181-183: 443-457.
5. Dragon-Louiset, M. (2000). Modfilisation microm~canique de l'interface d'un syst~me
tribologique dans une approche de l'usure continue. M~ca. Ind. 1: 1-6.
776 Bui et al.
6. Dragon-Louiset, M. (2001). On a predictive macroscopic contact-sliding wear model based on

micromechanical considerations. Int. J. of Solids and Structure 9 (38): 1625-1639.
7. Stupkiewicz, S., and Mr6z, Z. (1999). A model of third-body abrasive friction and wear in hot
metal forming. Wear 231: 124-138.
8. Zmitrowicz, A. (1987). A thermodynamical model of contact, friction and wear: I. Governing
equations. Wear 114: 135-168.
9. Dragon-Louiset, M., and Stolz, C. (1999). Approche thermodynamique des ph~nom~nes
d'usure de contact. C.R.A.S. Paris 327: 1275-1280.
10. Archard, J. E (1953). Contact and rubbing of fiat surfaces. J. Appl. Physics 24 (8): 981-988.
11. Dragon-Louiset, M., Bui, H. D., and Stolz, C. (2000). On Prandtl's lifting equation arising in
wear mechanics. Archives of Mechanics 52: 547-567.
12. Stolz, C., and Pradeilles-Duval, R. M. (1996). Approches ~nerg~tiques de la propagation
dynamique de discontinuit~ m~canique. C.R.A.S. Paris 322 (IIb): 525-532.
SECTION 8.6
Constitutive Models and

Numerical Methods for
Frictional Contact
MICHEL RAOUS
Laboratoire de MF,canique et d'Acoustique, 31, chemin Joseph Aiguier,
13402 Marseille Cedex 20, France
Contents
8.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 777
8.6.2 Models and Identification of the Parameters 778
8.6.2.1 Unilateral Contact . . . . . . . . . . . . . . . . . . . 778
8.6.2.2 Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 779
8.6.3 Numerical Methods . . . . . . . . . . . . . . . . . . . . . . . . 782
8.6.3.1 Formulations . . . . . . . . . . . . . . . . . . . . . . . . 782
8.6.3.2 Algorithms and
Numerical Parameters . . . . . . . . . . . . . . . 784
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 786
8.6.1 VALIDITY
The following models are relevant for dealing with unilateral contact, which
means that no penetration into the obstacle can occur and the separation is
free (the effective contact area depends on the loading), and friction, which
means that a frictional force occurs on the parts of the b o u n d a r y where
contact has been established. The formulations and algorithms are given with
the following assumptions:
9 The contact occurs between a deformable body and a rigid obstacle (an
extension to the case where contact occurs between two deformable
bodies is given as a remark).

778 Raous
9 The deformations are small.

9 The solid is elastic.
9 The problem is quasi-static.
9 No adhesion is involved.
9 No physico-chemical forces are involved in the contact.
Extensions of these models to finite deformation, nonlinear behavior,

dynamic problems, and coupling with adhesion can be found in Reference
[1] and in the references given therein.
8.6.2 MODELS A N D IDENTIFICATION

OF THE PARAMETERS
8.6.2.1 UNILATERALCONTACT
8.6.2.1.1 Model CI: Strict Unilateral Contact (Signorini Conditions)
UN _<0 /
FN _ 0 (i)
MNFN -- 0
where F, the unknown contact force, and u, the displacement defined on the
part on the boundary where the contact is liable to occur, are decomposed
into their normal and tangential components (n is the outward unit vector to
the boundary): u = UN n + u r , F = FN n + F t .
The complementarity relations (Eq. 1) satisfactorily describe unilateral
contact with the two possible conditions: either there is no contact, when
UN < 0 and FN = 0, or contact occurs, when UN = 0 and FN ~_ O. This is a
nonsmooth problem, and the complementarity problem (Eq. 1) implies that
FN is a multivalued application of UN (see the graph in Fig. 8.6.1). No
parameters are required here.
Comment 1: In the case where an initial gap between the solid and the
obstacle has to be taken into account, UN has to be replaced by ( u n - d ) where
the function d, defined on the boundary, is the initial distance between the
solid and the obstacle. When the obstacle moves, the function d is also used to
define its movement.
Comment 2: For dealing with the contact between two deformable bodies,
in the case of small deformations, a point-to-point relationship can be used,
making a simple change of variables: if A (solid 1) and B (solid 2) are two
opposite points, let uA - UA and u s - UA--UB.
8.6 Constitutive Models and Numerical Methods for Frictional Contact 779
FN FU
UN
uN
FIGURE 8.6.1 Graph of the Signorini law. FIGURE 8.6.2 Graph of the compliance law.
8.6.2.1.2 Model CII" Compliance

This model allows a penetration which is controlled by a strong reacting force
as follows:
FN - - - - C n ( U N ) + "
where (UN)+ is zero when UN < 0 (no contact), and (Uu)+ = Uu when UN >_ 0.
This problem is a much more regular one, because FN is now a function of
UN. Its graph is given in Figure 8.6.2. This model is simpler for both
computational and mathematical reasons. However, some penetration,
depending on the choice of parameters C, and m,, occurs.
Identification of Cn and m.: Strict identification of C. and m~ is not possible.
The choice of these parameters is often based on computational reasons.
Mechanical estimates can be obtained by considering the penetration
tolerance relative to the current normal pressure. Analytical or computational
considerations on the behavior of surface asperities can be helpful.
8.6.2.2 FRICTION
The general form of a friction law can be written
LIv ll _<f and ]

if [IF~-][ < f then/~- - 0 (3)
if []Fr][ -- f then fir is colinear and opposite to Fr
where various choices of the sliding threshold f can be made. The

corresponding laws are presented on Figure 8.6.4.
780 gao~s
8.6.2.2.1 Model FI: Coulomb Law, f =/~[FN[

This is the most classical friction law (# is the friction coefficient). The graph
is presented in Figure 8.6.3.
Identification of the friction coefficient #: This is a very difficult problem,
first, because this coefficient characterizes a pair of materials, and second,
because it depends strongly on various conditions (the surface machining
condition, the temperature, the hygrometry, etc). Tables of friction coefficients
are therefore rarely given. As a qualitative indication, it can be said, for
example, that the range of magnitude is about 0.1 to 0.3 for a metal-metal
contact and may be larger than 1 when rubber is involved.
Specific measurements can be performed on a sample of the pair of
materials using a tribometer. Whenever possible, it is recommended to
identify the friction coefficient on the structure itself by adjusting it by
comparing a finite element calculation with the experimental results obtained
under elementary loading (see Reference [ 1]).
8.6.2.2.2 Model FII: Tresca Law, f = g

The function g is given and defined on the contact boundary. In this case, the
sliding limit does not depend on the normal force. This model cannot be
directly coupled with unilateral contact. It can be convenient when the
normal force is known (in the case of polymer injection, for example). It is
also used as an intermediate problem in some iterative algorithms dealing
with Coulomb friction.
Identification of the function g: When the normal pressure on the contact
boundary is known, g can be obtained by multiplying it by/z; otherwise, some
Fr
UT
FIGURE 8.6.3 Graph of the Coulomb law (in two dimensions).

iterative procedure has to be used to determine an appropriate value of the

function g on each contact point.
8.6.2.2.3 Model FIII: Variants
8.6.2.2.3.1 Coulomb-Orowan Law, f - min(/~lFN], k)

The parameter k is usually the elastic limit of the material. It can be used
when very high pressures are involved.
8.6.2.2.3.2 Shaw Law, f = ak

The function e is defined by e = FR/Fc where FR is the nominal
(effective) contact surface depending on the flattening of the asperities, and
Fc the whole surface where contact is liable to occur. This function,
depending on the normal compression, has to be determined either
analytically or numerically.
8.6.2.2.4 Model FIV: Models with a Variable Friction Coefficient

A dependence of the friction coefficient on the sliding velocity (the most
classical), the normal pressure, the temperature, or other quantities can be
introduced. The Stribeck law (see "Friction in Lubricated Contacts" by
J. Frene and T. Cicone in this volume) is an example of this dependence,
which can be used to account for the transition between the dry friction and
hydrodynamic regime.
Note: However attractive this kind of model may be, one must not forget
that it involves a loss of uniqueness of the solution (even for small friction
coefficients) and a lack of existence results. This can lead to serious problems
as far as the reliability of the numerical results is concerned.
8.6.2.2.5 Model FV: Regularized Coulomb Law

A regularized formulation of the Coulomb law is obtained when F; is given as
a function of ft; (instead of the multivalued application), FT = --pcp~(ft;)[FN].
For two-dimensional problems, square root, hyperbolic tangent, or piecewise
polynomial functions are often used. In these cases, a regularization
parameter has to be chosen, and it has to be noted that sliding always occurs
(large or very small sliding when it approximates the stick condition). The
strict stick situation occurs only when FT -- 0.
782 gaous
FT Coulomb
FN
FIGURE 8.6.4 Various friction laws (in two dimensions).
8.6.2.2.6 Model FVI: Compliance Model

As in the case of unilateral contact, a compliance law is introduced for the
friction law:
IIF~II < C,(u~)+t and 'l

if [[F~-[I< Ct(UN) mt
+ then ur - 0 / (4)
if IIFTII - Ct(RN)~ t then f~T is colinear and opposite to F~-
where Ct and mt are two parameters. The case where Ct =/.zCn and m t = m n
corresponds to the classical Coulomb law associated with the compliance
model for unilateral contact. The same difficulties arise here, as for Cn and ran,
for identifying Ct and rot.
8.6.3 NUMERICAL METHODS
8.6.3.1 FORMULATIONS
Both the displacements (unilateral conditions) and the velocities (friction

law) are involved. When a displacement formulation is used, an incremental
formulation has to be introduced. At each step, a "static" problem will be
solved, involving extra terms computed at the previous step and characteriz-
ing the memory of the previous loading history. This section focuses on the
resolution of this associated "static" problem.
The first three types of formulation involve models based on the strict
contact relationships (models CI, FI, FII, FIII, FIV), and the fourth type
involves models based on the regularized contact relationships (models CII,
FV, FVI).
8.6.3.1.1 An Implicit Variational Inequality

Eliminating the contact forces leads to an implicit variational inequality. For
example, a Signorini problem with Coulomb friction can be written as
problem P1.
Problem PI: For each time tk+l, find R k+l C K such that:
a(ll k+l, W-ll k+l ) + j ( t l k+l, w - - R k ) - - j ( l l k+l, llk+l--ll k) ~ L k + l ( w - ll k+l )
Vw K (5)
where a(., .) is a bilinear form associated with the elasticity mapping, L(.)
is a linear form associated with the current loading, the nondifferen-
tiable functional j(v,w) (associated with the friction) is j ( u , v ) =
fr'c la FN(U)[ [[vr[[ds, and the convex K characterizes the unilateral conditions
K = {v C U/VN <_ O o n F c } where Fc is the part of the boundary where
contact is liable to occur.
8.6.3.1.2 A Complementarity Problem

Another approach consists in writing the problem in the form of a linear
complementarity problem, introducing two new variables by separating the
tangential displacement into left and right sliding parts. It is then written,
after finite element method (FEM) discretization and condensation in
reducing the problem to the contact variables (partial inversion of the linear
parts), as problem P2.
P r o b l e m P2: Find F C Re, u E RP such that
Mu=F* +F I
Fi ~ 0, ui ~ 0 i= 1...p (6)
Filai -- 0 i -- 1 . . . p
where M and F* are, respectively, a nonsymmetric matrix and a loading vector

deduced from the FEM problem by condensation (taking into account the
change of variables associated with the choice of new variables), F and u are
the contact forces and the contact displacements, and p is the number of
contact degrees of freedom. This two-dimensional formulation can be
extended to three-dimensional problems using a polygonalization of the
Coulomb cone.
784 gaols
8.6.3.1.3 Lagrange Multipliers

Another alternative is based, as in the previous formulation, on keeping the
contact forces F as variables (Lagrange multipliers). This time, the unilateral
conditions are kept in the form of Eq. i but the friction conditions are written
under the Kuhn-Tucker conditions (analogous to plasticity). This is written as
problem P3 where K* is the condensed regular FEM matrix.
Problem P3: Find F E RP, A~ E RP such that

K*u = F* + F
llN < 0, FN ~ 0, UNFN - - 0

(7)
fs < O, AUT- -A~ cgfs/OFT, A~ >_ O, A~ fs = 0
- I IF II - ,IF I
8.6.3.1.4 A Smooth Nonlinear Formulation

When compliance, regularized models, or penalty techniques are used,
nonlinear variational equalities are obtained. Penalty can be regarded as a
numerical form of the compliance laws previously introduced. The problem is
then written in the generic following form.
Problem P4: Find u E RP such that

K * . = F* + + (8)
where ~)N(1,IN) is given either by the compliance law (Eq. 2) or by penalty (for
example, e[UN]+), and ~bT(UT)will be adjusted during the iterations in order to
satisfy the Coulomb law.
8.6.3.2 ALGORITHMS AND NUMERICAL PARAMETERS
To solve problem P1, a fixed point procedure can be introduced to determine

the tangential friction force FT: then, at each step n + 1, we have to solve a
Tresca problem with a given sliding threshold gn which can be written as the
following minimization problem Plbis. The solution of P1 is obtained when
the process g,+l = #[FN(u")] has converged.
Problem Plbis: Find un such that J(u n) < J(v)Vv E K with
J(v) = 1/2a(v, v) - L(v) + f r g"llv:rilds (9)

C
This minimization problem under constraints (Vv E K) of a nondifferentiable

functional can be solved using various algorithms.
8.6.3.2.10verrelaxation Method (SSOR) with Projection

(Problem Plbis)
An optimum relaxation parameter has to be determined by carrying out a trial
procedure. This method is very robust, but it can be costly when extended to
nonlinear problems.
8.6.3.2.2 A Gauss-Seidel Method Accelerated with

an Aitken Procedure (Problem Plbis)
No numerical parameters are required here. The same comments as for
Section 8.6.3.2.1 can be made.
8.6.3.2.3 Conjugate Gradient Method with Projection and

Regularization (Problem Plbis)
A special procedure is used in this case to preserve the conjugation
relationship between the descent directions. To compute the gradients, it is
necessary to regularize the friction law, which introduces numerical
parameters (see model FV). A specific preconditioning procedure has to be
used. A regularization parameter is required here.
8.6.3.2.4 Lemke Method (Problem P2)

The complementarity problem P2 is solved using a mathematical program-
ming method such as the Lemke method. This is a direct mathematical
programming method based on pivoting techniques similar to the
Simplex method. It is a very powerful method. No special parameters are
needed here.
8.6.3.2.5 Augmented Lagrangian Method with

Radial Return (Problem P3)
Problem P3 is solved with an augmented Lagrangian procedure which
introduces a penalty by defining
/:N = - E uN)
786 aaous
A Newton-Raphson algorithm is associated with a radial return procedure.

This method is similar to a procedure used in plasticity in finite deformations.
It is a very powerful method, the accuracy (as well the computational
cost) depends on the choice of ~1- and ~N and on the number of
augmentations performed.
8.6.3.2.6 Newton-Raphson Method for the Penalized

Problem (Problem P4)
Problem P4 is a classical nonlinear problem in which the normal contact force
is directly computed during the resolution and the friction force is adjusted
during the iterations in order to verify the Coulomb law. The choice of the
penalty parameters (or of the parameters of the compliance law) is delicate
because it strongly affects the accuracy of the solution (the penetration can be
large) and the computational time. These parameters are usually made to
gradually decrease during the iterations. The accuracy of the solution always
has to be checked.
8.6.3.2.7 Iterative Procedure on Boundary Conditions

A simple procedure which is sometimes used is that based on iterations on
adjusting boundary conditions in order to satisfy the unilateral and the
friction conditions: at each iterate, UN is set to zero when penetration occurs,
fi~- is first assumed to be zero, and when [[F~-[[ > #[FN[ the previous condition
is released but a friction force is applied, which is colinear and opposite to ~-
and such that [[F~[[ = #[FN[. Despite the lack of convergence results, this
procedure can be an efficient way of dealing with simple linear problems. In
other cases, the procedure may not converge.
REFERENCES
1. Raous, M. (1999). Quasistatic Signorini problem with Coulomb friction and coupling to
adhesion, chapter 3 in New Developments in Contact Problems, pp. 101-178, Wriggers, P., and
Panagiotopoulos, P., eds., CISMCourses and Lectures, 384, New York-Wien: SpringerVerlag.
SECTION 8.7
Physical Models of Wear
Prediction of Wear Modes
Koj~ I~TO
Tohoku University, Aramaki-Aza-Aoba 01, Sendai 980-8579, Japan
Contents
8.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 787
8.7.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 787
Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791
8.7.1 VALIDITY
This article describes a ceramic wear mode map in order to predict two wear
modes in unlubricated self-mated sliding of ceramic.
8.7.2 BACKGROUND
Specific wear a m o u n t ws ( m m 3 / N m ) and friction coefficient/~ are observed in

unlubricated self-mated sliding of A1203, ZrO2, and SiC. Two types of wear
surfaces are recognized: In type I, wear generates a smooth surface, as shown
in Figures 8.7.1 and 8.7.2b. In type II, wear generates a rough wear surface, as
shown in Figures 8.7.1 and 8.7.2c.
The wear surface of type I is observed when Ws is smaller than about
10 . 6 m m - 3 / N m , and the wear surface of type II is observed when ws is larger
than about 10 .6 m m 3 / N m , as shown in Figure 8.7.3. So called mild wear
corresponds to the wear of type I, and severe wear of type II is generated by

788 Kato
E 6
= I AI208 Pin/AI203 Dis i
E 5 Temperature T=20oC O W = 3 N, v = 0.1 m/s
rr Unlubricated condiUon 9 W = 3 N, v = 2.7 nYs
(/)
W
4
2
~o 2 Type II
~. ~ Type I
E
0 , I , , , I . . . . . i
.E 0 2 4 6 e 10
X
m
:S Numberof friction cycles N, 1104 cycles
FIGURE 8.7.1 Representative surface roughness changes of alumina with number of friction cycles.
(a)
2gm~
100gm k,~
(c)
Z
FIGURE 8.7.2 Wearsurface profiles, a. Initial surface, b. Smooth wear surface, c. Rough wear
surface. A1203/A1203.
having surface crack propagation in a brittle manner. In general, mild wear

is considered to be a practically useful wear mode without lubrication.
It is supposed that a surface crack propagates when the following equation is

satisfied:
~O'maxX/~ ~ KIc (1)
8.7 Physical Models o f Wear 789
E
1 0 "1 Type I Type II Ceramics
0~<o:) (o~<.~o.) against themselves
AI203 O 9 Unlubricated sliding condition
ZrO2 A . ~mAm~.A
" 10 ~ mc [] 9 9 9
1O's ~" _ ~ ~ ~ Aj~P'Ou

O0_e O- |
o
h~ o o
"~ 1 0 . 9 - , , , I , , , I ~ , , I ~,, I,,,I,,,
Or) 0 0.2 0.4 0.6 0.8 1 1.2
Friction coefficient I~
FIGURE 8.7.3 Distribution of specific wear amount ws and friction coefficient # in
unlubricated siding of ceramics against themselves.
where d is the preexisting crack length, O'max the maximum tensile stress at the
tip of the crack, KIC the fracture toughness of the material, and fl a constant.
O'max is induced mechanically by contact load and friction, and thermally by
frictional heating.
Mechanically induced O'ma x given by
1-2v 4-by /
O'max -- Pmax 3 Av 8 ~ (2)
where Pmax is the maximum Hertzian contact pressure, # the friction

coefficient, and v the Poisson's ratio. Equations 1 and 2 give the following
equation for a crack propagation:
Scm = (X-[- XOlA)PmaxX/rd

KIc _> (3)
where v is supposed as 0.25. The parameter So,m, shows the mechanical

severity of contact.
Thermally induced O'ma x is given by
E~
eft=l_ v (4)
where E is Young's modulus, ~ a coefficient of thermal expansion, v the
Poisson's ration, and AT the temperature difference due to the heat pulse.
790 V~to
By considering the friction heating at asperity contacts, AT is expressed

as follows:
/VWHv (5)
V
where V is the sliding velocity, W the load, Hv the hardness, 7 the heat
partition ratio, /2 the friction coefficient, k the thermal conductivity, p the
density, c the specific heat, and C1 a proportional constant.
On the other hand, thermal shock resistance A Ts is given experimentally
as follows:
1 (1-v)Kic
AT, = (6)
By introducing Eqs. 4-6 into Eq. 1, one obtains the following expression for a
crack propagation:
Sc,t = - ~ kpc - ~1 (7)
The parameters Sc,t shows the thermal severity of contact.

Experimental results observed in Figure 8.7.3 give Figure 8.7.4, where
mild wear is at Sc,m<6, Sc,t<O.04, and severe wear is a t Sc, m ~ 6,
and Sc,t ~ 0.04.
FIGURE 8.7.4 Wearmap of ceramics for mild wear and severe wear regimes.
8.7 Physical Models of Wear 791
TABLE 8.7.1 Table of Parameters
A1203 A1203 ZrO2 SiC

Material (test no.) (1-3) (4) (5) (6)
Mean grain size Dg, /~m 5 5 1 6

Vickers hardness Hv, GPa 16.5 16.6 14.5 31.4
Fracture toughness KIc, MPam 1/2 3.5 3.5 7.4 3.5
Young's modulus E, GPa 390 345 220 400
Poisson's ratio v 0.24 0.23 0.3 0.24
Density, 103 k g / m 3 3.9 3.9 6.1 3.1
Thermal expansion ~, x 10 -6 K -1 7.8 8.0 9.2 3.9
Thermal conductivity 2, W(mK) 29.3 29.0 2.9 80.0
Specific heat c, J/kgK 795 586 460 795
Thermal shock resistance ATs, K 200 200 280 500
8.7.4 TABLE O F P A R A M E T E R S
See Table 8.7.1.
For the case of unlubricated self-mated sliding of ceramics, the possible wear
mode of mild wear or severe wear can be predicted by determining the values
of Sc,m and Sc,t.
BIBLIOGRAPHY
1. Adachi, K., Kato, K., and Chen, N. (1997). Wear map of ceramic. Wear 203-204: 291-301.
CHAPTER 9
Multiphysics Coupled
Behavior
SECTION 9.1
Introduction to
Coupled Behaviors
JEAN LEMAITRE
All previous chapters, more or less, have dealt with one physical phenomenon
even if several micromechanisms are involved, but in practice sometimes two
or more phenomena may occur simultaneously with interactions between
them. It is this coupling which is the subject of Chapter 9. For example, the
cooling of a steel from high temperature may induce a phase transformation,
which induces heterogeneous volume change, which induces internal stresses,
which induce plastic strains, which induce damage, which may induce cracks,
etc. Unfortunately, this is what can happen in welded structures: the damage
changes the elastic strains, which change the stresses, which change the phase
transformation.
The thermodynamics of irreversible processes is intensively used to build
models of coupled phenomena because if internal variables for each
phenomenon may be qualitatively identified, the coupling is contained
directly in the state and dissipative potentials, provided their quantitative
identification can be performed.
The state potential ~ is a function of all the states variables vi,
~t = I p ( y l , Y 2 , Y 3 , . . . , y i )
from which the associated variables (or thermodynamical forces Ai) are
derived as
A i ~-
OYi
There is state coupling between the phenomena i and j if
02~p
r
OviOvj

796 Lemaitre
and uncoupling if
02 q~
~ = 0
Ov~Ovj
The dissipative potential is a function of the associate variables
q) - q)(A1,A2,A3, . . . ,Ai)
from which the kinetic evolution laws are derived according to
Dq0
vi =
DAi
There is kinetic coupling between phenomena i and j if
DZq)
#0
DAiDAj
The difficulty is, of course, to choose the proper variables Vi to choose the form
of the function ~, and to choose the form of the function q0. The various
models differ essentially in the choices made for vi, ~, and q~.
Damage induces an elastic and plastic softening effect which must be taken
into account for precise calculation of metal forming or the limit state of
ductility and fatigue. See Section 9.2 for isotropic damage, Sections 9.3 and
9.4 for anisotropic damage, and Sections 9.5 and 9.6 for the additional effect
of temperature.
Coupling oxidation with viscoplasticity is described in Section 9.7, and
interaction with hydrogen may be found in Sections 9.8 and 9.9. Section 9.10
is a general description of disturbed state in a hierarchical framework.
Metallurgical couplings such as phase transformations inducing plasticity in
metallic materials are important in many industrial processes such as
quenching, welding, casting, surface treatments. Basic aspects suitable for
numerical simulations may be found in Sections 9.11, 9.12, 9.13, and 9.14.
Shape memory properties of some alloys are the result of another coupling
between martensite and austenite exchanges (see Section 9.15).
Modeling the coupling between elasticity and magnetism needs a good
representation of hysteresis behavior (see Section 9.16).
Aging is also an important phenomenon to take into consideration for long
time range structures because it modifies the strength of materials, in
particular polymers (see Section 9.17).
SECTION 9.2
Elastoplasticity and
Viscoplasticity Coupled
with Damage
AHMED BENALLAL
Laboratoire de M~canique et Technologie, ENS de Cachan/CNRS/Universit~ Paris 6, 61 avenue du
PrEsident Wilson, 94235 Cachan, France
Contents
9.2.1 Application ................................ 797
9.2.2 Background ............................... 797
9.2.3 Description of the Model ................... 799
9.2.4 Identification .............................. 800
9 . 2 . 5 H o w to U s e t h e M o d e l . . . . . . . . . . . . . . . . . . . . . 800
References ....................................... 801
9.2.1 APPLICATION
The model to be described herein was developed mainly for metals and
metallic alloys at room or high temperatures. It can model their behaviors,
progressive degradation, and final rupture along monotonic or cyclic loadings.
It can also be used to analyze ductile rupture, creep rupture, and low-cycle
fatigue.
9.2:2 BACKGROUND
Within continuum damage mechanics and in the case of isotropic damage, a

scalar variable D is introduced which measures the average effects of the

798 BenaUal
degradation properties of the material on its mechanical response. In the

context of continuum thermodynamics, this is an internal variable which
completes the set of variables describing the behavior of the material. In the
case of elastic-plastic or elastic-viscoplastic materials, the other main variables
are the plastic strain, the accumulated plastic strain p describing isotropic
hardening, and the internal strain a dealing with kinematic hardening effects.
The coupling between the deformation behavior and the degradation of the
material is usually undertaken by the effective stress concept rY = a / 1 - D
associated with the strain equivalence principle. The total strain ~ is
partitioned into an elastic part and an inelastic part.
The free energy potential is of the form
1 1
tp _ ~p(1 - D)Eijhl(ekl- ~ l ) ( e k ! - e~l) +-~Caijaij + g(p)
with E/jkl being the matrix of elastic constants. In the case of isotropy we
have
E/jhl -- (K-2G)5/jc~hl q-G(bihbjl "]-t~il(~kj)
where K and G are the bulk and shear moduli, respectively.

This leads to the state laws
. . . . + - 4)
cO~
e - - -d(p)
up
cgtP
x~j - - p Oa~j -Ca~j
Y---p-ff-~-- We
R, X, and Y are the forces associated with the internal variables p, a, and D,
respectively. R is the size of the elastic domain, X is the back stress, and Y is
the elastic strain energy. A very common form for g(p) is
g(p) = Q[1 - exp(-bp)]

where Q and b are material-dependent parameters.
9.2 Elastoplasticity and Viscoplasticity Coupled with Damage 799
9 . 2 . 3 D E S C R I P T I O N OF T H E M O D E L
Beside these ingredients, the model is based on a yield domain defined by a

yield function:
f(F, X, R ) = J 2 ( F - X ) - R - a y
where J2(e - x) - x / ~ ( g i j - xij)(gij - x/j) is the second invariant of the active

stress ~ - X. S is h ~ t stress deviator, and Cry the initial yield stress in uniaxial
tension. The model is also based on an inelastic potential
XijXij y2
~(~, x, R) - J ~ ( ~ - x) + 4~ + 2-~ - R - Oy
involving the material-dependent parameters S and y and leading to the

evolution laws for the internal variables
.p _ ~ OF 3 . Sij--Xij
e ~j O a ~j = 2 ( 1 - D ) P J - ~ d - - TX)
p-i-~-i
OF
OF
oqF Y
The inelastic multiplier 2 is obtained by the consistency condition f - 0 for

rate-independent elastic-plastic material. For rate-dependent elastic-visco-
plastic materials, it is given by the viscosity law
i - l(,(f))
//
where ~/ is a material parameter and 9 a positive increasing function of f.
Currently used forms for 9 are the power law and the exponential formulae,
given respectively by
~(f)-(f)", *(f)-exp( f- 1)
Here K and n are also material-dependent parameters.

The model is completed by
9 a local initiation criterion often defined by a damage threshold in terms
of a critical accumulated plastic strain PD, i.e., such that D = 0 if p _<PD;
800 Benallal
9 a rupture criterion often defined by critical value Dc for the damage

parameter.
The identification procedure is dependent on the rate-dependent or rate-

independent character of the material. For both types of materials, elastic and
hardening properties are first obtained during the first stages of tests, when no
damage is present. These are generally obtained by cyclic tests under strain
control. For proportional loadings, tension and compression tests are usually
sufficient.
For rate-independent materials, the unloading branches of the stress-strain
loops define the elastic domain. Its center represents exactly the back stress
X (in the loading direction), and its size gives the amount of istropic
hardening through 2(R + Oy). Experimental measures of the position of the
center and its size and their plots versus the plastic strain or the cumulated
plastic strain allow us to obtain the hardening parameters C, y, and the
function g(p).
For rate-dependent materials, the unloading branches of the stress-strain
response also include the viscous stress. Therefore, before carrying out the
previous procedure, one must first identify viscous properties. This is usually
done by carrying out tests at different strain rates or more simply by ending
the cyclic tests after saturation of the hardening by a relaxation period.
Finally, obtention of the degradation properties is obtained by measuring
the evolution of Young's modulus after damage has started. The decrease of
this modulus gives the damage parameter and its plot versus the plastic or
cumulated plastic strain and allows us to obtain the parameter S. For a general
procedure identification, see Reference [3].
9 . 2 . 5 H O W T O USE T H E M O D E L
The model has been implemented both in its rate-independent and rate-
dependent forms in ABAQUS through the UMAT subroutine. Generalized
integration schemes have been used together with Newton-Raphson
procedures. The corresponding consistent tangent operators were defined.
For the rate-independent case, the onset of localization into planar bands (or
loss of ellipticity) is signaled in order to avoid mesh dependency. The loss of
the ellipticity criterion is implemented. Also, gradient and nonlocal
procedures are being studied.
9.2 Elastoplasticity and Viscoplasticity Coupled with Damage 801
REFERENCES
1. Lemaitre, J. (1994). A Course on Damage Mechanics, Springer Verlag.

2. Lemaitre, J., and Chaboche, J. L. (1989). Mechanics of Solid Materials, Cambridge.
3. Benallal, A. Thermoviscoplasticit~ et endommagement des structures.
SECTION 9.3
A Fully Coupled
Anisotropic Elastoplastic
Damage Model
SERGE C E S C O T T O 1 WAUTERS MICHAEL 2
ANNE-MARIE HABRAKENI~ and Y. ZHU3
1 University of Liege, Liege, Belgium
2 MSM_I, chemin des Chevreuils B52/3 4000 Liege, Belgium
3ANSYS Inc., Houston, Texas
Contents
9.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 802
9.3.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 803
9.3.2.1 Basic Concepts . . . . . . . . . . . . . . . . . . . . . . 803
9.3.2.2 Thermodynamic Frame . . . . . . . . . . . . . . 804
9.3.3 Model Description . . . . . . . . . . . . . . . . . . . . . . . . . 805
9.3.3.1 Anisotropic Elasticity and Damage . . . . 805
9.3.3.2 Anisotropic Plastic Yield Surface . . . . . . 805
9.3.3.3 Damage Evolution Law and
Damage Surface . . . . . . . . . . . . . . . . . . . . . 807
9.3.4 Calibration of the Model . . . . . . . . . . . . . . . . . . . 808
9.3.4.1 Elastic Parameters . . . . . . . . . . . . . . . . . . . 808
9.3.4.2 Plastic Parameters . . . . . . . . . . . . . . . . . . . 809
9.3.4.3 Damage Parameters . . . . . . . . . . . . . . . . . . 809
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 813
9.3.1 VALIDITY
This m o d e l p r e d i c t s the d a m a g e g r o w t h a n d fracture a p p e a r a n c e in ductile

materials. Initially p r o p o s e d by Z h u a n d Cescotto [3], it has b e e n d e v e l o p e d
in the case of sheets, especially for d e e p d r a w i n g p r o c e s s e s [2].
Handbookof MaterialsBehaviorModels. ISBN0-12-443341-3.

9.3 A Fully Coupled Anisotropic Elastoplastic Damage Model 803
Important characteristics of this macroscopic model are its easy para-

meter identification and the anisotropic evolution of the damage and
plastic surfaces computed from the energy equivalence assumption. Deep
drawing simulations, described in Zhu and Cescotto [3], confirm its
validity.
9.3.2 BACKGROUND
9.3.2.1 BAsic CONCEPTS
This damage model is included in the continuum theory of damage. The

damage in the material is represented by a variable D corresponding to an
average material degradation affecting stiffness, strength, and anisotropy. It
reflects various types of damage at the microscale level, such as nucleation,
growth and coalescence of voids, and microcracks. In the present model, D is
a vector of three components, the damage in each orthotropic direction of the
sheet:
_D--(D1 D2 D3) 7
The well-known concept of effective stress is used:
with the "damage effect" tensor M(D) of fourth order defined by its
diagonal:
. 1 1 1 1
m_M(D)--diag 1 - D, 1 - D2 1 - D3 V/(1 - D2)(1 -- D3)
1 ]
• V/(1-D1)(1-D2)
The principle of energy equivalence is taken into account. It states that the
complementary elastic energy stored in the damaged material has the same
form as the one for a fictitious undamaged material except that the true stress
tensor is replaced by the effective stress tensor. This principle is able to take
into account not only the apparent Young moduli decrease but also the
Poisson's coefficients decrease.
P)= p)
804 Cescotto et al
9.3.2.2 THERMODYNAMIC FRAME
The Helmholtz free energy takes the following form:
p~(_~, ~, _D, ~, fl)- w~(~_~, ~, _D)+ ~p(~, ~)+ ~d(;, fl)
where We(ee, T, D_) is the elastic strain energy, T is the temperature, ~p(T, ~)
is the free energy due to the plastic hardening, e_ is the total strain tensor,
@d(T, fl) is the free energy due to the damage "hardening," e~ is the elastic part
of the Strain tensor, a is an internal variable representing the cumulated
plastic strain, and fl is an internal variable representing the cumulated
damage.
Since the thermodynamic force _a (Cauchy or true stress tensor) is
associated with the elastic strain ee, a thermodynamic force y can be
associated with the damage tensor _D:
a~, aw~(~_~,~, _D) aW~(~_,~, _D)

Y- POD = OD = - OD
y is called the damage energy release rate; the negative sign of y corresponds
to the energy restitution due to damage growth. The forces associated with the
cumulated plastic strain 0~and cumulated damage fl are, respectively, R and B,
called the plastic hardening threshold and the damage strengthening
threshold.
With the hypothesis of uncoupling between mechanical plastic and damage
dissipations, the second law of thermodynamics yields for an isothermal
process:
a_. " ~.p - Rd~ ~ O - Y [)- B fi > O
This induces the existence of a plastic dissipative potential and a damage

dissipative potential, chosen in this associated theory frame as the plastic yield
criterion and the damage evolution criterion.
Fp(a_, D_, R ) - 0 Fd(Y, B) -- 0
By introducing the Lagrange multipliers 2p and ~d, we define the 9 function:
-- cr " ~,p - R ~ - Y I ) - B f i - ,~pFp - ),dFd
If the criteria Fp and Fd are satisfied, the current values of _~, R, _Y, B, and _D
will make the 9 function have a stationary value. We can build the following
evolution laws"
OOo = o ~ ~.p - j.pOFp O@ 9 OFd

Oa - - Oa OY - o ~ O__--xdgi
OOo , o~p o, OFd
-0o =o a /~--~d~
OR
9.3.3.1 ANISOTROPIC ELASTICITY AND DAMAGE
When the material is damaged, the constitutive elastic law is given hereafter
as
_a - __C~_e
e
with __Ce the elastic stiffness matrix of the damaged material. Using the
principle of energy equivalence, the following relation can be written:
-_c~ - M -~ ( p ) _ c ~ -~ (p)
In the case of orthotropic materials, the damaged elastic tensor ~e -1 is

recalled in Reference [2].
9.3.3.2 ANISOTROPIC PLASTIC YIELD SURFACE
In this model, the plastic yield surface is chosen as the Hill's one:
rp(_~, D, R) -- ~p(_e, R) -- ~ q - Ro - R ( ~ ) -- 0
with R0 the initial elastic stress threshold and ae----~the effective anisotropic
equivalent stress:
806 Cescotto et al
where 7 is the back-stress tensor and H the plastic characteristic Hill tensor for
m
the fictitious undamaged material:
G+ H -H -G 0 0 0
-H H+ F -F 0 0 0
-G -F F+ G 0 0 0
H
0 0 0 N 0 0
0 0 0 0 L 0
0 0 0 0 0 M
F, G, H, L, M, and N are parameters characterizing the current state of plastic

anisotropy. For a strain-hardening material, the uniaxial stress in one
direction varies with an increase of plastic strain, and therefore the
anisotropic parameters should also vary, since they are a function of the
current yield stress. To determine them for the current state, we consider that
the plastic work should be the same in each direction. For instance, in the
case of a linear workhardening material, we have (Fig. 9.3.1):
with i - 1 to 6 (three tensile curves and three shear curves) and Eti is the
slope of the stress-plastic strain curve i.
We build the following ratios in terms of the new equivalent stress aF"
2 H -- al q- a2 - a3 N -- a4
ai = -- G- al -a2 --F a3 L- as
(\ LZ /- ~ } (a2 - a2)
- - q-- -a2i
- F---al-Fa2-4-a3 M--a6
~yi ~ Etref
~Pli ~Pleq F,-
FIGURE 9.3.1.
In the present model, the rolling direction (direction 1) is taken as the

reference one, so a l - 1. Using the evolution laws, we can develop the
following expressions:
- OFp M H___M(_r- ~) plastic flow rule

~p = 2p-~_
r -- 2p 2-~eq
/~ _ (1 _ m)",~vb-~OR isotropic hardening rule
f~ _ m2p( 0"- 7_) OR

kinematic hardening rule
- r162 O--d + ~-Z' - ~_'~--
Fp < 0 2p > 0 2pFp- 0 plastic loading-unloading rule

where m is the ratio of kinematic to isotropic hardening and 7~ is the
deviatoric tensor of Z"
9 . 3 . 3 . 3 DAMAGE EVOLUTION LAW AND DAMAGE

SURFACE
By analogy to the plasticity, a damage criterion, chosen as a quadratic

homogeneous function of the damage energy release rate Y, is proposed [1]"
Fd - Y~q - Bo - B(fl) -- 0
with the equivalent damage energy release rate Yeq defined thanks to the
damage charateristic tensor J: m
A suitable tensor J, simple enough to be applied and able to describe the

damage growth, hs been proposed by Zhu and Cescotto [3]"
s-2 /
Jv~J3 J3 J
In the case of damage hardening materials, the equivalent damage energy
release rate increases with an increase of the total damage growth. As for the H
matrix components, the anisotropic parameters should also vary. Again, we
suppose that for a current state of damage, the damage work done in each
direction should be the same. In the case of a linear damage hardening
808 Cescotto et al
characterized by its slope Dt, we have:

_ (Yeq) 2_ Yeq
Gq) -}- W02i
with i = 1 to 3 (the three principal directions of an orthotropic material). In

this model, the reference direction is the rolling direction and J1 = 1.
Similarly to the plastic flow, the anisotropic damage evolution laws are
characterized as follows:
COFd_--J~d J-Y COFd
D_ - - i d OY_ - 2Y~q ~ - - 1d ~ - id
damage evolution rules
OB
l} - 1~~ -- ;[ damage hardening rule
Fd<O 2d >_ 0 2dFd -- 0 damage loading-unloading rule
9.3.4 CALIBRATIONOF THE MODEL

All the parameters of this model can be identified only with tensile tests.
These tests are characterized by ~, the angle between the rolling direction of
the sheet and the axial direction of the sample (Fig. 9.3.2).
9.3.4.1 ELASTICPARAMETERS
Tensile tests are done in the domain of small displacements for the directions
0~= 0 ~ 45 ~ and 90 ~ They allow us to compute the Young's moduli and the
Poisson's coefficients. For sheets, tensile tests in the thickness direction are
rolling l # axialdirection
direction
(~
1 ~ transversal
1/ direction
FIGURE 9.3.2.
not possible; we assume the following relationships or use values deduced

from texture measures:
(El + E2)
E3= and G13-G23-G12
2
9.3.4.2 PLASTIC PARAMETERS
We need to know the stress-strain curves in the three orthotropic directions

and in the three shear planes. Uniaxial tensile tests in the domain of large
displacements are done. We use a statistical method which consists of tests in
the directions ~ - 0 ~ 15 ~ 30 ~ 45 ~ 60 ~ 75 ~ and 90 ~ For a given plastic
work level, we minimize a functional of the corresponding stresses in these
seven directions, leading to the Hill's parameters E G, H, and N ( N - M - L
for sheets) [4]. It is then possible to deduce the stress-strain curves in the
thickness direction and in the shear plane 1-2. The shear curves in the planes
1-3 and 2-3 are supposed to be equal to the one in the plane 1-2. The model
is able to use muhilinear stress-strain curves, with the number of points
chosen by the user.
Obviously, the model needs to be furnished with effective stress-strain
curves. Once we know the damage parameters of the material, these six
effective stress-strain curves can be computed analytically from the true
stress-strain curves.
_ g - M(_D)._~ and ~- M -1 (_D).g e
9.3.4.3 DAMAGE PARAMETERS
From the theory, we have the following relationship for a uniaxial test in
direction i:
Y,=
Ei(1 - D i ) 3
We need the three damage curves, characterized by the initial value of Yi and
the slope Dti of the damage curve (hypothesis of a linear behavior). If we
suppose that the damaging phenomenon begins with the entry in plasticity, we
have:
El(1 - Di) 3 Ei
810 Cescotto e t al
To find the effective curves, we compute the damage values (D1 D2 D3)
associated with a given stress value. It corresponds to the resolution of the
system hereafter:
yi = cr2
El(1 - Di) 3 = DtiDi + Yio
This yields a function cri(Di) presenting a maximum for a precise value

of D i. If we write the expression of Crmax according to Di, we obtain the
following relation:
27Ei
0"imax -- V 256Dt 3 (Dti + Yi0)2
Physically, O"i max should have the same value as the maximum stress on the
real stress-strain curve. Therefore, if we know this value, knowing Yio and Ei,
it is possible to determine Dti.
This leads to the conclusion that, for this model, no particular damage test is
necessary to find the damage parameters. This fact is simply linked to the
strong hypothesis of a linear damage curve.
9.3.5 H O W TO USE THE M O D E L
The model has been implemented in the nonlinear finite element code
LAGAMINE developed by the MSM team; the coupled integration scheme is
described in Zhu and Cescotto [3]. We only introduce the six effective stress-
strain curves, the Poisson's coefficients, and the damage parameters. The
predictions of the model can be illustrated by Figures 9.3.3 and 9.3.4, which
describe the effect on a uniaxial tensile loading.
Figure 9.3.3 shows the negative influence of the damage on the plasticity. It
compares the plastic surface obtained by using the true stresses (with damage)
and the one which is defined in the fictitious case of no damaging
phenomenon (using effective stresses). As it can be observed, the elastic
zone is reduced by the damage.
Figure 9.3.4 illustrates the shape evolution of the yield locus during the
deformation process. It can be seen that the anisotropic behavior of the
material varies with the deformation. This anisotropy variation is intensified
by the damaging phenomenon. See Table 9.3.1.
section of yield surfaces in the sigl-sig2 domain (SPX1250 steel)

Influence of the damage (epseq = 10%)
FIGURE 9.3.3.
section of yield surfaces in the sigl-sig2 domain (SPXI 250 steel)

Shape evolution with the equivalent plastic strain growth
FIGURE 9.3.4.
812 C e s c o t t o et al
O4
0~
~D
o~ ~D
~-4 r V: ~
r cr
eq"
00
O0 r'~
.B
eqeq
t~
tt~
.2~
t~
~ o~
t~
eq
eq oo
eq
REFERENCES
1. Cordebois, J.P., and Sidoroff, E (1979). Damage induced elastic anisotropy, EUROMECH 115,
Villard de Lans.
2. Habraken, A.M., et al. (1997). Calibration and validation of an anisotropic elasto-plastic
damage model for sheet metal forming, Mc NU97, Voyiadjis, ed., "Damage in Engineering
Materials", Studies in Applied Mechanics, Elsevier.
3. Zhu, Y., and Cescotto, S. (1995). A fully coupled elasto-visco-plastic damage theory for
anisotropic materials, Int. J. Solids Structures 32 (11): 1607-1641.
4. Noat, P., et al. (1995) Anisotropic 3-D modelling of hot rolling and plane strain compression of
A1 Alloys, in Simulation of Material Processing: Theory, Methods and Applications, Shen and
Dawson, eds.
SECTION 9.4
Model of Inelastic Behavior
Coupled to Damage
G E O R G E Z . VOYIADJIS
Department of Civil and Environmental Engineering, Louisiana State University, Baton Rouge,
Louisiana
Contents
9.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 814
9.4.2 Theoretical Formulation . . . . . . . . . . . . . . . . . . . 814
9.4.3 Discussion of the Results for the
Elasto-Viscoplastic Damage Analysis . . . . . . . . 817
9.4.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 818
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 820
9.4.1 INTRODUCTION
The coupling of damage and inelastic deformation in materials have been

studied only recently by Ju [1], Johansson and Runesson [2], and Voyiadjis
and Park [3]. Both Ju [1] and Johansson and Runesson [2] made use of the
effective stress utilizing a scalar measure of isotropic damage. Voyiadjis and
Park [3] made use of the effective configuration by invoking the kinematics of
damage through the use of a second-order damage tensor. The damage
mechanism of materials has been studied extensively by Lemaitre [4],
Krajcinovic [5], Murakami [6], and Voyiadjis and Park [7].
9.4.2 THEORETICAL FORMULATION
Damage variables can be presented through the internal state variables

of thermodynamics for irreversible processes in order to describe the effects

9.4 Model of Inelastic Behavior Coupled to Damage 815
of damage. One of the most crucial aspects of continuum damage mechanics

is the appropriate choice of the damage variable, since the accuracy and
reliability of the developed damage model are mostly dependent on the
suitable selection of the type and numbers of these variables. Damage is
expressed as follows [8]:
3
k=l
Since the elasto-viscoplastic response of the damaged material is considered

here, both hardening effects due to viscoplasticity and damage together with
previous above description of microcrack distribution can be introduced as
hidden internal state variables in the thermodynamic state potential. The form
of this potential in terms of observable and internal state variables can be
given as follows:
~, = ~,(~, ~r, ~, p, ~,, ,~, F) (2)
where the p and ~ variables characterize the isotropic and kinematic
hardening in plasticity and viscoplasticity, respectively, and the tr and F
variables characterize, respectively, the isotropic and kinematic hardening
in damage. In Eq. 2, T characterizes the temperature, and ~e is the elastic
component of the strain tensor. In order to account for loading
rate dependency and to regularize the localization problems, a viscous
anisotropic damage mechanism needs to be implemented. Such a model
accounts for retardation of the microcrack growth at higher strain rates. The
rate-dependent plastic strain rate [9-11] and the damage rate are given as
follows:
~p = II~pll ,ep + I1~11.~pd (3a)
and
-II~Vpll ndVp+ II~fl nd (3b)
Superscripts do not indicate a tensorial character but only a particular state of
the variable, such as elastic (e), plastic (p), viscoplastic (vp), damage (d),
viscoplastic-damage (vpd), etc. Superscripts in this work do not imply
tensorial indices but only describe the type of material inelasticity. In Eq. 3,
]l~vPll and I1~11 are the magnitudes of the plastic strain rate and damage rate
which can be decomposed into a product of two functions [12] using the
Zener parameters such that:
]l~,vplt - ~vp(T)ZVP ~ 0 (4a)
I~11- ~d(T)Zd ~ 0 (4b)

816 Voyiadjis
The unit tensors n vp, n vpd, n avp and n a are used to identify the direction of flow
of the plastic strain and damage, respectively. The dynamic potentials F vp and
G d for viscoplasticity and damage given by Voyiadjis and Deliktas [2000] are
used in this work. As pointed out earlier, the internal state variables are
introduced in the material model to represent the true response of the
material due to the variation of the microstructure when subjected to external
forces. The anisotropic structure of the material is usually defined in two
forms, either as material-inherited or deformation-induced. The anisotropic
nature of the composite material is material-inherited anisotropy. However, at
the local level its constituents are isotropic materials. Therefore, the use of a
micromechanical model to analyze the composite material deals with
deformation-induced anisotropy. This phenomenon is characterized in the
theory by using internal variables for the hardening terms and by using the
second-order tensorial form of the damage variable. The general form of
the internal variables can be defined as follows [12]:
Ah -- hardening-dynamic recovery - static recovery (5)
The hardening terms represent the strengthening mechanism, and the
recovery terms represent the softening mechanism. The hardening and
dynamic recovery terms evolve with the deformation due to either plasticity
or damage or both. The static recovery term evolves with time. The evolution
equations of the internal variables for the rate-dependent behavior are
described as follows:
f i - 3_ HV p (kvp 3 IlXll l ~vpll dvp" ~ _ ~vpx " by p (6a)

2 \ 2 L vp /
~, _ Qvp 1 - ~-~ II~Pll - ovpT(r ) (6b)
X
b vp -iX[---~ (6c)
n vp 9X . n vp
d vp - (1 - pvP) bvP + pVp IIX I (6d)
Similarly, the evolution equations for the hardening variables of damage can
be written analogously to that of plasticity as follows:
- ~ 2 L d I1~11 d d - ~dr. (7a)
_ Qa
(K)
1 - ~-a I1~11 - ~d~(~) (7b)
bd = F
F (7c)
F rl d
r - (; - + ilrli (74)
where p~P defines the nonproportionality condition. In these equations, H ~p,
L~p, Q~P,H a, La, and Qa are the model parameters.
In a general state of deformation and damage, the effective stress tensor # is
related to the Cauchy stress tensor ~ by the following linear transformation
[131:
(8)
where M is a fourth-order linear transformation operator called the damage
effect tensor. Depending on the form used for M, it is very clear from Eq. 8
that the effective stress tensor ~ is generally nonsymmetric. One of the
symmetrization methods is given by [14].
The elastoplastic stiffness for the damaged material can be obtained by
using the incremental relation of Hooke's law in the effective stress space as
follows:
a - / ~ 9~e (9)
The effective stress rate, ~-, and the elastic component of the effective strain
rate, ~, in Eq. 9 can be transformed into the damage configuration by using
Eq. 8 such that
6 - _ m - 1 . /~ . m - 1 . ~e (10)
The final constitutive equations are given as follows [11]
6---E a" ( k - Z p'6-), 6--- ( I + E a'Zp) -1 .E a . k _ D . (11)
where Ea represents the elastic damaged stiffness and is defined by
E d -- m-1 . ~. m -1 (12)
D in Eq. 11 represents the elastoplastic damaged stiffness [11].
9.4.3 DISCUSSION OF THE RESULTS FOR THE

E L A S T O - V I S C O P L A S T I C D A M A G E ANALYSIS
The special-purpose computer program DVP-CALSET, is used for the

numerical simulation of uniaxial loading of laminated systems. The numerical
results using the proposed model show good correlations with the
experimental results on titanium metal matrix composites reinforced with
818 Voyiadjis
silicon carbide fibers for the laminate layups of (90)8s, which are tested under
uniaxial tension. The proposed model is also validated by showing good
agreement of the numerical results with the experimental observations on the
characteristic behavior of the metal matrix composite at different strain rates
and temperatures. The computational analysis of the viscoplastic damage
model is performed for the laminate systems of (90)8s at elevated
temperatures of 538~ and 649~ in Figure 9.4.1 and for different strain
rates in Figure 9.4.2. The viscoplastic and damage model parameters are given
in Tables 9.4.1 and 9.4.2
9.4.4 C O N C L U S I O N
A coupled incremental damage and plasticity theory for rate-independent and

rate-dependent composite materials is presented in this work. Damage is
characterized kinematically here through a second-order damage tensor for
each material constituent, and its physical interpretation is also presented.
This is related to the microcrack porosity and crack density within the unit
E l e v a t e d T e m p e r a t u r e s (538 C & 6 4 9 C)
90_(8s) Ti-15-3/SCS6 Strain Rate=0.0001
300.0 ........ ~. . . . . . . . : ........ !
~x~,..~t= n.u., (s;sc)

~ Proposed Model (649)
At- - -A Proposed Model (538C) 9 9
-, Experimental Resulta(649C) a ~ .-,a- ~ a - ~v -
.A. JIf ~"
200.0
e~ f |
/
= /
e 1
/
100.0
, .... I .......... , , I ........... , I , ,

0.0 ~.
0.000 0.002 0.004 0.006 0.008

Longitudinal Strain
FIGURE 9.4.1 Comparisonof viscoplastic damage model with experimental results [15] of the
(90)s, layup at different elevated temperatures of 538~ and 649~
(0/90) T i - 1 4 A I - 2 1 N b/SCS-6
0.015 ....
i IH strainrate:0.01(fiber).......
' I. . . . . ". . . . . . . . . . ! 9 I 9
' i - - - strain rate--0.01(matrix)

! [ strain rate=0.001(matrix)
f [A .....A strain rate=0.001(fiber)
i t a--It strain rate=0.0001(fiber)
[ -- 7:::strain rate,0:0001(matrix)
i
A
~., 0.010
i .f
g
0.005
4000.0
0.000 - . . . . . . . .... i I .......... t ...... |
0.0 1000.0 2000.0 3000.0

Stress(MPa)
FIGURE 9.4.2 Strain rate effect on the damage variable ~b of the 90~8s) layup.
TABLE 9.4.1 Viscoelastic Model Parameters
Properties T= 21~ T-- 21~ T-- 21~
Ef (GPa) 400 393 370

Em (GPa) 92.4 72.2 55
~ry (MPa) 689 45 15.5
/_/vp (MPa) 5000 50,000 50,000
L vp (MPa) 100 85 75
D vp (MPa) 840 450 85
nl 5.4 1.55 1.3
TABLE 9.4.2 Rate-Dependent Damage Parameters
Properties T= 538~ T= 649~
/~m 0.07 0.0047

~m 0.78 1.2
vm 0.0003 0.00003
0.04 0.0045
~f 0.78 0.82
vf 0.00018 0.00005
820 Voyiadjis
cell and characterizes separately the damage in each material constituent.

Damage is characterized here in terms of two fourth-order tensors, the
damage in the matrix and the damage in the fiber. The damage in the fiber
characterizes both the internal damage in the fiber due to the cracks and voids
as well as the damage due to debonding. The present formulation seems to be
robust and efficient for the type of problems presented in this work.
REFERENCES
1. Ju, J. W. (1989). Energy based coupled elastoplastic damage theories: Constitutive modeling
and computational aspect. Int. J. Solids Struct. 25: 803-833.
2. Johansson, M., and Runesson, K. (1977). Viscoplastic with dynamic yield surface coupled to
damage. Comput. Mech. 20: 53-59.
3. Voyiadjis, G. Z., and Park, T. (1999). Kinematics description of damage for finite strain
plasticity. J. Eng. Sci. 37: 803-830.
4. Lemaitre, J. (1984). How to use damage mechanics. Nucl. Eng. Design 20: 233-245.
5. Krajcinovic, D. (1983). Constitutive equations for damaging materials. J. Appl. Mech. 50: 355-
360.
6. Murakami, S. (1988). Mechanical modeling of material damage. J. Appl. Mech. 55: 281-286.
7. Voyiadjis, G. Z., and Park, T. (1995). Local and interfacial damage analysis of metal-matrix
composites. Int. J. Appl. Mech. 33(11): 1595-1621.
8. Voyiadjis, G. Z., and Park, T. (1997). Anisotropic damage effect tensors for the symmetrization
of the effective stress tensor. J. Appl. Mech. ASME 64: 106-110.
9. Perzyna, P. (1963). The constitutive equations for rate sensitive plastic materials. Appl. Math.
20: 321-332.
10. Perzyna, P. (1971). Thermodynamic theory of viscoplasticity. Adv. Appl. Mech. 11: 313-354.
11. Voyiadjis, G. Z., and Deliktas, B. (2000). A coupled anisotropic damage model for the inelastic
response of composite materials. Comput. Methods Appl. Mech. Engr. 183: 159-199.
12. Freed, A. D., Chaboche, J. L., and Walker, K. P . (1991). A viscoplastic theory with
thermodynamic considerations. Acta Mechanica 90:155-174.
13. Murakami, S., and Ohno, N. (1981). A continuum theory of creep and creep damage, in Creep
in Structures, pp. 422-444, Ponter, A. R. S., and Hayhurst, D. R., eds., Berlin: Springer.
14. Cordebois, J. P., and Sidoroff, E (1979). Damage-induced elastic anisotropy, in Mechanics of
Behavior of Anisotropy Solids~N~ Comportement Mechanique Des Solides Anisotropes, pp. 19-
22, Boehler, J. P., ed., MartinuesNijhoff.
15. Majumdar, B. S., and Newaz, G. M. (1992). Inelastic deformation of metal-matrix composite:
Part I. Plasticity and damage mechanism. CR-189095, NASA.
SECTION 9.5
Thermo-Elasto-
Viscoplasticity and Damage
PIOTR PERZYNA
Institute of Fundamental Technological Research, Polish Academy of Sciences,
Swictokrzyska 21, 00-049 Warsaw, Poland
Contents
9.5.1 Basic a s s u m p t i o n s a n d definitions . . . . . . . . . . 821
9.5.2 C o n s t i t u t i v e P o s t u l a t e s . . . . . . . . . . . . . . . . . . . . 823
9.5.3 F u n d a m e n t a l A s s u m p t i o n s . . . . . . . . . . . . . . . . . 824
9.5.4 I n t r i n s i c M i c r o d a m a g e Process . . . . . . . . . . . . . 825
9.5.5 K i n e m a t i c H a r d e n i n g . . . . . . . . . . . . . . . . . . . . . . 827
9.5.6 T h e r m o d y n a m i c R e s t r i c t i o n s a n d Rate-Type
C o n s t i t u t i v e Relations . . . . . . . . . . . . . . . . . . . . . 829
9.5.7 I d e n t i f i c a t i o n P r o c e d u r e . . . . . . . . . . . . . . . . . . . . 830
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 832
9.5.1 BASIC ASSUMPTIONS A N D DEFINITIONS
Let us assume that a c o n t i n u u m body is an open b o u n d e d set ~ c [~3, and let

~b : ~ ~ ~ be a C 1 configuration of ~ in ~ . The tangent of ~b is denoted
F = T~b and is called the deformation gradient of ~b.
Let {XA} and {x a} denote coordinate systems on ~ and ~ , respectively.
Then we refer to ~ C ~3 as the reference configuration of a c o n t i n u u m body
with particles X E ~ and to ~ = ~b(~) as the current configuration with
points x c ~ . The matrix F(X,t)=cgc~(X,t)/cgX with respect to the
coordinate bases EA(X) and %(x)is given by
F ~ ( X , t) - - ~ - x ( X , t) (1)
where a mapping x - ~b(X, t) represents a motion of a body N.

822 Perzyna
We consider the local multiplicative decomposition

F - F e. F p (2)
where (Fe) -1 is the deformation gradient that releases elastically the stress on
the neighborhood #5[JV'(X)] in the current configuration.
Let us define the total and elastic Finger deformation tensors
b--F.F r, b e - - F e . F d- (3)
respectively, and the Eulerian strain tensors as follows:

e - l(g- b-l), ee - l ( g - be-l), (4)
where g denotes the metric tensor in the current configuration.

By the definition 1
eP e - e e -- l(be-~ - b -1) (5)
we introduce the plastic Eulerian strain tensor.

To define objective rates for vectors and tensors, we use the Lie derivative. 2
Let us define the Lie derivative of a spatial tensor field t with respect to the
velocity field t) as
0
L~t -- ~b. ~-~(~b*t) (6)
where ~b* and ~b. denote the pull-back and push-forward operations,
respectively.
The rate of deformation tensor is defined as follows:
d ~ - L v e ~ = ~ 1L o g - ~ ( g1a c v c l b + g c b uc la) ea | eb (7)
where the symbol b denotes the index lowering operator and | the tensor product,
Ov a
and 7~c denotes the Christoffel symbol for the general coordinate systems
{xa}. The components of the spin m are given by
1. vc l(cgva Ov~'~ (9)
1For a precise definition of the finite elastoplastic deformation, see Perzyna [1].
2The algebraic and dynamic interpretations of the Lie derivative have been presented by Abraham
et al. [2]; cf. also Marsden and Hughes [3].
9.5 Thermo-Elasto-Viscoplasticityand Damage 823
Similarly, e~
de=L~e , dV = L ~ e p (10)
and
d=dr p (11)
Let ~ denote the Kirchhoff stress tensor related to the Cauchy stress tensor (r by
"e -- J(r --
PRef ~ (12)
P
where the Jacobian J is the determinant of the linear transformation
F(X, t ) - (O/OX)qb(X, t), and pR4(X) and p(x, t) denote the mass density in
the reference and current configuration, respectively.
The Lie derivative of the Kirchhoff stress tensor T E T2(~ ') (elements of
T2[~~'] are called tensors on 50, contravariant of order 2) gives
0
Lot -- #5. ~-~(~b*"r)
--
{ F.~-~[F-0 1 9 (,C. ~.) F ._ I . r] Fr } ~b
-1 (13)
= + - (d + o~).~ - v. (d + r
where o denotes the composition of mappings. In the coordinate system
Eq. 13 reads
(Lo*) ab -- F~-~(F
a 0 c 1A cCdFdlS )F~
&cab &cab c cbova ZacOrb (14)

= ' Ot + 07 v - .c -~x c - Ox ~
Equation (14) defines the Oldroyd rate of the Kirchhoff stress tensor
(cf. Oldroyd [4]).
9.5.2 CONSTITUTIVE POSTULATES
Let us assume that (i) conservation of mass, (ii) balance of momentum, (iii)
balance of moment of momentum, (iv) balance of energy, and (v) entropy
production inequality hold.
We introduce the four fundamental postulates:
1. Existence of the free energy function. It is assumed that the free energy
function is given by
-- ~(e, F, O; p) (15)
where e denotes the Eulerian strain tensor, F is the deformation gradient, 0 is
the temperature, and # denotes a set of the internal state variables.
824 Perzyna
To extend the domain of the description of the material properties and, in

particular to take into consideration different dissipation effects, we have to
introduce the internal state variables represented by the vector/~.
(2) Axiom of objectivity (spatial covariance). The constitutive structure
should be invariant with respect to any diffeomorphism (any motion) ~:
5p ~ 5" (cf. Marsden and Hughes [3]). Assuming that ~ : 5p ~ 5e is a regular,
orientation-preserving map transforming x into x t and T~ is an isometry from
TxSP to Tx, SP, we obtain the axiom of material frame indifference (cf.
Truesdell and Noll [5]).
(3) The axiom of the entropy production. For any regular motion of a
body ~ the constitutive functions are assumed to satisfy the reduced
dissipation inequality
1 1
9 " d - (r/0 + ~) - ~--~q. grad 0 _> 0 (16)
PRef
where PRef and p denote the mass density in the reference and actual
configuration, respectively, 9 is the Kirchhoff stress tensor, d is the rate of
deformation, q is the specific (per unit mass) entropy, and q denotes the heat
flow vector field. Marsden and Hughes [3] proved that the reduced dissipation
inequality (Eq. 16) is equivalent to the entropy production inequality first
introduced by Coleman and Noll [6] in the form of the Clausius-Duhem
inequality. In fact, the Clausius-Duhem inequality gives a statement of the
second law of thermodynamics within the framework of mechanics of
continuous media; cf. Duszek and Perzyna [7].
(4) The evolution equation for the internal state variable vector /l is
assumed in the following form:
LvB = rh(e, F, 0, ~) (17)
where the evolution function lh has to be determined on the basis of a careful

physical interpretation of a set of the internal state variables and analysis of
available experimental observations.
The determination of the evolution function lh (in practice a finite set of
the evolution functions) appears to be the main problem of the modern
constitutive modeling.
9.5.3 FUNDAMENTAL ASSUMPTIONS
The main objective is to develop the rate-type constitutive structure for an

elastic-viscoplastic material in which the effects of the plastic non-normality,
9.5 Thermo-Elasto-Viscoplasticity and Damage 825
plastic strain induced anisotropy (kinematic hardening), micro-damaged

mechanism, and thermomechanical coupling are taken into consideration. To
do this it is sufficient to assume a finite set of the internal state variables. For
our practical purposes it is sufficient to assume that the internal state vector p
has the form
p = (gP, ~, ~) (18)
where eP is the equivalent viscoplastic deformation, i.e.,
gP -- d p" d p I dt (19)
/
The symbol ~ is volume fraction porosity and takes account of microdamaged
effects and 9 denotes the residual stress (the back stress) and aims at the
description of the kinematic hardening effects.
Let us introduce the plastic potential function f - f ( J l , J 2 , 8,p), where
J1, J2 denote the first two invariants of the stress tensor ~ - 1: - 0~.
Let us postulate the evolution equations as follows:
dp = A P , 4=E, Loe=A (20)
where for the elasto-viscoplastic model of a material we assume (cf. Perzyna
[1, 8-101)
A-T-~I/(I)( f- 1)) (21)
Here Tm denotes the relaxation time for mechanical disturbances, the

isotropic workhardening-softening function K is
K = K(gP, ~), ~) (22)
(I) is the empirical overstress function, the bracket (.) defines the ramp
function,
Of Of -I
and E and A denote the evolution functions which have to be determined.
9.5.4 INTRINSIC MICRODAMAGE PROCESS
An analysis of the experimental observations for cycle fatigue damage

mechanisms at high temperature of metals performed by Sidey and Coffin
[11] suggests that the intrinsic microdamage process very much depends on
the strain rate effects as well as on the wave shape effects. In the tests in which
826 Perzyna
duration of extension stress was larger than duration of compression stress (in
single cycle), decreasing of the fatigue lifetime was observed and the fracture
mode changed from a transgranular fracture for the fast-slow wave shape, to
an intergranular single-crack fracture for equal ramp rates, to interior
cavitation for the slow-fast test.
To take into consideration these observed time-dependent effects, it is
advantageous to use the description of the intrinsic microdamage process
presented by Perzyna [12, 13] and Duszek-Perzyna and Perzyna [14].
Let us assume that the intrinsic microdamage process consists of the
nucleation and growth mechanism. 3physical considerations (cf. Curran et al.
[16] and Perzyna [12, 13]) have shown that the nucleation of microvoids in
dynamic loading processes which are characterized by a very short time
duration is governed by the thermally activated mechanism. Based on this
heuristic suggestion and taking into account the influence of the stress
triaxiality on the nucleation mechanism, we postulate for rate-dependent
plastic flow
--lh [ m* (~q)'In- l:n(~' ~q' E P ) ' - 1] (24)
where k denotes the Boltzmann constant, h~(~,~) represents a void

nucleation material function which is introduced to take account of the
effect of microvoid interaction, m ~ (~) is a temperature-dependent coefficient,
rn(~,~,~ p) is the porosity, temperature, and equivalent plastic strain
dependent threshold stress for microvoid nucleation,
defines the stress-intensity invariant for nucleation, ai ( i - 1,2,3) are the

material constants, J1 denotes the first invariant of the stress tensor ~ = ~ - 0~,
and j~ and, J~ are the second and third invariants of the stress deviator
- -
For the growth mechanism we postulate (cf. Johnson [17]); Perzyna

[12,13]; Perzyna and Drabik [18, 19])
1 g* (r ~)[~g _ ~eq(r ~, EP)] (26)

x0
where Tm xo denotes the dynamic viscosity of a material, g* (r ~) represents
a void growth material function and takes account for void interaction,
3Recent experimental observation results (cf. Shockey et al. [15]) have shown that the
coalescence mechanism can be treated as a nucleation and growth process on a smaller scale. This
conjecture very much simplifies the description of the intrinsic microdamage process by only
taking account of the nucleation and growth mechanisms.
Zeq(~,O, eP) is the porosity, temperature, and equivalent plastic strain

dependent void growth threshold stress,
Ig -- blJ1 -Jr-b2 ~t qt_ b3 (j~)3 (27)

defines the stress-intensity invariant for growth, and bi (i = 1,2,3) are the
material constants.
Finally, the evolution equation for the porosity ~ has the form
4= h exp - ~ - ,
Tm kO Tm Xo
(28)
This determines the evolution function ~.
9.5.5 KINEMATIC HARDENING
For a constitutive model describing the behavior of a material under cyclic

loading processes, the evolution equation plays the crucial role for the back
stress ~, which is responsible for the description of the induced plastic strain
anisotropy effects.
We shall follow some fundamental results obtained by Duszek and Perzyna
[20]. Let us postulate
Lo~ -----a ( d p, ~, 0, ~) (29)
Making use of the tensorial representation of the function A and taking into
account that there is no change of 9 when ~ = 0 and d p = 0, the evolution law
(Eq. 29) can be written in the form (cf. Truesdell and Noll [5])
Lo~ -- r/ldP + r/2~ + r/3dp2 + /]4~2 + r/5 (dP 9~ + ~ - d p)
(30)
where q l , . . - , r/s are functions of the basic invariants of d p and ~, the porosity
parameter ~, and temperature 0.
A linear approximation of the general evolution law (Eq. 30) leads to the result
L ~ = r/ldP + ~2~ (31)
This kinetic law represents the linear combination of the Prager and Ziegler
kinematic hardening rules (cf. Prager [21] and Ziegler [22]).
To determine the connection between the material functions ql and r/2, we
take advantage of the geometrical relation (cf. Duszek and Perzyna [20])
(Lv~- rdP): Q = 0 (32)
828 Perzyna
where
-1
+ (33)
and r denotes the new material function.

Equation (32) leads to the result
(34)
Finally, the kinematic hardening evolution law takes the form
(35)
where
FI(~, ~) --- /]I, F2(~, ~) - - F -- /71 (36)
It is noteworthy to add that the developed procedure can be used as general

approach for obtaining various particular kinematic hardening laws. As an
example, let us assume that the evolution function A in Eq. 29 instead of d p
and ~ depends on d p and 0~only (cf. Agah-Tehrani et al. [23]). Then, instead
of Eq. 35 we obtain
(37)
where
P:Q
~ = ~, ~ = -u(~, ~)~ (38)
~:Q
When the infinitesimal deformations and rate-independent response of a

material are assumed and the intrinsic microdamage effects are neglected then
the kinematic hardening law (Eq. 37) reduces to that proposed by Armstrong
and Frederick [24].
The kinematic hardening law (Eq. 37) leads to the nonlinear stress-
strain relation with the characteristic saturation effect. The material function
~1(~, ~) for ~ = ~0 and & = ~0 can be interpreted as an initial value of the
kinematic hardening modulus, and the material function ~2(~, ~9) determines
the character of the nonlinearity of kinematic hardening. The particular forms
of the functions ~1 and ~2 have to take into account the degradation nature of
the influence of the intrinsic microdamage process on the evolution of
anisotropic hardening.
9.5 Thermo-Elasto-Viscoplasticityand Damage 829
9.5.6 T H E R M O D Y N A M I C R E S T R I C T I O N S AND
RATE-TYPE C O N S T I T U T I V E RELATIONS
Suppose the axiom of the entropy production holds. Then the constitutive
assumption (Eq. 15) and the evolution equations (Eq. 20) lead to the
following results
- OR4 -~e' rl - 08' - 0---~ - ~-~q. grad 8 >_ 0. (39)
The rate of internal dissipation is determined by
~= c9~ [0~ /2 cql~ ( r 2 P: Q'~]A - 0 ~ (40)

-0--~'L~ ~ y 3 +-~-a" riP+ ~:Q / c0--~-"
Operating on the stress relation (first part of Eq. 39) with the Lie derivative
and keeping the internal state vector constant, we obtain (cf. Duszek-Perzyna
and Perzyna [14])
Lo'r,-ff'r P]~-~(@(-~- 1 ) ) (41)
where
o eth o (42)
2 ' e - PR4 ~ -- --PR4 0 e & 9 "
Substituting ~ into the energy balance equation and taking into account
the results (third part of Eq. 39 and Eq. 40) gives
p~il - -div q + pS"i (43)
Operating on the entropy relation (second part of Eq. 39) with the Lie
derivative and substituting the result into Eq. 43, we obtain
pCp~ - -div q + ,9 p cg'r. d + PZ* "r, 9d e + PZ * * (44)

PRef O~
where the specific heat
cp - - 8 08------~
(45)
830 Perzyna
and the irreversibility coefficients Z* and Z** are determined by

[ ( c 3 ~ _ 02ff)V ~ (0~) c32~)) ( r2P:Q ) ] 1
Z* - - - ~-'~c9,9oq@ 4- ~ - , 9 cgOOot " rlP4- Q ~" P
X. . . . - - ~ - ,9 0,9c9r (46)
so, a set of the constitutive equations of the rate type has the form as follows
1< (f)>
Lvl: -- ~ e . d - ~6vth~ _ [(~(,e + gl: + l:g)" P]T--mm ~ - 1 ,
pcp8 = - d i v q + O p 0~. d+pX*~ml < ~ ( f -1

)>
"'P+PX
..
4,
PRef c9~
h.(r m* (,9) II'n - "on(C,,9, eP)[ g.
exp 1 + ~r---v~ [Is "Ceq(~,,9, sP)],
Tm k,9 - -
1< ( f ) >
Lvot = ~ 9 - 1 [~1(~, 0)P - (2(~, 0)0t]. (47)
All the material functions and the material constants should be identified
based on available experimental data.
9.5.7 IDENTIFICATION PROCEDURE
To do the proper identification procedure, we first make an assumption of the

material functions (cf. Dornowski and Perzyna [25]).
The plastic potential function f is assumed in the form (cf. Perzyna [26]
and Shima and Oyane [27])
f--- {]2 -']- [111(0) q- 112(~)~]J-~21}1/2 (48)
where
111(~) --" 0, 112(~) = const (49)
The isotropic workhardening-softening function ~c is postulated as (cf.
Perzyna [12] and Nemes and Eftis [28])
tc = ~(eP, ~q,r = {Ks(O)- [Ks(0)- Ko(~q)]exp[-0(0)eP]} 1 -
(50)
where
~o* ~,
~o(~) = ~o -
~9- ~Qo (51)

a(~) - a * - a** ~, /3(~) -/3*-/3** ~, ~ =
Oo
The overstress function O ( f - 1] is assumed in the form
x /
The evolution equation for the kinematic hardening parameter 0c is assumed

in the form of Eq. 37 with
r (r ~) - r - el* g, r162 ~) - r - r g (53)
The evolution equation for the porosity ~ is postulated as
where (cf. Dornowski [29])
' ~o(0) 1 -
Ig - b l J l + b 2 ~ 2
1
~(r ~, ~p) - ~ ( ~ ) ( 1 - r ~ {2~(~)
-[~(o) - ~o(O)]F(~o, ~, o)}

Cl (8) - const, c2(8) = const,
r
F(~o,~,~q) = 1_~0
As in the infinitesimal theory of elasticity, we assume linear properties of the
material, i.e.,
o~q~ -- 2#1 + 2(g | g) (56)
where # and ~. denote the Lam~ constants, and the thermal expansion matrix
is postulated as
~th = (2# + 32)0g (57)
where 0 is the thermal expansion constant.
To determine the material constants assumed, we take advantage of the
experimental observations presented by Chakrabarti and Spretnak [30]. They
832 Perzyna
TABLE 9.5.1 Material Constants for AISI 4340 Steel

Ks* = 809 MPa Ks** = 228 MPa Ko = 598 MPa Ko* = 168 MPa
6" = 14.00, 6** = 3.94 ~* = 9.00 ~** = 2.53
~9o= 293 K IF = 0.20 PRef= 7850 kg/m 3 ~ = 76.92 GPa
2 = 115.38GPa 0 = 12 x 1 0 - 6 K -1 Tm = 2.5ms m= 1
~1 = 15.00 GPa ~1" = 4.22 GPa ~ = 69.60 ~'2" = 19.60
C1 - - 0 . 2 0 2 c2 = 6.7 x 10-2 bl = 1.00 b2 = 1.30
4o = 6 x 10 - 4 ~ = 0.85 ;~ = 0 Cp= 455J/kg K
investigated the localized fracture m o d e for tensile steel sheet s p e c i m e n s

s i m u l a t i n g b o t h plane stress and plane strain processes. The material used in
their s t u d y was AISI 4340 steel. The principal variable in this fiat s p e c i m e n
test was the w i d t h - t o - t h i c k n e s s ratio. Variation in s p e c i m e n g e o m e t r y
p r o d u c e s significant changes in stress state, directions of shear bands, a n d
ductility. T h e y found that fracture p r o p a g a t e d consistently along the shear
b a n d localized region.
Let us n o w consider the adiabatic d y n a m i c process for a thin steel plate
u n d e r the c o n d i t i o n of plane stress state. In fact, we idealize the initial
b o u n d a r y value p r o b l e m investigated by C h a k r a b a r t i a n d Spretnak [30] by
a s s u m i n g the velocity-driven adiabatic process for a thin steel plate. The
p r o b l e m has b e e n solved by using the finite difference m e t h o d .
In n u m e r i c a l calculations it is a s s u m e d that
V0- 1.5m/s, t0-501ts, tf-800its
The material of a plate is AISI 4340 steel.

Based on the best curve fitting of the e x p e r i m e n t a l results o b t a i n e d by
C h a k r a b a r t i and Spretnak [30] for the stress-strain relation, the identification
of the material constants has b e e n done, (Table 9.5.1).
The application of the constitutive equations (Eq. 47) of a t h e r m o - e l a s t o -
viscoplastic m o d e l of materials for the solution of various initial b o u n d a r y
value p r o b l e m s (evolution p r o b l e m s ) has b e e n recently presented;
cf. L o d y g o w s k i and Perzyna [31] and D o r n o w s k i and Perzyna [25, 32].
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Canada, Wegner, L. J., and Norwood, E R., eds., ASME Book No AMR 137, pp. 114-121.
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Berlin: Springer.
3 Marsden, J. E., and Hughes, T. J. R. (1983). Mathematical Foundations of Elasticity Englewood
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2812-2825.
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25 Dornowski, W., and Perzyna, P. (2000). Localization phenomena in thermo-viscoplastic flow

processes under cyclic dynamic loadings. CAMES 7: 117-160.
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28 Nemes, J. A., and Eftis, J. (1993). Constitutive modelling of the dynamic fracture of smooth
tensile bars. Int. J. Plasticity 9: 243-270.
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pure shear. Metallurgical Transactions 6A: 733-747.
31 Lodygowski, T., and Perzyna, P. (1997). Localized fracture of inelastic polycrystalline solids
under dynamic loading processes. Int. J. Damage Mechanics 6: 364-407.
32 Dornowski, W., and Perzyna, P. (1999). Constitutive modelling of inelastic solids for plastic
flow processes under cyclic dynamic loadings. Transaction of the ASME, J. Eng. Materials and
Technology 121: 210-220.
SECTION 9.6
High-Temperature Creep
Deformation and Rupture
Models
D. R. HAYHURST
Department of Mechanical Engineering, UMIST, PO Box 88, Manchester M60 1QD, United Kingdom
Contents
9.6.1 B a c k g r o u n d . . . . . . . . . . . . . . . . . . . . . . . . . . . . 835
9.6.2 Single D a m a g e S t a t e Variable T h e o r i e s .. 8 3 6
9.6.2.1 A l u m i n i u m Alloy at 150~ and
210~ ........................... 836
9.6.2.2 C o p p e r at 2 5 0 ~ ................. 838
9.6.2.3 A u s t e n i t i c Stainless Steel
at 5 5 0 ~ ......................... 839
9 . 6 . 3 M u l t i d a m a g e S t a t e Variable T h e o r i e s . . . . 839
9.6.3.1 N i c k e l - B a s e d Superalloy, N i m o n i c
80A Tested at 7 5 0 ~ .............. 841
9.6.3.2 A l u m i n i u m Alloy Tested
at 150~ ......................... 842
9.6.3.3 Ferritic Steel a n d A s s o c i a t e d
W e l d Materials at 6 4 0 ~ .......... 845
9 . 6 . 4 I d e n t i f i c a t i o n of M a t e r i a l P a r a m e t e r s . . . . 847
9.6.5 H o w to U s e t h e M o d e l . . . . . . . . . . . . . . . . . . 847
References .................................... 847
9.6.1 B A C K G R O U N D
The mathematical modeling of primary, secondary, and tertiary creep is

addressed in this paper, with emphasis being placed on both uniaxial and

836 Hayhurst
multiaxial behaviour. The single state variable damage models due to

Kachanov [1] and to Robotnov [2] are first presented and used to model
aluminium alloys, copper, and austenitic stainless steels. Copper and the
aluminium alloys have been selected since they represent materials with
extreme types of multiaxial rupture behaviour, and austenitic stainless steel
represents intermediate behaviour. The single state variable theory gives a
good representation for these materials, since there is one dominant damage
mechanism. Multistate damage variable theories [3] have been used to model
those materials where either a more accurate representation is required than
can be achieved by a single damage state theory, or the synergy between the
mechanisms is so distinct that a multidamage state variable model is
necessary. In this paper an aluminium alloy tested at 150~ is used to
illustrate the former category and a Nimonic 80A superalloy and ferritic steels
are used to represent the latter category. In the next sections, the single
damage state variable theory is presented first, and is followed by the
multidamage state variable models. The equations for each material are
presented in turn, followed by the values of the constitutive parameters.
9 . 6 . 2 S I N G L E D A M A G E STATE V A R I A B L E
THEORIES
These theories were calibrated by Hayhurst [4,5] against experimental

uniaxial data, and, in addition, they were developed for multiaxial stress
conditions by Hayhurst [4, 6]. Hayhurst [6] used isochronous rupture loci, as
shown in Figure 9.6.1, to characterise multiaxial stress rupture behaviour. In
this figure the plane stress conditions are normalised with respect to the
uniaxial stress or0 required to give a specified lifetime. In the next section the
behaviour of aluminium alloys is presented.
9.6.2.1 ALUMINIUM ALLOY AT 150~ AND 210~
The behaviour of the alloy tested at 210~ has been investigated by Hayhurst
[4, 5] for uniaxial stresses, and by Hayhurst [6] for multiaxial stresses. The
alloy is specified as B.S.1472; it is a precipitation-hardened alloy tested after a
7-hour temperature soak period. The behaviour of a second alloy, tested at
150~ has been investigated by Kowalewski, Hayhurst, and Dyson [7] for
uniaxial stresses. The alloy is again specified as B.S.1472 and was tested
following a 12-hour temperature soak.
9.6 High-Temperature Creep Deformation and Rupture Models 837
'
cz = 1/ maximu m ~
tension stress// -L
law_ , l
effective
stress law
FIGURE 9.6.1 Schematicplot of plane stress isochronous rupture loci.
9.6.2.1.1 Uniaxial Behaviour

The uniaxial deformation, damage, and rupture behaviour for the materials
tested at 150~ and 210~ is given by Eqs. 1 and 2, and the material
constants, given in Table 9.6.1, may be traced to the references given
previously.
= o,)" (1)
CO-- Mtrxtm/(1 + ~b)(1 - o9) ~ (2)
The stress ranges, or, over which the parameters hold are:
9 270MPa > cr > 220MPa at 150~ c.f. Kowalewski, Hayhurst, and

Dyson [ 7]
9 70 MPa > cr > 30 MPa at 210 ~ c.f. Hayhurst, Dimmer, and Chernuka [8].
9.6.2.1.2 Multiaxial Behaviour

The multiaxial behaviour for materials tested at 150~ and 210~ is given by
Eqs. 3 and 4.
~,ij - G{oq[~"+l(crke)/(n + 1)]/cgcrij}tm/(1 - co)" (3)
CO-- M{~t71 -Jr-(1 - o~)tye}Ztm/(1 + ~b)(1 - co) r (4)

838 Hayhurst
TABLE 9.6.1 Material Constants in Units of MPa, % Creep

Strain, and Hours, for Aluminium Alloys at 150~ and
210~
Parameter 150 ~ 210 ~
E/MPa 71.10 • 103 60.03 • 103

n 11.034 6.900
m -0.3099 -0.200
Z 8.220 6.480
~b 12.107 9.500
:r 0 0
G 3.511 x 10 -27 1.15 x 10 -15
M 2.569 x 10 -22 1.79 • 10 - 1 4
(.of 0.99 0.99
where ~(00he) is a homogeneous potential function of degree one in stress, O~

is the maximum principal tension stress, rye(= 3SijSij/2) 1/2) is the effective
stress, sij(= 00ij - sij00~h/3) is the stress deviator, and the material constants are
given in Table 9.6.1. The multiaxial stress rupture criterion for both
aluminium alloys has been determined as close to g - - 0 , i.e., a maximum
effective stress rupture criterion. This has been supported for other alloys by
Hayhurst, Brown, and Morrison [9], Hayhurst, Dimmer, and Morrison [10],
and Hayhurst and Storakers [ 11].
9 . 6 . 2 . 2 COPPERAT 2 5 0 ~
The material for which data are presented here is commercially pure copper
which has been given a 12-hour temperature soak prior to testing at 250~
The uniaxial behaviour is given by Eqs. 1 and 2, and the material data are
provided in Table 9.6.2. Data are provided for two bars from different batches
of manufacture which may be traced to Hayhurst, Dimmer, and Morrison [10]
for bar 1, and to Hayhurst, Brown, and Morrison [9] for bar 2. The value of
the multiaxial stress rupture parameter ~ -- 0.70 has been verified using notch
bar tests by Hayhurst, Dimmer, and Morrison [10]. The stress range, a, over
which the parameters hold are:
9 45 MPa > 00 > 25MPa at 250~ bar 1; c.f. Hayhurst, Dimmer, and
Chumuka [8]
9 65MPa > 00 > 30MPa at 250~ bar 2; c.f. Hayhurst, Brown, and
Morrison [9].
TABLE 9.6.2 Material Constants in Units of MPa, % Creep

Strain, and Hours, for Two Different Copper Bars of the
Same Composition Tested at 250~
Parameter Copper bar 1 Copper bar 2
E/MPa 66.24 x 103 66.24 x 103

n 5.00 2.97
m -0.43 -0.79
Z 3.19 1.21
~b 6.00 3.83
0.70 0.70
G 3.21 x 10 -10 1.28 x 10 -6
M 1.89 x 10 -7 6.02 x 10 -4
cof 0.99 0.99
9.6.2.3 AUSTENITIC STAINLESS STEEL AT 5 5 0 ~
The material for which data are presented here is AISI 316 Stainless Steel
which has been given a 12-hour temperature soak prior to testing at 550~
The uniaxial behaviour is given by Eqs. 1 and 2, and the material data are
provided in Table 9.6.3.
The value of the muhiaxial stress rupture parameter ~ - - 0 . 7 5 has
been verified using notch bar tests by Hayhurst, Dimmer, and
Morrison [10]. It is shown in Figure 9.6.2 as an isochronous locus, where
it is compared with the experimental results of Chubb and Bolton [12]
for a similar material at 600 ~C. The stress range, or, over which the parameters
hold are:
9 350 MPa > o-> 160 MPa at 250~ c.f. Hayhurst, Dimmer, and Morri-
son [10].
9 . 6 . 3 M U L T I D A M A G E STATE VARIABLE
THEORIES
The need for synergistic multidamage state variable theories has been
addressed by Dyson, Verma, and Szkopiak [13] and by Othman, Hayhurst,
and Dyson [3]. The approach recognises the presence of competing softening
mechanisms which interact through global deformation processes. Each
physical mechanism is quantified by a single parameter, and its evolution is
described by a single rate equation. This results in a set of coupled differential
840 Hayhurst
TABLE 9.6.3 Material Constants in Units of MPa,

% Creep Strain, and Hours, for an Austenitic
Stainless Steel Tested at 550~
Parameter 316 Stainless Steel
E/MPa 169.617 x 103

v 0.300
n 1.737
m -0.940
Z 0.478
r 1.914
0.750
G 1.383 x 10 -5
M 2.774 x 10 -3
(.of 0.99
d"
! dV
-0.8
-0.4
~ = 0.75
r I 1
I I
-018 , -0.4
9. . . . I
0p 0;8
0.4
0 experiment
---0.•
~n/r
FIGURE 9.6.2 Comparison of isochronous loci for ~ -- 0.75 with experimental results obtained
for 316 Stainless Steel at 600~ [12].
equations which, when solved together with strain rate equations, leads to the
description of the creep curve. Presented in the next sections are the
equations for the superalloy Nimonic 80A tested at 750~ the aluminium
alloy at 150~ and ferritic steel tested at 640~
9 . 6 . 3 . 1 NICKEL-BASED SUPERALLOY~ NIMONIC 8 0 A

TESTED AT 750~

The uniaxial equations used by Othman, Hayhurst, and Dyson [3] to describe
the damage evolution, creep strain, and failure of this material are as follows:
k=A(sinhBa)/{(1 -o91)(1 -002)"} (5)
051 ~- CA(1 - 0.) 1 ) ( s i n h B a ) / ( 1 - o92)" (6)
o52 = DAN(sin hBa) / (1 - 091 )(1 -- 092)n (7)

n = Bae coth(Bae) (8)
whereN-- ~1 for al > 0

0 ( for al < 0
The two damage state variables represent physical mechanisms which operate
simultaneously, i.e., softening which takes place due to grain boundary cavity
nucleation and growth, (.02, and to the multiplication of mobile dislocations, o91.
The calibration of the equations is carried out as described by Othman, Hayhurst
and Dyson [3], and the resulting material constants are given in Table 9.6.4.

