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HOMEWORK
From Dieter Tensile Test
1-1, 1-2, 1-3, 1-5, 1-7, 1-8, 3-1 The most common way to assess the mechanical behavior of a material
(strength and ductility)

Load Cell

Module #1
F
Extensometer
• Used mostly for
States of Stress and Strain metals and
polymers.
Specimen
• Not used for
Area, A o
READING LIST ceramics except at
DIETER: Ch. 1, pp. 7-17; Ch. 2, pp. 18-20 and 31-36; Ch. 3 pp. 70-76; very high
Ch. 8 pp. 275-289 • Collect force (or load) vs. temperatures.
displacement (or time).
• We use the resulting F
Ch. 2 in Meyers & Chawla, 1st ed. information to assess Moving
Ch. 2 in Roesler et al. “strength” and Crosshead
Ch. 2 in Courtney “deformability”
Ch. 5 in Nye
Ch. 2 in McClintock and Argon

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Force - Extension Curve

Tensile Test Specimen
A2

Reduced section Proportional limit

2 ¼” Elastic limit

A standard
0.505” diameter ¾” diameter
tensile A1

Force
specimen 2”
Gauge length
d1 L d2

L1 = L2
V1 ≠ V2
Standard Geometries K
xelastic(2)
“Buttonhead” – circular cross-section
Extension
“Dogbone” – flat cross-section xelastic(1)

When x ≤ xelastic, F = K x
When x > xelastic, F ≠ K x
ASTM E8 or D638
As deforming volume changes, the force to deform the
specimen changes. WHY?

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FORCE

ONE ELASTIC ROD

the force required to deform it to failure is F.
(stretch)
F F
The amount of force needed to
Lo L deform a solid depends on the
volume or surface area of the body.
2F 2F

TWO IDENTICAL ELASTIC RODS, CONNECTED TOGETHER

the force required to deform them to failure is 2F

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Engineering Stress TENSILE STRESS

applied load
E  s  F  CONSIDER A SINGLE ELASTIC ROD
Ao originalcross-sectionalarea the stress required to deform it to failure is
 = F/A
Units for stress and conversion factors
F F

• Load per unit area (“force distribution”) Lo L

– PSI: 1 lb/in2 = 6.895 x 10-3 MPa
= 7.032 x 10-4 kg/mm2
= 6.8 x 104 dynes/cm2 2F 2F
– MPa: 1 MPa = 1 MN/m2 = 1 N/mm2 = 1 x 106 N/m2

• An engineering stress, as defined above, represents the IF TWO IDENTICAL RODS ARE JOINED AND DEFORMED
average stress in the object. the stress required to deform them to failure is
 = 2F/2A = F/A
As defined above, this represents a normal tensile stress.

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Engineering Strain
 Lo L change in length
 E  e  Li  
Lo Lo initial length
• Length per unit length
The amount of STRESS needed to
deform a solid does not depend upon – We express strain either as a fraction or as a percentage. Be careful
when doing homework or solving real engineering problems.
the volume or surface area of the – Ex:
body. • e = 0.02 is the same as 2% strain
• e = 0.10 is the same as 10% strain
• e = 1.00 is the same as 100% strain

• Engineering strain, as defined above, represents the average

linear strain in the object.

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Engineering Stress-Strain Curve in Tension

ELASTIC PLASTIC

STRAIN IS UNITLESS!

Stress (Force/Area)
It is a measure of the amount of Engineering

distortion (i.e., “deformation”) caused

by the application of a force.

Strain

A*

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Engineering Stress-Strain Curve in Tension True Stress – True Strain

ELASTIC PLASTIC • Volume is generally conserved during deformation.
Ultimate tensile • Elastic deformation Thus “shape changes with deformation.”
Stress (Force/Area)

Strain strength, u or UTS

Hardening
up to elastic limit.
(σ = Kεn) Necking
► Re-define stress and strain to account for shape change.
• Plastic deformation
Elastic after elastic limit.
limit F
• Uniform plastic Ao Ai < Ao
deformation between
z
Elastic elastic limit and the
Modulus
UTS.
E (σ = εE)
Lo
0.2% Offset yield stress
(o, ys, YS, etc.)
• Nonuniform plastic
deformation after
y
Plastic energy UTS. x unloaded
dissipated
(heat)
Stored
elastic strain • In tension this non- F
energy uniform deformation
loaded
Strain is called necking.
0.2% STRAIN, p=0.002
• True stress, σT = load / instantaneous area =F/Ai
Uniform plastic strain Non-uniform
Elastic strain
plastic strain

B*
• True strain, εT = ???

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L3

L2
• An incremental displacement results in an infinitesimal strain:
Why true strain? F
change in length dL
L1 L1-2 L2-3 d  
instantaneous length L
• Engineering strain is the average linear strain in the solid. • Re-define strain by integrating the infinitesimal displacements
• Doesn’t work if we consider shape change during deformation. from the initial to the final length.
Lf
dL L 
e
Lo
L
L
 i  Lo
Lo
T  true strain   L
 ln  f 
 Lo 
Lo
 
L12  L2  L1   L 
e12  12  ln  2 
L1 L1  L
฀
 e13  13 
L3  L1
 e12  e23  L1    L3   L2   L3   L3 
L
฀ L 3  L2  L1 L1  13  ln  L   12   23  ln  L   ln  L   ln  L 
e23  23
 L   1  1  2  1
L2 L2   23  ln  3  
L
  
2

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True Stress – True Strain True Stress-Strain Curve in Tension

F Ultimate tensile
Ai < Ao strength, u or UTS
Ao True
• True stress-

Stress (Force/Area)
z
strain curve
Lo shifts up and
to the left of
y Engineering
x unloaded engineering
F stress-strain
loaded 0.2% Offset yield stress
curve.
(o, ys, YS, etc.)

True stress, T = load/instantaneous area = F/Ai = E(εE + 1)

Lf
L dL L  Strain
 ln  f   ln  E 1
Li Lo L
True strain,  T  
 Lo 
Use true strain when
structure = Fcn(ε)

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Definitions and relationships between true and engineering stress and strain
Remarks about σ and ε
Fundamental
Parameter Definition Before necking After necking
 F  F  F 1. For small amounts of deformation (i.e., elastic),
Engineering stress,  E E
Ao E
Ao E
Ao engineering and true stresses and strains are the same.

True stress, T  F  F   F
T
Ai T
Ai T
Aneck 2. They deviate at high strains.
  E 1  E 
3. Result: true stress and strain are used in metal working
Engineering strain,  E   L   L   L operations.
E
Lo E
Lo E
Lo

  ln Li 4. Most handbook values (used for design) are engineering

True strain, T T  ln Ao  T  ln Ao
Amin
E
Lo Aneck stress and strain.
Ao
 ln
Ai
 ln 1  E 

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Shear Stress and Strain

This region
experiences
This region
a tensile
δ Ao experiences a
stress
shear stress

F
F Force
Ao Force

θ
h
    tan A
h
F F
Force

In a shear stress, a force is distributed within a planar area F

Shear stresses distort objects

Shear strains are a measure of shear distortion

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In general the stress required depends on the area of Thermal Stresses and Strains
interest and/or the direction of loading
F
F
F • Most engineering materials expand when heated and
contract when cooled.
Fs
A1
Fn
Lo
A2 • The strain caused by a change of one degree (1°) in
A3 temperature is known as the coefficient of thermal
Ao
A expansion (α).
Ao
F
F F • The strain caused by temperature change ΔT is:
A B C
Round rod in tension. Non-uniform structure in tension.
Stress is uniform throughout Stress varies with position.
Area of interest not
perpendicular to load.  t  T
the structure. Stress can be re-defined
Tensile stress at 1:  = F/A1 relative to a preferred
Tensile stress:  = F/Ao Tensile stress at 2:  = F/A2 coordinate system.
Tensile stress at 3:  = F/A3  t  Et
Tensile stress:  = F/Ao
Shear stress:  = Fs/A
Normal stress:  = Fn/A

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Modes of Flexure/Bend Testing

Modes of Deformation Besides Tension Deformation
Besides Load
Tension

COMPRESSION TORSION
F
T
• Commonly used with brittle materials that behave in a linear elastic manner
(Ex, ceramics and glasses).
 • Governed by two equations:
T
ℓ L
ℓo 
M

E
and
M


M I R I y
D
Ao • M = applied bending moment,
F
Tr • I = second moment of inertia of the beam about the neutral plane,
 max  ;
J • E = Young’s modulus,
T torque; • R = radius of curvature,
r  radius of cylinder
 r4 •  = tensile or compressive stress
J  polar moment of inertia  FL3
2 • y = planar distance from the neutral plane. y 
48EI

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Flexure/Bend Testing
Moment Diagrams and Stress Distributions in Modulus of Rupture Tests

3-Point 4-Point
F F/2 F/2 compression

Moment

H H tension
L
W
L1 L1
W 3-Point

F/2 F/2 F/2 F/2

FLH FLH
 max   max 
8I 4I compression
WH 3  D4 WH 3  D4 Moment
Irectangular  ; Iround  Irectangular  ; Iround 
12 64 12 64
tension
4-Point
max is the Modulus of Rupture
Be careful when comparing fracture results from tension, 3-point bending and 4-point
Irectangular and Iround represent the moments of inertia for uniform rectangular or bending tests as the volume of material at maximum stress is higher in 4-point bending.
round cross-sections.