The set of constitutive multiaxial equations for this material is given by the
following:
T = ( A / B ) ( c o s h Bae) (9)
de0 dT 1
dt = ~ij - ds 0 (1 - COl)(1 - oo2)~ (10)
3Asij (sin hBae)

= (1 - Ol)(1 - n
(11)
051 = CA(1 - col)(sin h B a ) / ( 1 - oo2)n (12)

052 = D A N ( a l / a ) ~ ( s i n h B a e ) / ( 1 - o)1)(1 - co2)n (13)
whereN- ~1 for al > 0

0 t for al _< 0
842 Hayhurst

% Creep Strain, and Hours, for the Nickel-Based
Superalloy Nimonic 90, Tested at 750~
Parameter Nickel-based superalloy
E/MPa 200 x 103

A 2 x 10 -4
B 16 • 10 -3
C 300
D 2
v 2
of 1/3
Note that neither uni- nor multiaxial equation sets include primary creep. The
multiaxial rupture stress criterion v has been calibrated using torsion test data
by Dyson and Loveday [14]. The failure criterion in this model is cof = 1/3, as
defined by the creep constrained cavitation model, in contrast to cof = 0.99
for the single damage state variable model. The equations and constitutive
parameters are valid in the stress, a, range:
9 600 MPa > a > 100 MPa at 750~ c.f. Dyson and Loveday [14].
9.6.3.2 ALUMINIUM ALLOY TESTED AT 150~

The uniaxial constitutive equations are given by:
- A sin h{ Ba(1-
1 - e H) } /(i -co2 )n (14)
/I = (h~/a)(1 - H/H*) (15)

q) -- (Kc/3)(l- ~)4 (16)
cb2 -- DAN sin h { Ba(1

1 -e- H ) } /(i - co2)" (17)
_ fBa_~(1 -_H) coth{Bae(1 - H) (18)

n ((i-~) } (i-~) }
where N - f 1 for O"1 > 0

/ 0 for o1 < 0
The creep constrained cavitation damage parameter 092 is included in Eq. 17

together with two new state variables. The first, which is included in Eq. 15,
describes primary creep using the variable H, which monotonically increases
to its saturation value H* when primary creep has been concluded. The
second variable 9 describes the physics of aging to lie within the range of 0 to
1, for mathematical convenience. The corresponding material constants are
given in Table 9.6.5.
The multiaxial generalisation takes place through a potential function based

on the effective stress, and both the aging variable q) and the dislocation
density variable H are treated as scalars. The evolution of the damage variable
092 is dependent on the magnitude of the maximum principal tension stress,
and the muhiaxial stress state sensitivity is governed by the term (Crl/Cre) v in
Eq. 24. This equation can be integrated to yield the isochronous loci given in
Figure 9.6.3.
Ba-!(1 -- -/-/)} (19)
W -- (a/B)cos h i (1 - q~)
de/j dW 1
dt = - (2o)
so (1 - 092)
9 3A ~Bae(1-H)}
gij -- 2r sin h [ (~ - ~ i _ / (1 - o92)n (21)
/_:/__ hA ),(1 - H / H * ) s i n h{ B~ - H)}

o'e(1 - o92 (1 - ~) (22)
@P = (Kc/3)(1 - ~)4 (23)
fBa~(1 - H)
(o2--DAN{~}sinh[ i~--~i } (24)
whereN- ~1 for ~rl/Cre>0

[ 0 for al/a~_<0
It may be observed that the shapes of the loci due to the term (al/~r~) v in
Eq. 24 are essentially the same as those given in Figures 9.6.1 and 9.6.2 for the
function [~rl + (1 -~)~r~] z given in Eq. 4.
It is worth noting that Kowalewski, Hayhurst, and Dyson [7] contrasted
the quality of the creep curve representation provided by the single and
multiple state variable theories. They observed that the latter gave a very
844 Hayhurst

% Creep Strain, and Hours, for an Aluminium Alloy
at 150 ~
Parameter Aluminium alloy
E/MPa 71.1 • 103

A 2.960 • 10 -9
B 7.167 • 10 -2
D 6.630
h 1.370 • 105
H* 0.2032
Kc 19.310 x 10 -5
col 0.3
1.5
,0
[,,.I
",_~
~o 0.0
-0.5
d
-1.0
- 1.0 --0.5 0.0 0.5 1.0 1.5
N o r m a l i z e d stress Y~2
FIGURE 9.6.3 Isochronous rupture loci for biaxial plane stress determined by damage evolution
due to creep constrained cavitation with aging using Eqs. 20-24 for ao= 262 MPa. The loci are
given for the range of values on the stress state sensitivity index v marked on the figure
v= 12, 10, 7 , . . . , 0.
accurate prediction of the tertiary part of the creep curve. The equations and
constitutive parameters are valid in the stress range, a, given by:
9 270 MPa > a > 220 MPa at 150~ c.f. Kowalewski, Hayhurst, and
Dyson [7 ].
9 . 6 . 3 . 3 FERRITIC STEEL AND ASSOCIATED WELD

MATERIALS AT 640~
Data are presented here for materials encountered in ferritic steel steam pipe
butt welds. The parent pipe material considered is a 0.5Cr 0.5Mo 0.25V
ferritic steel which has been characterised by Perrin and Hayhurst [15]; the
weld material considered is derived from a 0.5Cr 0.5Mo 0.25V weld filler. The
behaviour of the intermediary phases--heat affect zone (HAZ) and Type IV;
see Figure 9.6.4, has been characterised using a technique used by Wang and
Hayhurst [16]. The technique involves property ratios and a knowledge of the
constitutive equations for the parent material. The constitutive equations are
now considered.

The equations developed by Perrin and Hayhurst [15] are as follows:
~-Asinh (1-~)(1-co2) (25)

/2/-- (hk/cr)(1 - H/H*) (26)
OP -- ( K c / 3 ) ( 1 - OP)4 (27)
B~(1-/q) } (28)
oh2 - DAN sin h (1 - (I))(1 - o)2)
where N -- J 1 for O-1 > 0

0 t for Crl < 0
w',~_r) ~ - T A L
[
/
FIGURE 9.6.4 Schematic diagram showing material phases in across-weld.
846 Hayhurst
Since all material phases of the weld are closely similar, the same equations
and the associated physical processes are likely to be the same, and the
uniaxial behaviour is described by Eqs. 25-28. C o m p a r i s o n of this equation
set with Eqs. 14-17 for the a l u m i n i u m alloy reveals that the only difference is
in the term for 1/(1 - co2), which relates to creep deformation; they therefore
have very similar modeling capabilities. The material constants are presented
for these materials in Table 9.6.6.
It is w o r t h noting that the HAZ properties are the same as those of the
parent materials.

As in the cases of the superalloy and the a l u m i n i u m alloy, the generalisation to
multiaxial stress takes place using a potential function based on the effective
stress and the multidamage state variables. The multiaxial stress rupture
criterion is being expressed t h r o u g h the term (al/ae) v in Eq. 33.
tp _ (A/B)cos h (1 - (I))(1 - co2) (29)
de,ij dip 3sij.A { Bae(1- H) } (30)

dt = ds--o~j= 2ae sin h (1 - (I))(1 - co2)
__( { Bae(l-H) }
/:/-- h A 1 - H/H* )sin h (31)
o'e (i - (I))(i -r
q) = (Kc/3)(l - q))4 (32)
cb2 -- DAN ~ sinh

i (l_(i))(l_co2)
1 (33)
TABLE 9.6.6 Material Constants in Units of MPa, % Creep Strain, and Hours, for Ferritic
Steel Parent, Weld Metal, HAZ, and Type IV Materials at 640~
Parameter Parent Weld Metal HAZ Type IV
E/MPa 160 x 103 160 x 103 160 x 103 160 x 103
A 1.6783 x i0-s 3.3731 x i0-s 1.6783 x i0-8 9.4250 X 10 -7
B 0.2434 0.2508 0.2434 0.1308
D 1.2845 1.2845 1.28451 3.125
h 2.4326 x 105 2.5128 x 105 2.4326 x 105 1.4750 • 1 0 4
H* 0.5929 0.6052 0.5929 0.6091
Kc 4.7378 X 1 0 - 4 9.4689 X 1 0 - 4 4.7378 • 1 0 - 4 2.5720 x 10-3
v 2.8 2.8 2.8 2.8
cof 1/3 1/3 1/3 1/2
whereN= ~1 for crl/Cre>O

{0 for 0"1/(7e ~ 0
The ranges of stress, or, over which the equations are valid at 640~ are:
9 40 MPa > o- > 20 MPa for parent

9 115 MPa > a > 20 MPa for weld
640~ c.f.Perrin and Hayhurst [15]
9 140 MPa > o- > 20 MPa for HAZ
9 160 MPa > a > 55 MPa for Type IV

PARAMETERS
First, material data are required u n d e r a uniaxial state of stress, and care must
be taken to achieve constancy of temperature control and to ensure axiality of
loading. Second, data are required u n d e r at least one state of multiaxial stress,
for example: biaxial tension cruciform test pieces [6, 17], Andrade shear discs
[ 11], torsion tests [ 18], and axisymmetrically n o t c h e d bars [ 10]. In this way,
the multiaxial stress rupture criterion of the material can be d e t e r m i n e d and
calibrated.
Any of the constitutive equations reported here may be used in nonlinear

finite element codes for elasto-viscoplasticity. In order to solve the coupled
multidamage state variable equation, it will usually be necessary to write
specific user subroutines to enable the equations to be interfaced with the
main finite element c o m p u t e r programme. In all cases it is r e c o m m e n d e d that
the numerical routines be checked against published data to verify accuracy,
stability, and convergence.
REFERENCES
1. Kachanov, L. M. (1960). The Theory of Creep (English translation ed. A. J. Kennedy), chs IX,
X, Boston Spa, Wetherby: British Library.
2. Rabotnov, Yu. M. (1969). Creep Problems in Structural Members (English translation
ed. E A. Leckie), ch. 6, Amsterdam: North Holland.
848 Hayhurst
3. Othman, A. M., Hayhurst, D. R., and Dyson, B. E (1993). Skeletal point stresses in
circumferentially notched tension bars undergoing tertiary creep modelled with physically-
based constitutive equations, Proc. R. Soc. (London) 441: 343-358.
4. Hayhurst, D. R. (1970). Isothermal Creep Deformation and Rupture of Structures. Ph.D.
thesis, Cambridge University.
5. Hayhurst, D. R. (1973). Stress redistribution and rupture due to creep in a uniformly
stretched thin plate containing a circular hole. J. Appl. Mech. 40: 244-250.
6. Hayhurst, D. R. (1972). Creep rupture under multi-axial states of stress. J. Mech. Phys. Solids
20:381-390.
7. Kowalewski, Z. L., Hayhurst, D. R., and Dyson, B. E (1994). Mechanisms-based creep
constitutive equations for an aluminium alloy. J. Strain Analysis 29(4): 309-316.
8. Hayhurst, D. R., Dimmer, P. R., and Chernuka, M. W. (1975). Estimates of the creep rupture
lifetime of structures using the finite element method. J. Mech. Phys. Solids 23: 335-355.
9. Hayhurst, D. R., Brown, P. R., and Morrison, C.J. (1984). The role of continuum damage in
creep crack growth. Phil. Trans. R. Soc. (London) A311: 130-158.
10. Hayhurst, D. R., Dimmer, P. R., and Morrison (1984). Development of continuum damage in
the creep rupture of notched bars. Phil. Trans. R. Soc. (London) A311: 103-129.
11. Hayhurst, D. R., and Storakers, B. (1976). Creep rupture of the Andrade Shear Disc. Proc. R.
Soc. (London) A349: 369-382.
12. Chubb, E. J., and Bolton, C. J. (1980). Stress state dependence of creep deformation and
fracture in AISI type 316 stainless steel, in Proc. Int. Conf. on Engng Aspects of Creep 15-19
Sept. 1980, Sheffield 1, paper C201/80, p. 48, London: Institute of Mechanical Engineers.
13. Dyson, B. E, Verma, A. K., and Szkopiak, Z. C. (1981). The influence of stress state on creep
resistance: Experiments and modelling. Acta Metall. 29: 1573-1580.
14. Dyson, B. E, and Loveday, M. S. (1981). Creep facture in Nimonic 80A under tri-axial tensile
stressing, in Creep in Structures, 1980 (IUTAM Symposium, Leicester, U.K.) (ed. A. R. S.
Ponter and D. R. Hayhurst), 406-420. Berlin: Springer-Verlag.
15. Perrin, I. J., and Hayhurst, D. R. (1999). Continuum damage mechanics analyses of Type IV
creep failure in ferritic steel crossweld specimens. Int. J. Press. Vess and Piping 76: 599-617.
16. Wang, Z. P., and Hayhurst, D. R. (1994). The use of supercomputer modelling of high-
temperature failure in pipe weldments to optimise weld and heat affected zone materials
property selection. Proc. R. Soc. (London) A446: 127-148.
17. Hayhurst, D. R. (1973). A bi-axial-tension creep-rupture testing machine. J. Strain Analy.
8(2): 119-123.
18. Trampczynski, W. A., Hayhurst, D. R., and Leckie, E A. (1981). Creep rupture of copper and
aluminium under non-proportional loading. J. Mech. Phys. Solids 29(5/6): 353-374.
SECTION 9.7
A Coupled Diffusion-
Viscoplastic Formulation
for Oxidasing Multiphase
Materials
ESTEBAN P. Busso
Department of Mechanical Engineering, Imperial College, University of London,
London, SW7 2BX, United Kingdom
Contents
9.7.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 849
9.7.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 849
9.7.4 Identification of Material Parameters . . . . . . . 852
9.7.6 List of Material Parameters . . . . . . . . . . . . . . . . . 853
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 855
9.7.1 VALIDITY
The coupled diffusion-constitutive approach is used to describe the effect of

the phase transformations caused by local internal and external oxidation
processes on the constitutive behaviour of multiphase metallic materials
exposed to an oxidising environment.
9.7.2 BACKGROUND
The oxidation of multiphase metallic alloys is an important factor leading to

local microcrack formation at or near bimaterial interfaces. A proper

850 Busso
description of the local deformation processes requires that the constitutive

behaviour of the materials be coupled with the dominant diffusion and
oxidation mechanisms. Without a proper description of such phenomena, the
crucial evolving stress conditions, as the material undergoes the transition
from an unoxidised to a fully oxidised state, cannot be predicted [1].
Examples of material systems which undergo selective oxidation are those
present in thermal barrier coatings, widely used in both aerospace and land-
based gas turbines, and single crystal silicon wafers used in the manufacture
of LSI devices by the microelectronics industry.
The coupled oxidation-constitutive material framework recently proposed
by Busso [2] (see also [3] and [4]) accounts for the diffusion of oxidant
species through a multiphase material and the subsequent oxidation of one of
its phases (e.g., Al-rich or Si-based), and incorporates the effect that the local
volumetric expansion of the newly formed oxide has in the generation of
inelastic volumetric strains and residual stresses. It relies on the level of
oxygen concentration at each material point to identify whether oxide
precipitates have formed, in which case the material at that location is treated,
through a self-consistent approach, as an homogeneous equivalent material
consisting of multimetallic phases and oxide products.
A hypoelastic formulation for the oxidising metal which accounts for

nonisothermal effects can be expressed in terms of the Jaumann derivative
of the overall aggregate stress, T, as
V = ~a [D -
T Din] - 3~cc~0 1 (1)
where T - t - WT + TW, and D is the stretching tensor, 0 is the time rate of

change of the absolute temperature, ~ is the thermal expansion coefficient,
and W is the total material spin. The inelastic stretching tensor associated
with the deformation, D in , is expressed in terms of the average inelastic
stretching rate due to slip, D or, and a transformation term, D tr, which
represents the nonrecoverable deformation rate induced by the oxidation of
one of the metallic phases. Then,
The average inelastic stretching rate tensor D cr is defined as the volume

fraction weighted sum of the inelastic strain rate tensor of each individual
phase, ei,'crDcr --- E i fi ei,'cr where ~ is the current volume fraction of phase i.
9.7 A C o u p l e d Diffusion-Viscoplastic Formulation 851
Moreover, D tr is assumed to be controlled by the rate of change of an internal

state variable associated with the oxidation kinetics, f. Here, f is related to the
oxide volume fraction and varies from 0, before the oxidation begins, to 1,
when the internal oxidation is complete. Thus
Dtr __finif p + e~ 1 (3)
where f~ni is the initial volume fraction of the oxidation-prone phase, 1

is the second-order unit tensor, P is a coefficient which depends on the shape
of the oxide particles, and S and T r are the norm and deviatoric compo-
nent of the aggregate stress tensor T. The dilatational term in Eq. 3
represents the volume change due to oxidation, and the deviatoric one
accounts for any deviations from isotropy associated with the oxide
formation.
The formulation considers that oxidation begins at each material point
once the local oxygen concentration, Co >_ Cocr, where Coc,. is a temperature-
dependent critical concentration.
The evolution of the internal variable f is based on nucleation kinetics,
f- ( 1 - f ) S/p Vp for Co >_ Cocr, else f - 0 (4)

where Np is the rate of increase of oxide precipitates per unit volume, and
Vp is the average volume of each oxide particle.
The local behaviour of the coexisting metallic phases and oxide products is
described through a homogenization procedure based on self-consistent
relations which depend on an interphase accommodation tensorial variable,
A i , for each phase i. The evolution of the stress rate tensor of each individual
oxidising and non-oxidising phase, O'i, is given by
O'i- "F -3t- 2#(1 -- f l ) ( D cr _ ei.Cr _ Ai } (5)
Here fl is Eshelby's elastic accommodation factor and ~t is the shear

modulus. In this equation, A~ is the time rate of change of Ai which is, in
turn, expressed in terms of a corresponding phase accommodation tensorial
variable Si,
$,
where/2/(f, 0) is a dimensionless homogenization function, and the index m
denotes the total number of coexisting phases. The phase accommodation
variable evolves according to the following relation:
r e,cy m
9
o)s, le,~,cFI (7)

852 Busso

PARAMETERS
The true mean dilatational strain caused by the internal oxidation of one of
the metallic phases, e~ in Eq. 3, can be determined from the corresponding
chemical reaction. Let V0 be the material volume before the chemical reaction
takes place, and V that of the oxidized material. Then,
1 V
- -
e~ 3 Ln -Vo
- (8)
The critical local oxygen concentration level, Co~r (Eq. 4), can be
numerically calibrated from oxidation data, such as oxide thickness vs.
oxidation time, at different temperatures. The time constant defined by z =
1/(/qpVp) can be determined from the knowledge of the kinetics of the
oxidation reaction, and its value is expected to be temperature-dependent.
The thermoelastic properties of the homogenised material are obtained
from the thermoelastic behaviour, of each individual phase using existing
homogenisation (e.g., self-consistent) relations. The inelastic strain rate
tensor for each individual phase is defined by a power law relation of the form
e i -- ~ Ai exp - ff~' ff~
where cri~ is the deviatoric stress tensor for the phase i, and ffi is the
corresponding equivalent stress, 6 i - (3 &i: di) 1/z" The material constants
Ai, Qi, and ni in Eq. 9 are determined from bulk material creep data for each
individual phase.
The dimensionless homogenization function, /:/(f, 0), needs to be
calibrated from experimental data and detailed unit cell finite element
calculations of the oxide-metal system at each stage of the oxidation process,
that is, for a range of values of f and temperatures. Finally, the oxide shape
parameter P can be deduced from the transformation strain ratios extracted
from oxidation experiments, e.g., thin film curvature vs. oxide thickness
measurements.
9.7.5 H O W TO USE THE M O D E L
Use of the coupled formulation in complex boundary value problems

representative of service generally requires its numerical implementation into
the finite element method. This can be done using either fully explicit or
implicit integration schemes [2, 3, 4].
9.7 A Coupled Diffusion-Viscoplastic Formulation 853
9.7.6 LIST OF MATERIAL PARAMETERS
The formulation was calibrated in Reference [3] for an oxidising plasma

sprayed thermal barrier coating (TBC) system consisting of a typical
NiCoCrA1Y metallic coating and a 8% Y-stabilised zirconia top layer. It was
then used to investigate the effect of the thermally grown oxide on the stresses
at or near the m e t a l - t h e r m a l l y grown oxide interface, which are known to be
responsible for microcrack nucleation.
The microstructure of a typical NiCoCrA1Y alloy in the 950-1000~
temperature range consists of a 52.6 vol.% of fl-NiA1 and a 47.4 vol.% 7-Ni
solid solution phase. Thus f~ni = 0 . 4 7 4 , and fi2ni = 0 . 5 2 6 . The average
thermoelastic properties of the metallic coating and the alumina oxide at
the oxidising temperature of 950~ are:
Eox = 340 GPa Vox = 0.18 0Cox= 9.15x10 -6 1/~
Ecoat = 133 GPa Vcoat = 0.30 ~Zcoat = 17.0X10 -6 1/~
and the creep constants for the Ni solid solution phase (1), and the
polycrystalline NiA1 phase (2) are:
nl = 4 . 6 Q1 = 2 2 7 K J / m o l A1 = 5 . 2 8 3 1 / ( s M P a nl)
n2 = 5.5 Q2 = 245 KJ/mol A2 = 3 . 7 3 x 1 0 -3 1/(s MPa "2)
From the primary oxidation reaction,
52 NiA1 + ~1 0 2 ~
51 A1203 + 52 Ni (10)
one finds that e ~ - 0.122. Also, typically, z - 0.5 to 1 hour at 950~ and
P = 0.24 for the oxidation of zirconium (value not available for NiCoCrA1Y).
The average critical concentration relative to the value specified at the
coating surface found to accurately describe the oxidation data at 950~ was
Cocr= 1.45 X 10 -3. The diffusivity of oxygen in both the unoxidised and
oxidised coating was taken as Do = 2.64 x 10 -20 m2/s. Finally, typical values
for the homogenisation function H at 950~ calibrated from unit cell finite
element calculations are given in Table 9.7.1.
Figure 9.7.1 shows a comparison between the metallic coating creep data
and the corresponding behaviour predicted by the self-consistent model. Also
included are the individual phases' creep data. Figure 9.7.2, on the other
TABLE 9.7.1 Values of the Dimensionless f Homogenisation Function H at 950~ for a

Material with a Maximum Oxide Volume Fraction of 100%
f 0.00 0.20 0.35 0.57 0.61

H 4961 2834 1707 434 0
854 Busso
2.2 .... I .... I .... I .... I .... I ....

--o--Ni
9 n.. NiAI
2- - -41- NiCoCrAIY (Data) ,,;,
Self-Consistent Model .p -," "
n
.,.,.j- ; :.: :'~"
1.8-
. . ' = ..i o
CD I21"
L 1.6-
v
~
0 1.4-
.--I
1.2-
1 , , , , I
I
, , , , I
I
, , , , I
I
, , , , I
I
, , , , I
I
, , , ,
-4.5 -4 -3.5 -3 -2.5 -2 -1.5
Log(Creep rate, l/s)
FIGURE 9.7.1. Comparison between the two-phase NiCoCrA1Y alloy creep data and the
corresponding behaviour predicted by the self-consistent model. Also included are the individual
phases' creep data.
3.0
z~ [] o F E unit cells
9 Data []
.~ 2.5
SC Model ti f = 57 %
[]
n j 35%
-.--- 2 0 %
2.0
L_
"'--0.0%
or)
v O
o
J
1.5
1.0 , i i i i i i ! i I I I I i I i I I i
-5.0 -4.0 -3.0 -2.0 -1.0

Log(Creep rate, l/s)
FIGURE 9.7.2. Comparison between accurate reference creep solutions for the two-phase
NiCoCrA1Y alloy containing different oxide volume fractions (f) with the corresponding
predictions obtained from the coupled diffusion-viscoplastic model.
9.7 A Coupled Diffusion-Viscoplastic Formulation 855
h a n d , p r e s e n t s a c o m p a r i s o n b e t w e e n a c c u r a t e r e f e r e n c e c r e e p s o l u t i o n s for
the t w o - p h a s e NiCoCrA1Y alloy c o n t a i n i n g different o x i d e v o l u m e fractions
w i t h the c o r r e s p o n d i n g p r e d i c t i o n s o b t a i n e d f r o m the c o u p l e d diffusion-
viscoplastic model.
REFERENCES
1. Busso, E. P. (1997). Coupled phenomena in bimaterial interface regions at high temperatures,

in Mecanismes et Mecanique des Materiaux Multifunctionnels, pp. 49-52, Perreux, D., and
L'Excellent, C., eds., MECAMAT, Paris, France, Proc. Colloque National MECAMAT 97,
Aussois, France.
2. Busso, E. P. (1999). Oxidation induced stresses in ceramic-metal interfaces. Journal de Physique
IV, 9: 287-296.
3. Busso, E. P., Lin, J, Sakurai, S., and Nakayama, M. (2000). A Mechanistic Study of Oxidation-
Induced Degradation in a Plasma-Sprayed Thermal Barrier Coating System. Part I: Model
Formulation. Acta Materialia, 49(9): 1515-1528.
4. Busso, E. P., Lin, J., and Sakurai, S. (2000). A Mechanistic Study of Oxidation-Induced
Degradation in a Plasma-Sprayed Thermal Barrier Coating System. Part II: Life Prediction
Model. Acta Materialia, 49(9): 1529-1536.
SECTION 9.8
Hydrogen Attack
E R I K VAN DER GIESSEN a n d SABINE M . SCHLOCL
University of Groningen, Applied Physics, Micromechanics of Materials, Nyenborgh 4,
9747 AG Groningen, The Netherlands
Contents
9.8.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 856
9.8.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 856
9.8.3.1 Thermodynamic Model . . . . . . . . . . . . . . 859
9.8.3.2 Damage Mechanics Model . . . . . . . . . . . 860
9.8.4 Parameter Identification . . . . . . . . . . . . . . . . . . . . 861
9.8.6 List of Parameters . . . . . . . . . . . . . . . . . . . . . . . . . 863
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 863
9.8.1 VALIDITY
The model described in this article is intended to describe the secondary and
tertiary stages of creep at elevated temperatures u n d e r hydrogen-rich
conditions, as typically e n c o u n t e r e d in petrochemical installations. The
associated damage is grain b o u n d a r y cavitation leading to intergranular
fracture. This p h e n o m e n o n , k n o w n as hydrogen attack (HA), occurs
p r e d o m i n a n t l y in low-carbon, low-alloy ferritic steels (typically Cr-Mo steels).
9.8.2 BACKGROUND
At temperatures exceeding approximately 0.3 times the melting temperature,

steels creep at a steady strain rate which is often conveniently described by the
Handbookof MaterialsBehaviorModels.ISBN0-12-443341-3.
9.8 Hydrogen Attack 857
Norton power law

"C -- BG'~,
ge
(1)
with the creep exponent n and the temperature-dependent parameter B ( T ) .

For uniaxial tension, ere and e.Ce are the applied stress and the creep strain rate,
respectively. Under multiaxial stress, they denote the Mises equivalent
quantities:
~3 I i , 1
~ - %%, % - ~j - ~ma~j, Crm - ~ Crkk (2)
ge
,/r D,jD,j (3)
V3
with aij denoting Cauchy stress and Dij the stretching or strain rate.
The termination of the secondary creep regime in low-carbon ferritic steels
in hydrogen-rich environments is caused by the initiation and growth of grain
boundary cavities, filled with a methane-hydrogen gas mixture [6]. The so-
called hydrogen attack initiates by hydrogen molecules in the gas atmosphere
dissociating and the hydrogen atoms diffusing into the steel. Some get trapped
at discontinuities occurring mainly between grain boundary carbides and
matrix, where the hydrogen reacts with the carbon in the steel to generate
methane. The methane molecules are too large to diffuse away and generate
an internal pressure inside the cavity which drives subsequent growth. The
deformation mechanisms involved during cavity growth are grain boundary
diffusion and dislocation creep. Their relative contributions are determined
by the cavity density, the internal gas pressure
p m = PCH, -Jr-p.~ (4)
and the stress state in the material, O'm, t9"e and the stress a, normal to the grain
boundary. For cavities with a spherical-caps shape (see Fig. 9.8.1), radius a,
and mean spacing 2b, the rate of change of the cavity volume,
-- - n a 3 h ( O ) h(O) - (1 + cos O) -1 2 cos 0 in 0 (5)

3
can be expressed as [71
9~ - max [.L
Vaiff . L ., , V a f f + V. ,o.]
+ Vo. (6)
with the maximum criterion in this expression originating from two modes in
which the cavity can grow, depending on its size and the stress state. In Eq. 6,
858 van der Giessen and Schl6gl
FIGURE 9.8.1 Spherical-cap-shaped cavities on a grain boundary.
the diffusive (diff) and creep (cr) contributions are given by

9L Pm Jr- an
Vdiff -- 4~
In (i/f) - 1 (3 - f ) ( 1 - f ) '
(7)
f--max (b) 2, a + l . 5 L ' L- (~O'e,~eC)1/3
(8)
~. = 3 / ( 2 n ) , ft, = ( n - 1)(n + 0.4319)/n 2
9H Pm q - an cl 2
Vdiff -- 4 ~
In (i/f) -- 1 (3 --f)(1 --f)'
1
Vcnr -- 2Tce'Cea3h(r 1 - (0.87a/b) 3/n (10)
X (Zn -4---
ae n sign (am + Pm)
provided that Pm + am > ae (which is typically the case in HA).
The enhanced straining in the tertiary regime is primarily due to cavity
growth. The contribution of growth to the overall strain is controlled by the
average rate of separation between the grains adjacent to the grain boundary,
-- Vcav/Trb2 -- ~(pm, am, ae, a,;a,b) (11)
The cavities grow until coalescence, when microcracks are formed along
the grain boundaries, and this finally leads to intergranular failure. A working
definition for cavity coalescence is when a/b = 0.7.
Hydrogen attack implies a coupling between the transport of hydrogen and

carbon, the chemistry of methane formation and evolution of the
microstructure, as well as the mechanics of cavity growth and creep. Full
details are not yet understood, but the common assumption is that transport
and chemistry occur on time scales that are much shorter than the expected
lifetime of the components that are typically subject to hydrogen attack. The
nucleation time of cavities is also neglected. An upper bound of the attack is
then obtained by assuming that the methane gas inside the cavities is in
thermodynamic equilibrium at all instants. This allows a simpler model which
consists of a thermodynamic part (describing the methane pressure as a
function of temperature and the composition of the material) and a damage
mechanics part (describing the damage evolution under a given methane
pressure and applied stress state).
9.8.3.1 THERMODYNAMICMODEL
The methane pressure stems from the reaction of carbides with the hydrogen
and depends on the various phases in the steel. In case of an alloy carbide
MxCy containing Cr, Mo, V, and Fe, the chemical reaction is of the type
(CrycrMOyMoVyvFeyFe)xCy + 2yH2 ~ yCH4 + XycrCr + XyMoMO + xyvV + XyFeFe
(12)
where YCr, YMo, YV, and YFe are the concentration parameters of Cr, Mo, V, and
Fe, respectively, in the carbide MxCy (Ycr + YMo + YV + YFe = 1). An upper
limit to the methane pressure is obtained by assuming this reaction to be in
equilibrium, so that
YflCH4 nt- XycrflCr -+- XyMoflMo -+- Xyv#v + XyFe//Fe -- 2yflH 2 -- /'/MxCy=0 (13)
where #x denotes the chemical potential of the component x.
Knowing the chemical potentials of the metallic components at a given
temperature (see later) as well as the pressure-dependent chemical potential
of H2,
IIH2 -- [202 -+- R T In PH2 (14)
(/~~2 is the chemical potential of one mol H2 in the standard state where
PH2--p0= 1 arm), the methane chemical potential #cm is solved from
Eq. 13. The methane pressure can then be solved from the expression
0
].lOll 4 -- ]../OH 4 + i T lnfcm, fCH4 -- Pcm exp{C(T)pcm} (15)
where C(T) can be found in [2, 5].
The chemical potentials of Cr, Mo, V, and Fe in Eq. 13 are those of these
elements dissolved in the ferritic (bcc) matrix. The thermodynamic treatment
of such a system is complex, but the solution is available in the literature [5],
which gives PCr, PMo, #V, and ~AFe a s a function of the composition and
temperature. The chemical potential PMxCy of the reacting carbide also
depends on its crystal structure, composition, and temperature. Neglecting
changes in the carbide composition during hydrogen attack, this chemical
potential is also now known [5] for all most likely carbides in Cr-Mo steels.
9.8.3.2 DAMAGE MECHANICS MODEL
At the macroscopic continuum level, the constitutive equation in terms of

Cartesian coordinates reads
~7ij - - ~ i j k l ( D h l - DkClc - ~F~kl) (16)
where ~rij denotes the Jaumann derivative of Cauchy stress and Dcc the strain-
rate contribution due to creep and grain boundary cavitation. ~'ijkz is the
tensor of elastic moduli,
~cPiJkl- 1 -4-v
in terms of Young's modulus E and Poisson's ratio v, and ~ is the cubic thermal
expansion coefficient. If there were no cavitation, Dcc would simply be equal
to the power-law creep rate
9c 3 o'lj (18)
D~ -- s e 2 ae
with s9ec determined by the macroscopic effective stress ae through Eq. 1. If

there is cavitation, D~ c also accounts for the macroscopic rate of deformation
caused by cavitation through the average separation rate ~ through Eq. 11.
The way in which this is done depends on the mode of cavitation, as
mentioned in the previous section.
When creep deformations of the grains are significant, the effect of grain
boundary cavitation can be described in terms of a penny-shaped crack model
for which Dijcc reads
_CCp .C [3 6iJt ( 1 -4- p ~ 3 ( : _ 1 1 ) (K

n k Crkln K
l -- G nK)2)
v,j - + \ -
K--1
n kahln I - a~ (19)
d-p n~n~ n d- 1 ae "
K--1
This expression accounts for the contribution of three orthogonal families of

cavitating facets with unit normal vector n//< (K -- 1 , . . . , 3). The parameter p
is related to the density of cavitating facets and is given by p = 0.168 x
(n + 1)/V/1 + 3 / n when all are potentially cavitated. The term n K k Crkln~ is the
component of the macroscopic stress normal to grain facets K. The ~,/< in
Eq. 19 is the normal stress transmitted by the facets K. This stress is
determined from the condition that the cavitation rate c~(%/<) caused by
cavitation under a facet normal stress of ~,/< according to Eq. 11 be equal to the
.K
opening rate CSp of a facet-size, penny-shaped "crack" (radius R) in a creeping
solid bridged by the same stress,
9K _ _4 1+ nk r -- % ~,Ce2R (20)
CSp rc O-e
In the other extreme mode of deformation, where creep of the grains is

negligible, the macroscopic strain rate is
~rg
D CijCrg -- ge"C 2 (Tij 'Jr- K --~ cSij (21)
and consists of a pure (yet small) creep part and a dilatational part due to
isotropic cavitation on all facets. The cavitation rate C~rg is equal to the
separation rate from Eq. 11 with the facet normal stress a, being taken equal
to the macroscopic hydrostatic stress am. The coefficient /c depends on the
grain shape and is typically equal to 0.3.
The two extreme modes are combined simply by selecting one (Eq. 19) or
the other (Eq. 21). A possible criterion for selecting the mode is the maximum
value of the cavitation rates predicted in each of the two modes. If C~rgdelivers
the largest value, Dcc to be substituted into Eq. 16 is taken to be equal to that
in Eq. 21; otherwise the expression in Eq. 19 is used. Other criteria are
conceivable but have not been used so far.
9.8.4 PARAMETER IDENTIFICATION
The model requires various types of parameters related to the following
9 Composition of the steel, including its carbides. The composition of the

carbides can be determined by EDS chemical analysis and their crystal
structure by diffraction analysis.
9 Microstructure, including the grain size and the average half-spacing 2b
between carbides on grain facets. The parameter R is obtained from the
average grain volume Vgr as R ~ (0.042 Vgr)1/3
9 Material properties, including creep and diffusion parameters. At a given

temperature, the creep parameters B and n in Eq. 1 are obtained by
fitting to the minimum creep rate in a standard creep curve. According
to Frost and Ashby [ 1], the temperature dependence of B is conveniently
incorporated by writing
90
B(T) -- B(To) -~- exp \l-~oJJ (22)
in terms of the value of B at another temperature To and the activation

energy Qv (J/atom) (k is Boltzmann's constant). Values of the latter for
various steels are listed in the literature [1]. The diffusion parameter
in Eqs. 7 and 9 is defined as
~ _ DB~Bf~
k---~- exp --k--T (23)
in terms of the grain boundary diffusion coefficient DB and the

corresponding activation energy QB (J/atom). Furthermore, C~S is the
boundary thickness and f~ the atomic volume. The values of DB~B, QB,
and f~ can be found in the literature [3].
The damage model (Eq. 16) has the standard form of a viscoplastic or
creeplike constitutive equation. It can therefore be incorporated into existing
codes through a modification of the creeplike term Dcc. This modification
will need to include a solution procedure for the nonlinear matching
condition (Eq. 20); a straightforward secant method has been found to be
effective [8]. Because of the high nonlinearity of creep, numerical stabi-
lity requires attention just as in any creep analysis. A relatively simple rate
tangent operator derived in [8] has proved to be efficient in the integration
of Eq. 16 [4].
The calculation of the methane pressure is straightforward in principle but
requires knowledge of the temperature (either constant or an outcome of a
transient thermal analysis) and the composition at each point in the body. The
necessary equations as summarized in Section 9.8.3.1 can be found in full
detail in [5]. The Fortran code of the expressions is available from the authors
upon request.
A simplified version of the model can be used when the component or
material is under autoclave conditions, i.e., at a constant temperature without
external loading. In that case, the voids are subjected only to the gas pressure
pm and the material does not creep at a macroscopic scale. Then, the void
growth equations (Eqs. 6-10) can be simply used to integrate the cavity size a
in time until cavity coalescence takes place.
Most of the parameters in the model are strongly dependent on the material
and therefore cannot be listed. Following are physical constants and
parameters that are applicable for a wide range of materials:
9 k--- 1.38 x 1 0 - 2 3 j / K
9 ~--- 1.18 x 10 -29 m 3
9 tc ~ 0.3
9 ~ ~ 70-75 ~
REFERENCES
1. Frost, H. J., and Ashby, M. E (1982). Deformation-Mechanism Maps, Oxford: Pergamon Press.
2. Odette, G. R., and Vagarali, S. S. (1982). An equation-of-state for methane for modeling
hydrogen attack in ferritic steels. Metall. Trans. A, 13A: 299-303.
3. Parthasarathy, T. A. (1985). Mechanisms of hydrogen attack of carbon and 2.25Cro1Mo steels.
Acta Metall., 33: 1673-1681.
4. Schl/Sgl, S. M., and Van der Giessen, E. (1999). Hydrogen attack in a welded reactor. J. de Phys.
IV 9: 137-146.
5. Schl6gl, S. M., Van Leeuwen, Y., and Van der Giessen, E. (2000). On methane generation and
decarburization in low alloy Cr-Mo steels during hydrogen attack. Metall. Mater. Trans. A31:
125-137.
6. Shewmon, P. (1987). Synergism between creep ductility and grain boundary bubbles. Acta
Metall. 35: 1317-1324.
7. Van der Burg, M. W. D., Van der Giessen, E., Needleman, A., and Tvergaard, V. (1995). Void
growth due to creep and grain boundary diffusion at high triaxialities. J. Mech. Phys. Solids 43:
123-165.
8. Van der Burg, M. W. D., Van der Giessen, E., and Tvergaard, V. (1998). A continuum damage
analysis of hydrogen attack in in a 2.25Cr-1Mo vessel. Mat. Sci. and Eng. A241: 1-13.
\
SECTION 9.9
Hydrogen Transport and

Interaction with Material
Deformation: Implications.
for Fracture
PETROS SOFRONIS
Department of Theoretical and Applied Mechanics, University of Illinois at Urbana-Champaign,
104 South Wright Street, Urbana, Illinois
Contents
9.9.1 N o n - h y d r i d e - f o r m i n g s y s t e m s . . . . . . . . . . . . . . 865
9.9.1.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 865
9 .9 .1 .2 B a c k g r o u n d . . . . . . . . . . . . . . . . . . . . . . . . . 865
9.9.1.3 D e s c r i p t i o n of the M o d e l . . . . . . . . . . . . 865
9.9.1.4 Identification of P a r a m e t e r s . . . . . . . . . . 86 6
9.9.1.5 H o w to Use the M o d e l . . . . . . . . . . . . . . . 86 7
9.9.1.6 P a r a m e t e r s . . . . . . . . . . . . . . . . . . . . . . . . . . 86 8
9.9.2 H y d r i d e - F o r m i n g Systems . . . . . . . . . . . . . . . . . . 868
9.9 2.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 868
9.9 2.2 B a c k g r o u n d . . . . . . . . . . . . . . . . . . . . . . . . . 869
9.9 2.3 D e s c r i p t i o n of the M o d e l . . . . . . . . . . . . 869
9.9 2.4 Id entification of P a r a m e t e r s . . . . . . . . . . 870
9.9 2.5 H o w to Use the M o d e l . . . . . . . . . . . . . . . 871
9.9 2.6 P a r a m e t e r s . . . . . . . . . . . . . . . . . . . . . . . . . . 872
Acknowledgements .............................. 872
References ....................................... 872

9.9 Hydrogen Transport and Interaction with Material Deformation 865
9.9.1 N O N - H Y D R I D E - F O R M I N G SYSTEMS
9.9.1.1 VALIDITY
The model applies to a variety of systems, such as fcc, bcc, hcp, pure metals
(e.g., Ni, Fe, Mo, W), solid solutions (e.g., steels), precipitation-strengthened
systems (e.g., aluminum alloys), and intermetallics (e.g., Ni3A1 and FeA1). It
can be used to calculate the local hydrogen concentration qualified by
hydrostatic stress and trapping induced by plastic straining. Then by using
information on whether the fracture is strain- or stress-controlled, one can
predict the location of the first microcracking event in a specimen.
9.9.1.2 BACKGROUND
The interaction between solute hydrogen atoms and an applied stress field
results from the hydrogen-induced volume and local moduli changes that
accompany the introduction of the solute hydrogen in the lattice [11, 23]. In
regions of tensile hydrostatic stress and softened elastic moduli, interstitial
hydrogen has a lower chemical potential. As a consequence, diffusion through
normal interstitial lattice sites (NILS) is generated toward these regions,
tending to eliminate the gradients of the chemical potential. Regions with
compressive hydrostatic stress or hardened elastic moduli are depleted.
Transported hydrogen through NILS diffusion can interact with and
accumulate at various microstructural heterogeneities, such as dislocations,
grain boundaries, inclusions, voids, surfaces, and impurity atoms described as
traps, and from there initiate fracture [7]. Trapping characterizes the fact that
interstitial solute atoms often find interstices associated with lattice
imperfections to be energetically preferable to NILS. It is emphasized that
trap characteristics are evolutionary in nature. Deformation affects dislocation
density and structure, changes the void population and size, and influences
the behavior of inclusions and grain boundaries in their activity as traps.
The governing equation of transient hydrogen diffusion that accounts for

trapping and hydrostatic stress drift is [9, 22]
D dCL (DVIqCL ) oqNTdgP

,i
866 Sofronis
where ( ),, = 0( )/Oxi, d/dt is the time derivative, Cc = OLflNL is the hydrogen
concentration in NILS measured in atoms per unit volume, 0L is the
occupancy of NILS, fl is the number of NILS per solvent atom, Nc = Na/VM,
NA = 6.0232 x 1023 atoms per mole is Avogadro's number, VM is the molar
volume of the host lattice, Cr = 0raNt is hydrogen concentration in number
of atoms per unit volume in trapping sites, 0r is the occupancy of the trapping
sites, a is the number of trapping sites per trap, Nr, which is a function of the
local effective plastic strain, i.e., Nr = NT(eP), denotes the trap density
measured in number of traps per unit volume, D is the hydrogen diffusion
constant through NILS, Vn is the partial molar volume of hydrogen in solid
solution, R is the gas constant equal to 8.31J mole -1 K-1, T is the absolute
temperature, Deff is an effective diffusion constant given by
Deft = D/(1 + OCr/oqCL), (2)
aij is the Cauchy stress, and the standard summation convention over the
range is implied for a repeated index. The relationship between CL and Cr in
Eq. 2 is established through Oriani's equilibrium theory, which requires
Or 0L
1 - Or -- 1 - OLK'
(3)
where K = exp(WB/RT) is the equilibrium constant, and WB is the trap
binding energy. As a result,
O~NT
OCT KIlNL
OC-----~=[1+ K-lflNr]2 (4)
Information on binding energy values and the experimental techniques used

to determine the binding energy of hydrogen to vacancies, solutes, solute-
defect complexes, dislocations, internal interfaces, and isolated metal clusters
can be found in the work of Meyers et al. [16]. By way of example, the trap
density and binding energy for pure iron can be determined by correlating
experimental results on measured permeation transients and time lags [8]
with full numerical solutions to the diffusion equation (Eq. 1). The analysis
should be repeated at several levels of macroscopic uniaxial strain to obtain
the functional relationship Nr = Nr(~P). When trapping is associated with
dislocations, a model estimation for NT can be devised by correlating Nrwith
the dislocation density and the lattice structure. Thus, in a bcc lattice
Nr = vr2p/a, where p(eP) is the dislocation density, a is the lattice parameter,

and the assumption of one trap per atomic plane threaded by a dislocation
was made.
The flow stress in unixial tension is required as a function of hydrogen
concentration.
9.9.1.5 H o w To USE TUE MODEL
Numerical implementation in a finite element formalism is given in the work

by Sofronis and McMeeking [22], Lufrano et al. [14], and Krom et al. [9].
Solution to Eq. 1 requires knowledge of the local values of he hydrostatic
stress and effective plastic strain. This is obtained by coupling the solution
process of Eq. 1 to that of the elastoplastic deformation of the material.
Solution to the latter is carried out by considering the hydrogen dilatational
effect [17] through a contribution to the deformation rate tensor (symmetric
part of the velocity gradient)
Dij - - ~ In 1 + 3f]
where c is the total hydrogen concentration (in NILS and trapping sites)
measured in hydrogen atoms per solvent atom, Co is the corresponding initial
hydrogen concentration in the absence of any straining, Av is the volume
change per atom of hydrogen introduced into solution that is directly related
to the partial molar volume of hydrogen V , = A V N A in solution, and k2 is the
mean atomic volume of the host metal atom. In the case of small strain
plasticity, Eq. 5 reduces to eij
So far, research in non-hydride-forming systems [2, 3] has established two
viable mechanisms of embrittlement, namely: (i) hydrogen-enhanced
localized plasticity and (ii) hydrogen-induced decohesion. However, a
fracture criterion which would allow a relevant model to have predictive
capabilities has not yet been devised. Hence, the following discussion should
be viewed only as suggestive and by no means as reflecting all of the
fundamental physics underlying the embrittlement effect.
Once the solution to the coupled initial boundary value problem is
obtained for a given initial concentration of hydrogen, the following cases
may be assessed [24]: (i) in the case of brittle intergranular fracture, the
location of the first microcracking event should be expected to occur at
locations where both stresses and hydrogen accumulation are high; (ii) in the
case of ductile fracture by void nucleation at inclusion, the event will likely
take place again in regions where stresses and hydrogen concentrations are
high; (iii) in the case of fracture occurring predominantly by plastic flow
868 Sofronis
localization, microcracking can be expected to initiate at locations where the

effective plastic strain and the local hydrogen concentrations are high.
9 . 9 . 1 . 6 PARAMETERS
9.9.1.6.1 Iron and steels [7, 22]

W b - 6 0 k J/mole; N r - NT(gp) is calculated from experimental data by
Kumnick and Johnson [10] and a relevant plot can be found in the work of
Sofronis and McMeeking [22]; parameter 0~can vary from 1 to several powers
of 10 [6]; f l - 1 (maximum NILS concentration of 1 hydrogen atom per
solvent lattice atom); VM -- 7.116 cm3/mole; V/~ -- 2.0 cm3/mole; and for T _>
325K the diffusion constant is given by D - - 2 . 1 • 10-7(m2/s)
exp(-6.88kJmole-1/RT) [26]. For a stress-free solid, the initial NILS
concentration Co in equilibrium with hydrogen gas at pressure p and
temperatures well above 300 K is given by Sievert's law as Co - 1.989 • 1026
x/~(atoms/m3) exp ( - 28.6kJmole- 1/RT).
9.9.1.6.2 Niobium [12, 13]

W b - 29.2kJ/mole; a dislocation-based model [24] for the trap density is
formulated (cf. Section 9.9.1.4) by assuming that the dislocation density measured
in length per cubic meter varies linearly with effective plastic strain [5], such that
ev for eP<0.5
P-
{P0+~
1016 for ev >_0.5'
where P0 - 101~ line length per cubic meter denotes the dislocation density for
(6)
the annealed material, and 7 - 2.0 • 1016 line length per cubic meter is a
proportionality constant; parameter c~ can vary from 1 to several powers of 10;
f l - 1 (maximum NILS concentration of 1 hydrogen atom per solvent lattice
atom); VM - 10.852 cm3/mole; VH - 1.88 cm3/mole; for T _> 273 K the diffusion
constant is given by D - 5.0 • 10-8(m2/s)exp(-10.215kJmole-X/RT); and since
niobium is a high-solubility system, NILS initial concentrations for the stress-free
lattice can vary from 0 to 1 H/Nb.
9.9.2 HYDRIDE-FORMING SYSTEMS
9.9.2.1 VALIDITY
The model applies to systems that fail predominantly by hydride formation

and cleavage. These are systems in which hydrides are either stable or can be
stabilized by the application of a stress field. Examples are the IVb and Vb
metals and their alloys (Ti, Zr, V, Nb, Ta), as well as a number of other metals
such as Mg and A1. This hydride mechanism is supported by microscopic
observations [21, 25] and thermodynamic calculations [4].
9.9.2.2 BACKGROUND
In hydride-forming systems, embrittlement occurs by hydride formation in

severe stress raisers such as crack tips and is followed by cleavage of the brittle
hydride [3, 12, 13]. The phenomenon is intermittent, with the crack
propagating through the hydride and stopping when it reaches the matrix.
Subsequently, new hydride forms either autocatalytically [21] or because of
external loading, and then cleavage reinitiates [27]. Stress-induced hydride
formation is a consequence of the volume dilatation, of the order of ,-o15%,
which accompanies hydride precipitation [18]. It has been experimentally
shown that hydrides form in regions of hydrostatic tensile stress even at
temperatures which are above the solvus temperature in the absence of stress.
The hydride formation is a result of the enhanced hydrogen concentration in
the area of tensile stress [11] and the decreased chemical potential of the
hydride relative to the solid solution in the same stress field [4, 18].
The terminal solid solubility (also termed the solvus concentration),

measured in hydrogen atoms per solute, of hydrogen in solution in a material
under external stress a 0 is given by
Cs -- B exp[( AG~_~
chem+ AG~_~
sur + AG~_~
mech) /RT ] , (7)
where B is an experimentally determined constant, AGche~n is the chemical

Gibbs energy change in the hydride formation, AGSU~ is the free energy
needed for the creation of the interface, and AG~_~
mech is the total mechanical
free energy of hydride formation. The mechanical energy AGme~h involves the
elastic work done on the system (hydride + matrix) and is stored as elastic
energy, the plastic work of accommodation, and the work done by the applied
stress against the matrix displacement upon hydride formation [1, 13].
The dominant mode for diffusion is through the solid solution, while
trapping is ignored. Diffusion through the hydride phase is extremely slow.
Let CL denote the hydrogen concentration in the lattice expressed in hydrogen
atoms per unit volume of solid solution phase when the hydride volume
870 Sofronis
fraction f is less than 1. At a given time t with the composition of the

composite (solid solution 4- hydride phase) defined pointwise by its hydride
volume fraction f such that 0 ~ f ___ 1, the hydrogen diffusion equation [12,
22] is written as follows:
C~CL( DcCL'i-DcCLVHoqkk,i),
Q---~-- 3RT ,i (8)
where
1--f if 0 ~ f < l (9)
Q- 1 if f - - 1 '
Dc is an effective diffusion constant for the hydrogen diffusing through the

composite material given by
_ f (1 -f)Ds if 0 ___f< 1
Dc (10)
Dh if f - 1 '
and Ds and Dh represent the diffusion constants of hydrogen in solution with

metal and in the hydride, respectively.
Standard solubility techniques are used to determine the solvus concentration

as a function of temperature in the absence of externally applied stress. Those
may be either direct by measuring the hydrogen concentration in solid
solution [20] or indirect, e.g., through measurements of electrical resistivity
or dilatometry or internal friction [1, 18]. The mechanical energy of hydride
formation AGme~h is calculated by solving a separate elastoplastic boundary
value problem (no hydrogen diffusion involved) in which the formation of a
hydride precipitate is effected by a transformation strain (volume dilatation)
in a plastically deforming matrix under externally applied loads that span the
range of possible values from purely hydrostatic to purely deviatoric. The
calculated values of the mechanical energy are then tabulated in order to be
used as a subroutine module for the numerical solution of Eq. 8 [13].
Correlating the experimentally measured solvus concentration as a function
of temperature with the calculated value of the accommodation energy
mech in the absence of external applied stress [13], one determines the
AG~_fl
,-,,_,~_fl, for hydride
chem 4- AW'sur
value of the sum of the chemical and free energy, AG~_fl
formation at a specific temperature. It should be noted that this new approach
to the energetics of hydride formation is an improvement over previous
models, which, based on purely elastic considerations, separated the
mechanical energy into an accommodation component and an interaction

component.
9.9.2.5 H o w xo USE THE MODEL
A finite element solution of Eq. 8 provides the local hydrogen concentration

and the hydride volume fraction in a specimen under load as a function of
time. At each time step, the local hydrogen concentration in the solid solution
phase and the associated change in the hydride volume fraction are calculated
by the lever rule in a continuum sense pointwise. The details of the numerical
implementation are given in the work by Lufrano et al. [12]. Part of the
solution procedure is the pointwise calculation of the terminal solid solubility
of hydrogen as a function of stress. This is done through Eq. 7 o n c e AGchefl
m_ q-
AG~_flsuris known and the module for the calculation of AG~_flmechis established.
Solution to the transient diffusion problem needs to be coupled to a code
for the solution of the elastoplastic boundary value problem that accounts for
the hydrogen and hydride-induced volume dilatation. As in the case of non-
hydride-forming systems, the part of the deformation rate tensor denoting the
hydrogen effect is given by Eq. 5 with the term (c - Co)AV/~2 replaced by
eT _ ~ (C -- co)Oh if f -- 0
( (1 - f ) ( c - co)Oh +f(0hyd -- CoOh) if f ~ 0" (11)
In Eq. 11, c and Co are the local and initial hydrogen concentrations in
hydrogen atoms per metal atom, respectively, Oh is the lattice local dilatation
when a hydrogen atom dissolves in solution with the metal [17], and 0hya is
the volume dilatation of a material element that is 100% hydride.
An averaging approach is used to estimate the hydride size directly ahead
of a crack tip during the numerical simulation. Suppose that at a given time t
the region directly ahead of the crack tip along the axis to symmetry has a
hydride volume fraction distribution f(r), where r is the distance from the tip
and f - 0 for r > r0. In view of the large values of hydrogen diffusivity, an
individual hydride particle in this region could be as large as a - f r o in
length, where f is the average hydride volume fraction in the region
0 _< r _< r0. The fracture toughness in the presence of hydrogen K/c is defined
[13] as the level of the applied load measured in terms of the applied stress-
intensity factor at the moment when the hydride particle size a at some
location r will reach a critical size at which the fracture of the hydride is
energetically favored in a Griffith sense, namely
a- acrit(r) -- 27sE
g(1 - v2)a2(r)" (12)
872 Sofronis
The parameter Ys is the surface energy of the hydride phase, E is Young's modulus,
v is Poisson's ratio, and a is the local stress ahead of the crack in the direction
normal to the axis of symmetry. Of course, such a prediction for the fracture
toughness is a conservative one, since the presence of a void ahead of a blunting
crack tip due to cracking of a hydride particle does not necessarily lead to fracture.
9.9.2.6 PARAMETERS
9.9.2.6.1 Niobium [1, 12, 13]

Oh =0.174; 0hyd = 0 . 1 2 ; the activation energy for diffusion through the
hydride phase can be assumed equal to three times the activation energy for
diffusion through the solid solution phase; ?s -- 5.04 Joules/m2; and terminal
solid solubility is given by
6k;/mo, mech
c~-3.74exp R--T fexp\ RT f (13)
9.9.2.6.2 Zirconium [15, 19, 20]

Oh -- 0.12 based on V/-/= 1.67 cm3/mole; 0hyd -- 0171; VM -- 13.85 cm3/mole;
Ys can be calculated by considering that the fracture toughness of the pure
hydride phase is ~-, 5.0 M P a v ~ ; D - - 2.17 • 10-7(m2/s)exp(-35.1kJmole-1/
RT); the activation energy for diffusion through the hydride phase can be
assumed equal to three times the activation energy for diffusion through the
solution solution phase; and terminal solid solubility is given by
10 0
R--T / exp \ RT / " (14)
ACKNOWLEDGEMENTS
This work was supported by the Department of Energy under grant DEFGO2-
96ER45439. The author would like to thank Prof. H. K. Birnbaum for many
helpful discussions on the subject.
REFERENCES
1. Birnbaum, H. K., Grossbeck, M. L., and Amano, M. (1976). Hydride precipitation in Nb and
some properties of NbH.J. Less Comm. Met. 49: 357-370.
2. Birnbaum, H. K., and Sofronis, P. (1994). Hydrogen-enhanced localized plasticity: A

mechanism for hydrogen related fracture. Mater. Sci. Eng. A176: 191-202.
3. Birnbaum, H. K., Robertson, I. M., Sofronis, E, and Teter, D. (1997). Mechanisms of hydrogen
related fracture: A review, in Corrosion Deformation Interactions CDF96 (Second International
Conference, Nice, France, 1996), pp. 172-195, Magnin, T., ed., The Institute of Materials,
Great Britain.
4. Flannagan, T. B., Mason, N. B., and Birnbaum, H. K. (1981). The effect of stress on hydride
precipitation. Scr. Met. 15: 109-112.
5. Gilman, J. J. (1969). Micromechanics of Flow in Solids, New York: McGraw-Hill Book Company,
pp. 185-199.
6. Hirth, J. E, and Carnahan, B. (1978). Hydrogen adsorption at dislocations and cracks in Fe.
Acta Metall. 26: 1795-1803.
7. Hirth, J. E (1980). Effects of hydrogen on the properties of iron and steel. Met. Trans. llA:
861-890.
8. Johnson, H. H., and Lin, R. W. (1981). Hydrogen and deuterium trapping in iron, in
Hydrogen Effects in Metals, pp. 3-23, Bernstein, I. M., and Thompson A. W., eds., Metallurgical
Society of AIME.
9. Krom, A. H. M., Koers, R. W. J., and Bakker, A. (1999). Hydrogen transport near a blunting
crack. J. Mech. Phys. Solids 47: 971-992.
10. Kumnick, A. J., and Johnson, H. H. (1980). Deep trapping states for hydrogen in deformed
iron. Acta Metall. 28: 33-39.
11. Li, J. C. M., Oriani, R. A., and Darken, L. S. (1966). The thermodynamics of stressed solids.
Z. Physik Chem. Neue Folge 49: 271-291.
12. Lufrano, J., Sofronis E, and Birnbaum, H. K. (1996). Modeling of hydrogen transport and
elastically accommodated hydride formation near a crack tip. J. Mech. Phys. Solids 44:
179-205.
13. Lufrano, J., Sofronis, E, and Birnbaum, H. K. (1998). Elastoplastically accommodated hydride
formation and embrittlement. J. Mech. Phys. Solids 46: 1497-1520.
14. Lufrano, J., Symons, D., and Sofronis, E (1998). Hydrogen transport and large strain
elastoplasticity near a notch in alloy X-750. Eng. Fracture Mech. 59: 827-845.
15. Lufrano, J., and Sofronis, P. (2000). Micromechanics of hydride formation and cracking in
zirconium alloys. Computer Modeling in Engineering Science 1: 119-131.
16. Meyers, S. M., et al. (1992). Hydrogen interaction with defects in crystalline solids. Rev. Mod.
Phys. 64: 559-617.
17. Peisl, H. (1978). Lattice strains due to hydrogen in metals, in Hydrogen in Metals I, Topics in
Applied Physics, pp. 53-74, vol. 28, Alefeld, G., and Volkl, J., eds., New York: Springer-Verlag.
18. Puls, M. P. (1984). Elastic and plastic accommodation effects on metal-hydride solubility. Acta
Metall. 32: 1259-1269.
19. Puls, M. E (1990). Effects of crack tip stress states and hydride-matrix interaction stresses on
delayed hydride cracking. Metall. Trans. 21A: 2905-2917.
20. Shi, S.-Q., Shek, G. K., and Puls, M. P (1995). Hydrogen concentration limit and critical
temperatures for delayed hydride cracking in zirconium alloys. J. Nucl. Mater. 218: 189-201.
21. Shih, D. S., Robertson, I. M., and Birnbaum, H. K. (1988). Hydrogen embrittlement of
titanium: in situ TEM studies. Acta Metall. 36: 111-124.
22. Sofronis, P., and McMeeking, R. M. (1989). Numerical analysis of hydrogen transport near a
blunting crack tip. J. Mech. Phys. Solids 37: 317-350.
23. Sofronis, P., and Birnbaum, H. K. (1995). Mechanics of the hydrogen-dislocation-impurity
interactions--I. Increasing shear modulus. J. Mech. Phys. Solids 43: 49-90.
24. Taha, A., and Sofronis, P. (2001). A micromechanics approach to the study of hydrogen
transport and embrittlement. Eng. Fracture Mech. 68: 803-837.
874 Sofronis
25. Takano, S., and Suzuki, T. (1974). An electron-optical study of//-hydride and hydrogen
embrittlement of vanadium. Acta Metall. 22: 265-274.
26. V61kl, J., and Alefeld, G. (1978). Diffusion of hydrogen in metals, in Hydrogen in Metals I,
Topics in Applied Physics, pp. 53-74, vol. 28, Alefeld, G., and Volkl, J., eds., New York:
Springer-Verlag.
27. Westlake, D. G. (1969). A generalized model for hydrogen embrittlement. Trans. ASM 62:
1000-1006.
SECTION 9.10
Unified Disturbed State
Constitutive Models
CHANDRA S. DESAI
Department of Civil Engineering and Engineering Mechanics, The University of Arizona, Tucson,
Arizona
Contents
9.10.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 875
9.10.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 876
9.10.3 Identification of Material Parameters . . . . . . 877
9.10.3.1 Tests for Finding Parameters . . . . . . . 878
9.10.4 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . 878
9.10.5 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 879
APPENDIX 1 DSC/HISS Parameters for
Typical Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 879
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 883
9.10.1 VALIDITY
The disturbed state concept (DSC) is a unified approach for constitutive

modeling of materials and interfaces and joints under thermomechanical and
environmental loading. It allows one to consider, in a hierarchical framework,
various behavioral features of materials, such as elastic, plastic, and creep
strains, microcracking leading to degradation or damage, and stiffening or
healing. Degradation and stiffening are incorporated by using the idea of
disturbance (D). The DSC and its specialized versions have been found to
provide a satisfactory characterization of a wide range of materials, such as
geologic, concrete, asphalt concrete, ceramics, metals, allows (solders), and
silicon.
Details of the theoretical development of the models, their use and
validation for various materials and interfaces and joints, and their

876 Desai
implementation in a computer (finite element) procedure and validation for a

wide range of field and laboratory-simulated practical boundary value
problems are given in various publications; only typical studies are listed
under References.
9.10.2 FORMULATION
The basic incremental DSC equations are derived as
(i)
where a, i, and c denote observed or actual, relative intact (RI) and fully
adjusted (FA) responses, respectively, ~ and e are the stress and strain vectors,
C is the constitutive matrix, D is the disturbance, dD is the increment or rate
of disturbance, and d denotes increment. Although D is often treated as scalar,
its tensorial form can be introduced in the DSC equations. In the DSC, it is
considered that at any stage during deformation, a material element is
composed of a mixture of two or more reference materials. For the dry
material, one of the reference materials is in the RI state, whose behavior is
expressed by using such continuum theories as elasticity, plasticity, or elasto-
viscoplasticity. The RI material continuously transforms to the material in the
FA state because of the internal self-adjustment of the material's micro-
structure. It is the consequence of relative particle motions and/or
microcracking; in the limit, the FA material is assumed to approach an
invariant state. Behavior of the FA can be characterized by using various
assumptions, e.g., (1) it can carry hydrostatic or isotropic stress and no shear
stress and act like a constrained liquid, and (2) it can continue to carry a
limiting shear stress under a given hydrostatic stress and continue to deform
in shear without any change in volume, as in the critical state concept [15]
and act like a constrained liquid-solid. If the material in the FA state is treated
as a "void" as in the continuum damage concept [16], it can carry no stress at
all. Since the material in the FA state is surrounded by the RI material, the
foregoing two idealizations are considered to be more realistic compared to
the "void" assumption in the damage concept. Furthermore, the DSC model
allows for the coupling and interaction between the material parts in the RI
and FA states. Such coupling is not allowed in the damage concept. As a
result, the DSC model implicitly allows for the neighborhood or nonlocal
effects, and external enrichments such as gradient and Cosserat theories and
microcrack interaction are not required. The disturbance, D, acts as the
coupling and interpolation mechanism and leads to the observed behavior in
terms of the behavior of the RI and FA material parts.
9.10 Unified Disturbed State Constitutive Models 877
Specializations: If D = 0, Eq. 1 leads to the continuum models in which

the RI constitutive matrix, C i, can be based on linear (nonlinear) elasticity,
plasticity, or elasto-viscoplasticity. If D # 0, Eq. 1 provides for microcracking
and degradation or stiffening (healing). If the terms related to the FA state (c)
are ignored, Eq. 1 leads to the classical damage model.

PARAMETERS
The DSC model allows for the flexibility to choose specialized versions, such
as the elastic, elastoplastic, viscoplastic, and disturbance (degradation).
Hence, the user needs to specify parameters related to the version chosen for a
given material and application need. The basic parameters are listed in
following text, along with the explanation for various quantities:
9 Linear elastic: Young's modulus, E, and Poisson's ratio, v; or shear

modulus, G, and bulk modulus, K;
9 Plasticity
Classical: yon Mises: yield stress, Cry, or cohesion, c. Drucker-Prager:
cohesion, c, angle of friction, ~b;
Continuous yielding: Hierarchical Single Surface (HISS) (see "Function"):
Ultimate (failure): slope of ultimate envelope, 7; yield surface shape, fl;
bonding stress, R; Transition (compaction to dilation): n; Hardening or
yielding: parameters al and r/I;
9 Creep: fluidity, F; flow function, N;

9 Disturbance: A, Z, Du;
9 Thermal effect:
Coefficient of thermal expansion, ~7-;
Parameter dependence: pr and 2;
9 Yield function: F -J-2D - (-0~]1 + 7]12)( 1 - fiSt) -~ 0;

9 Growth function: ~ -- al/~"1;
9 Creep (viscoplastic [17]): drip - F($)(OF/cg~) and ~ b - (F/Fo)N;
r,J
multicomponent DSC or overlay models allow for viscoelastic and viscoplastic

creep;
9 Disturbance" D - Du (1 - e -A~,);
9 Temperature dependence: p(T) - p(Tr)(T/Tr)C;
where J1 and J2D are the first invariant of the stress tensor, Crij, and the second
invariant of the deviatoric stress tensor, Sij, the overbar denotes nondimen-
sional value with respect to the atmospheric pressure, Pa, ]1 - J 1 + 3R, R is
878 Desai
the bonding stress, Sr = (X/~/2)J3D "d2Dl-3/2 , J3D is the third invariant of Sij ,
and ~D are the trajectories of total and deviatoric plastic strains, respectively,
Pa is any parameter (see preceding), Tr is the reference temperature (e.g.,
300 K), and T is any temperature. The yield surface, F, plots as continuous in
various stress spaces, and the associated plasticity models are referred to as
HISS (hierarchical single surface).
9.10.3.1 TESTS FOR FINDING PARAMETERS
Details of the procedures for finding the preceding parameters from

laboratory tests are given in Desai [1]. The parameters have physical
meanings in that they are related to specific states during deformations. The
parameters are found from uniaxial tension and compression, shear, biaxial,
triaxial (01,02 = 0"3), multiaxial (01 r 02 r 03), creep and relaxation, and/or
cyclic thermomechanical tests. The disturbance parameters are found on the
basis of the degradation response under static or cyclic tests in terms of stress,
volumetric (void ratio), effective stress (pore water pressure) for saturated
materials, and nondestructive properties such as ultrasonic P- and S-wave
velocities or attenuation.
The parameters are expressed in terms of temperature and strain rates.
9.10.4 IMPLEMENTATION
The DSC model is implemented in linear and nonlinear finite element

procedures for the solution of problems under static, dynamic, and repetitive
loading, and involving dry and porous saturated materials. The finite element
procedures have been used to predict the behavior of a number of practical
problems in civil and mechanical engineering, electronic packaging, and
semiconductor systems.
The incremental constitutive equations, Eq. 1, are expressed as
d a a = C Dsc d 8i, where C v s c is the constitutive matrix given by
r ,-,,a e',,a
C Dsc - (1 - D ) C i + D(1 + or C c + R; a" (2)
where ~ is the relative motion parameter and ~r is the relative stress vector
based on go_ gi. The incremental finite element equations with C Dsc at step
n are derived as
I"
~V (1 - Dn) Brdan+l
i dV + i Dn B ~dcrn+ldg
c
(3)
+ f B; (~ n - ai)dDn - dV --
which in terms of displacement increment dqi are expressed as

,-,a
f BrcDSCBdV dq i -d Q l'l Or - 1 (4)
where B is the transformation matrix and d Q is the vector of applied loads.

,-,,a e,,a
Various techniques for the incremental-iterative solutions for Eq. 4 are given
by Desai [1].
The finite element procedures have been used to successfully predict the
observed behavior of a wide range of simulated and field problems in civil and
mechanical engineering and electronic packaging.
9.10.5 PARAMETERS
Parameters for typical engineering materials such as a clay, sands, rocks,

concrete, rock salt, ceramic composite, and solder alloy (40/60, Pb/Sn) are
given in Appendix 1. Parameters for many other materials and interfaces and
joints are given elsewhere, e.g., Desai [1].
A P P E N D I X 1 DSC/HISS PARAMETERS FOR

TYPICAL MATERIALS
In view of space limitations, details of the physical properties of the materials

and associated tests are not presented; they can be obtained from the
references cited.
Parameters for Saturated Marine Clay-DSC Model
Parameter Value Parameter Value
E, MPa (psi) 10 ~ 0.0694

(1500)
v 0.35 2 0.169
0.047 eoc 0.903
fl 0.00 A 1.73
n 2.80 Z 0.309
880 Desai
Parameters for Saturated Marine Clay-DSC Model (Continued)
Parameter Value Parameter Value
hi 0.0001 Du 0.75
h2* 0.78
* ~ = hl/~ h2, a is the hardening in growth function, eoc is the initial void ratio, and ~v is the
trajectory of volumetric strains.
Parameters for Sands: HISS Models
Dry sand
Parameter Ottawa Leighton Buzzard Munich Saturated sand
E, MPa 262 79 63 140

(psi) (38,000) (11,500) (9200) (20,420)
v 0.37 0.29 0.21 0.15
7 0.124 0.102 0.105 0.636
fl 0.494 0.362 0.747 0.60
n 3.0 2.5 3.20 3.0
hi** 0.135 0.1258
al* 2.5 • 10 -3 h2 450 1355 al - 0.16 x 10 -4
~/1 0.370 h3 0.0047 0.001
h4 1.02 1.11 t/1 - 1.17
R 0.00 0.00 0.00 0.00
~c 0.265 0.290 0.35 --
* O~ = all~ ill
** a = hlexp [-h2~(1 - r + ;,,r
Note: a is the hardening or growth function; tc is the nonassociative parameter.
Parameters for Rocks and Concrete
Parameter Rocks
Soapstone Sandstone Concrete
E, MPa 9150 25500 7000

(psi) (1328 • 103) (3700 • 103) (106)
v 0.0792 0.11 0.14
7 0.0470 0.0774 0.113
fl0* 0.750 0.767 0.8437
ill* 0.0465 0.0020 0.027
n 7.0 7.20 7.00
t/1 0.177 x 10 -2 0.467 x 10 -2 9 x 10 -3
Parameters f o r R o c k s a n d C o n c r e t e (Continued)
Parameter Rocks
Soapstone Sandstone Concrete
/71 0.747 0.345 0.44

R, MPa 1.067 2.90 2.72
(psi) (155) (420) (395)
K
A 668
Z 1.50
Du 0.875
* fl = floe-e~J~
** Fs = [ e x p ( f l l / f l o J 1 ) - flSr] -0"5
Parameters for Rock Salt at Different Temperatures
Temperature 296 K 336 K 350 K 473 K 573 K 673 K

parameter
E (GPa) 34.13 32.19 31.59 27.49 25.15 23.35

v 0.279 0.287 0.290 0.310 0.324 0.336
aT (l/K) 3.8 4.2 4.3 5.5 6.4 7.2
( • 10 -5)
7 0.0516 0.0384 0.0349 0.0173 0.0111 0.0076
fl 0.690 0.620 0.590 0.450 0.380 0.33
n (average) 3.92
al ( • 10-9) 1.80 0.97 0.95
/71 (average) 0.474
F( • 10-3/day) 4.95 6.11 6.54 10.77 14.8 19.35
N (average) 3.0
Temperature dependence:
( T ) -0"462 ( T ) 0224
E(T) = 33.92 3 - ~ ;v(T) = 0.28 3--0-6
~(r) = 3.85 • ~0-~ (3-~0) ~

-0.91
~(r) = 0.05 3-0-6 ;fl(r) = 0.68 3--0-6
1.70
0{(T)= /a~-~/ /3~0/-0334 ;F(T) - 5.0 (3~0 /
300
882 Desai
Elasticity and Plasticity Parameters for Solder (Pb40/Sn60) at ~=0.002/sec"

/~0-model
Temperature (K) 208 273 348 373
E (GPa) 26.1 24.1 22.45 22.00

v 0.380 0.395 0.408 0.412
=r (l/K) 2.75 2.93 3.11 3.16
X 10 -6
0.00083 0.00082 0.00082 0.00081
0.0 0.0 0.0 0.0
n 2.1 2.1 2.1 2.1
6/1 ( X 10 -6) 8.3 2.93 1.25 0.195
I/1 0.431 0.553 0.626 0.849
~/1 (average) 0.615
~ry, yield stress (MPa) 37.241 31.724 20.690 15.172
Bonding stress, R (MPa) 395.80 288.20 175.20 122.10
Creep Parameters for Pb40/Sn60 Solder at Different Temperatures
Temperature 298 K 313 K 333 K 373 K 393 K
Fluidity parameter ln(F) 0.578 2.058 3.475 4.61 6.96

Parameter
N 2.665 2.645 2.667 2.448 2.74
Average 2.67 2.67 2.67 2.67 2.67
Disturbance Parameters for Pb40/Sn60 Solder at Different Temperatures

(Du = 1 . 0 0 )
Temperature 223~ 308~ 398~ 423~
Z 0.7329/0.8697 0.5214/0.6031 0.6973/0.5914 0.6612/0.7224

Average 0.676 0.676 0.676 0.676
A 0.056/0.072 0.188/0.1298 0.0496/0.146 0.197/0.169
Temperature Dependence of Parameters for Pb40/Sn60 Solder
Parameter P3oo c
E 23.45 (GPa) -0.292

v 0.40 0.14
~r 3 x 10 - 6 ( l / K ) 0.24
y 0.00082 -0.034
0.05 • 10 -4 -5.5
R 240.67 (MPa) -1.91
Temperature Dependence of Parameters for Pb40/Sn60 Solder
Parameter P30o c
F 1.80/sec 6.185
A 0.102 1.55
Note: Other parameters are not affected significantly by temperature; hence, their average values
are used.
REFERENCES
1. Desai, C. S. (1999). Mechanics of Materials and Interfaces: The Disturbed State Concept, Boca
Raton, Florida: CRC Press (in press).
2. Desai, C. S. (1995). Constitutive modelling using the disturbed state as microstructure self-
adjustment concept, Chapter 8 in Continuum Models for Materials with Microstructure,
Miihlhaus, H. B., ed., John Wiley.
3. Desai, C. S., Basaran, C., and Zhang, W. (1997). Numerical algorithms and mesh dependence
in the disturbed state concept. Int. J. Num. Meth. Eng. 40: 3059-3083.
4. Desai, C. S., Chia, J., Kundu, T., and Prince, J. L. (1997). Thermomechanical response of
materials and interfaces in electronic packaging: Parts I and II. J. Elect. Packaging, ASME 119:
294-309.
5. Desai, C. S., Dishongh, T. J., and Deneke, P. (1998). Disturbed state constitutive model for
thermomechanical behavior of dislocated silicon with impurities. J. Appl. Physics 84: 11.
6. Desai, C. S., and Ma, Y. (1992). Modelling of joints and interfaces using the disturbed state
concept. Int. J. Num. Analyt. Meth. Geomech. 16: 623-653.
7. Desai, C. S., and Salami, M. R. (1987). A constitutive model and associated testing for soft
rock. Int. J. Rock Mech. Min. Sc. 24(5): 299-307.
8. Desai, C. S., Samtani, N. C., and Vulliet, L. (1995). Constitutive modeling and analysis of
creeping slopes. J. Geotech. Eng., ASCE, 121(1): 43-56.
9. Desai, C. S., Somasundaram, S., and Frantziskonis, G. (1986). A hierarchical approach for
constitutive modelling of geologic materials. Int. J. Num. Analyt. Meth. Geomech. 10(3): 225-
252.
10. Desai, C. S., and Toth, J. (1996). Disturbed state constitutive modeling based on stress-strain
and nondestructive behavior. Int. J. Solids Struct. 33(11): 1619-1650.
11. Desai, C. S., and Varadarajan, S. (1987). A constitutive model for quasistatic behavior of rock
salt. J. Geophys. Res. 92(B 11): 11445-11456.
12. Desai, C. S., and Whitenack, R. (2000). Review of models and the disturbed state concept for
thermomechanical analysis in electronic packaging. J. Electronic Packaging, ASME (in press).
13. Desai, C. S., Zaman, M. M., Lightner, J. G., and Siriwardane, H.J. (1984). Thin-layer element
for interfaces and joints. Int. J. Num. Analyt. Meth. Geomech. 8(1): 19-43.
14. Katti, D. R., and Desai, C. S. (1994). Modeling and testing of cohesive soil using the disturbed
state concept. J. Eng. Mech., ASCE, 121: 648-658.
15. Roscoe, K. H., Schofield, A. N., and Wroth, C. P. (1958). On yielding of soils. Geotechnique 8:
22-53.
16. Kachanov, L. M. (1986). Introduction to Continuum Damage Mechanics, Dordrecht: Martinus
Nijhoff Publishers.
17. Perzyna, P. (1966). Fundamental problems in viscoplasticity. Adv. Appl. Mech. 9: 247-277.
SECTION 9.11
Coupling of Stress-Strain,
Thermal, and Metallurgical
Behaviors
TATSUO INOUE
Department of Energy Conversion Science, Graduate School of Energy Science, Kyoto University,
Yoshida-Honmachi, Sakyo-ku, Kyoto, Japan
Contents
9.11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 884
9.11.2 Continuum Thermodynamics and
Fundamental Framework . . . . . . . . . . . . . . . . . . 885
9.11.3 Stress-Strain Constitutive Equation . . . . . . . 888
9.11.3.1 Plastic Strain Rate . . . . . . . . . . . . . . . . . 888
9.11.3.2 Viscoplastic Strain Rate . . . . . . . . . . . . 889
9.11.4 Heat Conduction Equation . . . . . . . . . . . . . . . . 891
9.11.5 Kinetics of Phase Transformation . . . . . . . . . 891
9.11.6 Some Simulated Results of Engineering
Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 893
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 895
9.11.1 INTRODUCTION
Coupling among metallic structures, including the molten state, temperature, and
stress and/or strain occurring in processes accompanied by phase transformation,
sometimes is one of the predominant effects of such industrial processes as
quenching, welding, casting, and so on. Figure 9.11.1 shows the schematic
representation of the effect of metallo-thermomechanical coupling with the
induced phenomena [1-5]. When the temperature distribution in a material varies,
thermal stress (@) is caused in the body, and the induced phase transformation
(@) affects the structural distribution, which is known as melting or solidification
in solid-liquid transition and pearlite or martensite transformation in the solid

9.11 Coupling of Stress-Strain, Thermal, and Metallurgical Behaviors 885
(DThermalstress
IX X .ea, I
TEMPERATURE ~
.e,o "1
" STRESS/STRAIN
I
_• X X heat & Transformation// (~

Temperature XX plasticity//Stress/strain
dependenceXX //dependence
ofstructureXX //ofstructure
FIGURE 9.11.1 Metallo-thermo-mechanics: coupling between temperature, stress/strain, and

metallic structure.
phase. Local dilatation due to structural changes in the body bring out the
transformation stress (@) and interrupt the stress or strain field in the body.
In contrast to these phenomena, which are well known in ordinal analysis,
arrows in the opposite direction indicate coupling in the following manner.
Part of the mechanical work done by the existing stress in the material is
converted into heat (@) which may be predominant in the case of inelastic
deformation, thus disturbing the temperature distribution. The acceleration of
phase transformation by stress or strain, which is called stress- or strain-
induced transformation (@) has been treated by metallurgists as one of
leading parameters of transformation kinetics. The arrow numbered by ((~))
corresponds to the latent heat due to phase transformation, which is essential
in determining the temperature. The purpose of this section is to present the
governing equations relevant to simulating such processes involving phase
transformation when considering the effect of the coupling mentioned.
Formulation of the fundamental equations for stress-strain relationships, heat
conduction, and transformation kinetics based on continuum thermody-
namics will be done in the first part, and a list of some examples of the
numerical simulation of temperature, stress-strain, and metallic structures in
the processes of quenching, welding, and casting will be presented.
9.11.2 CONTINUUM THERMODYNAMICS AND

FUNDAMENTAL FRAMEWORK
Consider a material undergoing structural change due to phase transforma-

tion as a mixture of N kinds of constituents [6]. Denoting the volume fraction
886 Inoue
of the Ith constituent as ~I (see Fig. 9.11.2), the physical and mechanical
properties x of the material are assumed to be a linear combination of the
properties xi of the constituent as
N
I--1
with
N
I--I
where EN_I is the summation for suffix I from 1 to N. All material parameters
appearing in following text are defined in the manner of Eq. 1.
The Gibbs free-energy density function G is defined as
1
p ~
where U, T, ~/, and p are the internal energy density, temperature, entropy
density, and mass density, respectively. Elastic strain rate ~ in Eq. 3 is defined
.i
as the subtraction of inelastic strain rate ~ij from total strain rate ~ij, that is,
9e 9 .i
~ij ----~ij - ~ij (4)
The thermodynamic state of a material is assumed to be determined by stress
aij, temperature T, temperature gradient gi(--grad T), and a set of internal
variables of inelastic strain ~iij, back stress ~ij, and hardening parameter ~c
related to inelastic deformation, together with the volume fraction of the
constituents ~I. Then, the general form of the constitutive equation can be
FIGURE 9.11.2 C o n c e p t of m i x t u r e .
expressed as
( i
G = G aij, T, gi, ~'ij, oqj, 1r ~I
) (~)
( i
rl -- rI aij, T, gi, ei3, ~ij, ~c, ~
) (6)
( i
q i - q i crij , T, g i , e ij , czi3 , ~c, ~ I
) (7)
~ij -- ~ij aij, T, gi, ~ij, ~ij, ~c, ~I (8)
Here, qi is the heat flux. The evolution equations for the internal variables are
defined in the same form as Eqs. 5-8, i.e.,
~ i( ~
~ij -- ~ij aij, T, gi, ~ij, ~zij, ~c, ~I
/ (9)
(
OCij -- O~ij Gij , T, gi, i
F,ij, (xij, K,, ~I
) (10)
(
~. -- ~. aij, T, gi , ~ij, ~
i ~c, ~x
) (11)
( i ) (12)
When the strong form of the Clausius-Duhem inequality

9 e .i
- p ( o + ~t) - ~,j~j + ~,j~,j >_ o (13)
with
giqi <_ 0 (14)
is applied, the constitutive relationships in Eqs. 5-8 are reduced to
G = G Gij , T, ~ij' CXij' K, (15)
~j - p ~ o ~j, r,~j,~j,~,~, (16)
rI = - p --~ G aij, T, sij , o~ij, K, ~i (17)
qi = - k
( aij, T, ~ij,i ~zij, ~c, ~I ) gi (18)
Here, Fourier's law has been used in Eq. 18 with thermal conductivity k.
888 Inoue
9.11.3 STRESS-STRAIN CONSTITUTIVE

EQUATION
To obtain an explicit expression for the elastic strain in Eq. 16, the Gibbs free-
energy G is assumed to be determined by that of constituent GI in the form of
Eq. 1 as
N
G a0, T, e0, ~0, K, ~I ~IG~ a 0, T, e0, ~0, tc
I=l
When GI is divided into the elastic and inelastic parts as
( i
GI (Tij, T, F.ij, ~ij, K,, ~I
) -- GIe(cYij, T) ,(i )
..qt_GI T, g.ij, cxij , K, (20)
we can derive the elastic strain from Eq. 16 by expanding elastic part G~
around the natural state, ai) = 0 and T = To, in terms of the representation
theorem for an isotropic function;
N N (21)
o I=l I=1
Here, El, vI, ~I, and/31 correspond to Young's modulus, Poisson's ratio, thermal
expansion coefficient, and dilatation of the Ith constituent, respectively.
9.11.3.1 PLASTIC STRAIN RATE
Assume that the evolution of back stress ~0 of the yield surface and
hardening parameter tc can be determined by
~j - C(T, ~, ~)~ i (22)
where ~i represents the equivalent inelastic strain rate. To take into account
the effect of changing structural fraction ~i, we take the form of the yield
function as
( i
F -- F ai), T, ei) , ~i), to, ~I )_[ ]
3(si) _ ~i))2 I/2_K(T ' to, ~z) (24)
where si)(= cri) - 1 6i)ahh) represents the deviatoric stress component. Employ-
ing the normality rule and the consistency relationship, the final form of the
time-independent inelastic strain rate, or plastic strain rate, reads:
with
_1 ___( oqF oqF + ~ OF {-- (2 ~ ~ ) 1/20qF} (26)
6 C~{7mnOF.in OGmnOO~mn O{7mnO-~mn
Equation 25 means that plastic strain is induced not only by stress, but also by
the temperature and phase change.
9.11.3.2 VISCOPLASTIC STRAIN RATE
The elastic-plastic constitutive relationship is suitable for describing the

material behavior at relatively low temperature. However, time dependency or
viscosity might be predominate at a higher temperature level, particularly
when the material behaves like a viscous liquid beyond its melting point. In
order to analyze such processes as welding and casting, in which melting and
solidification of the metal are essential phenomena, adequate formulation of
the viscoplastic constitutive model is needed. Malvern [7] and Perzyna [8]
proposed a viscoplastic constitutive equation for time-dependent inelastic
"i in the form
strain rate F,ij
1 OF
~iij -- -~-~(l~l(F) ) O~Tij (27)
with the static yield function
f r
( r,
i) (28)
F= -1
K
where # and K denote the stress, and the coefficient of viscosity and the static
flow, and
_ fo, if ~(F) _< 0
(~(F)) (29)
if > 0
Equation 27 indicates that the inelastic strain rate is induced in an outer
direction normal to static yield surface F, and that the magnitude of the strain
rate depends on the ratio of excess stress (f - K) to flow stress K. If we adopt
the flow rule (Eq. 27) to the liquid state, the flow stress tends to vanish
(K--+ 0) and the yield surface F expands infinitely (F--+oo), which implies that
the strain rate is infinite at low stress. To compensate for such an
890 Inoue
inconsistency occurring in a liquid, a modification to Eq. 28 is made such that
F -- f ( CYij , T, F,iji , ~ij ) - - K ( T , ~c {I) (30)
When we take the simple forms of functions ~ and F,

~(F) = F (31)
(32)
Equation 27 can be reduced to
g/j ~ 1 - [3(shl- 0~kl)(Skl- ~hl)]1/2 (sij - a/j) (33)
This constitutive relationship may be relevant to a liquid-solid transition

region with high viscosity, as well as to a normal time-independent plastic
body [9]. For instance, when flow stress K equals zero in Eq. 33, the total
strain rate ~,ij (= k~j + kb)is given by
l+v v 1
~.ij = E (rij - -~ (rkkfiij + ~ sij (34)
when the effect of temperature and phase change is neglected for simplicity.
This equation is equivalent to the Maxwell constitutive model for a
viscoelastic body.
When the elastic component of shear deformation is small enough
compared with the viscoplastic component, as is usual for a viscous fluid, the
Newtonian fluid model
(35)
is obtainable from Eq. 34 by neglecting the elastic shear strain rate.
Furthermore, when the elastic volume dilatation e~h is removed from
Eq. 35, we have
aij = 2#~,ij - pcSij (36)
which represents the model for an incompressible Newtonian fluid. In the
limiting case for an inviscid material (# = 0), ~(F) in Eq. 27 tends to infinity
and
3---~I/r A (37)
1
should hold to give the form
~ij
9i = A OF
D-~/j (38)
Parameter A can be easily determined by applying the consistency relation-

ship, and thus we get back again to the previous discussion for time-
independent plastic strain. From the considerations just mentioned, the
constitutive relationship developed in Eq. 33 seems to be useful for a wide
range of metals, from inelastic solids to viscous fluids.
9.11.4 HEAT CONDUCTION EQUATION
When we adopt Eqs. 15-18 to the energy conservation law

9 Oqi
pO- - o (39)
the equation of heat conduction

02T N 0~ f OH .i OH OH )
= pr (40)
holds with enthalpy density H (= G 4-T~/) and latent heat li due to the
increase of the Ith phase
OH
li=o~ I (41)
The fifth term on the left-hand side of Eq. 40 denotes the heat generation by
inelastic dissipation, which is significant when compared with the elastic work
represented by the fourth term, and the third term arises from the latent heat
through phase changes. Hence, it can be seen that Eq. 40 corresponds to the
ordinal equation of heat conduction, provided that these terms are neglected.
9.11.5 KINETICS OF PHASE TRANSFORMATION
During phase transformation, a given volume of material is assumed to be

composed of several kinds of constituent ~I as expressed in Eq. 1. We choose
four kinds of volume fraction: liquid ~L, austenite ~A, pearlite ~p, and
martensite ~M, and other structures induced by precipitation by recovery
effect, say, during the annealing process. When austenite is cooled in
equilibrium, bainite, ferrite, and carbide are produced in addition to pearlite,
but for brevity all these structures resulting from a diffusion type of
transformation are called pearlite. The nucleation and growth of pearlite in an
austenitic structure are phenomenologically governed by the mechanism for a
892 Inoue
diffusion process, and Johnson and Mehl [10] proposed a formula for volume
fraction ~p as
~p = 1 - exp(-Ve) (42)
where Ve means the extended volume of the pearlitic structure given by
(43)
Ve --
/o 4nR(t- ~)3nd~
Here, R(t) is the radius of the pearlite particle at time t, and n denotes the
number of nucleating particles per unit time. Bearing in mind that the value of
R is generally a function of stress as well as temperature, Eq. 43 may be
reduced to
Ve - f (T, aij) (t - T.)3d~ (44)
Function f(T, 0) can be determined by fitting the temperature-time-

transformation (TTT) diagram or continuous-cooling transformation (CCT)
diagram without stress, and f(T, aij) may be given by the start-time or finish-
time data for pearlite transformation with an applied stress, an example of
which is shown in Figure 9.11.3 [12].
The empirical relationship for the austenite-martensite transformation is
also obtainable by modifying the kinetic theory of Magee [11]. Assume that
the growth of a martensite structure is a linear function of the increase of the
difference AG in free energy between austenite and martensite as
d~M -- -~(1 - ~M)~d(AG) (45)
/
~o.~ / ii r162
I ./ X' /" ~if oo: 0.P,:,
/// /// :
~o~ / / / /j/ ~ ~,~
I0 10 ~ 10 3
Time t , s
FIGURE 9.11.3 Dependenceof stress on pearlite reaction (AISI4340 steel, 343~
Regarding the free-energy G as a function of temperature and stress, we can

obtain the form of {M by integrating Eq. 45 as
{M - 1 - exp [~bI ( T - M~) + q~2(a,j)] (46)
The function ~b2(crij) is identified by the such data as shown in Figure 9.11.4
[14].
For the case of solidification, we employ the well-known lever
rule (see Fig. 9.11.5) as an example, and the volume fraction of austenite is
(TL- T)/mL (47)
~ - (~- r,,)/,,,,, + (~, - r)/,n,~
where TL and TA denote the liquidus and solidus temperatures, respectively,

and mL and mA are gradients of the liquidus and solidus temperatures with
respect to the carbon content in the phase diagram.
9.11.6 SOME SIMULATED RESULTS OF

ENGINEERING PROCESSES
Simulation of some typical engineering processes involving phase

transformation has been made by the authors. Following is the list of topics
1.0-
--o-. Tens i o n o
0.8- --e-- C o m p r
o
gl
r
m 0s
cl
g
o 0.4
r
.9
r
o1,. 0.2
LL
tltll,
/ 2,"
0s )
/ .......,/:~ _ _ _
500 1000 1500

Stress O, MPe
FIGURE 9.11.4 Dependence of stress on martensitic reaction (29%C steel, 247~
894 Inoue
I--
Carbon content C
FIGURE 9.11.5 Schematic phase diagram.
with references. The results of heat treatment are those simulated by the finite
element CAE system "HEARTS" (HEAt tReaTment Simulation program),
which is available for the analysis of the heat treatment process in this stage
[14-17].
Quenching
Quenching of infinite cylinder [14]
Carburized quenching of ring and gear wheel [14, 18].
Induction hardening of ring and gear wheel [19, 20]
Quenching of Japanese sword [21, 22, 23]
Welding
Butt-welding of plates [24]
Bead-on-plate [25]
Casting
Continuous casting of a slab [26]
Thin slab casting [27]
Centrifugal casting [28]
REFERENCES
1. Inoue, T., Nagaki, S., Kishino, T., and Monkawa, M. (1981). Ingenieur-Archives 50(5):
315-327.
2. Inoue, T. (1988). Thermal Stresses, pp. 192-278, Hetnarski, Richard B., ed., North-Holland.
3. Inoue, T. (1990). Computational Plasticity: Current Japanese Materials Research, pp. 73-96,
vol. 7, Inoue, T., et al., eds., Elsevier Applied Science.
4. Inoue, T., and Raniecki, B. (1978). J. Mech. Phys. Solids 3: 187-212.
5. Inoue, T. (1987). Berg- und Huttenmannische Monatshefte 3: 63-71.
6. Bowen, R. M. (1976). Continuum Physics, Vol. 3, New York: Academic Press.
7. Malvern, L. E. (1969). Introduction to the Mechanics of Continuous Medium, Prentice-Hall.
8. Perzyna, P. (1979). Advances in Applied Mechanics, pp. 315-354, vol. 9.
9. Wang, Z.-G., and Inoue, T. (1985). Material Science and Technology 1: 899-903.
10. Johnson, A. W., and Mehl, R. E (1939). AIME 135: 416-458.
11. Magee, C. L. (1979). Phase Transformations, p. 115, London: Chapman Hall.
12. Bhattacharyya, S., and Kel, G. L. (1955). ASM 47: 351-379.
13. Onodera, H., Gotoh, H., and Tamura, I. (1976). Proc. First JIM Int. Syrup. New Aspects of
Martesitic Transformation, pp. 327-332.
14. Inoue, T., Arimoto, K., and Ju, D.-Y. (1992). Proc. First Int. Conf. Quenching and Control of
Distortion, Chicago, pp. 205-212.
15. Inoue, T., Arimoto, K., and Ju, D.-Y. (1992). Proc. 8th Int. Congr. on Heat Treatment of
Materials, Kyoto, pp. 569-572.
16. Inoue, T. (1998). Mathematical Modelling of Weld Phenomena, pp. 547-575, vol. 4,
Cerjak, H., ed.
17. Inoue, T., and Arimoto, K. (1997).J. Materials Engineering and Performance, ASM 6(1): 51-60.
18. Yamanaka, S., Sakanoue, T., Yosii, S., Kozuka, T., and Inoue, T. (1998). Proc. 18th Conf. Heat
Treating, ASM International, pp. 657-664.
19. Inoue, T., Inoue, H., Uehara, T., Ikuta, E, Arimoto, K., and Igari, T. (1996). Proc. 2nd Int. Conf.
Quenching and Control of Distortion, Cleveland, pp. 55-62.
20. Inoue, T., Inoue, H., Ikuta, E, and Horino, T. (1999). Proc. 3rd Int. Conf. Quenching and Control
of Distortion, Prague, pp. 243-250.
21. Inoue, T., and Uehara, T. (1995). Proc. Int. Symp. Phase Transformations during the Thermal/
Mechanical Processing of Steel, The Metallurgical Society of the Canadian Institute of Mining,
Metallurgy and Petroleum, pp. 521-524.
22. Inoue, T. (1997). Materials Science Research International 3(4): 193-203.
23. Inoue, T. (1999). Proc. 8th Int. Conf. on Mechanical Behaviour of Materials, Victoria, vol. 2,
458-468.
24. Wang, Z.-G., and Inoue, T. (1985). Material Science and Technology 1(1): 899-903.
25. Sakuma, A., and Inoue, T. (1995). Proc. 5th Int. Symp. on Plasticity and Its Current Applications,
Sakai-Osaka, pp. 721-724.
26. Inoue, T., and Wang, Z.-G. (1988). Ingenieur-Archives 58(4): 265-275.
27. Inoue, T., and Ju, D. Y. (1991). Advances in Continuum Mechanics, pp. 389-406. Bruller, O.,
Mannl., V., and Najar, J., eds., Springer-Verlag.
28. Du, D. Y., and Inoue, T. (1996). Materials Science Research International 2(1): 18-25.
SECTION 9.12
Models for Stress-Phase
Transformation Couplings
in Metallic Alloys
S. DENIS, P. ARCHAMBAULT and E. GAUTIER
Laboratoire de Science et G~nie des Mat~riaux et de M&allurgie, UMR 7584 CNRS/INPL,
Ecole des Mines de Nancy, Parc de Saurupt, 54042 Nancy Cedex, France
Contents
9.12.1 Domain of Application . . . . . . . . . . . . . . . . . . . . 896
9.12.2 Theory Used to Derive the Models . . . . . . . . 897
9.12.3.1 Kinetics Models . . . . . . . . . . . . . . . . . . . 897
9.12.3.2 Thermomechanical Model . . . . . . . . . 899
9.12.4.1 Metallurgical
Characterization . . . . . . . . . . . . . . . . . . . 902
9.12.4.2 Thermomechanical
Characterization . . . . . . . . . . . . . . . . . . . 902
9.12.5 Implementation in Codes . . . . . . . . . . . . . . . . . 903
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 903
The models described in this article, which concern phase transformation

kinetics and thermomechanical behavior, can be used for many steels and
high-strength aluminium alloys submitted to various thermal histories
(heating, cooling, isothermal holding) and to stress states that lead to small
plastic strains (a few percent). Typical applications are the modeling of heat
treatment processes (quenching, surface hardening [induction, laser, electron
beam hardening], case hardening) and also welding processes (for the heat-
affected zone behavior).

9.12 Stress-Phase Transformation Couplings in Metallic Alloys 897
9.12.2 THEORY USED TO DERIVE THE MODELS
The kinetics models rely on the general theory of solid-solid phase

transformations [1]. In order to predict kinetics for various thermal histories,
we have developed either a global approach based on the Johnson Mehl
Avrami formalism that assumes an additivity principle (for diffusion-
dependent transformations in steels or titanium alloys), or an approach that
explicitly includes nucleation and growth laws (for precipitation in
aluminium alloys).
The thermomechanical behavior of the material during the phase change is
described by phenomenological behavior laws that include the thermoelastic
and plastic-viscoplastic behavior of the stable multiphase material (mixture
rules) and the effect of the phase transformations (volume changes,
transformation plasticity) as proposed by several authors (for example, [2]).
For precipitation at very small volume fractions, the approach through
mixture laws is no longer valid, and a model describing both mechanical
softening due to heterogeneous precipitation (according to the literature
about solute hardening [3]) and hardening due to homogeneous precipitation
(by including dislocation-precipitate interactions [4]) has been proposed.
9.12.3.1 KINETICS MODELS
9.12.3.1.1 Global Description

The model uses isothermal transformation kinetics (IT diagrams) to calculate
the anisothermal kinetics on heating and cooling by applying an additivity
principle [5]. Thus, for steels, the austenitization kinetics on heating as well
as the kinetics of decomposition of austenite (into ferrite, pearlite, bainite,
martensite) during cooling can be described. We recall here only the model on
cooling. For diffusion-dependent transformations, incubation and growth
periods are treated separately. The incubation period is determined according
to Scheil's method: the transformation during continuous cooling begins when
the sum S becomes equal to unity:
S =fZi Ati/z(Ti)
where f is a heredity factor that has been introduced to take into account
nonadditivity of incubation at the transition from the pearlitic to the bainitic
domain, z(Ti) is the incubation time at temperature Ti, and Ati is the time
step.
898 D e n i s et al.
The diffusion-dependent transformations (in steels, the formation of

proeutecto'id ferrite or cementite, pearlite, or bainite) are modeled according
to the law developed by Johnson-Mehl Avrami and Kolmogorov:
Yh = y~ax[1 - exp (-bk(T)t hi(r)]
where Yk is the volume fraction of constituent k, y~nax is the maximum that can
be formed at a given temperature, and nk and bk are coefficients that are
determined for each temperature from the IT diagram (t = 0 corresponds to
the end of the incubation period). The transition from isothermal to
nonisothermal kinetics is done through the fictitious time method [6].
For martensitic transformation, the progress of the transformation is
calculated using the relation established by Koistinen and Marburger:
YM -- y~[1 - exp (-aM(Ms -- T)]
where yM is the volume fraction of martensite, yy is the remaining austenite

fraction at Ms, and aM is a constant.
This model takes into account the effect of austenitic grain size on the
transformation kinetics on cooling as the effect of a carbon enrichment of
austenite due to a previous ferritic transformation on the subsequent bainitic
and martensitic transformations. Moreover, the influence of a stress state has
been included: for diffusion-dependent transformations, the acceleration of
the transformations due to a stress state is taken into account through
phenomenological laws relating ~c(Ti), nk, and bk to the von Mises stress; for
martensitic transformation, Ms is related to the hydrostatic stress and to the
von Mises stress. The effects of carbon content heterogeneities (such as those
introduced by carburizing [5] or inheritated from solidification segregations
[7]) are included as well. A hardness calculation is associated with this phase
transformation model, which implicitly takes into account the effect of the
morphology of the different constituents.
Recently, the description of tempering kinetics on heating and self-
tempering kinetics on cooling has also been added for low alloyed steels [8].
A similar modeling approach has been used for the prediction of the
precipitation of the 0~ phase from the 1~ phase in a titanium alloy during
continuous cooling [9].
This global approach is efficient in predicting the volume fractions of the
different constituents during heat treatments of industrial alloys. But, since it
does not take into account the nucleation and growth rates explicitly, it does
not allow one to properly take into account the effects of hot forming on the
subsequent transformations on cooling (enhancement of nucleation).
9.12.3.1.2 Nucleation and Growth Modeling

Considering the precipitation, as in aluminium alloys, the nucleation and
growth of the precipitates have been modeled in order to predict the volume
fractions of precipitates during a cooling process and also their mean radius
and their distribution as well as the chemical composition of the remaining
solid solution.
The model developed [ 10, 11] includes both heterogeneous and
homogeneous precipitation, which occur, respectively, at higher and lower
temperatures during cooling. The equilibrium conditions are described by the
solubility product. The heterogeneous nucleation rate is thus expressed as:
lq = Iq0)~(Ntot- N~t)exp [-(AG* + Qa)/RT]
where lq0 is a constant, 2 is a vacancy acceleration ratio, Ntot and Nact are the
total and active density of heterogeneous nucleation sites, and Qd is the
diffusion activation energy. AG* is the critical free enthalpy variation that
depends on the precipitate surface energy 7 and on the variation of the
nucleation free enthalpy variation AGv. For cylindrical precipitates, we have:
A G * - 224/81rco~Nf73/aG 2
where N is the Avogadro number, c~ is a geometrical parameter, and f is a
wetting function representing easier nucleation on heterogeneous sites.
Homogeneous nucleation differs through the morphology of the precipitates
(spheres), the interfacial energy, the wetting function, which disappears, and
the elastic energy, which has to be taken into account.
Postulating quasi-stationarity, the growth rate can be expressed as a
function of the precipitate-matrix interface concentration XInt of element i"
ss int
at~at - - xl - )
where X~~ and X~ are, respectively, the concentration of element i in the solid
solution and in the precipitate, and, Di is the diffusion coefficient of element i.
Local equilibrium is considered at the interface. Because of the relative large
size of precipitates, the Gibbs-Thomson effect has been neglected. This model
has been applied to an A1-Zn-Mg-Cu alloy (7000 series) considering the
precipitation of the r/phase.
9.12.3.2 THERMOMECHANICAL MODEL
The modeling of the thermomechanical behavior of a material undergoing a

phase transformation must include the thermoelastic and plastic-viscoplastic
behavior of the stable multiphase material and the effect of the phase
transformations.
In order to be able to describe the great complexity of real materials like

steels, mainly macroscopic phenomenological behavior laws have been
developed [2] (see also review paper [12] for other references). It is generally
assumed that the total strain rate is an addition of different contributions:
9t 9e 9th 9tr 9tp 9i n
eij = eij + eij + ~i) + eij + eij (1)
9
9 e/j is the elastic strain rate, which is related to the stress rate by Hooke's
law. Young's modulus and Poisson's ratio have to be temperature and
microstructure dependent. (Here, microstructure means "volume frac-
tions of the different phases").
9th
9 eij is the thermal strain rate, which takes into account the thermal
expansion coefficients % of the different phases and their dependence
on temperature: e~h --ZkYk f = ~ ( r ) d r .
9i n
9 eij is the inelastic strain rate: either the plastic strain rate when no
viscous effects are considered or the viscoplastic strain rate. It is
calculated using the classical theory of plasticity or viscoplasticity with
the associated hardening rules (isotropic and/or kinematic) or is
obtained from a micro-macro approach. All material parameters (yield
stress, hardening parameters, strain rate sensitivity) are to be considered
as temperature and microstructure dependent. Mixture rules are
generally assumed. In the case of chemical composition heterogeneities,
material properties depend also on local composition. Presently, a
dependency with carbon content can be taken into account. In addition,
it should be mentioned that taking hardening into account is quite
complex when a phase transformation occurs. Models have been
proposed to account for some possible recovery of strain hardening
during a phase transformation; i.e., the new phase "remembers" or does
not remember part of the previous hardening.k~jr is the strain rate due to
the volume change associated with the different phase transformations:
~,tijr- ~.,kYk~,tkr.
tp
9
9 e/j is the transformation plasticity strain rate. It is generally assumed that
it is proportional to the stress deviator (discussion about this assumption
can be found in [ 12]):
- 3/2 f'
where Kk and f are experimental parameter and function, and s o are the
components of the stress deviator.
When considering aluminium alloys, the mechanical behavior of the
supersaturated solid solution during cooling can be described through Eq. 1.
But, because of the very low precipitate volume fractions, the deformation
associated with the volume change is negligible as transformation plasticity. A

thermo-elasto-viscoplastic behavior has been considered, and the flow stress is
written:
O'ss = 0"0 -I- H(gvP) n -[- K(~,vP) m
where or0 represents a threshold stress, H(eVP)" is the hardening due to the
deformation, K(~,vP) m is the viscous stress, evp and kvp are, respectively, the
viscoplastic strain and strain rate, H and n are hardening parameters, and K
and m are the consistence and the strain rate sensitivity. All parameters
depend on temperature.
For considering the effects of precipitation on the mechanical behavior, we
consider that the flow stress of the alloy can be written: ~r = Crss + A~r. This
assumes that the precipitation process only influences the yield stress and has
no influence on the hardening behavior. Act accounts for solute and
precipitation hardening mechanisms in the following way.
For heterogeneous precipitation, precipitates are non coherent and do not
lead to hardening. Thus the mechanical behavior is mainly sensitive to the
depletion of the solid solution (decrease of the solute content). According to
literature about solute hardening, the mechanical softening can be expressed
as [11, 13, 14]
t) = n n
where X~s~ is the concentration of element i in the supersaturated solid

solution, ai are temperature-dependent coefficients, and n is a temperature-
independent coefficient.
Homogeneous precipitation (which is coherent or semicoherent) increases
the yield stress of the alloy. The modeling of this hardening accounts for the
dislocation-precipitate interaction which leads to [11]: Acrho(T, t) = g(f~, r),
where f~ and r are, respectively, the volume fraction and the radius of the
precipitates. The resulting precipitation-induced mechanical effect is then:
Aa(T, t) = A~rhe -+- A~rho, where Aahe is negative and ACrho is positive.

PARAMETERS
In general, we perform material characterizations (metallurgical and

thermomechanical) at constant temperatures after rapid cooling from the
austenitization temperature for steels or from the solutionizing temperature
for aluminium or titanium alloys. Anisothermal tests are mainly used to
validate the models. (In some particular cases, they are used to get parameters
that cannot be obtained through isothermal tests.)
9.12.4.1 METALLURGICAL CHARACTERIZATION
The global isothermal transformation kinetics are measured at different

temperatures by dilatometry and/or in situ resistivity measurements (in
titanium and aluminium alloys resistivity is much more sensitive to phase
transformation than dilatometry). In addition, microstructural analysis and
quantitative image analysis of the isothermally transformed specimen allow
one to obtain the equilibrium volume fractions at the different temperatures.
(They can also be obtained through thermodynamic calculations of multi-
component systems.) The hardness of the different phases depending on the
transformation temperature are also obtained.
For the nucleation and growth model, identification of nucleation sites and
precipitated phases (chemical composition) and determination of mean
precipitate size evolutions (by transmission electron microscopy) are done
after isothermal interrupted quenching tests. Different parameters of the
model can be taken from the literature (equilibrium diagram, diffusion
coefficient), but some other parameters (like nucleation density, wetting
function, or surface energy) are unknown. Thus they are determined through
comparisons between calculated and experimental results.
Kinetics measurements during continuous cooling tests (at constant
cooling rates) and microstructural analysis of the specimen are also performed
in order to validate the metallurgical calculations (comparison between
measured and calculated kinetics, final microstructures and hardnesses).
These tests also give access to the thermal expansion coefficients of the
different phases and to the volume changes associated with the phase
transformations.
Of course, additional experiments are necessary to quantify the effect of the
parent phase grain size on the transformation kinetics or the incidence of
chemical composition variations of the alloys.
9.12.4.2 THERMOMECHANICAL CHARACTERIZATION
On one hand, the mechanical behavior of the individual phases (austenite,

ferrite, pearlite, bainite in steels or supersaturated solid solution in aluminium
alloys) is obtained through tensile tests (at constant deformation rates)
followed by relaxation tests at constant temperatures after formation of the
required phases. These tests are performed on our thermomechanical testing
apparatus (DITHEM) and allow us to identify the evolutions of the yield
stress, the hardening parameters, and the parameters describing the viscous
effects versus temperature for the different phases (i.e., by using an
optimization software like SIDOLO).
On the other hand, the effects of the phase transformations on the material
behavior must be quantified. The changes in mechanical properties due to
precipitation in aluminium alloys have been quantified by performing tensile
tests for different holding times at a constant temperature. Thus, for example,
the decrease of the yield stress related to heterogeneous precipitation and
consequently to the depletion of the solid solution has been obtained [13].
In the case of alloys that, in addition to the change in mechanical
properties induced by the new phase, exhibit transformation plasticity (like
steels, titanium alloys), experimental studies aim to quantify this additional
deformation. Typical tests consist in cooling down rapidly a specimen at the
transformation temperature and in applying a constant stress before
transformation starts and maintaining it all along the transformation. From
the dilatometry and/or resistivity measurements, we get both the transforma-
tion plasticity amplitudes versus the applied stress and the effect of the
applied stress on the transformation kinetics (for ferritic, pearlitic, bainitic
transformations in steels, for example). Moreover, experiments in which the
material is submitted to a tensile test either during its isothermal
transformation or during continuous cooling transformations allow us to
validate Eq. 1 [ 12].
Let us mention that numerous steel characterizations have been performed,
but for confidentiality reasons only few of them can be found in publications
(see, for instance, [12]).
9.12.5 IMPLEMENTATION IN CODES
Our global approach for describing phase transformation kinetics during

heating and cooling in steels has been implemented in different finite element
codes (in house software [5] and different industrial softwares like
LAGAMINE, REFPROE SYSWELD, FORGE) in order to predict the coupled
thermal-metallurgical-mechanical processes during heat treatments of steels
(quenching, surface hardening, case hardening) .The kinetics model for
precipitation and the associated thermomechanical model have been
introduced in the finite element code MARC for calculating temperature
fields, metallurgical fields, and residual stresses and deformations of quenched
high-strength aluminium work pieces [14].
REFERENCES
1. Christian, J. W. (1975). The Theory of Transformations in Metals and Alloys. Pergamon Press.
2. Sj6str6m, S. (1994). Physical, mathematical and numerical modelling for calculation of
residual stress: Fundamentals and applications, Proc. 4th Int. Conf. on Residual Stresses ICRS4
pp. 484-497, James, M. R., ed., Bethel: Society of Experimental Mechanics.
904 Denis et al.
3. Sigli, C., Vichery, H., and Grange, B. (1996). Proc. ICAA-5, 5th Int. Conf. on AI Alloys, Vol. 1,
pp. 391-396, Transtech Publications, Switzerland.
4. Ardell, J. A. (1985). Precipitation hardening. Metall. Trans. A, 16A: 2131-2165.
5. Denis, S., Archambault, P., Aubry, C., Mey, A., Louin, J. Ch., and Simon, A. (1999). Modelling
of phase transformation kinetics in steels and coupling with heat treatment residual stress
predictions. Journal de Physique IV France 9: 323-332.
6. Pumphrey, W. I., and Jones, E W. (1948). Inter-relation of hardenability and isothermal
transformation data. JISI 159: 137-144.
7. Louin, J. Ch., Denis, S., Combeau, H., Lesoult, G., Simon, A., Aliaga, Ch., and Massoni, E.
(2000). Effect of solidification segregations on phase transformation kinetics and on the
development of internal stresses and deformations during cooling of steels, in Proc. 5th
European Conference on Residual Stresses, pp. 205-210, B6ttger, A. J., Delhez, R., and
Mittemeijer, E. J., eds., ECRS5, Trans Tech Publications Ltd, Switzerland.
8. Aubry, C., Denis, S., Archambault, P., Simon, A., and Ruckstuhl, E (1998). Modelling of
tempering kinetics for the calculation of heat treatment residual stresses, Proc. ICRS5 (Int.
Conf. on Residual Stresses), pp. 412-417, Ericsson, T., Oden, M., and Andersson, A., eds.,
Link6ping University, Sweden.
9. Laude, E., Gautier, E., Archambault, P., and Denis, S. (1996). Cin~tique de transformation des
alliages de titane en fonction du traitement thermom~canique. Etude exp~rimentale et calcul.
La Revue de M~tallurgie-CIT/Science et G~nie des Mat~riaux, 1067-1078.
10. Godard, D., Gautier, E., and Archambault, P. (1999). Modelling heterogeneous precipitation
kinetics in a A1-Zn-Mg-Cu aluminum alloy, in Proc. PTM'99, International Conference on Solid-
Solid Phase Transformations, pp. 145-148, Koiwa, M., Otsuka, K., and Miyasaki, T., eds., The
Japan Institute of Metals, Kyoto.
11. Godard, D. (1999). Influences de la precipitation sur le comportement thermom~canique lors
de la trempe d'un alliage A1- Zn-Mg-Cu. Th~se de Doctorat de I'INPL, Nancy, France.
12. Denis, S., Archambault, P., Gautier, E., Simon, A., and Beck, G. (1999). Prediction of residual
stress and distortion of ferrous and nonferrous metals: Current status and future
developments, Proc. 3rd Int. Conf. on Quenching and Control of Distortion, pp. 263-276,
Totten, G. E., Liscie, B., and Tensi, H. M., eds., ASM International; Journal of Materials
Engineering and Performance (accepted October 2000).
13. Godard, D., Archambault, P., Houin, J. P., Gautier, E., and Heymes, E (1998). Mechanical
softening kinetics at high temperatures in an A1MgZnCu alloy: Experimental characterization
and microstructural interpretation, Proc. ICAA-6 pp. 1033-1038, Vol. 2, Sato, T., et al., eds.,
The Japan Institute of Light Metals.
14. Archambault, P., Godard, D., Denis, S., Gautier, E., and Heymes, E (1999). Prediction of heat
treatment residual stresses: Application to quenching of high strength aluminium alloys
including precipitation effects, in Proc. 7th Int. Seminar on Heat Treatment and Surface
Engineering of Light Alloys, pp. 249-258, Lendva, J., and Reti, T., eds., Hungarian Scientific
Society of Mechanical Engineering.
SECTION 9.13
Elastoplasticity Coupled
with Phase Changes
E D. FISCHER
Montanuniversitht Leoben, Franz-Josef-Strasse 18, A-8700 Leoben, Austria
Contents
9.13.1 Validity .................................. 905
9.13.2 Background .............................. 905
9.13.3 Description of the Model ................. 907
9.13.3.1 Transformation Kinetics ........... 907
9.13.3.2 Deformation Process .............. 909
9.13.4 Identification ............................. 911
9.13.5 H o w to U s e the m o d e l . . . . . . . . . . . . . . . . . . . . 913
9.13.6 Table of Parameters ...................... 913
References ....................................... 913
9.13.1 VALIDITY
The transformation-induced plasticity (TRIP) term as an additional strain

rate term to the "classical" plastic strain rate term is valid for ductile metals
like steel under diffusional or displacive (e.g., martensitic) phase transforma-
tions subjected to a monotonic loading path. The transformation kinetics
described herein is valid for many technically relevant metals subjected to
nearly any paths of heating or cooling. The selection of mechanical material
data is typical of heat treatment simulations, welding simulations, or surface
treatment simulations by induction hardening, carburizing, nitriding, etc.
9.13.2 BACKGROUND
In a recent review paper, Fischer et al. [1] defined TRIP as "significantly

increased plasticity during a phase change. For an externally applied load for
Handbook of Materials BehaviorModels. ISBN0-12-443341-3.

906 Fischer
which the corresponding equivalent stress is even small compared to the

normal yield stress of the material, plastic deformation occurs . . . . " This
softening has its origin in the fact that during a phase transformation a certain
part of the material (say, a microregion) may change its volume and,
occasionally, its shape, too. An internal stress state is necessary to achieve
compatibility between the neighboring material and the transforming
microregion. This internal stress state is superimposed by the load stress.
The total stress state, e.g., in the case of a volume change of several percentage
points, leads to plastification of the neighboring material and often of the
microregion itself. One may speak about a plastic accommodation of the
transformation eigenstrain. Finally, a macroscopic plastic deformation of
the specimen can be observed.
Among several authors, Leblond et al. [2] suggested a splitting of the
plastic strain rate ~ (the dot represents a time derivative) into a classical
plastic strain rate ~c representing plastification without any phase change
"TP
and an extra term ~ij corresponding to plastification without any changes of
external loading and only effected by the phase change process.
Assuming only two phases, the parent phase and the product phase, the
volume fraction of the product phase is denoted as ~. Based on some
elementary research by Greenwood and Johnson as well as Mitter (see Fischer
et al. [1]), the following relation for eij9~P has eventually been suggested:
~,~e 3 d(.p(r /
~- -~ K d~ ij~ (1)
where K is a coefficient depending on the transformation volume change 5,

"TP
(p(~) is a function describing the evolution of e~j with ~ for a constant load-
stress state, and S~j is the global (mesoscopic) stress deviator and corresponds
to the stress deviator in the standard analysis of a work piece. The original
derivation of the TRIP strain is based on S~j being constant in time. However,
in the current formulation of Eq. 1, S~j is allowed to vary with time.
Furthermore, ~c is usually denominated as ~. Equation 1 is considered to be
valid for both a diffusional (time-controlled) and a martensitic (temperature-
and stress-controlled) transformation. However, this cannot be held for the
martensitic transformation, especially under nonmonotonic loading and
temperature paths, since the martensitic transformation is characterized by a
volume change 5 and a shape change (transformation shear) y of a single
transforming microregion. Therefore, in addition to the previously mentioned
elastic-plastic accommodation process, often referred to as the "Greenwood-
Johnson effect," an orientation process takes place due to the formation of
preferred variants in the martensitic microregions that may arrange
themselves in some (partially)"self-accommodating" groups. This orientation
9.13 Elastoplasticity Coupled with Phase Changes 907
process, often referred to as the "Magee effect," may contribute in the same
magnitude to the irreversible length change of elastic plastic material as the
"Greenwood-Johnson effect." Thus shape memory alloys "thrive" exclusively
on the orientation process! However, if monotonic loading paths are
considered, a relation like Eq. 1 can be applied, if the coefficient K is taken
from a "Greenwood-Johnson" diagram. Concerning an improved TRIP term
for martensitic transformation, the reader is referred to a recent paper by
Fischer et al. [3]. However, it must be said that this research is not yet
finished. Finally, the book edited by Berveiller and Fischer [4] is
recommended; it presents an extensive treatment of both types of
transformations in various kinds of metals.
The whole model must consist of two more or less connected parts:
9 the transformation process itself, i.e., the metal-physical part described

in following text as "transformation kinetics"; and
9 the deformation process described as the "deformation process."
External variables to the model are both the load-stress state and the
temperature field T(x, y, z, t). The evolution of the temperature field is
obviously coupled with the phase change process by the production or
extraction of heat (the "latent" heat or "transformation" heat or "recalescence"
heat). This coupling must not be omitted. Here, the reader is referred to the
chapter on heat treatment and corresponding data, e.g, the specific heat (heat
capacity). Usually the coupling of the temperature field with plastic
dissipation is weak and consequently need not be taken into account.
9.13.3.1 TRANSFORMATION KINETICS
In practice, a picture on the transformation kinetics is reflected by the time

(t)-temperature (T)-transformation (T-T-T) diagram (continuous cooling
diagram [CC], cooling transformation diagram [CT], continuous cooling
transformation diagram [CCT]). This diagram is based on t-T curves for
standard specimens. A typical T-T-T diagram for a certain steel grade is
depicted in Figure 9.13.1. The cooling velocity ~ = dT/dt may vary along the
curve. Several points are marked describing the type of the phase and the
corresponding volume fraction of the phase under consideration. Typically,
908 Fischer
"i . . . I....I IIIit111 I IIII I I Ill tllLI ! II t IIiH,,.

~111 l l|ll III L Illl I I|il I I Ill I Il[I 111150o
.li...... lil I t Ill,**
I I1 Ix~IIXN:[I~_klII I xll Ilil i lH -~

'~:!
0.1
I I r~,,,,\l, llh,,! "~1 I ,~,,
1 10 10 ~ ~0~ 10 ~
11:oL,,~,H,o
105 10~
Time, seconds
FIGURE 9.13.1 Typical CCT diagram for a certain steel grade with AC3=830~ Abbreviations:
A austenite, B bainite, F ferrite, M martensite, P pearlite. The numbers in the individual areas (as
1, 2, 10, 30, etc.) stand for the volume fraction of the corresponding formed phases. The numbers
at the termination of the curves stand for a certain hardness, e.g., DPH.
several phases can be formed. The reader is referred to textbooks such as

References [5, 6].
The T-T-T diagram must be transferred into the calculational procedure.
Leblond et al. [7] made a proposal for how to perform this. For sake of
simplicity this proposal is briefly explained by assuming only one phase
transformation with the transformed volume fraction ~. Details can be taken
from Leblond et al. [7] as well as from the SYSWELD-Manuals [8].
The transformed volume fraction ~ is described by the following
differential equation:
d~ Ceq(T)-~
dt = z(r) f(]-) (2)
where ~eq(T) is the equilibrium volume fraction of the phase corresponding to

a given temperature T and can only be estimated from the T-T-T diagram.
~eq(T) could be found in the "isothermal" T-T-T diagram (isothermal
transformation diagram [IT]), which, however, is often not available. The
functions z(T) and f(~') must be selected such that the curves in the T-T-T
diagram are approximated in a satisfying way. For example, SYSWELD [8]
provides a specific routine for constructing ~(T) and f(~F).
Equation 2 can also be applied to the martensitic transformation, whose
kinetics are usually described by the Koistinen-Marburger relation (see
Reference [9]) in total quantities and not in rate form as

{(T) -- l - e x p [ - b ( M s - T)] for T < M s (3)
It follows that ~eq - 1, z - 1 / b , f ( S f ' ) - - ' F . It should be mentioned that ~(T)
in Eq. 3 should also include a stress-dependent term. A constant load stress
shifts the martensite start temperature Ms to a higher temperature Mo;
(M~-Ms) is of the order of magnitude of some degrees centigrade. The
influence of the stress state on ~(T) plays a significant role in the case of shape
memory alloys (SMAs) and a minor role in the case of steels.
The kinetics explained previously deal with a cooling path. In the case of
steel and many other alloys, the situation is totally different with respect to a
heating path from room temperature to a high temperature level, say, ca.
1000~
The transformation is totally "unsymmetric" with respect to a t - T cycle.
All the phases mentioned remain more or less unchanged until the AC1
temperature, the austenite start temperature, is reached. At this stage a
diffusional transformation to austenite starts, which stops at AC3. Of course,
AC1 and AC3 depend on the heating rate. Very high heating rates shift AC1
and AC3 to remarkably higher temperatures. The T-T-T diagram offers mostly
AC3 and sometimes AC1 for slow heating and no further information on the
heating transformation kinetics. It is interesting to note that some recent
experiments give clear evidence that also a martensite-to-austenite displacive
"back transformation" may occur in steels at higher temperatures, say,
_> 600 ~ see Reference [3].
Finally, it is trivial to state that in the case of several phases the volume
fraction {i of each individual phase, i - 1,... , n, must add up to 1!
The reader is also referred to some further papers [10-12] dealing with the
mathematical modeling of phase transformations and temperature fields.
These papers also deliver some relevant data for the different phases.
9.13.3.2 DEFORMATION PROCESS
The deformation process is modeled according to the standard concept of

elastic- (visco-) plastic materials. Therefore, only some specific details on the
material data with respect to phase change phenomena are given. The
following data are needed for a stress analysis:
9 Young's modulus E ( T ) . For steel E ( T ) is mostly the same for all phases.
In the case of shape memory alloys, Young's modulus may differ
significantly for the austenitic (7-) and martensitic (~'-) phase.
9 Poisson's ratio v, which is only weakly dependent on the temperature.
910 Fischer
9 Integral coefficient of thermal expansion (CTE), which differs

significantly between the austenitic (7-) phase and the ferritic-
pearlitic-bainitic-martensitic (~- or ~-) phases. Usually the CTE
depends weakly on the temperature and increases slightly with
increasing temperature. The corresponding volume change is usually
assumed to be isotropic and is 3 CTE. (T-Tref), Tref being the thermal
strain-free reference temperature.
9 Volume change due to phase transformation, c~. As mentioned in Section
9.13.2, a phase transformation is accompanied by a volume change. The
corresponding standard test is the dilatometer test. A typical value for
for the transformation of Fe-based alloys from the 7- to ~- (or ~-) phase
is _< 0.04. In the case of shape memory alloys, the value c~is nearly 0! If
several phases are present, a "mixed" value for c~ is applied as c~-
~inl ~i~Si,i being number of phase, c~ibeing volume change of phase i, ~i
see previous text.
9 Yield stress Criy(T, ~), i being number of phase; for details see Section
9.13.4.
9 In the case of several phases present, a mixture rule for the yield stress
must be installed. For two phases, e.g., ~ and 7, nowadays a nonlinear
mixture rule is applied,
cryaX(T) -- [1 -f(~)]aVy(T)+f(~)ay(T), ~ + ~ = 1 (4)
f(~) is given from numerical studies. A representative data set can be

found in Table 9.13.1.
9 Type of hardening; for details, see Section 9.13.4.
9 Transformation-induced plasticity (TRIP) term ~/'. For the sake of
completeness, a current formulation of the TRIP strain rate is presented
which is implemented in user-supplied material law formulations in
several programs or is obligatory in the program SYSWELD [8]. The
theoretical background has been explained in Section 9.13.2. The term
k~.e adds up to the other strain rate terms as
9 .e 9t h 9TP
where ~ is the elastic strain rate, k~ is the conventional plastic strain rate
9 9th
or ~ is the conventional viscoplastic strain rate, e0 is the thermal strain
rate, and k0 is the total strain rate.
TABLE 9.13.1 WeightingFunction f(~) for Nonlinear Mixture Rule

~ 0 12.5% 25% 50% 75% 100%
f(~) 0 0.044 0.124 0.391 0.668 1
In accordance with the notation used in Eq. 1, the following data and
function are proposed:
K - 2c~/a~yh(oeqCr~y) (6a)
q~({) = {(1 - In {) (6b)
where { corresponds to the fraction of the 0~- or 0(-phase, h(oeq/a~y) is a

correction factor, which is 1.0 for Oeq/O~ < 1/2, and Oeq is the equivalent stress
to S/j.
The kinetics data can partially be identified from a T-T-T diagram. However,
~eq to a certain phase is often difficult to establish. A respresentative data set
for various steel phases is given in Table 9.13.2. Usually the steel specimen is
austenitized at 850 to 1000~ and held for some time (e.g., half an hour).
Then the cooling process is started and plotted in a T-T-T diagram.
A typical data set for martensitic transformation is Ms = 420~ b = 0.03.
A typical austenitization interval ranks between A C 1 = 7 0 4 ~ and
AC3 = 830~
A typical data set for E, v, CTE is E ( 2 0 ~ 210Gpa, E ( 1 0 0 0 ~ 105
Gpa, v=0.3, CTE~ ~ 12.10-6C ~ for 20~ C T E ~ 18.10-6C ~ for 20~
The transformation volume change c~ is obtained from a standard
dilatometer test. Please check for the presence of a texture (orthotropic
plastic anisotropy) in the specimen. A sure indication will be that c~will not be
distributed isotropically.
With respect to the yield stress aiy(T, ~) and the type of hardening, usually
uniaxial stress-strain curves for monotonic loading are used as input data to
the programs. Of course, data for all phases in the relevant temperature range
are needed. It should be mentioned that very often the material data for a
specific phase cannot easily be found, since only a given mixture of the phases
is thermodynamically stable (or metastable). This forces us to extrapolate a
TABLE 9.13.2 Phase Transformation Intervals for a High-Strength Steel

Phase Start T(~ End T(~ dT/dt ~ (total) %
Ferrite 704 675 - 2.1 5
Pearlite 675 537 -2.1 25
Bainite 537 279 - 1.9 55
Martensite 279 20 - 2.6 100
912 Fischer
large amount of necessary data. It is highly recommended to consult a

metallurgist for this problem. Usually cry(T,e) decreases with increasing
temperature and fixed strain. However, there exist metals like Intermetallics,
where cry(T,e) may increase with increasing temperature. Furthermore, the
yield stress for the austenite cr~(20~ e) is usually smaller than that of ferritic,
a a t
pearlitic, bainitic, or martensitic (~- or ~'-) phase cry(20~ e) or Cry at room
temperature. At higher temperatures, say >600~ the situation may change,
and the ~- or ~'-phase becomes the softer phase. If a temperature cycle is
applied for a temperature interval including the "crossing" point of the yield
stresses of both phases, ratcheting will occur even in free specimens without
any load stress; see details in Siegmund et al. [13] or Silberschmidt et al. [14].
That means that the specimen will change its size monotonically during a
temperature cycle. Obviously, this could be extremely dangerous for devices.
However, modern alloying techniques allow us to control the temperature
a a t
dependence of cr~ or cry and cry, for example, by a certain amount of nitrogen.
Both cases are now possible, a 7-phase with a yield stress higher than that of
the ~- or ~-phase and vice versa for a temperature range between 20~ and
1000~ Here the reader is referred to modern duplex steels; see also
Silberschmidt et al. [ 14].
Since, for example, a heat treatment may lead to several changes of the sign
and orientation of the principal stress components in a material point, one has
to consider, at least for some of the possibly developing phases, how they
behave under cyclic stressing. Of course, standard hardening mechanisms like
isotropic hardening or kinematic hardening are available in most of the
programs. However, one must keep in mind that especially during heating the
dislocation density may be reset by recrystallization to nearly its original
amount. That means that very careful control over the amount and the kind of
hardening must be exercised in the simulation of thermal cycles. Specifically,
almost no hardening occurs for martensite if the alloy contains some carbon.
a t
In addition, the existence of a very high yield strength (cr~ > 1500 MPa) is
usually accompanied by a small fracture strain (only a few percentage points).
The only additional mechanical quantity, the coefficient K, in the TRIP
term (see Eqs. 1), 6a, needs some comments. Classical TRIP tests (sometimes
also called "creep" tests) must be performed to find K by applying a constant
load ]~ on a specimen (e.g., weight on a wire) and then performing the
transformation by cooling. The irreversible length change J-P (e~-P=
e - 6 / 3 - e e) must now be represented in relation to the load stress. The data
points should lie on a straight line for []El<Kcr~,~c ~ 2/3, according to
Greenwood and Johnson; see Fischer et al. [ 1]. K now is the inclination of this
line. A typical value for K is 4.5.10 -4 to 10.10 -4 (MPa-1). Finally, it should be
mentioned that several proposals for q~(~), Eq. 6b, exist in the open literature
which usually do not lead to significantly different results.
T h e TRIP term ~/~.P,Eq. 1, m u s t be a d d e d to the o t h e r c o n t r i b u t i o n s of the total

.TP 9F u r t h e r m o r e , a c o n t r o l over the t r a n s f o r m a t i o n k i n e t i c s m u s t
s t r a i n rate eij
be i m p l e m e n t e d . O n l y few g e n e r a l p u r p o s e p r o g r a m s a l l o w for b o t h ; o n e is
the p r o g r a m SYSWELD [8]. T h e p r o p e r i m p l e m e n t a t i o n is by n o m e a n s an
easy p i e c e of w o r k . At least an o p t i o n for a u s e r - s u p p l i e d m a t e r i a l d e s c r i p t i o n ,
e.g., a UMAT in ABAQUS [15], m u s t be available. T h e c o m p u t a t i o n a l
a l g o r i t h m s are the s a m e as t h o s e for e l a s t o - ( v i s c o ) p l a s t i c b e h a v i o r , b u t w i t h an
a d d i t i o n a l s t r a i n r a t e c,9ijrP , w h i c h is n o t c a l c u l a t e d via a c o n s i s t e n c y r e l a t i o n b u t
p r o v i d e d e x t e r n a l l y like a c r e e p s t r a i n rate.
9 . 1 3 . 6 TABLE OF PARAMETERS
Several data are given in Section 9.13.4, where only two tables are mentioned.
REFERENCES
1. Fischer, E D., Sun, Q.-P, and Tanaka, K. (1996). Transformation-induced plasticity (TRIP).
Appl. Mech. Rev. 46:317-364.
2. Leblond, J. B., Mottet, G., and Devaux, J. C. (1986). A theoretical and numerical approach to
the plastic behaviour of steels during phase transformations. I. Derivation of general relations;
II. Study of classical plasticity for ideal-plastic phases. J. Mech. Phys. Solids 34:395-410, 411-
432.
3. Fischer, E D., Reisner, G., Werner, E., Tanaka, K., Cailletaud, G., and Antretter, T. (2000).
A new view on transformation induced plasticity (TRIP). Int. J. Plasticity 16: 723-748.
4. Berveiller, M., and Fischer, E D. (1997). Mechanics of Solids with Phase Changes, CISM
Courses and Lectures No 368, New York, Springer.
5. Krauss, G. (1980). Principles of Heat Treatment of Steel, Metals Park, Ohio: American Society
for Metals.
6. Transformation and Hardenability in Steels (1967). No editors, Symp. Climax Molybdenum
Comp. and Univ. Michigan, The Univ. Michigan Extension Service.
7. Leblond, J. B., and Devaux, J. (1984). A new kinetic model for anisothermal metallurgical
transformations in steels including effect of austenite grain size. Acta Metall. 32: 137-146.
8. SYSWELD + 2.0: Reference Manual (1997), SYSTUS International, ESI Group: Simulation of
Welding and Heat Treatment Processes, Framasoft + CSI.
9. Koistinen, D. P., and Marburger, R. E. (1959). A general equation describing the extent of the
austenite-martensite transformation in pure iron-carbon alloys and plain carbon steels. Acta
Metall. 7: 59-60.
10. Denis, S., Farias, D., and Simon, A. (1992). Mathematical model coupling phase
transformations and temperature evolutions in steels. ISIJ International 32: 316-325.
11. Hunkel, M., Lfibben, T., Hoffmann, E, and Mayr, P. (1999). Modellierung bei bainitischen und
perlitischen Umwandlung bei Stfihlen. HTM (Hhrterei-Technische Mitteilungen--Zeitschrift ffir
Whrmebehandlung und Werkstofftechnik) 54: 365-372.
914 Fischer
12. Centinel, H., Toparli, M., and Ozsoyeller, L. (2000). A finite element based prediction of the
microstructural evolution of steels subjected to the Tempcore process. Mechanics of Materials
32: 339-347.
13. Siegmund, T., Werner, E., and Fischer, E D. (1995). On the thermomechanical deformation
behavior of duplex-type materials. J. Mech. Phys. Solids 43: 495-532.
14. Silberschmidt, V. V., Rammerstorfer, E G., Werner, E. A., Fischer, E D., and Uggowitzer, P. J.
(1999). On material immanent ratchetting of two-phase materials under cyclic purely thermal
loading. Arch. Appl. Mech. 69: 727-750.
15. ABAQUS, www.hks.com
SECTION 9.14
Mechanical Behavior of
Steels during Solid-Solid
Phase Transformations
JEAN-BAPTISTE LEBLOND
Laboratoire de Mod~lisation en M~.canique, Universit~ Pierre et Marie Curie,
8 rue du Capitaine Scott, 75015 Paris, France
Contents
9.14.1 Validity of the Models Proposed . . . . . . . . . . 915
9.14.2 Theory Used to Derive the Models . . . . . . . . 916
9.14.3.1 Notations . . . . . . . . . . . . . . . . . . . . . . . . . 916
9.14.3.2 Case of Ideal Plastic Phases . . . . . . . . 917
9.14.3.3 Case of Isotropically Hardenable
Phases . . . . . . . . . . . . . . . . . . . . . . . . . . . 917
9.14.3.4 Case of (Linearly) Kinematically
Hardenable Phases . . . . . . . . . . . . . . . . 918
9.14.4 Identification of Material Parameters . . . . . . 919
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 920
9.14.1 VALIDITY OF THE MODELS PROPOSED
The models p r o p o s e d herein for the plastic behavior of solids during solid-
solid transformations are valid for m a n y steels; see examples provided in
Reference [1]. They are also applicable to other, nonferrous metals, as s h o w n
by G r e e n w o o d and J o h n s o n [2] in their pioneering w o r k involving a first,
simple version of the m o r e refined m o d e l described in following text for ideal
plasticity. They are not applicable to shape m e m o r y alloys, for which the
transformation is a quasi-elastic p h e n o m e n o n .

916 Leblond
9.14.2 THEORY USED TO DERIVE THE MODELS
The models presented here do not involve any ad hoc, adjustable

parameter, but simply the usual thermomechanical characteristics of the
material. They are not derived from heuristic considerations but from
(approximate) homogenization [3-7]. It is supposed that the anomalous
plastic behavior during phase transformations, and especially the so-called
transformation plasticity phenomenon, arise from the sole microscopic
mechanism proposed by Greenwood and Johnson [2], with that suggested
by Magee [8] being disregarded. In spite of this limiting assumption, the
models proposed are often experimentally found to be sufficient, as already
mentioned.
9.14.3.1 NOTATIONS
9 s: stress deviator
9 0"7r . yield stress of the parent (y) phase
r yield stress of the product (g) phase
9 0"~.
9 O"Y:"global" yield stress
9 z: volume fraction of the product (g) phase
9 T: temperature
9 f(z), 2ptg(z): functions given in Table 9.14.1 below
h(X)" function given by h(X) - ( 1 if 0 < X < 0.7
1+5(X-0.7) if 0 . 7 < X _ ~ 1"
9c p .
9 ~p _ ~tp + ~,~p+ e,T total plastic strain rate
9 ~tp. transformation plastic strain rate
9 /~cp. classical plastic strain rate arising from variations of the stresses
9cp
9 e~ : classical plastic strain rate arising from variations of the temperature
9 AV/V: difference of specific volume between the two phases (function
of temperature)
9 E: Young's modulus (assumed to be the same for both phases)
9 2i: thermal expansion coefficient of phase (i)
TABLE 9.14.1 The functionsf(z) and g(z)

z 0 0.125 0.25 0.50 0.75 1
f(z) 0 0.0186 0.101 0.392 0.672 1
g(z) 0 2 3 1.75 1.75 1
9.14 Mechanical Behavior of Steels during Solid-Solid Phase Transformations 917
9 ~ff: hardening parameter of phase (i) (isotropic hardening)

9 ai: center of yield locus of phase (i) (kinematic hardening)
9 0: transformation "memory coefficient" for hardening ( - 0 for ferritic,
pearlitic, and bainitic transformations; - 1 for martensitic transforma-
tions)
9.14.3.2 CASE OF IDEAL PLASTIC PHASES
With
( 7 ) 1S / 2"
0-eq -_ S and 0-r -- [1 - f (z)]0- 7Y + f (z)0-~Y "
If 0-eq < 0-Y :
~,tp = _1__1_A V h (0-eq'~ s(ln Z)Z;

0-7
3 (1 - z)g(z) scFq;
~7- 3 (27_2~)z(lnz)s ~.
0"7
If 0-eq ~ 0-Y:
~P = ,~ s where ,~ > 0 is indeterminate.

m
9.14.3.3 CASE OF ISOTROPICALLY HARDENABLE

PHASES
With
0-eq_ s" s , F q= ~P 9~P
and
-
918 Leblond
If ffeq < aY.
~tp = 1 AV h (a~q~s o n z)~;
kcp = 3 (1 - z ) g ( z ) s (req;
3
/~P = ~ (2~, - 2~)z(ln z) s 7";
~ff _ _
3(1-
2
z) V
AV
(~eq'~(ln Z)Z + g (Ez ) ,~q + 2 ( ~ - 2~) z In z ~_;
1-z
If ffeq _ crY.
~,p _ 3 ~eq
2 ffeq
~ff = keq ; # s _ e~_ ~ e4s + o_~4.
9.14.3.4 CASE OF (LINEARLY) KINEMATICALLY

HARDENABLE PHASES
With
ay -- h r ( T ) b ~ , a~ - h~(T)b~, a - (1 - z)a~, + za~,
~q- E7 (s - a) " (s - a) 11'~ ,

- 2cffe q (s - a~) 9 g,
~,e~ E~/s a~)/s a~)]1j2 ~eq_

(~ ~ p . ~p
)1j2,
and a Y- [1 - f ( z ) ] c r ~ +f(z)a~ Y 9
9.14 Mechanical Behavior of Steels during Solid-Solid Phase Transformations 919
If ~7eq < flY"
_ ____1
AV h\~v]f'~q'~(s - aT) (ln z)~:;
0"7
Y V
3 (1 - z)g(z) ( s - aT)dseq;
k~p _ 3 (27 2~)z(lnz)(s aT)T;

0"7
I~ : 1----~zl (gP +e'cP +e/rP); Io~ - -zZb~ + 0ZbT"z

If ffeq __ flY:
~p _- _ ~Fq
3 (s - a)"
2 tTeq
Z Z

PARAMETERS
Purely mechanical parameters (Young's modulus, yield limit, and hardening

slope of each phase) can be obtained through standard tests at temperatures
sufficiently high or low for a single phase to be present. The thermal
expansion coefficients of the phases and the difference of specific volume
between them can be obtained through (stress-free) dilatometry tests. If one
wishes to assess the accuracy of the formulae given previously for the
transformation plastic strain rate, one must perform in addition dilatometry
tests with some external stress applied, which requires more sophisticated
equipment.
The numerical implementation of the models described in preceding text is

quite easy. For each time step, one should first correct the "elastically
computed" (that is, assuming the total minus thermal strain increment to be
purely elastic) stresses to account for the values of the transformation plastic
strain increment and the classical plastic one given previously (implicit or
920 Leblond
explicit algorithm). If the equivalent von Mises stress calculated in that way is
smaller than the global yield stress, the treatment is finished. If it is greater,
then the previous corrections should be abandoned and a classical projection
method employed to ensure satisfaction of the criterion at the final instant of
the time interval considered and of the flow rule during this interval (implicit
algorithm).
REFERENCES
1. Leblond, J.-B. (1990). Qualification exp~rimentale du module de plasticit~ de transformation,

FRAMASOFT+CSI Internal Report no. CSS/UNT.90/4022.
2. Greenwood, G. W., and Johnson, R. H. (1965). The deformation of metals under small stresses
during phase transformations. Proc. Roy. Soc. A 283: 403-422.
3. Leblond, J.-B., Mottet, G., and Devaux, J.-C. (1986). A theoretical and numerical approach to
the plastic behaviour of steels during phase transformations. I: Derivation of general relations.
J. Mech. Phys. Solids 34: 395-409. ~
4. Leblond, J.-B., Mottet, G., and Devaux, J.-C. (1986). A theoretical and numerical approach to
the plastic behaviour of steels during phase transformations. II: Study of classical plasticity for
ideal-plastic phases. J. Mech. Phys. Solids 34: 411-432.
5. Leblond, J.-B., Devaux, J., and Devaux, J.-C. (1989). Mathematical modelling of transformation
plasticity in steels. I: Case of ideal-plastic phases. Int. J. Plast. 5: 551-572.
6. Leblond, J.-B. (1989). Mathematical modelling of transformation plasticity in steels. II:
Coupling with strain hardening phenomena. Int. J. Plast. 5:573-591.
7. Devaux, J., Leblond, J.-B., and Bergheau, J.-M. (2000). Numerical study of the plastic behaviour
of a low alloy steel during phase transformation, Proceedings of the "First International
Conference on Thermal Process Modelling and Computer Simulation", Shanghai, China.
8. Magee, C. L. (1966). Transformation Kinetics, Microplasticity and Ageing of Martensite in Fe-Ni.
Ph.D. Thesis, Carnegie-Mellon University, Pittsburgh.
SECTION
, ,
9.15
Constitutive Equations of a
Shape Memory Alloy under
Complex Loading
Conditions
MASATAKA TOKUDA
Department of Mechanical Engineering, Mie University, Kamihama 1515 Tsu 514-8507, Japan
Contents
9.15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 921
9.15.2 Validity (Domain of Applications) . . . . . . 922
9.15.3 Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 923
9.15.3.1 Modeling of Phase Transformation
System . . . . . . . . . . . . . . . . . . . . . . . . 923
9.15.3.2 Modeling of Crystal Component 924
9.15.3.3 Model of SMA Polycrystal . . . . . . 925
9.15.4 Constitutive Equations . . . . . . . . . . . . . . . . 925
9.15.5 Identification of Material Parameters... 926
9.15.7 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . 927
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 7
9.15.1 I N T R O D U C T I O N
The deformation mechanism of shape m e m o r y is the martensitic phase

transformation induced by applied stress and temperature. Quite unique,
complicated, and interesting mechanical properties can be obtained by
applying the simultaneous change of temperature and stress, which has six
independent components (i.e., by applying the complex loading conditions).

922 Tokuda
The proposed constitutive equations can predict the complicated nonlinear

deformation behavior of a shape memory alloy.
9.15.2 VALIDITY (DOMAIN OF APPLICATIONS)
Roughly speaking, the quite complicated deformation behavior observed in

the shape memory alloy subjected to the complex loading path can be
predicted (at least qualitatively) by the proposed constitutive equations. The
reliability was confirmed experimentally by applying the combined loads of
axial force and torque to the thin-walled tubular specimen of a Cu-based
shape memory alloy. Figure 9.15.1 shows one example of comparisons
between the experimental and predicted results. Figure 9.15.1a shows the
given thermomechanical (complex) loading path to the thin-walled tubular
specimen: 1-2: proportional loading of torsion stress z, axial stress or; 2-3:
increase of temperature T while keeping the combined stress state constant;
3-4: decrease of temperature T while keeping the stress state constant;
4-5: decrease of shear stress z while keeping the axial stress a and
T
373K,,
6 :::.."..
(a) c,z"
295k
.2
o"
0.015 , , ,, o , 9
0.015
CalculatedResult 24 ExperimentalResult 2
4
~. 0.01 ~. 0.01
3 3 ~
0.005 ~o.oo5
5
0 0
. . . . . . . . .
0 0.01 0.02 0 0.01 0.02

c C
(b) (e)
FIGURE 9.15.1 An example of comparisons between experimental and predicted results.
(a) Thermo-mechanicalloading path. (b) Calculatedresult of strain response. (c) Experimental
result of strain response.
9.15 Constitutive Equations of a Shape Memory Alloy 923
temperature T; 5-6 and 6-7: increase and decrease, respectively, of

temperature while keeping the stress state constant: and 7-8: proportional
unloading to zero stress state. Figure 9.15.1b,c show the computational
(predicted) result and experimental result. As the figure shows, the
computational result coincides with the experimental results qualitatively
very well.
9.15.3 MODELING
The formulation of constitutive equations is based on the semimicroscopic

mesomechanical approach by considering the multilayered structure of a
polycrystalline shape memory alloy (SMA). The formulation procedure is
composed of the following stages.
9.15.3.1 MODELING OF PHASE TRANSFORMATION

SYSTEM
The basic phase transformation mechanisms of SMA are the temperature-

induced and stress-induced martensite phase transformations. The deforma-
tion induced by these martensite phase transformations is considered to be
the twin-type (shear) deformation that has a negligibly small change of
volume and that is controlled by the temperature and the stress tensor. This
twin-type (shear) deformation occurs only in the crystallographically
determined (easy twin) direction on the crystallographically determined
(easy twin) planes. This "twin (shear) deformation system," with a specific
direction and a specific plane, is named the phase transformation system, and it
may correspond to the "slip system" in crystal plasticity, whose mechanism is
dislocation slip. When SMA is subjected to thermal loading (the change of
temperature) only, the martensite phase transformation occurs and produces
the (twin-type) shear deformation. However, in this case, no macroscopically
significant deformation of crystal grain can be observed. This phenomenon
can be explained as follows: in the case of temperature change without any
external (applied) or internal stress, the phase transformation can occur
simultaneously in every transformation system with different (randomly
distributed) orientations, and thus the induced shear (twin) strains cancel
each other on average. On the other hand, in the case of the stress-induced
phase transformation, the phase transformation occurs in the phase
transformation systems with the preferable orientation to the applied stress
state. Thus only the shear strains with specific direction are summed up, and
924 Tokuda
consequently, the significant macroscopic inelastic deformation can be

observed in the crystal component (as well as in the polycrystal). Our
engineering interests are in the macroscopic inelastic deformations, the force
produced when the deformation is constrained, and their combination.
Therefore, only the case when the material is subjected to some stresses is
considered in the proposed constitutive equations. The effect of temperature
is incorporated as the temperature effect on the shear stress which is necessary
for the phase transformation, i.e., on the critical (resolved) shear stress.
Details of the (critical) shear stress 1: and shear strain ~; relation formulated in
the previously mentioned scheme are given in References [1, 2].
9.15.3.2 MODELING OF CRYSTAL COMPONENT
The deformation property (stress-strain-temperature relation) of the crystal

grain component with the phase transformation systems described in Section
9.15.3.1 is formulated as follows, according to the crystal plasticity manner.
The number of phase transformation systems in the crystal grain is
assumed to be M (for example, M = 24 for the martensite phase transforma-
tion of Cu-based SMA). When the crystal grain is subjected to the uniform
stress crij (l, j = 1,2,3), the shear stress 1: resolved on the m-th
(m = 1,2,...,M) phase transformation system can be obtained by the
following equation:
3
"C(m) = ~ O~(m)ijO'ij (1)
i,k=l
The coefficient ~x(m)ij in Eq. 1 is the so-called generalized Schmid factor,

defined as follows:
O~(m)ij = [S(m)in(m)j q- S(m)jn(m)i] (2)
where S(m)i and n(m)i (i = 1, 2.3) are the unit vector along the shear direction
and the unit vector normal to the transformation plane of the m-th phase
transformation system, respectively. By using the obtained resolved shear
stress ~:(m), the shear strain increment dT(Pm~) of the m-th phase transformation
system can be estimated by using the model of phase transformation system
explained in Section 9.15.3.1, when only the m-th system becomes active. If
some systems become active simultaneously in the crystal grain component,
some corrections are necessary in order to incorporate the interactions among
the phase transformation systems (see details in Reference [1]).
9.15.3.3 MODEL OF S M A POLYCRYSTAL
When the stress-strain-temperature relation is derived on the basis of the

stress-strain-temperature relation of its crystal grain component explained in
Section 9.15.3.2, the interactions among grain components have to be
incorporated. That is, each grain component has its own stress and strain,
depending on its own orientation in the polycrystal, because each grain has
the anisotropy related to the phase transformation system. Thus the
complicated interaction among grains appears to satisfy the compatibility
condition by strain and the equilibrium condition of stress in the polycrystal.
Thus the nonuniform stress and strain distributions appear even if the applied
stress is quite simple, for example, the uniaxial tension of a solid bar. The
effects of the nonuniform distribution of stress and strain on the mechanical
properties of polycrystalline materials are very important from the viewpoint
of path dependency, especially when the strain or stress path is complex. This
kind of interaction among grains can be taken into account by using one of
the well-developed mechanical models of inhomogeneous solids: the self-
consistent model. According to the self-consistent model, the following
equation can be obtained:
- s,j - o(4 - (3)
where s{h)
/j is the deviatoric stress component of the k-th grain component
embedded in the polycrystal, SO is the averaged (macroscopic) deviatoric
^PT(k)
stress, qj is the (deviatoric) phase transformation strain components of the
k-th grain, E~jPr is the averaged (macroscopic) phase transformation strain, and
G is the averaged shear modulus of the polycrystal. The coefficient e is still
under discussion, and several values of c~ are proposed, for example,
0~= 0 (for the stress constant model: the so-called Maxwell model)
= 0.2 (for the modified Kr6ner-Budiansky-Wu model by Berveiller-
Zaoui)
= 1.0 (for the KBW original model)
= 2.0 (for the strain constant model: the so-called Voigt model)
= oo (for the inelastic strain constant model: the Taylor model)
9.15.4 CONSTITUTIVE EQUATIONS
The constitutive equations based on the modeling mentioned in Section

9.15.3 not generally be expressed in a compact closed form but in the flow
chart for computing because some iterative (convergence) computation is
necessary. In a special case, for example, the constitutive equations based on
926 Tokua.
the stress constant model can be expressed in a closed form when the strain
path can be given. It should be noted that the proposed constitutive equations
can be described symbolically in the form of an internal variable theory whose
.PT(k)
internal variables are Y(m) , in the following manner:
3
.PT(n)x J c
dEij -- Z Fijkl(Spq ' 2 , T " y(m ) )u,.~kl
k,l=l
.PT(n)~,jx.,
+ Fij (Sij, 2, T 9Y(m) )UL,
.Pr(k)~n T
+ Fij (Spq, Z, T ' y ( m ) ju (4)
3
.Pr(k) (k) .Pr(k)
dy(m ) - ~ H(m)Pq(Sij' 2 ' T" Y(m) )dSpq
p,q=l
, (k) (Spq ' T" Y(m)
-Jr- /-/(m)
.Pr(k)~.~v
)Uz-~
T .PT(k)~j T
+ I-I(m)(k) (S~j,2, T" y(m) j. (5)
where Y(m)'PT(k)( m - 1, 2,..., M, k - 1, 2,..., N) is a shear strain of the m-th
transformation system in the k-th grain component, N is the number of grain
components of the polycrystal model, and 2 is the volumetric part of the
macroscopic (averaged) stress of the polycrystal model.
9 . 1 5 . 5 I D E N T I F I C A T I O N OF MATERIAL
PARAMETERS
The following material parameters have to be determined experimentally. All

of them can be determined by two simple uniaxial tension (or torsion) tests
with different temperatures.
G: shear modulus
K: bulk modulus
H: shear strain hardening parameter of critical shear stress
fl: temperature hardening parameter of critical shear stress
ZoMs: shear stress for the martensite phase transformation starting at a
reference temperature To
ZOAF: shear stress of reverse (austenite) phase transformation finishing at a
reference temperature To
y ~ : maximum shear strain of a phase transformation system.
The number M of phase transformation systems in a single crystal grain

component and the generalized Schmid factor % are determined by the
crystallographic structure of selected materials (can be found in the handbook

of metals). The number N of crystal grain components in the polycrystal
model is determined from a compromise of accuracy and computational time.
From the author's experience, N--100 is recommended.
The proposed constitutive equations were first formulated in order to predict

the unique behavior of a shape memory alloy under complex loading
conditions which are difficult to conduct experimentally. To this purpose, the
proposed constitutive equations are quite successful and give us quite
interesting information which cannot be obtained experimentally. On the
other hand, the proposed constitutive equations may not yet be convenient for
the stress-strain analysis of a shape memory structure by the finite element
method or other numerical analyses. In this analysis, we need a much faster
computer or some more simplification of constitutive equation which does
not need the iterative computation.
9.1 5.7 P A R A M E T E R S
The proposed constitutive equations have been used only for the Cu-based
shape memory alloy, whose chemical composition is Cu-10 wt%A15 wt%Mn5
wt%Zn. The values of the material parameters for this material are as follows:
G = 16.62ptGPa
H = 5.0 x 1 0 2 MPa
f l = 5 . 0 x 10MPa/K
toms = 90.0 MPa(To = 25~
"COAV = 70.0 MPa, (To = 25~
PT
M, /VC5 -- 2.SO/o
The sets of parameters for other materials are at present unknown.
REFERENCES
1. Tokuda, M, Ye, M, Bundara, B, and Sittner, P (1999) 3D constitutive equations of

polycrystalline shape memory alloy. Archive of Mechanics 51(6): 847-864.
2. Tokuda, M, Ye, M, Takakjura, M, and Sittner, P. (1998). Thermo-mechanicalbehavior of shape
memory alloy under complex loading conditions. International Journal of Plasticity 15(2):
223-239.
SECTION 9.16
Elasticity Coupled with
Magnetism
RENI~ BILLARDON,LAURENTHIRSINGERand FLORENCEOSSART
ENS de Cachan/CNRS/Universitd Paris 6, 61 avenue, du PNsident Wilson,
94235 Cachan Cedex, France
Contents
9.16.1 General Validity . . . . . . . . . . . . . . . . . . . . . . . . . . 929
9.16.2 Hereditary Model: Preisach Model . . . . . . . . 929
9.16.2.1 Background . . . . . . . . . . . . . . . . . . . . . . 929
9.16.2.2 Description of the Model . . . . . . . . . . 929
9.16.2.3 Description of the Coupling
with Elasticity . . . . . . . . . . . . . . . . . . . . 931
9.16.2.4 Identification of the Parameters . . . . 931
9.16.3 Internal Variable Model: State Coupling
between Elasticity and Magnetism . . . . . . . . 932
9.16.3.1 Background . . . . . . . . . . . . . . . . . . . . . . 932
9.16.3.2 Validity of the State Coupling . . . . . 933
9.16.3.3 Possible Choices for Internal
Variable X . . . . . . . . . . . . . . . . . . . . . . . . 933
9.16.4 Magnetoelastic Scalar Reversible Behavior:
Anhysteretic Behavior X = 0 . . . . . . . . . . . . . . 934
9.16.4.1 Description of Models for the
Anhysteretic Magnetization . . . . . . . . 934
9.16.4.2 Description of Models of Anhysteretic
Magnetostriction Strain . . . . . . . . . . . 935
9.16.4.3 Description of a Scalar Model . . . . . 936
9.16.5 Magnetoelastic Hysteretic Behavior: Model
Proposed by Jiles and Atherton (X = Mhys) 937
9.16.5.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . 937
9.16.5.2 Description of the Evolution L a w . . 938
Handbook of Materials Behavior Madels. ISBN 0-12-443341-3.

9.16 Elasticity Coupled with Magnetism 929
9.16.6 Magnetoelastic Hysteretic Behavior: Model

Proposed by LMT-Cachan (X -- Hhys) . . . . . . 940
9.16.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . 940
9.16.6.2 Description of the Model . . . . . . . . . . 940
9.16.6.3 Identification of the Parameters .... 941
9.16.6.4 How to use the Model . . . . . . . . . . . . 942
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 942
9.16.1 GENERAL VALIDITY
This chapter is devoted to different scalar magnetic hysteresis models that are
valid for isotropic soft ferri- and ferromagnetic materials subjected to uniaxial
magnetic excitations and uniaxial elastic stresses.
9.16.2 HEREDITARY MODEL: PREISACH MODEL
9.16.2.1 BACKGROUND
The Preisach model [1] consists of a collection of bistable elementary

hysteresis operators y~/~(H), whose switching fields are denoted 0c and
(Fig. 9.16.1). This collection is described by the so-called Preisach distribu-
tion #(c~,/~), which gives the weight of the operator 7~/~ and is usually
represented by its isovalues in the Preisach plane (g,]~) (Fig. 9.16.2). The
magnetic behavior of the material is modeled by the following formula:
M(H/-- (1)
J J~ >~
The model has two important properties [2]:
9 The extrema of the applied field H are detected and stored until they are
erased by an extremum with a larger magnitude.
9 Minor loops are closed and congruent (no reptation).
The Preisach model is currently recognized as a static scalar hysteresis model

with well-defined properties and the more accurate prediction of minor loops.
Numerous ideas have been proposed in order to extend the initial scalar
model, either by assuming that the distribution #(~, ]~) depends on some state
930 Billardon et al
7~p +1
13 a H
-1
FIGURE 9.16.1 Elementary hysteresis operator definition, a>_fl so that hysteresis always causes
dissipation. The magnetization of the material M(H) saturates for H>_Hsat. Hence, there is no
operator such that a > Hsat or fl < Hsat.
FIGURE 9.16.2 Isovalues of the Preisach distribution. Hc being the coercive field, the
distribution has a sharp maximum at (Hc,-He) and vanishes for a > Hsat or fl < - Hsat.
variables of the system, or by changing the behavior of the elementary

operator 7~. Some examples are as follows:
9 Moving model [ 5 ] : the distribution #(a, fl) depends on the

current magnetization M, which improves the description of minor
loops.
9 Dynamic model [6]: 7~/~ switchings are damped, just as the actual
motions of magnetic domain walls are "damped" by eddy currents.
9 Mayergoyz vector model [3]: the classical Preisach model is distributed
over the space.
9 Charap vector model [7]: 7~/~is an anisotropic vector operator, including
rotation of the magnetization M.
9.16.2.3 DESCRIPTION OF THE COUPLING WITH

ELASTICITY
The mechanical state and in particular the stress state of the material have a
great influence on its magnetic properties. Two different approaches have
been proposed to build a scalar Preisach-type hysteresis model that accounts
for the influence of a uniaxial stress:
9 Identification of the Preisach distribution as a function of stress cr so that

#(~, fl, or) [8]: results obtained for standard Fe-3%Si laminations do not
exhibit a simple evolution law.
9 Definition of the elementary operator as a function of stress so that
7~fl(H, if) [9]: experimental identification has to be done from a set of
M(H, or) plots.
The second approach can be used to build an anisotropic vector

model based on the definition of vector operators 7~fl(H,~r) [10].
Since the magnetomechanical couplings are fundamentally anis-
otropic and different in tension and compression, using a vector elementary
operator improves the scalar description of hysteresis even along a fixed
direction.
The classical Preisach model is easy to implement and use. All the
needed details are found in the literature. However, none of its gene-
ralizations preserves the simplicity and well-defined properties of
the initial model. Using them requires some rules of thumb and
know-how.
9.16.2.4 IDENTIFICATION OF THE PARAMETERS
The identification of the model consists of linking the distribution #(~, fl) to
experimental data. Two approaches may be used:
9 The distribution #(~,fl) is assumed to be described by an

analytical function whose parameters are derived from the mini-
mization of some global criterion (surface or global shape of the major
loop) [4].
9 The Preisach plane is discretized and the distribution is calculated at
each point by using a set of minor loops [3]. The higher the number of
loops, the higher the accuracy of the model.
932 Billardon et al
9.16.3 INTERNAL VARIABLE MODEL: STATE

COUPLING BETWEEN ELASTICITY AND
MAGNETISM
9.16.3.1 BACKGROUND
Isothermal situations are considered. The specific enthalpy ~P is partitioned

into four terms [14]. rid m and ~P~m, respectively, correspond to the mechanical
state of the material and to the magnetoelastic couplings. W~a, and ~Yffl~hys,
respectively, correspond to the magnetic state of a comparison ideal material
(with the same behavior as the anhysteretic response of the real material) and
to the hysteretic part of the magnetic behavior of the real material. Hence,
p~P(H, X, o-) = ptPm(o") + pT~m(O', H; X) + pqA~an(H) + pq2~hys(H;X)
= --a"
2 1 IF-1" a - /o e~(a, H; X)" da - /o #oMano(h) 9dh
+ ptr~hys(H; X) (2)
where n:, ~,, Man0, respectively, correspond to the elastic moduli tensor, the
magnetostriction strain tensor, the anhysteretic magnetic response. H, a and
X, respectively, correspond to the magnetic field, stress tensor and the internal
variable(s) representative of magnetic hysteresis. Subscript 0 refers to zero
stress state.
State laws are derived from the specific enthalpy ~P used as state potential:
-- 0o" = 9o" + e~(a, H, X) (3)
OptP OPtP,hY~ ~0 `~Oe~'.

/~0M1 --- - 0-----g--+ do (4)
OH
Opge Op~2~,hys
#oY = + fo g -b--~(a,
Oq~3#. H; X)" da (5)
0x 0x
and Clausius-Duhem inequality becomes:
Di -- - p q J - e" 5"-/toM. I:I = #o(M1 - M). I:I + / t o Y - X >_ 0 (6)
This condition, which must be satisfied for any physically admissible

evolution, gives an important limitation to the possible expressions of the
evolution laws for internal variables X.
9.16.3.2 VALIDITY OF THE STATE COUPLING
This state coupling has been experimentaly validated for pure nickel [13]
and silicon iron alloy [14]. In the case of anhysteretic magnetoelastic
evolutions ( X - 0), the Clausius-Duhem inequality (Eq. 6) simplifies and
variable M1 appears as magnetization M - Ma,(a,H). Hence, the state law
(Eq. 4) gives the expression of the anhysteretic magnetic response of the
material when it is subjected to elastic loadings:
c9~a~'" H) 9da
#oMan(a, H) -- #0Man0(U) 4- f0 --~-(a; (7)
where ea~,(a,U ) = e~(a,U,X-- 0) denotes the anhysteretic magnetostriction

strain of the material when it is subjected to elastic loadings. Derivation of this
relation with respect to stress cr leads to the so-called Maxwell expression:
OMan cg~n .
tt~ cOa (a; H) - - - ~ ( a ; H) V(a, H) (8)
9.16.3.3 POSSIBLE CHOICES FOR INTERNALVARIABLE X
Further assumptions must be made to complete the magnetoelastic model:

9 Internal variable X must be defined. In the case of a purely
phenomenological approach, this definition may be directly
deduced from the modeling of the magnetization response
M(a, H, X). Different assumptions can be made. For instance, one may
introduce
- a partition of magnetization M so that:
M=Man(a,H)+Mhys and X=Mhys (9)
- or a partition of magnetic field H so that:
M=Man(a,U-Hhys) and X=Hhys (10)

These variables are depicted in Figure 9.16.3 in the uniaxial case.
9 A kinetic law for internal variable X that satisfies the Clausius-Duhem
inequality (Eq. 6) for any magnetomechanical loading must be
introduced:
X = X(a, H, I:I, X) (11)
9 A kinetic law for magnetostriction strains e~(a,H,X) must also be

introduced.
934 Billardon et al
M~ ~ Actual
magnetic
= state
ea~
r162
Hhvs
Magnetic Field H
FIGURE 9.16.3 Definition of variables Mhys and Hhys in the uniaxial case.
9.16.4 MAGNETOELASTIC SCALAR

R E V E R S I B L E BEHAVIOR: A N H Y S T E R E T I C
BEHAVIOR X = 0
9 . 1 6 . 4 . 1 DESCRIPTION OF MODELS FOR THE

ANHYSTERETIC MAGNETIZATION
The anhysteretic magnetic response of a material free of any mechanical

loading has been modeled by Frohlich [19] as
Za~ (12)
Mo.0(H) - + Z.0H
where Manoand H, respectively, denote Mano and H moduli and where material
parameters Zao and Ms are, respectively, related to the initial slope of the
anhysteretic curve and to the saturation magnetization.
By analogy with the behavior of paramagnetic materials, Jiles and Atherton
[25] used the Langevin function to model the magnetic anhysteretic curve,
such that:
Mano(H) -- M s ( c o t h ( ~ ) --~e) with He -- H + ~M (13)
where He denotes the effective magnetic field as introduced by Weiss to

account for ferromagnetism (~ is the mean molecular field constant
representing interactions of magnetic moments), whereas a denotes a material
parameter that depends on temperature and that controls the anhysteretic

curve shape.
From phenomenological considerations [18], the anhysteretic curve has
also been modeled by the following relation:
Mano(H)-- 2MS
n
Arctan ( 2nZ a ~ H) (14)
This latter expression gives a better fit of the experimental response of

Fe-3%Si alloys than Eq. 13 within the range of + 3000 A/m.
9 . 1 6 . 4 . 2 DESCRIPTION OF MODELS OF ANHYSTERETIC

MAGNETOSTRICTION STRAIN
For isotropic materials, it is reasonable to assume that the anhysteretic

magnetostriction strain tensor takes the following form [22]:
o o /
~an• 0 (15)
sym. eanZ(H) (u,,,v•
where ull, v• and w• respectively, denote unit vectors that define a direct
frame with direction ull parallel to magnetization vector M. Besides, e~' ,, and
anll
ea,,• respectively, denote the magnetostriction strains in the direction of
magnetization and in any direction transverse to the direction of magnetiza-
tion. Since the magnetization process is at quasi-constant volume, the
transverse magnetostriction is such that [19]:
1 ~ 3 (MaM(H)/ (16)
where 2s denotes the saturated magnetostriction strain along the saturation

direction. For a randomly oriented polycrystalline cubic material, an
estimation of 2s is obtained by averaging the magnetostriction of grains and
neglecting the strain incompatibility between neighboring grains [21,22],
such that:
'~'s -- 52~100 -4- 3 ~111 (17)
where 2100 and 2111, respectively, denote the magnetostriction constant in

[100] and [111] crystallographic directions of the cubic single crystal.
936 Billardon et al
9.16.4.3 DESCRIPTION OF A SCALAR MODEL
When a uniaxial stress cr is applied in the direction of the magnetic field, Jiles
and Atherton [25] have proposed to modify the effective magnetic field in the
anhysteretic curve (Eq. 13) with
de ~
He -- H + aM 4 anllr (18)
#0 dM
where ea~llr denotes the magnetostriction strain in the direction of the applied
uniaxial stress. According to Eqs. 15 and 16, its expression is
ea~,ll~ = ~ 2s cos 2 0 - Mss (19)
where 0 denotes the angle between the direction of the applied stress rr and
the direction of the applied magnetic field H.
Eventually, the anhysteretic behavior of a material subjected to a uniaxial
stress is predicted by the following expression of the anhysteretic curve Man:
M=Man(H,M, rr)-Ms(coth(-H~)--~e ) (20)
with
He, M, rr -- H + aM + --4-~ c~ - M~
On the other hand, it appears that the inverse of the initial slope of the
anhysteretic curve depends linearly on the applied uniaxial stress [18,20]. For
sake of simplicity, the magnetic behavior of the material is assumed to remain
isotropic. Finally, anhysteretic c u r v e Man is modeled by the following
expression:
M = M~,(H, rr) = 2M~ Arctan Za(rr (22)

7~
with
~al(O ") = Z a1 + A . rr (23)
where rr denotes the value of the uniaxial stress applied in the direction of the
magnetic field. In other words, the magnetoelastic state coupling (derivative
of Eq. 8 with respect to H) is approximately a constant, denoted by - A z 2, in
the vicinity of zero magnetization:
02Man 1 02~
OH cgrr(rr'H = O) = - anl-------~l(~r,H
= 0) = -Az2(rr) (24)
110 oq2H
9.16.4.4 IDENTIFICATIONOF THE PARAMETERS
The model parameters, four for the former (Ms, a, 0~, 2s) and three for the
latter (Ms, Xa0, A), are identified from the anhysteretic curve measured on
samples subjected to constant uniaxial stress. See Table 9.16.1.
9.16.5 MAGNETOELASTIC HYSTERETIC

BEHAVIOR: MODEL PROPOSED BY JILES AND
ATHERTON ( X - Mhys)
9.16.5.1 VALIDITY
The model proposed by Jiles and Atherton [25] is a scalar magnetic
hysteresis model. It is coupled with elasticity; i.e., it accounts for the effect of
uniaxial stresses on magnetisation of bulk isotropic materials. Whereas good
predictions can be obtained for major loops, minor loops are approximated:
the monotonic condition dM/dH, always positive, is not always fulfilled just
after reversal of the applied magnetic field.
Table 9.16.1 Table of Parameters
Materials Ms XaO a o~ 21oo )[111 2s A

(103 Mm) (Mm) (10 -3 ) (10 -6) (10 -6 ) (10 -6 ) (10 -6
MPa -1)
N.O. Silicon 1190 39300 23 -4.5 6.5 0.925

Iron Alloy
(M330-50A)
N.O. Silicon 1115- 31000- 43- 0.091-
Iron Alloy 1700 41000 426 0.72
(M450-50E)
N.O. Silicon 1230- 34000- 80- 0.178-
Iron Alloy 1700 70000 538 0.92
(M600-50A)
Low Carbon 1397- 2160- 342- 0.64- 21 -21 -4.2
Steel 1600 10600 1100 1.6
Carbon Steel 1350 375 2100 2 21 -21 -4.2 -5.73
(AISI 4130)
Nickel 480 -46 -24 -32.8
Ferrite Core 380 420 30 10 -3
Terfenol D 765- 11 7000 32- 90 1600 1000- 6100
Tbo.3Dyo.TFel.9 790 35 1200
938 Billardon et al
9.16.5.2 DESCRIPTION OF THE EVOLUTION LAW

This model is based on the following principal hypotheses:
9 Even for real materials with defects (which are the source of hysteresis), the
anhysteretic curve exists and corresponds to the magnetic behavior of a
comparison ideal material free of any defect: the relationship between anhysteretic
magnetization Man and magnetic field H is reversible nonlinear, such that:
where He and a, respectively, denote the effective magnetic field and a material
parameter.
9 From the molecular field theory proposed by Weiss, the expression of
the effective magnetic field He is the following (Eq. 18):
d~~
He -- H + o~M + - anl_______2~. (26)
#o dM
9 To account for reversible magnetization due to reversible magnetic
domain wall bowing and reversible rotation, magnetization M is partitioned
into reversible, Mrs, and irreversible, Mirr, parts such that:
M - - Mrev nu Mirr (27)
9 The reversible magnetization component Mr~ is supposed to take the form:
Mrev = c ( M a n - M i r r ) (28)
where c denotes a material parameter.
9 Magnetic behavior irreversibility due to pinning-unpinning of magnetic
domain walls during the magnetization process is associated with supple-
mentary energy, noted Ezoss, needed to overcome these pinning sites:
Ezo~ -- k dgirr (29)

where k denotes a material parameter characterizing the average energy
required to break pinning sites. The energy supplied to material dE is either
stored in the material in magnetostatic energy form or dissipated by
hysteresis. In the case of anhysteretic behavior of the material, this supplied
energy is completely stored in the material, such that:
aE = M ( H ) a H - = Ma (H)aH (30)
and consequently
dMir-------~
r - - M a n - Mirr (31)
dH k
According to gqs. 27 and 28 and to the effective magnetic field equations
(Eqs. 19 and 26), the evolution law (Eq. 31) of the internal variable M~rr,
which describes magnetic irreversibility, becomes:

dMirr Man - Mirr
d----H = 6k - o~* (Man - - Mirr) (32)

with
~ * - - 0 ~ + 4 p0 M2
(cos0
where 6 denotes the sign function of the rate of magnetic field I:I - dH/dt, that
is to say:
6=1 if / : / > 0 and 6=-1 if /-)<0 (34)
It can be noticed that, in this model, Eq. 9 takes the following form
Mhys = (1 -- c)(Mirr(H,o- ) -- gan(H,~) )
This magnetic hysteresis model coupled with elasticity proposed by Jiles

and Atherton requires one to identify six parameters: saturated magnetization
Ms and magnetostriction 2s, magnetic moments interaction parameter c~, shape
parameter for anhysteretic curve a, average lost energy parameter k, and
reversibility coefficient c (see Table 9.16.2).
Parameters Ms, 2s, and c~are identified by accurate physical measurements,
and their values are given in the literature. From the viewpoint of
applications, some parameters can be directly identified from the hysteresis
loop. By derivation of Eq. 31 with respect to H, parameter c appears as the
ratio between initial susceptibilities (at origin) measured on the first
magnetization curve )~in and on the anhysteretic curve )~an0 [26]:
Zin
= (35)
)(,anO
The parameter k can also be defined as:
aH
where Hc and )~Hc,respectively, denote the coercivity force and the slope of the
hysteresis loop at Hc. Lastly, the parameter a can be identified as:
c~Ms k
a= (37)
3 k-He
940 Billardon et al
Materials Ms a k s
(103 A/m) (A/m) (10 -3 ) (A/m) (10 - 6 )
N.O. Silicon 1190 6.5

Iron Alloy
(M330-50A)
N.O. Silicon 1115- 43- 0.091- 0.085- 40-36
Iron Alloy 1700 426 0.72 0.1
(M450-50E)
N.O. Silicon 1230- 80- 0.178- 1.210 - 3 - 114-
Iron Alloy 1700 538 0.92 0.04 104
(M600-50A)
Low Carbon 1397- 342- 0.64- 1.1 10 -3- 247- -4.2
Steel 1600 1100 1.6 0.2 400
Carbon Steel 1350 2100 2 0.25 1800 35
(AISI 4130)
Nickel 480 -32.8
Ferrite Core 380 30 10 -3 0.95 10
Terfenol D 765- 7000 32-35 90 3280- 1000-
Tbo.3Dyo.7Fel.9 790 3950 1200
9.16.6 MAGNETOELASTIC HYSTERETIC

BEHAVIOR: MODEL PROPOSED BY LMT-
C A C H A N ( X - Hhys)
9 . 1 6 . 6 . 1 VALIDITY
T h e m o d e l p r o p o s e d by L M T - C a c h a n is a scalar m a g n e t i c hysteresis m o d e l . It
is c o u p l e d w i t h elasticity; i.e., it a c c o u n t s for the effect of u n i a x i a l stresses
( a p p l i e d in the s a m e d i r e c t i o n as the a p p l i e d m a g n e t i c field) o n m a g n e t i z a t i o n
of b u l k isotropic materials.
9.16.6.2 D E S C R I P T I O N OF THE M O D E L
This model is based on the following principal hypotheses:

9 Magnetic field H is partitioned into reversible anhysteretic and
irreversible parts denoted by Ha. and Hhys, respectively, so that:
H = H~ + H~y, VM (3S)
9 The anhysteretic curve exists for a real material and the relation between
magnetization M and anhysteretic magnetic field Hat, is reversible nonlinear,
as introduced in Section 9.16.4 by Eqs. 23 and 24:
M--Man(Han'a) -- 2MSArctan(2za(a)~s)7~ (39)
with
~(a 1 (0") -- ZaO1 + A . a (40)
where a denotes the value of the uniaxial stress applied in the direction of the
magnetic field.
9 For sake of simplicity and as a first approximation, it is assumed that a
uniaxial stress mainly affects the anhysteretic curve and has no significant
influence on the hysteretic behavior. The evolution law of internal variable
Hhys is chosen such that, on one hand, Eq. 6 is satisfied. From phenomen-
ological considerations it has been proposed that:
I-Ihys -- ZO~Iif/:/> 0 and Hhys ~ Hy or if/:/< 0 and Hhys ~ -Fly

(41)
H~ - sign(H)Hhy~
I-Ihys D ZoI:t if I:t > 0 and Hhys > Hy
Hc - Hy (42)
or if I:t < 0 and Hhys < - Hy
where constants Z0, He, and Hy denote material parameters, respectively,

related to the initial slope of the first magnetization curve, the coercive
magnetic field, and the so-called yield magnetic field.
This magnetic hysteresis model coupled with elasticity proposed by LMT-

Cachan requires the identification of seven parameters: saturated magnetiza-
tion Ms and magnetostriction 2s, initial slopes of the anhysteretic curve (M vs.
Ha,,), Za0 and of the first magnetisation curve (M vs. H), Z0, coercive force Hc,
yield magnetic field Hy, and stress dependence coefficient of the anhysteretic
curve initial slope A (see Table 9.16.3). To identify these parameters, major
hysteresis loops with first magnetization curve and anhysteretic response of
stressed material are needed.
942 Billardon et al
Materials Ms %aO %0 Hc Hy 2s A
(103Mm) (Mm) (Mm) (10 -6 ) (10-6MPa) -1
N.O. Silicon 1190 39300 0.85 60 10 6.5 0.925

Iron Alloy
(M330-50HA)
N.O. Silicon I i 15- 31000-
Iron Alloy 1700 41000
(M450-50E)
N.O. Silicon 1230- 34000-
Iron Alloy 1700 70000
(M600-50A)
Low Carbon 1397 2160- 10-100 -4.2
Steel 10600
Carbon Steel 1350 375 10-100 -4.2 -5.73
(AISI 4130)
Nickel 480
Ferrite Core 380 420 10

Terfenol D 765- 11 3000 1000- 6100
Tbo.3Dyo.FFel.9 790 1200
9.16.6.4 HOW TO USE THE MODEL
The constitutive equations (Eqs. 41 and 42) could be solved iteratively by

applying a 0-method and a pure Newton algorithm [29].
REFERENCES
1. Preisach, E (1935). Uber die magnetische nachwirking. Z. Phys. 94: 277-302.