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4-Point vs. 3-Point Bend Tests

• In four-point bend tests, the material over the inner span is
subjected to a constant stress; whereas in three-point bend
tests, stresses are localized on the top surface.
FOR THE TIME BEING, WE WILL
• Thus a larger volume of material is tested in 4-point bend CONCENTRATE ON TENSILE AND
tests than in 3-point bend test. As a result, materials flaws COMPRESSIVE MODES OF LOADING
are more likely to reside in the region of maximum stress in
a 4-point bend test.

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State of Stress
Most easily described by normal and shear stress components.

Fy 

5 minute break y
Ay y′
y
x′
x x Ay Ay / cos
Fx′
F Fy Fy′
 yy  y
Ay

Fy

Define relative to feature of interest.

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Total stress (F) resolved onto an oblique plane

• Normal Stress 
F

Fy Fy cos  yy
 yy     yy cos2   (1 cos 2 ) Fs Fn ฀F sin  F
Ay Ay / cos 2 n    cos2 
  Fn A  Ao / cos   Ao
Ay Ay / cos
• Shear Stress Fx′
A Fs ฀F cos F
Fy Fy′  s    cos sin
A  Ao / cos   Ao
F Fy sin 
 yx  x    yy sin cos  yy sin 2 z Ao
Ay Ay / cos 2
y y F     90
y′ x′ x
x

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States of Stress & Strain

In most service conditions and forming operations, Multiaxial loading is implied
loading is not uniaxial. from changing geometries of
real components.
Most engineering structures and materials experience z´
multiaxial loading. p z Stress states in vary from
x´
y´
point to point throughout the
o y
entire object.
This means that they will be subject to varying x
combinations of
normal AND shear We can easily describe the
stresses. state of stress using
extensions of what we have
learned already.
How do we define stress and strain under these
conditions?

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F4 F5 • Consider an arbitrary solid

States of Stress object that has a series of
external forces applied to it.
• It is easiest to define the distribution of forces (and thus the
O • Assume that the object
distribution of stresses) relative to a planar area within the remains in static equilibrium.
object. F3
• Forces applied on the exterior
F2 of the solid are balanced by
• NORMAL forces or stresses that are  to the plane. internal tractions (i.e., internal
F1
forces) that keep the object in
• SHEAR forces or stresses that are  to the plane. equilibrium (i.e., keep it from
How do we define moving or changing shape).

• The relationships that we will develop will allow us to define the state of stress
• Thus the solid is under a
the state of stress relative to any coordinate system. Pay at point O? state of stress.
attention! Think!

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Resolution of
z or x3 z or x3
F4 F4 force F into
F5 F5 normal and x3
shear force
components
F
O O relative to a
planar area Fn 
y or x2 y or x2
O Fs
F3 
y
F = (F4+F5) x
x or x 1 x or x 1
F2
F1
• Define a planar area that passes through the point (it can be placed anywhere) • Focusing on the plane and a small area (A) surrounding point O, the
and establish an orthogonal (3-D) coordinate system passing through the point resultant force F can be resolved into normal, Fn, and shear, Fs,
where one axis is the normal to the plane and the other two axes lie within the components relative to the plane and our orthogonal coordinate system.
plane.
• Sum forces such that the resultant force F on the point keeps the body from • The components of force can, in turn, be converted into stresses.
moving. [ΔF=0 at equilibrium]
F
• This is easiest to visualize if you section the body at the plane, ignore one half, Stress at Point O  lim
and place a resultant force F on the plane such that it opposes the surface forces
A0 A
acting on body. • Each stress component can be related to our coordinate system.

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z
Conversion
of force F F
Fn  zz
into stress 
components O  
zx RELATIVE TO ANY PLANE,
acting on a zy
plane x y The state of stress at any point can be defined by
one NORMAL STRESS and
two SHEAR STRESSES.
Fn F cos
NORMAL:  ii   zz  
A A
The normal and shear components can be
F cos  F sin cos
Fy conveniently related to an orthogonal coordinate
 zy   32   s  system.
A A A
Fs F sin
SHEAR:  ij  
A A
Fx  Fs sin   F sin sin
 zx   31 
A A A

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Notation for Stresses Definition of stresses relative to a planar

 ij ; ij
area and a 3-D coordinate system
In this course we shall refer to our subscripts* as follows:
z
First Subscript: F
Normal stress:  xx  x
Corresponds to the plane that the stress acts upon. Ax

Second Subscript: xz Fy

Shear stress:  xy 
Corresponds to the direction that the stress component is xy Ax
xx y
pointed in. F
 xz  z
Ax Ax
x

*Many texts reverse the meaning for each subscript.

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Sign Convention for Stresses Stress at a Point

Normal Stresses:
Positive – tension • Normal stress at a point
Ex., zz = +100 MPa
 ii (i  x, y, z) normal to area  A at a point is
Negative – compression  Fy
Ex., zz = -100 MPa  ii  lim
 A0 A

Shear Stresses:
• Shear stress at a point
Positive – acts on (+) face & points in (+) direction
Ex., zy or zy ij   ij (i  j  x, y, z) parallel to area  A at a point is

Negative – acts on (-) face & points in a (+) direction  ij   ij  lim  Fx
 A0  A
Ex., z,-y or z,-y

NOTE: With shear stresses, sometimes a  is used rather than a .

Watch your subscripts.

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The Stress Tensor Definition of stresses about a point relative to a

z z 3-D coordinate system
Total stress z
on plane z
zz zz
zy 6 normal stress
zx zy
Total stress yz zx components
Total stress yz
on plane x on plane y xz
yy xz 12 shear stress
yy
y yx components
xx xy y xy yx
x x xx y 18 total components of
stress
(a) (b) Ax
x
Fig. 1-2. A point-size cube in equilibrium: (a) as extracted showing
contact force vectors on forward faces, and (b) stress components.
[Figure adapted from W.A. Backofen, Deformation Processing (Addison
Points on the back sides of the parallelepiped
Wesley, Reading, MA, 1972) p. 3] are not drawn for clarity

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At equilibrium, F = 0 and M = 0
The Stress Tensor (there can be no net force or torque)
• A body is at equilibrium under arbitrary forces. z
– No net forces (∑F = 0) zz

– No net torques / moments (∑M = 0) zx

zy
yz
xz yy
z z yx
xy
zz Oxx y
zx
zy  xx  xy  xz  x
 ij   yx  y
yz
xz yy
 yy  yz  x
z   zx  zy  zz  M = 0
xy yx
Oxx y
x Summation of moments about each axis
 ij   ji
Start

z-axis:  xy yz x  yx xz y  xy   yx

with

x y 18 Left
with

6 independent stress components y-axis:  xz zy  x   zx xy z   xz   zx Reduce

by -3 =15
The stress tensor is symmetrical
Proof is provided on the next 2 viewgraphs
x-axis: zy yxz  yzxz y   zy   yz

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(on x-faces):
SUMMATION OF
FORCES ON EACH
 xxdydz    x x dydz  0   xx    x x The Stress Tensor*
FACE  xy dydz   x y dydz  0   xy    x y
15
These relationships allow -3 =12  xx  xy  xz   xx  xy  xz   xx  xy  xz 
us to reduce the number of  xz dydz   x z dydz  0   xz    x z  ij   yx  yy  yz  or  xy  yy  yz  or    yy  yz 
stress components that (on y-faces):
must be specified to define
zx  zy  zz   xz  yz  zz      zz 
the state of stress.  yy dxdz    y y dxdz  0   yy    y y
F = 0  yx dxdz   y x dxdz  0   yx    yx 12  xx , yy , zz , xy , yz , xz
-3 = 9
z  yz dxdz   yz dxdz  0   yz    yz
zz
(on z-faces): A TENSOR is
zy
zx
yz  zz dxdy    zz dxdy  0   zz    zz
a group of numbers that represents a physical quantity.
z
xz
yy
 zx dxdy   zxdxdy  0   zx    z x
9
xy yx
i.e., what you get when you relate materials properties to
Oxx y -3 = 6
x  zy dxdy   z y dxdy  0   zy    z y an x,y,z coordinate system.
x y
[18 - 12 = 6 components] * Read pages 31-36 in Dieter on the stress tensor

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Tensor Notation

• The rank* of a tensor determines:

– Number of components = 3n where n = rank.

5 minute break – Number of direction cosines = n

• The direction cosines are required to transform

that physical quantity from one coordinate
system to another.

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Ranking of Tensors Transformation of First Rank Tensors

θzz= (zz)
• Zero rank – scalars. Scalars are non-directional. z z
• A vector F can be easily
– Temperature
resolved into axial
– Density
components. Fz′
Fz
• First rank tensors – vectors. Vectors are directional. • Transformation is F
– Force changing from one set of
Fy
– Area axes to another. y

Fx′ Fy′ θyy= (yy)

y'
• Second rank tensors – product of two vectors.
Fx
– Stress (force & area)
x'
– Strain (displacement & displacement)
θxx = (xx)
x

• Fourth rank tensors – product of two second rank • Relate material behavior to the symmetry of the materials structure.
tensors.
– Elastic modulus (stress & strain) • Relate behavior of machine part or specimen to symmetry or shape of
part or applied loads.

55 56

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Old Axis Vector F resolved onto xyz Fx  axxFx Fy axyFy  axzFz
Fi  ayx Fx Fz  ayyFy  ayzFz
x y z
New Axis
x cos(xx) cos(xy) cos(xz)
azxFx a F zy y  azzFz
Vector F
resolved onto Fi y cos(yx) cos(yy) cos(yz)
x´y´z´
z cos(zx) cos(zy) cos(zz)  Fx axx axy axz  Fx 
 F   a 
a yy a yz   Fy 
 y  yx
or Fz azx azy azzFz 
3

Fi Fi   aijFj  aijFj j1

All components are
x y z related to each other
x axx axy axz through a series of
“direction cosines” Vector F Original vector
Fi y ayx ayy ayz transformed to F resolved onto
xy
,z
, x,y,z
z azx azy azz Direction cosines
relating x,y,z to
xy
,z
,

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Relation to the Deformation of Single Crystals

Transformation of Second Rank Tensors
Fz
• Second rank tensors denote • Possible to apply a single normal z′ z
relationships between two vectors z Plane component of stress (zz).
normal Force 
(Force and Area). on plane 
y′
x′
• As you will learn later, plastic y′
y
• We have to re-orient both vectors. z′ deformation depends on the
As
shear stress on a specific slip
system.
• Thus, we need two rotation x′
matrices to re-orient stress. x Fy Fz cos 
3 3  zy     zz cos  cos
Az Ao cos 
 ij   kl aika jl   kl aika jl Ao
y
k 1 l1 • A slip system is a specific crystal
x Fz
Corresponds
plane + specific crystal direction.
Orientation
to area Corresponds matrix between Two direction
normal to i′    90
to force in j′ re-oriented force cosines to
direction direction and original force transform    is not necessarily 90

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The transformation equations denoted above can be applied

If a second rank tensor is symmetric, it is possible to define a
to any first or second rank tensor.
unique set of axes where the tensor will have no
off-diagonal components.
Similar relationships exist for higher rank (order) tensors.
 xx  xy  xz   x 0 0 
 ij   xy  yy  yz   ij   0  yy 0 
REFERENCES 
xz  yz  zz   0 0  z
► J.F. Nye: Physical Properties of Crystals, (Oxford University Press, Oxford,
1985).
• R.E. Newnham, Properties of Materials, (Oxford University Press, Oxford, 2005). The new coordinate axes (x′, y′, z′) are called the
• A. Kelly, G.W. Groves, & P. Kidd: Crystallography and Crystal Defects, Revised principal axes
Edition, (John Wiley & Sons, New York, 2000).
• D.R. Lovett: Tensor Properties of Crystals, 2nd ed., (IOP Publishing, Philadelphia,
1999).
• S.M. Edelglass: Engineering Materials Science, (The Ronald Press Company, The tensor components (σx′x′, σy′y′, σz′z′) related to them are
New York, 1966). called the principal tensor components.

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HOMEWORK
From Dieter
2-1, 2-2, 2-5 Objectives
• Develop equations for transformation of axes.
Lesson #2
• Apply equations to determine principal normal and
shear stresses.
Transformation of stresses in 2-D

• Perform transformation graphically using Mohr’s

READING LIST circle.
DIETER: Ch. 2, Pages 20-27

Ch. 2 in McClintock and Argon

Ch. 7 in Edelglass

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Why bother? Why bother?

• Engineering structures are subjected to many • These stress components vary in magnitude and
different types of applied loads: direction relative to their location in the structure and
the coordinate system with which they are related to.
– Tension

– Compression
• As engineers we need to make sure that the
– Bending structures we design don’t fail as a result of the
– Torsion
applied stresses.

– Pressure
• Thus, we need to identify locations where stresses
– Combinations of the above are the most severe. Then we can do more detailed
• Complex states of normal and shear stress occur. analysis if needed.

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Principal Stresses and Axes The Stress Tensor

• Principal stresses: z
zz

zx
zy  xx  xy  xz 
– The most severe stresses (i.e., the maximum and yz
 ij   yx 
xz  yy  yz 
minimum stresses) in a stress state. yy
z
  zx  zy  zz 
xy yx
Oxx y
x
x y
• Principal axes:
If we limit ourselves to two dimensions, we achieve a condition called plane stress.
– Directions in which principal stresses act. 2 chiều-ứng suất phẳng

This is where all stresses in one dimension become zero. [see the next page]
Ứng suất theo 1 chiều bằng =0

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PLANE STRESS- Mặt phẳng ứng suất

All stresses are zero in one primary direction  xx  xy 0  x  xy 0

  yy   y
xy 0 xy 0
 xx  xy 0  xx 0  xz  0 0 0    
  yy 0  0 0 0
0
  yy  yz   0 0 0  0 0 0
 xy  
 0 0 0 zx 0  zz  0  zy  zz 

 zz  zz
 zy
 zx y  y y
z z  yy  yx
z  yz  xy  x
 xz  yy  yx
y  yy y y
x  yx x x  xy
 xy  xx  xx
 xx

 xy   yx  xz   zx  yz   zy

x x
(a) (b) (c)
A*

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Transformation is accomplished via a  y y

 yx
force balance y′  xy  x

 xy  x

Sự chuyển dịch hệ tọa độ phải đảm bảo điều x′  xx

Acosθ
 xy
kiện cân bằng lực 
 Asinθ
x
 yx  xy   yx

 yy
Let’s first balance forces parallel to x′
followed by y′  F  0   A   Asin cos   Acos sin
x x yx xy

Hãy tính cân bằng lực trên phương x’ trước sau  xx  Acos cos   yy  Asin sin

đó là phương y’
 F 0   A   Acos cos   Asin sin
y xy xy yx

 xx  Acos sin   yy  Asin cos

A*

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Solving for σx′x′ and τx′y′ yields:

We can simplify the Transformation of Stress equations
   cos2    sin2   2 sin cos
yy xy by invoking the double-angle identities
xx xx

 x y  (   xx ) sin cos  xy (cos2   sin2  )

yy
1
cos2   1 cos 2 
2

Since σy′y′ is 90° away from σx′x′, σy′y′ is:

1
sin2   1 cos 2 
 yy      
  xx cos       yy sin 2      2 xy sin    cos    
2 2
 2  2  2  2

2sin cos  sin 2

 y y   xx sin2    yy cos2   2 xy sin cos

THESE THREE BOXED EQUATIONS ARE KNOWN AS THE

TRANSFORMATION OF STRESS EQUATIONS

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Transformation of Stress Equations An interesting observation

(for plane strain)
 xx   yy  xx   yy
 xx   cos 2  xy sin 2   xx   yy  xx   yy
2 2   cos2  xy sin2 
2 2
   yy  xx   yy  x   y

 

   xx   yy
 yy  xx  cos 2  xy sin 2
2 2     xx  yy 

xx yy
 cos2  xy sin 2 
   xx  2 2 
 xy  yy sin 2  xy cos 2
2
 x  y   xx  yy
They provide us with the stresses re-oriented
to a new coordinate system
 x  xy 0 This quantity is invariant! It doesn’t change regardless of
 xy  yy 0 the coordinate system.
0 0 0

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 xx   yy
 x'x'   xx   yy
cos 2   xy sin 2

2 stress invariants for plane strain 2

x'y' 
 yy   xx
2
2

sin2   xy cos 2
Hai bất biến của ten xơ ứng suất 2D 1000
 xx = 800 MPa 
max
 yy = 200 MPa
800

xy
= -300 MPa

• I1 is the sum of the main diagonal of the stress tensor. 600 

x'x'


400 max

Stress (MPa)
I1   xx   yy   x   y  c o s n t 200
 min
Tension
0
• I2 is the sum of the principal minors. Compression
45 o
-200
I 2   xx yy  xy   x  y   xy  c o s n t
2 2
 x'y' o
90
-400  min

0 20 40 60 80 100 120 140 160 180

 (degrees)

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Principal planes Maximum in-plane shear stress

 yy   xx
 xx   yy  xx   yy  xy  sin 2  xy cos 2
 xx   cos 2  xy sin 2 2
2 2
Shear stress is maximum/minimum when:
from previous viewgraph, normal stress is maximum
(or minimum) when: d xy    yy
 0   xx cos 2  2 xy sin 2
d 2
d x    yy
 0   xx 2 sin 2   2 cos 2 Solving for  yields the plane of maximum/minimum shear stress
d
xy
2
Solving for  yields the plane where maximum and    yy  2
tan2shear  
xx
minimum normal stress occur.
 xy
 xy
tan2 principal  An average normal stress is superimposed on these planes
 xx   yy  2
 xx   yy
 average 
By definition this is also the plane where shear stress vanishes 2