2. Bertotti, G. (1998). Hysteresis in Magnetism. Academic Press.
3. Mayergoyz, I. D. (1991) Mathematical Models of Hysteresis. New York, Springer-Verlag.
4. Bertotti, G., Fiorillo, E, and Soardo, G. P. (1987). Dependence of power losses on peak
magnetization and magnetization frequency in grain-oriented and non-oriented 3% SiFe.
IEEE Trans. Magn. 23(5): 3520.
5. Torre, E. Della (1991). Existence of magnetization dependent Preisach models. IEEE Trans.
Magn. 27(4): 3697-3699.
6. Bertotti, G. (1992). Dynamic generalization of the scalar Preisach model of hysteresis. IEEE
Trans. Magn. 28(5): 2599.
7. Davidson, R., and Charap, S. H. (1996). Combined vector hysteresis models and applications.
IEEE Trans. Magn. 32(5): 4198-4203.
8. LoBue, M., Basso, V., Fiorillo, E, and Bertotti, G. (1999). Effect of tensile and compressive
stress on dynamic loop shapes and power losses of Fe-Si electrical steels. J. Magn. Magn. Mat.
196-197: 372-374.
9. Berqvist, A., and Engdhal, G. (1991). A stress-dependent magnetic Preisach hysteresis model.
IEEE Trans. Magn. 27(6): 4796-4798.
10. Sasso, C. P., Basso, V., LoBue, M., and Bertotti, G. (2000). Vector model for the study of
hysteresis under stress. J. Appl. Phys. 87: 4774-4776.
11. Barbier, G. (1995). Proposition d'un module de couplage magn~to-m~canique pour les mat~riaux
ferromagn~tiques doux, Rapport de DEA de M~canique, Universit~ Paris 6, LMT-Cachan.
12. Bassiouny, E., et al. (1998). Thermodynamical formulation for coupled electromechanical
hysteresis effects. International Journal of Engineering Science 26 (12): 1279-1295.
13. Gourdin, C., et al. (1998). Experimental identification of the coupling between the
anhysteretic magnetic and magnetostrictive behaviours. Journal of Magnetism and Magnetic
Materials 177-181: 201-202.
14. Hirsinger, L., et al. (2000). Application of the internal variable formalism to the modeling of
magnetoelasticity, in Studies Applied Electromagnetics and Mechanics, Vol. 29: Mechanics of
Electromagnetic Materials and Structures, pp. 54--67, Yang, J. S., and Maugin, G. A., eds., IOS Press.
15. Maugin, G. A. (1998). Continuum Mechanics of Electromagnetic Solids, North-Holland.
16. Maugin, G. A. (1991). Compatibility of magnetic hysteresis with thermodynamics. Int. J. Appl.
Electromag. Mat. 2: 7-19.
17. Maugin, G. A., and Muschik, W. (1994). Thermodynamics with internal variables. J. Non-
Equilib. Thermodyn. 19: 217-289.
18. Gourdin, C., et al. (1998). Finite element implementation of an isotropic internal variable
magneto-elastic hysteresis model, in Non-Linear Electromagnetic Systems, pp. 625-628, Kose,
V., and Sievert, J., eds., Amsterdam: IOS Press.
19. Jiles, D. C. (1991). Introduction to Magnetism and Magnetic Materials, Chapman & Hall.
20. Sablik, M. J. (1989). Modeling stress dependence of magnetic properties for NDE of steels.
Nondestr. Test. Eval. 5: 49-65.
21. du Tremolet de Lacheisserie, E. (1990). Magnetostriction: Theory and Applications of
Magnetoelasticity, CRC Press.
22. du Tremolet de Lacheisserie, E. (1999). Magnetisme, 1: Fondements, Presses Universitaires de
Grenoble.
23. Calkins, E T., Smith, R. C., and Flateau, A. B. (2000). Energy-based hysteresis model for
magnetostrictive transducers. IEEE Trans. Magn. 36(2): 429-439.
24. Hernandez, E. Del Moral, Muranaka, C. S., and Cardoso, J. R. (2000). Identification of the Jiles-
Altherton model parameters using random and deterministic searches. Physica B 275:212-215.
25. Jiles, D. C., and Atherton, D. L. (1986). Theory of ferromagnetic hysteresis. Journal of
Magnetism and Magnetic Materials 61: 48-60.
26. Jiles, D. C., Thoelke, J. B., and Devine, M. K. (1992). Numerical determination of hysteresis
parameters for the modeling of magnetic properties using the theory of ferromagnetic
hysteresis. IEEE Trans. Magn. 28: 27-35.
27. Jiles, D. C. (1995). Theory of the magnetomechanical effect. Journal of Physics D: Applied
Physics 28: 1537-1546.
28. Sablik, M. J., and Jiles, D. C. Coupled magnetoelastic theory of magnetic and magnetostrictive
hysteresis. IEEE Trans. Magn. 29: 2113-2123.
29. Gourdin, C., Hirsinger, L., and Billardon, R. (1998). Finite element implementation of an
internal variable magneto-elastic hysteresis model, in Studies in Applied Electromagnetics and
Mechanics, Vol. 13: Non-linear Electromagnetic Systems, pp. 625-628, Kose, V., and Sievert, J.,
eds., IOS Press.
SECTION 9.17
Physical Aging and Glass
Transition of Polymers
RACHID RAHOUADJ a n d CHRISTIAN CUNAT
LEMTA, UMR CNRS 7563,ENSEM INPL 2, avenue de la For~t-de-Haye,
54500 Vandoeuvre-l~s-Nancy, France1
Contents
9.17.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 945
9.17.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 945
9.17.3 Description of the Model . . . . . . . . . . . . . . . . . 947
9.17.3.1 Model for Simulation of the
Volume Recovery . . . . . . . . . . . . . . . . 947
9.17.4 Identification of the Parameters . . . . . . . . . . . 950
9.17.4.1 Identification of the Parameters
of Version 1 for the Volume
Recovery . . . . . . . . . . . . . . . . . . . . . . . . 950
9.17.4.2 Identification of the Parameters of
Version 2 for the Volume Recovery
and Apparent Specific Heat . . . . . . . 950
9.17.5 How to Use the Model . . . . . . . . . . . . . . . . . . . . 951
9.17.5.1 Isothermal Behavior: The Case
of the Volume Recovery . . . . . . . . . . 951
9.17.5.2 Nonisothermal Behavior: The
Case of the Specific Heat . . . . . . . . . 953
9.17.6 List of Parameters . . . . . . . . . . . . . . . . . . . . . . . . 953
9.17.6.1 Isothermal Volume Recovery of
PVAc . . . . . . . . . . . . . . . . . . . . . . . . . . . . 953
9.17.6.2 Anisothermal Aging and Specific
Heat . . . . . . . . . . . . . . . . . . . . . . . . . . . . 954
9.17.6.3 Comments . . . . . . . . . . . . . . . . . . . . . . 954
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 954
Handbook of Materials Behaviar Madels. ISBN 0-12-443341-3.

9.17 Physical Aging and Glass Transition of Polymers 945
9.17.1 VALIDITY
In the case of glassy materials near the glass transition, the aging
transformation is usually associated with the recovery of a thermodynamic
equilibrium state. It concerns various physical properties, such as the
mechanical compliance, the refractive index, the apparent volume expansion,
and the enthalpy related to the apparent specific heat. The last-mentioned is
measured during continuous heat treatment.
Examples of experimental results of isothermal volume recovery and
apparent specific heat of polymers are analyzed near the glass transition as
functions of heat treatment and temperature, respectively. The present
theoretical modeling is based on an irreversible thermodynamics approach
called "the distribution of nonlinear relaxations" (DNLR).
9.17.2 BACKGROUND
The theoretical background [1, 2], has been briefly described in the article
entitled "A Nonlinear Viscoelastic Model Based on Fluctuating Modes",
Section 2.6. This modeling is in accordance with the fundamental works on
internal variables by Coleman and Gurtin [3]. In the frame of a modal analysis
of the dissipation, we have shown that the constitutive relationship can be
written as
-- E -- o . -P~
p)j amq7 q -- (1)
j_, (tim - -
where 7q and tim refer to the perturbation and to the corresponding response
components, respectively, and j to a normal dissipation mode. The indexes r
and u denote the relaxed (or equilibrium) and the unrelaxed states,
respectively. The parameter pO represents the relative weight of the process
j, j = 1,... ,n, in the overall relaxation spectrum. The parameter a u is the
symmetrical matrix of Tisza. Referring to the theorem of equipartition of the
entropy production, [2], the initial relaxation spectrum near equilibrium can
be defined as
k=l
Note that this distribution of relaxation times, ~, is also assumed to be

operational for completely frozen states as for the beginning of the aging
transformation.
The data for volume recovery are shown in Figure 9.17.1a-c. The
representation in Figure 9.17.1c is preferred to others for comparing
theoretical simulations and experiments by means of the effective relaxation
time " c e f f - - 6 / 6 and the volume variation c~ due to nonequilibrium, as
defined by Kovacs [4, 5].
Some nonlinearities come obviously from the statistical nature of the
relaxation times distribution, whereas other nonlinearities may find their
origin in the dependence of relaxation times with the departure from
equilibrium states. This major effect can be taken into account by introducing
a shift function, aa, into the relaxation spectrum. Then, the relaxation times
may be defined as inversely proportional to the jump frequency and to the
probability of occurrence of an activated state (denoted by the symbol + ).
Thus one has
- aF;'r(r/+ - ( a E +,r - (3/
assuming that AE+ # - AE +'~, Vj = 1 , . . . , n .

From this relation, the relaxation times become
h exp(AF[/Rr)- r a(t) (4)
w h ~ r ~ *i -
~ x p [(AE+, r - raS['~)/Rr] and a ( t ) - aa - e x p ( K ~ f i / R T ) .
To simplify the present analysis, we will consider the simplest case
where 6 = t r a c e ( ] / - / ~ ) . Equation 1 can be rewritten more explicitly as
~, ,Liquid
Glass~,~
Recovery]/~
Tg2 ~ s ; I T o Tgl T
(a)
"ln('t;eff) T /
8=V (To,t) -Vr(T0,oo) ~ _ L o g t
~ Glass 1
Glass 2
(b) (c)
FIGURE 9.17.1 Asymmetryof the recovery response with respect to the sign of deviation from
equilibrium, a: Thermal sequences; b. and c Two different representations of the same responses.
follows:
{ ,
1/1:1
- [ -(S1-S~)'''-(Sj-S;)'''-(S"-S~")] i
1/'cj
(5)
(~1 - < ) (~j - ~;) . (.. - e )
i/rn
when the system is submitted only to a restrictive thermal or thermo-
mechanical solicitation, T and 6- being independent. The parameters C, ~, and
J represent the specific heat, the tensor of expansion coefficients, and the
tensor of compliance, respectively.
In this section, two specific applications of the DNLR are briefly presented,
the volume recovery and the apparent specific heat. Further details are given
elsewhere by Marceron and Cunat [6].
9.17.3.1 MODEL FOR SIMULATION OF THE VOLUME

RECOVERY
In the experiments of Kovacs [4, 5], used to illustrate our purpose, the
perturbation 7, (or solicitation) corresponds to the absolute temperature T,
and the response tim tO each component of the strain tensor. Under these
conditions, the thermomechanical coupling leads to a specific tensorial
relation (instead of Eq. 5):
.,.; s
j=l "cj(T, ~5)' with g- gj (6)
j=l
For an isotropic medium, the tensor of one-dimensional expansion verifies

%u _ %u 1, the trace of the strain tensor being coupled to the temperature
variations. In other words, the volume strain may also be introduced by
_~.f 1 ._a, v j - v f
v--; - Vr 2_, (7)
j=l rj
where V - - E j n l Vj, and the volume V r corresponds to the overall

representative volume element at the relaxed state. Indeed, the experimental
data by Kovacs for volume recovery of PVAc suggest the approximation V
V~ [4, 5]. The variable ~u represents the coefficient of isotropic expansion of
the frozen amorphous phase. The previous relation (Eq. 7) has been actually
used in our simulations of volume variations during recovery tests. The time
integration of this equation has been performed in a numerical way using our
spectral distribution ( (~,j = 1 , . . . , n) and the specific spectral shift function
a ( t ) . The actual relaxation spectrum is supposed to be continuous. Its
modeling near the equilibrium has been approximated using a discrete
distribution of 50 modes equidistributed over six decades of the time
scale [2].
Two versions (called versions 1 and 2) corresponding to different levels of
approximation of the DNLR formalism have been developed to describe the
volume recovery under various thermal histories.
9.17.3.1.1 Version 1" A First Approximation without Entropic Coupling

Version 1 is the simplest application of the DNLR approach. The coupling
between the thermodynamic variables has been neglected. This version has
led to the expression of the volume recovery as a function of the thermal
history. Thus, referring to Eq. 7, the equilibrium condition may be written:
--=~rf (8)
W
Combining Eqs. 7 and 8 and introducing the volume variation (AV - V - Vr)
and the relaxation times [~:j -zya(AV/Vr)] gives"
V----7---
Thus, by considering the definition:

AV/V r - trace (~) - 5 (i0)
Equation 9 becomes in its final form
~= a~f- ~
(ii)
where the factor of nonlinearity due to the deviation from equilibrium,

K,~ -- K,~(T), can be temperature-dependent.
9.17 PhysicalAgingand Glass Transition of Polymers 949
9.17.3.1.2 Version 2: A Second Approximation with Entropic Coupling

To establish a more complete modeling, we need to consider the entropic
coupling effects explicitly contained in the general relation (Eq. 5). Indeed,
this relation shows that both volume and entropy simultaneously relax during
aging transformations. Consequently, the activation entropy AS~ - Sd+ - Sj
involves another type of nonlinearity by means of the evolving relaxation
times, Tf (T, S). Thus we will present a more accurate version of the DNLR,
called Version 2, which consists in solving a new complete differential system
involving simultaneously the entropy and the volume variations.
As a first example, each isothermal evolutions (T = 0), during volume
recovery, will be characterized by
~__~.~ Sj-Sf with S- ~Sj, and S~ - ~ S ; (12a)

;=~ ff (~, s) a(aS) ;=~ ;=~
The adequate shift function and relaxation time are given by
a ( A S ) - exp( Ks(S - RT /I
= exp (KsAS~\ (12b)
. h - 7(as+. + f,'0 g at'/l

"rj (T,S) - k--~ exp RT (12c)
The unknown initial value A S 0 - S u - S r becomes a new adjustable

parameter calculated for each isothermal experiment in the integration of
Eq. 12a. In the case of PVAc, this parameter is not temperature-dependent, in
the explored range. Thus Eq. 7 becomes
5d (12d)
S) a(AV/V r)
d ~
where the shift function, a(aV/W)= exp(K,sS/RT), corresponds to the

definition (Eq. 11) of version 1.
Integrating numerically the set of equations (Eqs. 12a-12d) provides the
fitting of the isothermal curves of volume recovery.
The second example on PVAc is concerned with the variation of the
apparent specific heat during heating or quenching processes. From Eq. 5, it
appears that the apparent specific heat may be expressed as a function of the
entropy:
c yP :rs r ( sj - s; )
- ~ - C~ - -~ ;=1 ? a--(-A-~) (13a)
An alternative formulation, with C~pp-/://~', is based on the enthapy H

obtained by the Legendre transformation of the Helmholtz free energy instead
of the entropy. This is the choice of Aharoune [7], who analyzed the DSC
response (differential scanning calorimetry) of various glasses with the
following relation:
1~ (Hi -- H~)
ACp pp" - ACp - -T fl-~j-1~-~fa~A-H)) (13b)
where ACp - Cp - CpF and
a ( A H ) - exp (Kh(H 7 H~)) (13c)
9.17.4 IDENTIFICATION OF T H E P A R A M E T E R S
For all examples presented here, we have verified that a discrete distribution
of 50 relaxation modes, equidistributed over six decades of time respecting
Eqs. 1 and 2, is operational.
9.17.4.1 IDENTIFICATION OF THE PARAMETERS OF

VERSION 1 FOR THE VOLUME RECOVERY
From Eq. 11, in the case of volume recovery, four parameters must be
adjusted, i.e., A~-0~"-0~ r, AE+'r, ASj+__
'r corresponding to the longest
relaxation time, and the factor K6. The identification of A~ is obtained
directly from the Kovacs experimental data by estimating the initial deviation
from equilibrium, 60 = V(To, t = O) - Vr(To, t = oo), for a given temperature
jump and with the approximate relation 60 - A0~(Tg- To); see Figure 9.17.1b
and 9.17.2. The three other parameters, AE+'r, AS)+__'~, and K6(T), are
estimated for each isothermal by minimizing the deviations between
theoretical simulations and experimental results, according to the classical
algorithm of Gauss-Newton (Fig. 9.17.2).
9 . 1 7 . 4 . 2 IDENTIFICATION OF THE PARAMETERS OF

VERSION 2 FOR THE VOLUME RECOVERY AND APPARENT
SPECIFIC HEAT
Version 2 involves six parameters in Eqs. 12a-12d, i.e., the four previous
ones, A0~(T), ASj=.,
+,r AE +'~, and K,5(T), completed by two others which may
depend on temperature:
...................... o- L o g (~eff)
o 32.50 \ k,,'o I
30 C ~...~.,, " ~"
10 3 8
-5 -4 ~3 -2 21 0
FIGURE 9.17.2 Experimental results (symbols, Kovacs) and theoretical predictions of the model,
version 1.
9 ASo(T)= S " - S r, representing the difference of entropy between the

unrelaxed and relaxed states;
9 Ks(T), giving the nonlinearity due to the entropic recovery.
To analyze the observations by Kovacs giving 6 = 6(T, t), we assume that As
is not temperature-dependent. The other five parameters, i.e., AS+'r, AE +'r,
K~(T), ASo(T), and Ks(T), are optimized for all isothermal evolutions using
the numerical method mentioned previously.
In addition, in order to simulate the apparent specific heat on the base of
Eqs. 13b and 13c, one needs to identify four parameters using the same
method, i.e., ACp, AS, AE, Kh, and ASo. In spite of the case of the volume
recovery, the correction due to the entropic coupling has no significant effect
on the specific heat.
9 . 1 7 . 5 . 1 ISOTHERMAL BEHAVIOR: THE CASE OF THE

VOLUME RECOVERY
Version 1 provides a simple and fast calculation of the theoretical response by

numerical integration of the set of equations without any entropic coupling.
These predictions are similar to those from the KAHR model developed by
Kovacs and coworkers [8] and from the model suggested by Moynihan et al. [9].
But, as shown in Figure 9.17.2, such a simplified version failed in the cases of
expansion due to the aging process, especially near the equilibrium, when 6 -~ 0.
Version 2, which accounts for the entropic coupling and which is formally
contained in the DNLR framework, leads to more accurate results of volume
recovery (Fig. 9.17.3).
The most interesting aspect of such a model is, of course, its ability to give
some precise predictions for various thermal histories. Figure 9.17.4 gives us
a comparison between theory and experiments for complex thermal loading,
i.e., sequences of quenching, preannealing, and heating treatments. One can
FIGURE 9.17.3 Theoretical curves (version 2) and experimental results for the effective
relaxation time at different temperatures T and To, PVAc.
FIGURE 9.17.4 Memory effects induced by preannealing treatments: prediction of version 2 and
experimental results (symbols).
9.17 PhysicalAging and Glass Transition of Polymers 953
see the good compatibility between version 2 and the isothermal volume
recovery data from Kovacs.
9.17.5.2 NONISOTHEaMAL BEHAVIOR: THE CASE OF

THE SPECIFIC HEAT
We have chosen here to describe the behavior of PVAc, whose specific heat is
given by Volkenstein and Sharonov [10].
Figure 9.17.5 gives an example of simulations of heating combined with
preannealing. The parameters are completely consistent with those found for
the volume recovery experiments.
9.17.6.1 ISOTHERMALVOLUME RECOVERY OF PVAc
9.17.6.1.1 Version 1: Study at 40~

A~--4.65 • 10 -4 K -1
AE +'r -- 712,700J/mol.at;
ASj+__'~- 1991J/mol. K;
K~-- - 2850 • 103 J/mol.at.
9.17.6.1.2 Version 2: Study at Various Temperatures

A0r • 10 -4 K -1
AE + ' r - 712,000J/mol; ASj+='r,- 1980J/mol.K; A S o - llJ/mol.K;
K~ -- 43,797 4- 2141 T - 2 7 . 7 T2; Ks -- 82 4- 22 T.
FIGURE 9.17.5 Experimentalresults (symbols) and theoretical simulation (model version 2) for
the apparent specific heat of PVAc.
9.17.6.2 ANISOTHERMAL AGING AND SPECIFIC HEAT
AE+'r-715.2kJ/mol (compare with 712.7kJ/mol for version 1 and

712kJ/mol for version 2); and Kh----11870, referring to the enthalpy-
dissipation coupling. AS0 is identical to the previous values and has no
significant effect on the responses.
9.17.6.3 COMMENTS
It can be concluded from Figure 9.17.3 that the coupling between the entropy
variation and the volume recovery leads to a better agreement between
experiments and theory. Furthermore, we have examined the predictive
ability of this version to traduce the complex thermal histories of volume
relaxation as proposed by Kovacs. The obtained agreement, illustrated in
Figure 9.17.4, shows a promising ability in spite of the observed small gaps,
which are certainly due to the ignorance of the actual thermal rates.
Figure 9.17.5 compares DSC experimental curves from Volkenstein and
Sharonov [10] with theoretical simulations. Note also that the activation
parameters governing the kinetics of isothermal recovery near the equilibrium
are very close to those of the apparent specific heat.
REFERENCES
1. Cunat, C. (1985). Th~se de Doctorat d'Etat, INPL, Nancy, France.

2. Cunat, C. (1996). Rev. G~n. Therm. 35: 680-685, Elsevier, Paris.
3. Coleman, B. D., and Gurtin, M. (1967). J. Chem. Phys. 47(2): 597.
4. Kovacs, A. J. (1954). Ph.D. thesis, Paris.
5. Kovacs, A. J. (1963). Fortschr. Hochpol. Forsch. 3: 394.
6. Marceron, P., and Cunat, C. (1999). Submitted to J. Mech. Tim. Dep. Mat.
7. Aharoune, A. (1991). Ph.D. thesis, INPL, Nancy, France.
8. Kovacs, A. J., Aklonis, J. J., Hutchinson, J. M., and Ramos, A. R. (1979). J. Polym. Sci., Polym.
Phys. Ed. 17: 1097.
9. Moynihan, C. T., et al. (1976). Ann. N.Y Acad. Sci. 279: 15.
10. Volkenstein, M. V., and Sharonov, Y. (1961). Vysokomol. Soed. 3: 1739.
CHAPTER 10
Composite Media,
Biomaterials
SECTION iO.1
Introduction to
Compo.site Media
JEAN LEMAITRE
Universit~ Paris 6, LMT-Cachan, 61 avenue du President Wilson,
All previous chapters have been concerned with phenomenological models

which apply irrespective of the precise material. Here a special chapter is
devoted to formalisms by which the overall behavior is obtained by
homogenization of the properties of different constituents. The class of
materials includes metals considered as mixtures of different phases, fibers
reinforced composites, laminates, concrete considered as an assembly of rocks,
sand, and cement, reinforced polymers, etc. Also included are biomaterials
such as bones or soft tissues. Geomaterials are treated in another special
chapter because of the particular formalism imposed by porosity, dilatancy,
etc. A second reason is that, as for geomaterials, it is a composite community
active in its own field.
The objective of the approaches in this chapter is to express the parameters
in a constitutive law for the overall deformation behavior in terms of the
properties of the constituents, as well as their distribution (random, organised
in layers, etc.) and shapes (spherical particles, fibers, etc.), i.e., the
microstructure. Assuming these are known, there is a rich toolbox of
techniques in the literature for linear elastic constituents, which are
summarized in Section 10.2. For composite materials where one or more of
the phases is nonlinear, the methods are less well developed and more
difficult. Section 10.3 summarizes some recent developments for nonlinear
materials. Almost all available approaches assume that the size of the
component made out of the composite is much larger than the typical length
scale of the microstructure. As miniaturization continues, one may approach
the limits of this assumption and it may be necessary to use nonlocal models,
as explained in Section 10.4. In several applications, not only is the material
subjected to mechanical loading, but also thermal strains, phase transitions,
etc., may take place simultaneously. One of the methods discussed in Section
10.2, based on eigenstrains or transformations, is ideally suited to incorporate
such effects; this is discussed in Section 10.5.

958 Lemaitre
The elementary mechanisms may be observed by microscopes of different

kinds, from which it is possible to deduce simple laws, such as the Schmitt
slip law in plasticity, the friction law, or the decohesion law. There quantitative
identification is difficult because direct measurements at microscale are often
impossible to perform. Microhardness and nano-indentation tests on metallic
crystals or pullout tests of fibers in composites or microtension tests are used
but accuracy is poor. Often the only way is an indirect identification from tests
at mesoscale.
It is inherent to homogenization that it applies to deformation behavior but
not to fracture since this is a localization phenomenon. However,
homogenization techniques have been developed to describe the influence
of damage inside the material, treated as an evolving additional constituent.
For laminate composites, this is demonstrated in Section 10.6, while Section
10.7 is concerned with the behavior of ceramic matrix composites. Section
10.8 is an example of an actual failure analysis, rather than a damage
approach, to materials with a particular microstructure.
The special case of reinforced polymers at their viscous state during
extrusion is treated in Section 10.9. Finally, biomechanics using similar tools is
described in Section 10.10 for bones and in Section 10.11 for soft tissues.
SECTION 10.2
Background on
Micromechanics
ERIK VAN DER GIESSEN
University of Groningen, Applied Physics, Micromechanics of Materials, Nyenborgh 4,
9747 AG Groningen, The Netherlands
Contents
10.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 959
10.2.2 Basic Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . 960
10.2.3 Homogenization Techniques . . . . . . . . . . . . . . 962
10.2.3.1 Mean-Field Approaches . . . . . . . . . . . . 963
10.2.3.2 Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . 965
10.2.3.3 Cell Methods . . . . . . . . . . . . . . . . . . . . . . 965
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 967
10.2.1 INTRODUCTION
Although the precise origin is not clear, the term micromechanics is usually
associated with the description of the overall behavior of heterogeneous
materials such as composites.
This section summarizes some basic notions and results taken from reference
books such as Nemat-Nasser and Horii [9] and Suquet [10], which will serve as
background for the more detailed contributions in the rest of this chapter.
Many of the articles in this chapter use the direct notation of tensors,
denoted by boldface letters. For example, a second-order tensor is denoted by
a, with components aij on an appropriate Cartesion basis {ei}. The inverse is
denoted by a superscript - 1 , while a superscript T or t denotes the transpose.
The dot product is usually used for operations like a . n = ~ijnjei, but for the
product of a second-order and a fourth-order tensor we simply write L e -
Lijklc,kleiej (although some authors write the same as L:e). The dyadic or
tensorial product of two vectors, ab, is a second-order tensor with
components aib).

960 van der Giessen
10.2.2 BASIC CONCEPTS
Almost all engineering materials are inhomogeneous at some length scale; i.e.,
they consist of different phases or constituents. Depending on the material and
on the scale of observation, the material's microstructure can be granular, such
as for a polycrystalline metal, or can be viewed as a composite with one phase
serving as a matrix in which the other phases are embedded as inclusions:
particles, fibres, voids, etc. Composite modeling, as discussed in this chapter,
becomes relevant when the typical dimension d of the phases is much smaller
than L, the characteristic length of the body under consideration or the
"wavelength" of its loading (Fig. 10.2.1). This then leads to a decoupling of
the two scales so that:
9 spatial variations in the stress and strain fields at the microstructural

scale, denoted by tr(x) and a(x), respectively, influence the macroscopic
response only through their averages;
9 gradients of macroscopic fields, such as E(X) and E(X), and
composition are not significant for the response at the microstructural
scale.
The coupling between the continuum descriptions at the two scales is

provided by the appropriate averaging, denoted by brackets:
E=(tr}, E=(~} (1)
The averaging is performed over a representative volume element (RVE)
(Fig. 10.2.1). This RVE has to be (i) large enough so that statistically
meaningful averaging over the microstructure is possible, i.e., l >> d, but (ii)
small enough that macroscopic gradients can be neglected, i.e., l << L. Once
the RVE has been identified (region ~), averaging can be carried out in terms
of volume averages; for example,
1 f~ q(x)dV (2)
Since the stress and strain fields a(x) and a(x) satisfy equilibrium and
compatibility, respectively,
div a = O, ~ = l(Vu + Vur) (3)
the macroscopic stress and strain can be expressed in terms of the traction
fields t(x) and the displacement fields u(x) over the boundary c3~2of the RVE
(with unit outer normal n):
Z = (~1 = -~1 L (xt + tx)dA, E = <.> = 1 / ~ (un + nu)dA (4)

10.2 Background on Micromechanics 961
FIGURE 10.2.1 A body made of an inhomogeneous material can be represented as its

macroscopic scale X as a continuum when its characteristic length scale L is much larger than the
characteristic dimension of the microstructure d. The macroscopic continuum then describes
the average behavior of representative volume elements (RVEs) of the inhomogeneous material at
the microscopic scale x.
It is sometimes convenient to decompose the total volume of the RVE into

the volumes ~(r) (sometimes denoted ~ ) of each phase r. Averages can then
be c o m p u t e d also over each phase separately; for example,
_ 1~
(q)r - n(r) (rl q ( x ) d V
With the aid of such phase averages, the total average (q) according to Eq. 2
can be rewritten as
(q) - ~ c(r)(q)~ (6)

Y
where c (r) is the volume fraction of phase r.

962 van der Giessen
10.2.3 HOMOGENIZATION TECHNIQUES
Once the averaging is defined, the major challenge is to compute the

microscopic fields for a given microstructure. We summarize a few of the most
well-known approaches for linear materials; Section 10.3 will discuss some
approaches for nonlinear materials.
For linear elastic materials, the microscopic fields depend linearly on the
corresponding macroscopic fields. This is expressed as
~,(x) = A(x)E, or(x) = B(x)E (7)
in terms of the fourth-order localization or concentration tensors A and B for
strain and stress. From Eq. 4, it follows that
(A(x)) = (B(x)) = II (8)
with I! the fourth-order unit tensor with Cartesian components c~ijc~kz.The
problem thus is to find these localization tensors for the given microstructure.
When these are known, the overall constitutive law can be readily obtained.
When the microscopic elasticity (Hooke's law) is written as
~(x) = L(x)e,(x) (9)
with the moduli L(x) being piecewise equal to one of the phase moduli L (r),
the overall constitutive law is
Z,-L*E (10)
where the overall or effective stiffness tensor L* is given by
L* -- (LA) -- ~ c(r)L(r)A (r) (11)
r
with A (r) -- (A)r. Equivalently, when the microscopic constitutive equation is

given in terms of the compliance tensor M,
~(x) = M(x)tr(x) (12)
the macroscopic equations become
E=M*Z, (13)
with the overall, effective compliance tensor M* given by
M* - - ( M B ) - E c(r)M(r)B(r) (14)
l"
Thus the remaining challenge is to find the localization tensors A or B.

Since realistic microstructures tend to be so complex that closed-form
solutions are beyond the present capabilities, numerous approximate
techniques have been proposed. Some of these, usually referred to as mean-
field methods, treat only the phase-average localization tensors A (r) or B (r),
since these are sufficient to compute the effective moduli; cf. Eqs. 11-14.
Methods which actually compute A ( x ) or B(x) evidently provide more details
about the microscopic fields, but are practically always numerical. We
mention a few of the most popular ones.
10.2.3.1 MEAN-FIELDAPPROACHES
There are many practical examples of composite materials in which the

volume fraction of inclusions in the matrix is so small that the interaction
between the inclusions can be neglected. Hence, in such so-called dilute cases,
the inclusion can be considered to live in an infinite matrix. This allows us to
make use of some central results by Eshelby [3] for inclusions in a matrix
with the same elastic properties but with an eigenstrain in the inclusions
through the concept of equivalent homogeneous inclusions. This involves
replacing the inhomogeneous inclusion of the composite with a homogeneous
inclusion having the proper eigenstrain or transformation strain (see further in
Section 10.5). When the inclusions are modeled as ellipsoids (including
spheres as well as discs and needles as limiting cases), Eshelby's [3] key result
is that the strains inside such inclusions are uniform and related to the
unconstrained eigenstrain through a fourth-order tensor S. Hence, the
localization tensors A (i) and B (i) in the inclusions (r = i; r = m for the
matrix) are uniform. It can be shown [6] that they are given by
A (i) -- [I + S M ( m ) ( L (i) - L(m))] -1, B (i) -- L(i)[I q- S M ( m ) ( L (i) - L(m))]-lM(m)
(15)
This is enough for two-phase systems to determine the overall moduli as
L * = L(m) + c i (L(i) _ L(m))A(i) (16)
since the phase-average localization tensors in the matrix are correlated

because of Eq. 8.
The Eshelby tensor S here depends only on the properties of the matrix and
on the shape of the inclusions. Explicit expressions can be found in, e.g.,
Reference [8]. For instance, the Cartesian components Sijkl for spherical
inclusions in an isotropic matrix with bulk modulus k (m) and shear modulus
~(m) are
(17)
964 van der Giessen
with
3k(m) 6(k(m) + 2/*(m)) (18)

= 3k (m) + 4#(m) ' fl = 5 - ( 3 ~ ) + 4/z(m))
With these, the overall bulk and shear moduli, k* and #*, are obtained from
Eq. 16 as
c(i) (k(i) - k(m)) #(m) c(i) (#(i) _ lz(m)) (19)

k* = k (m) + 1 + o~(k(i)/k(m) - 1)' #* = + 1 + fl(#(i)/la(m) _ 1)
The dilute approximation loses accuracy when the inclusion volume

fraction is larger than several percentages (depending on the contrast, i.e., the
difference between L (i) and L(m)). Then, the interaction between inclusions
must be accounted for. The Mori-Tanaka method [7] uses an approximation for
this by using the Eshelby equivalent inclusion concept but replacing the
actual stress on the inclusion by the matrix average stress. The most
straightforward way of proceeding [1] is to replace Eq. 7 by
~(i) a(i)o(m) ~r(i) _ n(i),.(m) (20)

-- ~ ,~dil,~ ~ ~dil v
9 .
with A'ai l and B~dil the dilute localization tensors according to Eq. 15.
Straightforward algebra to eliminate the matrix averages from these
expressions leads to the Mori-Tanaka localization tensors
A (i, = [ ( 1 - c(i')I +c(i'A(~)]-lA~iil, B (i, = [ ( 1 - c(i))I--~--c(i)B(dilJ-1B~ i) (21)
Estimates of the overall properties of porous elastic materials, i.e., those with
a relatively large contrast in properties of the "inclusions" compared to the
matrix, are useful up to void volume fractions of c (i) = 0.25.
So-called self-consistent methods were initially devised for composites, such
as polycrystals, in which it is not obvious which phase is the matrix and which
is the inclusion [6]. However, it was shown later that they deliver useful
estimates for a much wider range of materials. The key idea is to account for
inclusion interaction in an approximate manner by embedding the inclusion
not in the matrix but in a medium with the overall elastic moduli. Thus one
uses, for example, the dilute estimate (Eq. 16) rephrased as
Lsc = L (m) + ci(L (i) - L(m))A * (22)
with A* now being a function of the elastic moduli Lsc of the composite.
Hence, Eq. 22 is implicit and has to be solved iteratively. Alternative more
elaborate versions have been derived subsequently, see for example [9, 2].
10.2.3.2 BOUNDS
According to Eq. 11, the overall modulus L* is not simply the (Voigt or
Taylor) average (L(x)) of the microscopic modulus tensor. A similar
conclusion holds for the (Reuss or Sachs) average ( M ( x ) ) in relation to
M*--(L*) -1. However, it follows from minimum potential energy and
minimum complementary energy considerations that the two averages do
(
provide bounds on the actual overall modulus:
(M) -1 -- ~ c(r)M (r)

)_1
~ L* ~ (L) -- ~ c(r)L (r) (23)
y Y
Much tighter bounds on the actual overall modulus can be obtained from a
variational principle due to Hashin and Shtrikman [4]. The details are beyond
the scope of this section, but the key idea is (i) to estimate the average strain
in each phase r by treating it as an ellipsoidal inclusion in a reference matrix
with elastic modulus L~ as discussed previously; (ii) to use these as trial
solutions in variational theorems. The classical Hashin-Shtrikman bounds
apply to composites with a statistically isotropic distribution of particles, and
Willis [11] has generalized the approach to more general cases.
10.2.3.3 CELLMETHODS
The actual calculation of the microfields is frequently carried out by cell

methods. The starting point is the idea that the fields at the microscale can be
computed if the RVE with the distribution of phases is modeled as a body
subjected to boundary conditions that are consistent with the macroscopic
state. There are two distinct approaches: either one prescribes the boundary
displacements u(x) in accordance with the macroscopic strain E as
u(x) = E . x oncg~ (24)
so that Is(u)) = E, or one prescribes uniform boundary tractions,

t(x) = E . n(x) on0fl (25)
so that ( t r ( t ) ) - E. In either one of these boundary conditions, Hill's [5]

lemma holds:
(trg) = EE (26)
But Eqs. 24 and 25 are not equivalent (except in the limit d / l ~ 0) and will
only give the same fields away from a boundary layer (more on this in Section
10.4).
966 van der Giessen
FIGURE 10.2.2 a. A unit cell in a material with a periodic distribution of phases, b. A unit cell
(dashed square) that has two reflection symmetries. Only a quarter (solid square) needs to be
analyzed, by imposing periodic and symmetric boundary conditions on the periodic (~) and
symmetric (~r) boundaries.
By definition, the RVE contains many phases, which makes the

computation usually impractical. If the distribution of phases exhibits
symmetries, these can be used to define a much smaller u n i t cell. Numerical
solution of the microscopic fields in such cells may be quite feasible with
current computing facilities to very high degrees of accuracy. In case of
periodic microstructures, the microfields are periodic, and the proper
boundary conditions are
u(x) - - E . x 4- u * onc~f~ (27)
with the fluctuations u* prescribed periodic (see Fig. 10.2.2a). For these
boundary conditions, there are no boundary layer artifacts, and Hill's lemma
(Eq. 26) continues to hold.
In particular cases, even simpler boundary conditions can be applied. The
most well-known ones are the symmetry boundary conditions. These apply to
(i) unit cells that have reflection symmetries (ii) under macroscopic states
that respect the same symmetry. A typical example is shown in Figure 10.2.2b
for a composite with a square packing of particles (in two dimensions; fibers
in three dimensions) subject to a macroscopic strain with principal directions
coinciding with the directions of packing. Periodic boundary conditions in
s u c h a case i m p l y t h a t t h e cell b o u n d a r i e s remain straight; the symmetry

b o u n d a r i e s r e m a i n s t r a i g h t b e c a u s e of s y m m e t r y .
REFERENCES
1. Benveniste, Y. (1987). A new approach to the application of Mori-Tanaka's theory in composite

materials. Mech. Mater. 6: 147-157.
2. Christensen, R. M. (1979). Mechanics of Composite Materials, New York: John Wiley & Sons.
3. Eshelby, J. D. (1957). The determination of the elastic field of an ellipsoidal inclusion and
related problems. Proc. Roy. Soc. Lond. A241: 376-396.
4. Hashin, Z., and Shtrikman, S. (1963). A variational approach to the theory of the elastic
behavior of multiphase materials. J. Mech. Phys. Solids 11: 127-140.
5. Hill, R. (1963). Elastic properties of reinforced solids: Some theoretical principles. J. Mech.
6. Hill, R. (1965). A self-consistent mechanics of composite materials. J. Mech. Phys. Solids 13:
213-222.
7. Mori, T., and Tanaka, K. (1973). Average stress in the matrix and average elastic energy of
materials with misfitting inclusions. Acta Metall. 21: 571-574.
8. Mura, T. (1987). Micromechanics of Defects in Solids. Dordrecht: Martinus Nijhoff.
9. Nemat-Nasser, S., and Hori, M. (1993). Micromechanics: Overall Properties of Heterogeneous
Materials, Amsterdam: North-Holland.
10. Suquet, P (1997). Continuum Micromechanics. CISM Lecture Notes 377.
11. Willis, J. R. (1977). Bounds and self-consistent estimates for the overall properties of
anisotropic composites. J. Mech. Phys. Solids 25: 185-202.
SECTION 10.3
Nonlinear Composites:
Secant Methods and
Variational Bounds
PIERRE M. S UQUET
LMA/CNRS 31 chemin Joseph Aiguier, 13402, Marseille, Cedex 20, France
Contents
10.3.1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . 969
10.3.2 Secant Methods . . . . . . . . . . . . . . . . . . . . . . . 970
10.3.2.1 N o n l i n e a r Local P r o b l e m . . . . . . . 970
10.3.2.2 L i n e a r i z a t i o n . . . . . . . . . . . . . . . . . . . 971
10.3.2.3 Secant M e t h o d s in G e n e r a l . . . . . 972
10.3.2.4 A Secant M e t h o d Based o n
F i r s t - O r d e r M o m e n t s (Classical
Secant M e t h o d ) . . . . . . . . . . . . . . . . 973
10.3.2.5 A Secant M e t h o d Based o n
Second-Order Moments
(Modified Secant M e t h o d ) . . . . . . 974
10.3.2.6 E x a m p l e : D e f o r m a t i o n T h e o r y
of Plasticity . . . . . . . . . . . . . . . . . . . . 975
10.3.3 V a r i a t i o n a l B o u n d s . . . . . . . . . . . . . . . . . . . . 978
10.3.3.1 Effective Potentials . . . . . . . . . . . . . 978
10.3.3.2 B o u n d s . . . . . . . . . . . . . . . . . . . . . . . . 978
10.3.3.3 C o n n e c t i o n w i t h the Secant
M e t h o d Based o n S e c o n d - O r d e r
Moments ...................... 981
Acknowledgements ........................... 982
References .................................... 982

10.3 Nonlinear Composites: Secant Methods and Variational Bounds 969
10.3.1 INTRODUCTION
The problem addressed here is that of the effective behavior of nonlinear

composites. By composites we understand not only man-made materials but
also all types of inhomogeneous materials which are ubiquitous in nature
(polycrystals, wood, rocks, bone, porous materials).
Consider a finite volume element V of such a composite material, large
enough to be representative of the composite microstructure and nevertheless
small enough for the different phases (grains or different mechanical phases)
to be clearly distinguished. This representative volume element (RVE) V is
composed of N distinct homogeneous phases Vr, r = 1 , . . . , N, the behavior
of which is characterized by a nonlinear relation between the (infinitesimal)
strain and stress fields, ~ and a,
~(x) -- ~(r)(a(x)) when x is in phase r (1)
This constitutive relation corresponds either to nonlinear elastic behavior

within the context of small strains, or to finite viscous deformations when ~ and
a are interpreted as the Eulerian strain rate and Cauchy stress, respectively.
When the RVE V is subjected to an average strain ~, it reacts to this strain
by an average stress 8. The relation between 8 and ~ is the effective
constitutive relation of the composite.
The question addressed here is: Can predictions be made regarding
this effective constitutive relation, given the constitutive relations of the
phases and some (often limited) information about the composite micro-
structure?
When the phases are linear, there exists a large body of literature
partially answering this question. However, when the phases are nonlinear,
there are very few really nonlinear schemes to analyze the global, as
well as the local, response of nonlinear composites. Most methods are
heuristic and are extensions or modifications of the secant method (which we
will discuss in Section 10.3.2) and of the incremental method (which we
will not discuss here). Most of these schemes proceed in three successive
steps:
1. First, the constitutive relations of each individual phase are linearized in

an appropriate manner. This is done pointwisely and serves to define a
linear comparison solid with local elastic moduli which, in general, vary
from point to point.
2. Then, the problem is reduced to that of estimating the effective
properties of a linear comparison solid with a finite number of phases. To
this aim, an approximation is introduced by assuming that the local
moduli are piecewise uniform. In most cases (but not all), the regions
970 Suquet
where the moduli are uniform are precisely the domains occupied by
the material phases.
3. Finally, the effective linear properties of the linear comparison solid are
estimated or bounded by a scheme which is relevant for the type of
microstructure exhibited by the linear comparison solid. These linear
effective properties are used to estimate the nonlinear effective
properties of the actual nonlinear composite.
Following the seminal work of J. Willis [1], more rigorous results, namely,
bounds for the nonlinear effective properties of composites, have been
developed in the past ten years by Ponte Castafieda [2], Willis [3], and Suquet
[4], among others. Ponte Castafieda's variational procedure [5], which will be
briefly recalled in Section 10.3.3, is probably the most rigorous bounding
theory available to date. Other methods, less rigorous but sometimes more
accurate - - for instance, the second-order procedure of Ponte Castafieda [6]
or the affine procedure of Masson and Zaoui [7] - - w i l l not be discussed here.
Some connections do exist between the heuristic secant methods and the
more elaborate bounding techniques, and we will briefly outline them in
Section 10.3.3.3, following Suquet [8, 9]. More details can be found in the
review papers by Ponte Castafieda and Suquet [10] and Willis [11] (see also
several contributions in Reference [12]).
10.3.2 SECANT METHODS
10.3.2.1 NONLINEARLOCAL PROBLEM
The local stress and strain fields within V are solutions of the local problem
consisting of the constitutive equations (Eq. 1), the compatibility conditions
satisfied by ~, and the equilibrium equations satisfied by a:
~(x) -- f#(~)(a(x)) in phase r, ~ -- ~I(Vll -~- V I I t) div(a) - 0 in V (2)
Several classes of boundary conditions can be considered on ~V (all

conditions being equivalent in the limit of a large RVE under appropriate
growth conditions on the functions f#(r)). For definiteness, we will assume
uniform tractions on the boundary er(x).n(x)= ~.n(x)on ~V. Once Eq. 2 is
solved (at least theoretically), the spatial average ~ of the strain field g can be
taken:
-(g), where (.)-~ .dx

Then the relation between this average strain and the imposed average stress
defines the effective constitutive relation of the composite:
-- ff(~) (3)
10.3.2.2 LINEARIZATION
It is in general impossible to solve the nonlinear local problem (Eq. 2) exactly.

Therefore, a first step in most nonlinear schemes is to write the constitutive
relations (Eq. 1) in the form (the reference to the phase is implicit here):
~(x) = M(~r(x)) : ~r(x) + t/(x) (4)
where M and t/have to be specified. Two particular choices, giving rise to two
broad classes of models referred to as secant and tangent models and
schematically depicted in Figure 10.3.1 (several different choices are reviewed
in Gilormini [13]), correspond respectively to the following linearlizations:
secant : M ( ~ ( x ) ) = Msct(~(x)), t/= 0 (5)
and
tangent : M ( ~ ( x ) ) ~- Mtgt(cr(x)), I1 = eo (6)
Note that there are several choices for Msc t in (Eq. 5) for which
Consequently, the secant moduli are not uniquely defined
Msct(O') : o" - - ~ ( o ' ) .
FIGURE 10.3.1 Secantand tangent moduli in a tensile uniaxial test. The secant and the tangent
compliance are the inverse of the secant and tangent stiffness Lsct and Ltgt, respectively.
972 Suquet
(this observation was made by Gilormini [13]). The tangent moduli are
defined (uniquely in general) a s Mtgt(~r) = d~(a)/da.
We will not discuss the second choice (Eq. 6), namely, the class of tangent
methods (the interested reader is referred to References [6, 13, 14] for
additional details).
10.3.2.3 SECANT METHODS IN GENERAL
Using the equivalent writing (Eq. 5) of the constitutive relations (Eq. 1), the
local problem (Eq. 2) can be reformulated as
8(x) - M~(a(x)) 9a(x) in phase r, ~ - 89 + Vut), div(a) - 0 in V

(7)
This problem can be considered a linear elasticity problem for a composite
with infinitely many phases, since the moduli M~rc~(~(x)) may vary from point
to point. Equation 7 is therefore not simpler than the original (Eq. 2). A
simplifying assumption is introduced by assuming that the secant moduli
take piecewise uniform values M (r) on subdomains Wr, r= 1 , . . . , M,
which coincide with, or are contained in, the physical domains Vr. For
simplicity we will assume in the following that the domains Wr and Vr
coincide.
In addition, the uniform moduli are assumed to be evaluated at some
"effective stress" 8 (r) for the phase r:
M - (8 )
The simplified secant problem now consists of the following:

~(x) = M (r) 9a(x)in phase r, ~ l ( V u + Vut), div(a) - 0 in V (9)
Assuming for a moment that the M(r)'s are given, Eq. 9 is a problem for a
linear N-phase composite called the linear comparison composite. The
determination of the M(r)'s is made possible through Eq. 8. These relations
involve the effective stress 8 (r) (which has not been specified yet, but this will
be done in the next two paragraphs), which itself depends on the average
stress 8. Therefore, Eq. 8 is a closure condition which renders the problem
nonlinear.
In summary, any secant method involves three steps:
1. A linear theory providing an expression for M as a function of

the moduli M (r) of the individual phases in the linear comparison
solid.
2. The resolution of N nonlinear tensorial problems for the N unknown

tensors M (r)"
M(r) _ ~l(r)
9,Lsct (~(r)) ~ tT(r) - - function of {M (r) }r-1 ,..., N and (10)
Note that these equations depend on the particular expression

("function of") chosen for the effective stress F(r). Different choices
give rise to different secant methods.
3. Once the N nonlinear tensorial problems (Eq. 10) are solved, the overall
stress-strain relation is given by
-- M 9 t~ (11)
where /~/ is the effective compliance derived by means of the

linear theory of step 1 from the individual moduli M (r) as determined
in step 2.
10.3.2.4 A SECANT METHOD BASED ON FIRST-ORDER

MOMENTS (CLASSICAL SECANT METHOD)
It remains to define the effective stress F(r). In the classical secant method, this
effective stress is set equal to the average stress over phase r (it should be
emphasized that the stress field under consideration is now that in the linear
comparison solid):
~(r) __ t~(r) __ (O.)r ' where (')r-- ~-~ . dx (12)

r
This "first order moment" of the stress over phase r can be expressed in terms
of the overall stress 8 by means of the "stress-localization" tensor B(r)"
~(r)_ (B)r . ~ (13)
Most linear theories provide (more or less) explicit expressions for the
"stress-localization" tensors B(r) as functions of the individual compliances
M (r). A typical example will be given in following text. Equation 13 completes
Eq. 10.
974 Suquet
1 0 . 3 . 2 . 5 A SECANT METHOD BASED' ON SECOND-

ORDER MOMENTS (MODIFIED SECANT METHOD)
The classical secant method has several serious limitations. One of them is
illustrated by its unphysical prediction for the response of nonlinear porous
materials under hydrostatic loadings. Consider an RVE composed of an
incompressible matrix with voids and subject to an hydrostatic stress. The
average stress in the matrix is hydrostatic (the average stress in the voids is 0).
Since the matrix is incompressible, it is insensitive to hydrostatic stresses.
Therefore, the secant compliance associated with a purely hydrostatic stress
by Eq. 12 always coincides with the initial compliance (under zero stress) of
the material. The secant method applied with Eq. 12 predicts a linear overall
response of the porous material. However, the actual response of the porous
material is nonlinear, since the local stress state in the matrix is not
hydrostatic (analytic calculations can be carried out on the hollow sphere
model to prove this point explicitly), even if the average stress is hydrostatic.
The occurrence of shear stresses in some regions of the RVE introduces
nonlinearities both in the local and overall responses of the RVE which are not
taken into account by Eq. 12.
This observation has motivated the introduction of theories based on the
second moment of the stress field, in particular form by Buryachenko [15], in
approximate form by Qiu and Weng [16], or in general and rigorous form by
Suquet [8] and Hu [17]. It is indeed observed that in many cases of interest
the secant compliance Msct depends on the stress through the "quadratic
stress"
Msct(tT) -- Msct(~cP), where 5P - 89t7 | tT (14)
Therefore, rather than expressing M (r) in terms of an "effective stress" t~(r), one
can express M (r) in terms of an effective "quadratic stress" ~(r). A very natural
choice for this effective quadratic stress is
5t' ( r ) - (ft')r= 89 | ~)r (15)
This effective "second-order moment" of the stress over phase r has definite
advantages over the first-order moment used in the classical secant method.
For instance, it better accounts for local fluctuation of the stress. To see this,
~ (r)
note that ~ i j i j - (~Oc~ij)r 9 Therefore, as soon as ,7 is nonzero in a (non-
negligible) region of phase r, the second-moment ~(r) of the stress does not
vanish. In particular, the overall response of porous materials under
hydrostatic loading, as predicted by the secant method based on the
"second-order moment," is nonlinear (as it should be) and close to the exact
solution [16]. The modified secant theory consists in solving Eq. 10 together
with the definition (Eq. 15) of the effective stress of phase r.
10.3 Nonlinear Composites: Secant Methods and Variational Bounds 9 75
In practice, one has to compute ~(r) for the linear comparison solid. This
can be done analytically by means of a result previously used in different
contexts by several authors (see, for instance, Kreher [18]).
Consider a linear composite composed of N homogeneous phases with elastic
compliance M (r). Let ]~'I(M(1),..., M(r),..., M (N)) be the overall compliance
tensor of this composite, and let tr denote the stress field in this linear composite.
Then:
1 ~4
(tr | tX)r= c-~ t~ 9c~M(r) " ~ (16)
A detailed proof of this result can be found in References [9, 18] (among
others).
In conclusion, the nonlinear systems of equations to be solved to complete
step 2 of the secant method read as:
,.~a(r) _ 1 c~]Vl
8" c~M(r) " G, M (r) -- '/l(r)
9,LSCt ( ~ ( r ) ~/ (17)
2c(r) k
1 0 . 3 . 2 . 6 EXAMPLE: DEFORMATION
THEORY OF PLASTICITY
A rather general form of stress-strain relations for isotropic elastic-plastic

materials in the context of a deformation theory is given by the following:
-~+~P,
~r trm
- - f f i + ~
s ~P=
3 p (r s
(18)
2#0' 2 G~q
where Crm-(1/3)tr(~r) is the hydrostatic stress, ereq-[(3/2)s" s] 1/2 is
the von Mises equivalent stress (s being the stress deviator), and p(Geq) is the
inverse of the plastic hardening curve Cr~q(p) of the material. An alternate
writing of Eq. 18 is
1'!1 Osct(Geq) K (19)

~, - M~a(o) " ~r, with Msct(~r) -- -~ J - - F ~
where
1 1 1 3p(Creq)
-- = ~ = + ~ (20)
and where J and K are the fourth-order tensors which project any second-
order tensor on its hydrostatic and deviatoric parts:
j-li| K-I-J
976 Suquet
i and I being the identity for symmetric second-order and fourth-order

tensors, respectively.
Since we will be manipulating isotropic tensors throughout this section,
simplified (and classical) notations will be helpful. Any isotropic fourth-order
tensor B with minor and major symmetries can be decomposed as
B "- bm J -4- baevK, where bm = B :: J and ba~ = (1/5)B :: K. We use the
compact notation B - {bm, ba~}. The algebra over isotropic (and symmetric)
tensors is then very simple: for two such tensors B and C, one has B :: C -
{bmcm, ba~vCa~} and (B) - 1 - {(1/bm), (1/ba~)}.
The response of the phases as described by Eq. 19 is linear for purely
hydrostatic loadings (characterized by a constant bulk modulus k), and
nonlinear in shear (characterized by a stress-dependent secant shear modulus
#set). Note that Msct, which depends on tr through ~req only, is indeed a
function of the quadratic stress 5p defined by Eq. 14. Indeed, ~req is itself a
function of 5P: treq - (3 s " s) 1/2 - (3K :: 5~) 1/2.
Consider now a two-phase material, where both phases are elastic-plastic
and obey the constitutive relations (Eq. 19) with different material constants.
We further consider the case where the phases in the composite are arranged
isotropically in a particle-matrix configuration, corresponding, for instance,
to the case of spherical particles of phase 1 randomly distributed in phase 2
(which is the matrix). The linear comparison composite is a two-phase linear
composite with the same microstructure as the initial nonlinear composite
and with isotropic phases characterized by a compliance tensor
M (r) = {m(r)/3, o(r)/2}.
Regarding the first step of the three-step procedure outlined previously,
namely, a theory for the effective properties of the linear comparison solid, the
Hashin-Shtrikman formalism is known to provide, in most cases, an accurate
estimate of the effective properties of isotropic linear composites with
particle-matrix microstructure. The corresponding estimate reads as
/~ : M (2) + c (1)(M ( 1 ) - M (2)) " B (1), B (1) : (I--I- c(2)~ " (M ( 1 ) - M (2)))-1
(21)
where c(1) and c(2) are the phase volume fractions and where Q - {3qm, 2qaev}
with
1-~ 1-fl 3k (2) 2 3k (2)+6# (2)
qm m(2), qa~ 0(2) , ~ 3k(2)+4#(2 ), fl ~3k(2 ) + (4/3)#(2)
Then, the effective compliance/~1 = {rh/3, 0/2} and the stress-localization

tensors B(r) {b(mr), h(r)}
W,d g v
read, respectively:
b~ ) _ 1
1+ C(2)qm(m (1) - - /11(2)) ' b(ml) -- 1 + c(2)qae~(0 ( 1 ) - 0(2)) '
1(1- c(1)b(ml)), aev

1(
c-~ 1 - c (1)h(1)
L,,de V
) 9
Regarding step 2 of the procedure, namely, the non-linear equation which

stems from the choice of the "effect stress," the classical method makes use of
the average stresses ~(r) = B(0 : 8. However, since Msct(a) depends on ~r only
through the von Mises stress, the only useful information in the average stress
is the von Mises equivalent stress F~q)- ~,ae~Creq.h(r)-
Therefore, the nonlinear
equations to be solved in the classical secant method read
1 3p(r) (t~;) )
0(r) __ /~(r)
" sct (t~;)) -- ~0r) .~t- tT~;) , (~;) __ .(r) -
Ddev O'eq (22)
where the coefficients h(r)

~'aev depend on the 0 (r) (this is where the nonlinearity
comes into play).
As for the secant method based on the "second-order moment," using
again the fact that the secant compliance depends on the stress only through
the von Mises stress, it is sufficient to compute the following quantities
.'31/2 These quantities can be calculated by means of Eq. 16. The
~r- -- (~Te2q]r
resulting nonlinear systems of equations finally read (see Suquet [9] for
more details):
/ =(r)'~ 1 3P (r) f =(r)'~

oCr) ~](r)
"scttCYe q ) -- - ~ + "(r) ' ~Teq Ddev(Yeq'
r eq
_-(2) bt~ev )1/2
(23)
a -- r
3
-
c(X)m(1)b m(1)2 - c(2)m(2)b(2m)2
)
b __
r ) "dev -- 5 dev 30(2) _~_~m(2))
Note that the effective stress in phase 2 (matrix) is now sensitive to the overall
hydrostatic pressure (which is not the case in the classical secant method).
978 Suquet
10.3.3 VARIATIONAL BOUNDS
10.3.3.1 EFFECTIVE POTENTIALS
In this section it is further assumed that the constitutive behavior of the

individual phases derives from a potential, or strain-energy function w(e), or
equivalently a stress-energy function w*(~r), in such a way that the
(infinitesimal) strain and stress fields, e and a, are related by
c~w*
~- (~), or equivalently ~ = --~-(~),
with w(~) + w* (a) = tT : (24)
In the composite, the potentials w and w* de~pend on the phase under

consideration (and are denoted by w (r) and (w (r)) , respectively).
The solutions u and ~ of the local problem (Eq. 2) have variational
properties which are essential to deriving bounds on the effective energy
of nonlinear composites. These properties, called minimum energy principles,
also permit us to define the effective potentials of the composite. For
simplicity, we shall only consider here the "minimum complementary-energy
principle":
v~*(~)- inf <w*(~)>, ~ f ( ~ ) - {~, d i v ( ~ ) - O i n V , T.n-~.nonc~V}

~(~)
(25)
It can be checked [10] that the effective constitutive relations obtained by
averaging the strain field solution of Eq. 2 or equivalently Eq. 25 derives from
the potential v~*, which is therefore the effective complementary-energy of the
composite:
- --~(e).
10.3.3.2 BOUNDS
10.3.3.2.1 Ponte Castafieda's General Theory
To obtain bounds on the effective potential v~* which are sharper than
the Voigt and Reuss bounds, we introduce an inhomogeneous linear com-
parison composite with compliance M(x) and complementary-energy
w o (x, v ) - 89v " Mo(x) " T. Writing w* as w* - w o 4- w o , one obtains
~*(8)-- inf (w*(~)= inf ( ( ( w * - w o ) ( ~ ) ) 4 - ( w o(~)))
> ( inf (w o ('t))'~ - (v(x, Mo(x))) (26)

\~x(~)" "j
= (Mo, V(Mo)
where Wo is the effective complementary energy of the linear comparison

solid and
v(x, Mo(X)) -- sup [Wo (x, r ) - w* (x, z)], V(Mo) - (v(x, Mo(x))) (27)
,r
Since Eq. 26 is valid for any choice of Mo(x), one has
;,* sup (Mo, - V(Mo)] (28)

M0(x)>0
The inequality (Eq. 28), due to Ponte Castafieda, gives a rigorous bound I on
the nonlinear effective properties of the composite (through the potential ~ * )
in terms of two functions:
9 Wo (M0, i f ) _ 1 8 " /~/0 " F is the elastic energy of a linear comparison

composite made up of phases with compliance Mo(x) at point x; the
linear comparison solid is chosen among all possible comparison
composites by solving the optimization problem (Eq. 28). The difficulty
lies in the precise determination of the energy Wo for a linear
comparison solid consisting of infinitely many different phases.
9 The role of v(x, .) is to measure the difference between the nonquadratic
potential w*(x, .) and the quadratic energy Wo(X, .) of the linear
comparison solid. This function is difficult to compute in general, but a
bound can be easily computed for the class of materials considered in
following text.
The problem of bounding the effective properties of a linear composite

with infinitely many phases being too difficult, we reduce it by minimizing
over a smaller set of compliance fields Mo(x), namely, those fields which
are uniform on each subdomain Vr. With this smaller set, the supremum
1For a broad class of material behavior (discussed in Section 10.3.3.3), the inequality (Eq. 28)
is in fact an equality and is strictly equivalent to the variational characterization of ~* given in
Eq. 25.
980 Suquet
in Eq. 28 even smaller:
sup
M(or)>O r--l, ..., N r=l ..... N /
(29)
The linear comparison composite is now an N-phase composite, with

compliance M(0r) uniform throughout phase r. There is a similarity (and even
more, as will be discussed in the next paragraph) with the secant methods in
that a linear comparison solid is introduced in both approaches. Note,
however, that here the elastic moduli in the linear composite are determined
by means of an optimization procedure, whereas they were deduced from the
(somehow arbitrary) choice of an effective stress in the case of the secant
method. This optimization procedure leads to a rigorous bound for the
potential ~*.
Remark: Most of the nonlinear bounds available to date are bounds on the
energy of the composite. Only in specific situations do these bounds give
bounds on the stress-strain relations of the composite. This is the case for
power-law materials for which, due to the Euler theorem for homogeneous
functions of degree n + 1, one has 8 : ~ = (n + 1)~* (8). Therefore, any bound
on ~* gives a bound on the overall strain ~ in the direction of the applied
stress 8. However, no information on the other components of the strain is
provided. Interestingly, a method for bounding directly the stress-strain
relation has been recently proposed by Milton and Serkov [19].
10.3.3.2.2 Complementary Energies Depending Only on the Quadratic

Stress
We consider here a broad class of behaviors corresponding to potentials w*
which depend on the stress tensor ~ only through the quadratic stress ~ ,
w* ( ~ ) - G(~), for some appropriately chosen function G and where ~ =
~1 r | ~. G is further assumed to be a convex function of ~ . This class of
materials contains in particular all materials with a complementary energy in
the form w* (~r) - ~ ~m2 -[- ~(Creq) 9
For this class of materials, the function v(0 (corresponding to v in phase r)
can be bounded from above by
(30)
where ~= 89174
10.3 N o n l i n e a r C o m p o s i t e s : S e c a n t M e t h o d s a n d Variational B o u n d s 981
(G(r)) * denotes the Legendre transform of the convex function G(r):

(G(r)) * (M) - sup [M "" 3-- - G(r)(J-)] (31)
Y
Note that in gq. 31 the supremum is taken over all symmetric fourth-order ~-,
whereas the supremum in Eq. 30 is restricted to rank-one symmetric ~-. The
lower bound (Eq. 29) reduces to
g,*(8) >_ sup

M~,)>0
(1 8 " /VI0({M(0r)})
r = l .... , N
"8- ~--~c(r)(G(r)) * (M(0r))
r=l
)
(32)
1 0 . 3 . 3 . 3 CONNECTION WITH THE SECANT METHOD

BASED ON SECOND-ORDER MOMENTS
When the complementary energy of the constitutive phases depends only on

the "quadratic stress" ~ , the constitutive relation (Eq. 24) can alternatively be
written as
c3G
-Msa(Sf) " t~, where Msa(Sf) -- ~-~ (Sf),
(33)
0G*
or equivalently 5f - 0M (Msct)
We are now going to inspect in more detail the optimality conditions for the
moduli M(0r) derived from the optimization problem (Eq. 32). Assuming
stationarity with respect to these moduli, the optimality conditions read as
-18 " -0/~o

-"0"-- _ c(r)0(G(r')
0M */M~r)\
~ )
2 0M(oo
But according to Eq. 16, the first term in this equality is nothing other than
the average second-order moment of the stress in the linear comparison solid.
Therefore:
~f(r) 1
- ~{o" | O')r=
0M
Making use of Eq. 33, the optimally conditions finally amount to solving the
following systems of nonlinear equations:
M(or) -- M~:~(ff(r)), with ft,(r) _ (r-------51

2c o'- " 0M~r
)0/~~ . 8
This systems coincides with Eq. 17.

982 Suquet
In conclusion, it has been shown that the optimal moduli M~0r) in the
variational procedure coincide with the secant moduli M (r) determined by the
(more heuristic) secant method based on the second-order moment described
in Section 10.3.2.5. In other words, the variational procedure can be
interpreted as a secant method. It has, however, the definite advantage of
delivering a clear rigorous bound on the effective properties of the nonlinear
composite.
ACKNOWLEDGEMENTS
This paper was written while the author was a Visiting Associate at the California Institute of
Technology for the year 2000-2001. The financial support of Caltech is gratefully acknowledged.
Stimulating discussions with P. Ponte Castafieda are gratefully acknowledged.
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SECTION 10.4
Nonlocal Micromechanical
Models
J. R. WILLIS
Department of Mathematical Sciences, University of Bath, Bath BA2 7AY, United Kingdom
Contents
10.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 984
10.4.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 985
10.4.3 The Effective Relation . . . . . . . . . . . . . . . . . . 987
10.4.4 Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 988
10.4.5 Statistically Uniform Media . . . . . . . . . . . . 990
10.4.6 Gradient Approximations . . . . . . . . . . . . . . 990
10.4.7 Variational Formulation for the Effective
Medium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 991
10.4.8 Concluding remarks . . . . . . . . . . . . . . . . . . . 992
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 995
10.4.1 INTRODUCTION
Virtually any composite material has a microstructure that needs to be treated

as random. Many composites are obviously disordered: polycrystalline metal
or glass-fibre reinforced material is an example. Even composites with highly
correlated microstructures can be viewed as random. Consider, for instance,
the idealised case of a specimen comprising a matrix containing a perfectly
periodic array of identical inclusions. The spacing of the inclusions is a very
small fraction of a typical dimension of the specimen, and it is most unlikely
that the exact location of any one inclusion (in terms of which the positions of
all the others are fixed) will be known. Thus it is appropriate to regard the
specimen as one chosen at r a n d o m from a set of macroscopically identical
specimens, distinguished from one another by the exact location of one
chosen inclusion within one particular periodic cell. In practice, observation

10.4 Nonlocal Micromechanical Models 985
of stress or strain at some position x within the specimen will result in the
measurement of some average in the vicinity of x - for instance, by use of a
strain guage or some optical device. It is appropriate, therefore, to seek an
effective constitutive relation between such local averages of stress and strain.
Unfortunately, this is difficult to accomplish, and it is usual instead to seek a
relation between the ensemble means of the stress and the strain. This
expedient is adopted throughout virtually the whole of physics, and it will be
adopted without further comment here, although for composites at least the
distinction between local spatial average and ensemble average can be
confronted explicitly; it could also in principle be evaluated quantitatively in
some particular case, but no such study is known to the author.
10.4.2 FORMULATION
The composite, in general, will be taken to occupy a domain f~ and to be made

of n constituents, or phases, perfectly bonded across interfaces. The stress and
strain in material of type r (r = 1, 2,..., n) are related so that
a = Lre, ~ij = (Lr)ijklekl, (1)

the second form (in which the usual summation convention on repeated
suffixes is employed) giving the explicit meaning of the first more concise
form which will be used in the sequel. The elastic constant tensor L(x) of the
composite then takes the form
L(x)- ~ trZ~(~) (2)

r=l
where Zr(X) is the characteristic function of the region occupied by phase r,

taking the value 1 when x lies in phase r and zero otherwise. The elastic
constant tensors Lr are known and correspond to particular materials, but the
functions Zr that specify the microgeometry are random. The probability pr(X)
for finding material of type r at x, and the probability prs(X,X I) for finding
simultaneously material of type r at x and of type s at x' are
pr(X) = (Zr(X)), prs(X,x') = (Zr(X)Zs(X')), (3)

the angled brackets signifying the ensemble average. If the composite is
statistically uniform, Pr becomes a constant, equal to the volume fraction of
phase r, and P,s becomes a function of ( x - x ' ) only. (Actually, these
conditions by themselves only require the medium to be "statistically second-
order stationary.")
986 Willis
The (vector) equation of equilibrium of the actual medium is

diva+f=0, xe~2 (4)
which is to be solved in conjunction with the constitutive relation
and suitable boundary conditions applied over the boundary ~f2 of ~2.
Prescribing the displacement, u -- u ~ say, over ~2 is one possibility; another
is to prescribe the traction a . n = a ~ where n is the (outward) normal
to 0f2.
Under such conditions, the stress, strain, and displacement of the
composite are defined. They could, in principle, be determined for each
realisation of the composite and then their ensemble means calculated.
The purpose of developing an effective constitutive relation is to allow
the direct determination of the ensemble means. First, averaging Eq. 4
gives
d i v ( a ) + f = O, x ~ ~ (6)
It is assumed here that the body force f is sure, for simplicity. The more
general case of configuration-dependent body force has been treated recently
by Luciano and Willis [1]. The exact constitutive relation (Eq. 5) is replaced
by the effective relation
<~) = Left<e) (7)
where L eg is a nonlocal operator. If it were known, it is a reasonable

assumption that Eqs. 6 and 7 could be solved in conjunction with the
ensemble averaged boundary condition, either ( u ) = u ~ or < a ) - n = a0. n
over ~2.
There is, however, a serious limitation. It will be seen that the effective
nonlocal operator can be constructed in terms of a certain Green's function for
the domain ~2, and this Green's function depends on the form of the boundary
conditions. Thus, implicitly, at least the type of boundary condition has an
influence on the form of L eff. This influence will only manifest itself, however,
in some "boundary layer" in the vicinity of ~f2. Outside of this layer, L eg will
take the same form as it would in an infinite body. This is the only case for
which explicit results are known. Any attempt to use the infinite-body form
right up to the boundary 0~2 would require the replacement of the exact
(mean) boundary condition by some "effective" boundary condition, if such a
condition could be proved to have a meaning. This question has not even
been addressed to date. In the sequel, the problem will be avoided by
considering only an infinite domain, loaded by a body force f which has
compact support, coupled with the requirement that all fields should tend to
zero as Ixl ---* oo. The question of boundary conditions will be briefly returned
to at the end of the article.
10.4.3 THE EFFECTIVE RELATION
It is useful to introduce a comparison medium, with elastic constant tensor L0,

and to replace Eq. 5 by
a = Log + "c (8)
The "stress polarisation" 1: should satisfy
9( x ) = ( I . ( x ) - I . o ) e ( x ) (9)
Substituting Eq. 9 into Eq. 4 gives
div(L0e) + div 9+ f = 0, x e f] (10)
which, together with the relevant boundary condition, implies that
u- u ~ - E~oI: (11)
Here, u ~ = G0f is the solution of the problem defined by Eq. 10 together with
the boundary condition, Go representing the corresponding Green's function
operator; Er is the operator obtained from it by integration by parts to move
the operation corresponding to the divergence on 9 onto the Green's function.
Differentiating Eq. 11 with respect to x and symmetrising then gives the
expression
e = e ~ - Foz (12)
for the strain e. Explicitly, the operator Fo has kernel
c~2(G0)ik (x,
(Co)~jkz(X, x') -- ,Vx;&~ x') I'~j),~kZ) (13)
where the bracketing of suffixes implies symmetrisation. Combining Eqs. 9

and 12 now gives an equation that must be satisfied by 1: or, equivalently, an
equation that must be satisfied by e.
In the case that the medium is weakly heterogeneous, so that L(x) differs
only slightly from L0, the equation for e was solved by iteration, many years
ago, by Beran and McCoy [2]. Such analysis demonstrates that the operator
L qf is unavoidably nonlocal. Here, however, concern will be for the general
case of large fluctuations. For this purpose, it is useful to consider the
equation for 9 in the form
(L - Lo)-1"r + F o ~ = e ~ (14)
988 Willis
Averaging Eq. 12 allows e ~ in Eq. 14 to be expressed in terms of (e), so that

(L - Lo)-l'r + F o ( z - (z)) = ( e ) (15)
Formally, the solution of this equation is
9 = l"(e) (16)
and it follows by averaging Eq. 8 that
t d = to + ( r ) (17)
The perturbation theory contained in Reference [2] provides a series
representation for T, yielding
L eff -- ( L ) - ( ( L - L0)F0(L - ( L ) ) ) + . - . (18)
The operator F0 may be expressed in the form
ro - + (19)
where F~~ is the corresponding operator for an infinite body and F~m is an
"image" correction, which comes from the boundary conditions. The kernel of
F~~ is a homogeneous function of degree - 3 (in three-dimensional space).
Except when the point x of interest is close to the boundary 0f2 (relative to the
scale l of the microstructure), the kernel of the "image" term remains
bounded, even when x' is close to x. In this case, F0 may be replaced,
asymptotically, when I/L ~ 1, where L is a length characteristic of the domain
f2, by F~~ and then the effective operator Ldf reduces to the form appropriate
to an infinite body. As remarked previously, it is only in this case that any
explicit calculations have been performed.
10.4.4 BOUNDS
Even in the infinite-body limit, L eff cannot be found exactly. It is, however,
possible to obtain useful information by bounding the energy in the
composite. Bounds which involve no more information than the one- and
two-point probabilities pr and P,.s can be found by using the Hashin-
Shtrikman formalism, as developed in Reference [3] and exploited further in
Reference [1]. Considering the case of zero prescribed displacement over c9f2
(including, as a limiting case, the problem for an infinite body), the energy in
one realisation of the composite (elastic stored energy plus the energy
associated with the body-force loading) is
o~ _ _1 f frGf dx (20)
d~
where G represents the Green's function operator of the actual composite.
10.4 Nonlocal M i c r o m e c h a n i c a l Models 989
Ensemble averaging gives
(~) - __~
if f r G q f f dx (21)
dn
Here, G qf = ( G ) is precisely the Green's function operator associated with
the effective medium, which is defined by the effective modulus operator Lqf.
Application of the Hashin-Shtrikman formalism permits the development of
bounds for (G), implying corresponding restrictions on the operator L eff, as
detailed in References [1] and [3], for example. The result is that a Hashin-
Shtrikman approximation GHs to G qf follows by solving, in place of the exact
equation (Eq. 15) for ~, the Hashin-Shtrikman equations
/1
pr(Lr - L0)-l~r -t- ~ {F0(prs - prps)}'Cs -- pr(ens) (22)
s--1
where 9 is approximated as
11
'~(X)- ~ "~r(X))(,r(X) (23)
r=l
the functions Vr being nonrandom, and eiqs is the corresponding approxima-

tion to e. The notation { K ( p r S - prps)} is used for an integral operator whose
kernel is K(x, x')[ prs(X, x') - pr(X)ps(X')].
If the solution of Eq. 22 is expressed as
"Or-s Trs(Ps(eIqs)) (24)
the corresponding Hashin-Shtrikman approximation to Lelf is
LHs -- Lo + ~ prTrsPs (25)

r=l s=l
The associated Hashin-Shtrikman approximation GIqs to G eff provides the

approximation
- --~l s
FHS -- (26)
for ( g ) . It is an upper bound to ( g ) if L0 is chosen so that L r - Lo defines a

positive (semi-)definite quadratic form for each r, and a lower bound
if L r - L0 defines a negative (semi-)definite form for each r.
990 Willis
10.4.5 STATISTICALLY UNIFORM MEDIA
For a statistically uniform medium, Pr is constant, and Pr~ is a function of

( x - x ~) only. Also, taking the medium as infinite in extent, F0 is replaced by
F~~ whose kernel is also a function of ( x - x'). All operators become
convolutions, and Eq. 22 can be reduced to algebraic form by taking Fourier
transforms. Also, Plancherel's theorem allows Eq. 21 to be expressed
(,f ) = - 89f ]* (k)Geff(k)](k) dk (27)

d
where the tilde denotes the Fourier transform and * denotes complex
conjugate transpose.
It follows that (~eff_ Gns) defines a Hermitian form that is negative or
positive semidefinite when L0 is such that (Lr - L0) defines a quadratic form
that is positive or negative semidefinite for each r.
10.4.6 GRADIENT APPROXIMATIONS
We write the overall constitutive relation
(a)(x) = (LeYf(e))(x) -- f~ K(x,x')(e)(x') dx' (28)
The kernel function K decays to zero rapidly as I x - x~[/l --* oo, where l is a
characteristic length associated with the microstructure. Therefore, when the
loading is such that the resulting mean strain ( e ) varies slowly relative to the
scale /, the result of applying the operator Lqf to ( e ) can be evaluated,
asymptotically, by approximating (r ~) by the first few terms in its Taylor
expansion about x ~ = x: in symbolic notation,
(e(x')) ~ (e)(x) + ( x ' - x). V(e)(x) (29)
+ 89 - x) | (x' - x)] 9[ v | V](eS(x) + . . .
It follows that
(tr)(X) ~, Lh~ q- M(x) . V(e)(x) 4- N(x) " (V | V)(e)(x) + . . .
(30)
where
I.h~ -- f K(x,x') dx'
M(x) -- f K(x,x')(x' - x) dx'

N(x) = 89J K(x,x')[(x' - x) | (x' -- x)] dx' (31)
The tensor L n~ is the tensor of effective moduli in the "homogenisation limit"

l/L ~ O.
If the medium is statistically uniform, then K depends on ( x - x~). The
tensors L h~ M, and N become constants; it will usually be the case that K is
an even function of its argument, so that M = 0. An alternative representation
is also possible:
L h~ = g:(o)
N ---l(Vh | Vk)K(0) (32)

Thus the gradient approximation represented by Eq. 30 follows from the
small-k expansion of the Fourier transform of L eft. The corresponding
Hashin-Shtrikman approximations follow from parallel treatment of the
Fourier transform version of Eq. 25. The constants were developed from this
standpoint by Drugan and Willis [4].
10.4.7 VARIATIONAL FORMULATION FOR THE

EFFECTIVE MEDIUM
For the infinite medium or, more generally, for the finite medium with
displacements prescribed over the boundary, the solution of Eqs. 4, 5, and the
boundary conditions minimises the energy functional
~(u) - f ~ { 89 " L " e - f . u } dx (33)

over displacement fields u that satisfy the boundary conditions. It follows that
the family of solutions, defined over the entire set of realisations, minimises
over all random fields u, defined over f~ and the sample space, and satisfying
the given boundary conditions on c3f~. The minimum value of o~ is N, and the
minimum-value of ( ~ ) is (N).
It follows from simple mathematics (not physics) that the solution of Eqs. 6
and 7 minimises the functional
~-eff ( ( u ) ) - ~ { 89 " Leff ( e ) - f . ( u ) } clx (35)

over fields ( u ) that satisfy the given boundary conditions ((u) = u ~ on 0f~).
992 Willis
The minimum value of ~eff is
(zeSf)m/n - 89 f . (u)dx (36)
that is, ( ~ ) , precisely. There is, however, no relation between Z efS and ( Z )
more generally.
Consider now the gradient approximation,
( a ) -- Lh~ + N :(V | V ) ( e ) (37)
which applies under the assumptions specified in deriving Eqs. 32. If this
constitutive relation is assumed to hold, right up to the boundary Off, then the
problem specified by Eqs. 6 and 37 requires another boundary condition in
addition to the given displacement condition. It is natural to associate with it
the functional
cS((u)) - f~ {l(e)Lh~ -- l ( V ( e ) ) . N. (V(e)) - f . ( , ) } dx (38)
which is stationary at the solution if the additional boundary condition on c~2

is taken as the "natural" one, n. N. (V(e)) = 0. There is, however, no direct
physical reason why this condition should be applied: its need is a
consequence of having adopted the constitutive relation (Eq. 37) up to the
boundary, where its derivation has lost validity.
There is another complication, perhaps still more severe. The functional
may or may not be convex, depending on the constant tensor N. Thus the
stationary value need not be a minimum, and, when it is not, it is possible that
the boundary value problem just proposed, consisting of Eqs. 6, 37, the given
boundary condition, and the "natural" boundary condition, may not have a
unique solution; it is also possible that the desired solution could be unstable.
This is not in conflict with the basic physics or mathematics: the gradient
approximation is only good when the gradients are small. This problem was
highlighted before, in the context of "weakly heterogeneous" analysis, by
Beran and McCoy [2].
10.4.8 CONCLUDING REMARKS
This article has shown how nonlocal effective constitutive response can be
deduced from explicit consideration of the micromechanics of deformation of
a composite. The relation in general involves an integral operator. In the case
of a statistically uniform medium, the integral takes convolution form, and the
effective response can equally well be described in terms of the Fourier
transform of the integral operator. It cannot be determined exactly, but
bounds on the energy can be developed and these, in turn, provide

restrictions on the integral operator, which can be expressed purely
algebraically in Fourier space, in the case of statistical uniformity.
Figure 10.4.1 (reproduced from Reference [51) presents a sample result.
The example is two-dimensional (representing, for example, a cross section of
a fibre-reinforced material under conditions of plane strain). The composite is
a matrix (r = 2) containing square inclusions (r = 1), at volume fraction
0.16, arranged periodically so that each period is a square. The length of each
side of the square period is normalised and taken equal to 2re. Both matrix and
inclusions have Poisson's ratio 0.25. Young's modulus is 16 for the inclusions
and 8 for the matrix. The two-point probability pll (from which the other Prs
can be derived, for a two-phase composite) is exactly periodic, its period
being the square. The composite is statistically uniform because, as discussed
in Section 10.4.1, the location of any one inclusion is treated as random, with
uniform distribution over one period. Thus the effective properties can be
developed in Fourier space. The figure gives three pairs of curves. One of each
pair was obtained by taking L0 = L1 (to give an upper bound for the energy),
and the other was obtained by taking L0 = L2 (to give a lower bound for the
energy). The component ([Hs)llxl(k) is displayed, plotted in the three cases
k - (k, 0), k - (k, k ) / x / 2 , k - (0, k). The associated gradient approximations
follow from the quadratic approximations to the curves, in the vicinity of
k = 0. It can be seen that the signs of the quadratic terms are not always the
same; it can also be seen that the gradient approximation is accurate only
when the magnitude of k is 0.1 or smaller.
The results shown in Figure 10.4.1 are considered to be of some interest
because the model is completely unambiguous and (in principle) realisable.
In particular, the statistics of the medium are defined without any
approximation, and the meaning of the ensemble average is completely
explicit. Some results that were presented as bounds for nonlocal properties
were produced several years ago by Diener, Hiirrich, and Weissbarth [6].
However, their assumed two-point probability was at best an approximation,
and their results did not show the complexity displayed in Figure 10.4.1.
The results apply, of course, only to the types of elastic composite for
which they have been derived. They may, nevertheless, throw some light more
generally on nonlocal models. Most nonlocal models rely on some underlying
averaging. It is common practice (see, for instance, Reference [7]) to postulate
some relation involving an integral which may, in turn, be developed under an
assumption of small gradients to give a gradient approximation. Gradient
approximations may also be postulated directly (for instance, Reference [8]).
The micromechanical considerations presented here show that the form of the
nonlocal kernel may be quite complicated, and the associated gradient
approximation may result in a problem that is globally unstable, or ill-posed:
FIGURE 10.4.1 Plots of "upper-bound and "lower-bound estimates of (k), for a particular two-dimensional, two-phase periodic
composite with square periodic cell, for the cases k = (k, 0), k = (k, k ) / f i , k = (0,k).
it depends on the signs, and these do not always come out as might be
desired!
In all such theories, there remains the serious question of assessing the
influence of the boundary, which itself interacts nonlocally with adjacent
inhomogeneities.
Although only linear elasticity has been considered here, it is, in fact,
possible to develop a similar formulation for certain classes of nonlinear
problems (starting from a Hashin-Shtrikman formulation as initiated by
Talbot and Willis [9]; see also Reference [ 10]). However, for such problems,
the resulting equations are nonlinear, and nonlocality can only be addressed
by iteration, leading directly to a gradient approximation. The more exact
form of the effective relation in the nonlinear case is at present entirely
unknown.
REFERENCES
1. Luciano, R., and Willis, J. R. (2000). Bounds on non-local effective relations for random
composites loaded by configuration-dependent body force. J. Mech. Phys. Solids 48: 1827-
1849.
2. Beran, M. J., and McCoy, J. J. (1970). The use of strain gradient theory for analysis of random
media. Int. J. Solids Struct. 6: 1267-1275.
3. Willis, J. R. (1983). The overall response of composite materials. J. Appl. Mech. 50: 1202-
1209.
4. Drugan, W J., and Willis, J. R. (1996). A micromechanics-based nonlocal constitutive
equation and estimates of representative volume element size for elastic composites. J. Mech.
5. Luciano, R., and Willis, J. R. (2001). Non-local effective relations for fibre reinforced
composites loaded by configuration-dependent body forces (in preparation).
6. Diener, G., Hfirrich, A., and Weissbarth, J. (1984). Bounds for the non-local effective elastic
properties of composites. J. Mech. Phys. Solids 32: 21-39.
7. Barenblatt, G. I., and Prostokrishin, V. M. (1993). A model of damage taking into account
microstructural effects. Eur. J. Appl. Math. 4: 225-240.
8. Leroy, Y., and Molinari, A. (1993). Spatial patterns and size effects in shear zones: A
hyperelastic model with higher-order gradients. J. Mech. Phys. Solids 41: 631-663.
9. Talbot, D. R. S., and Willis, J. R. (1985). Variational principles for inhomogeneous nonlinear
media. IMA J. Appl. Math. 35: 39-54.
10. Talbot, D. R. S., and Willis, J. R. (1997). Bounds of third order for the overall response of
nonlinear composites. J. Mech. Phys. Solids 45: 87-111.
SECTION 10.5
Transformation Field
Analysis of Composite
Materials
GEORGE J. DVORAK
Rensselaer Polytechnic Institute, Troy, New York
Contents
10.5.1 Overview of the Method . . . . . . . . . . . . . . . . . . 996
10.5.2 Governing Equations . . . . . . . . . . . . . . . . . . . . . 997
10.5.3 Evolution of Inelastic Deformation . . . . . . . . 999
10.5.4 Modeling of Damage Evolution . . . . . . . . . . . 1000
10.5.5 Concentration Factor Estimates . . . . . . . . . . 1001
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1002
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1002
10.5.1 OVERVIEW OF THE METHOD
The transformation field analysis (TFA) method evaluates averages of local

and overall strain and stress fields caused in elastic heterogeneous solids, such
as composite materials, laminates, and polycrystals, by piecewise uniform
distributions of transformation strains or eigenstrains; these may be caused by
thermal changes, phase transformations, moisture absorption, or inelastic
deformation. Also, equivalent eigenstrains applied in modeling of local
cracks, voids, and other damage modes can be included in the analysis.
Moreover, the method provides a system of differential equations describing
evolution of the local transformation fields under varying overall loads,
according to local constitutive relations prescribed in the constituents. Here
we discuss applications to inelastic deformation and damage evolution in
composites. A more complete description of the method can be found in
References [ 1-4].