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MAXIMUM & MINUMUM PRINCIPAL STRESSES

FOR A 2-D STATE OF STRESS

2
 max 1  xx   yy     yy 
    xx    xy
2

 min  2 2  2 
10 minute break
2
    yy 
 max   xx    xy
2

 2 

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Mohr’s Circle for Stress Mohr’s Circle

• Developed in 1882; a graphical way to represent the • Square both sides of each equation and add them together,
transformation of stress equations. which yields:

  xx   yy   xx   yy 2
  xx   yy 
 x'x'    cos 2  xy sin 2  x'x'   average    x'2 y'  
2
   xy
2
 2  2 2
 
  yy   xx  or
 x' y'   sin 2  xy cos 2
2
 
   average    x'2 y'  R2
2
x'x'

• Re-write the equations as:

• Equation for a circle expressed in (,) coordinates with a
 xx   yy center at (average, 0).
 x'x'   average  cos 2  xy sin 2
2
  yy   xx 
 x' y'    sin 2  xy cos 2
 2 

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Mohr’s Circle – cont’d Steps in Construction of Mohr’s Circle

1. Show the stresses xx, yy, and xy on a cube. Label the vertical plane V and the
• Recall the equation for a circle: horizontal plane H.
x  h 2  y 2  R 2
2. Write the coordinates of points V and H as V(xx, -xy) and H(yy, yx). A positive
where h is the location of the center on the x axis (i.e., the center
value for ij produces a CW moment about the center of the cube (i.e. CW rotation
of the circle), and R is its radius. of the cube).

  xx   yy 
• The center of Mohr’s circle lies at ( average ,0).  average   
 2  3. Draw the horizontal axis with the tensile normal stress to the right (i.e., positive) and
the compressive normal stress to the left (i.e., negative). Draw the vertical axis with the
• The radius of Mohr’s circle is:
clockwise (CW) direction of shear stress (i.e., positive) up and the counterclockwise
2 (CCW) direction of rotation down.
  xx   yy 
   xy   max   3
2
R 
 2 
4. Locate points V and H and join the points by drawing a line. Label the point where line
• max = 1 = average +R The steps for construction VH intersects the horizontal axis as C, the center of the circle. The center has
are provided on the next 2 coordinates C(average, 0).
• min = 2 = average - R pages of the handout
and/or in your mechanics
of materials book.
5. Draw Mohr’s circle with point C as the center and a radius, R of
2
    yy 
R   xx    xy   max   3
2

 2 

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Steps in Construction of Mohr’s Circle – cont’d y

CW
6. The angle between lines CV and C1 is labeled 2 because the angles on yy
Mohr’s circle are double the actual angle between planes. yx
xy
To determine the direction of rotation (i.e., the sign) we first record the 
V xx
direction in which we move from point V(σxx, -xy) to point (σ1, 0) on Mohr’s
max= 3 H
circle. Intersection with H(yy, yx) x
the -axis is
If the direction of rotation is CCW (i.e., towards the positive shear direction), min=2
then the sign of  is positive. If the rotation is CW then the sign of  is
negative. C(average, 0)  y′
(1, ) 2

(2, ) 2
1
x′
y

This is illustrated on the next viewgraph. V(xx, -xy) 

x
Intersection with
the -axis is • max =  1 = average + R
CCW
max = 1
• min =  2 = average -R

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VERY IMPORTANT:
Coordinate is
Example Problem
average, 0
• Many engineering texts (and Produces
CW moment
practicing engineers)
construct Mohr’s circle with Coordinate is xx, - xy 1. Consider a point in a solid that is subjected to the
shear stress pointing Intersection with the following state of stress:
downwards as is illustrated to
the right. In this case, the
-axis is min=2
2 2θ  σxx = 90 MPa; σyy = -50 MPa; τxy = -60 MPa.
rotations between the  +

principal stress axes and the Intersection with the

state of stress on the volume Coordinate is yy, xy
max =  3
-axis is max = 1
a. Draw a free body diagram representing the stress state.
Produces CCW
element will be opposite of
moment
that on Mohr’s circle. 
b. Determine the principal stresses, the maximum in-plane shear
• Be careful and know the stress acting on the point, and the orientation of the principal
system that your employer or
y y′ planes using Mohr’s circle.
the texts that you are
referring to are using. yy 2
yx c. Show the stresses no an appropriate diagram.
1
xy x′
y
V xx
H 
x x

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Example Problem - solution Example Problem – solution cont’d

b. Determine the principal stresses, the maximum in-plane
a. Draw a free body diagram representing the stress state. shear stress acting on the point, and the orientation of the
 yy  50 MPa principal planes using Mohr’s circle.

 xy  60 MPa V  xx ,  xy   90, 60

H   yy ,  xy   50, 60
y

  90  50   
C   average ,0      ,0   20,0 
x  xx  90 MPa  2  

 90  50 
2

  60   850  92.2   max

2
R 
 2 

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solution cont’d  90  50  2

 2
R   max     60  850  92.2 MPa
 2 

V
(90,60)
 xy 60
tan 2  
 xx   avg 70
2  40.6 20

20

H
(-50,-60)

 2   avg  R  72.2 MPa 1   avg  R 112.2 MPa

A* H*

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solution cont’d Example Problem - solution

 90  50 
2

R   max     60   850  92.2 MPa

2

 2 

c. Show the stresses on an appropriate diagram.

V
(90,60)
 xy 60 opp.  yy  50 MPa
tan 2   
C  xx   avg 70 adj.  xy  60MPa
(20, 0) 60 2  40.6 y

x  xx  90 MPa  2  72.2 MPa

90 - 20 = 70

 p  20.3
1
H
(-50,-60)
Note division of p by 2 1  112.2 MPa
 2   avg  R  72.2 MPa 1   avg  R  112.2MPa 2

B*

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HOMEWORK
From Dieter
2-3, 2-4, 3-7 The Stress Tensor -Ten xơ ứng suất
Lesson #3 - Ứng suất ba chiều
z
zz
zy
zx
yz  xx  xy  xz 
Transformation of stresses in 3-D
 ij   yx 
xz
z
yy
 yy  yz 
Biến đổi ứng suất trong không gian 3 chiều Oxx
xy yx
y
  zx  zy  zz 
x
READING LIST x y
DIETER: Ch. 2, pp. 27-36
In three dimensions the state of stress is described by the stress tensor.
Trong không gian ba chiều trạng thái ứng suất được mô tả bằng 1 ten xơ
Ch. 3 in Roesler
Ch. 2 in McClintock and Argon Ch. 7 in
Edelglass We can transform from one coordinate system to another in the
same way that we did for two dimensions.
Chúng ta có thể dịch chuyển từ hệ tọa độ này đến hệ tọa độ
khác tương tự như trong không gian 2 chiều

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Method – Phương pháp DIRECTION COSINES

l = cos θx
• Lets resolve an arbitrary 3D state of stress onto an oblique m = cos θy
plane ABC (area A). z n = cos θz
• To make the problem easier, let S be parallel to the plane normal C
 xx S=
(meaning that it is a principal stress acting on a principal plane  xy
(i.e., the plane w/o shear).  yyxx
 yyyy  xz A B
z O y
normal  yyzz  zx
z  z  zy
C
 xx  x  y
S= y A z
 xy  zz
 yx  xz x normal
 yy
A
B
y
x  z
 yz O  zx
 zy DIRECTION COSINES  x  y
l = cos θx y
A
 zz m = cos θy
x
n = cos θz
x

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All forces must balance to meet the conditions for

• The components of S parallel to the original x-, y-, and z- static equilibrium (i.e., ∑F=0):
axes (i.e., Sx, Sy, Sz) are:
Fx  Sx A  SAl   xx Al  yx Am  zx An
– Sx = Sl = σl To balance force we need Area COB = Al. Fy  S y A  SAm   yy Am  xy Al  zy An
– Sy = Sm = σm the areas that each stress Area AOC = Am. Fz  Sz A  SAn   zz An  xz Al  yz Am
– Sz = Sn = σn components acts on Area AOB = An.

z  Fx  ( xx  S)l  yxm  zxn  0
F
normal
z
 z y   xyl  ( yy  S)m  zyn  0
C
 y
 xy
 xx
S Sz
 x y F z   xzl  yzm  ( zz  S)n  0
 yx Sx
 yy  xz
x

B
O A y
 xx  S   zx   l  0 
 yz
 zy
 zx Sy Recall:  yx
     When written
A
 zz
l = cos θ x
m = cos θ y   xy  yy S  zy   m   0  in matrix
form
x S 2  S 2x  S 2y  S 2z n = cos θz    yz  zz  S  n  0
 xz

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Method – cont’d Method – cont’d

• The solution of the determinant of the matrix on the left • The directions in which the principal stresses act are
yields a cubic equation in terms of S. determined by substituting 1, 2, and 3, each for S in:

S 3  (     )S 2  (         2   2   2 )S ( xx  S)l   yxm   zxn  0

xx yy zz xx yy yy zz xx zz xy yz xz

( xx yy zz  2 xy yz xz   xx yz2   yy xz2   zz xy2 )  0  xyl  ( yy  S)m   zy n  0
or  xzl   yz m  ( zz  S)n  0
S 3 I S 2  I S I  0
1 2 3
Then the resulting equations must be solved simultaneously
for l, m, and n (using the relationship l2+m2+n2 = 1).
• In this problem, S =.
(a) Substitute 1 for S ; solve for l, m, and n;
• Thus, the three roots of this cubic equation represent the
(b) Substitute 2 for S ; solve for l, m, and n;
principal stresses, 1, 2, and 3.
(c) Substitute 3 for S ; solve for l, m, and n.

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Invariants of the Stress Tensor Example Problem #1

Bất biến của ten xơ ứng suất • Determine the principal normal stresses for the following
state of stress:
I1   xx   yy   zz
   
 xx  0,  yy  10,  zz  75,
I2  xx xy
 yy yz  xx  xz
  xx yy   yy  zz   xx zz   xy2   yz2   xz2  xy  50,  yz   xz  0
 yx  yy  zy  zz  zx  zz

 xx  xy  xz
or
I 3   yx  yy  yz   xx yy  zz  2 xy yz xz   xx yz2   yy xz2   zz xy2
 zx  zy  zz
 0 50 0
50 10 0 MPa
 
Whenever stresses are transformed from one coordinate  0 0 75
system to another, these three quantities remain constant
Khi ứng suất dịch chuyển từ hệ tọa độ này sang hệ tọa độ
khác, những bất biến này không thay đổi.

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Example Problem #1 – solution

 0 50 0
• This problem can be solved by substituting the known 50 10 0 MPa
 
state of stress into the cubic equation:  0 0 75

S 3 I S 2  I S I  0  3  ( xx   yy   zz ) 2  ( xx  yy   yy  zz   xx  zz  xy2   yz2   xz2 )

1 2 3

( xx yy zz  2 xy yz xz   xx yz2   yy xz2   zz xy2 )  0
where S = σ.

 3  (0 10  75) 2 [(0 10)  (10  75)  (0  75)  (50)2  (0)2  (0)2 ]
[(0 10  75)  2(50  0  0)  (0  02 )  (10  02 )  (75  502 )]  0
• This is detailed on the next page.
 3  (65) 2 [3250] [187500]  0

I1 I2 I3

  65 2  3250 187500 0

3

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You can determine the principal stresses by plotting this equation Example Problem #1 – solution
OR you can solve it using more traditional means. • This problem is easier than most because there are no
1.4 shear stresses along the z-axis.
1.2

1.0
6
 + 65 - 3250 - 187500 (10

0.8
• It should have been obvious to you that one of the
0.6
principal stresses is  = -75 MPa (since zx = xz = 0 and
zy = yz = 0).
0.4

0.2  = -75
3 2 = -45
0.0
• Can you determine the directions in which the principal
1 = 55
-0.2
stresses act?
2

MPa)

-0.4
3

-0.6 (I RECOMMEND THAT YOU TRY IT)

-100 -50 0 50 100

 (MPa)

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Example Problem #2 p. 1/11

Resources on the Web • Determine (a) the principal stresses, (b) maximum shear stress, and (c) the
orientations of the principal planes for the state of stress provided below:
• There are many useful eigenvalue calculators on  80 20 50
the world wide web. Here are a few:  20 40
 30 MPa
50 30 60

• http://portal.cs.umass.edu/projects/mohr/  3 - ( xx   yy   zz ) 2  ( xx yy   yy zz   xx zz  xy2   yz2   xz2 )

1
• http://www.engapplets.vt.edu/Mohr/java/nsfapplets
/MohrCircles2-3D/Applets/applet.htm
( xx yy zz  2 xy yz xz   xx yz2   yy xz2   zz xy2 )  0
 3  (80  40  60) 2 [(80  40)  (40  60)  (80  60)  (20)2  (30)2  (50)2 ]
[(80  40  60)  2(20  30  60)  (80 302 )  (40  502 )  (60  202 )]  0

 3  (100) 2 [4600] [248000]  0

H*  3 100 2  4600  248000 0

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p. 2/11 ( xx   )l   yxm   zxn  0 p. 3/11

 80 20 50
 20 40  xyl  ( yy   )m   zyn  0
30 MPa
 3 100 2  4600  248000 0 
50 30 60  xz l   yz m  ( zz   )n  0

1.4
1 (80   )l  20m  50n  0
1.2  1 = 121 MPa;  2 = 36 MPa;  3 =-57 MPa  20l  (40   )m  30n  0
6
 - 100 - 4600 + 248000 (10

1.0 50l  30m  (60   )n  0

0.8 substitute 1 ,  2 , and  3 in place of  and solve simultaneous equations
0.6
1 121
0.4
2 = 36 (80   )l  20m  50n  0 41l  20m 50n  0 1
1 = 121
0.2 3 = -57 20l  (40   )m  30n  0  20l 161m  30n  0 2
0.0 50l  30m  (60   )n  0 50l  30m  61n  0 3
2

-0.2
MPa)

2 (3  [1]) + (5  [2]) yields:

-0.4
3

-0.6 123l  60m 150n  0

-100 -50 0 50 100 150
100l  805m  150n  0
 (MPa)
23l  745m  0n  0;  m  0.0309l

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p. 4/11 p. 5/11
Sample Problem #2 Sample Problem #2
cont’d cont’d

l 2  m2  n 2  1
substitute 1 ,  2 , and  3 in place of  and solve simultaneous equations
substitute expresions for m & n

1 121 l 2  0.031l 2  0.821l 2  1.673l 2  1

(80   )l  20m  50n  0 41l  20m 50n  0 1
20l  (40   )m  30n  0  20l 161m  30n  0 2
1
50l  30m  (60   )n  0 50l  30m  61n  0 3 l
1.673
 0.773 Orientations of
principal planes
4
3 (3  [1]) + (-2  [3]) yields: m  0.031l  0.024 associated with 
n  0.821l  0.635 1
123l  60m 150n  0
100l  60m  122n  0
23l  0m  28n  0;  n  0.821l

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p. 6/11 p. 7/11
Sample Problem #2 Sample Problem #2
cont’d cont’d

substitute 1,  2 , and  3 in place of  and solve simultaneous equations substitute 1,  2 , and  3 in place of  and solve simultaneous equations

 2  36  2  36
(80   )l  20m  50n  0 44l  20m  50n  0 [4] (80   )l  20m  50n  0 44l  20m  50n  0 [4]
20l  (40   )m  30n  0  20l  76m  30n  0 [5] 20l  (40   )m  30n  0  20l  76m  30n  0 [5]
50l  30m  (60   )n  0 50l  30m  24n  0 [6] 50l  30m  (60   )n  0 50l  30m  24n  0 [6]

5 (3  [4]) + (5  [5]) yields: 6 (3  [4]) + (-2  [6]) yields:

132l  60m 150n  0 132l  60m 150n  0

100l  380m  150n  0 100l  60m  48n  0
232l  320m  0n  0;  m  0.725l 232l  0m 198n  0;  n 1.172l

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p. 8/11 p. 9/11
Sample Problem #2 Sample Problem #2
cont’d cont’d

l 2  m2  n 2  1
substitute expresions for m & n substitute 1,  2 , and  3 in place of  and solve simultaneous equations

l 2  0.725l 2  1.172l 2  2.899l 2  3  57

(80   )l  20m  50n  0 137l  20m  50n  0 7 
20l  (40   )m  30n  0  20l  17m  30n  0 8
1
l  0.587 Orientations of 50l  30m  (60   )n  0 50l  30m  117n  0 9
2.899
principal planes
7 m  0.725l  0.426 associated with  8 (3  [7]) + (5  [8]) yields:
n  1.172l 0.688 2
411l  60m 150n  0
100l  85m  150n  0
511l  145m  0n  0;  m  3.524l

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p. 10/11 p. 11/11
Sample Problem #2 Sample Problem #2
cont’d cont’d

l 2  m2  n 2  1
substitute 1,  2 , and  3 in place of  and solve simultaneous equations
substitute expresions for m & n

 3  57
l 2  3.524l 2  1.331l 2  15.189l 2
(80   )l  20m  50n  0 137l  20m  50n  0 7 
20l  (40   )m  30n  0  20l  17m  30n  0 8
1
50l  30m  (60   )n  0 50l  30m  117n  0 9 l  0.257 Orientations of
15.189
principal planes
10
9 (3  [7]) + (-2  [6]) yields: m  3.524l  0.904 associated with 
n  1.331l  0.342 3
411l  60m 150n  0
100l  60m  234n  0
   121 (57) 
511l  0m  384n 0;  n 1.331l 10  max  1 3  89 MPa 
2 2

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General Method for Triaxial States of Stress

[p. 29-30 in Dieter]

• In previous example/method, we assumed that the stress

on the inclined plane was a principal stress.