10.5 T r a n s f o r m a t i o n Field Analysis of C o m p o s i t e Materials 997
10.5.2 GOVERNING EQUATIONS
Consider a sufficiently large representative volume V of a composite material

consisting of two or more perfectly bonded phases. The phases may have any
physically admissible elastic symmetry and microstructural geometry. Each
phase r in volume Vr is a homogeneous elastic solid, of constant stiffness Lr
and compliance Mr=L~ -1 defined in a fixed overall Cartesian coordinate
system x in V. The volume V may be subdivided into several local volumes Vr,
r=1,2, ..., N, g V~=V, such that each contains only one phase material,
although, in a more refined evaluation of the local fields, any given phase may
reside in more than one volume V~. The volume V is subjected either to
surface displacements on S of V that cause uniform overall strain s ~ in V, or to
tractions derived from a uniform overall uniform stress ~r~ on S. Moreover, a
uniform temperature change A0 and a piecewise uniform field of transforma-
tion strains pr E V~ may be prescribed in V The local constitutive relations in
the phases are then written as
~r(X) -- Lrgr(X) -[- [rAO -'[- ~r (1)
gr(X) = Mr~rr(X) --k-mrAO + Pr

where mr is a thermal strain vector of linear coefficients of thermal expansion,
|r = - - L r m r is a thermal stress vector, and ~r = - L r ~ r is a local transformation
stress or eigenstress.
Overall constitutive relations are written in the analogous form
a = L~ ~ + lAO + ~ ~ = Ma ~ + mAO + p (2)
where L and M are overall stiffness and compliance satisfying LM = I,
1 = - L m is the overall thermal stress vector, and /, = - L p is the overall
transformation stress caused by the /*r distribution in a fully constrained
volume V. The thermal strains and transformation strains in Eq. 1 are assumed
to be distributed such that both the overall stress r at s ~ = 0 and strain ~ at
~r~ = 0 are uniform in V. All strains are assumed to be small.
Local averages of the stress and strain fields in Eq. 1 can be related to
prescribed sets of the independent load contributions s ~ A0, Pr, or ~0, A0, ~r,
in the form [1]
N N
~,s -- As~,~ + ~ Dsr(mrAO + Pr) ~rs -- Bs~r~ + ~ Fsr(lraO + ~,r) (3)
r= 1 r= 1
where r, s=1,2 ,..., N. The As and Bs are the mechanical concentration factor
tensors [5] and Dsr, Fsr are certain eigenstrain and eigenstress concentration
factor tensors [1-4] which evaluate the contribution of a uniform
transformation in Vr C V to the field average in Vs c V. Both are averages
of the respective influence functions that define the local fields; they depend
998 Dvorak
on the local and overall elastic moduli and on the shape and volume fractions
of the phases, and are therefore constant within certain temperature intervals.
Like the Eshelby tensor S, the self-induced factors Dss and Fss contribute both
the residual field caused in Vs by the eigenstrains and the eigenstrain
themselves [6].
In the heterogeneous aggregates considered herein, the transformation
concentration factors can be related to the mechanical factors. In two-phase
systems r, s=0~, fl, where each phase contains a single, uniform transformation
strain or stress, there are exact connections between the respective influence
functions; c.f. Reference [1], Eqs. 123-126:
Dr~(X) - [ I - Ar(x)] ( L ~ - L~)-IL~
Dr~(X) -- - [ I - Ar(x)] (L~ - L f l ) - I L 3 (4)

Fra(X ) -- [ I - lr(X)] (Mo~ -- Mfl)-lMor
Frfl(x ) -- -[I- Br(x)] (Mo~ - M~)-IM~
In multiphase systems, and in two-phase systems loaded by several
piecewise uniform local transformations, such connections can be found in
terms of estimates of the mechanical concentration factors and overall
stiffness or compliance that are provided by certain averaging methods [2, 3,
7], which are briefly reviewed in Section 10.5.4.
Dsr . (I . As). (Ls . L) -l(~srI erA Tr )Lr (5)
Fsr -- ( I - Bs) (Ms - M) -1 (C~srI - crBTr )Lr
where I is a (6 • 6) identity matrix, Cr=Vr/V,and 6sris the Kronecker symbol,
but no summation is indicated by repeated subscripts. The averaging methods
are valid for either two-phase systems of arbitrary phase geometry or for
multiphase systems where all phases have the same shape and orientation [8].
In more detailed evaluations of the local fields in unit cells and other material
models, the transformation concentration factors are best evaluated with the
finite element method, as described in References [4, 9].
Volume averages of the local fields (Eq. 3), obtained with substitutions
from Eq. 4, or with any other admissible evaluation of the respective
concentration factors, are related to the overall averages by
N N
~, -- ~ Crgr mAO + Ill -- ~ CrlTr (mrAO + ~lr)
r--1 r--1 (6)
N N
tT -- ~ CrGr |AO d- ,~ -- ~ CrAT (|rA0 -~- ~,r)
r- 1 r= 1
These are distinct connections that must be satisfied separately by the
averages of total fields and the thermal and other transformation fields [3, 5].
10.5 Transformation Field Analysis of Composite Materials 999
Finally, by invoking the well-known expressions for overall stiffness and

compliance [5],
N N
L- ~_~ crLrAr M- ~ crMrBr (7)
r= 1 r= 1
evaluation of the local fields in Eq. 3 using Eq. 4 or 5 is reduced to finding the
mechanical concentration factors Ar Br; see Section 10.5.5. Note that Eq. 5 is
valid for As, At, L and Bs, Br, M derived with an averaging method; however,
relations Eqs. 4, 6 and 7 must be satisfied by all admissible evaluations of
concentration factors or influence functions.
10.5.3 EVOLUTION OF INELASTIC

DEFORMATION
Inelastic, thermal, and any other transformation strains are deformations

remaining at a material point after an instantaneous elastic unloading from
the current to zero local stress. This agrees with the additive strain and stress
decompositions (Eq. 1) and implies that elastic-plastic, viscoelastic, visco-
plastic, and any other inelastic strains ~rin (X) can be regarded as eigenstrains
acting on an elastic solid in superposition with mechanical and thermal loads.
The local constitutive equations (Eq. 1) can thus be replaced by
derr(X) - Lrd~,r(X) + lrdO + dante(x) (8)

d"r(X) - Mrd~r(X) + mrdO -t- d"~n(x)
where the relaxation stress da re(x) - - L r d , ~ (x). As long as Lr, lr, Mr, and mr
remain constant, Eq. 8 holds for both instantaneous and accumulated
increments.
Inelastic constitutive laws typically specify when a material starts to deviate
from the linear elastic response, and then relate either the local relaxation
stress to the past history and current increment of the local strain, or the
inelastic strain to the history and current increment of the local stress. If these
fields are uniform in Vr, this can be written as
dtTr--~.~r(gr -- flr)dgr nt- ~rdO

d g r - JHr(~rr - ~r)d6r nt- ~rd0 (9)
indicating that ~~ or d//r are, respectively, functions of the current back

strain ]/r or back stress 0~r, which together w i t h / ' r and mr depend on past
deformation history. Separating the inelastic from the total components and
1000 Dvorak
introducing instantaneous inelastic stiffness and compliance tensors yields

da~ e - ~'Prde, r + ~PdO de.~ - ,.///l,Pdar + ~Prd0 (10)
When substituted into the incremental forms of Eq. 3, this provides the
following equations for evaluation of the local strain and stress increments:
N N
de,~ + E DsrMr~'~q;'Prdgr -- a~ d~~ + E Dsr(mr - M~g~)dO
r=l r:l (11)
N N
da~ 4- E FsrLr't/dPrd~rr = B~ da~ + }~ Fsr(er - - Lr~Pr)d0
r=l r=I
In multiphase systems, and in all systems which undergo a significant

departure from elastic response, these equations are best written for refined
subdivisions of V, with all concentration factors evaluated by the finite
element method and solved numerically. Of course, closed-form solutions can
be easily obtained for two- or three-phase systems; these appear useful in an
analysis of contained inelastic deformation [9]. In any case, it is desirable to
write the result in the form
d~r = a:/rd~ + a~rdO
d~rr - ~ r d a + drdO (12)
where a/r, a~r, and Nr, dr are instantaneous mechanical an thermal strain and
stress concentration factor tensors for the local volumes Vr. The overall response
of the inelastic composite medium can be derived as described in [2, ~ l .
10.5.4 MODELING OF DAMAGE EVOLUTION
As a simple application of the TFA method to damage analysis, consider a

two-phase aggregate of volume V consisting of a matrix ( r = 1), the still
bonded reinforcements ( r = b ) , and debonded reinforcements ( r = d ) . Incre-
mental loading is applied to the undamaged aggregate by an overall uniform
stress a ~ and by an equivalent eigenstrain Pa that simulates the effect of
debonding in r = d. The average stress aa is usually zero, but any other value
may be supported in r=d if obtained from an independent analysis, preferably
as a function of a ~ or 5. Also,/,~ - / , ~ - 0. Adjusting Eq. 3 (second equation)
to these requirements yields three equations for the local stresses at any given
loading step k:
a~ _ B l a ~ _ FlaL2p
k ak
aka -- B2a~ - F~aL2p~ (13)
k _ B2a~ k k
~rb -- FbdL2p d
This respects the fact that both r = b and r = d volumes have the same shape
and stiffness L2 and thus also the same concentration factor B2. However,
since two different eigenstrains, /,~ and pdk, reside in phase L2, all Frs are
distinct and evaluated using Eq. 5 (second equation). Partial debonding in
r = d is simulated by the equivalent eigenstrain obtained from Eq. 13 (second
equation):
llkd -- M2(Fd) )k(B2a ~ -- akd) (14)
Averages of the local stresses are then to be found as
(15)
~bk -- B2trk0 q- c k B 2 ( i _ ckB2)-i (B2trk0 _ 6k) (16)
where r is the known local stress in the debonded phase, possibly equal to
zero. The concentration factors B1 and B2 are evaluated in the undamaged
two-phase composite. The first right-hand terms are the stresses in the
undamaged system, and the second terms are contributed by the eigenstrain
(Eq. 14) simulating partial debonding in r =d. It can be verified that Eq. 6
(third equation), written here as Cla~ +cka k + Gka bk- a 0k, is satisfied by
Eqs. 15 and 16.
The local strain averages are obtained using the stresses in Eq. 1 (second
equation as)
k M2 k
The overall strain is found from ~ = ECrgr, or from the overall constitutive
relation
ak -- Ma~ + Pk (18)
where M is the overall elastic compliance of the undamaged system, and the
overall eigenstrain Pk simulates the contribution to the overall strain by the
current state of debonding in r =d; it can be evaluated from the generalized
k--,TPd"
Levin formula (second part of Eq. 6) as Pk -- cdu2 k Together with a criterion
that specifies the probability of debonding as a function of stress in the
bonded phase, Eqs. 15 and 16 can be converted to an incremental form
and solved for damage increments dcak under overall stress change from
a'~ to a~ + da'~.
10.5.5 CONCENTRATION FACTOR ESTIMATES
Heterogeneous solids are often modeled as aggregates of phases of ellipsoidal

shape, possibly embedded in a common matrix. Under the homogeneous
1002 Dvorak
b o u n d a r y conditions described in Section 10.5.1, the local strain or stress

averages in the phases are the first right-hand terms in Eq. 3, with estimates of
the concentration factors provided by the self-consistent [5] or Mori-Tanaka
[10] averaging methods. These belong to a m u c h wider, recently identified
family of m e t h o d s [7] which consider each phase as a solitary ellipsoidal
i n h o m o g e n e i t y e m b e d d e d in a large volume of a certain comparison m e d i u m
L0 that is remotely loaded by a uniform image strain or stress field. Estimates
of the mechanical strain concentration factors follow from
Ar = Air crAIr (Air) -1 - I - S Lol(L0 - Lr) (19)
where S denotes the Eshelby tensor evaluated in Lo. The Lo must be chosen
D
such that the matrices L o - L r and L o - L o are b o t h positive or negative

semidefinite. The overall stiffness estimate then follows from Eq. 7 (first
equation) and 19; if Lo is used in Eq. 19, then Eq. 7 (first equation) provides
the Walpole [11] form of the H a s h i n - S h t r i k m a n bounds. A convenient form
that approximates the self-consistent estimate of the overall stiffness in t w o -
phase systems where L2-L1 is positive semi definite is L0 = L1 + c2(L2 - L1)
ACKNOWLEDGEMENTS
Work leading to the present results was sponsored by grants from the Army Research Office and
the Office of Naval Research. Drs. Yapa D.S. Rajapakse and Mohammed Zikry served as program
monitors.
REFERENCES
1. Dvorak, G. J. (1990). On uniform fields in heterogeneous media. Proc. Roy. Soc. (London) A
431: 89-110.
2. Dvorak, G.J. (1992). Transformation field analysis of inelastic composite materials. Proc. Roy.
Soc. (London) A 437: 311-327.
3. Dvorak, G. J., and Benveniste, Y. (1992). On transformation strains and uniform fields in
muhiphase elastic media. Proc. Roy. Soc. (London) A 437: 291-310.
4. Dvorak, G. J., Bahei-E1-Din, Y. A., and Wafa, A. (1994). Implementation of the transformation
field analysis for inelastic composite materials. Computational Mechanics 14: 201-228.
5. Hill, R. (1965). A self-consistent mechanics of composite materials. J. Mech. Phys. Solids 13:
213-222.
6. Eshelby, J. D. (1957). The determination of the elastic field of an ellipsoidal inclusion and
related problems. Proc. Roy. Soc. (London) A 241: 376-396.
7. Dvorak, G. J., and Srinivas, M.V. (1999). New estimates of overall properties of heterogeneous
solids. J. Mech. Phys. Solids 47: 899-920, 2207-2208.
8. Benveniste, Y., Dvorak, G.J., and Chen, T. (1989). On the diagonal and elastic symmetry of the
approximate stiffness tensor of heterogeneous media. J. Mech. Phys. Solids 39: 927-946.
9. Fish, J., Pandheeradi, M., and Shephard, M. S. (1997). Computational plasticity for composite
structures based on mathematical homogenization: Theory and practice. Comp. Meth. Appl.
Mech. Engng. 148: 53-73.
10. Benveniste, Y. (1987). A new approach to the application of Mori-Tanaka's theory in composite
materials. Mech. Mater. 6: 147-157.
11. Walpole, L. J. (1966). On bounds for overall elastic moduli of inhomogeneous systems: I.J.
Mech. Phys. Solids 14: 151-162; II. ibid., 289-301.
SECTION 10.6
A Damage Mesomodel of
Laminate Composites
PIERRE LADEVl~ZE
LMT-Cachan, ENS de Cachan/CNRS/Universit~ Paris 6, 61 avenue du President Wilson,
Contents
10.6.1 Domain of application . . . . . . . . . . . . . . . . . . . 1004
10.6.2 Basic Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . 1005
10.6.3 The Single-Layer Model . . . . . . . . . . . . . . . . . . 1006
10.6.3.1 Damage Kinematics . . . . . . . . . . . . . 1006
10.6.3.2 Damage Evolution Law . . . . . . . . . . 1008
10.6.3.3 Coupling between Damage and
Plasticity (or Viscoplasticity) . . . . 1010
10.6.4 Identification of the Material Parameters . 1011
10.6.4.1 Tensile Test on [0 ~ 90~
Laminate . . . . . . . . . . . . . . . . . . . . . . . 1012
10.6.4.2 Tensile Test on [+45 ~ -45~
Laminate . . . . . . . . . . . . . . . . . . . . . . . 1012
10.6.4.3 Tensile Test on a [+67.5~176
Laminate . . . . . . . . . . . . . . . . . . . . . . . 1012
10.6.5 How Does One Use the Model? . . . . . . . . . . 1013
10.6.6 Extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1013
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1013
A m a j o r c h a l l e n g e in c o m p o s i t e d e s i g n is to calculate the d a m a g e state of a

c o m p o s i t e s t r u c t u r e s u b j e c t e d to c o m p l e x l o a d i n g at a n y p o i n t a n d at a n y
time u n t i l final fracture. D a m a g e refers to the m o r e or less g r a d u a l
d e v e l o p m e n t s of m i c r o c r a c k s w h i c h lead to m a c r o c r a c k s a n d t h e n to r u p t u r e ;
m a c r o c r a c k s are s i m u l a t e d as c o m p l e t e l y d a m a g e d zones. A s o l u t i o n for
c o m p o s i t e s , especially l a m i n a t e c o m p o s i t e s , is b a s e d o n w h a t we call a

10.6 A Damage Mesomodel of Laminate Composites 1005
damage mesomodel. It is a semidiscrete model for which the damage state is

locally uniform within the mesoconstituents. For laminates, it is uniform
throughout the thickness of each single layer; as a complement, continuum
damage models with delay effects are introduced.
The mesomodel has been used for various continuous fiber laminates,
essentially for aeronautical and spatial applications.
10.6.2 BASIC ASPECTS
An initial step is to define what we call a laminate mesomodel [13, 14]. At the
mesoscale, characterized by the thickness of the ply, the laminate structure is
described as a stacking sequence of homogeneous layers through the
thickness and of interlaminar interfaces (see Figure 10.6.1). The main
damage mechanisms are described as fiber breaking, matrix microcracking,
and debonding of adjacent layers (see Figure 10.6.2). The single-layer model
includes both damage and inelasticity. The interlaminar interface is defined as
a two-dimensional mechanical model which ensures traction and displace-
ment transfer from one ply to the next. Its mechanical behavior depends on
the angle between the fibers of two adjacent layers. A priori, 0~ ~ interfaces
are not introduced. Herakovich, in his book [11], calls this theory the
"mesoscale composite damage theory."
The damage mechanisms are taken into account by means of internal
damage variables. A mesomodel is then defined by adding another property: a
uniform damage state is prescribed throughout the thickness of the
elementary ply. This point plays a major role when trying to simulate a crack
with a damage model. As a complement, delayed damage models are
introduced.
One limitation of the proposed mesomodel is that material fracture is
described by means of only two types of macrocracks:
9 delamination cracks within the interfaces;

9 cracks orthogonal to the laminate's midplane, each cracked layer being
completely cracked through its thickness.
FIGURE 10.6.1 Laminatemodeling

1006 Ladev/~ze
Fibre-matrix interface debonding

Brittle fibre rupture 9 ,'md
Matrix micro-cracking
,-...........~,
Adjacent layer debonding

(Delamination)
FIGURE 10.6.2 Damage and failure mechanisms.
The layers - - in our sense m are assumed to be not too thick. Another
limitation is that very severe dynamic loadings cannot be studied; the
dynamic wavelength must be larger than the thickness of the plies.
Two models have to be identified: the single-layer model [16] and the
interface model [1,6]. The appropriate tests used consist of tension, bending,
and delamination. Each composite specimen, which contains several layers
and interfaces, is analyzed in order to derive the material quantities intrinsic
to the single layer or to the interlaminar interface.
Various comparisons with experimental results have been performed to
show the possibilities and limits of our proposed computational damage
mechanics approach for laminates [2, 8, 19, 20].
The single-layer model is presented here. A similar model is used for the
interface.
10.6.3 THE SINGLE-LAYER MODEL
The single-layer model and its identification procedure are detailed in

Herakovich [11]. Complements concerning the compression behavior and the
temperature-dependent behavior can be found in Allix et al. [3, 4]. Here we
present the latest version, which takes into account the layer size effects [23].
10.6.3.1 DAMAGE KINEMATICS
The composite materials under investigation in this study (e.g., carbon-fiber/

epoxy-resin) have only one reinforced direction. In the following, subscripts
1, 2, and 3 designate the fiber direction, the transverse direction inside
the layer, and the normal direction, respectively. The energy of the
damaged material defines the damage kinematics. Using common notations,

this energy is
r (,,7, ,,o,~
ED =2(1-- &) L i71 + Eo - t , ~ + -k-7-,) <'''"=
(~0 ~03,~ (~0 ~03,~

- t, Eo + -k-7-,) <''' "~ - t, Eo + ~ ) <'=<'~
+ ~
(--0"22) 2 (--0"33) 2
217~ + 217--~- +
[ ( 1
89( 1 - a ' )
(0"22
E~ +
(O'33> 2
E~
)
+ (1 - d)\ ~ + G~ " G~ (1)
is a material function which takes into account the nonlinear response in
compression [3], and dF, d, and d' are three scalar internal variables which
remain constant throughout the thickness of each single layer and which serve
to describe the damage mechanisms inside. The unilateral aspect of
microcracking is taken into account by splitting the energy into a "tension"
energy and a "compression" energy; (.) denotes the positive part. The
thermodynamic forces associated with the mechanical dissipation are
o <E~>) -
2(1 - <i)~ \ ~ + o7-7 + c7,/
1
ra, - D-dT< , :<~, -
;~(<-o-11>)
4- Eo
2(1 - dF) 2 E1
(vo 2 vo,~ (vo 3 vo,
- \ Fo + ~) ~=~ ;2/
Here, unlike in previous papers, ((.}) denotes the integral value through the
thickness, not the mean value.
1008 Ladev/:ze
10.6.3.2 DAMAGE EVOLUTION LAW
From experimental results, it follows that the governing forces of damage

evolution are
r - [Yd + bYd,], Y ' - [Yd, + b' Yd], (3)
where b and b' are material constants which balance the influence of the
transverse energy and the shear energy. For small damage rates and quasi-
static loading, we get
d--fd(Y_ 1/2) for d _< 1
d t --fd,(Y_ tl/2) ford'_< 1 (4)
dv - fv(Ylv/2) fordv_<l
where
V_[t - - SlAp Fly , T ~ t
and fd, fd', and fv are material "functions"; progressive damage evolution
(generally defined by a linear function) and brittle damage evolution (defined
by a threshold) are both present, fF is generally associated with a brittle
damage mechanism. The model stays valid for a rather large temperature
range [4]. At room temperature, a typical material function fa is given in
Figure 10.6.3. For large damage rates, we have introduced a damage model
with delay effects:
c~-- 1 [1 - e x p ( - a ( f a ( Y 1/z) - d>)] if d < 1, d - 1 otherwise

Tc
c~'-- --1 [1 - e x p ( - a ( f d , ( Y 'l/z) - d'>)] if d' <1, d ' - 1 otherwise (5)

"Fc
dF -- 1 [1 - exp(-a(fr(Y'~/2) - dr>)] if de < 1, dr - 1 otherwise

gc
The same material constants, ~ and a, are taken for the three damage
evolution laws. For this damage model with delay effects, the variations of the
forces Y, Y' and Yr do not lead to instantaneous variations of the damage
variables d, d' and dF. There is a certain delay, defined by the characteristic
time z~. Moreover, a maximum damage rate, which is 1/%, does exist. A first
identification consists of taking half the Rayleigh wave speed combined with
the critical value of the energy release rate. Let us also point out here that a
clear distinction can be made between this damage model with delay effects
and viscoelastic or viscoplastic models: the characteristic time introduced in
the damage model with delay effects is several orders of magnitude less than
0.5 9 ~,", . . . . . -, 9
0.4
0.3
0.2
0.1
O( . . . . . . . . . ~'''
0 0.2 0.4 0.6 0.8 1 1.2 14
yd~ (MPa ~
*'a ~fa( yj/2) of the single-layer for the

FIGURE 10.6.3 Shear damage material function vl/2
M55J/M18 material at room temperature.
in the viscous case. This characteristic time is, in fact, related to the fracture
process.
10.6.3.2.1 Remarks
9 Two damage variables are used to describe the damage associated with
matrix microcracking and fiber-matrix debonding. They seem to account for
all the proposed damage kinematics, including that starting from an analysis
of the microcracks. Many works have established, experimentally or
theoretically, a relation between the microcrack density and our damage
variable d, which can be very useful for the identification of a damage fatigue
model.
9 What we call the single layer is the assemblage of adjacent, usual
elementary, plies of the same direction. The damage forces, being integral
values through the thickness of the single layer, can be interpreted as energy
release rates. It follows that the damage evolution law of the single layer is
thickness-dependent. For single layers which are not too thick, such damage
evolution laws include results coming from shear lag analyses. Consequently,
the size effects observed, for example, in t e n s i o n - are produced by both
the single-layer model and the interface model through a structure problem.
This theory, which is very simple, works very well for most engineering
laminates; however, it cannot be satisfactory for rather thick layers. A first
solution is to modify the damage evolution law, using the thickness as a
parameter.
9 The damage variables are active for [0 ~ 90~ laminates even if the
apparent modulus does not change. The model predicts this hidden
damage [15].
10 10 Ladev~ze
9 For fatigue loadings, we introduce:

d = ds + dF
d ' - d~ + d~ (6)
where ds and dts are the quasi-static part of the damage defined by Eq. 4 or 5.
dF and dtF denote the fatigue part characterized by the following fatigue
evolution laws:
o&
ON = a(a, [Ya + bYd,])
(7)
oa'~ = d(a', [yd,])
ON
where a, a ~ are two material functions and [.] denotes the maximum value
over the cycle.
1 0 . 6 . 3 . 3 COUPLING BETWEEN DAMAGE AND

PLASTICITY (OR VISCOPLASTICITY)
The rnicrocracks, i.e., the damage, lead to sliding with friction, and thus to
inelastic strains. The effective stress and inelastic strain are defined by
r~11 = 0"11 F22 -- -(-0"22) + (1 - d'--------~rY33- -(-0"33) + (1 - d'--------~
rY12--1_d ~23=1_d r~31 1 - d ~ (8)

~llp -- ~llp ~22p -- (~22p)(1 - - d t) - ( - ~ 2 2 p ) ~33p -- (/;33p)( 1 - d r ) - (-~33p)
9 , .
~12p ~ /;12p(1 -- d) ~23p -- ~23p(1 - d) 831p = 831p(1 - d)
ei)p for/j C {1,2,3} denotes the usual inelastic strain. The idea is to apply
classical plasticity or viscoplasticity models to effective quantities. A very
simple plasticity model is defined by the following elastic domain:
f(",R) - [ G + ~23 + ~]~ + ~ ( ~ + ~3)] ~/~ - e - eo (9)

Hardening is assumed to be isotropic, which means that the threshold R is a
function of the cumulated strain p; p--, R(p) is a material function, p being
defined by
p --
.~0t dt[e,12
2~2 -2 2.2 1 2,2 2.2 1/2
p 4- ~;23p+ ~31p 4--~(e,22p + e33p)] (10)
10.6 A Damage Mesomodel of Laminate C o m p o s i t e s 1011
140
120
100
/
80
_
60-
Yo 9 Test A
e Test B
40- o Test C
--" Identified curve
20-
_
0
I ' I ' ! ' I ' I ' I ' "i "~
0 0.2 0.4 0.6 0.8 1 1.2 1.4
FIGURE 10.6.4 Hardening curve at room temperature for IM6/914.
a is a material coupling constant. The yield conditions are
. /~f--0, pZ0, fS0
1 ~ij for i:~ji,j E {1,2,3)

9 ~JP--2PR+R0 (11)
z a2Fij for/ E {2,3)

9 ~ijp--P R + R o
An example of such a hardening curve is given for the T300-914 material in
Figure 10.6.4.
10.6.4 I D E N T I F I C A T I O N OF THE MATERIAL

PARAMETERS
The single-layer model and the interface model have been identified for
various materials. Aside from the elastic constants, the model depends on:
9 three coupling coefficients b, b', a2;

9 the damage "functions" fd, fd', fF describing progressive and brittle
evolutions;
9 the hardening function p---+R(p);
9 the function 25 defined practically by one parameter characterizing the
compressive stiffness loss in the fiber direction (see Reference [1]).
The identification is developed here for low-stiffness matrixes. It is based on

three canonic tests: [0 ~ 90~ [+45~176 , [+67.5~176 The
measured experimental quantities are:
1012 Ladev/~ze
9 the tension F, which is related to the macrostress 0"L by 0"L - F/S, where
S is a specimen's section;
9 the laminate's axial strain e[ and the transverse one e r.
Consequently, the inelastic strains and moduli variations are determined.
10.6.4.1 TENSILE TEST ON [ 0 ~ 90~ LAMINATE
This test defines fF, i.e., in many cases, the fiber's limit tensile strain.
10.6.4.2 TENSILE TEST ON [+45~ -45~ LAMINATE
The following relations allow us to reconstitute the ply's shear behavior:

qr
0"L
0"12 ~- 2
el2 -- (e L - e ~ ) / 2 -- el2 e + el2p (12)

qr
0"11 - - 0"L
For m a n y materials, one has
~ > (~11, ~22)

0"L ~ 0"22
Consequently, the transverse stress and strain do not affect the behavior. The
damage function fd is defined using
Y - v/2G~ el2e (13)

(1 - d) - 0"~/2G~ el2e
The hardening function p ~ R(p) is identified from
0 *
R 4- R0 -- G12el2e (14)
p -- fo ~*2e2(1 - d)dep
10.6.4.3 TENSILE TEST ON A [+67.5~176 LAMINATE
b ~ can be taken to zero for m a n y materials. Then, the stresses and strains in
the upper layer are
0"11 - - S0"L 0"22 -- S 0"L 0"12 -- S'0"L 0 -- 67.5 ~
qr (15)
~, ~ o ~ - ~o~O~; + ~.~o~ ~ - ~o~O~.o (~; - ~ )
where s, s t, s" are coefficients depending on 0 and the single layer's

characteristics. This test allows one to identify the two coupling coefficients b
and a 2 and the material function fa'. A complete numerical simulation of the
model is needed here.
10.6.5 HOW DOES ONE USE THE MODEL?
The complete damage mesomodel of laminate composites can be introduced

in a finite element code. Some commercial codes propose it.
However, the mesomodel of the single layer is sufficient when delamina-
tion does not occur. A simplified approach which has been used extensively is
to introduce it in a finite element postprocessor in order to predict the
intensities of the different damage mechanisms inside the different layers. The
data is a finite element solution calculated under the assumption of elastic
behavior.
10.6.6 EXTENSIONS
A first extension, in which microcracks can occur orthogonally to fiber

directions, was introduced for ceramics composites [10]. Models for three-
dimensional and four-dimensional carbon-carbon composite materials are
given in Reference [9, 18, 21]. More refined damage models are necessary for
most ceramics composites [19,20]. They follow the anisotropic damage
theory, which includes microcracks opening and closure effects introduced in
Reference [ 12].
The extension to impact problems has been studied in Allix et al. [5, 6].
REFERENCES
1. Allix, O., and kadev~ze, P. (1992). Interlaminar interface modelling for the prediction of
laminate delamination. Composite Structures 22; 235-242.
2. Allix, O. (1992). Damage analysis of delamination around a hole, in New advances in
Computational Structural Mechanics, pp. 411--421, Ladev~ze, P., and Zienkiewicz, O.C., eds,
Elsevier Science Publishers B.V.
3. Allix, O., Ladev~ze P., and Vitecoq, E. (1994). Modelling and identification of the mechanical
behaviour of composite laminates in compression. Composite Science and Technology
51; 35--42.
4. Allix, O., Bahlouli, N., Cluzel, C., and Perret, L. (1996). Modelling and identification of
temperature-dependent mechanical behaviour of the elementary ply in carbon/epoxy
laminates. Composite Science and Technology 56; 883-888.
1014 Ladev~ze
5. Allix, O., and Deft, J. E (1997). Delay-damage modeling for fracture prediction of laminated
composites under dynamic loading. Engineering Transactions 45; 29-46.
6. Allix, O., Guedra-Degeorges, D., Guinard, S., and Vinet, A. (1999). 3D analysis applied to
low-energy impacts on composite laminates. Proceedings ICCM12, pp. 282-283, Masard, T.,
and Vautrin, A., eds.
7. Allix, O., Leveque, D., and Perret, L. (1998). Interlaminar interface model identification
and forecast of delamination in composite laminates. Composite Science and Technology 56;
671-678.
8. Daudeville, L., and Ladev~ze, P. (1993). A damage mechanics tool for laminate delamination.
Journal of Composite Structures 25; 547-555.
9. Dumont, J. P., Ladev~ze, P., Poss, M., and Remond, Y. (1987). Damage mechanics for 3D
composites. Int. J. Composite Structures, 119-141.
10. Gasser, A., Ladev~ze, P., and Peres, P. (1998). Damage modelling for a laminated ceramic
composite. Materials Science and Engineering A 250(2); 249-255.
11. Herakovich, C. T. (1998). Mechanics of Fibrous Composites, J. Wiley.
12. Ladev~ze, P. (1983). On an anisotropic damage theory; Report no. 34-LMT-Cachan (in French);
Failure Criteria of Structured Media, Boehler, J. P ed., Balkema (1996), 355-364.
13. Ladev~ze, P. (1986). Sur la m~canique de l'endommagement des composites, in Comptes-
Rendus des JNC5, pp. 667-683, Bathias, C., and Menk~s, D. eds., Paris: Pluralis Publications.
14. Ladev~ze, P. (1989). About a damage mechanics approach, in Mechanics and Mechanisms of
Damage in Composite and Multimaterials. pp. 119-142, Baptiste, D.ed., MEP.
15. Ladev~ze, P. (1992). A damage computational method for composite structures. J. Computer
and Structure 44(1/2); 79-87.
16. Ladev~ze, P., and Le Dantec, E. (1992). Damage modeling of the elementary ply for laminated
composites. Composite Science and Technology 43(3); 257-267.
17. Ladev~ze, P. (1992). Towards a fracture theory, in Proceedings of the Third International
Conference on Computational Plasticity, pp. 1369-1400, Owen, D. R. J., and Hinton, E. eds.,
Cambridge: Pineridge Press.
18. Ladev~ze, P, Allix, O., and Cluzel, C. (1993). Damage modelling at the macro- and meso-
scales for 3D composites, in Damage Composite Materials, pp. 195-215, Voyiadjis G. ed.,
Elsevier.
19. Ladev~ze, P (1995). A damage computational approach for composites: Basic aspects and
micromechanical relations. Computational Mechanics 8; 142-150.
20. Ladev~ze, P. (1995). Modeling and simulation of the mechanical behavior of CMCs, in High-
Temperature Ceramic-Matrix Composites. pp. 53-63, Evans, A. G., and Naslain, R. eds.
(Cereamic Transaction).
21. Ladev~ze, P., Allix, O., Gornet, L., Leveque, D., and Perret, L. (1998). A computational
damage mechanics approach for laminates: Identification and comparison with experimental
results, in Damage Mechanics in Engineering Materials, pp. 481-500, Voyiadjis, G. Z., Wu,
J. W., and Chaboche, J. L. eds., Amsterdam: Elsevier.
22. Ladev~ze, P., Aubard, X., Cluzel, C., and Guitard, L. (1998). Damage and fracture modeling
of 4D CC composites, in Damage Mechanics in Engineering Materials, pp. 351-367, Voyiadjis,
G., Wu, J., Chaboche, J. L., eds., Elsevier.
23. Ladev~ze, P. (2000). Modelling and computation until final fracture of laminate composites,
in Recent Developments in Durability Analysis of Composite Systems, pp. 39-47, Cardon, A. H.,
et al. eds., Balkema.
SECTION
, ,
10.7
Behavior of Ceramic-Matrix
Composites under
Thermomechanical Cyclic
Loading Conditions
FREDERICK A. LECKIE1, ALAIN BuRa2 and FRANCOIS HILD 3
1Department of Mechanical and Environmental Engineering, University of California,
Santa Barbara, California
2 Laboratoire de Physico-Chimie Structurale et Macromol~culaire, UMR 7615, ESPCI,
10 rue Vauquelin, 75231 Paris Cedex 05, France
3 Universitr Paris 6, LMT-Cachan, 61 avenue du PrEsident Wilson, 94235 Cachan Cedex, France
Contents
10.7.1 O v e r v i e w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1015
10.7.2 B a c k g r o u n d : State P o t e n t i a l of a [0,90]
Fiber-Reinforced Composite .............. 1017
10.7.3 D e s c r i p t i o n of t h e M o d e l . . . . . . . . . . . . . . . . 1019
1 0 . 7 . 4 I d e n t i f i c a t i o n o f t h e M a t e r i a l P a r a m e t e r s . 1021
10.7.5 H o w to U s e t h e M o d e l . . . . . . . . . . . . . . . . . . . 1022
10.7.6 Table of Parameters . . . . . . . . . . . . . . . . . . . . . 1022
References ...................................... 1023
10.7.1 O V E R V I E W
A constitutive law is proposed for ceramic-matrix composites (CMCs)

which models matrix cracking, interface sliding and wear, fiber breakage,
and fiber pullout and creep (of the matrix). These different mechanisms
induce loss of stiffness, inelastic strains, creep strains, hysteresis loops,
and crack closure. The features are analyzed within the framework of

1016 L~c~e et al.
continuum damage mechanics (CDM) by the introduction of physical internal

variables identified previously in material science investigations. The
intention, then, of the present study is to develop a continuum description
of the damage processes which is mechanism-based and which may be used to
describe the behavior of CMCs under the conditions of multiaxial stress
occurring in practice. Since crack spacing at saturation is small in most
CMCs, CDM is an appropriate means of describing degradation, since
changes in elastic moduli measured on a macroscopic level provide a simpler
and more robust means of measuring damage than does microscopic
measurement of crack density, which requires the average of many readings
before reliable values are established.
By combining CDM with micromechanical studies which are mechanism-
based, constitutive equations are developed which lend themselves to the
finite element procedures commonly used in practice. The CDM formulation
applied to reinforced composites is written within the framework of the
continuum thermodynamics. The first step in establishing such a model is to
identify the internal variables which define the state of the material. The
second is to determine the expression of the state potential in terms of the
state variables, and the third to define the evolution laws of the internal
variables.
Composites consisting of a ceramic matrix reinforced by continuous
ceramic fibers are candidates for application in components which
operate at temperatures in excess of those which are normal for metallic
structures. In spite of the fact that the constituents of the CMC are
both brittle, it has been demonstrated that following matrix cracking,
sliding occurs at the fiber-matrix interface which causes inelastic
deformations. The presence of matrix cracks and inelastic deformations
may impart to the material the ability to redistribute stresses. The ability to
redistribute stress is an important property since design studies indicate that
working stresses for CMC components are sufficiently high for matrix
cracking to be unavoidable in regions of stress concentration occurring
at the junctions and penetrations which are a feature of engineering
components.
The model is integrated into a finite element system (ABAQUS) and is
used to estimate the behavior of a representative structures under monotonic
[1], cyclic [2], and creep [3] loading conditions. Design and lifting
procedures are able to deal with thermal loading, creep, and cyclic loading
just by extending the original formulation to isochronous analysis [4]. It is
observed that some CMCs have the ability to redistribute stress so that, as
for plasticity, the presence of initial stress concentrations does not
compromise the performance of the component, because it is reduced during
the loading.
10.7 Behavior of Ceramic-Matrix Composites 1017
10.7.2 BACKGROUND: STATE POTENTIAL OF A

[0, 9 0 ] F I B E R - R E I N F O R C E D C O M P O S I T E
This part deals with the derivation of a constitutive law for a [0,90]
(laminated or woven) composite submitted to multiaxial loads in plane stress
conditions. The method is based upon the construction of the properties of
the composite from the properties of the constituents and the stacking
sequence of the layers.
The initial behavior of the matrix is assumed to be isotropic. The presence
of cracks leads the behavior to become anisotropic. The assumption is
made that cracking occurs normal to the y-direction (e.g., maximum
principal strain direction) in the matrix. Under the hypothesis of a monotonic
loading condition, only one damage variable is needed to model matrix
cracking, and that is denoted by Dmy. The study of a cracked system normal to
one direction shows that the Young's modulus along that direction and the
shear modulus are altered and that the expression of the elastic energy density
of the matrix is
IE .[~,~ + 2Vm(1 - Dms)e,mx~e,myy + (1 - Dmy)e,2yy]

Om = ~ 1 - v~(1 - Vmy) (1)
Jr- 2 G m ( D m y ) f"rnx
2 y
with
Gm
( Dmy ~ 1
-
(2)
1+ 1 - Dmyf 2(1 + Ym)
where Era, Vm, Gm are the initial elastic properties of the matrix. The
components of the strain tensor of the matrix ~m expressed in the x - y frame
are denoted by emx~, emyy, and emxy.
The fibers are aligned along the i-direction. The fiber breaks are
assumed to be perpendicular to the fiber direction and are described by a
damage parameter Dfl. Therefore, the elastic energy density of the fibers is
given by
1F
0s - ZL-'-~
let-(1 - Dfl)411 + 3~f8r
.,.s_ -4- 2Gf(Dfl)412 (3)
with
Gf(Dfl ) -
Dr1) 1 (4)
1+ 1 - Dfl 2(1 q-- Vf)
1018 Leckie et al.
where Ef, vf, Gf are the initial elastic properties of the fiber. The components
of the strain tensor of the fiber ~f expressed in the x-y frame are denoted by
8./11, 8./22, and ~f12.
A layer consists of fibers aligned along the 1-direction embedded in the
matrix. To determine the behavior of this layer, microinterface compatibility
conditions are written in terms of strains _d- and stresses ~r_t on the layer level.
m
It is more convenient to write the conditions in the 1-2 frame. The following
equations are derived by using Voigt's approximation in the fiber direction and
Reuss's approximation for the transverse properties:
emil - eS11 = e~l fm em22 +j~ eS22 - ~2L2 fm~m12+fs 8./12 -- 8L2 (5)
fm O'mll -~-ff O'fll = 0"~1 0"m22 = 0"f22 = o'L20"m12 -- O'f12 = o'L2 (6)
where j~, fm denote the volume fraction of the fiber and the matrix,
respectively, and cr~ and s~ are the components of the stress and strain
tensors __aL and _s._E_ in the 1-2 frame. The solution of the previous system yields
~L _. EL(Dmy, Dfx )'8_L (7)
where EL(Dmy,Dfl) is the stiffness tensor of a layer which is dependent upon

all danTage variables defined at the constituent level. The elastic energy
density associated with matrix cracking and fiber breakage at the layer level is
expressed as
~r _ L(Dmy, Dfl):e
1 eL:E _ L (8)
The elastic behavior of a [0,90] composite system is determined by

applying classical laminate theory
__ ~00__ ~90 and __a- foo __aoo+f9o ~90 (9)
where foo and f9o denote the volume fraction of the 0 ~ and 90 ~ layers, and
~oo, _aoo and _~9o,{r9o the strain and stress tensors in the 0 ~ and 90 ~ layers. The
overall behavior of the composite is defined as
00 90 00 00
--" E.-E-(Dmy'Dmy,Dfx,Dfl ) " ~ (10)
with
E(DCmO D9Oy,D?O,D~O) __ fO0 E(DOO,D~O ) -t- f90 E(V9Oy,D?O ) (11)
where E(D~17690
w
00 90
,D)I ) is the fourth order elastic tensor of the composite,
which is a function of all damage variables on the constituent level for all
layers. The elastic energy density associated with matrix cracking and fiber
breakage can be written on the composite level as
~r = f00 r o0 + f9o ~ 90 (12)
where r a n d ~90 are the elastic energy densities of the 0 ~ and 90 ~ layers.
Inelastic strains are essentially due the interface sliding between the fiber
and the matrix. From a micromechanical point of view, sliding can take place
as soon as a crack is bridged by fibers. The analysis of these sliding systems
leads to the following expression of the stored energy density [5]:
--2E\~i1 + d-~22//+2 G t,,d-~12) (13)

with
4 fOOEOOf9OE9O foo oOOf90690
E--- and G- (14)
3 fOOEOO_4_f9OE90 foo GOOjr_f90 G9o
where E~176is the Young's modulus of the 0 ~ layer in the fiber direction 00, E90
is the Young's modulus of the 90 ~ layer in the fiber direction 90, G ~176 is the
shear modulus of the 0 ~ layer, G 9~ is the shear modulus of the 90 ~ layer,
d11, d22, and d12 are damage quantities related to sliding, and ~i11, ~i22, and
s are the inelastic strains.
The following expression of the free energy density for [0,901 CMCs can be
obtained:
1 90 00 90 _ ~S
(15)
O - - -~(~= - ~i - ~ c ) E ( D ~ 1 7 6 ,Dr1 )'(~= - ~i - ~c) +
where ~_cis the creep strain tensor. From this expression, the associated forces
to each internal variable are given by partial differentiation:
0r 0r 0r 0r 0r
a_ - - c3---~' Y= c3O ' y- c3d ' X= c3~ i ' S- c3~ c (16)
00 90
where D -__ ft,-.mx,,-.mx,~.-fl
D00 .N90 .N00.N90
,~flJ% and Y - {Y~; Y~; y~O; yfO}, d - { d l l , 9 d22, 9
d12) and y = {y11; y22; y12]:.
A priori, it is necessary to know thirteen evolution laws associated with the
thirteen internal variables. But only the six following evolution laws are
necessary:
9 One law related to matrix cracking Dm = Dm(Ym), because the variables
D ~176
and Dgm~ correspond to only one single mechanism, and therefore have
1020 Leckie et al.
the same evolution law
9 One law related to fiber breakage Df = Df(Yf), since D~~ and D 9~ have
the same evolution law, because fiber breaks are perpendicular to t~e fiber
direction:
Df--l-exp - ~f0 ; (18)
9 Two laws related to the inelastic strains, since debonding and sliding
mechanisms in the 0 ~ and 90 ~ layers arc identical, and thus ~i~l and ei22 have
the same evolution law. The second one concerns ei12. In a unidimensional
analysis [5] it has been observed that the back stress X is only a function of
the applied stress or. If the relation is extended to a multiaxial state, then the
inelastic strain tensor __eiis a [unction of the stress tensor or:
8io~oc - - 8i t \ tTth
and 8i12 -- 8is
Tth
sign(a12) (19)
with an equivalent shear stress dependent upon the hydrostatic pressure
9 (20)
where ee - 11, 22 and {.} are the Macauley brackets. When numerous cycles
are performed, the evolution of the inelastic strains as a function of the
number of cycles is written as
FIN]- ei~(N) 1 -- (1 - exp [ - ( l ~ - 1])"]) (21)
where gi~(N) is the inelastic strain after N cycles and ~i~ the inelastic strain
for the first loading ( N - 0).
9 Two laws related to in-plane debonding d - d(y), since dll and d12 are
assumed to have the same evolution law. These last evolution laws are not
needed to derive the behavior of the composite. Neither the state laws nor the
evolution laws are explicit functions of the damage variables d, which are
needed to express the stored energy.
9 Similarly, two laws related to creep are needed. For the normal strains,
the evolution law is assumed to be independent of the temperature and is
written as
~E~ exp
and for shear strains, the evolution law is explicitly dependent on the
temperature:
~c12[t]- ~12o exp b T o - 1 kZo/ t-~2o . (23)

PARAMETERS
The identification procedure is carried out by using the results of pure tension
tests along two orientations: one in the direction of a set of fibers (0 ~ and one
at + 45 ~ Each test involves a series of loading and unloading sequences.
The first step is to determine the elastic properties, which are usually given
by the manufacturer. The ones of the matrix may be degraded by processing
(e.g., porosity or microcavities). The initial elastic properties of the matrix are
determined from measurement of the initial Young's moduli E ~176 and E 45,
respectively, for a 0 ~ and + 45 ~ tension test.
The next step is to identify the parameters of the relevant evolution laws.
The fitting procedure can be summarized in the following way:
9 The variation of Dm with Ym obtained from the experimental data of the

unloading slopes for different maximum stress levels of a tension test at
+45 ~
9 The evolution law of the inelastic tensile strain, gill, is obtained from the
value of the unloading strain at the maximum stress of each unloading loop
in the tension test performed in the 0 ~ direction (i.e., direction of the
fibers).
9 The evolution law of Df with Yf, modeling fiber breakage, results in the
fitting of the unloading slope for the maximum stress levels of a tension test
at 0 ~
9 The evolution law of the inelastic shear strain, gi12, is obtained from the
value of the unloading strain at the maximum stress of each unloading loop
in a tension test at 4-45 ~
9 The cyclic properties can be identified with either a tensile or a 4-point
bend test. By measuring the evolution of the inelastic strain gi~fl with the
number of cycles, the parameters of the function F can be identified.
9 To identify creep properties, one needs more tests because creep is sensitive
to stress levels and temperature range. Four different tests are used: one
tensile test at 0 ~ and three tensile tests at + 45 ~
The different steps are summarized in Table 10.7.1.

1022 Leckie et al.
TABLE 10.7.1. Experimental Tests Needed for the Identification of the Model
Number of Type of test Evolution law

experiments
Tension tests @ 0~ Gioc~ Df

with unloading @ 4- 45 ~ Dm ~i12
Tensile
Fatigue 4-point bend test 60 o FIN]
Creep test @ 0~ ~caa
(O'1, T1)
Creep test @ + 4 5 ~ for 3 sets (0"2,T1) Bc12
(0"3, ]"3)
This model is fully implemented and maintained in the commercial finite

element code ABAQUS via a UMAT routine. Integrated laws are easy to
implement and reduce the computation cost, especially for fatigue and creep
loading conditions, by using the isochronous analysis [4].
Several applications of the model can be found for SiC/SiC composites [1-
4]. All these examples have a full description, in terms of the distribution of
tensile and shear stresses, inelastic strains, and matrix damage, of tension tests
on plates with a hole and bend test on a plate. Some of the computations are
compared to experimental measurements.
To simplify the identification procedure, an assistant was written by using
the same routine developed for the finite element code. This quasi-automatic
identification closely follows the different steps summarized in Table 10.7.1.
1 0 . 7 . 6 TABLE O F P A R A M E T E R S
The identification procedure is applied to various [0,90] laminated or woven

CMCs. Some examples are given in Table 10.7.2.
It can be noted that the material parameters modeling elasticity, matrix
cracking, interface sliding, fiber-breakage, and fiber pullout of SiC/SiC
composites are valid for the whole temperature range (i.e., from the room
temperature to 1200~ Furthermore, the chemical degradation of the fiber
TABLE 10.7.2 Material Parameters for Various CMCs
SiC/SiC C/C A1203/A1203
Material parameter Value Unit Value Unit Value Unit
Matrix elastic modulus Em 157 GPa 9.5 GPa 40 GPa

Matrix Poisson's ratio Ym 0.25 0.1 0.25
Matrix volume fraction fm 0.55 0.56 0.60
Weibull modulus mm 1.6 1.15 NA
Normalizing energy Ymo 0.60 MPa 1.21 MPa NA MPa
Saturation parameter Dsat 0.99 0.99 0.01
Fiber elastic modulus Ef 200 GPa 280 GPa 380 GPa

Fiber Poisson's ratio vf 0.25 0.1 0.2
Fiber volume fraction ff 0.45 0.44 0.40
Weibull modulus mf 4.5 NA NA
Normalizing energy Yfo 42.5 MPa large MPa large MPa
Tensile inelastic strain constant 8int 4.99 10 -5 NA 2.68 10 -5

Threshold tensile stress ~rth 135 MPa NA MPa 66.4 MPa
Exponent nii 1.0 NA 1.74
Shear inelastic strain constant 8ins 5.0 10 - 5 4.52 10 -2 2.61 10 -6
Threshold shear stress zth 59.1 MPa 41.9 MPa 22.5 MPa
Exponent n12 2.0 3.45 25.3
Fatigue amplitude 7 0.984 NA NA

Normalizing value a 6.96 NA NA
Exponent n 1.56 NA NA
Time power law exponent nt 0.451 NA NA

Normalizing time ti0 70.2 h NA h NA h
Shear creep strain constant s120 1.35 10 -3 NA NA
Temperature coefficient b 28.1 NA NA
Stress power law exponent ncr 4.2 NA NA
Time power law exponent ns 0.4 NA NA
Normalizing temperature To 1204 ~ NA ~ NA ~
Normalizing stress ~0 34.5 MPa NA MPa NA MPa
Normalizing time tl20 100 h NA h NA h
coating is not accounted for by the present model. For the two other
materials, only room temperature data are reported in Table 10.7.2.
REFERENCES
1. Burr, A., Hild, E, and Leckie, E A. (1997). Continuum description of damage in ceramic-matrix
composites. Eur. J. Mech. A/Solids 16: 53-78.
1024 Leckie et al.
2. Burr, A., Hild, E, and Leckie, E A. (1998). The mechanical behaviour under cyclic loading of
ceramic-matrix composites. Mater. Sci. Eng. A250: 256-263.
3. Burr, A., Hild, E, and Leckie, E A. (1998). Behaviour of ceramic-matrix composites under
thermomechanical cyclic loading conditions. Comp. Sci. Tech. 58: 779-783.
4. Burr, A., Hild, E, and Leckie, E A. (1998). Isochronous analysis applied to the behavior of
ceramic-matrix composites, in Proceedings ofJNCll, pp. 1343-1349, Vol. 3, Baptiste, D., and
Lamon, J., eds., Paris: AMAC.
5. Burr, A., Hild, E, and Leckie, E A. (1995). Micro-mechanics and continuum damage
mechanics. Arch. Appl. Mech. 65: 437-456.
SECTION 10.8
Limit and Shakedown
Analysis of Periodic
Heterogeneous Media
GIULIO MAIER, VALTER CARVELLI, and ALBERTO TALIERCIO
Department of Structural Engineering, Technical University (Politecnico) of Milan, Piazza Leonardo
Da Vinci 32, 20133 Milano, Italy
Contents
10.8.1 Introduction: Basic Concepts and
Applicability Domain . . . . . . . . . . . . . . . . . 1025
10.8.2 Limit Analysis by the Static Approach. 1027
10.8.3 Limit Analysis by the Kinematic
Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1029
10.8.4 A General Finite Element Linear
Programming Procedure . . . . . . . . . . . . . . 1031
10.8.5 Shakedown analysis . . . . . . . . . . . . . . . . . . 1032
10.8.6 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1034
10.8.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . 1034
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1035
10.8.1 I N T R O D U C T I O N : BASIC C O N C E P T S
AND APPLICABILITY DOMAIN
The engineering motivations for what follows may be clarified first by

referring to two typical examples of ductile heterogeneous media" (i)
perforated steel plates frequently employed in power plants" (ii) structural
components made of metal-matrix fiber-reinforced composites (MMCs). In
both these representative cases, overall inelastic analyses must be carried out
in terms of average (or "macroscopic") stresses __Z- (~=(x)) and strains
E - (~(x)). Therefore, at first a homogenization procedure is required, i.e., the

1026 M a i e r et al.
characterization of a homogeneous "equivalent material" through a micro-

structural analysis based on the local constitutive models for each constituent
(or "phase"), say, ~=(x_,t) = f(e(x, z), 0 < z < t), and on the geometry of the
texture at the "microscale"; see, e.g., Reference [1]. From here onwards, (.)
denotes averaging over a suitable representative volume; underlined symbols
denote vectors, doubly underlined ones second-order tensors, and dots time
derivatives.
Consider engineering situations in which deformations up to collapse can
be reasonably expected to be "small" (this implies linear kinematic
compatibility and rules out the influence of deformations on equilibrium)
and the material behavior can be realistically interpreted as elastic-plastic and
stable in Drucker's sense (hence: convex yield surfaces; associated flow rules;
no softening), either perfectly plastic or hardening with saturation. In such
situations, if it is experimentally, or otherwise, ascertained that the dominant
dissipative phenomenon is plastic yielding (no debonding at interfaces
between phases; no damage or microfractures), then, in view of overall
structural analyses, the main feature to be assessed for the equivalent
homogeneous material is its "strength," i.e., the plastic failure locus (or "yield
surface") in the space of the average stresses =E and, hence, the "macroscopic
strength domain," G h~ defined by that locus.
If the structure is subjected to thermal and/or mechanical external actions
("loads") fluctuating in time ("variable repeated," in particular cyclic), it is of
interest to assess in the E space also "shakedown domains" "c-.ho~ SD
with respect
to sets of assigned "loading domains" ~2 of variable repeated Z ( t ) E D.
Specifically, the question to answer is as follows: given one ~2 ("basic" loading
domain), what is the amplification factor, or "shakedown limit," sso, such that
the cumulative (integral over space and time) dissipated energy D is
unbounded (i.e., limt~oo D ( t ) = oo) for factors /~ > SsD, and it is not so if
/~ <_ ssD, namely, if yielding processes eventually vanish (i.e., the system
"shakes down"). Unboundedness of D characterizes three distinct "ultimate
limit states": (a) incremental collapse (otherwise called "ratcheting"); (b)
alternating plasticity (or "plastic shakedown"), with no divergence of
deformed configuration in time; and (c) "plastic collapse" in the special case
where the load domain shrinks to a point, say, Z0 (in this case, sso coincides
with the yield limit So, which amplifies E0 = leading to a point E_-0~ on the yield
surface of the homogenized material).
The following circumstances are worth noting: (i) G h~ contains every ~hom "" SD
and represents an essential feature of the homogenized material model,

whereas the shakedown domains c-horn ~" S D
depend also on the set of basic loading
domains considered; (ii) shakedown (SD) theories and methodologies apt to
compute SsD (and hence any ~hom~ "-'So ~ cover as special cases those meant to
provide So and, hence, Gh~ (iii) the present conception of strength is in
10.8 Limit and Shakedown Analysis of Periodic Heterogeneous Media 1027
principle nonconservative (though practically quite realistic for prevailing

ductile behaviors), since it does not allow for undesirable mechanical events
(such as excessive deformations or cracks) that might occur for # < SSD; (iv)
"direct" methods for shakedown analysis (SDA) and limit analysis (LA), with
respect to evolutive (step-by-step) inelastic analysis techniques are consistent
with frequent lack of information on the loading history (only fluctuations
intervals are often known); also, they are generally advantageous in terms of
computational effort and therefore more suitable to multiple parametric
studies in design processes.
The fundamentals of direct (nonevolutive) methods for LA and SDA of
heterogeneous media will be presented in the subsequent sections according
to the following criteria and further restrictions: (i) periodicity assumptions
and consequent reference to a representative volume (RV) with periodicity
boundary conditions, typical of homogenization theory; (ii) von Mises
perfectly elastic-plastic local material model, defined by a single parameter
(e.g., tensile strength), in addition to the elastic moduli.
The present subject is rooted in classical plasticity and homogenization
theories and, hence, the relevant literature is enormous. The few items
concisely presented herein are selected by application-oriented criteria, and
only a few closely related references are cited for details. On direct methods, a
state-of-the-art and a fairly comprehensive up-to-date pertinent bibliography
can be found in Reference [2].
1 0 . 8 . 2 L I M I T ANALYSIS BY T H E STATIC
APPROACH
The classical static (or "lower bound," or "safe") limit theorem can be stated as
follows: a solid will not collapse if and only if there is a ("statically
admissible") stress field which everywhere fulfills equilibrium and local
strength limitations (or "yield conditions"). Its validity is guaranteed, as
mentioned in Section 10.8.1, by linear kinematics and perfect plasticity, stable
in the sense of Drucker's postulate. By applying this statement, the strength
domain Gh~ in the space of average stresses Z for a periodic heterogeneous
medium whose RV occupies the volume V with boundary ~V can be defined as
follows (see, e.g., Reference [1]):
o - {zlz = v;
(I)
div a(x) - O_ in V; a(x). n(x) antiperiodic on OV}
1028 Maier et al.
where G(x) denotes the (convex) strength domain of the heterogeneous

material at any point x of the RV, and n is the outward unit normal to OV. A
possible discontinuity surface for the microscopic stress field can be also
accounted for in Eq. 1 by interpreting div a__in the sense of the theory of
distributions.
A domain Go contained in G h~ (and, hence, conservative, i.e.,
representing lower bounds to the strength of the homogenized material)
can be computed by selecting over the RV special statically admissible
microscopic stress fields that comply with the periodicity boundary
conditions on OV. For unidirectional fiber-reinforced composites, a simple
domain inside G h~ is [3, 4]"
Gr = { E = ~m + O'e_x (~) C_x; 0"__m C Gm; -d- <or<F+}

(2)
where 6+ - vf (dr: - if:)
having set Gm as the strength domain of the matrix material; g?, O" -+
m a s the
uniaxial strength of fibers and matrix in tension (+) and compression (-); vf
as the fiber volume fraction; o as a scalar stress variable; and | as the dyadic
product. Under several (also multiaxial) stress conditions, Eq. 2 gives fairly
accurate estimates of the macroscopic strength of the material [4, 5].
In particular, if both phases comply with von Mises strength criterion
(which is the case, e.g., for MMCs), Eq. 2 analytically provides a lower bound,
say EL, to the macroscopic uniaxial strength of the composite, ~.hom, for any
orientation 0 of the applied stress E to the fibers (the superscripts 4- are
omitted, the material behavior being symmetric in tension and compression).
These bounds, visualized by the dashed line in Figure 10.8.1b for the MMC
case of Figure 10.8.1a, reads [3]:
(__ 1 3 sin20
2
"q- (_2
am
(3)
3~ 2sin 20 1 - ~ s i n 20
> ifO<O<O*
~m
if O* < 0 < -
sin 0 1 - 3 sin2 0
(3)
The orientation O* can be computed simply by equating the two expressions

for E/.
FIGURE 10.8.1 Limit and shakedown analysis of a metal-matrix composite, a. Representative

volume, b. Bounds on the macroscopic uniaxial strength by the kinematic approach, Eq. 6 (solid
line) and static approach, Eq. 3 (dashed line) [4]. c. Finite element mesh and incremental collapse
mechanism for 0 = 30 ~ d. Uniaxial plastic collapse (dashed line) [ 11] and shakedown limit (solid
line) vs. direction 0.
1 0 . 8 . 3 L I M I T ANALYSIS BY T H E K I N E M A T I C
APPROACH
The kinematic (or "upper bound," or "unsafe") limit theorem, subject to

the same validity restrictions as the static one, can be expressed in
the following terms: a solid will collapse if and only if there exists a
mechanism (i.e., strain and displacement rates obeying geometric compat-
ibility) such that the work done by the external forces exceeds the total
dissipated energy (the local density of which is uniquely defined by the
plastic strains).
On the basis of this statement, the strength domain Gh~ can be formally
defined as follows:
1030 Maier et al.
(4)
rch~ being the dissipated power over the RV associated to ~, namely:
Tch~ 1 fVzr(~(x_))dV, subject to:

,_(x)-~1
r - g w_ + ;
h_(x) -- ~ . x + ~_(x_); ~_periodic over V (5)

where IV[ is a volumetric measure of the RV; fi denotes the microscopic
velocity field; ~ is the associated strain rate field; and zt is the specific
dissipated (plastic) power (i.e., mathematically, the support function of the
local strength domain G at point x E V). Here again, discontinuity surfaces for
the microscopic velocity field can be accounted for in Eq. 5 by interpreting
~7fi in the sense of the theory of distributions.
Domains that bound G h~ from outside can be obtained by considering
simple "failure mechanisms" for the RV, either characterized by uniform
strain rates or by "failure planes" that split the RV element into blocks
rigidly moving with respect to each other [4]. For instance, upper bounds
Ev to the macroscopic uniaxial strength of MMCs can be computed by
means of mechanisms characterized by slip planes cutting the matrix
and intercepting the midpoints of a couple of opposite or adjacent sides
of the RV (see Reference [4] for further details). These bounds depend on
the fiber volume fraction vf and the spatial arrangement of the reinforcement.
For fiber evenly spaced according to a regular hexagonal pattern,
provided that the percentage of reinforcement is not too high (Yf < ~V/3/8),
an upper bound to s is
2Fm 2Fm
Eh~ _< E U ( 0 ) - min
6 + Fm; V~ sin 20'
sin0 3 1-~sin20
(6)
It is worth noting that the two bounds, s Eq. 3, and Ev, Eq. 6, coincide at
0 - O; that is, the uniaxial strength of the composite along the fibers can be
exactly predicted and turns out to be
~,h~ = ~ + F m -- (1 - vf )Fm + vfFf (7)
This is a well-known formula which is widely employed in applications and is

usually called the "rule of mixtures." The bounds presented in this and the
preceding section can be extended to materials with different strengths in
tension and compression [4]. Also, debonding at the fiber-matrix interface
can be accounted for, provided it does not imply a softening behavior [5].
10.8.4 A GENERAL FINITE ELEMENT LINEAR

PROGRAMMING PROCEDURE
The applicability of the convenient closed-form bounds was seen to be limited

(they are particularly accurate for uniaxial stresses and moderate vf). A
numerical method for LA of composites can be developed by a static approach
through the following sequence of operation phases (for basic concepts of the
method, see, e.g., References [6, 7]; for specific details, see References [8]).
(a) Perform a piecewise linear approximation (PWL) of the local material
model. (b) Generate a finite element model of the RV. (c) Consider as loads an
average stress state ~0 amplified by a load factor #. (d) Maximize # under
statical admissibility constraints on the discretized stresses, namely, subject to:
linear equations expressing the average link between #~0 and the stress field;
equilibrium and periodicity on OV; and linear inequality which enforces the
PWL yield conditions. (e) Interpret the optimal (max) value as collapse
multiplier (or safety factor) s s with respect to ~0 (i.e., s~0 as a point belonging
to the boundary of G h~ and the optimal vector as one of the possible stress
states at collapse.
If a kinematic approach is adopted, the last two phases become: (dt)
Minimize the total dissipated power (a linear function of plastic multiplier
rates) under kinematic admissibility constraints on the modeled velocity
fields and non-negative plastic multiplier rates, namely: linear equation which
expresses splitting of velocity fi_ into an addend linear in space, related to ~,
and a periodic addend r periodicity on OV and geometric compatibility of r
normalization of the "external power" ~0 " ~. (et) Interpret the optimal (min)
value as safety factor sk and the optimal vector as one of the possible collapse
mechanisms. This sketchy outline can be supplemented by the following
remarks.
(1) At the finite element interfaces discontinuities can be modeled
for stresses under equilibrium constraints on tractions, for strains under
neither detachment nor compenetration conditions on displacements (see
Reference [8]).
1032 M a i e r et al.
(2) If the local PWL strength loci in (a) are inscribed in the original ones,
and if the field modeling (b) and the constraint in (d) are such that static
admissibility is complied with everywhere, then ss is a lower bound on the
exact, "safety factor" s. Similarly, if phase (a) generates a circumscribed PWL
approximation and (d~) satisfies kinematic admissibility exactly, then
s h = sv >__s. However, often in practice a tight bracketing of s is
computationally cumbersome to achieve; then secant approximation (a)
and only approximate enforcement in (d), or (d~), are preferable, leading to
sS~ s, or s k ~ s, with discrepancy unknown in sign but reducible by
refinements in phases (a) and (b) at the price of increased computing cost
(which for a linear programming (LP) problem in "normal form" is roughly
proportional to m n 3 if m and n are the numbers of variables and constraints,
respectively).
(3) The previously outlined LA procedures are centered on LP with the
following peculiar features: (i) LP software (based on the classical Simplex
method and its variants) is widely available and often adopted to large-scale
computing; (ii) any LP problem uniquely defines its "dual" LP problem, which
can be interpreted as a kinematic formulation if the primal is a static one, and
vice versa. Modern LP solvers provide the solution to both, but process the
more economical one.
(4) The PWL phase (a) leading to LP implies a drastic increase in the
number of variables (an increase which can be reduced by a suitable trial-and-
error procedure). If (a) is omitted, the phases (d) and (d~) lead to (convex)
nonlinear programming (NLP) problems, by far more laborious to solve than
the LP problem. The trade-off between LP and NLP formulations of LA is not
resolved in general, much depending in practice on the availability of ad hoc
software.
10.8.5 SHAKEDOWN ANALYSIS
For periodic heterogeneous elastic-plastic solids subjected to an assigned

loading domain ~2 of (uniform) variable-repeated average stresses _Z(t) c ~2,
the following theorems can be proved (see, e.g., References [7, 9, 10]).
(a) Shakedown will occur if, and only if, there is a field of self-stress a s
such that, at any time and everywhere in the RV, the sum of it and of
the (local) elastic stresses a__e due to ~ complies with the (local) yield
conditions and the periodicity on the boundary of the RV.
(b) Shakedown will occur if, and only if, for all "admissible plastic strain
cycles" (APSC) the cumulative dissipated energy is larger than, or
equal to, the ("external") work done by the elastic stresses a__e due to
the concomitant external actions. By APSC is meant a history over a
time interval T of a fictitious imposed plastic strain field, the time

integral of which over T is compatible with displacements complying
with the periodicity conditions as in Eq. 5.
(c) If ~2 is a polyhedrical region (possibly as a PWL approximation of the
input data), for SD analysis purposes it can be replaced by the set of its,
say m, vertices" this reduces q~(t) to a sequence ~ and any APSC to a
corresponding sequence of finite increments e_if,j = 1 , . . . , m.
The kinematic method outlined in following text turns out to be

computationally rather effective, in the writers' experience. The formulation
based on (b) and (c), on traditional finite element discretization (displace-
ment modeling), and on Mises elastoplasticity reads:
~-- rnin ~ i E ciJin:(~i~)' subject to" (8)
j i j
Here indices i and j run over the sets of Gauss points (C i and Ji being Gauss
weights and Jacobians) and vertices of f~, respectively; Eq. 9 enforces plastic
incompressibility, compatibility at the APSC end (_V being the nodal
displacement vector allowing for periodicity, B i the compatibility matrix for
point i), and normalization of the total "external work" along the APSC,
respectively.
Eqs. 8 and 9 represent a convex NLP problem with nonsmooth objective
function (since the Mises dissipated power rc is nonsmooth). The solution
algorithm, described and satisfactorily employed in References [11, 12], is
centered on the enforcement of Eq. 9a (with empirical suitable choice of the
relevant penalty factor 0~) and on an iterative procedure for solving the
(nonlinear) Kuhn-Tucker optimality conditions.
Remarks: (1) The optimal value ~ is an approximation of sst), not a bound.
(2) If f~ shrinks to a point, SDA reduces to LA and elasticity could be proved
to become immaterial. (3) If a PWL approximation is adopted for the local
material models, SDA becomes an LP problem, as a generalization of the LA
formulations of Section 10.8.4. (4) History-dependent post-SD quantities
(e.g., relative residual displacement of two points of the RV) can be bounded
from above by bounding techniques, which, in PWL formulations (possibly
accounting for hardening), can be reduced to a quadratic programming
followed by an LP problem (see, e.g., Reference [7]).
1034 Maier et al.
10.8.6 EXAMPLES
The first illustrative example concerns a ductile MMC characterized by the RV

shown in Figure 10.8.1a and by fiber vs. matrix ratios 1.86 for volumes and
8.7 for yield stresses (both are Mises materials). The homogenized uniaxial
plastic collapse limits and SD limits (for fluctuations between 0 and E) versus
the angle 0 from the fiber axis have been computed by the bounding formulae
of Sections 10.8.2 and 10.8.3 and by the finite element procedure summarized
in Section 10.8.5 (432 finite element with bilinear interpolation, c~ = 106).
These results are comparatively visualized in Figure 10.8.1b, d.
The second and third example concern LA and SDA of perforated
metal plates, regarded as two-dimensional plane-stress systems and
depicted in Figure 10.8.2a and Figure 10.8.3a as for RV and finite element
mesh. Representative results are visualized in Figure 10.8.2b and Figure
10.8.3b, and compared in the latter to experimental data with excellent
agreement.
10.8.7 CONCLUSIONS
What precedes is intended to provide introductory and orientative informa-

tion on the title subject. In closing, the reader's attention is drawn to the
following remarks.
.6 I ~ ~ ~
x2A
0.4 I
_?,2
xI 0.2
I
I
I
0.0 . . . . . . . . ' I
0.0 0.2 0.4 0.6
(a) (b) El /
FIGURE 10.8.2 Perforated plate with circular holes (volumetric ratio 0.2). a. Representative
volume, mesh of 392 finite element and biaxial average stress state, b. For 0 = 45~ loci of plastic
collapse (dashed line) and of shakedown limit (solid line) for rectangular load domains t2
(m -- 4).
1.0 ,, I,, I,, I,, I,, I,,
0.8 -
Z/~
m
0.6
0.4
di - -~Xl
L
0.2 i
h 0.0 ''1''1''1'' I''l''t
0 15 30 45 60 75 90
(a) (b) 0~
FIGURE 10.8.3 Perforated plate with rectangular holes (h = 0.1f; d - 0.7f). a. Representative
volume, mesh of 224 finite element and uniaxial average stress state, b. Plastic collapse limit vs.
direction 0, present method (solid line) and experimental results by Litewka et al. [13] (dots).
(a) For understanding and implementation of the computer-oriented

methods outlined in Sections 10.8.4 and 10.8.5, details can be found in
References [8, 11, 12]. Moreover, a variety of alternative techniques is
available nowadays in the literature: most of them are referenced in the
review paper [2]; specifically on composites, i m p o r t a n t contributions
(not cited here for space limitations) are due to G. Dvorak, E Leckie, A.
Ponter, E Rammerstorfer, D. Weichert, and others.
(b) Besides plastic collapse and lack of s h a k e d o w n , susceptible to be
analyzed by the direct (nonevolutive) m e t h o d s dealt with herein, there
are other ultimate or unserviceability limit states to be studied by
generally m o r e laborious time-stepping (evolutive) m e t h o d s (ex-
p o u n d e d elsewhere in this book) for the integrity assessments, based
on their texture, of h e t e r o g e n e o u s materials.
REFERENCES
1. Suquet, P. (1985). Elements of homogenization for inelastic solid mechanics, in Homogeniza-

tion Techniques for Composite Media, CISM Lecture Notes in Physics pp. 193-278, vol. 272,
Sancheg-Palencia, E., and Zarei, A., eds., Wien: Springer.
2. Maier, G., Carvelli, V., and Cocchetti, G. (2000). On direct methods for shakedown and limit
analysis. Eur. J. Mech. A/Solids 19: $79-$100.
3. de Buhan, P., and Taliercio, A. (1991). A homogenization approach to the yield strength of
composite materials. Eur. J. Mech. A/Solids 10: 129-154.
1036 Maier et al.
4. Taliercio, A. (1992). Lower and upper bounds to the macroscopic strength domain of a fiber-
reinforced composite material. Int. J. Plasticity 8: 741-762.
5. Taliercio, A., and Sagramoso, R (1995). Uniaxial strength of polymeric-matrix fibrous
composites predicted through a homogenization approach. Int. J. Solids Struct. 32: 2095-2123.
6. Maier, G. (1970). A matrix structural theory of piecewise-linear plasticity with interacting
yield planes. Meccanica 5: 55-66.
7. Cohn, M. Z., and Maier, G. (1979). Engineering Plasticity by Mathematical Programming, New
York: Pergamon Press.
8. Francescato, R, and Pastor, J. (1997). Lower and upper numerical bounds to the off-axis
strength of unidirectional fiber-reinforced composites by limit analysis methods. Eur. J. Mech.
A/Solids 16: 213-234.
9. Maier, G. (1969). Shakedown theory in perfect elastoplasticity with associated and
nonassociated flow-laws: A finite element, linear programming approach. Meccanica 4: 250-
260.
10. K6nig, J. A. (1987). Shakedown of Elastic-Plastic Structures, Elsevier.
11. Carvelli, V., Maier, G., and Taliercio, A. (2000). Kinematic limit analysis of periodic
heterogeneous media. Computer Modelling in Engineering and Science 1(2): 15-26.
12. Carvelli, V., Maier, G., and Taliercio, A. (1999). Shakedown analysis of periodic heterogeneous
materials by a kinematic approach. Mechanical Engineering (Strojnicky Casopis) 50: 229-240.
13. Litewka, A., Sawczuk, and A., Stanislawka, J. (1984). Simulation of oriented continuous
damaged evolution. Jour. de MEch. Th~or. et Appl. 3: 675-688.
SECTION 10.9
Flow-Induced Anisotropy in
Short-Fiber Composites
ARNAUD POITOU and FRI~DI~RIC MESLIN
LMT-Cachan, ENS de Cachan, Universit~ Paris 6, 61 avenue du PrEsident Wilson,
Contents
10.9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . 1037
10.9.2 Constitutive Relation . . . . . . . . . . . . . . . . . 1038
10.9.2.1 Volume Average . . . . . . . . . . . . . 1038
10.9.2.2 Statistical Average . . . . . . . . . . . . 1039
10.9.3 Explicit Calculations for --p ]E . . . . . . . . . . . 1040
10.9.3.1 Suspension of Spheres . . . . . . . 1041
10.9.3.2 Flow around an Ellipsoidal
Particle Immersed in an
Anisotropic Suspension . . . . . . 1042
10.9.3.3 Results and Discussions . . . . . . 1042
10.9.4 Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1046
10.9.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . 1046
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1046
10.9.1 INTRODUCTION
Short-fiber composites are made of a thermoplastic matrix into which

shopped fibers are immersed (fiber length a r o u n d 0.1 mm, diameter a r o u n d
0.01 mm, volumetric concentration a r o u n d 15 to 30%). Composite parts are
manufactured with molding processes similar to those used in the polymer
industry (injection molding, extrusion). During the process, the filled
polymer flows at a molten state and becomes anisotropic because of its
deformation. The problem is coupled because the flow induces a rotation

1038 Poitou and Meslin
of the particles and thus an anisotropy, but the orientation of the particles
modifies the material's behavior and thus indirectly affects the aniso-
tropy. The aim of this article is to give a brief overview of this problem and
to outline contributions from different scientific communities (solid
mechanics modeling and low Reynolds number hydrodynamics). The
application of a differential model to this problem is original in this
context.
10.9.2 CONSTITUTIVE RELATION
Two main steps permit one to derive macroscopic constitutive equations

for anisotropic suspensions: (i) a now standard homogenization
procedure which leads to volume average quantities if the orientation
of the particles is perfectly defined, and (ii) a statistic description of the
orientation.
10.9.2.1 VOLUME AVERAGE
Basic equations are obtained with a volume average procedure [1]. Let f~ be a
representative volume of our macroscopic scale, which contains many
particles located in f~i. Let z, u, and d denote, respectively, the microscopic
m
stress tensor, velocity vector, and strain rate tensor, and let n be a normal
vector to the particle boundary (Figure 10.9.1).
Pa_~cle (~2i)
Volume ~2
FIGURE 10.9.1 Representativevolume at a macroscopic scale.

10.9 F l o w - I n d u c e d A n i s o t r o p y in S h o r t - F i b e r C o m p o s i t e s 1039
For a given fiber orientation p in the suspension, for a Newtonian ambient

m
fluid (viscosity r/), and if inertia terms can be neglected, the corresponding
macroscopic variables T, v, and D are related by
=T - - - e I d--- + 2r/D(v)
_ + =Ep (i)
-
lzJ ~n | xas (2)
--P ~ i
0f~,
In this expression, P is the volume averaged pressure and =Ep describes the
contribution of the particle to the averaged extra stress tensor.
10.9.2.2 STATISTICALAVERAGE
The fiber orientation p is given in an average sense by its probability

m
distribution ~(p) so that the macroscopic statistical averaged stress tensor

(i.e., the stress tensor used in engineering computations) writes:
z_z_- f 2(p_)~,(p__)ap (3)

For most engineering applications, the exact calculation at each point of O(P)
is neither necessary nor possible. This orientation information is correctly
approximated with use of the second-order and fourth-order orientation
tensors:
- f e | e ,(eldp; 8 = f e | e | e | e ,(el# (41

The flow around a single particle in a Newtonian fluid gives a first
approximation for the evolution of one particle orientation. From Jeffery's
calculations [15], for example, if 2 denotes the shape factor of the particle,
and if f~ and D are respectively the volume averaged vorticity and strain rate
tensors"
z~ - i (5)
dP_dt= _~(V) "pm+ r{D(V) p_ -- Tr[D(V) p . p]p} with r - 22 +-----~
The evolution equation of the probability distribution is given by
dO(e) ~ O(p)~_ - ~ D op~ (6)
D is a rotation diffusion coefficient, vanishing at zero shear rates, which

intends to take into account the hydrodynamic interactions between fibers.
The evolution equation for the second-order orientation tensor then

writes:
(~---~ = dt - . a - a. f] ) ( - r D . a + a . D ) ---2ra4" D (7)
This equation does not permit one to determine the orientation tensor if
the velocity field is given, because it involves the fourth-order orientation
tensor. The evolution equation for the fourth-order tensor would similarly
involve the sixth-order tensor, etc. So, in order to close this equation,
it is necessary to introduce a phenomenological relation between the second-
and the fourth-order orientations (closure approximation), which can
take different forms [2, 3]. For example, the simplest one is quadratic and
writes:
a4-__a| (8)
10.9.3 EXPLICIT CALCULATIONS FOR --p
The calculation of ---p

Z as a function of the macroscopic velocity field v requires
one to solve a microscopic problem which can take different forms according
to the level of approximation. Two main kinds of situations have been
considered. Within the first one (slender bodies theory), the stress
distribution at the particle boundary is reduced to a multipolar distribution.
The Batchelor's model [4] is deduced, which has been modified by Shaqfeh
and Fredrickson [13]. All of these models can be written in the following
form:
Z
- ~ p
- 2#Tr[D(v)(p ~ ~ ~
| p)]p | p (9)
In this expression, p is a unit vector aligned along the principal axis of the
fiber, and/2 is calculated as a function of the particle concentration and of its
shape factor, which is assumed to be very large. The exact expression depends
on the level of approximations. The interaction between fibers is accounted
for in a certain sense but for long or very long fibers only. A second class of
models deals with ellipsoidal or spheroidal particles. This case has been
extensively studied for linear elastic materials [5, 6]. However, it has not been
much studied for suspensions, probably because Eshelby's works [7] are not
popular in fluid mechanics.
10.9 Flow-Induced Anisotropy in Short-Fiber Composites 1041
10.9.3.1 SUSPENSION OF SPHERES
The case of a suspension of non-Brownian spheres is meaningful because the

suspension remains Newtonian (viscosity rl~q). In this case, if q~ denotes the
volumetric rate of spheres, and if there is no hydrodynamic interaction, the
dilute approximation leads to Einstein's formula:
E -
---p 5r/q0D (v_) => r/e q - - r / ( 1 + 2.5q0) (dilute model) (10)
To account for hydrodynamic interactions, a very natural way consists in

calculating -E- p in assuming that, instead of being immersed in the ambient
fluid of viscosity r/, the consequences of hydrodynamic interactions are
summarized by placing the sphere in an ambient fluid of viscosity r/eq (self-
consistent model).
Z
=p
-- 5r/eqq0D(v_) => r/cq -- ~//(1 - 2.5q~) (self-consistent model) (11)
For small but noninfinitesimal volumetric rates, the self-consistent model

allows one to derive (with a very different approach than the original one) the
Batchelor's approximation:
~eq -- ~1(1 + 2.5q~ + 6.25q~2) (12)
However, the self-consistent model suffers from strong limitations because

the equivalent viscosity increases to infinity when q ) = 40%. For this
reason, another approach is needed to ameliorate Eq. 11. Following
Christensen [8], we assume that the spheres are added progressively,
step by step. At each step, the suspension is macroscopically a viscous fluid
of viscosity rleq(q)). We then add a quantity d(p of spheres. This quantity
is small enough that Einstein's formula for dilute suspension remains valid.
The only difficulty consists in noting that the reference ambient fluid is
the suspension of volumetric rate q~, so that the volumetric rate induced by d(p
is d(p/(1-q~):
dE=p - 5~/eq i dq~_~o--D(v_) =~ JTeq-- ~//(1 - q~)2"5(differential model) (13)
This differential model leads to the same kind of expression as the Krieger
and Dougherty [9] one. It does not hold anymore when direct
contact between particles is to be considered because the global behavior
of the suspension is then neither linear nor homogeneous. In the
following, we extend Eqs. 11 and 13 to ellipsoids. Two difficulties
must then be overcome. The first is that a suspension of nonspherical
particles is non-Newtonian. The second is that the calculation is more
technical.
1 0 . 9 . 3 . 2 FLOW AROUND AN ELLIPSOIDAL PARTICLE

IMMERSED IN AN ANISOTROPIC SUSPENSION
10.9.3.2.1 Algebraic Preliminary Result
Differential approach:Particlesare added progressively, so that each time one

has to deal with a dilute suspension of spheroids. However, the problem is
here specific, because the suspending fluid is a suspension, which is non-
Newtonian. The system to solve is similar to Eq. 13:
~/dc#
d(21 =
(1 -- ~)S1212
2~/dc#
d(22 -- - -
(18)
~/dr
d(23 =
(1 - r
with initial conditions: (2i = 217 for ~# = O.
10.9.3.3 RESULTS AND DISCUSSIONS
The numerical results [10] have been obtained by computations. In order to

compare these results with other existing theories, the stress tensor will be
written in a similar form as the one introduced by Tucker [11]:
T = -PI=d + 2r/{d + Ns [(p | p)d + d(p | p)J + Tr[(p | p)dJ (p | p)} (19)
with these notations:

Ns -- (23 ~ (21
(21
= (20)
Np 3((22(21) 2((23(21)
2(21 (21
/]1 contains all the isotropic contributions to the viscosity (from both the
solvent and the particles), while anisotropic contributions of the particles are
represented by Np and Ns. However, as in Batchelor's dilute model, we find for
both differential and self-consistent schemes that Np is always greater than Ns,
even for particles of small aspect ratio. So, the anisotropic contributions by
the particles are essentially described by Np. The product r/1 Np is equal to the
parameter # of Shaqfeh's model, and we compare spheroidal model to slender
bodies model. Figure 10.9.2 evidence the differences between the dilute
35
m
30 , ,m
- - Din~.ti.1 / I !
.... Sl~qfeh & Fte4kickson [ / m
25
20
..... t,~.,t, ,~ A.-,,~t.o,,g
. . . . . . . . . Batchelor / /
// / -
!
m
rl, Np
15
/ / /
10 / i .,/,
"
5
p ,2~,kcd.~.,,-.--.-~',""~. . . . . . . .
0 --77L ] ii I I I
0 0. l 0.2 0.3 0.4 0.5
Fiber volume fraction
400 g
1
350 Self oonsistant l t
--- - - Differential l /
.... Shaqfeh & Fredrickson [ ,t
300 ..... Dinh & Armstrong [
.......... B a ~ h e l ~ / /
250
~1 Np 200 / / /
/ /
L - 20
150
/ ,,~
" s~ 'S
/
100 ~ ~' ,.,,,t
-... .. ::." . .....
50
0
0 0.1 0.2 0.3 0.4 0.5
1 lO s . . . . . . . . . . . . . . / ......
8104 ,, j
........ I i /
6104 / t /
ql Np ~ / /
4 104 9 ~=350 / ,," /
2104 9 / ~ ,~j SS .., 9
o ~,-.a-~.".-.'r'-.~..'f-.'.r::-.-' ............ "~. . . . . . . . . . . . ,
0 O. 1 0.2 0.3 0.4 0.5

FIGURE 10.9.2 fix N p as a function of fiber volume fraction.