• What if the stress on the new plane is not a principal

stress?
5 minute break • The math is nearly C
z

 xx
S
s
the same.  xy
 yx  xz
n
 yy B
y
 yz O  zx
 zy z
normal
A  z
 zz
x  y
 x y

S     S  S  S
2 2
n
2
s
2
x
2
y
2
z
x

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Triaxial Stress States – cont’d Triaxial Stress States – cont’d

From summation of forces parallel to the x, y, z axes, we find From the expression S 2   n2   s2, the shear stress
the components Sx, Sy, Sz:
can be obtained.
S x   xxl   yx m  zxn
S y   xyl   yy m   zyn
When written in terms of principal axes, it
S z   xzl  yz m   zz n becomes:

The normal stress on the oblique plane equals the sum of the  s2  1   2 2 l 2 m 2  1   3 2 l 2 n 2   2   3 2 m 2n 2
components Sx, Sy, Sz parallel to the plane normal.

 n  Sxl  S y m  S z n The maximum shear stress occurs when:

  xxl2   yym2   zz n2  2lm xy  2mn yz  2nl zx
   
 max  1 3  max min
2 2

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Mohr’s Circle in 3-D 2 

max
2

1 3

• We can use a 3-D Mohr’s circle to visualize the state of max

3
 1
stress and to determine principal stresses. Uniaxial 3 = 2 = 0 1 = 2 = 0 Uniaxial
 Tension 1 3
Compression
1 0 0 0 0 0 
0 0 0 0 0 0 
  
 0 0 0 0 0  3 

• Essentially three 2-D Mohr’s  

circles corresponding to the
2
2
1 3 max = 2= 3
x-y, x-z, and y-z faces of the
1
1 max = 2
2  
elemental cubic element. 3 3
3 = 0 2= 3
σ3
1 = 22 = 23
z 1 2
3 2 1  Biaxial 1 1 Triaxial Tension
zz Tension (unequal)
1 0 0 1 0 0
zy 0  0 0  0
zx 
 0 0
2

0
 
 0 0
2 
 3 
yz max = 2= 3
xz yy
2

xy yx 1
xx
y Adapted from G.E.

Dieter, Mechanical σ3 Uniaxial Tension plus
Biaxial Compression
Metallurgy, 3rd ed., 1 = -22 = -23 1
x McGraw-Hill (1986) p. 37
2 = 3

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33 34
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HOMEWORK
Calculate Young’s modulus
for Al and Cu in the <111>, Elasticity
<100>, and <110> directions.

• Important because most engineering design is done

Lesson- 5 – Biến dạng đàn hồi in the elastic region. (Remember, plastic deformation
generally constitutes failure.)

Origins of elasticity • Macroscopically, most polycrystalline materials are

Elastic constants in isotropic materials elastically isotropic.
Elastic constants in anisotropic materials
• Microscopically, elastic behavior is inherently
READING LIST
anisotropic for individual grains.
DIETER: Ch. 2, Pages 47-60

Pages 21-36 in Hosford ; Ch. 2 in Roesler ; • Polycrystalline materials can be anisotropic if they
Ch. 8 in Nye ; Ch. 3 in McClintock and Argon exhibit strong crystallographic textures.
Ch. 7 in Sines ; Ch. 6 in Wagoner and Chenot
Ch. 11 in Sadd

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Elasticity – cont’d Bulk Elastic Behavior

• Derived from atomic
bonding forces originating
from long range attractive
forces which draw atoms
together until short range
repulsive forces become
large enough to balance
them out.
• As such, elastic properties
U Repulsion • Applied force is transmitted by the network of bonds
constituting the material.
ro
r • Thus, elastic behavior depends quantitatively on the
magnitude of the interatomic forces.
• Elastic properties do not depend on microstructure of
Attraction the material.
F is maximum at point
of inflection in U/r
F
curve

are an aggregate effect of F = -dU/dr

individual deformations of ro
r
interatomic bonds.

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Forces Between Atoms Ionic Bond

• Bonds form when atoms either share (e.g., covalent • Electron transfer from one
and metallic bonds) or transfer (e.g., ionic bonds) atom to another occurs due
to electrostatic interaction
electrons between atoms. between oppositely charged r
ions (e.g., Na+ and Cl- in
NaCl).
• This occurs to achieve a minimum in potential energy + -
for the system corresponding to a stable electron
• Force of attraction between
configuration.
ions is Fattract q2
Fattract 
4 or 2
• This has been modeled for ionic systems as follows: • Work is done to draw ions q  charge of ion
together. It is given by:
  permittivity of free space
o

r r  ionic separation distance

q2 A
Uattract   Fattract dr   m

4 o r r

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U Repulsion
• Each atom maintains an electron cloud surrounding it. The outer • The minimum energy point
surfaces of each atom are both negatively charged. corresponds to the equilibrium
separation (i.e., the equilibrium
bond length, ro).
• Thus, at close distances, the electron clouds overlap and repel. ro
The repulsive force can be written as: r
B • The force between atoms is
U repel  simply the derivative (i.e., the
rn
slope) of the energy versus
distance plot.
• The total energy of the system is thus the sum of the attractive and
repulsive components. It can be expressed in general as: dUtotal
Attraction F
dr
A B
Utotal  Uattract U  
repel
rm rn F • The bond stiffness is the
derivative of the force versus
• This is the well known Lennard-Jones potential. You might recall distance plot.
this from your chemistry or physics courses. ro
r dF ฀
d 2U
S  total 2
dr dr

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• At the equilibrium bond length, ro, the variation of F with r is essentially • The strain can be expressed as: The derived expression
linear, which means that the stiffness is essentially constant at small shows that the modulus is
distances from ro.   r  ro
ro dependent upon bonding.
dF
So 
dr ro
• Thus, stress becomes:
Modulus, and other elastic
• Using this expression, the force to “stretch” n bonds in a solid is:   F  nSo r 2 ro   So r  ro   So  properties, are
A nro ro ro ro
r structure insensitive.
F  n  Sodr  nSo r ro 
ro
• From Hooke’s law:
where n is the number of bonds.
  E The directionality of elastic
 properties does depend
• The applied stress is: • Thus, upon atomic arrangement
nSo r  ro  (crystallography) in single
ro F E
So

1 d 2U
A nro2 ro ro dr 2 rro
crystals. They tend to
average out in polycrystals.
ro ro

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Bonding Energy
Material, eV/Atom, Ion, Melting
Bonding Type Substance kJ/mol Molecule Temperature °C
Ionic NaCl 640 3.3 801
MgO 1000 5.2 2800

Covalent Si 450 4.7 1410

C (diamond) 713 7.4 >3550

Metallic Hg 68 0.7 -39

Al 324 3.4 660
Fe 406 4.2 1538
W 849 8.8 3410

van der Waals Ar 7.7 0.08 -189

Cl2 31 0.32 -101

Hydrogen NH3 35 0.36 -78

H2O 51 0.52 0

[From W.D. Callister, Jr, Materials Science and Engineering: An Introduction, 7th Ed., (Wiley, New York, 2007) p.28]

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Metallic Covalent or
bonding Ionic bonding stress is related to strain for an isotropic solid
Steel WC

Copper
• Hooke’s Law
Young’s modulus, GPa

CFRP

Alumina
Unload
– Isotropic Solids (properties
Aluminum GFRP are the same in all
PEEK Load directions)

Stress
Zinc Glass Slope = E (Modulus of elasticity)
Fibreboard
PP
Lead
PTFE    E or   1 
E
0
Metals Polymers Ceramics Composites 0 Strain – Anisotropic solids
Courtesy of Granta Design
(properties are directional)
Stress-strain plot for a linearly elastic material
A bar chart illustrating Young’s moduli for some common examples of the primary
classes of materials (i.e., metals, ceramics, polymers and composites). Ceramics Need different definition
tend to exhibit the highest elastic moduli and polymers the lowest. The elastic
moduli of composites are between those of their constituents.
– Let’s consider both cases

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First consider the Poisson effect Material Class Material 

F Room- Metallic solid Ag 0.38

Temperature (crystalline) Al 0.34

z Poisson’s Ratio Au 0.42

for Selected Cu 0.34
Solids -Fe 0.29
Ir 0.26
Ni 0.31
x y
unloaded W 0.29
F Covalent solid Ge 0.28
(crystalline) Si 0.27
loaded
Al2O3 0.23

 (z, x)    x and  (z, y)   y TiC 0.19
z z Covalent Ionic Solid MgO 0.19
Covalent Glass Silica glass 0.20
A tensile stress along the z axis causes the material to
Network Polymer Bakelite 0.20
stretch along the z axis and to contract along the x and Ebonite (hard rubber) 0.39
y axes. Elastomer Natural rubber 0.49
Chain Polymer Polystyrene 0.33
lateral strain
Poisson's Ratio,    Polyethylene 0.40
longitudinal strain Van der Waal’s Solid Argon (at 0 K) 0.25

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A B C RECALL: Elastic Stress-Strain Relations

 yy
 yy
Strain in the Strain in the Strain in the
Stress x-direction y-direction z-direction

 xx  xx
  xx  xx
 xx  xx  xx  xx  xx
E
 yy  
E
 zz  
E
 yy  yy  yy
 yy  xx    yy   zz  
E E E
 yy
 yy
The strains resulting from this stress state must be the sum of the strains  zz  zz  zz
 zz  xx    yy    zz 
associated with loading along each individual axis. E E E
 xx 
B :  xxB  ,  yyB   xxB   xx 1
E E  xx   xx   yy   zz 
E  Variation in
 yy  yy 1
elastic strain for
C:  C
,     
C C
 yy  yy    zz   xx 
yy
E
xx yy
E E an isotropic solid
1 because of the
  zz   zz  xx  yy 
 There’s a similar E 
A  B+C :  xx      xx  yy
B
xx
C
xx expression for εyy
Poisson effect
E E  xy  G xy ;  yz  G yz ;  xz  G xz

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Other Elastic Stress-Strain Relations for Isotropic Solids Other Elastic Stress-Strain Relations for Isotropic Solids
• Bulk Modulus (K), also known as the volumetric elastic • Now we can relate the elastic constants.
modulus: 1
 xx   xx   yy  zz 
E
K
฀฀hydrostatic pressure  p1
 m
volume change produced   B  yy  1  yy  zz   xx 
E
1
 zz   zz   xx   yy 
E
where:
- p  hydrostatic pressure, Summation yields:
 xx   yy   zz  xx   yy   
1 2
xx   yy   zz  1 2 3m  
m  zz
E E
3

  dilatation (i.e., volume change)   xx  yy   zz ,
 m ฀E
K
B  compressibility.  31 2 

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Other Relations Between Isotropic Elastic Constants STRAIN ENERGY

Energy stored in a body due to deformation.
In terms
Elastic
of
E, ν E, G K, ν E, G λ, μ • Work to deform a body elastically is stored as elastic strain
constants
energy. It is recovered when the applied forces are released.
9K  3  2 /  
E [elastic] =E =E = 31 2  K = =
1 3K / G 2 1  /  
E 1  2G / 3K 1
ν =ν = 1  =ν = = 2 1  /  
2G 2  2G / 3K • Strain energy is proportional to the area under the load-
E 31 2  K deformation (stress-strain) curve.
G [shear] = 2 1   =G = =G =μ
2 1  
E E 2
K [bulk] = 31 2  = =K =K =
9  3E / G 3
• We will elaborate on this
E E 1 2G / E  3K 2G
concept on the next

Load F
λ = 1  1 2  = = =K =λ
3 E / G 1  3
few pages. 1
U  F
E 31 2  K
μ = 2 1   =G = =G =μ 2
2 1  

λ, μ = Lame constants

Deformation δ

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ELASTIC STRAIN ENERGY – cont’d

Strain Energy • Consider an elemental cube that is subjected to only an elastic
tensile stress along the x-axis. The elastic strain energy, U, is:
• The first law of thermodynamics states:
dU   Q  W  TdS  PdV 1
U (load)(deformation)
z 2
where,
y
1 1 1
x dU  Fdu   xx A xx dx   xx xx  Adx
dU = internal energy 2 2 2
δQ = heat  total elastic energy absorbed by the material
δW = mechanical work done A
element.

 xx Since Adx is the volume, the elastic strain energy per

• During elastic deformation, the amount of heat generated F
unit volume (i.e., the strain energy density) is:
 xx 
is negligible. A
du
 xx  dU 1
dx Uo     .
• Thus the work done on the body is converted into internal Adx 2 xx xx
energy and is fully recovered upon unloading.

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ELASTIC STRAIN ENERGY – cont’d ELASTIC STRAIN ENERGY – cont’d

xx . In tensor notation, these general expressions become:
From Hooke's law,  xx =
E
1  ij 1 2
2
1
Therefore: U o   ij  ij    E.
z 2 2 E 2 ij
1  xx2 1 2 If we substite into these expressions, the variation in elastic strain
y
Uo    xx E [in tension]
x 2 E 2 for an isotropic solid, accounting for the Poisson effect, we get:

1
2
1 1 1  1
Uo  xy  xy  xy   xy2 G [in pure shear] Uo 
2E
 2
xx
  yy2   zz2 
E
 xx
 yy   yy zz   xx zz  
2G
 2
xy
 2  2
xz yz 
A
2 2G 2
 xx In three dimensions, the general expression for elastic [for a 3D isotropic solid]
 xx 
F strain energy is:
A Expressed in terms of strains and elastic constants:
du 1
 xx  U o   xx xx   yy yy   zz zz  xy xy  xz xz  yz yz . 1 2 1
dx
2 Uo    G  xx2   yy2   zz2  G  xy2   xz2   yz2 
2 2

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ELASTIC STRAIN ENERGY – cont’d

Uo 
1
 xx xx   yy yy   zz zz   xy xy   xz  xz   yz yz  Anisotropy and Single Crystals
2
The derivative of U o with respect to any strain component yields the • Forces between atoms are directional.
corresponding stress component, or:
Uo (110)BCC
   2G ij   ij
 ij

Similarly, the derivative of U o with respect to any stress component

yields the corresponding strain or:

Uo
  ij
 ij
• They act along the “lines” connecting the atoms together.
You can use these terms to calculate stresses and strains in elasticty.
Techniques for doing this include Castigliano's theorem, the theorem
of least work, and the principal of virtual work.

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Relations between stress and strain for Stiffness is a

3 3
 ij   Cijkl kl
anisotropic crystals 4 rank tensor
th k 1 l1

• Since force varies with direction, elastic constants will 34 = 81 terms 

also vary.  ij  Cijklkl

• In general, we need to relate every stress component to  xx   Cxxxx Cxxyy Cxxzz Cxxyz Cxxzx Cxxxy Cxxzy Cxxxz Cxxyx   xx 
every strain component.    C C yyyy C yyzz C yyyz C yyxz C yyxy C yyzy C yyxz C yyyx   yy 
 yy   yyxx  
  zz   Czzxx Czzyy Czzzz Czzyz Czzxz Czzxy Czzzy Czzxz Czzyx   zz 
• Thus we must define two new elastic constants:    C
 yz   yzxx
C yzyy C yzzz C yzyz C yzxz C yzxy C yzzy C yzxz C yzyx   
 yz 
  zx    Czxxx Czxyy Czxzz Czxyz Czxxz Czxxy Czxzy Czxxz Czxyx   zx 
   C  
– C  stiffness  xy   xyxx C xyyy C xyzz C xyyz C xyxz C xyxy C xyzy C xyxz C xyyx   xy 
– S  compliance  zy   Czyxx Czyyy Czyzz Czyyz Czyxz Czyxy Czyzy Czyxz Czyyx   zy 
  C C xzyx  
 xz   xzxx
C xzyy C xzzz Cxzyz C xzxz Cxzxy C xzzy Cxzxz   xz 
   C C yxyy C yxzz C yxyz C yxxz C yxxy C yxzy C yxxz C yxyx   yx 

• We also re-write Hooke’s law as:  yx   yxxx
Stress Elastic Strain
 ij  Cijklkl or ij  Sijkl kl tensor Stiffness tensor

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Allow us to  xx   Cxxxx
   C
Cxxyy Cxxzz Cxxyz Cxxxz Cxxxy   xx 
EQUILIBRIUM C yyyy C yyzz C yyyz C yyxz C yyxy   yy 
CONSIDERATIONS reduce the  yy   yyxx
  zz   C zzxx Czzyy Czzzz Czzyz Czzxz
 
Czzxy   zz 
number of     C
 yz   yzxx
C yzyy C yzzz C yzyz C yzxz   
C yzxy  yz 
 ij   ji  kl  lk constants from  xz   Cxzxx Cxzyy Cxzzz Cxzyz Cxzxz Cxzxy   xz 
Cijkl  C jikl Cijkl  C jikl   
 xy   C xyxx
 
Cxyxy   xy 
81 to 36 C xyyy C xyzz Cxyyz C xyxz
Cijkl  C jikl Cijkl  Cijlk
 ij  Cijklkl Cijkl is the STIFNESS matrix

 xx   Cxxxx Cxxyy Cxxzz Cxxyz Cxxxz Cxxxy   xx 

   C     xx   Sxxxx Sxxyy Sxxzz Sxxyz Sxxxz Sxxxy   xx 
C yyyy C yyzz C yyyz C yyxz C yyxy  yy     S S yyxy  yy 
 yy   yyxx  yy   yyxx
S yyyy S yyzz S yyyz S yyxz
 
  zz   C zzxx Czzyy Czzzz Czzyz Czzxz Czzxy  zz    zz   S zzxx Szzyy Szzzz Szzyz Szzxz Szzxy   zz 
    C C yzyy C yzzz C yzyz C yzxz C yzxy        S S yzyy S yzzz S yzyz S yzxz S yzxy   yz 

 yz   yz   yzxx
 yz   yzxx   xz   Sxzxx Sxzyy Sxzzz Sxzyz Sxzxz Sxzxy   xz 
  xz   Cxzxx Cxzyy Cxzzz Cxzyz Cxzxz Cxzxy   xz      
       xy   S xyxx S xyyy S xyzz S xyyz S xyxz S xyxy   xy 
  xy   C xyxx Cxyyy Cxyzz C xyyz Cxyxz C xyxy   xy 
ij  Sijkl kl Sijkl is the COMPLIANCE matrix

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Matrix/Contracted Notation Additional note about contracted notation

• We often replace the indices with matrix (contracted) notation
for simplicity [Voigt, Lehrbuch der Kristallphysik (Teubner • Numbers 1-3 are associated
VErlag, Berlin, 1910)]. with normal stresses and 3

xx 11 1 yy  22 2 zz  33  3 strains. 5
4
4
yz  23 4 xz 13  5 xy 12  6 5 2
6
• Numbers 4-6 are associated 1 6

11 12 13   1 6 5  with shear stresses and

 22 23   2 4 strains. z

 33  3 

• Thus, Hooke’s law is often re-written in matrix form as: • On the next slide I attempt to y
show you which stresses and x
 p  Cpqq or  p  Spq q
strains are related to each
row column
elastic constant.