80
Self eortsistant
7O - . Differential
.... Shaqfeh & Fredrickson
60 modified
50 /
/
rim Np 40 ,r
~=5 /
30
20
10
0
0.1 0.2 0.3 0.4 0.5
700 84
Self eonsis "rant /
600 . - --, Differential /
.... Shaqfeh & Fredrickson /
I ::'
500
~iNp
400
I 9
300 ~,=20 / ,S/
200 / :I
100
0 ~ ~ ~ ~i
~ ~ " ~' ~'"~~ r I I
0 0.1 0.2 0.3 0.4 0.5
5
llO / ~ i
Self consistant / e
_ _ r~ifr~.~.~l / ]
8 10 4 .... Shaqfeh & Freddeksan [ / t
6104 / /
rh z /
4 ~, = 350 1 /
410
J sss J
J Ss
2 10 4 ,~ , - , ' ' "
0 i i
0 0.1 0.2 0.3 0.4 0.5
FIGURE 10.9.3 Modified r/1 Np as a function of fiber volume fraction.
FIGURE 10.9.4 Injection molding simulation.
spheroidal approximation (Batchelor spheroid), the Dinh and Armstrong's

model [14], and Shaqfeh and Fredrickson's slender bodies model and our self-
consistent and differential model, for three shape factors of the particles. It
can be seen that even for a shape factor ). of 350, neither Shaqfeh and
Fredrickson's nor Dinh and Armstrong's model is correct because, for very low
values of cp, the curves are not tangent to Batchelor's dilute approximation.
This point has been already mentioned by Ranganathan and Advani [12], who
proposed a correction which accounts for the finite aspect ratio of the
particles. Figure 10.9.3 compares the same models (modified for slender
bodies models) for various fiber shape factors. It is to be noted that, as for
hard sphere models [8], the self-consistent approach overestimates the
rheological parameters (this self-consistent model evidences also a vertical
asymptote for a volumic rate less than 1). The differential model lies very near
the modified Shaqfeh and Fredrickson's model for the large aspect ratio (in the
semidilute range). Thus, in this sense the differential model generalizes
Shaqfeh and Fredrickson's model in accounting for an averaged interaction
between the finite aspect ratio's fibers. In particular, we can apply the
differential model for prolate spheroids.
10.9.4 EXAMPLE
Figure 10.9.4 illustrates a three-dimensional modeling for which an injection

molding process has been simulated. Details of the computation algorithm
can be found in Reference [16]. In this representation, the arrow depicts the
orientation tensor a. The orientation of the arrow shows the direction of the
eigenvector associated with the largest eigenvalue, and its color shows the
magnitude of this eigenvalue. In other words, the arrow shows the preferential
direction for the fiber orientation and the color shows the intensity of the
alignment. The composite is assumed to enter the mold in an isotropic state
(each eigenvalue is then 1/3). The shearing alignment is seen at the entrance,
particularly near the walls. On the other hand, near the flow front a
disalignment is clearly evidenced.
10.9.5 CONCLUSION
The flow of short-fiber composites induces an anisotropy which can be

controlled by simulations. The scientific field concerned with this question
lies at the interface between fluid and solids mechanics. The control of
anisotropy is to be correlated with prediction of rupture for the part at a solid
state.
REFERENCES
1. Batchelor, G. K. (1970). The stress system in suspension of force free particules. J. Fluid.
Mech. 41: 545.
2. Advani, S. G. and Tucker, C. L. (1990). Closure approximations for three-dimensional
structure tensors. J. Rheol. 34: 367.
3. Dupret
4. Batchelor (1970). Slender bodies theory for particles of arbitrary cross section in Stokes flows.
J. Fluid. Mech. 44: 419.
5. Gilormini, P. and Vernusse, P. (1992). Tenseur d'Eshelby et problme d'inclusion dans le cas
isotrope transverse incompressible. C. R. Acad. Sci. Paris 314: 257.
6. Mura, T. (1982). Micromechanics of Defects in Solids. Martinus Nijhoff.
7. Eshelby, J. D. (1957). The determination of the elastic field of an ellipsoidal inclusion, and
related problems. Proc. Roy. Soc. London A241: 376.
8. Christensen, R. M. (1990). A critical evaluation for a class of micro-mecanics models. J. Mech.
Phys. Solids 38: 379.
9. Krieger, I. M. and Dougherty, T. J. (1959). A mechanism for non-Newtonian flow in
suspension of rigid spheres. Trans. Soc. Rheol. 3: 137-152.
10. Meslin, E (1997). Propridtes rheologiques des composites fibres courtes l'tat fondu. PhD
thesis LMT-ENS de Cachan, France.
11. Tucker, C. L. (1991). Flow regime for fiber suspensions in narrow gaps. J. Non-Newt. Fluid.
Mech. 39: 239.
12. Ranganathan, S. and Advani, S. G. (1993). A simultaneous solution for flow and fiber
orientation in axisymetric diverging flow. J. Non-Newt. Fluid. Mech. 47: 107.
13. Shaqfeh and Fredrickson, G. (1990). The hydrodynamic stress in a suspension of rods. Phys.
Fluids A2: 7.
14. Dinh, S. M. and Armstrong, R. C. (1984). A rheological equation of state for semiconcentrated
fiber suspensions. J. Rheol. 28: 207.
15. Jeffery, G. B. (1922). The motion of ellipsoidal particles immersed in viscous fluid. Proc. R.
Soc. A102: 161.
16. Chinesta, E (1999). Mod~lisation num~rique en mise en forme des polym~res et c~ramiques:
diff~rents problems de transport. PhD (HDR), LMT ENS de Cachan.
SECTION i0. I 0
Elastic Properties of
Bone Tissue
STEPHEN C. COWIN
New York Center for Biomedical Engineering, School of Engineering, The City College,
New York
Contents
10.10.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1048
10.10.2 Cortical and Cancellous Bone . . . . . . . . . . . 1049
10.10.3 The Elastic Model for Cortical Bone . . . . 1050
10.10.4 The Source of the Elastic Constant
Data for Cancellous Bone . . . . . . . . . . . . . . 1052
10.10.5 The Analysis of the Elastic Constant
for Cancellous Bone . . . . . . . . . . . . . . . . . . . 1053
10.10.6 The Elastic Constant Data for Cancellous
Bone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1054
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1055
10.10.1 VALIDITY
Bone is a natural composite material. It may be modeled as a linearly

anisotropic elastic material for all but the rarest cases within the physiological
range of loading. Large strains occur only with trauma to the bone and
irreversible damage to the microstructure. There are measurable viscoelastic
effects in bone, but they are generally not significant in a stress analysis of a
whole bone.
A m e t h o d of data analysis for a set of anisotropic elastic constant
m e a s u r e m e n t s of a material with variable composition has been applied to
a database for cancellous bone. For these materials the identification of the
type of elastic symmetry is complicated by the variable composition

10.10 Elastic Properties of Bone Tissue 1049
of the material. A method of data analysis, described in following text, permits

the identification of the type of elastic symmetry to be accomplished
independent of the examination of the variable composition. This method of
analysis may be applied to any set of elastic constant measurements, but it is
illustrated here by application to an extraordinary database of cancellous bone
elastic constants. The solid volume fraction or bulk density is the
compositional variable for the elastic constants in this case. The final result
is the solid-volume-fraction-dependent orthotropic Hooke's law for cancellous
bone.
10.10.2 CORTICAL AND CANCELLOUS BONE
Bone is a remarkable and extremely complex tissue. It has at least two

major functions. First, it is the material from which the skeleton is
made, which provides mechanical support and protection for the
organism. The bone tissue of the skeleton is continually changing to
adapt its form and structure to this task. From the birth to the death
of the organism it modifies its structure by laying down new bone tissue
and resorbing old. A second function of bone is to store the minerals,
particularly Ca §247needed to maintain a mineral homeostasis in the body by
regulating the concentrations of the key blood electrolytes, including
Ca §247H § and HP04.
Bone differs from the other tissues because of its greater stiffness and
strength. These properties stem from its being a composite material formed by
the deposition of a mineral, apatite or hydroxyapatite, in a frame of collagen.
The stiffness of bone is the key to understanding why it differs so greatly from
other tissues.
At the macroscopic level there are two major forms of bone tissue, called
compact or cortical bone and cancellous or trabecular bone. Cortical or
compact bone is a dense material with a specific gravity of almost two in
humans and a little over two in cattle. It forms most of the outer shell of a
whole bone, a shell of variable thickness. Cancellous bone generally exists
only within the confines of the cortical bone coverings. Cancellous bone is
also called trabecular bone because it is composed of short struts of bone
material called trabeculae (from the Latin for "little beam"). The connected
trabeculae give cancellous bone a spongy appearance, and it is often called
spongy bone.
The mechanical properties of bone, other than the elasticity, have been
documented. These include water content, viscoelastic properties, mechanical
1050 Cowin
s t r e n g t h , p e r m e a b i l i t y , m e c h a n o - e l e c t r o k i n e t i c effects, d a m a g e mechanics,
etc. O n e w i l l find d a t a o f this t y p e c o l l e c t e d i n C o w i n [4,6].
10.10.3 THE ELASTIC MODEL FOR

CORTICAL BONE
The elastic model for cortical bone tissue is anisotropic linear elasticity.
Tables 10.10.1 and 10.10.2 below list the components of the orthotropic
elastic compliance coefficients for cortical bone. The first table is for
human bone, and second is for bovine and canine bone. The
elastic coefficients in the anisotropic Hooke's law [8,13,16] are the three
Young's moduli E l , E2, and E3 in the three perpendicular coordinate
directions, the six Poisson's ratios denoted by subscripted v's (only three of
the six Poisson's ratios are independent since v12//E1 z v21/E2,
Vl3/E1 - v 3 1 / / E 3 , and v23//E2 = v32/E3) , and the three shear moduli G23,
G13, and G12. In this notation the 3 direction is coincident with the long axis
of the bone; the 1 and 2 directions are radial and circumferential, respectively.
In the row indicating material symmetry, ORTH stands for orthotropy and TI
stands for transverse isotropy. In the row indicating the testing method, U
stands for ultrasound and M stands for standard machine testing. The entry
NM stands for not measured.
TABLE 10.10.1 Technical Constants for Cortical Human Bone
Group Reilly and Yoon and Knets and Ashman

Burstein [ 15 ] Katz [21] Malmeisters [11 ] et al. [2]
Bone Femur Femur Tibia Femur
Symmetry TI TI ORTH ORTH
Method M U M U
EI(GPa) 11.5 18.8 6.91 12.0
E2(GPa) 11.5 18.8 8.51 13.4
E3(GPa) 17.0 27.4 18.4 20.0
G12(GPa) 3.6 7.17 2.41 4.53
G13(GPa) 3.3 8.71 3.56 5.61
Gz3(GPa) 3.3 8.71 4.91 6.23
v12 0.58 0.312 0.49 0.376
v13 0.31 0.193 0.12 0.222
v23 0.31 0.193 0.14 0.235
v21 0.58 0.312 0.62 0.422
v31 0.46 0.281 0.32 0.371
v32 0.46 0.281 0.31 0.350
7
TABLE 10.10.2 Technical Constants for Cortical Bovine and Canine Bone 9
c.
Group Lang I121 Reilly and Ambardar and Van Buskirk Burris [3] Burris 131 Ashman ~i
Burstein [I51 Ferris [ I ] et al. [17] et al. 121

m
Bone Bovine phalanx Bovine femur Bovine femur Bovine femur Bovine femur Bovine femur Canine femur
Symmetry TI TI TI ORTH TI TI +
Method u M U u M u
El GPa) 11.3 10.2 6.97 11.6 13.3 10.79
Ez(GPa) 11.3 10.2 6.97 14.6 13.3 12.24
EdGPa) 22.0 22.6 20.9 21.9 18.1 18.90
GdGPa) 3.8 NM* 2.2 5.29 3.5 3.38
GdGPa) 5.4 3.6 6.9 6.29 5.0 4.47
GdGPa) 5.4 3.6 6.9 6.99 5.0 5.96
v12 0.484 0.51 0.55 0.302 NM 0.45
v13 0.203 NM 0.15 0.109 NM 0.24
"23 0.203 NM 0.15 0.205 NM 0.22
v21 0.484 0.51 0.55 0.380 NM 0.51
V31 0.396 0.36 0.44 0.206 0.22 0.42
v32 0.396 0.36 0.44 0.307 0.22 0.33
*Not measured
1052 Cowi~
10.10.4 THE SOURCE OF THE ELASTIC

C O N S T A N T DATA F O R C A N C E L L O U S B O N E
The elastic constant results for cancellous bone presented here are based upon
an analysis of a database consisting of 141 human cancellous bone specimens.
This database, reported by van Rietbergen et al. [ 18, 19] and Kabel et al. [9], is
superior to previous databases because the authors provide the entire set of
anisotropic elastic constants without an a priori assumption of a particular
material symmetry and without an assumption of the direction in which the
maximum Young's modulus occurs. This database is unique in many different
ways, the most important of which is the large number of specimens and its
method of construction, but particularly because it is not based entirely on
measurements of real specimens. The database of elastic constants of 141
human cancellous bone specimens employed here was constructed by
imaging real specimens and then computationally determining their elastic
constants. This cyberspace method of construction is thought to be more
accurate than the conventional mechanical testing procedures for evaluating
the elastic constants of human cancellous bone. The determination of the
elastic constants of cancellous bone by conventional mechanical test
procedures is very difficult. The basic problem is that, because of the size
of the human body, it is difficult to obtain specimens of cancellous bone that
are more than 5-mm cubes. The logical way to test small cubes such as these is
by compression testing. However, compression testing is highly inaccurate for
cancellous bone because of (1) the frictional end effects of the platens, (2) the
near impossibility of identifying, a priori, the grain directions in a bone
specimen and thus of cutting a specimen in the grain directions, (3) the
stiffening effect of the platens on the bone near the platens, and (4) the
unpredictable inhomogeneity of the specimen.
The construction of the database of elastic constants of 141 human
cancellous bone specimens employed here is a relatively inexpensive
method of determining the full set of anisotropic elastic constants for a
small specimen of cancellous bone by a combination of imaging the
specimen [9,10,14] and subsequent evaluation of the effective elastic
constants using computational techniques based on the finite element
by van Rietbergen et al. [18,19]. Once the image of the specimen
was in the computer and a finite element mesh was generated, a
sequence of loadings [18,19] was applied to the specimen and the responses
were determined. The sequence of loadings was sufficient in number
to determine all 21 elastic constants. Thus no material symmetry assump-
tions were made in the determination of the constants. Quantitative
stereological programs were used to determine the solid volume
fraction q~ of each specimen. These are the data employed in the
determination of the elastic constants for cancellous bone recorded in

following text.
In this method, the actual matrix material of the trabeculae comprising the
bone specimen is assumed to have an axial Young's modulus Et. The value of
Et may be fixed from a knowledge of the axial Young's modulus for the tissue,
or from the shear modulus about some axis, or by measuring the tissue
modulus Et itself. For purposes of numerical calculation, Et was taken to be
1Gpa [9,10,14,18,19]. However, since these are linear finite element (FE)
models, the FE results can be scaled for any other modulus by multiplying the
results with the new value of Et (in GPa). The tissue modulus Et thus is a scale
factor that magnifies or reduces all the elastic constants. The cancellous bone
elastic constant results are presented here as multiples of Et.
10.10.5 THE ANALYSIS OF THE ELASTIC

CONSTANT FOR CANCELLOUS BONE
The elasticity of cancellous bone is complicated to analyze, report, and record

because of the highly inhomogeneous porous nature of this bone type. The
elastic constants depend upon the volume fraction of solid matrix material
present (one minus the porosity). In the case of porous isotropic materials, for
example, it is customary to regress the Young's modulus against the solid
volume fraction and obtain expressions for the Young's modulus E as a
function of the solid volume fraction ~; for example, E - ( c o n s t a n t ) ~n. For
cancellous bone a method must be available for construction similar to
representations for an inhomogeneous anisotropic porous solid. Such a
method is described in the next paragraph.
Many materials are anisotropic and inhomogeneous because of the varying
composition of their constituents. The identification of the type of elastic
symmetry is complicated by the variable composition of the material, which
makes the analysis of the elastic constant measurement data difficult. A
solution to this problem in which identification of the type of elastic
symmetry and analysis of the variable composition are separated, and then
analyzed independently, was described in Cowin and Yang [5] and applied in
Yang et al. [20] to bone softwood, and hardwood. The method consists of
averaging eigenbases, that is to say, the bases composed of the orthogonal sets
of eigenvectors of different measurements of the elasticity tensor, in order to
construct an average eigenbasis for the entire data set. This is possible because
the eigenbases, composed of eigenvectors, are independent of composition
whereas the eigenvalues are not. The eigenvalues of all the anisotropic elastic
coefficient matrices can then be transformed to the average eigenvector basis
1054 Cowi,
and regressed against their compositional parameters. This method treats the
individual measurement as a measurement of a tensor instead of as a
collection of individual elastic constant or matrix element measurements,
recognizing that the measurements by different investigators will reflect the
systematic invariant tensorial properties of a material, like eigenvectors and
eigenvalues. This method for averaging different measurements of the
anisotropic elastic constants for a specific material has advantages over
the traditional method of averaging the individual matrix components of the
elasticity or compliance matrices. Averaging invariants removes the effect of
the reference coordinate system in the measurements, while the traditional
method of averaging the components may induce errors because of the
various reference coordinate systems and may distort the nature of the
symmetry. This averaging process explicitly retains the orthonormality of
the eigenvector basis.
The results of Cowin and Yang [5] provided a means of extending the
empirical method of representing the Young's modulus E as a function of the
solid volume fraction ~b (for example, E = (constant) ~bn) to all the elastic
constants of an inhomogeneous anisotropic material. In Cowin and Yang [5]
this method was applied to feldspar, and it was discovered that the
eigenvectors, but not the eigenvalues, were relatively independent of material
composition. That result was extended by Yang et al. [20] to three natural,
porous materials: cancellous bone, hardwood, and softwood. These works
have established this method of analysis as a valid approach to the
construction of anisotropic stress-strain relations for other compositionally
dependent materials.
This new method of analysis also identifies the type of elastic symmetry
possessed by the material. No a priori assumption as to the type of elastic
symmetry is made. The type of symmetry is identified from the character of
the eigenvectors that are calculated. For the cancellous bone considered here,
the analysis shows that human cancellous bone has orthotropic elastic
symmetry at the 95% confidence level.
10.10.6 THE ELASTIC CONSTANT DATA FOR

CANCELLOUS BONE
Applying the method of analysis just described to the 14 I-specimen database

discussed in the section before last, explicit representations of the solid
volume fraction ~b dependent orthotropic elastic constants of human
cancellous bone were obtained. These explicit representations are E1=1240
Et~ 1"80, E2 - 885 Etq~1"89, E3- 529 Et~ 1"92, 2G23- 533 Et~ 2"04, 2613----
633 Etq~197, 2Glz=973 Et~bl98; v23=0.256 ~b- ~ 1 7 6 v 3 2 = 0 . 1 5 3 q5- ~ 1 7 6

v 1 3 - 0 . 3 1 6 q5 -o.19, v 3 1 = 0 . 1 3 5 ~b- ~ 1 7 6 v 1 2 = 0 . 1 7 6 05- ~ a n d v21 = 0 . 1 2 5
q5- ~ Et has the d i m e n s i o n of stress, a n d the o t h e r n u m b e r s m u l t i p l y i n g all
~b's r a i s e d to a p o w e r are d i m e n s i o n l e s s . T h e s q u a r e d c o r r e l a t i o n coefficients
(R 2) for the o r t h o t r o p i c elastic coefficients are as follows: for 1/E1, R 2 = 0.934;
for 1/E2, R 2 = 0 . 9 1 7 ; for 1/E3, R 2 = 0 . 8 7 9 ; for 1/(2G23), R 2 = 0 . 8 7 0 ; for
1/(2G13), R 2 = 0.887; for 1/(2G12), R 2 = 0.876; for -v12/E1, R 2 = 0.740;
for -v13/E1, R 2 = 0 . 8 4 1 ; and for 1~21/E2, R 2 = 0 . 6 6 6 .
REFERENCES
1. Ambardar, J. D., and Ferris, C. D. (1976). A simple technique for measuring certain elastic
moduli in bone. Biomed. Sci. Instrum. 12: 23.
2. Ashman, R. B., Cowin, S. C., Van Buskirk, W. C., and Rice, J. C. (1984). A continuous wave
technique for the measurement of the elastic properties of bone. J. Biomechanics 17: 349.
3. Burris, C. L. (1983). A Correlation of Quasistatic and Ultrasonic Measurements of the Elastic
Properties of Cortical Bone. Ph.D. dissertation, Tulane University, New Orleans, Louisiana.
4. Cowin, S. C., ed. (1989). Bone Mechanics, Boca Raton, FL: CRC Press.
5. Cowin, S. C., and Yang, G. (1997). Averaging anisotropic elastic constants data.J. Elasticity 46:
151-180.
6. Cowin, S. C., ed. (2001). Bone Mechanics Handbook, Boca Raton, FL: CRC Press.
7. Cowin, S. C., Van Buskirk, W. C., and Ashman, R. B. (1987). The properties of bone, in
Handbook of Bioengineering, Skalak, R., and Chien, S., editors-in-chief, New York: McGraw-
Hill.
8. Hearmon, R. E S. (1961). An Introduction to Applied Anisotropic Elasticity, Oxford: Oxford
University Press.
9. Kabel, J., van Rietbergen, B., Odgaard, A., and Huiskes, R. (1999). Constitutive relationships
of fabric, density and elastic properties in cancellous bone architecture. Bone 25: 481-486.
10. Kabel, J., van Rietbergen, B., Dalstra, M., Odgaard, A., and Huiskes, R. (1999). The role of an
effective isotropic tissue modulus in the elastic properties of cancellous bone. J. Biomechanics
32: 673-680.
11. Knets, I., and Malmeisters, A. (1977). Deformability and strength of human compact bone
tissue, in Mechanics of Biological Solids: Proc. Euromech Colloquium 68, p. 133, Brankov, G., ed.,
Sofia: Bulgarian Academy of Sciences.
12. Lang, S. B. (1970). Ultrasonic method for measuring elastic coefficients of bone and results on
fresh and dried bovine bones. IEEE Trans. Biomed. Eng. 17: 101.
13. Lekhnitskii, S. G. (1963). Theory of Elasticity of an Anisotropic Elastic Body, San Francisco:
Holden Day.
14. Odgaard, A., Kabel, J., van Rietbergen, B., and Huiskes, R. (1997). Fabric and elastic principal
directions of cancellous bone are closely related. J. Biomechanics 30: 487-495.
15. Reilly, D. T., and Burstein, A. H. (1975). The elastic and ultimate properties of compact bone
tissue. J. Biomechanics, 8: 393.
16. Saada, A. S. (1974). Elasticity Theory and Applications, Pergamon.
17. van Buskirk, W. C., Cowin, S. C., and Ward, R. N. (1981). Ultrasonic measurement of
orthotropic elastic constants of bovine femoral bone. J. Biomechanical Eng. 103: 67.
1056 Cowi.
18. van Rietbergen, B., Odgaard, A., Kabel, J., and Huiskes, R. (1996). Direct mechanical
assessment of elastic symmetries and properties of trabecular bone architecture. J.
Biomechanics 29: 1653-1657.
19. van Rietbergen, B., Odgaard, A., Kabel, J., and Huiskes, R. (1998). Relationships between bone
morphology and bone elastic properties can be accurately quantified using high-resolution
computer reconstructions. J. Orthop. Res. 16: 23-28.
20. Yang, G., Kabel, J., van Rietbergen, B., Odgaard, A., Huiskes, R., and Cowin, S. C. (1999). The
anisotropic Hooke's law for cancellous bone and wood. J. Elasticity, 53: 125-146.
21. Yoon, H. S., and Katz, J. L. (1976). Ultrasonic wave propagation in human cortical bone. 11.
Measurements of elastic properties and micro-hardness. J. Biomechanics, 9: 459.
SECTION 10.11
Biomechanics of
Soft Tissue
GERHARD A. HOLZAPFEL
Institute for Structural Analysis, Computational Biomechanics,
Graz University of Technology, 8010 Graz, Austria
Contents
10.11.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1057
10.11.2 Background on the Structure of Soft
Tissues: Collagen and Elastin . . . . . . . . . . . 1058
10.11.2.1 Collagen . . . . . . . . . . . . . . . . . . . . . . 1059
10.11.2.2 Elastin . . . . . . . . . . . . . . . . . . . . . . . . 1060
10.11.3 General Mechanical Characteristics of
Soft Tissues . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1061
10.11.4 Description of the Model . . . . . . . . . . . . . . . 1062
10.11.5 Representative Example: A Model for
the Artery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1065
10.11.5.1 Residual stresses . . . . . . . . . . . . . . 1066
10.11.6 Identification of the Material Parameters 1068
10.11.8 Table of Parameters . . . . . . . . . . . . . . . . . . . . 1069
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1070
10.11.1 VALIDITY
A n efficient c o n s t i t u t i v e f o r m u l a t i o n a p p r o x i m a t e s all types of soft tissues

w i t h a r e a s o n a b l e a c c u r a c y over a large s t r a i n range. W e r e q u e s t a s i m p l e
c o n s t i t u t i v e e q u a t i o n w i t h o n l y a few m a t e r i a l p a r a m e t e r s i n v o l v e d that a l l o w
for an " e x p l a n a t i o n " of the m a t e r i a l r e s p o n s e of tissues in t e r m s of their
s t r u c t u r e . In a d d i t i o n , w e r e q u e s t t h a t the c o n s t i t u t i v e f o r m u l a t i o n is fully
three-dimensional and consistent with both mechanical and mathematical

1058 Holzapfel
requirements, applicable for arbitrary geometries, and suitable for use within
the context of finite element methods in order to solve complex initial
boundary-value problems.
The presented general model is a fully three-dimensional material
description of soft tissues for which nonlinear continuum mechanics is used
as the fundamental basis [10, 18]. It has the special feature that it is based
partly on histological information (i.e., the microscopic structure of organs
and tissues). The general model describes the highly nonlinear and
anisotropic behavior of soft tissues as composites reinforced by two families
of collagen fibers. The constitutive framework is based on the theory of the
mechanics of fiber-reinforced composites [26] and is suitable to describe a
wide variety of physical phenomena of soft tissues. The performance and the
physical mechanism of the model are presented in Reference [11]. As a
representative example, the general model for soft tissues is specified to
predict the mechanical response of healthy and young arteries under
physiological loading conditions [12]. The model neglects active components,
i.e., contracting elements with biochemical energy supply which are
controlled by biological mechanisms, and is concerned with the description
of the passive state of arteries.
The models are suitable for predicting the anisotropic elastic response of
soft tissues in the large strain domain. A suitable constitutive and numerical
model that is general enough to describe the finite viscoelastic domain is
documented in Reference [11]. The presented models do not consider acute
and long-term changes in geometry and/or the mechanical response of tissues
due to, for example, drugs, aging, and disease. When soft tissues are subjected
to loads that are beyond their physiological range, the load-carrying fibers of
the tissue slip relative to each other. In clinical procedures tissues may
undergo irreversible (plastic) deformations [12] which are of medical
importance. Constitutive equations for describing plastic deformations of,
for example, arteries are proposed in References [8, 27].
10.11.2 BACKGROUND O N T H E STRUCTURE

OF SOFT TISSUES: COLLAGEN AND ELASTIN
What do we mean by soft tissues? A primary group of tissue which binds,

supports, and protects our human body and structures such as organs is soft
connective tissue. In contrary to other tissues, it is a wide-ranging biological
material in which the cells are separated by extracellular material. Connective
tissues may be distinguished from hard (mineralized) tissues such as bones for
their high flexibility and their soft mechanical properties. This article
10.11 Biomechanics of Soft Tissue 1059
discusses connective tissue from the point of view of material science,

biomechanics, and structural engineering (for more details, see, for example,
Reference [6], Chapter 7).
Examples of soft tissues are tendons, ligaments, blood vessels, skins, or articular
cartilages, among many others. Tendons are muscle-to-bone linkages that
stabilize the bony skeleton (or produce motion), and ligaments are bone-to-bone
linkages that restrict relative motion. Blood vessels are prominent organs
composed of soft tissues which have to distend in response to pulse waves. The
skin is the largest single organ (16% of the human adult weight). It supports
internal organs and protects our body. Articular cartilages form the surface of
body joints (which is a layer of connective tissue with a thickness of 1-5 mm),
distribute loads across joints, and minimize contact stresses and friction.
Soft connective tissues of our body are complex, fiber-reinforced,
composite structures. Their mechanical behavior is strongly influenced by
the concentration and structural arrangement of constituents such as collagen
and elastin, the hydrated matrix of proteoglycans, and the topographical site
and respective function in the organism.
I0.11.2.1 COLLAGEN
Collagen is a protein which is a major constituent of the extracellular matrix

of connective tissue. It is the main load-carrying element in a wide variety of
soft tissues and is very important to human physiology (for example, the
collagen content of the [human] Achilles tendon is about 20 times that of
elastin).
Collagen is a macromolecule with a length of about 280nm. Collagen
molecules are linked to each other by covalent bonds that build collagen
fibrils. Depending on the primary function and the requirement of strength of
the tissue, the diameter of collagen fibrils varies (the order of magnitude is
1.5 nm [17]). In the structure of tendons and ligaments, for example, collagen
appears as parallel-oriented fibers [1], whereas many other tissues have an
intricate disordered network of collagen fibers embedded in a gelatinous
matrix of proteoglycans.
More than 12 types of collagen have been identified [17]. The most
common collagen is type I, which can be isolated from any tissue. It is the
major constituent in blood vessels. The rodlike shape of the collagen molecule
comes from three polypeptide chains which are composed in a right-handed
triple-helical conformation. Most of the collagen molecule consists of three
amino acids: glycine (33%), which enhances the stability of the molecule,
proline (15%), and hydroxyproline (15%) [23].
1060 Holzapfel
The intramolecular crosslinks of collagen gives the connective tissues the

strength which varies with age, pathology, etc. (for a correlation between the
collagen content in the tissue, % dry weight, and its ultimate tensile strength,
see Table 10.11.1. The function and integrity of organs are maintained by the
tension in collagen fibers. They shrink upon heating breakdown of the
crystalline structure (at 65~ for example, mammalian collagen shrinks to
about one-third of its initial length, [6], p. 263).
10.11.2.2 ELASTIN
Elastin, like collagen, is a protein which is a major constituent of the

extracellular matrix of connective tissue. It is present as thin strands
in soft tissues such as skin, lung, ligamenta flava of the spine, and liga-
mentum nuchae (the elastin content of the latter is about five times that of
collagen).
The long flexible elastin molecules build up a three-dimensional (rubber-
like) network, which may be stretched to about 2.5 times the initial length of
the unloaded configuration. In contrast to collagen fibers, this network does
not exhibit a pronounced hierarchical organization. As for collagen, 33% of
the total amino acids of elastin consists of glycine. However, the proline and
hydroxyproline contents are much lower than in collagen molecules.
The mechanical behavior of elastin may be explained within the concept of
entropic elasticity. As for rubber, the random molecular conformations, and
hence the entropy, change with deformation. Elasticity arises through entropic
straightening of the chains, i.e., a decrease of entropy, or an increase of
internal energy (see, for example, References [9]). Elastin is essentially a
linearly elastic material (tested for the ligamentum nuchae of cattle). It
displays very small relaxation effects (they are larger for collagen).
TABLE 10.11.1 MechanicalProperties [6, 15, 25] and Associated Biochemical Data [30] of
Some Representative Organs Mainly Consisting of Soft Connective Tissues
Material Ultimate tensile Ultimatetensile Collagen Elastin
strength (MPa) strain (%) (% dry weight) (% dry weight)
Tendon 50-100 10-15 75-85 <3
Ligament 50-100 10-15 70-80 10-15
Aorta 0.3--0.8 50-100 25-35 40-50
Skin 1-20 30-70 60-80 5-10
Articular cartilage 9-40 60-120 40-70
10.11.3 GENERAL MECHANICAL

CHARACTERISTICS OF SOFT TISSUES
Before describing a model for soft tissues, it is beneficial and instructive to

gain some insight into their general mechanical characteristics. Soft tissues
behave anisotropically because of their fibers, which tend to have preferred
directions. In a microscopic sense they are nonhomogeneous materials
because of their composition. The tensile response of soft tissue is nonlinear
stiffening, and tensile strength depends on the strain rate. In contrast to hard
tissues, soft tissues may undergo large deformations. Some soft tissues show
viscoelastic behavior (relaxation and/or creep), which has been associated
with the shear interaction of collagen with the matrix of proteoglycans [16]
(the matrix provides a viscous lubrication between collagen fibrils).
In a simplified way we explain here the tensile stress-strain behavior for
skin, an organ consisting mainly of connective tissues, which is representative
of the mechanical behavior of many (collagenous) soft connective tissues. For
the connective tissue parts of the skin the three-dimensional network of fibers
appears to have preferred directions parallel to the surface. However, in order
to prevent out-of-plane shearing, some fiber orientations also have
components out of plane.
Figure 10.11.1 shows a schematic diagram of a typical J-shaped (tensile)
stress-strain curve for skin. This form, representative for many soft tissues,
FIGURE 10.11.1 Schematicdiagram of a typical (tensile) stress-strain curve for skin showing
the associated collagen fiber morphology.
1062 Holzapfel
differs significantly from stress-strain curves of hard tissues or from other

types of (engineering) materials. In addition, Figure 10.11.1 shows how the
collagen fibers straighten with increasing stress.
The deformation behavior for skin may be studied in three phases: I, II, and III.
Phase I. In the absence of load the collagen fibers, which are woven into a
rhombic-shaped pattern, are in relaxed conditions and appear wavy and
crimped. Unstretched skin behaves approximately isotropically. Initially low
stress is required to achieve large deformations of the individual collagen
fibers without requiring stretch of the fibers. In phase I the tissue behaves like
a very soft (isotropic) rubber sheet, and the elastin fibers (which keep the skin
smooth) are mainly responsible for the stretching mechanism. The stress-
strain relation is approximately linear, and the elastic modulus of skin in
phase I is low (0.1-2.0 MPa).
Phase II. In phase II, as the load is increased, the collagen fibers tend to line
up with the load direction and bear loads. The crimped collagen fibers
gradually elongate and interact with the hydrated matrix. With deformation
the crimp angle in collagen fibrils leads to a sequential uncrimping of fibrils.
Note that the skin is normally under tension in vivo.
Phase III. In phase III, at high tensile stresses, the crimp patterns disappear
and the collagen fibers become straighter. They are primarily aligned with one
another in the direction in which the load is applied. The straightened
collagen fibers resist the load strongly, and the tissue becomes stiff at higher
stresses. The stress-strain relation becomes linear again. Beyond the third
phase the ultimate tensile strength is reached and fibers begin to break.
The mechanical properties of soft tissues depend strongly on the
topography, risk factors, age, species, physical and chemical environmental
factors such as temperature, osmotic pressure, and pH, and the strain rate.
The material properties are strongly related to the quality and completeness of
experimental data, which come from in vivo or in vitro tests having the aim of
mimicking real loading conditions. Therefore, to present specific values for
the ultimate tensile strength and strain of a specific tissue is a difficult task.
Nevertheless, Table 10.11.1 attempts to present ranges of values of mecha-
nical properties and collagen and elastin contents (% dry weight) in some
representative organs mainly consisting of soft connective tissues.
1 0 . 1 1 . 4 DESCRIPTION OF THE MODEL
At any referential position X of the tissue we postulate the existence of a

Helmholtz free-energy function ~. We assume the decoupled form
tp _ U(X;J) + tP(X; (~, A1, A2) (1)
where U is a purely volumetric (dilatational) contribution and ~ is a purely

isochoric (volume-preserving) contribution to the free energy q~. Here
_ ~T~ denotes the modified right Cauchy-Green tensor and F - J - 1 / 3 F
is the unimodular (distortional) part of the deformation gradient F, with
J - det F > 0 denoting the local volume ratio. In addition, in Eq. 1, {A1, A2}
is a set of two (second-order) tensors which characterize the anisotropic
properties of the tissue at any X. The structure tensors A1 and A2 are defined
as the tensor products a0~ | a0~, where a0~, ~ - 1,2, are two unit vectors
characterizing the orientations of the families of collagen fibers in the
(undeformed) reference configuration of the tissue (see Figure 10.11.2).
Since most types of soft tissues are regarded as incompressible (for
example, arteries do not change their volume within the physiological range
of deformation [2]), we now focus attention on the description of their
isochoric deformation behavior characterized by the energy function q~. We
suggest the simple additive split
-- ~iso (X; I1 ) -~- ~aniso (X; I1, I2 ) (2)
of_ ~ into a part ~iso associated with isotropic deformations and a part
tPani~o associated with anisotropic deformations. This is sufficiently general to
capture the salient mechanical feature of soft tissue elasticity as described in
Section 10.11.3 (a more general constitutive framework is presented in
References [8, 11, 12]). In Eq. 2 we used I1 - ( ~ ' I for the first invariant of
tensor C(I is the second-order unit tensor), and the definitions
If (C, a01) - C ' A 1 , I2 (C, a02) - (~'A2 (3)
of the invariants, which are stretch measures for the two families of collagen
--4r --~
fibers (see, for example, References [10, 26]). The invariants 11 and 12 are
squares of the stretches in the directions of a01 and a02, respectively. Isotropy
is described through the invariant I1 and anisotropy through I~ and Is
FIGURE 10.11.2 Arrangement of collagen fibers in the reference configuration characterized by

two unit vectors a01, a02 at position X.
1064 Holzapfel
Since the (wavy) collagenous structure of tissues is not active at low

stresses (it does not store strain energy), we associate tPiso with the
mechanical response of the noncollagenous matrix of the material (which is
less stiff than its elastin fiber constituent). To determine the noncollagenous
matrix response, we propose to use the isotropic neo-Hookean model
according to
(: (I1 - - 3), (4)
where c > 0 is a stresslike material parameter. However, to model the

(isotropic) noncollagenous matrix material any Ogden-type elastic material
may be applied [ 18].
According to morphological findings at highly loaded tissues, the families
of collagen fibers become straighter and the resistance to stretch is almost
entirely due to collagen fibers (the tissue becomes stiff). Hence, the strain
energy stored in the collagen fibers is taken to be governed by the polyconvex
(anisotropic) function
-- -- 1/ 1 --1}
where kl > 0, k3 > 0 are stresslike material parameters and k2 > 0, k4 > 0 are
dimensionless parameters. According to Eqs. 2, 4, and 5, the collagen fibers
do not influence the mechanical response of the tissue in the low stress
domain. Because of the crimp structure of collagen fibers, we assume that they
do not support compressive stresses, which implies that they are inactive in
compression. Hence the relevant part of the anisotropic function (Eq. 5) is
omitted for this case. If, for example, I 1 > 1 and 12 > 1, then the soft tissue
responds similarly to a rubberlike (purely isotropic) material described by the
energy function (Eq. 4). However, in extension, that is when I1 ) 1 or I2 > 1,
and the collagen fibers are active and energy is stored in the fibers.
Equation 1 enables the Cauchy stress tensor, denoted ~, to be derived in
the decoupled form
O' = G'vo 1 -+- ~ with G'vo 1 - - pI,

(0,)
8 _ 2j_ldev ~ O-~ ~T (6)
with the volumetric contribution avol and the isochoric contribution ~ to the
Cauchy stresses. In the stress relation (Eq. 6), p=dU/dJ denotes the
hydrostatic pressure and dev(o) furnishes the deviatoric operator in the
Eulerian description. The operator is defined as dev(o) - (o) - ] [ ( o ) " I]I, so
that dev( 9 : I = 0.
Using the additive split (Eq. 2) and particularizations (Eqs. 4 and 5), we
get with the third part of Eq. 6 an explicit constitutive expression for the
isochoric behavior of soft connective tissues in the Eulerian description, i.e.,

2
ff = c dev 1~+ Z 2 ~ d e v (a~ | a~) (7)
0~--1
where 13 = FFr denotes the modified left Cauchy-Green tensor,
1= 0~aniso
0I; = k l ( I i - 1 ) e x p [~2 (I; - 1) 2] (8)
= 0T2 =k3(I2-1)ex p - (9)
are (scalar) response functions, and a~ = Fao~, ~ = 1, 2, are the Eulerian

counterparts of the unit vectors ao~.
The specific form of the proposed constitutive equation (Eq. 7) requires
the five material parameters c, kl, k2, k3, k4 whose interpretations can be
partly based on the underlying histological structure, i.e., matrix and collagen
of the tissue. Note that in Eq. 7, orthotropic (kl = k3, k2 = k4), transversely
isotropic (kl = 0 or k3 = 0 ) , and isotropic hyperelastic descriptions
(kl = k3 = 0) at finite strains are included as special cases.
10.11.5 REPRESENTATIVE EXAMPLE: A MODEL

FOR THE ARTERY
In this section we describe a model for the passive state of the healthy and
young artery (no pathological changes in the intima, which is the innermost
arterial layer frequently affected by atherosclerosis) suitable for predicting
three-dimensional distributions of stresses and strains under physiological
loading conditions with reasonable accuracy. It is a specification of the
constitutive framework for soft tissues stated in the previous section. For an
adequate model of arteries incorporating the active state (contraction of
smooth muscles), see Reference [22]. For a detailed study of the mechanics of
arterial walls, see the extensive review in Reference [13].
Experimental tests show that the elastic properties of the media (middle
layer of the artery) and adventitia (outermost layer of the artery) are
significantly different [31]. The media is much stiffer than the adventitia. In
particular, in the unloaded configuration the mean value of Young's modulus
for the media, for several pig thoracic aortas, is about an order of magnitude
higher than that of the adventitia [32]. In addition, the arterial layers have
different physiological tasks, and hence the artery is modeled as a thick-
walled elastic circular tube consisting of two layers corresponding to the
1066 Holzapfel
media and adventitia. In a young nondiseased artery the intima (innermost

layer of the artery) exhibits negligible wall thickness and mechanical strength.
Each tissue layer is treated as a composite reinforced by two families of
collagen fibers which are symmetrically disposed with respect to the cylinder
axis. Hence, each tissue layer is considered as cylindrically orthotropic (already
postulated in the early work [20]) so that a tissue layer behaves like a so-
called balanced angle-ply laminate. We use the same forms of strain energy
functions (Eqs. 4 and 5) for each tissue layer (each layer responds with similar
mechanical characteristics) but use a different set of material parameters.
Hence, Eq. 2 takes on the specified form
2
- ----T(II
~1 McM/. -- 3) + 2k2Mklw~l{exp k2M(I:~-1)2]-1 (10)
% - 3)
+ 2--~ ~1
1/
We end up with a two-layer model incorporating s/x material parameters,
three for the media M, i.e., cM, klM, k2M, and three for the adventitia A, i.e., CA,
klA, k2A.
The invariants associated with the anisotropic parts of the two tissue layers
are defined by I1) - ~; " A1) and I2j - C 9A2j, j - M, A. The structure tensors
A U, A2) are given by
Alj=aol)| A2j=ao2j| j=M,A. (12)
Employing a cylindrical coordinate system, the components of the unit
(direction) vectors aolj and ao2) read in matrix notation
[aolj] --
I~
cos]~j
sin ]~j
, [ao2)]--
I ~1
cos~j
--sin ]~j
, j-- M,A,
and ~j, j - M, A, are the angles between the collagen fibers and the
(13)
circumferential direction in the media and adventitia (see Figure 10.11.3).

Small components of the (collagen) fiber orientation in the radial direction,
as, for example, reported for human brain arteries [5], are neglected.
10.11.5.1 RESIDUAL STRESSES
It has been known for some years that arteries which are excised from the
body and not subjected to any loads are not stress-free (or strain-free) [28]. If,
for example, the media and adventitia are separated and cut in a radial
direction, the two arterial layers will spring open to form open (stress-free)
sectors, which, in general, have different opening angles (see, for example, the
experimental studies [29] for bovine specimens). In general, the residual
stress state is very complex, and residual stresses (strains) in the axial
direction may also occur. Note that residual stresses result from growth and
remodeling mechanisms [21, 24].
By considering the arterial layers as circular cylindrical tubes, we may
characterize the reference (stress-free) configuration of one arterial layer as a
circular sector, as shown in Figure 10.11.4. For each arterial layer of the blood
vessel a certain opening angle c~ can be found by experimental methods. The
importance of incorporating residual stresses associated with the load-free
FIGURE 10.11.3 Load-free configuration of an idealized artery modeled as a thick-walled

circular tube consisting of two layers, the media and adventitia.
FIGURE 10.11.4 Cross-sectional representation of one arterial layer at the reference (stress-
free) and load-free (stressed) configurations.
1068 Holzapfel
(but stressed) configuration into the computation has been emphasized in, for
example, References [4, 12]. Consideration of residual strains has a strong
influence on the global pressure and radius response of arteries and also on
the stress and strain distributions across the deformed arterial wall. For
analytical studies of residual stresses see, for example, the works [14, 22],
which contain further references.
Therefore, it is essential to incorporate the residual stresses inherent in
many biologic tissues. One possible approach to consideration of the
influence of residual stresses on the overall three-dimensional stress behavior
is to measure the strain energy from the load-free (stressed) configuration and
to include the residual stresses [19]. Another approach is to start with the
energy function relative to the stress-free (and fixed) configuration, as
assumed in the presented models, and determine the deformation required to
reach the load-free (stressed) configuration. Figure 10.11.4 shows the cross-
sectional respresentation of one arterial layer at the load-free configuration
obtained from the reference configuration by pure bending.
With the condition of incompressibility, the radius r of an arterial layer in
the load-free configuration may be computed from the radius R of the
associated reference configuration as [12]
/R 2 - R/2 2zt (14)

r= g
where ri, Ri a r e the internal radii associated with the two configurations. The
(constant) axial stretch is denoted by 2z, and the parameter k is a convenient
measure of the tube opening angle in the stress-free configuration.

PARAMETERS
Preferred directions in soft tissues are well specified by the orientation of

prolate cell nuclei. They can be identified in microphotographs of
appropriately stained histological sections. By visual inspection there exists
a high directional correlation between smooth muscle cells and collagen
fibers. Hence, the bell-shaped distribution of collagen fiber orientations may
be obtained from an image-processing analysis of stained histological sections.
The angle fl (and thus the unit vectors a01, a02) may be identified as the mean
value of the corresponding statistical distribution.
Values of the material parameters associated with the model for soft tissues
are then obtained by fitting the equations to the experimental data of the soft
tissue of interest by using standard nonlinear fitting algorithms, such as the
Levenberg-Marquardt algorithm. If the mean values of the orientation of cell

nuclei (collagen fiber) may not be identified experimentally, it is suggested to
treat the collagen fiber orientations as additional (phenomenological)
"material" parameters.
The energy functions are well suited for use in nonlinear finite element
software, which enables complex boundary-value problems to be solved.
Aspects of finite element implementation and numerical analysis of the model
are presented in Reference [11]. Furthermore, computations may be carried
out with some of the commercially available mathematical software packages
such as Mathematica or Maple, which allow symbolic computation. Based on
Mathematica, in Reference [12] a numerical technique for solving the bending,
axial extension, inflation, and torsion problem of an artery is described.
Values of the parameters correspond to the Eqs. 10 and 11 and are given for a
representative carotid artery from a rabbit (experiment no. 71 in Reference
[7]). The material parameters c, kl, k2 and the (mean) values of collagen fiber
angles ~ are summarized in Table 10.11.2.
In the adventitia many collagen fibers run closer to the axial direction of
the artery, whereas in the media the collagen fibers tend to run around the
circumference. The fiber angles ~ are meant to be associated with the
reference (stress-free) configuration, and we assume that they are the same in
the load-free (stressed) configuration. The difference in fiber angle which
occur due to bending to the load-free configuration (see Figure 10.11.4) is
small, so that it has a negligible influence on the stress-strain analysis of
arteries.
TABLE 10.11.2 Parameters for a Carotid Artery from a Rabbit (Experiment no. 71 in
Reference [7]) in reference to Eqs. 10 and 11
Media Adventitia
cM= 3.0000 (kPa) CA= 0.30000 (kPa)
klM = 2.3632 (kPa) klA =0.5620 (kPa)
k2M-- 0.8393 (-) k2A -- 0.7112 (--)
]~M--29.0~ ]~A--62.0~
10 7 0 Holzap fel
By using a wall thickness of 0.39mm (adopted from Reference [3]) and

assuming that the media occupies two-thirds of the arterial wall thickness, the
parameters in Table 10.11.2 predict the characteristic orthotropic behavior of
a carotid artery under combined bending, inflation, axial extension, and
torsion, as documented in Reference [12].
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6. Fung, Y. C. (1993). Biomechanics: Mechanical Properties of Living Tissues, 2nd ed., New York:
Springer-Verlag.
7. Fung, Y. C., Fronek, K., and Patitucci, P. (1979). Pseudoelasticity of arteries and the choice of
its mathematical expression. Am. Physiological Soc. 237: H620-H631.
8. Gasser, T. C., and Holzapfel, G. A. (2001). Rate-independent elastoplastic constitutive
modeling of biological soft tissues: Part I. Continuum basis, algorithmic formulation and
finite element implementation. Int. J. Solids and Structures (in press).
9. Hoeve, C. A. J., and Flory, P. J. (1958). The elastic properties of elastin. J. Am. Chem. Soc. 80:
6523-6526.
10. Holzapfel, G. A. (2000). Nonlinear Solid Mechanics: A Continuum Approach for Engineering,
Chichester: John Wiley & Sons.
11. Holzapfel, G. A., and Gasser, T. C. (2001). A viscoelastic model for fiber-reinforced
composites at finite strains: Continuum basis, computational aspects and applications.
Comput. Methods Appl. Mech. Engr. 90: 4379-4403.
12. Holzapfel, G. A., Gasser, T. C., and Ogden, R. W. (2001). A new constitutive framework for
arterial wall mechanics and a comparative study of material models. J. Elasticity (in press).
13. Humphrey, J. D. (1995). Mechanics of the arterial wall: Review and directions. Crit. Rev.
Biomed. Engr. 23: 1-162.
14. Johnson, B. E., and Hoger, A. (1998). The use of strain energy to quantify the effect of residual
stress on mechanical behaviour. Math. Mech. of Solids 3: 447-470.
15. Martin, R. B., Burr, D. B., and Sharkey, N. A. (1998). Skeletal Tissue Mechanics, New York:
Springer-Verlag.
16. Minns, R. J., Soden, P. D., and Jackson, D. S. (1973). The role of the fibrous components and
ground substance in the mechanical properties of biological tissues: A preliminary
investigation. J. Biomech. 6: 153-165.
17. Nimni, M. E., and Harkness, R. D. (1988). Molecular structure and functions of collagen,
Collagen, pp. 3-35, Nimni, M. E., ed., Boca Raton, FL: CRC Press.
18. Ogden, R. W. (1997). Non-linear Elastic Deformations, New York: Dover.

19. Ogden, R. W., and Schulze-Bauer, C. A.J. (2000). Phenomenological and structural aspects of
the mechanical response of arteries. In Mechanics in Biology, Casey, J., and Bao, G. eds, New
York, The American Society of Mechanical Engineers (ASME). AMD-Vol. 242/BED-Vol. 46,
125-140.
20. Patel, D. J., and Fry, D. L. (1969). The elastic symmetry of arterial segments in dogs. Circ. Res.
24: 1-8.
21. Rachev, A. (1997). Theoretical study of the effect of stress-dependent remodeling on arterial
geometry under hypertensive conditions. J. Biomech. 30: 819-827.
22. Rachev, A., and Hayashi, K. (1999). Theoretical study of the effects of vascular smooth muscle
contraction on strain and stress distributions in arteries. Ann. Biomed. Engr. 27: 459-468.
23. Ramachandran, G. N. (1967). Chemistry of collagen, Treatise on Collagen, pp. 103-183,
Ramachandran, G.N., ed., New York: Academic Press.
24. Rodriguez, E. K., Hoger, A., and McCulloh, A. D. (1994). Stress-dependent finite growth in
soft elastic tissues. J. Biomech. 27: 455-467.
25. Silver, E H., Christiansen, D. L., and Buntin, C. M. (1989). Mechanical properties of the aorta:
A review. Crit. Rev. Biomed. Engr. 17: 323-358.
26. Spencer, A. J. M. (1984). Constitutive theory for strongly anisotropic solids, Continuum
Theory of the Mechanics of Fibre-Reinforced Composites, pp. 1-32, Spencer, A.J.M., ed., Wien:
Springer-Verlag, CISM Courses and Lectures No. 282, International Centre for Mechanical
Sciences.
27. Tanaka, E., Yamada, H., and Murakami, S. (1996). Inelastic constitutive modeling of arterial
and ventricular walls, in Computational Biomechanics, pp. 137-163, Hayasi, K., and Ishikawa,
H. eds., Tokyo: Springer-Verlag.
28. Vaishnav, R. N., and Vossoughi, J. Estimation of residual strains in aortic segments, in
Biomedical Engineering II: Recent Developments, pp. 330-333, Hall, C.W., ed., New York:
Pergamon Press.
29. Vossoughi, J., Hedjazi, Z., and Borris, E S. (1993). Intimal residual stress and strain in large
arteries, in Bed-Vol. 24, 1993 Bioengineering Conference ASME, pp. 434-437.
30. Woo, S. L. Y., Gomez., M. A., and Akeson, W. H. (1985). Mechanical behaviors of soft tissues:
Measurements, modifications, injuries and treatment, in The Biomechanics of Trauma, pp.
107-133, Nahum, A. M., and Melvin, J., eds., Norwalk: Appleton Crofts.
31. Xie, J., Zhou,J., and Fung, Y. C. (1995). Bending of blood vessel wall: Stress-strain laws of the
intima-media and adventitia layers. J. Biomech. Engr. 117: 136-145.
32. Yu, Q., Zhou, J., and Fung, Y. C. (1993). Neutral axis location in bending and Young's
modulus of different layers of arterial wall. Am. J. Physiol. 265: H52-H60.
CHAPTER 11
Geomaterials
SECTION 11.1
Introduction to
Geomaterials
JEAN LEMAITRE
Universit~ Paris 6, LMT-Cachan, 61 avenue du PrEsidentWilson, 94235 Cachan Cedex, France
Geomaterials are "natural" materials such as soils, rocks, sand, clay, salt, etc.,
which are used without any technological transformation. A specific chapter
is devoted to them because their behavior simultaneously involves many
characteristics which do not follow the elementary classification: pressure
dependency, dilatancy, time effects, internal friction, water saturation or not,
fabric dependency, etc., and also because there is a specific community
devoted to geomaterials.
The method of modeling does not differ from that for other materials, but
specific variables are introduced to represent specific effects and the identifica-
tion of material parameters often needs "in situ" tests and three axial tests.
A general background is given in Section 11.2 with special emphasis on the
use of two potentials for two plastic mechanisms and an incrementally nonlinear
model. Section 11.3 shows how to identify nonassociated elastic viscoplastic
constitutive equations taking into account closing and opening of microcracks.
Micro- and mesomechanical considerations are described in Section 11.4 for
granular materials in which elastoplastic behavior induces shear banding and
failure. Micromechanics allows for modeling the effects of friction and induced
anisotropy which are beyond the classical normality rule (Section 11.5).
The general framework of linear poroelasticity may be found in Section
11.6, and nonlinear poroelasticity is described in Section 11.7 for liquid
nonsaturated porous materials. Elastoplasticity for partially saturated soils is
discussed in Section 11.8, taking into account the capillary effect of suction.
Strain-hardening models for sand, clay, and rocks are developed in Section
11.9. Extension to dynamic behavior, including liquefaction, is given in Section
11.10. Bounding surface of plasticity may be established for sandy soils which
are either drained or not, in monotonic and cyclic loading conditions (Section
11.11). Finally, Section 11.12 discusses a lattice model; i.e., a network of linear
elements such as springs, trusses, or beams captures the main properties of
fracture of concrete with a relatively small number of parameters.

SECTION 11.2
Background of the Behavior
of Geomaterials
FI~LIX DARVE
I'INP Grenoble, L3S-BP 53 38041 Grenoble, France
Contents
11.2.1 General Background . . . . . . . . . . . . . . . . . . . . . 1076
11.2.2 Incrementally Nonlinear Constitutive
Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1079
11.2.3 Identification Of These Constitutive
Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1082
11.2.4 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1083
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1083
Specific features of the behavior of geomaterials are as follows:

9 pressure dependency, because of a failure criterion of the Mohr-
Coulomb type, which is, roughly speaking, a generalization of the solid
friction law for continuous media;
9 nonassociated plastic strains, because the normality condition to a
Mohr-Coulomb yield surface would imply too large a dilatancy under
shear stress;
9 incrementally nonlinear properties, because the experiments have not
allowed us to exhibit finite domains of linearity for the relation between
d (or do) and ~ (or de).
Here lie the basic reasons why nonlinear elasticity, associated elastoplasticity,
and nonassociated elastoplasticity with a single plastic potential are today
generally considered restricted frameworks for developing realistic constitu-
tive models for geomaterials. Indeed, many constitutive relations for soils and
rocks are incorporating two plastic potentials (usually one is linked to the

11.2 Background of the Behavior of Geomaterials 1077
compressibility properties and the second to those of shearing), and few are
thoroughly incrementally nonlinear.
Thus we propose first a global overview of the widely used constitutive
relations for geomaterials and then a schematic presentation of one
incrementally nonlinear model.
The general formalism of incremental constitutive relations is given by
Fh (de,, do', dt) = 0
where F is a tensorial function which depends on the material and on its

stress-strain history by means of state variables and memory parameters h. For
rate-independent materials, we can consider:
de = Gh(da) or da = G~-I(de)
where G and G -1 are homogeneous functions of degree 1, because of the rate-

independency condition.
According to Euler's identity,
de, - cg,dacda -- Mh do"
or
d o --- O(de) de, - Ph de,
where the elastoplastic tensors M and P are homogeneous functions of degree

0 with respect to dcr and de, respectively, and where
Let us note:
u = a, /la l and v = d /Id l
We call now "tensorial zone Z" any domain of incremental linearity in dcr
space (or, equivalently, in de space) [ 1]:
Vu E Z : M ( u ) =_ M z
While any elastic constitutive relation is characterized by a unique tensorial

zone (these relations are so-called incrementally linear), conventional
elastoplasticity with one unique plastic potential has two tensorial zones
(the so-called loading domain and unloading domain). The behavior of
geomaterials is often described through four tensorial zones, which
correspond to two plastic potentials and two loading-unloading criteria:
9 plastic mechanism 1 and related loading-unloading rule 1:
cgf l 9dcr(O or)0

0or
1078 Darve
9 plastic mechanism 2 and related loading-unloading rule 2:
: da(O or)O
cga
The four tensorial zones are defined by the intersections of both hyperplanes
(in da space) whose equations are given by
cgfl"da-O and c9f2"

cga -~a da - 0
On these hyperplanes a continuity condition must be fulfilled by the

elastoplastic tensors linked to the adjacent tensorial zones, as, for example,
Of 1. Of2.
Vdasuch t h a t ' - ~ a- d a - O a n d - ~ a- da > 0
(M ++ - M -+)da =_ 0
where M § is associated with the tensorial zone defined by
c9f1" da > 0 and c9f2"

cga -~a d a > 0
and M -+ to the one defined by
fl
da < O a n d ~
~f2. da > O
cgcr :
The introduction of such two plastic mechanisms is an attempt to describe the
directional variation of M (or equivalently P) with respect to dff (respectively,
d~), which is only roughly taken into account in conventional elastoplasticity
with one elastic tensor Me for "unloading conditions" and one elastoplastic
tensor M ep for "loading conditions."
If now we continue to increase the number of tensorial zones from one in
elasticity, two in conventional elastoplasticity, four with two plastic potentials,
etc., we obtain for an infinite number of tensorial zones the case of the
incrementally nonlinear constitutive relations where M (or P) is varying in a
continuous manner with da (or, respectively, &). This class of incrementally
nonlinear models includes as particular cases endochronic relations [2] and
hypoplasticity [3-5] We present in the next paragraph an incrementally
nonlinear relation of second order [6].
Another point of interest in modeling geomaterial behavior is the question
of hardening parameters. Here also the specific complexity of the irreversible
behavior of geomaterials has led us to try to generalize the usual isotropic and
kinematic hardening variables by taking into account a rotational hardening
(for example, Lade [7]). This rotational hardening allows us to describe, as an
example, the rotation of the yield surface in (q, p) plane when the
consolidation process is not isotropic but of the oedometric type.
Finally the third point which must be briefly evoked here is the modeling
of the viscous behavior, which is quite an important phenomenon for clays
and which cannot be negligible for rocks in certain situations. There are two
possible ways to take into account viscous strains by considering two different
decompositions of the incremental strains: (1) : de = de ep 4- de v, where there is
a distinction between the elastoplastic, instantaneous strains (de ep) and the
viscous, delayed strains (deV); or (2) : de = de e 4- de vp, where the distinction is
made between the elastic, reversible strains (de e) and the viscoplastic,
irreversible strains (devp). For this second class of models the viscoplastic
strains are usually treated by a viscoplastic potential as proposed by Perzyna
[8].
11.2.2 INCREMENTALLY NONLINEAR

CONSTITUTIVE RELATIONS
Returning to the relations:

de = Mh (u)da or da = Ph (v)de
and considering the six-dimensional associated spaces, we develop the

components of M or P in polynomial series expansions as follows:
1 2 3
M~ -- M~ 4- M~yu~ 4- M~6uyu6 4-...
2 3
p ~ _ p 1 4- P~,,v~,4-P~,,,~v~,v~ 4-...
Finally,
1 1 2
de~ - M ~ d a ~ + -[ydiM~da~da? 4- . . .
1 1 2
da~ - P~de,~ +-(~lP~?de,~de,~ +...
The first terms of the right-hand parts of these equations correspond to

hypoelastic relations, and both the first terms are the general expression of
incrementally nonlinear models of second order.
In order to determine the expression of M 1, M 2, p1, and P2, one assumes
three supplementary hypotheses:
9 The incremental relations are orthotropic.

9 There is not any crossed terms:
2 - 0 a n d P 2~ - 0 .
Vfl ~ 7 9M~/~
1080 Darve
9 The shear behavior is incrementally linear:
2 = 0andP~&
V~ _> 4orV7 _> 4 9M~& 2 = 0
In orthotropy axes the first model (so-called direct) and the second model
(so- called dual) are thus taking the following expressions. For the direct
model:
do'11
1 1
(d~11)2
I I
dt~111
dg22
dg33
= A &22
d033
+ i - ~B
&12 = &r12/2G3
(d~22) 2
(d0-33)2
dg23 = do'23/2G1
d~;31 = dcr31/2G2
and for the dual model:
t'
dt~11
1 1
(&11)2
d~22
do'33 I
-- C de22 -[- ]-~[D (d~22)2
dg33
i~.,-,i
d0"12 = 2G3 de12

(dg33) 2
d0"23 = 2G1 dg23

d0"31 : 2G2 de31
A, B, C, D are 3 x 3 matrices which depend on state variables and memory

parameters, and G1, 62, G3 are the shear moduli.
In order to determine A and B (direct model), and C and D (dual model),
we proceed to an identification, respectively, for the direct model with
"generalized triaxial paths" and for the dual model with "generalized
oedometric paths." "Generalized triaxial paths" refer to triaxial compressions
(index"+ ", d~i ~ 0) or extensions ( i n d e x " - " , do'i < 0)with two constant and
distinct lateral stresses (denoted by crj and ~rk).
Let us notice for the direct model:
(cgai'~ andV~ = - \c3eiJ

aj,a~
"Generalized eodometric paths" refer to oedometric compressions (index" + ",
dei > O) or extensions ( i n d e x " - " , & i <0) with two constant and distinct
lateral strains (denoted by ~j and ek).
11.2 Backgroundof the Behaviorof Geomaterials 1081
Let us notice for the dual model:

(0 ,3
a n d K ~ - \00"i)
~j ~gk
Finally, let us consider

1 V~+ V~+
<+ e~
N + -- V12+ 1
and N - i n the same way
E~
v~ + v3+ 1
_ e~- E~
and for the dual model:
-[ 01+ K~+02 + K3~+0;

2+ - [,,-2+n+
..~ ..~ o~ K~+o + a n d S - i n the same way
K~+O; K{+O~ O;
It is now possible to prove that
A - I(N+ + N-)and B -- I(N+ - N-)
C=~ ~++~- andD-~ -~-
Besides these thoroughly incrementally nonlinear models, it is also possible to

consider incrementally piecewise linear relations which are based on eight
tensorial zones in do" space (or, respectively, in de space) and which have the
same tensorial structure as an elastoplastic model with three plastic
potentials. These so-called "octolinear" models are given by
Id111 Id111 id111

de22 -- A do.22
de33 do33
q- B Ido.221
[do'33[
and for the dual model by
I do.111
do.22 - C
do.33
de111
de22 + D 1&221
de33 111
d
]&331
1082 Darve
11.2.3 IDENTIFICATION OF THESE

CONSTITUTIVE RELATIONS
As we have just seen, the identification of the direct model is performed on

triaxial paths and for the dual model on oedometric paths.
We have developed sophisticated expressions of Ei and Vi (and,
respectively, Oi and Ki) [9], and but also very simple expressions that are
particularly useful for inverse analyses in geomechanics. We are only
presenting here these last simple formulations [10] for the direct
model:
9 The plastic limit surface is given by a Mohr-Coulomb criterion which is

characterized by cohesion C and friction angle
9 Inside the limit surface, the tangent Young's moduli are equal to
Ei - - EoV~oo
(p, mean pressure and Po reference pressure) for sands and to Ei -Eo p for
clays.
The tangent Poisson's ratios ~ are equal to: Vo.
9 On the limit surface, the moduli are taken as arbitrarily small and the
Poisson's ratios are deduced from the dilatancy angle:
9 After a stress reversal the tangent moduli are mutiplied by k.
For the dual model:
9 The plastic limit surface is of the Mohr-Coulomb type (C, cp) as for the
direct model.- Inside the limit surface, the tangent oedometric moduli
are equal to
Oi - rToeao
"-'0
~/-Pfor sands
Vv0
and to
Eoedo
0 pforclays
The tangent lateral pressure coefficients K/j are equal to ko for

oedometric compression and to ka for extension.
9 On the limit surface, the tangent oedometric moduli are divided by 0~
and the tangent lateral pressure coefficients are equal to the plastic
passive pressure coefficient.
9 After a stress reversal, the tangent moduli are multiplied by k.
11.2.4 PARAMETERS
Table 11.2.1 and Table 11.2.2. present typical values of the parameters which
have been defined in 11.2.3
TABLE 11.2.1 Table of parameters for the Direct Model
Materials C(MPa) ~o(~ Eo(MPa) Vo ~(~ k
Sand 0 30 ~ 40 50 --~ 120 0.25 -3 ~ 10 3 ---~6

Clay 0 --~ 0.3 20 ~ 35 10 --~ 80 0.30 - 5 --~ 15 3 ---~6
TABLE 11.2.2 Table of parameters for the Dual Model
Materials C(MPa) q,(o) E~ed(MPa) ko kd ~ k
Sand 0 30 --~ 40 60 --~ 150 0.3 ---, 0.6 0.1 --~ 0.4 3 --~ 12 3 --~ 6
Clay 0 --~ 0.3 20 --~ 35 20 --~ 100 0.4 --~ 0.7 0.2 ~ 0.5 2~ 7 3~ 6
REFERENCES
1. Darve, E (1990). The expression of rheological laws in incremental form and the main classes
of constitutive equations, in Geomaterials: Constitutive Equations and Modelling, pp. 123-148.
Darve, E, ed., Elsevier applied Science.
2. Valanis, K.C. (1971). A theory of viscoplasticity without a yield surface. Arch. Mech. 23:
517-551.
3. Dafalias, Y. E (1986). Bounding surface plasticity: I. Mathematical foundation and
hypoplasticity. J. Eng. Mech. 112(9): 966-987.
4. Kolymbas, D. (1984). A constitutive law of the rate-type for soils. Position calibration and
prediction, in Constitutive Relations for Soils, pp. 419-437, Gudehus G., Darve, E, and
Vardoulakis, I., eds., Balkema.
5. Chambon, R., Desrues, J., Hammad, W., and Charlier, R. (1994). Cloe a new rate-type
constitutive model for geomaterials. Int. J. Num. Anal. Geom. 18(4): 253-278.
6. Darve, F (1990). Incrementally non-linear constitutive relationships, in Geomaterials;
Constitutive Equations and Modelling, pp. 2t3-238,. Darve, E, ed., Elsevier Applied Science
7. Lade, E, and Inel, S. (1997). Rotational kinematic hardening model for sand. Part I. Concept
of rotating yield and plastic potential surfaces. Comp. Geotech. 21(4): 183-216.
8. Perzyna, P. (1963). The constitutive equations for work-hardening and rate-sensitive plastic
materials. Proc. Vibrational Problems 4(3): 281-290.
9. Darve, E, and Dendani, H. (1988). An incrementally non-linear constitutive relation and its
predictions, in Constitutive Equations for Granular Soils, pp. 237-254, Saada, A.S., and
Bianchini, G., eds., Balkema.
10. Darve, E, and Pal, O. (1998). A new incrementally non-linear constitutive relation with 5
material constants, in Computer Methods and Advances in Geomechanics, pp. 2445-2454, Yuan,
ed., Balkema.
SECTION 11.3
Models for Compressible
and/or Dilatant Geomaterials
N.D. CRISTESCU
231 Aerospace Building, University of Florida, Gainesville, Florida
Contents
11.3.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1084
11.3.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1085
11.3.3 Description of the model . . . . . . . . . . . . . . . . 1087
11.3.4 Identification of Material Parameters ..... 1088
11.3.5 How to Use the model . . . . . . . . . . . . . . . . . . . 1089
11.3.6 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1090
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1092
11.3.1 VALIDITY
The model to be used for geomaterials must describe the main mechanical
properties exhibited by such materials, such as instantaneous response, time
effects (creep, relaxation, rate effects), and irreversible volumetric deforma-
tion (compressibility and/or dilatancy). The main mechanisms governing the
deformability of Geomaterials are closing and opening and microcracks. This
article shows what kind of testing is needed to formulate a nonassociated
elastic-viscoplastic constitutive equation for such materials. One starts by
defining the compressibility/dilatancy boundary and that of instantaneous
failure, both to be incorporated into the constitutive equation. Then triaxial
tests are used to determine the energy of deformation, the yield function, and
finally the viscoplastic potential. The elastic parameters are determined from
small unloading/reloading cycles which follow a short period of creep. The
models can describe transient and steady-state creep, irreversible damage
developed in time or irreversible compaction in time, convergence of the walls
in underground excavations, landslides, etc.

11.3 Models for Compressible and/or Dilatant Geomaterials 1085
The models can be used for any kind of rock or geomaterial to describe the
deformation in time (creep) and irreversible volumetric changes, i.e.,
compressibility and/or dilatancy. Also, the m o d e l can be used to describe
c o m p a c t i o n and/or creep flow of p o w d e r like materials in bulk, such as
ceramic powders, pharmaceuticals, food, etc.
11.3.2 FORMULATION
The model can be formulated using the data obtained in triaxial testing of
geomaterials. For instance Figure 11.3.1 shows the volumetric behavior of
rock salt in true triaxial tests, where cr is the m e a n stress and 9 is the
octahedral shear stress. The locus in the cry-plane where one is passing from
compressibility to dilatancy is the compressibility/dilatancy boundary. For
rock salt it is
x(~ , ~) . . . . ~ +fl ~ +f2-- (1)

O'. G.
where fl and f2 are material constants and or, is the unit stress. In reality this
b o u n d a r y is a strip of incompressibility which, for convenience, is
a p p r o x i m a t e d by a curve (Fig. 11.3.2). The u p p e r curve s h o w n in Figure
25
....... i .......................... I .............. i ................. i ........................
,r
ROCK SALT
[MPa]
20
§ ~ "~ " - "I"- ~ =40 MPa
/
_ -..,.....~..-.~:~, "~, _
;." # , ,"~,§ r /-
§ I _.4 .§ § § I ..~-.... ~ t ....
0,05 0.I 0.15 02
~v [%1
FIGURE 11.3.1 Dependency of volumetric strain on octahedral shear stress for rock salt in
true triaxial tests.
1086 Cristescu
FIGURE 11.3.2 Domains of compressibility and dilatancy, separated by a strip of

incompressibility.
11.3.2 is the short-term failure surface, which for rock salt is
Y(cr, r) 9-- - r ~ -1:- s "c q - ~cr (2)

ft. G.
where r and s are material constants.

The model is based on the following assumptions: the material is
homogeneous and isotropic; the material displacements and rotations are
small; the geomaterial exhibits instantaneous response (i.e., the two extended
body elastic (seismic) waves can propagate in that material); the yield stress
can be close to zero; the material exhibits time effects (transient and steady-
state creep as well as loading rate effect) for any stress state; and the
constitutive domain is bounded by the short-term failure surface. With these
assumptions the constitutive equation is of the form
D - 2----G-+- 3K 2G r + k~ 1 H (T ) ~ + ks - ~ (3)
where D is the strain rate tensor, T is the stress tensor, 1 is the unit stress
tensor, H(T) is the yield function, F(T) is the viscoplastic potential for
transient creep, and S(T) is the potential for the steady-state creep. All these
functions depend on stress invariants. Further, k~- and ks are two viscosity
coefficients, and K and G are the elastic parameters (generally variable) which
are defining the "instantaneous response" of the geomaterial.
W(t) = /o t ~r~,Ivdt + /o t T " D'Idt (4)
is the irreversible stress work per unit volume, with "prime" standing for
deviator and
H(r) = W(t) (5)
is the stabilization boundary for transient creep. The term OF/OT can be
replaced by an irreversible strain rate orientation tensor N(T), which is easier
to formulate from tests.
The yield function is determined by performing triaxial tests from which W(t)
is obtained following various loading paths, and thus the boundary (Eq. 5) is
determined.
The functions F (or N ) and S are determined starting from the expression
for the irreversible volumetric strain rate deformation
9 ;
,@ -- kr 1
w(t) or
u(r) ) N +
os
ks-~ ( kr{
or 1
w(t)
H(I') ) t,-(N)+ k~N
(6)
where the right-hand-side derivatives are with respect to the mean stress ~.
These functions must satisfy the inequalities
OF OS
Oa > 0, ~ - 0, in the compressibility domain
OF OS
0--a = 0, ~ - 0, in the C/D boundary strip (7)
OF OS
0---~< 0, ~--~a< 0, in the dilatancy domain
This is obtained by incorporating both expressions X and Y (see (Eqs. 1 and

2) into the functions F and S. For instance, for F one can use
k Or x(o-, ,~),-I-'(o-)
o~ = ~-(g7 ~5 [e~(e)+ ~] (8)
where tp(a) is determined from the hydrostatic tests and G(F) from the
deviatoric part of the triaxial tests (in many cases G can be disregarded). Here
is the equivalent stress r - ( 2 / 3 ) # - [(2/3)Iir,] 1/2 and IIr, is the second
invariant of the stress deviator. With this procedure dilatancy and/or
compressibility, as well as short-time failure, is described exactly by the
constitutive equation.
1088 Cristescu

PARAMETERS
First to be determined are the elastic parameters K and G. The procedure is

described in this volume in "Elasticity of Porous Materials," Section 2.3.
The yield function H is determined in the two stages of triaxial tests:
hydrostatic and deviatoric; thus H(a, F) := HH(a) 4- HD(a, F), where gen-
erally
ho sin c o ~ + + hl i f a ~ ao
:= (9)
ho + hi if a _> ao
where h0, hi, co are material constants, a , -- 1 (unit stress), and a0 is the
pressure closing all pores and microcracks. Further, HD is a polynomial in
with coefficients depending on mean stress. For rock salt:
HD(a,z)'=-A(o') z +B(a) z +C(o') z (10)
The viscoplastic potential F is determined by starting from Eq. 8, integrating

with respect to a, and then differentiating with respect to F (or z), and using
the formula
/tO-a-- 3 1 ~(~)/ (11)
and the triaxial data for the irreversible strain rate components.
The potential S is determined starting from volumetric deformation in
long-term creep tests performed for various stress states. From these tests
follow
if X < 0
i~Xvls __ k s O_~ . _ b "c (12)
0 if X > 0
from where follows for rock salt in the dilatancy domain

5
OS bm z a p z 1
ks--~z = n-+ 1 + ~0",
(13)
0".
Here b, m, n, and p are material constants.

Two boundary value problems can be described: (a) creep under constant
stresses, and (b) a general variation of both stresses and strains in long-term
intervals. In the first case, an "instantaneous" loading results in a stress and
strain distribution at time to (the elastic solution), and afterwards the stresses
are held constant (or nearly constant) and the variation of the strains are
obtained from
1 Wx(to)) OF
H cgT~j( 1 -
exp O r , n r,n.[kT(to --
Tkl (14)
H cgThz
c9S
+ --6-~-~ks(t
olij
-- to)
where e~ are the elastic strains. This formula can be used for creep tests,
gravitational compaction, and any deformation by creep when stresses are
nearly constant. For instance, for a radial convergence u of a vertical borehole
of initial radius a at time to, we have
u p--6h a
a 2G r
I1 W~-(to)) OF
ar
_21-_ 1 oFH ~~ {1 exp I~ cgF w 1} ~1~c9
S
(15)
where p is the internal pressure, ah

is the far-field stress and r is the cylindrical
coordinate.
For the second kind of problem, when, because of the change of geometry,
or for other reasons, the stresses are also varying during creep, one has to
introduce the constitutive equation in a code (see examples in Cristescu [1]
and Cristescu and Hunsche [4]).
Another example is compaction of a geomaterial (generally particulate
material) under its own weight. The volumetric deformation describing
1090 Cristescu
compaction in time, as obtained from

I1 W(to)\OF
eZv(t) _ H(T) I 0 o (16)
11.3.6 PARAMETERS
For rock salt (tests performed by Hunsche),

a2 C1
A(cr) "-- al -]- ------~, B(cr) "-- bl cr q- b2, C(~r) "- + c2
~r +c3
al - - 7 • -21MPa, a 2 - 6 . 7 3 x 1 0 -12 MPa, bl - 1 . 5 7 x 1 0 - 6 MPa, b 2 - 1.7•

10 -5 MPa, Cl - 26.12 MPa, c2 -- - 0 . 0 0 1 5 9 MPa, c3 -- 3134, and ft. =
1 MPa.
The viscoplastic potential for rock salt is
krF(~, z) -= or. [Y(~' z)]4+ - 5 flplZ(Z) + 3
+ 3f~p~[Z(r)] -~(f2p~ +f~p2)Z(~) +-~ p2 +f~p3 ---~p~ [Y(cr, ~)]2
- p3 - ~-~-p2 z(z) - ~-~fp3 In Y(o, z)+ p3 - ~fp2 ~ (G(z) + 1) + g(z)
with
"C ~ "C "C
G(z) " - U l - - + u2 +u3 +u4
O'.
.- - Y(o,
0". iT.
with Ul - 0 . 0 3 6 , u2 - - 0 . 0 0 2 6 5 , u3 - 5.256x 10 -5, and u4 - 1.57x 10 -12.

FIGURE 11.3.3 Yield surfaces (dotted lines) and viscoplastic potential surfaces (interrupted
lines) for saturated sand. In the domain cgF/cga > 0, c9H/c9~< 0 the sand is instable.
The potential S for rock salt is given by Eqs. 12 and 13 with

b -
- l x l 0 -14 s -1 , m - 5, n - - 0 . 1 , p - 3 x 10 -13 MPa S-1.
For other geomaterials, such as dry or saturated sand, granite, andesite,
coal or cement concrete, see Cristescu [1] and Cristescu and Hunsche [4], and
for ceramic powder see O. Cazacu et al. [2], and Cristescu et al. [3].
As another example, in Figure 11.3.3 is shown the yield surface (dotted
lines) for saturated sand, with
~7
H(~, e ) ' a , _#/3) ~+be+c~
and a - 4.8• 10 -7 (kPa) -1, b - 0.0013. The viscoplastic potential surfaces are
shown as dotted lines with
OF ( - 8 + 2fcr) v/F
07 = hi (2f + 0~)cr- (1 + 0~/3)e
1092 Cristescu
where the expression at the denominator is just that involved in the short-
term failure and - F + 2 f a - 0 is the equation of compressibility/dilatancy
boundary (~ = 1.34, f = 0.56). Sand is dilatant when c3F/c3a< 0 , compres-
sible when c3F/c3a > 0, and unstable if c3F/c%r > 0, c3H/c3a< O.
REFERENCES
1. Cristescu, N. (1989). Rock Rheology, Kluwer Academic.

2. Cazacu, O., Jin, J., and Cristescu, N.D. (1997). A new constitutive model for alumina powder
compaction, KONA. Powder and Particle, 15: 103-112.
3. Cristescu, N.D., Cazacu, O., and Jin, J. (1997). Constitutive equation for compaction of ceramic
powders, in IUTAM Symposium on Mechanics of Granular and Porous Materials, pp. 117-128,
Fleck, Norman, ed., Kluwer Academic.
4. Cristescu, N.D., and Hunsche, U. (1998). Time Effects in Rock Mechanics, Chichester-New York-
Weinheim-Brisbane-Singapore-Toronto: John Wiley and Sons.
SECTION 11.4
Behavior of Granular
Materials
IOANNIS VARDOULAKIS
National Technical University of Athens, Greece
Contents
11.4.1 Micro- and Macromechanical
Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . 1093
11.4.2 Elastoplastic Behavior of Granular
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1096
11.4.3 Shear-Banding and Postfailure Behavior .. 1102
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1105
11.4.1 MICRO- AND MACROMECHANICAL

CONSIDERATIONS
Granular materials are random assemblies of small grains in very large

numbers. Here situations are considered where the grains are always in
contact with their neighbors. In a first approximation the grains are assumed
to be spherical and granular materials are classified on the basis of their grain
size distribution curve and its statistical moments, like the mean grain
diameter. The geometric fabric of a granular medium at a given configuration
in space is the three-dimensional truss with its nodes located at grain centers
[ 1 ] (Fig. 11.4.1).
The property which differentiates granular materials from other solids,
like, e.g., metals, is their pronounced pressure sensitivity, which is attributed to
the existence of internal friction and which is developing at grain contacts. The
corresponding static fabric is a three-dimensional truss with its bars along
intergranular grain contact forces. Intergranular forces must always lie inside

1094 Vardoulakis
FIGURE 11.4.1 Force and centroid's fabric.
or be tangential to the local friction cone of the corresponding grain contact.

Thus, because of friction at grain contacts, the centroid's and force's lattices do
not coincide. Accordingly, granular kinematics and granular statics are not
linked to each other in a fashion that is amenable to simple analysis. This
inherent difficulty of the micromechanical description of granular media with
internal friction explains why until now phenomenological as opposed to
micromechanical models seem to be more useful for engineering applications.
However, in the last 20 years considerable progress has been made in
computer-aided micromechanical simulations of granular assemblies [2-4].
Granular materials are porous media. From a continuum mechanics point
of view, their porous or granular structure is described by macroscopic
properties of the granular assembly such as the porosity n and bulk density
p = (1 - n ) p s, where Ps is the density of the grain. Grain displacements are
averaged over a representative elementary volume (REV), and the macro-
scopic velocity vi and the rate of deformation Dij fields can be computed [5];
Dij -- -~ \cgxj + c~xi} (1)
Since grains are practically incompressible (Ps = const.) and mass convection
is in most cases negligible, mass balance yields that volume changes are
11.4 Behavior of Granular Materials 1095
simply due to changes in porosity

o
Dkk -- -~-~ln (1 - n) (2)
The intergranular forces, ti, acting at grain contacts are linked to a local
Cauchy stress tensor ai), which is assumed to fulfill equilibrium with
negligible body forces. Through this local stress tensor a macroscopic aij
stress can be computed as a volume average assigned to the center of a
considered REV:
aq
= 1L
V~v v)
#ij d V =
VRV.V V~v)
xitj dS (3)
In the case of a granular medium which is fully saturated with a pore fluid of
low viscosity (e.g., water), an 'effective' stress is defined as a measure of the
intergranular forces. We notice that in granular media the mixtures theory
decomposition of the total stress in partial stresses (as is the case in gases) is
not justified experimentally. Experimental evidence [6] and micromechanical
considerations [7] support the idea of the total stress decomposition
according to Terzaghi's [8] (empirical) effective stress principle into an
effective stress and into a pore-water pressure
(Tij -- (Ttij - pwC~ij (Pw > 0) 1 (4)
The macroscopic (effective) stress tensor is decomposed in deviatoric and

isotropic part,
1
a ~j - s ~j + -~ a k k ~3~j (5)
For a spherical REV and statistically uniform contact-normal distribution, it

can be shown [9] that the mean normal traction p over all intergranular
contacts is given by the first invariant of the stress tensor, I l a = akk, and the
m e a n shear traction rm or the second invariant of the deviator,
3" = =
p- I ~ / 3 ; z~ - T- J2~ (6)
A simple micromechanical interpretation of the third stress invariant is not

known [9]. However, the most lucid selection of a third stress invariant
follows if one considers the ratio of m a x i m u m to mean shear stress. Let, for
example, a2 _< a3 < al be the principal stresses for a given state of stress and
"/73,max ~ [0"1 -- 0"2]/2; then one can show that this ratio is a simple function of
1Compression negative.
1096 Vardoulakis
the so-called stress invariant angle of similarity 0q:

"~3,max- ~_~Isin (n/3 4- ~s)l (7)
where
3x/3 J3~
cos 3oq = 2 ]3/2 (0 < O~s < n/3) (8)
d2s
11.4.2 ELASTOPLASTIC BEHAVIOR OF

GRANULAR MATERIALS
Typical examples of granular geomaterials are sands, silts, and psammitic

rocks (sandstones). For slow deformation processes, granular materials
exhibit predominantly nonlinear stress-strain behavior upon loading as well
as upon unloading and reloading. Deformations are mostly irreversible and
practically strain-rate-insensitive. Granular geomaterials are good examples of
deformation-rate-insensitive plastic solids.
The behavior of granular materials is strongly history-dependent. Thus
finite constitutive laws are excluded, and constitutive equations can only be
written in the form of evolution-type equations that relate an objective
(effective) stress rate dij to the rate of deformation tensor Dij. The response
function depends strongly on the direction of the strain rate, resulting
generally in nonlinear rate-type equations. The assumption of rate
independence restricts dij to being a first-degree homogeneous function of
Dij. As an example, we refer here to Chambon et al. [10], who suggested
recently the following simple incrementally nonlinear model:
#ij ~- Tij(o'ij, Dij, . . .) -~- AijI[DI~I[I4- BijklDkl 4-"" (9)
In the frame of classical elastoplasticity theory, we distinguish roughly among
two such "directions," namely, between loading and unloading. Accordingly,
the rate of deformation tensor is decomposed into an elastic (reversible) and a
plastic (irreversible) part,
Dij = D~ + ~ (10)
Upon virgin loading the response is relatively soft, since both elastic and
plastic strains are generated. Elastic strains are relatively small, and they
reflect reversible, nonlinear deformations of grain contacts. The elastic
stiffness that relates the stress rate to the elastic deformation rate,
is stress-dependent, and accordingly it is derived from a suitably constructed

elastic strain energy function [ 11, 12].
In most cases plastic deformations dominate, since they reflect irreversible
grain rearrangements, which in turn include grain contact detachment and
intergranular slip. The state of stress of a given granular material point (REV)
during plastic yielding is restricted by the so-called plastic yield condition,
which has the form
F(aij, ~F, . . .) - 0 (12)
The parameter ~P in the argument list of E and possibly other scalar- and
tensor-valued variables, is used to describe, to some degree of approximation,
the history of plastic deformation, as this is reflected in the evolving force
fabric. The yield condition of granular materials is expressing the constraint
that is imposed by internal friction. Macroscopically, this results in pressure-
sensitive behavior, which is expressed by linking the shear stress intensity T to
the mean (effective) normal stress though a constraint of the form
F(crij, ~ ) - - T - fc(q - P) -- 0 (13)
where f c O F , . . . ) is the macroscopic or Coulomb friction coefficient.
The yield condition is visualized in stress space by the corresponding yield
surface Flw_const. = 0 (Fig. 11.4.2). With the concept of yield surface one can
generalize the one-dimensional concepts of loading and unloading to more
complicated stress paths. This is done by assuming a) an elastic domain
"inside" the yield surface and b) that plastic strains are generated only if the
stress increment points in the direction of growth of the yield surface.
FIGURE 11.4.2 Coulomb-typeyield surface and dilatancy flow rule in (T, p) stress subspace.
1098 Vardoulakis
st
triaxial
extension
~crio,xial
ompresslon
t O~
s3 o 2 ~ , fin
(a) (b)
FIGURE 11.4.3 a. Deviatoric trace of the Mohr-Coulomb yield surface in principal stress space.
b. Mohr circle of stresses with linear yield envelope and the definition of ~0m and c.
In granular materials the response under continued loading is practically

independent of the intermediate principal stress, as is shown in Figure 11.4.3.
Mathematically this is expressed by the so-called Mohr-Coulomb yield
condition [9, 13], with
sin (tim
fc
sin (a~ + n/3) + ~
1 cos (a~ + n/3) sinq~m (14)
In Eq. 14 ~Pm is called the mobilised Mohr-Coulomb angle of internal friction,

and reflects an average value of the internal friction, which at any instant of
the deformation process is mobilised at grain contacts inside the REV. The
parameter q is related to the cohesion c of the geomaterial, c = q tan 4~m. Both
mobilised friction and cohesion are assumed to be functions of the plastic
history parameter, sin ~bm = #(RJ), c = c(W).
Besides internal friction, granular media are distinguished from other
plastic solids by the phenomenon of dilatancy. Dilatancy means plastic volume
increase under shear and is observed in relatively dense packings. Loose
packings undergo instead plastic volume decrease during shear (contrac-
tancy). Dilatancy or contractancy are measured by the plastic volumetric
strain-rate 9P = I~hh and are attributed to grain rearrangements due to grain
slip, which in turn is measured by the second invariant of the deviator of the
rate of deformation tensor, gP =,/2D{P.D'Y. (D~i, = iePaii/3 + D'i~). Since elastic
deformations are subordinate to plastic ones, Eq. 2 tells us that dilatancy or
contractancy will be directly evident in the experiment through visible

(detectable) changes in porosity [14]. Dilatancy is an internal constraint for
the plastic deformation of the form
dvP
vP -- dRg p =~ -@gp - d R ( V ) (15)
The parameter dR in this relation is called the Reynolds [15] dilatancy

coefficient. The dilatancy constraint is depicted in Figure 11.4.2 as
the corresponding vector of the plastic deformation rate, attached to the
current stress state. By selecting an appropriate plastic potential function
Q = Q(O.ij ' trff), the dilatancy constraint, Eq. 15, follows from the so-called
plastic flow rule
- cv ~
Oa ~ (16)
Introducing the mobilized dilatancy angle ~m (Fig. 11.4.4), and in analogy to

Eqs. 13 and 14, we have
Q(crij, W) - T + dRp + const. (17)
sin ~m
dR
1 (18)
sin (~s 4- rt/3) + ~ c o s (~s + rt/3)sin ffm
P
12
FIGURE 11.4.4 Mohr-circle of plastic strain rates and the definition of ~m-
1100 Vardoulakis
The phenomenological parameters, r and ~Jm, in the definitions of the yield

function F and plastic potential Q, are assumed to describe the essential future
of the structure of the force- and centroid's fabrics, respectively. As already
mentioned in Section 11.4.1, these two fabrics do not coincide, and the
corresponding plasticity theory must require distinct functions that specify
the yield condition and the flow rule (F ~ Q).
The way to relate plastic yielding to plastic flow in granular materials is to
consider the fact that plastic work,
r p = r D~ij (19)
should after all express the work done by intergranular forces during grain
slip. Let fc be the "true" interparticle friction coefficient; then the previous
requirement is fulfilled if
dR = fc + fc (20)
This is Taylor's friction-dilatancy rule [16-18] and is interpreted as follows:
From the point of view of energy dissipation, granular materials behave like
incompressible frictional materials, with constant friction coefficient fc
(Fig. 11.4.5).
FIGURE 11.4.5 Taylor's friction-dilatancy rule in simple shear conditions [16].
Equation 20 is the simplest generalization of the so-called normality condition2

of the classical (associated) flow theory of plasticity. Indeed, for ideally smooth
particles f ~ - 0 , dR =fc form Eq. 20, and yield and plastic poten-
tial functions coincide. This is consistent with the micromechanics of granular
media, since the condition fc = 0 also means that the granular medium is
nondissipative and that the centroid's- and force fabrics coincide (cf. Fig. 11.4.1).
The flow rule, (Eq. 16) and the corresponding flow theory of plasticity are
called nonassociated, because no further restriction is imposed on the
2The normality condition of the flow theory of plasticity is stating that (a) stress and plastic
strain rate are coaxial, and (b) in stress space representations the plastic strain rate vector is
normal to the yield surface at the considered state of stress.
dilatancy coefficient, except that energy dissipation is never negative:

~vP >_ 0 ~ dR < fc (21)
Taylor's rule (Eq. 20) satisfies the previous constitutive inequality and
provides a micromechanically motivated constitutive law for the dilatancy
coefficient. Dense sands are dilatant, since fc > fc and dR > 0; loose sands are
contractant, since fc <fc and dR < 0. For fc = fc, the granular material is said to
be at a critical state and it deforms isochorically, dR = 0.
With distinct yield and plastic potential functions, one arrives at the
following constitutive equations of the so-called Mroz [19,20] nonassociate,
elastoplasticity theory for frictional-dilatant solids,
aij = CijhlDki Cijhl - Cijhl Dkt
with:
9 Plastic stiffness tensor:
Cght=(1) cgQce cgF Cpqkl

H Cgamn mnijCgap-----~q
e
9 Plastic modulus:
H = Ho + Ht > 0
9 Hardening (softening) modulus:
OF{ > 0 9 hardening

Ht - - - ~ - ~ < 0 9 softening
9 Snap-back threshold value for the softening modulus:
Ho - > o
9 ( 9 Foeppl-Macauley brackets"
1 if 9 F -- 0 andBkl~,kl > 0 OF e
0 if " F < 0 or F = 0 and B~le,ki < 0 ;Bij = ~ Cklij
1102 Vardoulakis
ep
C0kl is a quasi-linear operator and in the case of associative plasticity is
satisfying major symmetry conditions. We notice that for granular materials
nonassociativity of the flow rule usually holds only for the volumetric
component of the plastic strain rate. At the same time, the deviatoric normality
is assumed to hold [21]; i.e.,
OF OQ
&rij Oaij
11.4.3 SHEAR-BANDING AND POSTFAILURE

BEHAVIOR
Otto Mohr [22] published in the year 1900 the original strength theory of
cohesive-frictional or Mohr-Coulomb materials. These materials fail under
shear by forming a set of conjugate slip lines. Granular materials are good
examples of Mohr-Coulomb materials, since failure is manifested in these
materials in the form of conjugate shear-bands (Fig. 11.4.6).
A shear-band is a narrow zone of intense shear with a thickness that is a
small multiple of the mean grain diameter [23]. In the past 25 years extensive
work on shear-banding in granular media has been initiated by the works of
FIGURE 11.4.6 Conjugateshear-bands in perlite (volcanic soft rock in Melos island, Greece).
Vardoulakis [24] and Desrues [25]; see Reference [9] for an extensive
literature review. Shear localization induces intense intergranular slip and
dilatancy of the material inside the localized zone [14], which is due to grain
rearrangement, grain slip, and rotation [26]. Increasing porosity naturally
reduces the coordination number of the granular assembly (i.e., the number of
contacts per grain), yielding progressively to macroscopic material softening
inside the localized zone. For equilibrium reasons the material outside the
localized zone is unloading (Fig. 11.4.7).
From the micromachanical point of view, an important structure
that appears to dominate localized deformation is the formation and collapse
(buckling) of grain columns. We notice that in order to account for
these effects, higher moments concerning the grain geometry must
be accounted for, such as their ellipticity, angularity, etc., which in turn lead
to a basic asymmetry of shear stress and to micropolar effects [27,28]. At
any rate, localization of deformation leads to a change of scale of the problem
so that phenomena occurring at the scale of the grain cannot be
ignored anymore in the modeling process of the macroscopic behavior of
the material. Under these circumstances, it appeared necessary to resort to
continuum models with a microstructure, which allow us to some degree to
describe localization phenomena. These generalized continua contain
additional kinematical degrees of freedom and/or consider higher deformation
gradients. These observations have prompted the extension of classical
continuum mechanical descriptions for granular media past the softening
regime by resorting to the so-called Cosserat [9,29] or gradient models
[9,30,311.
In a recent paper, Zervos et al. [32] presented a new unified gradient
elastoplasticity theory for cohesive/frictional, dilatant materials, where
FIGURE 11.4.7 Shear-bandmodel as a thin layer of strain-softening material embedded between

elastically unloading half-spaces.
1104 Vardoulakis
gradient terms were considered in the elastic regime as well, and the stress
rate equation reads as follows:
As a result, the order of the governing equations remains the same everywhere
in the deforming solid throughout the loading history. The consistency
condition of the flow theory of plasticity, which in this case is a differential
equation, is solved analytically in an approximate fashion [9]. Therefore, only
displacements need to be discretized in a finite element formulation, where a
C 1 three-noded triangle with quintic interpolation for the displacement field
was implemented. The ability of such a theory to model progressive
FIGURE 11.4.8 Finite-elementpostlocalization analysis of the biaxial test, using second-gradient

elastoplasticity theory [31].
localization of deformation is demonstrated by simulating the biaxial test on a

weak sandstone. After the critical load level is reached, a shear-band is formed
(Fig. 11.4.8). The material inside the band is in the softening regime and
continues to deform plastically. The material outside unloads elastically. The
inclination and thickness of the shear-band and the load displacement
response of the sample are not affected by mesh refinement.
ACKNOWLEDGEMENTS
This article is a partial result of research supported by funds of GSRT of

Greece through the program PENED 99 ED 642.
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assemblies. G~otechnique 29: 47-65.
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4. Emeriault, E, and Cambou, B. (1996). Micromechanical modelling of anisotropic non-linear
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7. Oka, E (1996). Validity and limits of the effective stress concept in geomechanics. Mech. Coh.
Frict. Mat. 1: 219-234.
8. Terzaghi, K. V. (1936). The shearing resistance of saturated soils, in Proc. 1st ICSMFE
Cambridge, pp. 54-56. vol. 1.
9. Vardoulakis, I., and Sulem, J. (1995). Bifurcation Analysis in Geomechanics, Blackie Academic
and Professional.
10. Chambon, R., Desrues, J., Hammad, W., and Charlier, R. (1994). A new rate-type constitutive
model for geomaterials. Int. J. Num. Anal. Meth. Geomechanics 18: 253-278.
11. Loret, B. (1985). On the choice of elastic parameters for sand. Int. J. Num. Anal. Meth.
Geomechanics 9: 285-287.
12. Lade, P. V., and Nelson, B. (1987). Modelling the elastic behavior of granular materials. Int. J.
Num. Anal. Meth. Geomechanics 11: 521-554.
13. Chen, W. E, and Han, D.J. (1988). Plasticity for Structural Engineers, Springer.
14. Desrues, J., Chambon, R., Mokni, M., and Mazerolle, E (1996). Void ratio evolution inside
shear bands in triaxial sand specimens studied by computed tomography. G~otechnique 46:
529-546.
15. Reynolds, O. (1885). On the dilatancy of media composed of rigid particles in contact. With
experimental illustrations. Phil. Mag. 2(20): 469--481. Also: Truesdell, C., and Noll, W.
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(1948). The Non-Linear Field Theories of Mechanics, Handbuch der Physik Band III/3, section
119, Springer.
16. Taylor, D. W. (1948). Fundamentals of Soil Mechanics, John Wiley.
17. Rowe, P. W. (1962). The stress-dilatancy relation for static equilibrium of an assembly of
particles in contact. Proc. Roy. Soc. 269: 500-527.
18. De Josselin de Jong (1976). Rowe's stress-dilatancy relation based on friction. Gr
26: 527-534.
19. Mroz, Z. (1963). Non-associate flow laws in plasticity. Journal de M~canique 2: 21-42.
20. Nguyen, Q. S., and Bui, H. D. (1974). Sur les mat~riaux ~lastoplastiques h ~crouissage positif
ou n~gatif. Journal de M~chanique 3: 322-432.
21. Gudehus, G. (1972). Elastic-plastic constitutive equations for dry sand. Arch. Mech.
Stosowanej 24: 395-402.
22. Mohr, O. (1900). Welche Umsthnde bedingen die Elastizithtsgrenze und den Bruch eines
Materials? Zeitschrift des Vereines deutscher Ingenieure 44: 1-12.
23. Roscoe, K. H. (1970). The influence of strains in soil mechanics. G~otechnique 20: 129-170.
24. Vardoulakis, I. (1977). Scherfugenbildung in Sandkoerpern als Verzweigungsproblem, Doktor-
arbeit, Universitaet Karlsruhe.
25. Desrues, J. (1984). La Localization de la DEformation dans les Mat~riaux Granulaires. Th&e de
Doctorat et Science, USMG & INPG, Grenoble.
26. Zervos, A., Vardoulakis, I., Jean, M., and Lerat, P. (2000). Numerical investigation of granular
kinematics, in Mechanics of Cohesive-Frictional Materials (in press).
27. Oda M. (1997). A micro-deformation model for dilatancy of granular materials, in ASCE/
ASME Symposium on Mechanics of Deformation and Flow of Particulate Materials, pp. 24-37,
Chang, C.S., Misra, A., Liang, Ry., and Babic, M. eds.
28. Bardet, J.-P., and Vardoulakis, I. (2000). The asymmetry of stress in granular media. Int. J.
Solids Struct. 38: 353-367.
29. Mfhlhaus, H.-B., and Vardoulakis, I. (1987). The thickness of shear bands in granular
materials. Gr 37: 271-283.
30. Vardoulakis, I., and Aifantis, E. C. (1991). A gradient flow theory of plasticity for granular
materials. Acta Mechanica 87: 197-217.
31. Vardoulakis, I., and Frantziskonis, G. (1992). Micro-structure in kinematic-hardening
plasticity. Eur. J. Mech.~Solids 11: 467-486.
32. Zervos, A., Papanastasiou, P., and Vardoulakis, I. (2001). A finite element displacement
formulation for gradient elastoplasticity, Int. J. Numer. Meth. Engng. 50 (6): 1369-1388.
SECTION 11.5
Micromechanically Based
Constitutive Model for
Frictional Granular
Materials
SIA NEMAT-NASSER
Center of Excellencefor Advanced Materials, Department of Mechanical and Aerospace Engineering,
University of California, San Diego, California
Contents
11.5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1107
11.5.2 Back Stress and Fabric . . . . . . . . . . . . . . . . . . 1109
11.5.3 Yield Criterion . . . . . . . . . . . . . . . . . . . . . . . . . . 1110
11.5.4 Inelastic deformation Rate Tensor . . . . . . . . 1110
11.5.5 Dilatancy, Friction, and Fabric . . . . . . . . . . . 1111
11.5.6 Elasticity Relations . . . . . . . . . . . . . . . . . . . . . . 1112
11.5.7 Rate Constitutive Relations . . . . . . . . . . . . . . 1112
11.5.8 Material Functions . . . . . . . . . . . . . . . . . . . . . . 1114
11.5.9 Illustrative Example . . . . . . . . . . . . . . . . . . . . . 1114
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1116
11.5.1 INTRODUCTION
The response of frictional granules (i.e., granular masses w h i c h

s u p p o r t the applied loads t h r o u g h contact friction) is strongly domi-
nated by anisotropy or fabric w h i c h is invariably i n d u c e d u p o n
shearing u n d e r confinement. C o n c o m i t a n t features of this characteristic of
frictional granules are their dilatancy in m o n o t o n i c shearing and their
densification u p o n s u b s e q u e n t unloading. A further remarkable p r o p e r t y of

1108 Nemat-Nasser
materials of this kind is that they can actually undergo reverse inelastic
sheafing against an applied shear stress when a monotonic sheafing under
confining pressure is followed by unloading [1]. The energy required for
plastic deformation against the applied shear stress is supplied by the work done
by the confining pressure going through the accompanying shear-induced
volumetric contraction. Experiments show that, under relatively small
confining pressures, the following features are among the essential
characteristics which must be captured in modeling the inelastic deformation
of granular masses:
9 An initial densification (decrease in void volume), the magnitude of

which decreases as the void ratio (the ratio of void volume to the volume
of the solid) approaches a minimum value.
9 If the sample is dense (i.e., its void ratio is close to the corresponding
minimum value), then the initial (small) densification is followed by
dilatancy (increase in void volume), which continues until a critical void
ratio is attained asymptotically.
9 If at a certain stage during the course of dilatancy, the shearing is
reversed and the shear strain is gradually decreased to its initial zero
value (completing half of a strain cycle), then there is always a net
amount of densification, this amount decreasing as the void ratio
approaches its minimum value.
9 If the sample is loose (i.e., its void ratio is larger than a critical value),
then the sample may densify continuously until the critical void ratio is
reached asymptotically.
Based on micromechanics, a plasticity model which includes

both isotropic and kinematic hardening has been developed [2] to
describe the response of frictional granules under small confining
pressures. The model includes pressure sensitivity and dilatancy, as
well as the effect of induced anisotropy and the noncoaxiality of the
inelastic strain rate and the stress tensors, and does capture the basic
features listed previously. The basic hypothesis is that the deformation
of frictional granular masses occurs through simple shearing accom-
panied by dilatation or densification (mesoscale), depending on the
microstructure (microscale) and the loading conditions (continuum
scale). The microstructure and its evolution are defined in terms
of the fabric a n d its evolution, and this fabric is characterized in
terms of a back stress (kinematic hardening). In this theory, the fabric
affects both the inelastic and the elastic deformation, in a most pro-
found way. An expression for the overall elasticity tensor is developed in
terms of a fabric tensor.
11.5 Micromechanically Based Constitutive Model for Frictional Granular Materials 1109
11.5.2 BACK STRESS AND FABRIC
The term fabric is used to define the overall anisotropic distribution of the
granules, their contact forces, the associated voids, and other microstructural
parameters which are responsible for the anisotropic behavior of the granular
mass. Assuming a uniform sample, here we measure the granular fabric by the
distribution of the contact unit normals. Denote by n a typical contact unit
normal, and let E(n) be its distribution-density function. Hence, E(n)dD
represents the fractional number of contact unit normals whose directions fall
within the solid angle dFl. Various aspects of this representation of the fabric of
a granular mass are discussed by Mehrabadi et al. [3], Kanatani [4], and
Subhash et al. [5]. Here, we use the second-order approximation of E(n),
given by
1 1
E(n) - 2 n ( r - 1) (1 + E) " (n | n ) - 2 n ( r - 1) (1 + E/)ninj) (la)
where r = 2 in two dimensions and r = 3 in three dimensions; 1 with

components 5/) is the identity tensor; E is a second-order symmetric and
deviatoric tensor with components E/) -- 4( < ninj > --~5/)) 1 in two dimensions,
and E/)= 1 5 / 2 ( < n i n j > - 1 / 3 6 / ) ) in three dimensions, where < ... >
denotes volume average; and the repeated indices are summed. The back
stress is defined by
fl = x/2 pJ , J - -fiE (lb, c)
where p is the pressure, a n d / i is an effective friction coefficient which is used

as a normalizing factor. The minus sign in Eq. lc ensures that the major
principal direction of fl coincides with the direction of the least density of the
contact unit normals. The fabric tensor J is used as an internal variable to
represent the effects of the microstructure. Tensors E, fl, and J are all
deviatoric.
The internal resistance to deformation in frictional granules can now be
represented by a stress tensor v which consists of a hydrostatic pressure, - p l ,
the (deviatoric) back stress fl corresponding to the fabric tensor, and a
deviatoric tensor S representing the internal isotropic Coulomb friction,
-- - p l + fl + S (2)
The deviatoric tensor S is called the stress difference.

1110 Nemat-Nasser
11.5.3 YIELD CRITERION
The yield condition is defined in terms of the isotropic Coulomb friction,

using the stress difference tensor S, as follows:
1
f- 9 - F(p, A, ~) <_ O, 9 - (1S'S)-2 (3a, b)
where A is the accumulated volumetric strain and ~ is the effective inelastic
strain, defined in terms of the deviatoric part, DP, of the plastic deformation
rate tensor DP, as follows:
-
/o ~ dt, ~ = x/2p" DP (3c, d)
where p is defined in the following text by Eq. 4c. As has been discussed in
Nemat-Nasser and Shokooh [6], A can be related directly to the void ratio, e,
and M - O F / O p is the isotropic friction coefficient. Indeed, in two
dimensions, M - s i n r where qS~ is the internal friction angle [2]. With
this in mind, the yield condition is written as
f-'c- pM <_ 0 (3e)
in what follows.
11.5.4 INELASTIC DEFORMATION RATE

TENSOR
Generalizing the double sliding models proposed by Spencer [7, 8], de

Josselin de Jong [9], Mehrabadi and Cowin [10], and Balendran and Nemat-
Nasser [11, 12], it is shown by Nemat-Nasser [2] that the inelastic
deformation rate tensor, DP, can be expressed as
D p -- y9~P + I/a(1 (4s) - p | p)" DI + ~yB1
1. (4a)
or, in component form, as
(45)
where l(4S) is the fourth-order symmetric identity tensor; D I is the deviatoric

part of the deformation rate tensor D; and
S
-x/~ (4c)
is a unit tensor coaxial with S. In Eq. 4a,b, r / = +1 with the sign chosen such
that the associated rate of work is positive; B is the dilatancy parameter which
relates the shear-induced volumetric strain rate to the shear strain rate; and
> 0 is the noncoaxiality coefficient. In the literature, the part of the plastic
deformation rate tensor which is noncoaxial with the stress difference is
expressed in terms of the Jauman rate /~, which is orthogonal to p i.e.,
0
/, 9 -- 0; see References [13-15]. S i n c e [(1 (4s) - / t l (~/tl) " D'] 9y = 0, a direct
relation exists between the two representations; this is discussed in a
forthcoming book by the author.
In general, the response of frictional granular masses is dominated by their
fabric. Therefore, the noncoaxiality term in the plastic strain rate can be
neglected in many cases, especially at small pressures; i.e., c~- 0 may be
assumed.
11.5.5 DILATANCY, FRICTION, AND FABRIC
An expression for the dilatancy parameter B is obtained by setting the rate of

frictional loss equal to the rate of distortional plastic work. To arrive
at an explicit result, assume that the rate of frictional loss (per unit volume) is
given by
ivy = ~pMy (5a)
where Mf is an effective friction factor, a function of the void ratio and the
fabric. Then, neglecting the work associated with the noncoaxiality term in
Eq. 4a, b, from DP 9v -- ivf, obtain
- B - Mj - (M + -J" (Sb, c)
In this equation, #f represents the effect of the fabric anisotropy on the

dilatancy. Since Mf > 0 and M = r/p is generally very small, the dilatancy
parameter B is initially negative (densification) for an initially isotropic virgin
sample, until #f becomes suitably large, as/~ and J tend to become coaxial (in
general, 0 < M << 1, for small pressures; i.e., most geomaterials have a very
small elastic range). When the direction of shearing is reversed, #f changes its
sign and attains a negative value. Hence, in reversing the direction of shearing,
the dilatancy parameter B becomes negative, predicting that the sample would
densify. This is in agreement with essentially all experimental observations. As
the reversed shearing continues, the fabric anisotropy evolves and J changes
with the applied stress. For the model to predict positive dilatancy in
continued monotonic, say, shearing, the evolution of J must be such that J
tends to become coaxial with/l, renderingJ : /~ positive again. The evolution
equations for the fabric tensor J, as well as for the overall effective friction
coefficient, Mf, and the radius of the yield surface defined by pM~ must thus
reflect these basic physical requirements.
1112 Nemat-Nasser
Since, from Eq. 4a, b,/)~kk -- 9B, it follows that
(5d)
l+e
so that the void ratio e is given by
e -- ( 1 + eo)exp(fo ~B dy) - 1 (5e)
where e0 is the initial void ratio. As is seen, the exponential

dependency of the void ratio e on the dilatancy parameter B
makes the result very sensitive to the variation of the parameter B
with the fabric parameter /if in Eq. 5b. Comparison with experi-
ments has shown that Eq. 5b may have to be modified to reduce
the effect of the fabric parameter on B, by replacing/if in Eq. 5b with ~/if,
where 0 < ~ ___ 1.
11.5.6 ELASTICITY RELATIONS
The elasticity of an assembly of frictional granules depends on the fabric and

the applied pressure. Let L be the instantaneous elasticity tensor. Based on
two-dimensional deformation of granular materials, it can be shown that the
elasticity tensor is given by
L -- 2G(1 (4s) _ 1/31 | 1) + 2G/tfl | + v/-2/((/,fl | 1 + 1 | + K1 | 1
(6a)
where G, G, K, and,/( are pressure-dependent moduli (all functions of the
void ratio), and
1~ 1 1
'% = x/213 ' fl - (111"1J ) ~ = pJ ' J - (J "J)~ (6b-d)
In the present formulation, the fabric tensor, 1~, affects both the elastic and
inelastic response of the material.
1 1 . 5 . 7 RATE C O N S T I T U T I V E RELATIONS
The final constitutive relation is now given by
o
"e -- L " ( D - D p) (7a)
or, in component form, by

0
"r,ij -- Lijkl (Dkl - Dl~kz) (7b)
For the evolution of the fabric, assume

0 0
(8a, b)
where A is a material function, depending on the fabric measure,

say, J, and possibly its history (e.g., the last extreme state of the fabric,
in cyclic loading). In monotonic loading, the induced fabric (anisotropy)
will eventually saturate. Hence, A must then tend to zero. Upon
reverse loading, a jump in the value of A is expected; see the example in
Section 11.5.9.
The effective strain rate ~) is obtained from the consistency
condition; i.e., f - 0 for continued plastic deformation. In the present case,
we obtain
A1 -4- A2 (9a)
-- H + O + Gla} + lafl(B + M)[( + MKB
where
A 1 - v/2(eVlz + GlAflVfl) -~- (~(]Afl -4- MK)Vkk -nt- x/~M~(Dfl
In these equations, # f l = p : pfl=/-tf/J, D~,--D : p, D f l - - D : p f l , and

H is the workhardening parameter. To obtain an explicit expression
for H, consider Eqs. 3e and 5c, and assume that M in Eq. 3e is a
function of the void ratio e and the fabric parameter J, i.e., M = M (e, J);
for small pressures, the assumption F(p, A, 7) = pM(e, J) is
appropriate, but not for large pressures, where the dependence on
the pressure may be nonlinear. From the consistency relation f = 0 at
constant pressure, we thus obtain
0
dF ,8 p_ (1+ + +1 A (9d)
For a small elastic range, M ~ 0 and hence H ~ pA. In this case, the elastic
volumetric strain rate may be neglected; i.e., Dhh ~ INChk = 9B. When, in
addition, we set ~ = 0, then Eq. 9a reduces to
"); - - (9e)
pA + G + G/.t~
1114 Nemat-Nasser
11.5.8 MATERIAL FUNCTIONS
In this theory, there are three basic material functions which characterize the
inelastic response of the granular mass. These are:
(1) M, which defines the elastic range of the material. At small pressures,
M~0.
(2) Mf, which defines the overall frictional resistance of the material and,
in general, is a function of the void ratio e and the fabric measure/~f.
The following form for this function has been suggested by Nemat-
Nasser and Zhang [16], based on experimental results of Okada [17]"
Mf = (a 4- b ( e - em)nl)(/AO --/Af) n2 (X0a)

where em is the minimum value of the void ratio e, and #0 is a reference value
of the fabric parameter #f.
(3) A, which defines the evolution of the fabric tensor through the back
stress. In monotonic loading, the induced anisotropy (fabric) is
eventually saturated. To simulate this, A must tend to zero in such
loadings. Then, upon unloading, A must jump to a finite positive value
[16].
In addition, there are four elastic moduli, G, G, K, and,/~, all of which
depend on the void ratio and the pressure. They may be approximated by the
following general form:
A - A0(1 4- c(eM - e) n3) (10b)
where A stands for any of the four elastic moduli.
In expressions Eq. 10a, b, the free parameters must be established based on
experimental results, as has been illustrated by Nemat-Nasser and Zhang [16].
An example, given by these authors, is used in following text for illustration.
11.5.9 ILLUSTRATIVE EXAMPLE
Okada [17] has performed experiments on large hollow cylindrical samples of

Silica 60, for which e m - - 0 . 6 3 1 and eM = 1.095. Some of the results are
examined and modeled by Nemat-Nasser and Zhang [16], where details
of the modeling are given. The samples have 25-cm outside and 20-cm
inside diameters, and 25-cm height. They are cyclically sheared under a
constant confining pressure in a drained condition. A pure shearing
with Zrr = zoo = Zzz = - p and ~rO = ~rz = 0 may be assumed, using a polar
coordinate system. Setting 0 -- 1 and z - 2, and assuming a negligible elastic
v
or"
o3
Q.
0
,0
0.8
0.6
0.4
0.2
0.0
-0.2
-0.4
'
11.5 M i c r o m e c h a n i c a l l y Based C o n s t i t u t i v e Model for F r i c t i o n a l G r a n u l a r Materials
''' I''''
7
I''''
/ / / 1
I'''' I'''' I'''' I''
. .. -'-"~" ~'
'' I''
~
' '
1115
c" -0.6
O3
-0.8
-1.0 ,,,, .... , .... , .... , .... i .... . .... , ....

-4.0 -3.0 -2.0 -1.0 0.0 1.0 2.0 3.0 4.0
S h e a r Strain( % )
F I G U R E 11.5.1.
range, we obtain
2D12
eli ~/}12 - +pAg, 9 - +
1 + A/K
> 0, ~c -- (G + C_,)/p (lla-c)
The combined elastic modulus K has the functional form given by Eq. 10b,
and for A one may use
K g(t) -- D12(t) dt ( l l d , e)
A(t) = 1 + d g(t) - gel"4'
where ~e is the value of ~(t) attained just before unloading. From Eqs. 11a-e,
the shear stress q512 --g.Oz is obtained as a function of the strain ~. A typical
example is given in Figure 11.5.1 , where the solid curve is the experimental
result [17] and the dashed curve is the theoretical result. The material
constants used are: K = 130, c = 1.42, d = 1.40 x 103, and n4 = 1.1. The
pressure is 195 Pa.
The void ratio is obtained from Eq. 5e with
B -- - M r + ~'#f, #f = 4 -312 (12a, b)

p
The results for the same example are shown in Figure 11.5.2, where the
experimental data are presented by open circles. The material constants are:
a = 1/4, b = 0.1, n l - - 0.40, n2 -- n3 -- 1, and ~ = 3/4.
1116 Nemat-Nasser
0.72 ' ' ' ' I ' ' ' ' I ' ' '' I ' ' ' ' I ' ' ' ' I ' ' ' ' I ' ' ' ' I ' ~ ~ ~
0.70
0
.,I.-a 0.68
rr
"0
0 0.66
>
0.64
0.62 .... ' .... ' .... i .... , .... , .... , .... , ....
-4.0 -3.0 -2.0 -1.0 0.0 1.0 2.0 3.0 4.0
Shear Strain( % )
FIGURE 11.5.2.
ACKNOWLEDGEMENTS
T h e w o r k r e p o r t e d h e r e h a s b e e n s u p p o r t e d by the U.S. N a t i o n a l Science

F o u n d a t i o n u n d e r G r a n t C M S - 9 7 2 9 0 5 3 , w i t h the U n i v e r s i t y of California, San
Diego.
REFERENCES
1. Okada, N., and Nemat-Nasser, S. (1994). Energy dissipation in inelastic flow of saturated
cohesionless granular media. G~otechnique 44(1): 1-19.
2. Nemat-Nasser, S. (2000). A micromechanically-based constitutive model for frictional
deformation of granular materials. J. Mech. Phys. Solids 48(6-7): 1541-1563.
3. Mehrabadi, M. M., Nemat-Nasser, S., and Oda, M. (1982). On Statistical description of stress
and fabric in granular materials. Int. J. Num. Anal. Methods in Geomechanics 6: 95-108.
4. Kanatani, K. (1984). Distribution of directional data and fabric tensors. Int. J. Eng. Sci. 22(2):
149-164.
5. Subhash, G., Nemat-Nasser, S., Mehrabadi, M. M., and Shodja, H. M. (1991). Experimental
investigation of fabric-stress relations in granular materials. Mech. Mat. 11(2): 87-106.
6. Nemat-Nasser, S., and Shokooh, A. (1980). On finite plastic flow of compressible materials
with internal friction. Int. J. Solids Struct. 16(6): 495-514.
7. Spencer, A. J. M. (1964). A theory of the kinematics of ideal soils under plane strain
conditions. J. Mech. Phys. Solids 12: 337-351.
8. Spencer, A. J. M. (1982). Deformation of ideal granular materials, in Mechanics of Solids, pp.

607-652, Hopkins, H. G., and Sewell, M. J. eds., Oxford: Pergamon.
9. de Josselin de Jong, G. (1959). Statics and Kinematics in the Failable Zone of Granular
Material. Ph.D. thesis, University of Delft.
10. Mehrabadi, M. M., and Cowin, S. C. (1978). Initial planar deformation of dilatant granular
materials. J. Mech. Phys. Solids 26: 269-284.
11. Balendran, B., and Nemat-Nasser, S. (1993). Double sliding model for cyclic deformation of
granular materials, including dilatancy effects. J. Mech. Phys. Solids 41(3): 573-612.
12. Balendran, B., and Nemat-Nasser, S. (1993). Viscoplastic flow of planar granular materials.
Mech. Mat. 16: 1-12.
13. Rudnicki, J. W., and Rice, J. R. (1975). Conditions for the localization of deformation in
pressure-sensitive dilatant materials. J. Mech. Phys. Solids 23: 371-394.
/4. Nemat-Nasser, S. (1983). On finite plastic flow of crystalline solids and geomaterials. Journal
of Applied Mechanics (50th Anniversary Issue) 50(4b): 1114-1126.
15. Nemat-Nasser, S. (1992). Phenomenological theories of elastoplasticity and strain localization
at high strain rates. The Journal of Applied Mechanics Reviews 45(3, Part 2): 519-545.
16. Nemat-Nasser, S. and Zhang, J. Constitutive relations for cohensionless frictional granular
materials. J. of Plasticity (in press).
17. Okada, N. (1992). Energy Dissipation in Inelastic Flow of Cohensionless Granular Media.
Ph.D. thesis, University of California, San Diego.
SECTION 11.6
Linear Poroelasticity
J. W. RUDNICKI
Department of Civil Engineering, Northwestern University, Evanston, Illinois
Contents
11.6.1 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1118
11.6.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1118
11.6.2.1 Isotropic Response . . . . . . . . . . . . . . 1121
11.6.3 Field equations . . . . . . . . . . . . . . . . . . . . . . . . . . 1122
11.6.3.1 Plane Strain . . . . . . . . . . . . . . . . . . . . . 1123
11.6.4 Material Parameters . . . . . . . . . . . . . . . . . . . . . 1124
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1125
11.6.1 VALIDITY
Linear poroelasticity is a theory that includes the coupling between linear

diffusion of a mobile species and the stress and deformation of a linear elastic
porous solid. This theory has been widely applied not only to soils and rock
masses infiltrated by groundwater but also to coupling of fluid flow and
deformation in biological materials and diffusion of hydrogen in metals.
Although departures from linear behavior are common in actual materials,
linear poroelasticity is an improvement over idealizations that neglect either
diffusion or deformation entirely. Because parameters describing nonlinear
material behavior are difficult to obtain with accuracy, poroelasticity often
offers a more practical approach than complex, nonlinear models. Further-
more, the insights gained from linear poroelasticity can be valuable for
interpreting more complex models.
11.6.2 FORMULATION
The general development of linear poroelasticity was first given by Biot [1],
but a revealing presentation of the constitutive relations by Rice and Cleary

11.6 Linear Poroelasticity 1119
[2] is followed here. Detournay and Cheng [3] have recently given a detailed
discussion of the theory with a variety of solutions, especially for borehole
problems, and an introduction to numerical formulations.
In addition to the total stress aij and the (infinitesimal) strain of the
solid matrix z/j, two additional variables are needed to describe the fluid
phase (or other diffusing species). One choice for these is the fluid mass
per unit reference volume of porous solid m and the pore fluid pressure p.
The latter is defined as that pressure in an imaginary reservoir of fluid
connected to the material point that equilibrates any mass flow to the porous
solid. If a "point" of the porous solid is regarded as a representative
volume element containing differently oriented fissures, then the assignment
of a single scalar pore pressure to the point assumes that the time scale
of deformation is slow enough to allow pressure equilibration within this
element.
Linear relations for the stress and alteration of fluid mass content from a
reference value m0 in terms of the strain and pore pressure take the form
aij -- Lijkle, kl -- AijP (la)
m- mo = Rij~ij + Qp (lb)
where Lijkl, Aij, and Rij are arrays of factors reflecting the symmetries of aij and
eij. The first of these has the usual form of the linear elastic relation with the
stress replaced by the effective stress, aij + AijP. The fluid mass content can be
written as the product of p, the density of homogeneous fluid, and v, the
apparent volume fraction of pore space, m = pv. Linearizing this relation and
substituting into Eq. lb yields
1 p ( P0V0~
v - vo . . . . . . + - Q- (2)
P OR'J'F''J PO\ --~f fl
where the last term results from the linearized density change and Kf =
PoP/(P - Po) is the bulk modulus of the pore fluid. An additional constraint
on constitutive parameters arises from the relation for changes in the
Helmholtz function per unit mass ~b(~ij,m) for isothermal deformation :
ddp = ~ijdgij -[- ladm (3)
where the chemical potential # is given by
- p(p/
(4)
(McTigue [4] has given a formulation for linearized porothermoelasticity.) A

Legendre transformation to the potential ~ = ~b - #m yields
1120 audnicki
Because Lijkz- oq26/O~ijO~kl, these moduli satisfy the usual elastic symmetry
with respect to interchange of the first and last pair of indices. In addition, the
Maxwell relation that results from computing second derivatives of ~ with
respect to ~ij and p in either order is
Orrij O~
= (6)
Op &~j
Substituting Eqs. la and 2 yields
Rij -- PoAij (7)
The remaining constitutive relation is Darcy's law:
(8)
where qi is the fluid mass flow rate (relative to the solid phase) per unit area,
gf/is the body force per unit mass of fluid, and ~cij is a permeability tensor,
required to be positive definite by the second law of thermodynamics. The
permeability ~cij is more typically expressed as kij/rl, where r/is the viscosity of
the fluid and kij is a permeability tensor with dimensions of (length) 2,
frequently measured in units of darcies (1 darcy=10-12m2). Alternatively, the
permeability is expressed as an equivalent velocity k = yo~Cwhere Yo is the
weight density of the fluid.
If deformation occurs very slowly, fluid mass diffusion will equilibrate any
alterations of pore fluid pressure. In this drained limit, the pore pressure
change vanishes. Thus the moduli Lijkl are those appropriate for drained
deformation. In the contrasting undrained limit, rapid deformation allows no
time for fluid mass alteration. Setting m = mo in Eq. lb and substituting into
Eq. la yields
/A
~j - L~jk~kz (9)
where
L~jkl - Lijhl -4- Q- l poAijAhl (10)
are the moduli appropriate for undrained deformation. The pore pressure
induced by undrained deformation can be expressed as
1
p -- --~Bij~ij (11)
where
3 P oAmn Cmnij
Bij = Q _ PoAmnCm,pqAp q (12)
and Cpqrs is the inverse of Lijkz.

11.6.2.1 ISOTROPIC RESPONSE
Although Cheng [5] has recently given an advantageous formulation of

anisotropic poroelasticity, applications assuming isotropy are much more
common because of the difficulties of obtaining a complete set of material
parameters. For isotropy, the tensors Aij, Bij, and tcij reduce to e, B, and tc times
the Kronecker delta, 6ij, respectively. The coefficients ~ and B are commonly
referred to as Biot's parameter and Skempton's coefficient, respectively. The
modulus tensor Lijkl assumes the usual form
Lijkl -- O(~ik~jl + c~iT~jk) 4- ( K - 2G/3)~ij~kz (13)
with inverse
Cvq~s -- 2G
1{ l(~prc~qs-}-c~pst~qr)- 1 +v vc~eq~s} (14)
where G and K are the drained shear and bulk moduli, respectively; and v is
the Poisson's ratio for drained response, related to G and K by
v - ( 3 K - 2 G ) / 2 ( G + 3K). The undrained modulus tensor has the same
form as Eq. 13. Evaluation of Eq. 10 indicates that the shear modulus is the
same for drained and undrained deformation and that the bulk modulus for
undrained deformation/~ is given by
Ku = K + ~2p0Q-1 (15)
The expression for B, obtained from Eq. 12, is

B = (Ku - K)/o~Ku (16)
Thus, in the isotropic case, Eqs. la and lb reduce to
O'ij = 2G~ij + ( K - 2G/3)bije, kk -- o~Pbij (17a)
m - m o - - - ~ 5akk + (17b)
and the expression for the apparent volume fraction (Eq. 2) reduces to
t) - v0 -- ~ ~O'kk+ Kf
Insight into the meaning of ~, B, and K, can be obtained by considering the

special loading a 0 = - a S 0, p = a. For idealized circumstances delineated by
Rice and Cleary [2] (following an observation of Reference [6]), the resulting
volume strain and fractional change of pore space are equal to - a divided by
the bulk modulus of the solid constituent K~. More generally, the moduli
entering these expressions, denoted here (and in Reference [2]) by K~ and K~,
will differ from Ks. Equating these expressions to those obtained from
1122 audnicki
Eqs. 17a, 17b and 18 yields the following relations:

= 1 - K/KIs (19a)
l/K- 1/K~s
B = l/K- l/K: + v0(1/Kf- 1/K') (19b)
1 / K - 1/Kts + Vo(1/Kf - 1/K")

Ku = ( 1 / K - 1/K~s)K/Ks' ' + Vo(1/Kf - 1~Ks)" (19c)
The undrained response can also be expressed in terms of the undrained

Poisson's ratio, v., related to K. by v. = (3/(. - 2 G ) / 2 ( G + 3/(.) or, in terms
of v, B, and ~ as
(1 + v)(1 - 2v)~zB
vu--v+ 3-(1-2v)~B (20)
11.6.3 FIELD EQUATIONS
The relevant field equations are the usual ones of solid mechanics,
equilibrium and strain displacement, and, in addition, conservation of fluid
mass. Equilibrium is expressed as
{Yij, i ~ Fj (X, t) -- 0 (21)
where Fj is the body force per unit volume and (..-),i denotes c9(...)/cgxi. The
(small) strain displacement relation is
~ij = (ui,j + uj, i)/2 (22)
Conservation of fluid mass is
qk,k + cgm/c)t = H(x, t) (23)
where H is a fluid mass source.
Substitution of Eq. 22 into Eq. 17a and the result into Eq. 21 yields
(K + G/3)e,j + Gu;,/i + Fj - ~p,; = 0 (24)
where e = ~hk = Ili,i is t h e dilatation. Thus gradients in pore pressure act as a

distribution of body forces. Consequently, if the distribution of pore pressure
is known, the displacements and stresses can be determined by superposition
of the solution of Eq. 24 for a Dirac singular distribution of body force (point
force). In general, however, the pore pressure field is coupled to the stress
field and cannot be determined independently. Alternatively, Eq. 17 can be
used to eliminate p in favor of m:

(K. + O/3)ej + Ouj, ,, + Vj - ~(K.m - j K) = 0 (25)
CZPo
Substituting Darcy's law (Eq. 8), specialized to isotropy and a uniform
permeability, into Eq. 23 gives
- Po~Cp,kk + oqm/Ot- H(x, t) 2
- po~:~,k (26)
The divergence of Eqs. 24 and 17b can be used to eliminate p from Eq. 26.
The result is a diffusion equation for the fluid mass content
Ot cm,kk -- H(x, t) + P~ ~(Ku + 4G/3)Fkk' - PO~,k (27)
where Eqs. 16 and 17a have also been used. The diffusivity c is
(Ku - K)(K + 4 0 / 3 )
C---If,
r + 4G/3)
(28)
or, as given by Rice and Cleary [2] in terms of B, v, and vu,
(29)
where, as they note, the first bracket is the drained elastic modulus for one-
dimensional strain and the second is unity for incompressible constituents.
11.6.3.1 PLANE STRAIN
Two-dimensional solutions can provide a reasonable idealization of a variety

of geomechanical problems. An important simplifying feature of the plane
strain formulation, noted by Rice and Cleary [2], is that the governing
equations can be expressed entirely in terms of the stress and pore pressure.
For plane strain deformation in the xy plane, the compatibility equation, in
the absence of body forces, can be expressed as
v (O x + Oyy + 2 p) - 0 (30)
and the fluid mass diffusion equation, without source terms, becomes
(cV 2 - O/Ot)[Crxx+ ~yy + (2~//#)p] = 0 (31)
where V2(...) is the two-dimensional Laplace operator and the material

constants enter only in the combinations
r / - 3(vu - v)/2B(1 + vu)(1 - v) (32)
# = (vu - v)/(1 - v) (33)

1124 Rudnicki
If the boundary conditions can be expressed in terms of the stress and pore
pressure, then Eqs. 30 and 31 and two of the three equilibrium equations
(Eq. 21) suffice to determine these quantities.
11.6.4 MATERIAL PARAMETERS
The drained elastic constants and two additional parameters are needed to
characterize a linear poroelastic solid. Ideally, the drained elastic constants
would be measured on a saturated sample deformed very slowly so that no
pore pressure changes are induced by fluid flow. In practice, however, the
drained elastic constants are often assumed to be equal to the values obtained
on dry samples. An undrained test, in which fluid exchange between the
sample and the surroundings is prevented, would, in principal, suffice to
determine the remaining two porous media parameters, for example, K, or vu
and/3. Unfortunately, these and other tests to determine the porous media
parameters are difficult and not yet standard. Consequently, it is frequently
necessary to resort to the assumption that both Kts and K~ are equal to the bulk
modulus of the solid constituents Ks and then to calculate c~,/3, etc., from Ks,
the porosity v0, and the pore fluid bulk modulus Ky using expressions such as
Eqs. 19a and 19b. Values of v, and/3 determined in this way by Rice and
Cleary [2] in their Table 1 for six rock types range from 0.29 to 0.34 and from
0.51 to 0.88, respectively. Values of c~are not given but can be calculated from
the values in the table and range from 0.2 to 0.7. Values for three additional
rock types listed by Detournay and Cheng [3] also fall within this range.
Limiting ranges of c~,/3, and vu are easily obtained from Eqs. 19a, 19b and
20. From the first, it is evident that ~ approaches unity if the drained bulk
modulus is much less than the bulk modulus of the solid constituents. If, in
addition, the value of K is much less than the bulk modulus of the pore fluid,
so that K << Kf/Vo, then /3 also approaches unity and v, = 1/2. These
approximations are appropriate for most soils. If, on the other hand, the pore
fluid is very compressible so that vo/Kf >> 1/K > 1/Kts, 1/K~s, then B ~_
Kf/voK and approaches zero. In this limit v, = v and, thus, v<v, < 1/2 and
0<B<I.
A further complication is that, at least for geomaterials, values in the field
may be different from those determined in the laboratory because of the
presence of long, narrow fissures. Such fissures tend to decrease K but, if they
are saturated, have little effect on K, and consequently, tend to increase the
value of v, relative to v.
The diffusivity c (Eqs. 28 and 29) controls the time scale of fluid mass flow.
The diffusivity is proportional to the permeability entering Darcy's law (Eq. 8)
but also involves a combination of moduli. Again, because large fractures and
joints serve as conduits for fluid flow in situ, field values of the diffusivity are
typically much larger than those measured in the laboratory. Roeloffs [7]
schematically summarizes values from both laboratory and field data ranging
from nearly 105 to 10 -11 m2/s. Laboratory values for the rocks tabulated by
Rice & Cleary [2] are about 10 -2 to 10 -4 mZ/s except for the Berea sandstone,
for which c = 1.6m2/s. A variety of observations related to earthquakes
suggest diffusivities in the range 0.1 to 1.0m2/s, a range that may be
representative of conditions near many faults, but values an order of
magnitude smaller or larger are not unusual.
REFERENCES
1. Biot, M. A. (1941). General theory of three dimensional consolidation. J. Appl. Phys. 12:
155-164.
2. Rice, J. R., and Cleary, M. P. (1976). Some basic stress diffusion solutions for fluid-saturated
elastic porous media with compressible constituents. Rev. Geophy. Space Phys. 14: 227-241.
3. Detournay, E., and Cheng, A. H-D. (1993). Fundamentals of poroelasticity, in Comprehensive
Rock Engineering: Principles, Practice and Projects, pp. 113-171, Vol. 2, Fairhurst, C., ed., New
York: Pergamon.
4. McTigue, D. E (1986). Thermoelastic response of fluid-saturated porous rock. J. Geophys. Res.
91: 9533-9542.
5. Cheng, A. H.-D. (1997). Material coefficients of anisotropic poroelasticity. Int. J. Rock Mech.
Min. Sci. 34: 199-205.
6. Nur, A., and Byerlee, J. D. (1971). An exact effective stress law for elastic deformation of rock
with fluids. J. Geophys. Res. 76: 6414-6419.
7. Roeloffs, E. A. (1988). Hydrologic precursors to earthquakes: A review. Pure and Applied
Geophysics (PAGEOPH) 126: 177-209.
SECTION 11.7
Nonlinear Poroelasticity for
Liquid Nonsaturated Porous
Materials
O L I V I E R COUSSY~ PATRICK D A N G L A
Laboratoire Central des Ponts et Chauss~es, Par/s, France
Contents
11.7.1 An Energy Approach of Poroelasticity:
Thermoynamic Potentials . . . . . . . . . . . . . . . . 1126
11.7.2 Incremental Equations of Nonlinear
Poroelasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1128
11.7.3 Assumption of Negligible Volume Change
for the Solid Constituent . . . . . . . . . . . . . . . . 1129
11.7.4 The Equivalent Internal Fluid Pressure zc. 1130
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1132
11.7.1 AN ENERGY APPROACH OF

POROELASTICITY: THERMODYNAMIC
POTENTIALS
The approach of poroelasticity presented here is principally an extension to

nonsaturated situations of the pioneering work of M.A. Biot on the modeling
of deformable liquid saturated porous media (see in the references some of his
classical papers). The extension to partially saturated porous media is mainly
based upon thermodynamics of deformable open continua [7, 8, 12].
The porous material considered here is formed of a porous solid skeleton
saturated by two fluids. These fluids are a wetting liquid, index ~ = l, and a
nonwetting gas, index ~ = g. Submitted to external actions, an element d~ of
Handbook of Materials Behavior Models. ISBN0o12-443341-3.

11.7 Nonlinear Poroelasticity for Liquid Nonsaturated Porous Materials 1127
this porous material simultaneously deforms and undergoes variations of its

fluid mass contents m~. Referring the deformation to that of the porous solid
skeleton, let ~ij be the strain tensor components. Let also be the components of
the (total) stress tensor supported by both the solid skeleton and the
saturating fluids. For reversible (here also isothermal for sake of clarity)
processes, the first two laws of thermodynamics applied between times t and
t + dt to the open deformable system df~ yield the balance of its free energy in
the form:
ffijdsij 4- gldmz 4- ggdmg - d t P = 0 (1)
In this equation ~P is the free energy per unit of volume d~ of porous material,
and g~ is the Gibbs potential of fluid 0~per mass unit. Recall that:
g~ - r + P~ (2)
P~
where ~ is the free energy per mass unit, p~ is the fluid pressure, and p~ is the
volumetric mass. The term g~dm~ = ~k~dm~ + p~/p~ dm~ accounts both for the
free energy convectively supplied by fluid a (term 6~dm~) and for the work
required to make the infinitesimal mass dm~ actually enter the open porous
material element d.Q(termp~/padm~). The term rr/jde/j accounts for the
additional work required to produce the deformation of volume dO. Equation
1 is similar to the Gibbs-Duhem equation encountered in physical chemistry
[1].
Poroelasticity corresponds to the constitutive equations of a saturated
porous material deforming reversibly due to the elasticity of its solid
constituent. For nonsaturated materials, poroelasticity accounts in addition
for reversible capillary effects, not considering the hysteresis associated with
such effects. In these conditions Eq. 1 holds for any process and,
consequently, dqJ has to be the exact differential of some function W(e/j, m~)
of the independent state variables (eij, m~). As a result, the state equations of
poroelasticity derive from the potential function qJ according to:
0qJ cg~P
cr/J-cge/j ga-cgm~ a - 1, v, a (3)
Let now q~ be the potential defined by [10]

~Ps = V - m . ~ . (4)
where ~,~ is the free energy of fluid ~ per mass unit. Since ~P represents the
free energy of all matter currently contained in d~, ~P~ represents the free
energy of the skeleton, including the fluid-fluid and solid-fluid interfaces, the
latter possessing their own surface free energy. Let us also introduce the
(Lagrangian) partial porosity 4~= related to fluid ~ and referring to the initial
volume d~ such that ~b~d~ represents the current volume of d.Q occupied by
1128 Coussy and Dangla
fluid a. Therefore, we write

ms -- p~b~ (5)
Recall also that
c~g~ 1
= -- (6)
Combining Eqs. 1 and 4 to 6, one derives

aijdgij -k pld~ 1 + pgd~g - d t P s - 0 (7)
Equation 7 turns out to be the free energy balance of the skeleton as just
defined (i.e., including the interfaces). In fact, pzdc~z + pgdq~g represents the
external work supplied by the liquid and the gas through the pressure they
exert on the interface with the skeleton and reversibly stored by the latter in
the form of free energy d~s. As a result of Eq. 7 the state equations of
poroelasticity can be alternatively written in the form
By contrast to Eq. 3, Eq. 8 addresses separately the constitutive equations of

the skeleton, while submitted to the internal pressures Pz and pg of the liquid
and the gas. In turn, Eq. 5 can then be viewed as a consistency continuity
equation ensuring the fullness of the porous space.
The set of state variables (eij , PZ, Pg) often proves to be more convenient as
primary variables than the set of state variables (eij, ~z, 4~g). Let us then
introduce the Legendre-Fenchel transform H~(eij, Pz, Pg) of ~Ps(eij, q~z, q~g),
reading
Hs -- ~tffs - Pill - Pg~g (9)
A combination of Eqs. 8 and 9 yields [10]
OHs OHs oqHs
C~g-- Oqpg (10)
,~,j = &~j <bz- Op~
11.7.2 INCREMENTAL EQUATIONS OF

NONLINEAR POROELASTICITY
For many porous materials, potential qJs cannot be approximated by

quadratic functions of their arguments, since experimental evidence shows
that constitutive equations (Eq. 10) do not rely on linearly the set of variables
(r ~)l, ~g) tO the conjugate s e t (gij, Pz, Pg). That means that the second-
order derivatives of potential function qJs involved in the differentiation of
Eq. 8 are not constant and do depend on the state variables (e/j, pl, Pg).
However, a usual assumption consists of considering that the deviatoric
behavior is linear and is not coupled with the nonlinear volumetric
behavior. For an isotropic material, the potential function reduces then to
the form
Hs = Hs~(e,, Pl, Pg) + 2G eoeji (11)
1
where e is the volumetric strain e - g,ii and e0 - e o -~e6 v is the deviatoric
strain tensor. A differentiation of state equations Eq. 10 yields
da = K(e, Pz, p g ) d e - bl(e, pz, p g ) d p z - bg(e, pt, pg)dpg (12)
d~p l = Nil(g, Pl, pg)dpl-Jr-N/g(g, Pl, pg)dpg-+-bl(e,, Pl, pg)de (13)
dc~g- Ngg(e,, Pl, pg)dpg + N/g(e, Pl, pg)dpl + bg(e, Pl, pg)de, (14)
dsij - 2G deij (15)

1
where a--5aii is the overall mean stress, and sij - aij - a a i j is the deviatoric
stress tensor. K is the (drained) tangent bulk modulus, as coefficients bl and bg
can be considered as tangent Blot's coefficients. Finally, G is the standard shear
modulus.
11.7.3 ASSUMPTION OF NEGLIGIBLE VOLUME

CHANGE FOR THE SOLID CONSTITUENT
In many evolutions of usual porous materials, the volume of their solid part
does not change significantly when compared to the change of the volume of
the porous space. The volumetric strain e is then only due to the variation of
the total porosity 4 ) - ~bz + 4)g, reading
e - ~b - 4)0 - q~l + ~bg - ~b0 (16)
where ~0 stands for the initial overall porosity. Equation 16 implies that only
two variables among the set (e, qSl,~bg) are independent. We choose (e, q5l) so
that Eqs. 16 and 7 yield
( a i j q t- Pg6ij)dgij - pcd~ z - d~s - 0 (17)
where Pc - P l - Pg is the capillary pressure. Under the assumption of small
volume change for the solid constituent, Eq. 17 shows that ~s depends only
on (eij, ~bl).
0% 0~F~
6ij -Jr-Pgbij - - Og, ij Pc -- Oqbt (18)
Let W(eij, Pc) be the Legendre-Fenchel transform of ~Ps(e0, ~bl):

W = ~Ps 4- pcqbl (19)
The state equations (Eq. 10) reduce then to
OW OW
(Yij 4- Pg~ij - - Oeij ~)1- Opc (20)
Equation 11 becomes
W- Ws~(e, Pc)4- 2G eijeji (21)
Differentiating Eqs. 20 and 16, one finally obtains
d(~ + pg) - K(e, p~)& + b(e, p~)ctpc (22)
d~--N(~, e~)@c + b(~, p~)d~ (23)

de = d(/) - dctbl + dckg (24)
while Eq. 15 remains unchanged. A comparison between the set of Eqs. 12-14
with the set of Eqs. 22-24 shows that the assumption of negligible volume
change for the solid constituent entails
b-bl bz4-bg-1 N-Nu---Nlg-Ngg (25)
In addition, note that Maxwell's relations associated with Eq. 20 are
e pc pc e
11.7.4 THE EQUIVALENT INTERSTITIAL

FLUID PRESSURE
It remains to identify K(e, Pc), b(e, Pc), and N(e, Pc). A combination of the
definition of the liquid water saturation, Sl = ~bz/~b,with Eqs. 23 and 24 yields
d?dSl - -Ndpc 4- ( b - Sz)& (27)
In reversible (i.e., hysteresis associated with capillary effects is neglected) and
nondeformable case (i.e., e - 0, ~ - ~b0), the previous equation reduces to
~0dSz = -N@~ (28)
yielding
p~ = p~(S~) (29)
A very common macroscopic assumption which can receive some support
and also some limitations from microscopic considerations [6] consists in
assuming that Eq. 29 still holds in the deformable case (i.e.,

~: 0, q5 = ~b0 + e). In other words, provided that the current ratio $l
of the porous space occupied by the wetting liquid does not change, the
capillary pressure is not affected by the strain. Then, a comparison of Eq. 29
with Eq. 27 leads us to identify Biot's coefficient b as the liquid water
saturation Sz:
b = (30)
Equation 30 and Maxwell's equation (Eq. 26) shows then that the bulk
modulus K depends only on e:
K = K(e) (31)
A substitution of Eqs. 30 and 31 into Eq. 22 entails
(32)
where rc is the pressure defined by
(33)
- - p g --
fo S l ( Z:v ) d z:v
For Sz = 1, the capillary pressure being always non-negative, Eq. 33 reduces

to rc = pz. Thus, provided that later on the porous space remains saturated,
i.e., dSz = 0, we identify drc = dpl and relation (32) reduces to
d(o + Pl) = K(e)d~ (34)
Referring to the saturated case, i.e. Eq. 34, pressure rt involved in relation 32
can be interpreted in the nonsaturated case as an equivalent interstitial fluid
pressure. In fact, relation 32 altogether with definition 33 ensures the
continuity with the relation holding in the saturated case. Indeed, for
negligible volume change for the solid constituent, Eq. 25 implies bz + bg = 1
and Eq. 34 can be directly and exactly recovered by letting dpz = dpg = dp in
Eq. 25. When the volume changes for the solid constituent are not negligible,
noting bl + bg = r, the latter procedure yields
+ = (35)
In the linear isotropic poroelastic saturated case, provided that the solid
constituent is homogeneous and isotropic, Biot's relation (See, for instance,
Reference [8]) provides fl as a function
K
= 1 (36)
Ks
of the drained bulk modulus K and the bulk modulus Ks of the solid
constituent. Based upon Biot's relation, Eq. 32 is extended in the form
d(a + fin) = K(e)de (37)
According to Eq. 37, ~r +/3~z governs the deformation of the solid skeleton
(now not including the interfaces) over the whole range of saturation. Indeed,
in the case of negligible volume change for the solid part of the
skeleton (K/Ks << 1, fl ~ 1) and saturated situations ( S z - 1), Eqs. 33
and 37 indicate that the so defined effective stress cr 4-/3~z reduces to the
celebrated Terzaghi effective stress a 4- p [13]. Hence, the stress ~r 4- fl~z can be
viewed as a generalized effective stress for liquid nonsaturated porous
materials.
However, by contrast to general constitutive Eqs. 12-14, the effective stress
concept is based upon assumptions and has to be experimentally checked.
Indeed, for negligible volume changes of the solid part of the skeleton, a
saturated experiment (i.e., Sl = 1, rr - pl, d[cr + pt] - K[e]&) must lead to the
same identification of function K(g) as the one given by a free swelling
experiment (i.e. ~ - O, drc - K p [ e ] d e ) [111.
The previous constitutive relations concern only reversible evolutions.
This approach can be extended to account for irreversible processes, in order
to include both the hysteresis associated with capillary effects and the plastic
deformation of the solid skeleton [9].
REFERENCES
1. Atkins, P. W. (1990). Physical Chemistry, 4 th ed., Oxford University Press.

2. Biot, M. A. (1941). General theory of three dimensional consolidation. Journal of Applied
Physics 12: 155-164.
3. Biot, M. A. (1962). Mechanics of deformation and acoustic propagation in porous media.
Journal of Applied Physics 12: 155-164.
4. Biot, M. A. (1972). Theory of finite deformation of porous solids. Indiana University
Mathematical Journal 33: 1482-1498.
5. Biot, M. A. (1977). Variational Lagrangian-thermodynamics of non-isothermal finite strain:
Mechanics of porous solid and thermomolecular diffusion. International Journal of Solids and
Structures 12: 155-164.
6. Chateau, X., and Dormieux, L. (1998). A micromechanical approach to the behaviour of
unsaturated porous media, in Poromechanics, A Tribute to M.A. Biot, Thimus, J.-E et al., eds.,
Proceedings of the Biot conference on poromechanics, Balkema.
7. Coussy, O. (1989). Thermodynamics of saturated porous solids in finite deformation.
European Journal of Mechanics, A/Solids 8: 1-14.
8. Coussy, O. (1995). Mechanics of Porous Continua, John Wiley & Sons.
9. Dangla, P., Malinsky, L., and Coussy, O. (1997). Plasticity and imbibition-drainage curves for
unsaturated soils: A unified approach, in Numerical Models in Geomechanics, NUMOG VI,
Pietruszczak and Pande, eds., Balkema.
10. Dangla, P., and Coussy, O. (1998). Non-linear poroelasticity for unsaturated porous materials:
An energy approach, in Poromechanics, A Tribute to M. A. Biot, Thimus, J.-E et al., eds.,
Proceedings of the Biot conference on poromechanics, Balkema.
11. Dangla, P., Coussy, O., Olchitzky, E., and Imbert, C. (1999). Non linear thermo-mechanical
couplings in unsaturated clay barriers, in Theoretical and Numerical Methods in Continuum
Mechanics of Porous Materials, Ehlers, W., ed., Proceedings of IUTAM Symposium, Kluwer
Academic Publishers.
12. Sih, G. C., Michopoulos, J. G., and Chou, S. C. (1986). Hygrothermoelasticity, Martinus
Nijhoff Publishers.
13. Terzaghi, K. (1925). Principles of Soil Mechanics, A summary of Experimental Results of Clay
and Sand, Eng. News Rec., 3-98.
SECTION 11.8
An Elastoplastic
Constitutive Model for
Partially Saturated Soils
B.A. SCHREFLERand L. SIMONI
Department of Structural and Transportation Engineering, University of Padua, Italy
Contents
11.8.1 Validity of the Model . . . . . . . . . . . . . . . . . . . . 1134
11.8.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1135
11.8.3 Model Description . . . . . . . . . . . . . . . . . . . . . . . 1136
11.8.4 Applications and Parameters . . . . . . . . . . . . . 1140
11.8.4.1 Tests on Compacted Kaolin . . . . . . 1140
11.8.4.2 Tests on Clays . . . . . . . . . . . . . . . . . . 1142
11.8.4.3 Material Parameters Identification
in an Oedometric Test for Hydro-
carbon Reservoir Sandstone . . . . . . 1143
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1144
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1144
11.8.1 VALIDITY OF THE MODEL
This m o d e l has been developed by Bolzon et al. [1] for partially saturated
geomaterials where capillary effects are of importance. It is an extension of the
generalized plasticity m o d e l for fully saturated soils dealt with in previous
sections. In the presented version a yield surface is used to take into account
matric suction (also called capillary pressure), which has to be treated as an
i n d e p e n d e n t variable.
Handbook of Materials Behaviar Models. ISBN 0w12o443341o3.

11.8 An Elastoplastic Constitutive Model for Partially Saturated Soils 1135
The model accounts for the following typical situations:
9 Dependence of soil stiffness on suction; i.e., unsaturated specimens

exhibit a lower volume change than saturated ones when, e.g., subjected
to the same increment of vertical stress. However, when the unsaturated
samples are soaked and hence saturated, the soil exhibits a significant
compression strain under constant stress.
9 When suction decreases (wetting), the geomaterial may exhibit first
swelling (in the elastic range) and then collapse (irreversible compres-
sion).
The model has been applied successfully to partially saturated clays and
sands. It has the most important features of the well-known Barcelona model
[2]. Moreover, because of the choice of the stress variables (see next section),
it can easily be applied to the dynamic analysis of problems where both fully
and partially saturated zones are present, as, for instance, in the seismic
analysis of earth dams, dikes, and slopes.
11.8.2 BACKGROUND
Vectorial notation is used in this chapter. When dealing with the mechanics of
partially saturated porous media, we have to define a suitable stress measure:
it is commonly accepted that two independent stress dimension parameters (a
combination of total stress tensor and water and gas pressure) are needed to
describe the deformational behavior [3]. In the following, the assumed stress
variables are soil suction s, say, the difference between gas and water pressure
!
(pg and Pw, respectively), and Bishop's effective stress ~rij. The latter is a
combination of total stress crij and pressure acting on the solid, represented by
a weighted average of water and gas pressure. As a weighting function, water
saturation Sr is assumed [3]; hence the stress measure takes the form
CYlij ~ tTij -- ISrpw + (1 - Sr)pglc~ij -- tTij -- IPg- Srsl(~iJ (1)
with soil suction s defined as
- pg - /2/
Soil suction and water saturation may be mutually related by means of the
following relationship [2]:
Sr -- 1 -- m tanh(ls) (3)
where m and l are material parameters ( S r - 1 - m represents irreducible
saturation, i.e., the limiting value of Sr as suction approaches infinity). In
Eq. 1, parameter Sr represents a phenomenological measure of the capillary
1136 Schrefler and Simoni
effects, through its experimental relationship with suction. Bishop's stress

definition recovers the Terzaghi effective stress definition, usually assumed in
fully saturated soil mechanics when saturation equals one; hence the
consistency condition between stress measures is guaranteed.
W h e n one is observing the mechanical behavior of a partially saturated
geomaterial, different deformation histories are obtained depending on the
water content (or saturation or relative humidity) and also the so-called h y d r i c
p a t h (or suction path); i.e., a forced change in saturation results in a sample
deformation. Figure 11.8.1 shows these effects in terms of volumetric strain
for a chalk.
The elastoplastic model is now defined in the space (p~, q, s) of the mean stress
p~, the deviatoric stress q, invariants of Bishop's stress, and suction s:
pt _ O'li
_
3 = p - Srpw - (1 - Sr)pg - p - pg + Srs (4)
q -- X ~ 2 -- ZijZij, Zij -- aij - p~6ij (5)
~ 180
160 --
140- P l l 0 Rh =0.1
120- ~S ,," o""........ . . . . . P122 Rh=0.2
~, 1 0 0 .." ...... .............. P123 Rh=O. 6
O~ ,.o~""
80 .....' ....... Pl31 R h = l
60
40 .-" .............
2o;
0 I I I I
-0.03 -0.08 -0.13 -0.18
Volumetric strain
FIGURE 11.8.1 Volumetric strain of a chalk sample under isotropic compression at different
levels of suction (Rh= relativehumidity). (Redrawn with permission from Rock mechanics:
Proceedings of the 35th US symposium, Lake Taboe, 4-7 June 1995, Daeman, Jaak J.K. and Richard
A. Schhz (eds.), 1995, Balkema.)
From Eq. 4 it results that changes in the mean stress p' may be induced
both by changes in gas pressure and changes in suction and saturation.
As shown by Pastor et al., Section 11.10, this volume, generalized plasticity
does not explicitly define the yield and potential surfaces but directly assumes
the loading-unloading direction vector n and the direction vector defining the
plastic flow ngL. When we refer to fully saturated conditions, i.e., when we use
Terzaghi's definition of effective stress and invariants of Eqs. 4-5 must be
evaluated for Sr - 1, these direction vectors can be given as functions of the
stress ratio r / = q/p~, e.g., following Nova [6], as
1 {dr; 1 }T, df - (1 + 00(Mf - r/), (6)
~ { d g ; 1 } T dg -- (1 + o~)(Mg - ~),
(7)
where 0~, Mg, and Mf are material parameters; see Section 11.7. Whereas c~can
be assumed as independent of suction, parameters Mg and Mf must depend on
suction in partially saturated problems (Laloui et al. [7], for Mf). Further
assumptions for n and ngL are, however, possible, for instance, n--ngL, which
results in associative plasticity.
For the purpose of introducing the effects of suction, we define now a yield
and potential surface, which are obtained by integration of Eqs. 6 and 7 as
-q 1 - -o (8)
g--q-Mgp'(1 +1)[1-(~-~)~] -- 0 (9)
where pf and pg are integration constants which determine the size of the
surface but have no influence in defining the respective normals. Even though
Eqs. 8 and 9 are formally the same as for fully saturated materials (Pastor et al.,
this volume), they must be assumed in (p~,q,s) space when dealing with
partially saturated problems (see Fig. 11.8.2). In addition to the aforemen-
tioned dependence of Mg and Mf on suction, parameters pg and pf also depend
on suction, as suggested by experimental evidence [8]. This dependence will
be discussed later.
Once the direction vectors have been defined, irreversible (or plastic)
strains deV are related to stress increments da ~ by the relationship
de,p _ 1 n Tdal ngL ( 1O)

H
1138 Schrefler a n d S i m o n i
f(p' s)
___ Elasti~zo._ , ,,~.
r
p
,p"
s SS s
s s 9
sis s s sS
~,
.'.'.'d
/ J ~,
M/
_
p,~
F I G U R E 11.8.2 Yield surfaces in (pt, s) a n d (pt, q) planes.
where H represents the plastic (or hardening) modulus. As usual, the strain
increment d8 can be decomposed into an elastic part, d8e, and an elastoplastic
one:
dn = dg e + d8p (11)
Recalling that specific volume v is the ratio between the sample volume and
that of the solid, i.e., v = 1 4-e, the total volumetric strain is defined as
-- V0 e- gO /l -- /l 0
ev . . . . . . (12)
v0 1 +e0 1-n
where e is the void ratio, n is the porosity, and subscript 0 refers to initial
values. Following the critical state models [9], the total volumetric strain
(recoverable and not) associated with the change in the hydrostatic
component of the Bishop's stress tensor pt can be linearized as
dev = 2(s) dp___~
~ (13)
v0 p'
In this equation, 2(s) is the soil compressibility, i.e., the slope of the virgin
loading line in the (e, log p') plane during a triaxial test. Its dependence on
suction is assumed to be of the type
2(0) (14)
2(s) - 1 + as
where 2(0) is the compressibility of the saturated sample and a a material

parameter. Other representations of the dependence of the compressibility
parameter on suction can be found in the literature which have the advantage
of giving a more correct shape of the yield surfaces, e.g., Reference [2]. They
present, however, computational disadvantages because of their complexity
and require at least two material parameters, which is more demanding for
identification purposes. In a similar way, the elastic part of the volumetric
strain can be written as
~c(s) dp'
dee = v0 p' (15)
to(0) being the slope of the elastic unloading line in the (e, In p') plane during
a triaxial test. A dependence on suction of to(s) similar to Eq. 14 is supposed
in the following. Some authors (e.g., Laloui et al. [7]) assume the elastic
compressibility modulus tc independent of suction. This is, however, in
contrast with the results of Figure 11.8.1 and probably depends on the range
of applied forces, larger for rock-type materials.
For volumetric deformation during an isotropic virgin compression
loading (0 = 0), by substituting Eqs. 6-7 into Eq. 10, the plastic flow can
be cast in the form
devP = 1 dp'
HoHw p' (16)
with the assumption that H = HoHwp': Hw is related to partially saturated

behavior, whereas term H0 depends on the material characteristics in fully
saturated conditions. Comparison of Eq. 16 with Eqs. 13 and 15 and
accounting for Eqs. 11 and 14 gives the hardening modulus during isotropic
compression and the hardening effects due to suction, respectively, as
1 +e0
H0 -- 2(0) - tc(0)' Hw -- 1 + as (17)
For generic (not isotropic) stress paths and for deviatoric effects, the reader
is referred to the chapter by Pastor et al., this volume. Using the same
symbols, the plastic modulus results in
H = Hop'HwHI(Hv + I-Is) (18)
and can be further enhanced to account for memory effects and plastic
unloading.
Once the dependence on suction of the plastic modulus has been defined,
we have to introduce the same effects in the yield and potential surface
equations (Eqs. 8 and 9). Experimental observations show that parameter pf is
increasing with suction [3]. Given the initial yield stress P~0i for saturated
conditions, the dependence of pf on suction is assumed as
pf _ ply~(S) -- PlyO~ + is (19)
Parameter i has to be determined by interpolation of experimental data to
obtain an increasing function of suction when water saturation is less than
one.
Volumetric hardening is controlled by irreversible volumetric strain; hence,
the evolution of the yield surfaces in the (pt s) plane is given as
1+as
' ' ._7- (20)
This equation has been obtained by requiring that, when moving from one
yield surface (e.g., the initial one) to another one, the related plastic
volumetric strain must be the same independently of the starting point and
the followed path.
The same variation with suction can be assumed for the parameter pg,
which means that yield and potential surface expand with the same law when
suction is increasing. This is suggested by the possibility of assuming
associative plasticity, in which case f _= g.
11.8.4 APPLICATIONS AND PARAMETERS
We show here two back calculations for kaolin and clay and one
determination of parameters for a hydrocarbon reservoir sandstone by means
of an inverse identification procedure. These examples present typical features
of unsaturated soil behavior.
11.8.4.1 TESTS ON COMPACTED KAOLIN
Data for a compacted kaolin have been obtained from the extensive
experimental investigation conducted by Josa [10]. Some of these data are
given in Table 11.8.1. Data of the present model not defined in Reference [10]
are calculated assuming an intermediate value of 0.3 MPa for the mean net
stress ~ (mean total stress in excess of air pressure) in the range of the applied
pressures.
Volume changes resulting from the present model, due to isotropic
compression at different but constant suctions, s - - 0 . 0 6 M P a and
s - - 0 . 0 9 MPa, are c o m p a r e d with experimental data in Figure 11.8.3. The
initial m e a n stress P'y0 is equal to 0.045 MPa, and bulk m o d u l u s tc is equal to
0.015.
According to the experimental results, the specific volumes at the
beginning of each loading path considered here have been assumed equal
to 1.888 for a sample tested at s - 0 . 0 6 M P a , and equal to 1.893 for
s - - 0 . 0 9 MPa. Good agreement is achieved between model predictions and
experimental data.
TABLE 11.8.1 Material Data for a Partially Saturated Kaolin [10]
s (MPa) Sr p'y (MPa) ,;t,(s)

0.04 0.838 0.099 0.100
0.06 0.826 0.120 0.085
0.09 0.812 0.158 0.070
1.9
1-86
"" s = 0-09 MPa
1.82
"\ s = 0-06 MPa
1-78
1-74 . i ..... j
008 o'16 o 2. o132 o.
n
p: M P a
FIGURE 11.8.3 Specific volume plotted against mean net stress (p-Pa) under isotropic
compression at constant suction: comparison with experimental data (dots, reproduced from
G~otechnique,vol. 40, 1990, Alonso, E.E., Gens, A., and Josa, A., A constitutive model for partially
saturated soils, pages 405-430).
11.8.4.2 TESTS ON CLAYS
A characteristic behavior of partially saturated soils was indicated by the

experiments performed by Escario and S~iez [11] on clay samples. As shown
in Figure 11.8.4 (dots), along the loading path corresponding to suction
decrease from 3.5MPa to zero at constant vertical external pressure
(0.2 MPa), the material exhibits first swelling and then collapse. The main
features of this behavior can be reproduced as follows.
Data listed in the quoted paper and given in Table 11.8.3 are not enough to
characterize the material completely according to the present model. Back
calculation has yielded the following missing parameters: Vo = 2.3, m = 0.8,
l = 2 MPa, a - 0.1 MPa-~, Py0 = 0.07 MPa.
Only the contribution to volume changes due to the isotropic state of stress
p = 0.2 MPa is considered, neglecting volume changes induced by soil dilatancy
in the nonassociative plasticity model, depending on the values of the confining
pressure. With these assumptions, the predicted volume changes plotted in
Figure 11.8.4 are in good qualitative agreement with the experimental data.
s: MPa
3.5q
3 9
1.5
0.5
--0.02 0 0.02 0.04

~V
FIGURE 11.8.4 Specificvolume plotted against suction under suction changes at constant net
stress: comparison with experimental data (dots, reproduced from Escario, V., and S~iez,J.,
Measurement of the properties of swelling and collapsing soils under controlled suction, in
Proceedings 3rd I.C.E.S., 1973, Haifa, pages 195-200).
11.8.4.3 MATERIAL PARAMETERS IDENTIFICATION IN

AN OEDOMETRIC TEST FOR HYDROCARBON RESERVOIR
SANDSTONE
The last example deals with a laboratory experiment performed at IKU,

SINTEE Trondheim, on behalf of AGIP (Italian National Petroleum
Company) [12] on a silty consolidated sandstone sample extracted from a
gas bearing formation in the Northern Adriatic basin at a depth of 3400 m.
Effective porosity, in situ water saturation, and irreducible saturation of the
material were previously obtained, and then the specimen underwent an
oedometric test. The loading was scheduled as follows: the sample at in situ
saturation (0.38-0.45) was first stressed with an initial hydrostatic phase
presenting ~r-rate equal to 0.01 MPa/s until err ----0.5 MPa. This was followed
by an uniaxial phase with ~rz-rate of 0.004 MPa/s until crz reached 35 MPa; the
sample was then held at constant stress level and water was injected for 25
hours until full saturation was attained. During this period of time, volumetric
changes of the specimen were recorded, as during the phases of stress
changes. Once the full saturation was reached, a second uniaxial phase, at
constant water content, with stress rate of 0.004 MPa/s till about 110 MPa was
performed. The test also included unloading cycles to determine the elastic
behavior and recoverable deformation. The water injection test (hydric path)
simulated the behavior of the gas reservoir rock during artificial water
injection or during the flooding associated with gas extraction.
The model response at the end of the identification procedure is shown in
Figure 11.8.5. The agreement is very satisfactory, in particular for the increase
of volumetric strain caused by water injection. The values of the identified
parameters are shown in Table 11.8.2.
FIGURE 11.8.5 Resultsof the identification.

TABLE 11.8.2 Identified Material Parameters for a Reservoir Sandstone
l m a 2(0) i pf K(O) flo ~1 ~/f

0.9898 0.9867 0.9797 0.0122 1.0792 9.9490 0.0051 0.9675 1.0648 1.0016
TABLE 11.8.3 Material Parameters for Partially Saturated Materials
Reference tc 2(0) py (MPa) i
Escario and Saez [11] 0.035 0.105 0.07 0.55

Alonso et al.[2] 0.015 0.14 0.055 1.18
Cui and Delage [13] 0.015 0.20 0.35 0.7
Finally, a set of parameters obtained from tests in the literature is listed in

Table 11.8.3.
ACKNOWLEDGMENTS
We thank AGIP for allowing us to use unpublished data concerning saturation

experiments carried out for AGIP by IKU, SINTEF (Trondheim).
REFERENCES
1. Bolzon, G., Schrefler, B.A., and Zienkiewicz, O.C. (1996). Elastoplastic soil constitutive laws
generalised to partially saturated states. Gkotechnique 46: 279-289.
2. Alonso, E.E., Gens, A., and Josa, A. (1990). A constitutive model for partially saturated soils.
Gkotechnique 40: 405-430.
3. Fredlund, D.G., and Morgenstern, N.R. (1977). Stress state variables for unsaturated soils.
J. Geotech. Engng. Div., ASCE, 103: No. GT5, 447-466.
4. Schrefler, B.A., Simoni, L., Li, Xikui, and Zienkiewicz, O.C. (1990). Mechanics of partially
saturated porous media, in Numerical Methods and Constitutive Modelling in Geomechanics,
(CISM lecture notes), pp. 169-209, Desai, C.S., and Sioda, G., eds., Wein: Springer-Verlag.
5. Brignoli, M., Santarelli, EJ., and Papamichos, E. (1995). Capillary effects in sedimentary
rocks: Application to reservoir water-flooding, in Rock Mechanics, Proc. 35th U.S. Symposium,
pp. 619-625, Daemen, J.J.K., and Schltz, R.A., eds., Rotterdam: Balkema.
6. Nova, R. (1982). A constitutive model for soil under monotonic and cyclic loading, in Soil
Mechanics: Transient and Cycling loads, Pande, G.N., and Zienkiewicz, O.C., eds., Chichester:
Wiley.
7. Laloui, L., Geiser, E, Vulliet, L., Li, X.L., Bolle, A., and Charlier, R. (1997). Characterization of
the mechanical behaviour of an unsaturated sandy silt, in Proc XIVth Int. Conf. on Soil
Mechanics and Foundation Engineering, Hambourg, pp. 347-350.
8. Fredlund, D.G., Morgenstern, N.R., and Widger, R.A. (1978). The shear strength of
unsaturated soils. Canadian Geotech. J. 15: 313-321.
9. Wood, D.M. (1990). Soil Behaviour and Critical State Soil Mechanics, Cambridge University
Press.
10. Josa, A. (1988). An Elastoplastic Model for Partially Saturated Soils. PhD thesis, ETSICCP,
Barcelona.
11. Escario, V., and Sfiez, J. (1973). Measurement of the properties of swelling and collapsing soils
under controlled suction, Proc. 3 ra I.C.E.S., Haifa, pp. 195-200.
12. Papamichos, E., and Schei, G. (1998). Characterization of Adriatic soft weak sediments for
subsidence studies, IKU, SINTEE Tronfheim, Norway, Report Nr. 33.0693.00/01/01/98.
13. Cui, Y.J., and Delage, P. (1996). Yielding and plastic behaviour of unsaturated compacted silt.
G~otechnique 46" 291-311.
SECTION 11.9
"Sin fonietta Classica"'.
A Strain-Hardening Model
for Soils and Soft Rocks
ROBERTONOVA
Milan University of Technology (Politecnico), Department of Structural Engineering, Milan, Italy
Contents
11.9.1 A Short History of the Model . . . . . . . . . . . . 1146
11.9.2 Validity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1147
11.9.3 Formulation for Uncemented Materials... 1147
11.9.4 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1148
11.9.5 Parameter Determination . . . . . . . . . . . . . . . . 1150
11.9.6 Formulation and Parameter Determination
for Cemented Materials . . . . . . . . . . . . . . . . . . 1152
11.9.7 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1153
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1153
11.9.1 A SHORT HISTORY OF THE MODEL
The model that will be presented here is the result of successive modifications
of a constitutive law originally conceived to model virgin sand [1]. That law
was characterized by a nonassociated flow rule and isotropic strain-hardening,
depending on both deviatoric and volumetric plastic strains [2]. Two
important features were the possibility of modeling dilatant behavior even
for normally consolidated dense sand and the occurrence of static liquefaction
for loose sand. The model was successively applied to clays [3]. A three-
dimensional generalization with different mathematical expressions for
loading function and plastic potential (with similar shape to the original
version) was given in Reference [4]. The model was then extended to cover
soft rock behavior [5]. The last is the version that will be presented here. More

11.9 A Strain-Hardening Model for Soils and Soft Rocks 1147
recent developments concern mainly two aspects: the effect of induced

anisotropy, taken into account by means of a mixed kinematic-isotropic
hardening [6,7], and the degradation of the mechanical properties of soft rocks
due either to bond crushing [8] or to chemical and temperature effects [9,10].
The unusual name given to the model is a homage to Prokofiev's Sinfonia
Classica, op. 25, which the author composed while conjugating contemporary
music and a classical framework.
11.9.2 VALIDITY
The model is applicable in geotechnical problems concerning a wide

spectrum of soils (gravels, sands, silts, clays) and isotropic soft rocks (tufts,
marls, calcarenites, chalks) either in dry or fully saturated conditions. It can
also be applied to describe the behavior of particulate materials of
nongeological origin (e.g., rice, wheat grains, powders).
Either monotonically varying or oligocyclic loadings are considered. The
model is appropriate, therefore, for describing neither ratcheting nor cyclic
mobility of sand. It is also not suitable for describing highly anisotropic
materials such as shales.
11.9.3 FORMULATION FOR UNCEMENTED

MATERIALS
The model is elastic-plastic strain hardening. Hardening (or softening) is

assumed to be isotropic. Stresses are intended as effective stresses and are
taken as positive in compression as well as strains.
The plastic potential g and the loading function f are defined as follows:
g - 9(2 - 3)ln -p' ~/J3r/§9(2 - 1)J2r/= 0 (1)

Pg "-t
f- 3]~(?- 3)ln -p' ?J3~§ Q-~(y- 1)J2~ ~_ 0 (2)

pc
where
p, 1 ,
- (3)
J2~ ~ rlijrlij (4)
J3~ - ~j~jk~k~ (5)

1148 Nova
and the stress ratio tensor t/ij is defined as

_ sij
r/ij - p, (6)
Pc is the hidden variable which determines the size of the elastic domain and
controls hardening or softening in the following way:
Pc ~ gW+ { ( d h d k ) 2 + * (7)
where
e{ - ga,j (8)
_ (9)
- 3 v'hk
When f < 0 the behavior is assumed to be hypoelastic:

9e 1 /~/
(10)
Hypoelastic strain rates are added to the plastic ones to give total strain rates
when f - 0 and f - 0. It is assumed further that no principal stress can
become negative (tension cut-off) and that there exists a small initial elastic
nucleus delimited by a surface given by f = 0 with pc = pco.
It is also assumed that the elastic volumetric compliance cannot be larger
than Be/Pco.
11.9.4 PARAMETERS
In total, the constitutive law is characterized by seven nondimensional

parameters and a reference pressure Pco. Only two constitutive
parameters fully characterize plastic potential and loading function: fl
and 2. The parameter pg is unessential since only the derivatives
of g matter.
2 is linked to the so-called characteristic state [11]. In axisymmetric (so-
called triaxial) compression
9 - M2
7 2M3 + 3 - M 2 (11)
where M is in turn linked to the mobilized friction angle ~b'CV at the

characteristic state (associated with zero plastic volumetric strain rate) by the
relation
6 sin 4b'c~
M -- (12)
3 - sin 4b'~
4b'~ typically ranges from 22 ~ to 36 ~ the lower value being typical of plastic
clays and the higher one of angular sands. Accordingly, 7 can vary between
3.44 and 4.41.
fi controls the deviation from normality, which is only due to the spherical
part. If fi = 3, normality holds. In general,/7 is smaller than 3. Typical values
are fl = 2 for clays and/7 = 1.2 for sands.
The parameters Bp and B< are the logarithmic volumetric compliances
under isotropic loading, relative to plastic and elastic strains, respectively. The
value of Bp depends on the type and density of the material tested. For a dense
silica sand the order of magnitude of Bp is 0.01, for a loose sand the order of
magnitude can be two or four times larger, and for a virgin clay it ranges from
0.02 to 0.1. The ratio BdBp is typically of the order of 0.2. However, the higher
Bp is, the lower the ratio between the two parameters tends to be.
The other elastic parameter, L, is linked to the shear modulus G. It can be
derived, in fact, that in a test at constant isotropic pressure
p'
G- (13)
2L"
The apparent elastic shear modulus is therefore assumed to vary linearly with
the isotropic pressure. The two parameters { and ~ are linked to the dilatancy
at failure, df, in axisymmetric conditions
<is -- k~ -3 + (14)
where
2
e - ~(el - e3) (15)
depends on the type and density of the soil. It is zero for normally
consolidated kaolinitic clay and for loose sand (and can be negative for
carbonate sands when particle crushing takes place). The denser the sand, the
higher the { value. A typical value for dense sand is 0.3, while a silty clay can
have { = 0.1. When { is positive, dilatancy at failure is negative (expansion)
in drained tests, while in undrained tests the stress path has a characteristic
hook across the phase transformation line [12]. Indeed, the model predicts
that the phase transformation line and the characteristic state coincide. ~ is
generally ten times smaller than { and can be put equal to zero for most
practical purposes. In this case the absolute value of the dilatancy at failure is
1150 Nova
the same in compression and extension. Experimental data show, however,

that there is actually a small difference that can be accounted for by ~.
The value of P,o is important only for small stress levels. It can be assumed
to be of the order of a few dozen of kPa. In a boundary value problem, e.g., a
shallow foundation, this means that the behavior of the elements close to the
free surface is assumed to be elastic, for the first loading steps, at least.
11.9.5 PARAMETER DETERMINATION
All the constitutive parameters, with the exception of Pco, have a clear
physical meaning. Their determination from experimental data is straightfor-
ward, and only few triaxial tests are necessary. From an isotropic test with a
cycle of unloading-reloading it is possible to determine Be and Bp
(Fig. 11.9.1). In fact, their sum gives the slope of the straight line (in a
semilog plot) connecting volumetric strains to isotropic effective pressure. Be
is instead the slope of the unloading-reloading branch. These parameters can
be conceptually linked to the traditional compressibility indices Cc and Cs,
respectively.
The other elastic parameter, L, can be obtained by the initial slope of the
stress-strain curve in a pl constant test (Fig. 11.9.2).
As already mentioned, ~ and ~ govern the plastic dilatancy at failure via
Eq. 14. They can be determined from the results of a drained compression and
a drained extension test, taking due care of the fact that sgn ep is different in
the two cases. If for the sake of simplicity ~ is assumed to be zero, only the
triaxial compression test is necessary to determine ~, as shown in
Figure 11.9.2.
F p#
p'
F
CE
tan'l(
p,o
m.
v
D 8 B D 8
FIGURE 11.9.1 Schematic results in isotropic loading in arithmetic and semilogarithmic plot.
0"1 - 0"3 ~ 3 p'

tan- ' -~-~
rlf p'
FIGURE 11.9.2 Schematic results of a p' constant test on dense sand.
~k
o"1 - 0- 3 O" 1 - - 0" 3
z/f r/.
/,/ r/M
/ E
...... - C
....
v
A "P'
FIGURE 11.9.3 Schematic stress path and stress-strain behavior in an undrained test on a
medium loose sand.
The stress level at failure ~/f depends on df and on 7. Once df has been
determined, 7 can be derived from the measured value of t/f, which is directly
linked to the friction angle 4)' via a relationship formally identical to Eq. 12.
An alternative way to determine y is to perform an undrained test
(Fig. 11.9.3). The inclination M corresponding to y via Eq. 11 can be obtained
by connecting the origin with point D on the stress path curve, characterized
by a vertical tangent. Note that if 7 is determined this way and df as in
Figure 11.9.2, the limit state is uniquely determined. The traditional limit
value appears then to be determined by the inclination of the characteristic
state and by the dilatancy, as in traditional soil mechanics. Note further that
the asymptotic level q, reached by the stress path in the undrained test is
slightly lower than qf.
Finally,/~ can be determined by fitting the calculated curve to the data of
the drained test, since the hardening modulus is proportional to //, which
therefore controls the specimen deformability. Because of such a proportion-
115 2 Nova
ality, the value of fl can be calibrated also on the value of the coefficient of
earth pressure at rest K0 or the inclination of the "instability line" /111[13]
(Fig. 11.9.3).
11.9.6 FORMULATION AND PARAMETER

DETERMINATION FOR CEMENTED MATERIALS
The effect of bonding between grains is taken into account by the

introduction of two parameters, Pt and Pm, defined as in Figure 11.9.4.
Formally, the equations of the plastic potential and yield function are the same
as Eqs. 1 and 2, but the arguments of such functions are p* and q~ instead of p~
and r/ij, respectively, where
P* = P' + Pt (16)
* __ Sij
nij F (17)
Hardening is controlled by three parameters: Pt, Pm, and Ps, where the latter
varies with plastic strains as does p, in Eq. 7, and
P, - - p p , (18)
and Pm is assumed to be proportional to Pt.
In total, three additional constitutive parameters are introduced: the initial
value of Pt, Pto, the proportionality constant ~, and a decay parameter of the
bond strength, p.
Since in the tensile range failure occurs at the tension cut-off, Pro is nothing
else than the absolute value of the tensile strength in uniaxial extension
(which can be evaluated by performing a direct tension or a brasilian test). A
typical value of Pro for soft rocks is between 100 and 200 kPa.
vp
'~OT" p, "'" Pm -'
FIGURE 11.9.4 Yield locus for cemented and uncemented soil.

An isotropic compression test allows the yield value Pco to be determined.

Since Ps0 is small, ~ can be evaluated as a first approximation as the ratio
between Pco and Pto. Such a value is usually between 10 and 20.
Finally, the parameter p depends on the bond fragility, since it measures the
rate at which the bonds are broken and the soft rock is transformed into a soil.
It can be determined only by fitting theoretical results to experimental data in
an isotropic compression test. The higher the p value, the faster the
compression curve will join the corresponding curve for an uncemented
material. Such a parameter can usually vary between 0.5 and 5.
11.9.7 EXAMPLES
Examples of model performance can be found in Reference [4] (two types

of sands in three-dimensional loading conditions), Reference [5] (sand, clay,
grouted sand, tuff, and limestone in triaxial compression tests), and Reference
[14] (natural and artificial calcarenite, marl in drained and undrained
conditions).
REFERENCES
1. Nova, R., and Wood, D. M. (1979). A constitutive model for sand in triaxial compression. Int.
J. Num. Anal. Meth. Geomech. 3: 255-278.
2. Nova, R. (1977). On the hardening of soils. Archi. Mech. Stos. 29 (3): 445-458.
3. Nova, R. (1982). A constitutive model for soil under monotonic and cyclic loading, in Soil
Mechanics: Transient and Cyclic Loading, pp. 343-373, Pande, G .N., and Zienkiewicz, O. C.,
eds; Wiley.
4. Nova, R. (1988). Sinfonietta classica: An exercise on classical soil modelling, in Constitutive
Equations for Granular Non-cohesive Materials, pp. 501-520, Saada and Bianchini, eds.,
Balkema.
5. Nova, R. (1992). Mathematical modelling of natural and engineered geomaterials. General
lecture 1st E. C. S. M. Munchen, Eur. J. Mech. A/Solids 11, (Special issue): 135-154.
6. di Prisco, C., Nova, R., and Lanier, J. (1993). A mixed isotropic-kinematic hardening
constitutive law for sand, in Modern Approaches to Plasticity, pp. 83-124. Kolymbas, ed.
7. di Prisco, C., Matiotti, R., and Nova, R. (1995). Theoretical investigation of the undrained
stability of shallow submerged slopes. GF.otechnique 45 (3): 479-496.
8. Lagioia, R., and Nova, R. (1995). An experimental and theoretical study of the behaviour of a
calcarenite in triaxial compression. Gr 45 (4): 633-648.
9. Nova, R. (1986). Soil models as a basis for modelling the behaviour of geophysical materials.
Acta Mechanica 64: 31-44.
10. Nova, R. (2000). Modelling weathering effects on the mechanical behaviour of granite, in
Perspective and Developments of Hypoplasticity, Kolymbas, D., ed.
11. Luong, M. P. (1980). Ph~nom~nes cycliques dans les sols pulv~rulents. Revue Franfaise de
G~otechnique 10: 39-53.
1154 Nova
12. Ishihara, K., Tatsuoka, E, and Yasuda, S. (1975). Undrained deformation and liquefaction of
sand under cyclic stresses. Soils and Foundations 15 (1): 29-44.
13. Lade, P. V. (1992). Static instability and liquefaction of loose fine sandy slopes. Jour. of Geot.
Engrg., ASCE 118, (1): 51-71.
14. Lagioia, R., and Nova, R. (1993). A constitutive model for soft rocks, Int. Symp. Hard soils-soft
rocks, Athens, pp. 625-632.
SECTION 11.10
A Generalized Plasticity
Model for the Dynamic
Behavior of Sand, Including
Liquefaction
M. PASTOR1, O.C. ZIENKIEWICZ2 and A.H.C. CHAN3
1Centro de Estudios y Experimentaci6n de Obras Pfablicas and ETS de Ingenieros de Caminos,
Madrid, Spain
2Department of Civil Engineering, University of Wales at Swansea, United Kingdom
3 School of Engineering, University of Birmingham, United Kingdom
Contents
11.10.1 Range of Application of Model . . . . . . . . . . 1155
11.10.2 Framework: Generalized Plasticity Theory 1156
11.10.3 Model Description . . . . . . . . . . . . . . . . . . . . . 1157
11.10.4 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . 1160
11.10.5 Material Properties . . . . . . . . . . . . . . . . . . . . . 1162
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1162
11.10.1 R A N G E OF A P P L I C A T I O N OF M O D E L
Classical plasticity models are not able to predict basic phenomena

encountered in dynamic loading of saturated soils, such as the accumulation
of plastic strain and the cycles, compaction, and pore pressure buildup under
undrained conditions. To overcome such difficulties, a simple model was
proposed by Pastor, Zienkiewicz, and Chan [1] in the framework of the
generalized plasticity theory of Zienkiewicz and Mroz [3]. The model is able
to reproduce the behavior of dense and loose sands under quasi-static and
dynamic loading, and it can be applied to the following situations:
9 static liquefaction of very loose sands and the instability phenomena

found during undrained loading of medium-dense specimens;

1156 P a s t o r et al.
9 material softening of dense sands under drained conditions;

9 zero volume change at the characteristic state line;
9 densification of granular materials during drained cyclic loading;
9 liquefaction and cyclic mobility of loose sands under cyclic undrained
loading.
11.10.2 FRAMEWORK: GENERALIZED

PLASTICITY THEORY
The relation between the increments of stress and strain for a material whose
response does not depends on time can be written as
de = C : da
where the fourth-order constitutive tensor C depends on (i) the state of stress
and strain, (ii) the past history, and (iii) the direction of the stress increment
da. In the case of soils, where coupling between skeleton and pore water
exists, constitutive laws are formulated for the solid skeleton via the effective
stresses a' = a + pwI, where a is the total stress tensor in the mixture, p~ is
the pore pressure, and I is the second-order identity tensor. In what follows,
and for the sake of simplicity, we will denote by a the effective stress unless
otherwise specified. Concerning sign conventions, compression is negative
and pore pressure compression is negative [2].
As far as the last requirement is concerned, the dependency on the
direction of da can be introduced in several ways, and the approaches of
Darve and the Grenoble group [4], the hypoplastic law of Dafalias [5], and the
hypoplastic model of Kolymbas et al. [6] are worth mentioning here.
The simplest approach consists of introducing a normalized direction n for
any given state of stress such that all possible increments of stress are
separated into classes, referred to as "loading" and "unloading":
de,z . = C L : da for n : da>0(loading)
de, u = C v : da for n : da<0(unloading)
The limit case n : da = 0 separating both classes of behavior will be called

"neutral loading."
To ensure continuity between loading and unloading, it can be shown that
tensors CL and Cv have to be of the form
1
CL/U - C e + HL/UngL/U |
where ngL and ngu are arbitrary tensors of unit norm and HL/u two scalar
functions defined as loading and unloading plastic moduli. It can be very
11.10 A Generalized Plasticity Model for the Dynamic Behavior of Sand 1157
easily verified that both laws predict the same strain increment under neutral
loading where both expressions are valid and hence nonuniqueness is
avoided. As for such loading, the increments of strain using the expressions
for loading and unloading are
de,L=Ct. : d ~ = C e : d~
de,v = C v : d ~ = C ~ : d~r
This suggests that the strain increment can be decomposed into two parts:
de, = de, e + de,p
where the elastic and plastic components are

de, ~ = C e : d a
1
de,p = (ng/_/v | n) " d a
Hc/v
To account for softeningbehavior (H/_/u<O), definitions of loading and

unloading are modified as
de,/_=Cc : da for n : d~e>O(loading)
de,c = C c : da for n : da e<O (unloading)

where d a e is given by
d~e = C e- 1 : de,
All these relations can be cast in an equivalent vectorial form, substituting the
fourth-order tensor by matrices and the second-order tensors by vectors. This
simpler notation will be employed in the following sections.
The proposed general law includes scalars Hi_lu and directions n and ng/_lv,
which have to be determined in order to fully characterize the material
behavior.
First of all, the direction of plastic strain increment ngL is obtained from
triaxial tests, assuming that the ratio between total volumetric and deviatoric
components is a good estimate of the ratio of the plastic components. The
dilatancy law is approximated as
dd
desP ~ dg -- (1 + 0~)(Mg - ~/)
where a and Mg are material parameters and r/ is the stress ratio r / = q/p,
where q = 3 V ~ and p = - t r ( a ) / 3 .
Both parameters can be obtained from drained triaxial tests. It is interesting
to note that Mg characterizes the states at which no volume change occurs.
This is the characteristic state line of Habib and Luong [7], which coincides
with the projection of the critical state line on the plane (p-q). From this
point, direction ngL is obtained as
ngTL = (rigo, rigs)
with
dg
and ngs ---- - - T - - - ~ _
v/X+
Next, direction n will be assumed to be given by the law
(no,
with
= 1
df and ns =
no V/1 + df V/1 + d~
where df = dg = (1 + oOMf - tI.

In these equations, a new material parameter Mf has been introduced. It
can be seen that an associated plasticity model can be produced by choosing
Mf = Mg. In the case of granular materials, it has been suggested to use the
approximate relation Mf/Mg = Dr to estimate Mf [1].
The plastic modulus during virgin loading is postulated to be of the form [ 1]
HL - Hop'Hf {Ho + Hs}
where
( )4
limit the possible states, and where
being the accumulated plastic deviatoric strain ~ = f des.

In these equations, the three new material parameters H0, 13o, and ~1 have
been introduced. Concerning H0, it can be obtained from isotropic stress
paths, but 130 and ~1 have to be obtained by finding the values which better fit
experiments.
The model so far developed needs to be completed by including plasticity
during unloading and a memory function to describe past events. The latter
aspect can be introduced by assuming that directions n and ngL do not differ
in loading and reloading, and by taking the plastic modulus HL as
HL = Ho.p'.HS(no + n~)HDM
where HoM is a discrete memory factor given by
( 7x)
where ( was defined previously as
and ? is a new material constant which has to be chosen to provide the best fit
to loading-reloading experiments.
Finally, we characterize plastic behavior during unloading by introducing
the plastic modulus during unloading H. as
for M-~ug[> 1
-- Huo for ]M~-ug_<1
and assuming that direction ngv is

n g v - (nguo, ngus) T
where
,,~.o - -ab~(n~o)
and
ngus = +ngs
In this way volumetric deformation during nature is of a contractive nature, as
observed in experiments.
Elastic behavior is characterized by constants Keo0 and Go, the bulk and
shear moduli of the material.
11.10.4 APPLICATIONS
We will show here some simple applications to the undrained behavior of

sands of different relative densities under monotonic undrained loading and
cyclic loading.
Figure 11.10.1 shows stress paths in the p-q space followed by samples of
different densities during undrained triaxial loading. The predictions agree
reasonably well with the experiments of Castro [8].
In the case of very loose specimens, it can be seen how liquefaction
develops. It is interesting to note that even if there is a decrease in the
deviatoric stress, the mobilized stress ratio, which in frictional materials is a
measure of the mobilized strength, is always increasing. The material keeps
during the whole process a tendency to densify, as the pore pressure is always
increasing. The stress path approaches the origin, with an effective hydrostatic
stress approaching zero. In this limit, the soil behaves no longer as a solid, but
rather as a viscous fluid.
Under cyclic loading, liquefaction is the consequence of two factors, the
accumulation of pore pressure during cyclic loading, and finally, liquefaction
in a last cycle (in the same way that happens under monotonic loading).
Figure 11.10.2 shows a comparison between experimental data and model
predictions for a very loose sand under undrained cyclic loading. Liquefaction
develops in the last cycle.
p, = 392 KPa
800 T~:st. Dr
~ a 29% O"
b .44% A
c 47% :.o
66% a
:~ 600.
r/a
r
=,0 400 -- (c)
9>
200
.Z, "13,, 200 40:0 600:.

,,
iMean effective confiniagpressure p' (KPa)
F I G U R E 11.10.1 U n d r a i n e d behavior of BANDING at different densities (data from Castro

[8]).
. ~ . ; ~ . ....
,.o,. -. . . . . . . .. __
~.0 L4 U ,I.II i O ~.m ,.
.,' ~.S~tU I 9, ~ m ~ ~,,, .~,,
p l l it.~ll o pntlr~-tl
(~r '* (d) Lo:
9 I.D ,,m
FIGURE 11.10.2 Liquefaction of a very loose sand under cyclic loading (experimental data from
Castro [8]).
Pn.,,evvo i.~r,=
Pie
|j.
~
-go
-.
?;j/
~ ~_ . - . . . . . . . . . . .....
"~2. ~, ..~ 9;,',' .'",., ,o ;~.- UI LO 9II

9~ m l . 91,.aa|, u~.
I~I~) ~q"
9 :,
V"V.V;/ , , : ,. .
..
~;li L5 :6 t 'r ,l D .,4.0 ,4.~ -ILO r IIA

m" flail
FIGURE 11.10.3 Cyclic mobility of loose Niigata sand (experimental results from Tatsuoka []).
1162 Pastor et al.
TABLE 11.10.1 Material Properties
Fig. 11.10.1 Fig. 11.10.1 Fig. 11.10.1 Fig. 11.10.1 Fig. 11.10.3
and 11.10.2 (Dr -- 0.44) (Dr --- 0.47) (Dr -- 0.66)
(Dr =0.29)
Keo0 35,000 35,000 35,000 35,000 65,000
Go 52,500 52,500 52,500 52,500 30,000
Mf 0.4 0.545 0.570 0.72 0.71
Mg 1.5 1.32 1.12 1.03 1.5
H0 350 350 350 350 800
~0 4.2 4.2 4.2 4.2 3.8
~1 0.2 0.2 0.2 0.2 0.16
7 4 1.0 -- -- 1
Huo 600 200 -- -- 250
Yu 2 2 -- -- 5
If density increases, the sand will exhibit cyclic mobility rather than
liquefaction. Figure 11.10.3 shows cyclic mobility of loose Niigata sand. As
density is higher, the stress path crosses the characteristic state line and,
because of the t e n d e n c y to dilate, turns towards the right. However, the
a c c u m u l a t i o n of pore pressure shifts the cycles to the left, w h e r e the m e a n
effective confining pressure is small. There, a m o m e n t arrives at w h i c h large
d e f o r m a t i o n s occur, as s h o w n in the figure.
11.10.5 MATERIAL PROPERTIES
T h e material properties are s h o w n in Table 11.10.1.
REFERENCES
1. Pastor, M., Zienkiewicz, O. C., and Chan, A. H. C. (1990). Generalized plasticity and the
modelling of soil behaviour. Int. J. Numer. Anal. Methods Geomech. 14: 151-190.
2. Zienkiewicz, O. C., Chan, A. H. C., Pastor, M., Schrefler, B., and Shiomi, T. (1999).
Computational Geomechanics, John Wiley and Sons.
3. Zienkiewicz O. C., and Mroz, Z. (1984). Generalized plasticity formulation and application to
geomechanics, in Mechanics of En~neering Materials, Desia, C. S., and Gallaher R. H., eds.,
John Wiley and Sons.
4. Darve, E, ed. (1990). Geomaterials: Constitutive Equations and Modelling, Elsevier Applied
Science.
5. Dafalias, Y. E (1986). Bounding surface plasticity, h Mathematical foundation and
hypoplasticity. Journal of Engineering Mechanics ASCE 112: 966-987.
6. Kolymbas, D. (1991). An outline of hypoplasticity. Archive of Applied Mechanics 61: 143-151.

7. Habib, P., and Luong, M. P. (1978). Sols pulvurulents sous chargement cyclique, in Materiaux
and Structures Sous Chargement Cyclique, Ass. Amicale des Ingenieurs Anciens El~ves de l'Ecole
Nationale des Ponts et Chauss~es (Palaiseau, 28-29), pp. 49-79.
8. Castro, G. (1969) Liquefaction of Sands. Ph.D. thesis, Harvard University, Harvard Soil Mech.
Series no. 81.
SECTION ii.ii
A Critical State Bounding
Surface Model for Sands
M A J I D T. MANZARI 1 a n d YANNIS E DAFALIAS 2
1Civil and Environmental Engineering, The George Washington University, Washington, D.C., USA
2Department of Mechanics, National Technical University of Athens, 15773, Hellas, and Civil and
Environmental Engineering, University of California, Davis, California, USA
Contents
11.11.1 Triaxial Space Formulation . . . . . . . . . . 1164
11.11.1.1 Basic Equations . . . . . . . . . . . . 1165
11.11.1.2 Critical State . . . . . . . . . . . . . . 1166
11.11.2 Multiaxial Stress Space Generalization 1167
11.11.3 Implementation and Model Constants 1169
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . 1170
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1170
11.11.1 TRIAXIAL SPACE FORMULATION
The following constitutive model applies to sandy soils at different densities

and pressures which do not cause crushing of the grains. It is a general
purpose model for multiaxial, drained, undrained, monotonic, and cyclic
loading conditions, within the general framework of critical state soil
mechanics and bounding surface plasticity. The presentation is a direct
derivative of the work by Manzari and Dafalias [1] and includes some
additional expressions. The basic concepts and related equations of the sand
plasticity model will first be presented in the classical triaxial space where
q = or1 - ~r3, p : ( 1 / 3 ) ( ~ r l + 2cr3), ~q = ( 2 / 3 ) ( e l - ~3), and ~v = ~1 + 2~3,
w i t h ~i and ~i (i = 1,3) being the p r i n c i p a l stress and strains (or2 = or3,
82 = 83).
Handbookof MaterialsBehaviorModels.ISBN0-12-443341-3.
11.11 A Critical State Bounding Surface Model for Sands 1165
11.11.1.1 BASICEQUATIONS
The elastic relation will be assumed hypoelastic for simplicity, given in terms
of the r a t e s / / = dq/dt and ib = dp/dt as
9e _ // .e _ /5 (1)
eq 3 6 ~
O - Go / < - Ko (2)
where G and K are the elastic shear and bulk moduli, respectively, Pat is the
atmospheric pressure, and the exponent a is usually given a default value of
a =0.5.
The elastic range is represented by the shaded wedge shown in
Figure 11.11.1 in the q, p space, whose straight line boundaries Oc and Oe
constitute the yield surface described analytically by
f=~/-~:Fm=O (3)
where the stress ratio r / = q/p and the dimensionless (stress ratio type)
quantities c~ and m are shown in Figure 11.11.1. The c~-line is the bisector of
the wedge angle, and 2 mp measures the wedge "opening." Equation 3 implies
that upon constant r/ loading no plastic loading occurs, which is
approximately correct if the p is not high enough to cause crushing of the
sand grains and/or the sand sample is not very loose. Based on Eq. 3, plastic
deformation occurs only when r/is on f = 0 and there is a change dq = Odt
pointing outwards f = O. In this case the plastic rate equations are given by
O
(4/
FIGURE 11.11.1 Schematicrepresentation of the yield, critical, dilatancy, and bounding lines in
q, p space.
1166 Manzari and Dafalias
where Kp and D are the plastic modulus and dilatancy, respectively. Since
~q = ' e~q+ ~ a n d ~ v .e + ~v
= ~v 9p, it is a trivial exercise to combine Eqs. 1 and 3 in
order to express ~q and ~v in terms o f / / ( o r ~) and/~, and vice versa.
There remains the very important task of specifying Kp and D. In reference
to Figure 11.11.1, assume that the line shown with a slope Mcb represents a
peak stress ratio for a given state. Henceforth, subscripts c and e imply
association of a quantity with triaxial compression and extension, respec-
tively. Such value of Mcb is a bound for ~/; hence, within the framework of
bounding surface plasticity one can write a stress ratio "distance"-dependent
plastic modulus expression such as
K~ -- h ( M ~ - ~) (5)
in terms of a model parameter h. Similarly, the line shown with a slope M~ in
Figure 11.11.1, represents the phase transformation line, or for better naming,
the dilation line. According to standard dilatancy theory, one can write
D -- A ( M ~ - ~1) (6)
with A another model parameter. Hence, Eqs. 5 and 6 determine Kp and D via
M~, Mca, h and A, and the model is complete.
11.11.1.2 CRITICALSTATE
The critical state in soil mechanics is defined as a triplet of qc, Pc, and void
ratio ec values, at which unlimited plastic deviatoric strain occurs at zero
volumetric strain rate. Such a critical state is defined simultaneously in the
q,p space by t/c--qc/pc=Mc, and in the e - p space by
ec = (ec)ref- 2ln(pc/pref), where Me, 2, and (ec)ref (for a chosen pref) are
standard soil constants. The Mc is related to friction angle, and its
corresponding visualization in q, p space is shown as a line of slope Mc in
Figure 11.11.1.
If left as is, the previous formulation will not meet the critical state
requirements. For example, it follows from Eqs. 4, 5, and 6 that as ~/
approaches M~, which may be assumed to be equal to Me, Kp~ 0 and ~ ~ 0
while ~ > 0 and ~v p < 0 since M~ > M~. This implies unlimited dilation,
contrary to physical expectation (negative volumetric strain rate means
dilation). Furthermore, a fixed M~ does not allow for the softening response in
drained loading observed in many dense sand samples.
The remedy is to consider variable M~ and Mca, such that at critical state
Mcb = Mca = Me. If the so-called state parameter ~ = e - ec [2], is used as a
measure of "distance" from critical state in the e, p space (e and ec refer to the
same p), the idea put forth by Wood et al. [3] and supplemented by Manzari
and Dafalias [1] in regards to the concept of 0~ in Eq. 3 can be expressed by

M~-- (zc + m = Mc - kbc~ (7)
where kcb is a material constant and ~cb is the "bound" for c~ in the same sense
that M~ is the bound for r/. The second important modification refers to the
variation of Mca and was proposed in Reference [1] as
= o~c 4- m -- Mc 4- (8)
where k~ is a material constant and a~a is a back-stress dilatancy ratio
corresponding to the stress dilatancy ratio Mca. Observe that for ~ < 0 (denser
than critical), M a c < M c < M ~ , while for ~ > 0 (looser than critical),
Mc~ <Mc <Mea, reflecting standard properties of granular soils. For further
reference, Eqs. 7 and 8 can be supplemented by
Mc -- ct~ --1- m (9)
which defines the critical back-stress ratio ~ in terms of m and the critical
stress ratio Mc.
Equations 1-8 provide a complete constitutive model in triaxial space. It
only requires the specification of Me, k~, and kea in triaxial extension as well to
describe reverse and cyclic loading. In such case, Eqs. 5 and 6 utilize the
ensuing values of M~ and M~ in extension, following from Eqs. 7 and 8.
11.11.2 MULTIAXIAL STRESS SPACE

GENERALIZATION
The multiaxial stress generalization of the model follows standard procedures

[1]. Equation 1 becomes
~= s P
2--G ~ - K (10)
where bold-face characters imply tensor quantities and e e and s are the
deviatoric elastic strain and stress tensors, respectively. Equation 2 remains as
is. Equation 3 generalizes to
f -- [(s - pat):(s - pot)] 1/2 - X//-i/3 m p -- 0 (11)
where ~ of Eq. 3 generalizes to the back-stress-ratio tensor at and : implies the

trace of the product of two tensors. The plastic strain rate equations are
expressed in the following in terms of i', where the deviatoric stress ratio
tensor r - s/p is the generalization of r/.
After some algebra which involves the O f / O ~ = n - (1/3)(n : r)I with I the
identity tensor and n given in following text, one has for the deviatoric and
1168 Manzari and Dafalias
volumetric plastic strain rates, respectively,

~P -- < L > n - - < L > ( 2 / 3 ) - 1 / 2 ( r - a t ) ~P -- < L > D (12a)
1 2Gn" ~ - K(n'r)~v
L (12b)
- + 2O - D(n
Equations 12 are the generalizationof Eqs. 4 involving the plasticmodulus Kp

and dilatancy D, with the added explicit feature of the loading index L
expressed either in terms of/" or in terms of ~ and ev. A combination of Eqs. 10
and 12 together with ~ - he + ~P, ev - ~e + ~v p yields
6 -- E ep" /;-- [Ee (2Gn + K D I ) | ( 2 G n - K(n 9r)I)]
- Kp 4- 2 G - KD(n i~) _ "~ (13)
for the total effective stress rate 8 in terms of the total strain rate ~ and the
elastoplastic tangent stiffness moduli E~. The latter is given explicitly by the
bracketed quantity of the last member of Eq. 13, where | means tensor
product and E ~ is the well known isotropic elastic moduli tensor which in
component form is given by E~jkz -- 2 G ( 6 i k 6 j l - (1/3)cSijcSkz) + K6ij6kz.
The Kp and D in the muhiaxial space will be obtained by generalization of
corresponding triaxial concepts and equations. First, the bounding, dilatancy,
and critical triaxial back-stress ratios c~c,b ~c, d and ~cc in Eqs. 7 , 8, and 9,
correspondingly, are generalized as the bounding, dilatancy, and critical
surfaces whose traces on the principal stress ratio ri = s i / p 7z-plane are shown
in Figure 11.11.2. The To-plane trace of the yield surface with its center a,
Eq. 1 l, is also shown in Figure 11.11.2 as a circle. For a stress ratio r and
/~.~ ~ t~,~_. ~ Yield Surface
./ // ,t~'~~ ,,t i~'.. ) BoundingSurface

,, / / ' n'~J r - ' . ~ , . - ~ CriticalSurface
" ~ ancy Surface
- _ s3
r2 = ---~ ................... tl~+~ r3----~
FIGURE 11.11.2 Schematic representation of the yield, critical, dilatancy, and bounding
surfaces. (Reproduced with permission from Manzari, M. T., and Dafalias Y. E (1997). A critical
state two=surface plasticity model for stress. Geotechnique47: 255-272.)
associated n, the "image" back-stress ratio tensors ~ , ~d, and ~ are defined
as the intersection of the n direction emanating from the origin with the
foregoing three surfaces. Their scalar-valued norms are analytically given by
~bo - - g ( O ) M c - gb(0)kcbff -- m (14a)
(14b)
~co - - g ( O ) M c - m (14c)
in terms of a third stress invariant, the Lode angle 0 as shown in
Figure 11.11.2, entering the interpolation functions g, gb, and gd in order to
account for the variation from triaxial compression to triaxial extension.
Observe that for ~ - 0, ~ - ~ - ~, and the three surfaces collapse into the
critical one. The corresponding image tensor quantities follow according to
~ - x/~~n, with a = b, d, or c (one must distinguish between the tensor
a~ and its norm ~). The kinematic hardening is given by & - < L > h •
(~b0 - ~ ) in terms of a model parameter h, which, together with the
consistency condition f = 0 applied to Eq. 11, yields for t/l = 0 the value of
the plastic modulus as
K p - - ph(ctbo -- a)'n (15)
Similarly, the dilatancy D is given by
D -- A ( ~ - ~): n (16)
Observe that a combination of Eqs. 3, 5-8 yields for the triaxial case that
K p - h ( ~ - ~) and D - a ( ~ - ~ ) , hence, Eqs. 15 and 16 are their direct
generalization. In applications, h and A may be constant or functions of the
corresponding distances b - ( a ~ - ~ ) ' n and d - ( ~ - ~)" n, respectively,
Figure 11.11.2. In Reference [1] the expression h = h o ] b ] / ( b r e f - ]b[) was used
in terms of a model constant h0. The dependence of Kp, and by extension of
D, on a distance between a stress-type quantity ~ and its "image" ~b0 on a
surface is the classical constitutive feature of bounding surface plasticity.
11.11.3 IMPLEMENTATION AND MODEL

CONSTANTS
The model is a usual bounding surface plasticity model, and its implementa-
tion follows standard procedures. The reader is referred to Manzari and
Prachathananukit [4] for details of a fully implicit implementation. The
model constants are summarized and divided in categories in Table 11.11.1,
together with a set of typical values in parentheses employed in Reference [1].
1170 Manzari and Dahlias
TABLE 11.11.1 Model Constants
Elastic Critical state State parameter Hardening Dilatancy
Go (3.14 x 104) Mc (1.14) kcb (3.97) h0 (1200) A (0.79)

K0 (3.14 x 104) 2 (0.025) k~a (4.20)
a (0.6) (ec)ref (0.80)
The most peculiar to the model among the foregoing constants are the kcb
and kca (and their corresponding value keb, kea in extension). The kcb can be
obtained from Eq. 7 and the experimentally observed values of the peak stress
ratio Mcb and state parameter ft. Similarly, the kca can be obtained from the
observed value of Mca when consolidation changes to dilation together with
the corresponding value of ft. These presuppose knowledge of the critical
state line in e-p space. For different Mcb, Mca, and ~ts, different k~ and kca may
be determined. It is hoped that these values do not differ a lot, and then an
average value is the overall best choice. The h0 and A are obtained by trial and
error (there are some direct methods also). All constants can be determined
by standard triaxial experiments.
ACKNOWLEDGEMENTS
M.T. Manzari would like to acknowledge partial support by the NSF grant
CMS-9802287, and Y.E Dafalias by the NSF grant CMS-9800330.
REFERENCES
1. Manzari, M.T., and Dafalias, Y.E (1997). A critical state two-surface plasticity model for sands.
Geotechnique 47: 255-272.
2. Been, K., and Jefferies, M.G. (1985). A state parameter for sands. Geotechnique 35: 99-112.
3. Wood, D.M., Belkheir, K., and Liu, D.E (1994). Strain softening and state parameter for sand
modelling. Geotechnique 44: 335-339.
4. Manzari, M.T., and Prachathananukit, R. (2001). On integration of a cyclic soil plasticity
model. Int. Journal for Numerical and Analytical Methods in Geomechanics, 25: 525-549.
SECTION 11.12
Lattice Model for Fracture
Analysis of Brittle
Disordered Materials like
Concrete and Rock
J.G.M. VAN MIER
Delft University of Technology, Faculty of Civil Engineering and Geo-Sciences, Delft, The Netherlands
Contents
11.12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . 1171
11.12.2 Background of the Model . . . . . . . . . . . . 1172
11.12.3 Elasticity Parameters . . . . . . . . . . . . . . . . 1172
11.12.4 Fracture Analysis . . . . . . . . . . . . . . . . . . . 1174
11.12.5 Fracture Parameters . . . . . . . . . . . . . . . . . 1175
11.12.6 Computational Procedure . . . . . . . . . . . . 1175
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1176
11.12.1 I N T R O D U C T I O N
Lattice-type models have a long history, but the development of useful models
dates back to the end of the 1980s, when they were reinvented in statistical
physics for simulating pattern growth in random media. Examples are
fracture, dielectric breakdown of fuse networks, diffusion-limited aggregation,
etc. The overviews written by Herrmann and Roux [2], Charmet et al. [1], Van
Mier [8], and Krajcinovic and Van Mier [3] provide excellent introductions
and examples of applications to this type of modeling. In this contribution we
will deal with a lattice model for fracture analysis of concrete only.

1172 van Mier
11.12.2 BACKGROUND OF THE MODEL
In a lattice model the material is schematized as a network of linear elements,

i.e., springs, truss, or beam elements that are used to describe dependency
relations between the nodes in a lattice. The lattice is a regular or irregular
construction in two or three dimensions. Examples are regular triangular
lattices or triangular lattices with randomly varying element lengths.
Triangular lattices are preferred since they yield more realistic estimates of
Poisson's ratio [5, 7]. Earlier lattice models, for example, Herrmann and Roux,
were based on square lattices, which result in a zero Poisson's ratio and
when fracture is considered not very realistic crack patterns. A lattice
construction of linear elements does not resemble the real microstructure or
mesostructure of, for example, concrete or rock. The effects from material
structure can be included in the model by superimposing an image of the
relevant material structure on top of a lattice. Properties are then assigned to
the lattice elements, depending on the specific location in the material
structure. The image of the material structure can either be a computer-
generated idealized structure [5] or a digital image from the real material [6].
Another method of introducing effects from material structure, i.e.,
randomness associated with variations of local material properties, is to
assign lattice element properties according to a statistical distribution. For
materials like concrete, the method of assigning properties by superimposing
a "real" material structure seems the best method. An example of an overlay of
a computer-generated structure on top of a regular triangular lattice is shown
in Figure 11.12.1 The figure suggests that the lattice elements should be small
enough to capture sufficiently small detail from the material structure. Indeed,
the ratio between the length of a lattice element and the smallest material
structural feature should be selected correctly.
The advantage of a lattice as "computational backbone" for numerical
materials science is the fact that simple laws can be introduced to simulate
fracture. These aspects will be treated in Section 11.12.4.
11.12.3 ELASTICITY PARAMETERS
The first step in an analysis is the determination of the lattice element size and
the elastic properties of the global lattice. From this point on, only triangular
lattices made with beam elements and a particle overlay will be considered.
Three phases are generally distinguished in a lattice with particle overlay,
namely, the aggregate and the matrix phases, and the interfacial transition
zone. In Figure 11.12.1 b, c the lattice elements falling in these three phases
11.12 Lattice Model for Fracture Analysis of Brittle Disordered Materials 1173
FIGURE 11.12.1 Example of an overlay of a computer-generated particle structure (a) on top

of a lattice of different fineness: beam length l = 0 . 5 mm (b) and 2.0 mm (c), after Reference [9].
are given different line thicknesses. Each of these phases has own elastic
properties. For convenience, all lattice elements are selected with the same
cross-sectional properties, which makes the tuning of the elastic properties
like the Young's modulus and the Poisson's ratio more straightforward. The
first step is to set the length l of the beam elements as a fraction of the smallest
aggregate particle drain. Experience learns that a ratio of dmin/l between 3 and 5
gives a good balance between computational costs and obtained accuracy.
Next the beam height is set. The value for hll depends on the overall Poisson's
ratio of a lattice in relation to the Poisson's ratio of the relevant material.
Schlangen and van Mier [7] derived a relation between v and h/l for two-
dimensional regular triangular lattices as follows:
4
v-- --1
3 + (h/l)
After l has been decided on the basis of the particle size, h is defined
depending on the required Poisson's ratio, w h i c h - for c o n c r e t e - is usually
1174 van Mier
in the order of 0.15 to 0.20. The global Young's modulus can now
be set: ratios of EJEm and Eb/Em have to be defined. The subscripts a, m, and
b stand for aggregate, matrix, and bond zones, respectively. The thickness
of the beam elements is set to the thickness of the structure that is
analyzed.
For a lattice with random beam length, Vervuurt [10] derived the relation
between average h// and the Poisson's ratio and Young's modulus from
numerical analyses. In principle the procedure is identical to the one sketched
previously. A closed-form solution does not exist for random triangular
lattices.
11.12.4 FRACTURE ANALYSIS
Fracture can be modeled in a very simple and straightforward manner by

removing in each load step the beam element with the highest (effective)
stress-over-strength ratio. According to the beam distribution over the three
material phases, different strength values are assigned to beams falling in the
respective phases. A strength criterion is used because this simplifies the
computational procedure and limits the duration of the computations. Other
criteria might just as well be used. Generally, however, when iterative
procedures must be adopted because nonlinear fracture laws are introduced,
the computational effort will certainly grow out of bounds. The important
part is the definition of effective stress in the beams. The simplest approach
would be to use an effective stress based on the normal force N in each beam
only, i.e.,
N
-X
where A - - b x h is the cross-sectional area of the beam. At this stage one
might wonder why truss elements are not used. Removing lattice
elements simulates fracture, and upon a certain amount of removals unstable
regions might develop in the finite element mesh. This might impair the
solution of the problem, i.e., specifically the inversion of the stiffness matrix.
A second possible effective stress is a combination of normal load and
bending moment as proposed by Herrmann and Roux [2] following
N o~([Mi[]Mj[)max
o- ss- i 9 'w
Here Mi and Mj are the bending moments in nodes i and j of the beam
element, and W-bh2/6 is the section modulus. ~ is a coefficient which
regulates the amount of flexure that is taken into account. In fracture
simulations of concrete this effective stress has proven to be quite effect-

ive, especially in cases when the external loading is tensile or a combination of
tension and (global) shear. In case of global compression, this effective stress
seems not very successful, and currently the search for a better candidate is
under way. A Mohr-Coulomb-type effective stress might be a better option
in that case. Recent analyses of a Brazilian splitting test revealed that the
development of a shear cone in the parts of the specimen adjacent to the loading
platens could be captured by means of a Mohr-Coulomb criterion. In that case,
however, the vertical splitting crack did not appear, see Lilliu et al. [4].
11.12.5 FRACTURE PARAMETERS
The model requires a limited number of fracture parameters. They are the
respective strengths of the beams falling in either of the material phases
aggregate, matrix and bond. Next to that, when the second effective stress
"law" is used (see previous section), the coefficient ~ must be specified. The
determination of the coefficient ~ is not straightforward. For example, in
order to simulate crack face bridging in concrete subjected to tension
realistically, the value of c~has to be selected close to zero (i.e., in the order of
0.005-0.010 [6]. For compressive failure, different values of c~yield different
results, and the ratio between the uniaxial compressive and uniaxial tensile
strength is significantly affected. In that case, the highest ratio between the
uniaxial compressive and uniaxial tensile strength is also obtained for a
relatively low value of c~, but at the cost of an increased brittleness [7]. In van
Mier [8] additional information on the development of inclined crack planes
under uniaxial compression is shown. Table 11.12.1 contains examples of
parameter settings used in many of the analyses carried out to date; see van
Mier [8] for an overview.
11.12.6 COMPUTATIONAL PROCEDURE
The fracture simulation is carried out as follows. After the elastic properties
have been determined, a unit test load is applied to the structure to
be analyzed. For each beam element the effective stress is computed
and divided by the strength of the phase in which it is situated. The
beam with the highest stress-over-strength ratio is then removed from the
mesh and a new linear elastic analysis (under the application of a unit test
load) is carried out in order to decide which beam has to be removed next.
After the first beam has been removed, the first point in the load-deformation
1176 van Mier
TABLE 11.12.1 Parameters for the Fracture Lattice Model (Values for Normal Strength
Concrete Considered as a Three-Phase Model)
Beam length 1 l<dmin/3 (dmin is the smallest aggregate diameter)

Beam height h set to meet the requirements for v (see Section 11.12.3)
Beam thickness b structure thickness b
Young's moduli Ea/Em = 75.000/25.000 (MPa/MPa)

Eb/Em = 25.000/25.000 (MPa/MPa)
Fracture strength ft,a/ft,m=lO/5 (MPa/MPa)

ft, b/ft,m = 1.25/5 (MPa/MPa)
Flexural parameter a a =0.005
diagram is known, namely, by elongating the P-b diagram until P reflects

the real fracture load of the considered lattice element. Thus ordinary scaling
is applied. The computation is stopped after the last beam element has been
removed and a complete fracture separates the structure into one or more
pieces.
REFERENCES
1. Charmet, J. C., Roux, S., and Guyon, E. (1990). Disorder and Fracture, New York: Plenum
Press.
2. Herrmann, H. J., and Roux, S. (1990). Patterns and Scaling for the Fracture of Disordered Media,
Elsevier Applied Science Publishers B.V. (North Holland).
3. Krajcinovic, D., and Van Mier, J. G. M. (2000). Damage and Fracture of Disordered Materials,
CISM Courses and Lecture Notes # 410, Wien/New York: Springer.
4. Lilliu, G., Van Mier, J. G. M., and Van Vliet, M. R. A. (1999). Analysis of crack growth of the
Brazilian test: Experiments and lattice analysis, in Progress in Mechanical Behaviour of
Materials, Proceedings ICM-8, Ellyin, J., and Provan, J. W., eds., Victoria, Canada, May 16-21,
Vol. I "Fatigue and Fracture," pp. 273-278.
5. Schlangen, E., and Van Mier, J. G. M. (1992). Experimental and numerical analysis of the
micro-mechanisms of fracture of cement-based composites. Cem. Conc. Comp. 14(2): 105-
118.
6. Schlangen, E. (1993). Experimental and Numerical Analysis of Fracture Processes in Concrete.
Ph.D. thesis, Delft University of Technology, Delft, The Netherlands.
7. Schlangen, E., and Van Mier, J. G. M. (1994). Fracture simulations in concrete and rock using
a random lattice, in Computer Methods and Advances in Geomechanics, pp. 1641-1646,
Siriwardane, H. J., and Zaman, H.H., eds., Rotterdam: Balkema.
8. Van Mier, J. G. M. (1997). Fracture Processes of Concrete: Assessment of Material Parameters for
Fracture Models, Boca Raton, FL: CRC Press.
9. Van Mier, J. G. M., and Van Vliet, M. R. A. (1999). Experimentation, numerical simulation
and the role of engineering judgement in the fracture mechanics of concrete and concrete
structures. Constr. Build. Mater. 13: 3-14.
10. Vervuurt, A. (1997). Interface Fracture in Concrete. Ph.D. thesis, Delft University of
Technology, Delft, The Netherlands.
INDEX
2 1/4 Cr Mo stainless steel, material para- A508 class 3 heat A steel

meters for, 520 chemical composition of, 443
10 MnMoNi 5 5 steel material parameters for, 444
chemical composition of, 443 A508 class 3 heat B steel
material parameters for, 444 chemical composition of, 443
35NCD16 steel, material parameters for, 366 material parameters for, 444
304 stainless steel A533B steel, material parameters of, 355
material parameters for, 246, 366, 386, 456 AA6061-A1203-15p-T6
stress-strain curves for, 384, 385 elasticity of, 625
304L steel material parameters of, 631
chemical composition of, 443 strain-controlled fatigue behavior of,
material parameters for, 444 626-627
316 stainless steel, material parameters for, AA6061-A1203-20p-T6, material parameters of,
239, 366, 376 631
316SS, material parameters for, 316 AA 7022 alloy
1018 carbon steel, material parameters for, 239 material parameters of, 631
1020 steel, material parameters of, 355 Additive laws, related to polymers, 259
1026 carbon steel, material parameters for, 239 Adhesion models of friction
1045 steel, material constants for, 456 Bowden-Tabor, 742-743, 749-750
4340 steel, stress analysis of, 650 JKRS, 750-752
Adhesive bonding, and static friction,
716-717, 752-756
Aging transformation of glassy polymers, 945
A equations of, 945-947
A48 steel isothermal behavior, 951-953
chemical composition of, 443 nonisothermal behavior, 953
material parameters for, 444 parameters for, 950-951,953
A508 class 3 (NKS1) steel simulation of volume recovery, 947-950
chemical composition of, 443 and specific heat, 953, 954
material parameters for, 444 Airy stress function, 634
A508 class 3 (SC1) steel AISI 316 stainless steel
chemical composition of, 443 high-temperature creep behavior of, 839, 840
material parameters for, 444 material parameters for, 520
1179
1180 Index
AISI 1010 steel, material parameters for, 520 numeric simulation of, 428
AISI 4340 steel, material parameters for, 832 in tension and compression, 518, 519
A1-6XN, material parameters for, 394 tensors in, 425-427
A16061-T6, material parameters of, 355 variables related to, 422-423
A17039-T64, material parameters of, 355 Anisotropy
Alloys Burzynski yield condition, 159-160
deformation of, 135 formulation of yield conditions under,
gigacycle fatigue of, 476-477, 481-486 155-157
microstructure of 270-272 Hershey "power yield condition," 160-162
rate-dependent behavior of, 388 Hill's yield condition, 157, 158
shape memory, 921-927 Huber-Mises-Hencky yield condition,
stress-phase transformation couplings in, 157-158
896-904 Tresca yield condition, 158-159
Alumina, elasticity of, 90 Antiplane strain, 551
Aluminum Arbitrary hydrostatic pressure, 81
material parameters of, 355 Armstrong-Frederick evanescent memory rule,
plasticity of, 272 251
Aluminum alloy 2024, material parameters for, Arrhenius approximation, 111
52O Arteries
Aluminum alloy 8009, material parameters of, cross-section of, 1067-1068
355 elasticity of, 1065-1066
Aluminum alloy AMG-6, material parameters material parameters of, 1069-1070
of, 355 residual stresses on, 1066-1068
Aluminum alloys Asperities, 745
FLDs for, 295 geometry of, 743, 744
high-temperature creep behavior of, plastic deformation of, 747-749
836-838, 842-845 Astroloy, material parameters of, 355
A1203 material parameters of, 791 Au4G, material parameters for, 316
Weibull parameters for, 563 Augmented Lagrangian method for analyzing
AI203/A1203 CMC, material parameters of, friction, 785-786
1023 Austempered SG cast iron, material parameters
AM1, material parameters for, 316 for, 470
Amontons-Coulomb friction, 705-708 Austenitic weld steel
Amorphous polymers chemical composition of, 443
in glassy state, 490-491 material parameters for, 444
in rubbery state, 491 AZ91 alloy
Anisotropic creep damage, 446-447 elasticity of, 629, 630
constitutive equation of, 451 fatigue crack growth in, 628
effective stresses in, 450
evolution equation of, 451
interpretation of damage tensor, 448-450
model of, 450-451 B
parameters of, 451-452 Beams, 191
representation of, 447-448 yield values for, 188-190
Anisotropic damage, 421-422 Belcadi-Parisot law, 259
damage rate in, 425 Beremin model, 575
equations for, 423-425, 514-515, 516-517, Biomaterials
522-523 bone tissue, 1048--1055
kinetic law of evolution, 516-517 soft tissue, 1057-1070
models of, 428 Birger criterion, 184
Index 1181
Bishop-Hill theory, 145-146 c

Bodner-Partom model C fiber, Weibull parameters for, 563
applicability of, 349-350 C/C CMC, material parameters of, 1023
equations for, 350-352 C-Mn steel
material parameters for, 353-354, 355 ductile rupture of, 591,592
modifications of, 353 ductility of, 594
uses of, 355 material parameters of, 595
Bone C1008 steel, material parameters of, 355
described, 1048-1049 Cancellous bone, 1049
cancellous, 1049, 1052-1055 elastic constant analysis for, 1053-1054
cortical, 1049, 1050-1051 elastic constant data for, 1054-1055
elasticity of, 1050, 1053-1055 specimens of, 1052-1053
mechanical properties of, 1049-1050 Capillary pressure, 1134
types of, 1049 Cast iron
Boreholes, breakout of, 51 SN curves for, 479
Botkin-Mirolyubov criterion, 181 strength figures for, 185
Boundary layer effect, 61 tension/compression ratios in, 184
Boundary lubrication, 761-762 Casting, phase transformation aspect of,
Bounding surface model for sands 894
constants for, 1170 Cauchy stress tensor, 5, 77
critical state and, 1166-1167 Cauchy-Green deformation tensors, 76
equations for, 1165-1166 Cavities, in glassy polymers, 493-494
implementation of, 1169 Ceramic A1, material parameters for, 520
in multiaxial stress space, 1167-1169 Ceramic-matrix composites (CMCs), 1015
triaxial space formulation of, 1164-1167 damage to, 1016
Bowden-Tabor model of friction, 742-743, material parameters of, 1021-1023
749-750 model of, 1019-1021, 1022
Braking, 685 state potential of, 1017-1019
architecture of, 686-687 Ceramics
block-level analysis of, 687-688 brittle fracture of, 572
Branching, of cracks, 653 wear map of, 790
Brittle damage, 412 Clausius-Duhem inequality, 7
continuous models of, 417-420 Clay
localization of, 527 elastoplasticity of, 1142
monotonic failure, 529-530 marine, saturated, disturbed state para-
Brittle fracture, 540 meters for, 879-880
damaged zone around, 570-572 material parameters for, 1083
LEFM analysis of, 567-568 CMSX2, material parameters for, 316
mechanisms of, 572-573 Cobalt VO 795, material parameters for,
plasticity and, 569-570 366
probability of, 558 Cohesion, of third bodies, 692
sliding crack models of, 577-581 Cohesive crack model, 56-57
small-scale yielding in, 568-569 Collagen, 1059
triggering of, 566-567 chemistry of, 1059
Weibull model of, 559-563 in connective tissue, 1060
Brittleness number, 45 mechanical properties of, 1060
Budianski-O'Connell damage parameter, 419 types of, 1059
Bui-Erlacher model, 574 Compact bone, 1049
Building steel, material parameters for, 366 Complementarity, 783
Burzynski yield condition, 159-160 Compliance law, 779
1182 Index
Composites Contact mechanics, 683-684, 685

behaviors of, 958 nomenclature of, 689-692
biomaterials, 1048-1070 Contact pressure limit, 684
ceramic-matrix, 1015-1023 Copper
flow-induced anisotropy in, 1037-1046 high-temperature creep behavior of, 838,
laminate, 1004-1013 839
limit analysis of, 1025-1032 material parameters of, 355
micromechanics of, 959-967 Cortical bone, 1049
nonlinear, 969-982 bovine, 1051
nonlocal models of, 984-995 canine, 1051
shakedown analysis of, 1032-1034 elastic model for, 1050
short-fiber, 1037-1046 technical constants for, 1050
transformational field analysis of, 996-1002 Coulomb friction coefficient, 1097
types of, 957 Coulomb friction model, 705-708, 780
Compressible/ dilatant geomaterials, 1084-1085 apparent deviations from, 708-711
boundary between compressibility and local, 725-730
dilatancy, 1085, 1086 regularized, 781
material parameters of, 1088, 1090-1092 Coulomb-Orowan law of friction, 781
model for, 1087, 1089-1090 Coulomb-Tresca-de Saint Venant criterion, 181
short-term failure surface for, 1086 Coupled behaviors, 795
Compression, damage evolution in, 518-519 elasticity with damage, 802-808
Compression fracture elasticity with magnetism, 929-941
propagation of, 51 elastoplasticity with damage, 797-801,
size effects in, 50-51 802-813
Concrete elastoplasticity with phase changes,
anisotropic damage model for, 507-512 905-913
brittle fracture of, 572 elasto-viscoplasticity with damage, 817-820
crack closure effects in, 509-510 inelastic behavior with damage, 814-820
disturbed state parameters for, 880, 881 plasticity with damage, 1010-1011
evolution of damage in, 502-503, 508-509 stress with phase transformation, 896-904
fracture analysis of, 1171-1176 thermo-elasto-viscoplasticity with damage,
internal length of, 505-506 821-832
isotropic damage model for, 501-504 viscoplasticity with damage, 797-801,
material parameters for, 520, 535 1010-1011
microcracking in, 501,507 viscoplasticity with diffusion, 849-855
nonlocal damage model enhancement for, Coupled equations, 23
504-506 Cr-Mo-V steel
scale of observation for, 5 creep crack growth in, 597, 598, 599, 604
shear failure of, 51 creep damage in, 600, 601,602
strain softening in, 505 Crack band model, 58
Conjugate gradient method for analyzing Crack front waves, 658-659
friction, 785 Crack growth
Constants, size effect method for measuring, analysis of, 667-671
49-50 creep, 597-599, 605-609
Constraint stress, 80 curve of, 663
Contact fatigue and, 611-620
elastic, 744-745 geometry of, 635-636
nominal area of, 743 prediction by Gurson model, 434
pressure and, 743-744 prediction by Rousselier model, 439, 441
Contact hysteresis, 732-733 rate of, 638-644
Index 1183
Crack opening displacement, 550 Creep functions, in viscoelasticity, 73, 74

Crack tip, 498 Creep ratio, 736
damaged zones around, 568-572, 634-636, Critical state, defined, 1166
642 CRSS ratios, 146
elastic process zone at, 638, 640, 642 Crystallites
LEFM analysis of, 567-568 crystal plasticity model of, 145-149
opening displacement at, 50 visco-plastic model of, 149-150
plastic process zone at, 568-572, 637, 638, yield loci of, 146-147
639 Crystals
running, 498 anisotropic creep model for, 303-307
stress analysis at, 647-650 deformation of, 135
velocity field at, 550 elastoplasticity of, 199-201
Cracks viscoplasticity of, 308-317
arrest of, 652 Cu-10AI-15Mn-5Zn shape memory alloy, 927
branching of, 653 Cubic single crystals
effect of closure of, 509-510 creep modeling of, 304-306
failure at, 43-46 material parameters for, 306-307
initial, 539 Current configuration, defined, 76
initiation of, 518, 651-652 Cyclic hardening, amplitude dependence of,
permissible size of, 664-667 371-372
prevention of, 662 Cyclic plasticity, 214
propagation of, 555-556, 788-789 flow rule, 217, 219
reinitiation of, 652 and material constant identification,
residual strength after, 547, 662 220-222
running, 653-655 nonlinear isotropic hardening rule, 215-
velocity of, 550, 655-656 216, 218-219
Crazing nonlinear kinematic hardening rule, 216,
growth of, 496-497 219
mechanism of, 491-496 one-dimensional model of, 214-217
vs. micro shear bands, 495-496 three-dimensional model of, 217-220
micromechanics of, 495 Cyclic strain, damage caused by, 453-454
microstructure of, 494 Cyclic viscoplasticity, 358-359
rupture, 498 model of, 359-363, 365-367
Creep nonproportional, 369-376
and hydrogen attack, 858
influence on fracture growth, 55
multidamage state variable theories of, D
839-847 Dahl model of friction, 740-741
single damage state variable theories of, extensions of, 742
836-839 Damage
and static friction, 716 anisotropic, 421-428, 805
Creep crack growth brittle, 417-420
in creep-brittle materials, 597-599,605-606 creep, 446-452
in creep-ductile materials, 597-599 coupled with elasticity, 802-808
prediction of, 606-609 coupled with elasto-viscoplasticity, 817-820
Creep damage, 412 coupled with inelastic behavior, 814-820
analysis of, 523 coupled with plasticity in laminates,
anisotropic, 446-452 1010-1011
in creep-ductile materials, 600-605 coupled with thermo-elasto-viscoplasticity,
Creep failure, 540 821-832
1184 Index
Damage (continued) Deformation

coupled with viscoplasticity, 797-801, analysis of, 91-92
1010-1011 defined, 76
defined, 411 inelastic, 326-335, 404, 999-1000
in ductile materials, 802-813 inhomogeneous, 404-406
evolution of, 513-524, 808, 1000-1001 and plasticity, 247-253
and fracture mechanics, 542-548 of polymers, 255-257, 261-262, 398-406
modeling of, 513-514 and shape memory, 921-927
multiaxial fatigue, 453-456 types of, 95
and nonlinear compliance, 625 and viscoplasticity, 273
plasticity and, 552 Deformation gradient tensor, 76
threshold of, 517-518 Deformation theory of plasticity, 191
types of, 412 equations for, 975-977
Damage cards, 684 Delamination, 582-583
Damage evolution, 513-524 model of, 583-586
laws of, 808 parameters for, 584-585
in laminates, 1008-1010 Differential laws, related to polymers, 259-269
modeling of, 1000-1001 Diffusion
Damage mechanics modeling, 633-634 coupled with viscoplasticity, 849-855
and crack growth rate, 638-644 size effects caused by, 61
equations of, 634-637 Diffusion-viscoplastic model of oxidizing ma-
table of parameters for, 644 terials
Damage mesomodel of laminates equations for, 850-851
applicability of, 1004-1005 material parameters for, 852, 853-855
concepts of, 1005-1006 use of, 852
extensions of, 1013 Dilatancy, 1098
material parameters for, 1011-1013 angle of, 1099
single-layer, 1006-1011 and compressibility, 1084-1086
use of, 1013 of frictional granular materials, 1111-1112
Damage surface, 807 Dilatation, and hydrostatic pressure, 104-105
Damage tolerance analysis, 662 Dissipative potential, 8-9
Damage-equivalent stress fracture criterion, Distortional model, of plastic hardening,
413-414 167-170
model of, 414-4 16 uses of, 171-174
Damage-sensitive, defined, 417 Disturbed state constitutive models
Damage-tolerant, defined, 417 applicability of, 875-876
Darcy's law, 1124-1125 equations for, 876-877, 878-879
Databases implementation of, 878-879
formats for, 19 material parameters for, 877-878
for materials selection, 16-18 DNLR (distribution of nonlinear relaxations),
types of, 18 945
de Saint Venant-Bach criterion, 181 equations of, 112-113
Debye frequency, 271 kinetics of, 110-112
Deep drawing steel, material parameters for, and mechanical solicitations, 113
812 parameters for, 113-116
Deformable solids thermodynamics of, 108-110
contact point of, 725 Drucker-Prager criterion, 136, 184
Coulomb friction model of, 726-727 Ductile damage, 412
friction of, 726 analysis of, 523
under normal load, 727-730 microvoids and, 430-431
Index 1185
Ductile fracture, 540 friction model based on bifurcation char-

anisotropic elastoplastic damage, 802-813 acteristics, 720-724
equations of, 589-590 stationary sliding on hard solids, 712-714
fracture mechanics of, 554-555 strain-energy function and, 94
inclusions and, 590 Elastoplasticity
DRIIM model of, 587-588, 593-595 anisotropic model of, 204-212
modeling of, 439 coupled with damage, 797-801,802-813
parameters for, 590-593 coupled with phase changes, 905-913
Ductile rupture integrating inhomogeneities in of crystals, 199-201
materials (DRIIM), 587-588 of granular materials, 1096-1102
use of, 593-595 of partially saturated soils, 1134-1144
Ductility of polycrystals, 201-202
size effect on, 47-48 rate-dependent constitutive model of, 377-386
of third bodies, 692 Elasto-viscoplastic damage analysis
Dynamic fracture mechanics equations for, 816-617
applicability of, 645-647 results for, 817-818
crack front waves in, 658-659 variables in, 818-819
of mode I fracture, 651-656 Elasto-viscoplasticity, 301,302
of mode II fracture, 656-657 Bodner-Partom equations for, 349-367
stress analysis, 647-650 coupled with damage, 817-820
Dynamic plasticity, 198 model of, 399-406
constitutive modeling of, 268-270 of polymers, 398-406
instantaneous rate sensitivity in, 266 Electron back scattering diffraction (EBSD),
microstructures and, 270-272 142
range of strain rates in, 265-266 Energy balance, 5-6
strain hardening in, 266-267 Entropy production, and wear, 770-771
Epoxy/glass, delamination parameters of, 586
Epoxy/plexiglas, delamination parameters of,
E 586
Elastic contact, 744-745 Equivalent interstitial fluid pressure, 1130-
Elastic strain, 6 1132
Elasticity Eshelby tensor, 963
anisotropic, 805 Eshelby's elastic accommodation factor, 851
of bone, 1048-1055 Eshelby-Kr6ner localization law, 526
boundary conditions in, 81-82 ESIS steel
of constrained materials, 80-81 chemical composition of, 443
coupled with damage, 802-808 material parameters for, 444
coupled with magnetism, 929-941 strain parameters for, 443
of elastomers, 91-94 Euler's tensor, 4
equations of, 77-78 Eulerian principal axes, 76
nonlinear, 75-82 Eutectic solder (Sn/Pb), material parameters
in orthotropy, 72, 78-80 of, 355
of porous materials, 84-90 Extreme pressure lubrication, 761,762
Elastin, 1059
characteristics of, 1060
mechanical properties of, 1060 F
Elastohydrodynamic lubrication, 762, 764 Fabric, 1109
Elastomers, 91-92, 711 Failure
elastic parameters of, 93, 94 at crack initiation, 43
elasticity of, 93 at long cracks or notches, 44-46
1186 Index
Fatigue crack growth, 611-612 Fluid pressure, equivalent interstitial,

analysis of, 667-671 1130-1132
assessment of, 628 Fluid third bodies, 680
damage mechanics modeling of, 633-644 thermal aspect of, 693
equations of, 612-620 Formalism, defined, 266
grain size and, 613-617 Forming limit diagrams (FLDs), 293-294, 295
size effect in, 56 Fractality, and size effects, 60-61
yield strength and, 613-616 Fraction model of inelastic deformation,
Fatigue crack growth analysis 326-327
accuracy of, 670 equations for, 327-331
applicability of, 667-668 parameters for, 331-334
limitations of, 670 use of, 335
mathematics of, 667-669 Fracture
variables affecting, 671 brittle, 540, 558, 559-563, 566-581
Fatigue damage, 412 ductile, 439, 540, 554-555, 587-595,
assessment of, 626-631 802-813
calculation of, 534-535 hydrogen transport and, 865-872
equations for, 623-624 influences on growth of, 55-56
under loading, 528-529 mathematics of, 664-665
mode I, 651-656
at mesoscale, 533
mode II, 656-657
at microscale, 533-534
modeling of, 1174-1176
Weibull model of, 558-565
under multilevel loading, 532-533
Fracture mechanics, 34-35
nonlinear compliance effects and, 622-632
applications of, 661-671
under proportional cyclic loading, 530-531
aspects of, 540-541
under two-level loading, 532
and damage, 542-548
types of, 412
defined, 539
Fatigue failure, 540-541
dynamic, 645-658
fracture mechanics of, 555-556 energy issues in, 553-554
FE (finite element)-based simulations, 138 fatigue crack growth analysis, 667-671
implementation of kinematic hardening geometric approach to, 544-547
rules in, 238 linear elastic, 31, 37, 41-42, 48-49
under outlying conditions, 148, 150 precision of, 667
Ferodo, 685 and residual strength, 665-667
Ferrite-austenite steel size effect analysis of, 49-50
ductile rupture of, 593 stress and, 550-552
material parameters of, 595 thermodynamic approach to, 543-544
Ferrite core, material parameters of, 937, 939, Fracture resistance, 665
941 dynamics of, 665, 666
Ferritic SG cast iron, material parameters for, Fracture toughness, 573
470 models for metals, 573-574, 575
Ferritic steel, high-temperature creep behavior models for nonmetals, 574, 575
of, 845-847 Friction, 675, 677
Fiber composites, kink bands in, 52 and adhesion, 742-745, 749-754
Fictitious crack model, 56 analysis of, 678-679
Films augmented Lagrangian method for, 785-786
high-pressure, 764 classification of, 703
low-pressure, 762 coefficient of, 702
First bodies, 689 complementarity issues, 783
Index 1187
compliance law for, 781-782 anisotropy of, 1107

conjugate gradient method for, 785 back stress in, 1109
contact mechanics and, 683-684, 742 case study of, 1114-1116
Coulomb, 705-709, 780 characteristics of, 1108-1109
described, 693-697, 702 dilatancy of, 1111-1112
Gauss-Seidel method with Aitken procedure elasticity of, 1112
for, 785 fabric of, 1109
historical analyses of, 681-682, 703, 760 inelastic deformation rate of, 1110-1111,
industrial criteria involving, 684 1114
iterative analysis of, 786 material functions of, 1114
kinetic, 730-734 rate constitutive relations for, 1112-1113
Lagrange multipliers in, 784 yield criterion for, 1110
laws of, 706, 779-782 Frictional vibration, 714-716
Lemke method for, 785 in nonstationary sliding, 718-724
load and, 708-709 Fully coupled anisotropic elastoplastic damage
local Coulomb model of, 725-729 model
lubrication and, 703, 760-766 applicability of, 802-803
mathematical models of, 738-741 calibration of, 808-810
mechanical analysis of, 695 damage parameters for, 809-810
modeling issues, 704-705 elastic parameters for, 808-809
in nanoscale, 705, 756 equations for, 805-808
Newton-Raphson method for, 786 plastic parameters for, 809
nonstationary characteristics of, 716-724 use of, 810-811
numerical formulations of, 782-786
overrelaxation method for, 785
partial slip and, 730-732
physical modeling of, 741-744 G
physical theory of, 744-748 G'Sell-Jonas law, 263
and plasticity, 738, 746-748 Galilei-Leibniz criterion, 181
properties of, 702-703 Gauss-Seidel method with Aitken procedure
and rolling, 734-738 for analyzing friction, 785
scale of analysis for, 677-678 Generalized limit criterion, 175-176
sliding and, 709-711 equations for, 179-186
smooth nonlinear formulation of, 784 model of, 177
static, 752-756 parameters for, 177-179
stationary, 714-716 Geomaterials
surface roughness and, 717 behavior of, 1076
transmission of tangential forces by, 729- compressible and dilatant, 1084-1092
731 defined, 1075
and unilateral contact, 777-786 equations for, 1077-1079
variable, 781 frictional granular, 1107-1116
velocity-dependent, 719-720, 721-722 granular, 1093-1105
vibration and, 724-725 nonlinear constitutive relations of, 1079-
viscoelasticity and, 711-716 1083
viscosity and, 680 partially saturated soils, 1134-1144
Friction force, 760 poroelasticity of, 1118-1132
Friction torque, 762, 763 sands, 1155-1170
nondimensional, 766 soft rocks, 1146-1153
Friction-velocity curve, 714-716 soils, 1146-1153
Frictional granular materials Gerber diagrams, 457
1188 Index
Gibbs equation, applied to DNLR, 108-110 H

Gigacycle fatigue, 412 Hadamard condition, 772
of alloys without inclusion, 481-486 Haigh-Westergaard coordinates, 176, 177
crack initiation in, 479 Hardening, 198
of flawed alloys, 476-477, 486-487 under cyclic loading, 371-372
initiation mechanisms of, 486 described, 166-167
initiation zones of, 479, 486 distortional, 167
prediction of, 480-481 equations for describing, 167-169
SN curve shape, 472-474 model of, 170-174
ultrasonic testing of, 474-476 rate-independent, 364
Glass types of, 198
brittle fracture of, 572 Hardening coefficients, determination of,
tension/compression ratios in, 184 334
Glassy polymers Hashin-Shtrikman equations, 989
cavitation in, 493-494 Hastelloy-X, material parameters of, 355
crazing in, 491-495,496-499 Hayhurst criterion, 184
macromolecules in, 489 Helmholtz free energy, 804
micro shear bands in, 495-496 Helmholtz specific free energy, 7
microstructure of, 488-491 Helmholtz state potential energy, 413
structures in, 489-490 Hereditary integral, 102-103
Goodman-Haigh diagrams, 457 Hershey "power yield condition," 160-162
Gradient plasticity Hertz theory of contact, 728-730, 739
approaches to, 282-283 High-cycle fatigue, 412
flaw distribution and, 464-466
asymmetric stress models of, 284, 286-287,
localization of, 527
288
material parameters in, 469-470
elementary models of, 283-287
prediction of, 457-463
and forming limit diagrams, 293-295
probabilistic model of, 466-471
and size effects, 288-293
High-strength steel, material parameters for,
symmetric stress models of, 283-284,
812
285-286, 287
Hill's yield condition, 157, 158
Granite
Homalite 100
elasticity of, 89
crack propagation in, 656
material parameters for, 581 stress analysis of, 648, 649
Granular materials Homogenization
described, 1093-1095 bounds of, 965
elastoplasticity of, 1096-1102 cell methods of, 965-967
forces in, 1095-1096 for linear elastic materials, 962
frictional, 1107-1116 mean-field approaches to, 963
postfailure behavior of, 1103 self-consistent methods of, 964
shear-banding of, 1102-1105 Hooke's law of elasticity, 71
Graphite, 684 Huber-Mises-Hencky yield condition, 157-
tension/compression ratios in, 1.84 158, 179-180, 181
Green-Lagrange tensor, 4 HY100 steel, material parameters of, 355
Greenwood-Williamson model, 744 Hydrocarbon reservoir sandstone, material
Guggenheim's theory, 111 parameters of, 1143-1144
Gurson model, modified, 430 Hydrodynamic lubrication, 762, 763
described, 431-434 example of, 764
parameters for, 434 Hydrogen attack
use of, 434-435 conditions for, 856-858
Index 1189
damage mechanics model of, 860-861, Interface temperature, 684

862-863 Internal length, determination of, 505-506,
equations for, 859-861 548
model parameters for, 861-862 Internal variable magnetoelastic model, 932
thermodynamic model of, 859-860 assumptions of, 933
Hydrogen transport state coupling validity, 932-933
and cracking, 865 Iron
and embrittlement, 869 hydrogen transport parameters for, 868
equations for, 865-866, 869-870 stress-strain curves for, 272
in hydride-forming systems, 868-872 Irreversible processes, thermodynamics of, 5-6
model parameters for, 866-868, 870-872 Isotropic damage
in nonhydride-forming systems, 865-868 equations for, 514-516
Hydrostatic lubrication, 762, 763 kinetic law of evolution, 516
example of, 763 in tension and compression, 518-519
Hydrostatic pressure Isotropic hardening
and dilatation, 104-105 nonlinear, 198, 215-216, 218-219
effect on polymers, 135 variable, 372-373
Hyperelastic material, defined, 77 Isotropy
Hyperelasticity, 248 generalized limit criterion in, 175-186
Hysteresis, and friction, 740-741 yield limits in, 129-136
I
Identification, 9-10
J
JKRS model of friction, 750-752
quantitative, 11-12
Junction growth, 748
IMI 834, material parameters of, 631
IN 100 superalloy
creep crack growth in, 597, 598, 599, 605
material parameters for, 366 K
IN738LC, material parameters for, 239 Kalker creep, 739
Inclusions, and crack initiation, 476-477, 486 Kaolin
INCO 718 superalloy elastoplasticity of, 1140-1141
material constants for, 456 partially saturated, material parameters for,
material parameters for, 355, 366 1141
Incompressibility, 80 Kelvin-Voigt model of viscoelasticity, 73, 96,
Inelastic behavior, coupled with damage, 98
814-820 creep deformation of, 98-100
Inelastic compressibility, VBO model for, 337, dynamic deformation and, 102
340-343 relaxation behaviors of, 100-101
Inelastic deformation, 327 Kinematic hardening
evolution of, 999-1000 in biaxial ratcheting, 240-246
model equations for, 327-331 material parameters under, 238-239
model parameters for, 331-334 multilinear, 232-239
Inelastic incompressibility, VBO model for, nonlinear, 198, 216, 219, 358-367, 370
341,343 and thermo-elasto-viscoplasticity, 827-828
Inelastic strain rate, 370 Kinetic coupling, 796
Inextensibility, 80 Kinetic friction
Initial crack, 539 irreversibility of, 732-734
residual strength after, 547 transition to, 730-732
Injection molding, 1045 Kinetic friction force, 760
1190 Index
Kinetic law of damage evolution in isotropy, 1121-1122

in anisotropy, 516-517 material parameters of, 1124-1125
applications of, 523-524 plane strain in, 1123-1124
in isotropy, 516 Linear viscoelasticity with damage, 117
parameters of, 519-522 equations for, 118-119
Kink bands, size effects in, 52 functions and parameters for, 121-123
Koval'chuk criterion, 184 model of, 119-121
Linearity, 9
Liquefaction of sand, 1155-1156
L under loading, 1160, 1161
Lagrangian principal axes, 76 LMT-Cachan model, 940-941
Laminates Loading
damage coupled with plasticity, 1010-1011 effect on friction, 708-709
damage evolution in, 1008-1010 plastic deformation under, 747-748
damage kinematics in, 1006-1008 Loading function, 197
described, 1005-1006 Localization, 198
material parameters for, 1011-1013 conditions for, 276-280
single-layer model of, 1006-1011 equations for, 275
Large deformations Low-carbon steel, material parameters of, 937,
hardening model for, 250-253 939, 941
hyperelasticity in, 248 Low-cycle fatigue, 412
kinematics of, 247-248 Lubrication
plasticity equations for, 248-250 boundary, 761-762
Lattice model of brittle disordered materials elastohydrodynamic, 762
background of, 1172 extreme pressure, 761,762
elasticity parameters in, 1172-1174 hydrodynamic, 762, 763, 764
fracture analysis in, 1174-1175 hydrostatic, 762, 763
fracture parameters for, 1175, 1176 mixed, 764
history of, 1171
procedure of, 1175-1176
Lemke method for analyzing friction, 785 M
Levy-Mises equation, 241 M330-50HA, material parameters of, 937, 941
Limit analysis Macromolecules, in glassy polymers, 489
applicability of, 1025-1027 Macroscale, defined, 411
examples of, 1034, 1035 Magnetism
kinematic approach to, 1029-1031 coupled with elasticity, 929-941
linear programming procedure for, internal variable model of, 932-933
1031-1032 Preisach model of, 929-931
static approach to, 1027-1029 Magnetoelastic hysteretic behavior, 937-939
uses o f, 1035 LMT-Cachan model of, 940-941
Linear elastic fracture mechanics (LEFM), 31, Magnetoelastic scalar reversible behavior
37, 41-42, 544, 549-550 models of anhysteretic magnetization,
and brittle fracture, 567 934-935
equivalent, 48-49 models of anhysteretic magnetostriction
small-scale yielding assumption in, 552 strain, 935
stress in, 550-552 parameters for, 937
uses of, 556 scalar model of, 936
Linear poroelasticity, 1118 Mariotte criterion, 181
equations of, 1118-1120 Mass conservation equation, 76-77
field equations for, 1122-1123 Material constants, identification of, 220-223
Index 1191
Material heterogeneity, and size effects, 61 history of, 959

Materials selection, 15-16 homogenization in, 962-967
databases for, 16-18 nonlocal models of, 984-995
design procedure for, 22-24 Microscale, defined, 411
modeling in, 24-25 Microvoids, 411, 412
multiple optimization, 23-24 coalescence of, 430-431
performance indices and, 19-22 modified Gurson model of, 430-435
procedure for, 22-23 prediction of, 434
software for, 27-28 Miner's rule, 532
Matric suction, 1134 Mises criterion of yield, 132-134, 135
Maximum shear stress criterion, 136 Mixed lubrication, 764, 765
Maxwell model of viscoelasticity, 73, 96, 97 Mobilized dilatancy angle, 1099
creep deformation of, 98-100 Mobilized Mohr-Coulomb angle of internal
dynamic deformation and, 101-102 friction, 1098
relaxation behaviors of, 100 Mode I fracture
Mechanical loss, 102 arrest of, 652
Mesocracks, initiation of, 518 initiation of, 651-652
Mesoscale, 5 Mode II fracture, 656-657
defined, 411 Modeling
Metal ceramics, tension/compression ratios in, described, 3-4
184 domain of validity, 13
Metallo-thermomechanical coupling, 884-885 formulation of, 6-9
heat conductive equation for, 891 identification of variables, 9-12
phase transformation kinetics, 891-894 implementation of, 14
plastic strain rate and, 888-889 in materials selection, 24-25
stress-strain constitutive equation for, model choice, 13
888-891 of nonlinear phenomena, 10
thermodynamics of, 885-887 scales of observation in, 5-6
viscoplastic strain rate and, 889-891 variable choice in, 4-6
Metals Modified 9Cr-lMo steel, material parameters
anisotropic elastoplastic model of, 204-212 for, 239
brittle fracture of, 572-573 Modified Gurson model, 430
coupled behaviors in, 884-894 described, 431-434
deformation of, 135 parameters for, 434
elastoplasticity of, 199-202 use of, 434-435
fracture toughness models of, 573-574, 575 Modulus of rupture test, 43
microstructure of 270-272 Mohr criterion, 181
multiaxial fatigue in, 453-456 Molybdenum, material parameters for, 392
multisurface hardening model for, 223-231 Molybdenum bisulfate, 684
plastic hardening of, 166-173 Mori-Tanaka method, 964
scale of observation for, 5 Multiaxial fatigue criteria, 457-459
Mica/aluminum, delamination parameters of, formulation of, 459-461
586 model of, 461-463
Microcracks, 411,418-419 parameters for, 461
propagation of, 453-454 Multiaxial fatigue damage criteria, 453
Micromechanical models models of, 454-456
of brittle damage, 417-420 multiscale-based models of, 457-463
of composites, 984-995 Multifractal scaling law (MFSL), 60-61
Micromechanics Multiple optimization, 23-24
equations of, 960-962 Multiplicative laws, related to polymers, 258
1192 Index
Multisurface hardening model, 198 Nonlinear poroelasticity

applicability of, 223-224 described, 1126
formulation of, 224-230 equivalent interstitial fluid pressure in,
hardening moduli, 228-230 1130-1132
loading surfaces in, 224-228 incremental equations of, 1128-1129
strain in, 1129-1130
N thermodynamics of, 1126-1128
Natural configuration, defined, 77 Nonlocal micromechanical models
Natural reference state, 327 applicability of, 984-985
Necking, 255-256 bounds for, 988-989
of polymers, 405 equations of, 987-988
in sheet-metal forming, 293, 294 formulation of, 985-987
and void coalescence, 431 gradient approximations in, 990-991
Newton-Raphson method for analyzing fric- for statistically uniform media, 990
tion, 786 utility of, 992-993,995
Nickel, material parameters of, 937, 941 variational formulation for, 991-992
Nickel alloys, SN curves for, 478 Nonproportional cyclic viscoplasticity, 369
Nickel base alloy B1900+Hf, material para- analytical expressions of, 373-374
meters of, 355 assumptions regarding, 369
NiCoCrA1Y, material parameters for, 853-855 equations for, 370-373
Nimonic 80 alloy, high-temperature creep numerical simulations of, 375
behavior of, 841-842 Normality rule, 197
Nimonic 90 alloy, material parameters for, 366 Norton's parameters, 11
Niobium Norton's power law, 301
hydrogen transport parameters for, 868, 872 Nylon, friction of, 712
material parameters for, 392
NKS 3 steel
chemical composition of, 443 O
material parameters for, 444 Objective strain-energy functions, defined, 78
NoLIKH model, 214 OFHC copper, material parameters for, 316,
one-dimensional, 215-217 394
three-dimensional, 217-220 Orientation distribution function (ODF),
Nominal stress tensor, 77 139-140
Nonlinear compliance, 622-623 calculation from pole figures, 140-141
damage-induced, 624 determination by single grain orientation,
intrinsic, 624 141-142
material parameters for, 624-626 discretization of, 143
Nonlinear composites, 969-970 sample homogeneity and, 142-143
secant methods for, 970-977 Orthotropy, elasticity in, 72
variational bounds of, 978-982 Output limit, 684
Nonlinear elasticity, 73 Overrelaxation method for analyzing friction,
deformation, 75-76 785
stress and equilibrium, 76-77 Oxidizing multiphase materials, 849-850
Nonlinear kinematic hardening-based model, diffusion-viscoplastic model of, 850-855
360, 362 material parameters of, 853-855
equations for, 361
formulation of, 359-360
material parameters for, 363-365,366 P
use of, 365-367 Partial slip, and transition from static to kinetic
Nonlinear kinetics, 110-111 friction, 730-732
Index 1193
Partially saturated soils deformation theory of, 191,975-977

capillary effects in, 1134 dynamic, 265-272
equations for, 1136-1140 equations describing, 248-249
material parameters for, 1140-1144 and friction, 740
suction of, 1135-1136 gradient, 281-296
Paul criterion, 184 in large deformations, 247-253
Pb40/Sn60 solder, material parameters for, localization in, 274-280
882-883 of polymers, 255-264
Peeling, 753-754 of porous metal, 436-445
transition to sliding, 754-756 theory of, 40
Peierls stress barrier, 272 transformation-induced, 905-913
Performance indices, 19-20 yield limits and, 127-128
classical, 20 Plasticity model for sand behavior
drawbacks of, 21 applicability of, 1155-1156
use of, 21 equations for, 1157-1159
Phase transformations generalized plasticity theory, 1156-1157
coupled with elastoplasticity, 905-913 and liquefaction, 1155-1156
coupled with stress, 896-904 uses of, 1160-1162
engineering processes involving, 893-894 Plate theory, 191-193
kinetics of, 891-894 Poisson effect, 61
shape memory and, 923 Poisson's ratio, 11, 71
solid-solid, 915-920 Polar decompositions of deformation gradient,
Piezoviscous effect, 764 76
Piola-Kirchoff tensor, 5 Pole figures, calculation of ODF from,
Pisarenko-Lebedev criterion, 184 140-141
Planar orthotropy, yield conditions in, Polycarbonate
162-163 behavior of, 259
Plane strain, 72, 551 material parameters of, 402
in linear poroelasticity, 1123-1124 Polycrystals
Plane stress, 71,551 averaging of, 321-325
Plastic flow rule, 1099 crystal plasticity model of, 145-149
Plastic hardening deformation of, 135
described, 166-167 elastoplasticity of, 199-202
distortional, 167 homogenization of, 964
equations for describing, 167-169 microstructure of 270-272, 984-995
model of, 170-174 plastic potentials of, 144-145
Plastic limit analysis, 188 precalculated databases of potentials of,
Plastic multiplier, 198 150-153
Plastic potential, 144-145 rate-dependent model for, 388-390
Plastic slip, 308, 315 static model of, 324
Plastic strain, 6, 269 Taylor model of, 324, 325
Plastic yield surface, anisotropic, 805-807 temperature-dependent model for, 391-396
Plasticity viscoplasticity of, 149-150, 318-325
concepts in, 197-198 yield loci of, 137-153
coupled with damage in laminates, 1010- Polyethylene, friction of, 712
1011 Polyimide/glass, delamination parameters of,
cyclic, 214-221 586
and damage, 552 Polymers, 107-108
of damaged materials, 424 additive laws relating to, 259
defined, 197 in complex loading conditions, 262
1194 Index
Polymers ( c o n t i n u e d ) "~ PVAc

damaged, viscoelasticity of, 117-123 specific heat of, 949
deformation of, 398-399 volume recovery of, 948, 953
differential laws relating to, 259-269
DNLR examination of, 108-115
effect of hydrostatic pressure on, 135 Q
elasto-viscoplastic deformation of, 398-406
Quantitative identification
friction of, 711-712
estimation of parameters, 11-12
G'Sell-Jonas model of, 260
optimization, 12
glass transition of, 945-954
sensibility to parameters, 11
glassy, 488-499,945-954
validation, 12
in high strain conditions, 262
Quasi-brittle damage, 412
multiplicative laws relating to, 258
calculation of, 534-535
one-dimensional deformation of, 261
under loading, 528-529
plasticity of, 255-264
at mesoscale, 533
scale of observation for, 5
at microscale, 533-534
semicrystalline, 257
three-dimensional deformation of, 262
under multilevel loading, 532-533
yield behavior of, 257
under proportional cyclic loading, 530-531
Polymethylmethacrylate
under two-level loading, 532
behavior under compression, 402-404
Quasi-brittle materials, 33
material parameters of, 402
creep in, 55
Polypropylene, friction of, 712
defined, 45
Poroelasticity
size effect in, 40-43
linear, 1118-1125
Quenching, phase transformation aspect of,
nonlinear, 1126-1132
894
Porosity, and crack initiation, 487
Porous materials
characteristics of, 84-85
dynamic procedure for analyzing, 85-86 R
elastic parameters for, 85-88 R-curve, size effect method for measuring,
elasticity of, 85 49-50
example analyses of, 88-90 Radial loading, 134
static procedure for analyzing, 86-87 Ramberg-Osgood formula, 332, 333
Porous metal plasticity, modeling of, Ratcheting, 198
436-445 biaxial, 240-246
Postpeak softening, size effect on, 47 incidence of, 244
Precracked geometries, analysis of, 441, Rate-dependent constitutive model for metals,
442 387-388
Preisach model, 929-930 description of, 388
implementation of, 931 stress component in, 388-389
parameters for, 931 viscous drag component in, 389-391
Pressure, and contact, 743-744 Rate-dependent elastoplastic model, 377
Principal stretches, 76 equations of, 378-379
Process selection, 15-16, 26 examples of use of, 383-386
software for, 27-28 numerical implementation of, 382-383
Proteoglycans, 1059 stress-strain relation in, 379-380
PTFE (polytetrafluoroethylene) yield and memory surface centers, 380-382
characteristics of, 711 Rational phenomenology, defined, 266
coefficient of friction of, 712 Recovery, 198
Index 1195
Reference configuration, defined, 75 Sand

Regularized Coulomb law, 781 critical state bounding surface model for,
Relaxation 1164-1170
near equilibrium, 111-112 cyclic mobility of, 1162
nonlinear kinetics and, 110-111 dry, disturbed state parameters for, 880
Relaxation functions, in viscoelasticity, 73 dynamic behavior of, 1155-1162
Representative volume element (RVE), 5 liquefaction of, 1155-1156, 1160, 1161
Residual strength, 547, 662 material parameters of, 1083, 1162
calculation of, 665-667 saturated, disturbed state parameters for,
Response function, defined, 77 880
Reynolds dilatancy coefficient, 1099 Sandel criterion, 184
Reynolds number, 766 Sandstone
Rheology disturbed state parameters for, 880, 881
of solid third bodies, 692 hydrocarbon reservoir, material parameters
Ritchie-Knott-Rice model, 574 of, 1143-1144
Rock salt Saturated marine clay, disturbed state
compressibility/dilatancy of 1083, 1084, parameters for, 879-880
1090 Saturated sand, disturbed state parameters for,
disturbed state parameters for, 881 880
elasticity of, 88-89 SC16, material parameters for, 316
viscoplastic potential of, 1090-1091 Scaling, 32
Rocks physical laws of, 33
fracture analysis of, 1171-1176 Schmid's law, 35, 205
disturbed state parameters for, 880, 881 Sdobyrev criterion, 181
soft, strain-hardening model for, 1146-1153 Sea ice
Rolling friction, 703 buckling in, 54-55
of free-rolling wheel, 734-734 size effects in, 52-53
and traction, 735-740 Secant methods of analyzing nonlinear com-
Rotor steel posites
chemical composition of, 443 based on first-order moments, 973
material parameters for, 444 based on second-order moments, 974-975,
Roughness, 742 981-982
promoting friction, 743 classical, 973
and wear, 787-788 and deformation theory of plasticity,
Rousselier model, 436-438 975-977
equations for, 438-439 equations for, 972-973
implementation of, 441 linearization, 971-972
parameters for, 439-445 modified, 974-975,981-982
Routh-Hurwitz criteria, 722 for nonlinear local problem, 970-971
Rubber, 91-92 Selection mapping, 21
elastic parameters of, 93, 94 Semicrystalline polymers, deformation of,
elasticity of, 93 257
strain-energy function and, 94 Shakedown analysis, 1029
Running cracks, 653 applicability of, 1025-1027
velocity of, 654-656 described, 1032-1033
examples of, 1034, 1035
s kinematic approach to, 1033
SAE 52100 steel Shale, elasticity of, 89
elasticity of, 626 Shape memory
material parameters of, 631 deformation mechanism of, 921-922
1196 Index
Shape memory (continued) twinning of, 309

equations describing, 925-926 viscoplastic model of, 310-311,314-315
material parameters for, 926-927, 927 Size effects, 31-32
modeling of crystal component, 924 analysis by equivalent LEFM, 48-49
modeling of phase transformation system, boundary layer effect, 61
923 caused by diffusion phenomena, 61
modeling of polycrystal, 925 caused by Poisson effect, 61
relevancy of, 921-922 for cohesive crack model, 56-57
Shaw law of friction, 780 in compression fracture, 50-51
Shear for crack band model, 58
effects on limit condition, 190 described, 32-34
stress and strain of, 131-133, 135 deterministic, 35-36
Shear bands in fatigue crack growth, 45
in glassy polymers, 495-496 fractality and, 60-61
in granular materials, 1102-1105 gradient plasticity approach to, 288-293
Shell theory, 191, 193-194 history of, 34-36
Short-fiber composites to measure material constants and R-curve,
anisotropy of, 1038-1040 49-50
Batchelor approximation of, 1045 mechanism of, 42-43
described, 1037-1038 via nonlocal models, 58
Dinh and Armstrong model of, 1045 power scaling and, 36-37
equations describing, 1039-1042 in sea ice, 52-55
flow around ellipsoidal particles in, 1042 statistical theories of, 35
models of, 1042-1046 in torsion of solid bars, 288-293
Shaqfeh and Frederickson model of, 1045 Weibull theory of, 33, 35, 38-40
statistical analysis of, 1039 Skin
suspension of non-Brownian spheres in, deformation behavior of, 1062
1041 stress-strain curve for, 1061
volume average analysis of, 1038-1039 Sliding
SiC and friction, 703, 709-711
material parameters of, 791 transition from peeling to, 754-756
Weibull parameters for, 563 Sliding crack model, 577-578
SIC-150, Weibull parameters for, 563 for brittle inelastic materials, 579-580
SiC-B, Weibull parameters for, 563 displacement-driven, 578, 579
SiC-HIE Weibull parameters for, 563 force-driven, 578, 579
SiC Nicalon fiber, Weibull parameters for, 563 uses of, 581
SiC/SiC CMC, material parameters of, 1023 Slip, 736
Signorini conditions, 778-779, 783 and adhesive contact, 752-756
Silica 60, inelastic response of, 1114-1116 components of, 737
Si2N4, Weibull parameters for, 563 of crystal, 309, 310, 312-313
Single crystals partial, 730-732
common errors regarding, 314 plastic, 308, 315
creep modeling of, 304-306 region of, 736
equations applicable to, 311-312 stick-slip, 714-716, 718-724
material parameters for, 306-307, 312-313, Smoothness, 742
316 Soapstone, disturbed state parameters for, 880
plasticity of, 314, 315 Soft rocks, strain-hardening model for,
slip in, 308, 309, 310, 312-313 1146-1153
under strain, 309 Soft tissue, 1057-1058
under stress, 309 components of, 1059-1060
Index 1197
defined, 1058 table of compositions, 443

example of, 1065-1066 table of parameters, 444
material parameters of, 1068-1070 tension/compression ratios in, 184
mechanical characteristics of, 1061-1062 Stick-slip, 714-716
model of, 1062-1065, 1069 in nonstationary sliding, 718-724
structure of, 1058 Stored-energy function, defined, 77
types of, 1059 Strain
Softening, 198 angular distribution of, 639
under cyclic loading, 371 antiplane, 551
Software, for materials and process selection, cyclic, 453-454
27-28 elastic, 6
Soils inelastic, 370
partially saturated, elastoplasticity of, 1134- plastic, 6
1144 plane, 72, 551, 1123-1124
strain-hardening model for, 1146-1153 relation to stress, 105
Solder, material parameters for, 882-883 variables for, 4, 6
SOLDUR 355 steel, material parameters for, Strain gradients, 198
520, 535 Strain-energy function, 94
Solid third bodies, 680 defined, 77
cohesion and ductility of, 692
Strain-hardening model for soils
contact with, 686-689
applicability of, 1147
dynamic view of flows, 688-689
for cemented materials, 1152-1153
rheology of, 692
history of, 1146-1147
thermal issues with, 693-694
parameters for uncemented materials,
Solid-solid phase transformation models,
1148-1152
915
for uncemented materials, 1147-1148
equations for, 916-919
Strength theory, 40
ideal plastic phases, 917
Stress
implementation of, 919-920
angular distribution of, 638
isotropically hardenable phases, 917-918
kinematically hardenable phases, 918-919 constraint, 80
material parameters for, 919 integration into elastoplasticity model, 208
theory behind, 916 plane, 71,551
Soliton, defined, 553 relation to strain, 105
Spring steel, SN curves for, 478 tribological, 690
SRR99, material parameters for, 307 variables for, 4-5
Stainless steel, material parameters for, 535 Stress analysis, 647-650
State potential, 7-8, 795 interferometric, 649
Static friction, 703, 760 photoelastic, 647
Static recovery, determination of, 365 Stress deviator, 197
Steel Stress difference, 1109
fatigue crack growth in types of, 612-619 Stress tensors
FLDs for, 295 Cauchy, 5, 77
hydrogen attack of, 856-863 nominal, 77
hydrogen transport parameters for, 868 Stress-intensity factor, and crack velocity,
material parameters for, 245-246 655-656
SN curves for, 477 Stress-phase transformation couplings, 896
solid-solid phase transformations of, importance of, 903
915-920 kinetics models of, 897-899
stress-strain curves for, 272 material parameters for, 901-903
1198 Index
Stress-phase transformation couplings Temperature-dependent constitutive model for

(continued) metals, 387-388
nucleation and, 899 description of, 388
thermomechanical model of, 899-901 stress component in, 388-389
theory behind, 897 thermal component in, 391-395
Stress-strain interpolation model of elastoplas- three-dimensional, 396
ticity, 206-208, 209 viscous drag component in, 389-391
Stretch tensors, 76 Tension, damage evolution in, 518-519
Stribeck law of friction, 780 Terfenol D, material parameters of, 937, 939,
Stribeck's curve, 760, 761 941
Styrene-butadiene rubber, friction of, 713 Texture
Suction, 1134 anisotropic elastoplastic model based on,
soil stiffness and, 1135 204-212
Summation of Eustein, 7 determination of, 209-210
Superficial tribological transformations (STTs), updating of, 208-209
690 Thermal activation strain rate analysis, 268-
269
Superlaminar flow, 764
Thermoelasticity, 72-73
Surfaces
laws of, 7-8
characteristics of, 742-743
Thermo-elasto-viscoplasticity
contact between, 743-744
conditions for, 824-825
SUS304 stainless steel, creep damage in, 603,
coupled with damage, 821-832
605
equations for, 821-823
Symmetry group, defined, 77
identification of, 830
and kinematic hardening, 827-828
microdamage in, 825-827
postulates of, 823-824
T
thermodynamic issues, 829-830
Ta-2.5 W alloy
0 law, 259
material parameters for, 345
Third bodies
stress-strain curves of, 344
defined, 691
TA6V alloy, material parameters for, 366
flows of, 691-692
TAF650 steel, creep crack growth in, 599 fluid, 680
Tangent self-consistent model, 318 rheology of, 688
averaging in, 321-324 solid, 680, 686-689, 692
equations for, 319-321 Ti 6246
steps in, 319 chemical composition of, 484
Tangential forces gigacycle SN curve for, 482
and adhesive contact, 752-756 mechanical properties of, 484
components of, 737 Ti alloys
partial, 730-732 gigacycle fatigue of, 481--486
region of, 736 grain size and fatigue in, 487
Tantalum, material parameters for, 392 Ti-6A1-4V, material parameters for, 394
Tarasenko criterion, 186 TiA1 intermetal, creep crack growth in, 599,
Taylor number, 765 605, 606
Taylor's friction-dilatancy rule, 1100 TiC, material parameters of, 631
Taylor-Lin model, 202 TIMETAL 21S, stress-strain curves for, 383,
Temperature 384
and flow stress, 391-392 Trabecular bone, 1049
and plasticity, 268-270 Traction, friction model for, 735-740
Index 1199
Transformation field analysis (TFA) Vibration

applicability of, 996 effects on friction, 724-725
concentration factor estimates, 1001-1002 frictional, 714-716
equations for, 997-999 Viscoelasticity, 73, 95
and evolution of inelastic deformation, correspondence principle of, 104-106
999-1000 crack growth and, 120
to model damage evolution, 1000-1001 creep functions in, 73, 74
Transformation plasticity phenomenon, 916 dashpot model of, 95, 96
Transformation-induced plasticity (TRIP), 905 dynamic deformation, 100-102
described, 905-907 equations of, 103-104
deformation in, 909-911 hereditary integral, 102-103
identification of, 911-912 Kelvin-Voigt model of, 73, 96, 98
model of, 907-911, 913 linear, with damage, 117-124
transformation kinetics in, 907-909 Maxwell model of, 73, 96, 97
Tresca criterion, 136 nonlinear model based on fluctuating
Tresca law of friction, 780 modes, 107-116
Tresca yield condition, 158-159 relaxation functions in, 73
Tribology, 679-680 spring model of, 95, 96
components of, 697 static deformation, 98-100
flows in, 691-692 Viscoplastic soliton, 553
nomenclature of, 689-692 Viscoplasticity
views of, 685 coupled with damage, 797-801, 1010-1011
Tribometry, 694 coupled with diffusion, 849-855
Tsvelodub criterion, 184 in crystals, 308-317
Twinning, of single crystals, 309 cyclic, 358-367
Two-parameter fracture model, 50 defined, 301
isotropic model of, 301-302
modeling issues in, 302
U nonproportional cyclic, 368-376
Unilateral contact, 777 overstress and, 336-346
compliance and, 779 of polycrystals, 318-325
strict, 778-779 as response to deformation, 273
Rousselier model of, 438
V Viscosity function, determination of, 364-365
Validity, 12 Void nucleation, Rousselier model of, 439
domain of, 13 von Mises criterion, 10
Value functions, 23, 24
Vanadium, material parameters for, 392
Variational bounds W
minimum energy principles and, 978 Wear, 675, 677
and modified secant method, 981-982 analysis of, 678-679
Ponte Castafieda's theory of, 978-980 chemical environment and, 684
quadratic stress and, 980-981 coefficients of, 684
VBO model contact mechanics and, 683-684
applicability of, 336-337 criteria for, 775
constants for, 343-346 described, 693-697
for inelastic compressibility, 337, 340-343 dissipated energy models of, 684
for inelastic incompressibility, 341,343 entropy production and, 770-771
nomenclature of, 338-339 equations for, 769-775
Vest-Amoedo-Lee law, 259 historical analyses of, 682
1200 Index
Wear (continued) Y
industrial criteria involving, 684 Yield limits, 127-128
interfaces and, 771-775 in anisotropy, 155-164
mechanical analysis of, 695 in beams, plates, and shells, 187-194
and nonviscous interface, 773 distortional model of, 167-174
physical models of, 787-791 generalized criterion for, 175-186
scale of analysis for, 677-678 in isotropy, 129-136
thermodynamic analysis of, 768-775 in planar orthotropy, 162-163
and viscous interface, 773 Yield loci, 137-138
Wear cards, 684 calculation of, 139-143
Weibull model rounding of, 148-150
of brittle failure, 559-563 Yield stress, defined, 197
parameters for, 563-564 Yield surface, 224
uses of, 564 Young's modulus, 11, 71
Weibull statistical theory of size effect, 33, 35,
38-40
nonlocal statistical generalization of, 59-60
Weight coefficients method, 23 Z
Welding, phase transformation aspect of, 894 Z3CNG17-12 SPH, material parameters for,
Wilshaw-Rau-Tetelman model, 573-574 366
WLF empiric law, 111 Ziegler type assumption, 241
W6hler curve, 457, 469 Ziegler's rule, 380
Wood, scale of observation for, 5 Zircaloy, hydrided
Workhardening, 129-130 ductile rupture of, 591,592
yield stress and, 135, 188 material parameters of, 595
Workhardening/softening function, 830 Zirconium, hydrogen transport parameters for,
Wrought iron, tension/compression ratios in, 872
184 Zirconium-Nb alloy, material parameters of,
355
Zr702, material parameters for, 316
Zr02
X material parameters of, 791
X2080-SiC-15p-T4, material parameters of, Weibull parameters for, 563
631 Zy4, material parameters for, 316
?
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Handbook of

Materials Behavior Models

Copyright 9 2001 by Academic Press

All rights reserved.

No part of this publication may be reproduced or transmitted in any form or by means,

Library of Congress Catalog Number: 2001089698

Set International Standard Book Number: 0-12-443341-3

Printed in the United States of America

Foreword (E. van der Giessen)

VOLUME I DEFORMATIONS OF MATERIALS

VOLUME II FAILURES OF MATERIALS

VOLUME III MULTIPHYSICS BEHAVIORS

1.1 Background on modeling

2.1 Introduction to elasticity and viscoelasticity 71

3.1 Introduction to yield limits 127

3.2 Background on isotropic criteria 129

3.7 Yield conditions in beams, plates, and shells 187

4.7 Kinematic hardening rule for biaxial ratcheting 240

5.7 An outline of the Bodner-Partom (BP) unified

6.1 Introduction to continuous damage 411

6.8 Multiaxial fatigue damage criteria 453

7.6 Sliding crack model 577

8.1 Introduction to friction and wear 675

8.4 Friction in lubricated contacts 760

9.8 Hydrogen attack 856

9.13 Elastoplasticity coupled with phase changes 905

10.1 Introduction to composite media 957

10.3 Nonlinear composites" Secant methods and

11.1 Introduction to geomaterials 1075

11.4 Behavior of granular materials 1093

Erik van der Giessen

Why a Handbook of models? Handbooks are often compilations of

How is the Handbook organized? All solid materials are considered,

geomaterials, respectively, because they each corresponds to a particular

How to use the Handbook?

Numbers in parentheses indicate the section of authors' contributions.

ELIAS C. AIFANTIS (4.12), Aristotle University of Thessaloniki, Thessaloniki,

E ARCHAMBAULT (9.12), Laboratoire de Science et GSnie des Mat~riaux et

ALBRECHT BERTRAM (5.2), Otto-von-Guericke-University Magdeburg, Uni-

YVES BERTHIER (8.2), Laboratoire de M~canique des Contacts, UMR CNRS-

C.L. CHOW (6.4), Department of Mechanical Engineering, University of

E D. FISCHER (9.13), Montanuniversit. at Leoben, Franz-Josef-Strasse 18,

E. GAUTIER (9.12), Laboratoire de Science et G~nie des Mat~riaux et de

K. HO (5.6), Yeungnam University, Korea

GERHARD A. HOLZAPFEL (10.11), Institute for Structural Analysis,

KOZO IKEGAMI (2.5), Tokyo Denki University, Kanda-Nishikicho 2-2,

HENRIK MYHRE JENSEN (7.7), Department of Solid Mechanics, 404,

FREDERIC MESLIN (10.9), LMT-Cachan, ENS de Cachan, Universit6 Paris 6,

GILLES PIJAUDIER-CABOT (6.13), Laboratoire de G~nie Civil de Nantes Saint-

PIERRE M. SUQUET (10.3), LMA/CNRS, 31 Chemin Joseph Aiguier, 13402,

TAKEO YOKOBORI (7.10), School of Science and Engineering, Teikyo

M o d e l i n g , as has a l r e a d y b e e n said for m e c h a n i c s , m a y be c o n s i d e r e d "a

Handbook of Materials BehaviorModels. ISBN 0-12-443341-3.

It is a technique because it uses tools such as mathematics, thermo-

1.1.2 OBSERVATIONS AND CHOICE

1. Strain, a second-order tensor related to the displacement ff of two points:

9 Euler's tensor ~ for small perturbations.

In practice, the hypothesis of "small" strain may be applied if it is below

With _F~ the transpose of F.

2. Stress, a second-order tensor dual of the strain tensor; its contracted

9 Cauchy stress tensor _a for small perturbations, checking the equilibrium

9 Piola-Kirchoff tensor _S (among others) for large perturbations.

1.1.2.1 SCALE OF OBSERVATION