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 ,  ,
TENSOR  Cxxxx
C
Cxxyy Cxxzz Cxxyz Cxxxz Cxxxy  Contracted vs. Tensor Notation
C yyyy C yyzz C yyyz C yyxz C yyxy 
 yyxx
C Czzyy Czzzz Czzyz Czzxz Czzxy 
Cijkl   zzxx
C C yzyy C yzzz C yzyz C yzxz

C yzxy  • Contracted notation is simple and convenient
 yzxx
 Cxzxx Cxzyy Cxzzz Cxzyz Cxzxz Cxzxy 

for conducting matrix inversions.

 C xyxx C xyyy C xyzz C xyyz Cxyxz C xyxy 
 ,  ,
►However, for coordinate transformations or
 ,  , invariant determination, it is more useful to use
 C11 C12 C13 C14 C15 C16 
CONTRACTED
C C22 C23 C24 C25 C26 
the stiffness and compliances in tensor notation.
 21
C C32 C33 C34 C35 C36 
Cijkl   31 
C C42 C43 C44 C45 C46 
 41
 C51 C52 C53 C54 C55 C56 
C 
 61 C 62 C 63 C 64 C 65 C 66 
 ,  ,

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Note the change  1   C11 C12 C13 C14 C15 C16  1  Stiffness and compliance matrices are also symmetric about the main diagonal
from tensor    C C22 C23 C24 C25   
C26  2
notation to matrix  2   21
 3   C31 C32 C33 C34 C35 C36  3   C11 C12 C13 C14 C15 C16   C11 C12 C13 C14 C15 C16 
notation. See     C C
C42 C43 C44 C45   
C46  C22 C23 C24 C25 C26    C22 C23 C24 C25 C26 
Chapter 8 in Nye  4   41 4  21  
for details.  5  C51 C52 C53 C54 C55 C56  5   C31 C32 C33 C34 C35 C36   

 C33 C34 C35 C36 
C C46   
     C42 C43 C44 C45   C44 C45 C46 
 6   C61 C62 C63 C64 C65 C66   6   41
C51 C52 C53 C54 C55 C56       C55 C56 
 p  C pqq     
Cpq is the STIFNESS matrix  C61 C62 C63 C64 C65 C66       C66 

 S11 S12 S13 S14 S15 S16   S11 S12 S13 S14 S15 S16 
S   
 1   S11 S12 S13 S14 S15 S16  1  S22 S23 S24 S25 S26 S 22 S23 S24 S 25 S26 
   S    21   
S 22 S 23 S 24 S 25 S 26  2  S31 S32 S33 S34 S35 S36     S33 S34 S35 S36 
 2   21 
 3   S31 S32 S33 S34 S35 S36  3  S S42 S43 S44 S 45 S46      S 44 S 45 S 46 
    S S 42 S 43 S 44 S 45 S 46   
 41
 4   41  4   S51 S52 S53 S54 S55 S56       S55 S56 
 5   S51 S52 S53 S54 S55 S56  5  S S65    
 61 S62 S 63 S 64 S 66       S 66 
    
  6   S 61 S 62 S63 S 64 S65 S 66  6 

 p  Spq q Required number of components reduces to 21

Spq is the COMPLIANCE matrix
The number can be further reduced by considering crystal symmetry

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Neumann’s Principle Possible Macroscopic Symmetry Elements

• “The symmetry of any physical property of a crystal
must include the symmetry elements of the point • Center of symmetry
group of the crystal.”
• Mirror plane
• Point groups are the group of macroscopic symmetry
elements possessed by the structure of a crystal.* ► 1-, 2-, 3-, 4- or 6-fold rotation axes

• Crystals exhibit specific point symmetries. • 1-, 2-, 3-, 4- or 6-fold inversion axes

• Crystal “properties” will include the point group but

can exhibit more symmetry than the point group.

* Review pages 20-25 and 279-288 in Nye for a more complete treatment.

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Crystal systems
Symbolism for the symmetry elements of the
32 point groups
• The 32 crystal • We can describe shapes
classes (i.e., point and arrangements of Cubic
groups) are points within shapes in
conventionally
terms of the symmetry
grouped into seven
crystal systems. exhibited by them. Orthorhombic

120°

• The requirements Hexagonal

for membership in a
• In crystal systems, the
given crystal symmetry of a class of
system is that the crystals should possess a Monoclinic

symmetry of the certain characteristic

class should symmetry (i.e., certain Tetragonal
possess a certain
minimum
minimum symmetry
characteristic. elements). Triclinic

Rhombohedral
[Table from J.F. Nye, Physical Properties of Crystals, (Oxford University Press, Oxford, 1985) p. 280]

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We describe crystal symmetry relative to specific crystallographic

axes and symmetry elements operating on those axes • Rotation about the center
point.
The order of Hermann-Mauguin symbols in point groups
1
Crystal System Primary Secondary Tertiary
Triclinic    • 180° rotation moves point
Monoclinic [010], unique axis b   “1” to “2” but produces
[001], unique axis c same pattern.
Orthorhombic [100] [010] [001]
Tetragonal [001] [100],[010] [110],[110]
Trigonal, Rhombohedral Axes [111] [110],[011], [101] • Second 180° rotation
Trigonal, Hexagonal Axes [001] [100],[010],[110]
moves original point
Hexagonal [001] [100],[010],[1 10] [110],[120,[210]
Cubic [100],[010],[001] [111],[111], [11 1], [1 11] [110], [110],[01 1],
(labeled with a “1”) back
[011], [101], [101] to its starting point.
2
Table adapted from R. Tilley, Crystals and Crystal Structures, John Wiley & Sons, Hoboken, NJ, 2006, p. 73.

The concept of crystal symmetry is illustrated on the next six viewgraphs. • 2-fold rotation.

You should review this and related literature on your own time.

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43m 4-fold inversion

43m 4-fold rotation axes
Tetrahedron axes parallel to Octahedron parallel to x,y,z
inscribed in a cube x,y,z (aka, <100>) with
(aka, <100>) inscribed in a cube perpendicular
mirror plane.

3-fold rotation axes 3-fold inversion

parallel to cube axes parallel to
diagonals cube diagonals
(aka, <111>) (aka, <111>) R. Tilley, Crystals and
Mirror plane Crystal Structures,
parallel to face John Wiley & Sons,
diagonals Hoboken, NJ, 2006.
(aka, <110>)

2-fold rotation axes

parallel to face
diagonals
Symmetry elements in a regular tetrahedron. (a) tetrahedron inscribed in a cube
(aka, <111>) with
showing three Cartesian axes; (b) 4-fold inversion axes along x [100], y [010] perpendicular
and z [001]; (c) 3-fold rotation axes passing through vertex and center of mirror plane.
opposite triangular face (i.e., [111]); (d) mirror planes parallel to [110]. Adapted
B* from Fig. 4.6 in R. Tilley, Crystals and Crystal Structures, John Wiley & Sons,
Hoboken, NJ, 2006.
B*

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Symmetry of the Cubic P-Lattice

Letter
symbol
 Four 3-fold
P4m 3 2m rotation axes
   parallel to cube
100 111 110 diagonals
We describe lattice shapes and (aka, <111>)

arrangements of lattice points in

the same way.

Primary Secondary Tertiary

Adapted from W. Borchardt-Ott, Crystallography, 2nd Edition, (Springer, Berlin,

Germany, 1995) p. 99

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Table 21
Symmetry elements and conventions for the choice Tetragonal Trigonal

• There are only 32 of axes in the 32 crystal classes

Symbols of centrosymmetrical classes are enclosed in boxes

crystal classes derived Triclinic

from the 7 crystal

systems (i.e., shapes).
Monoclinic

• Each has a certain

characteristic
symmetry. Orthorhombic

• They are presented on

stereograms on this
viewgraph and the two
that follow. [Nye, p. 284]
B* Table 21.3
[Nye, pp. 285-286]
Table 21.2
B* Table 21.3

49 50

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Hexagonal Cubic Influence of Crystal Symmetry on Number of Elastic Constants

Axial Number of Increasing
Crystal Interaxial Minimum Symmetry
Relation- Elastic crystal
System Angles Elements
ships Constants symmetry
Four 3-fold rotation
or rotoinversion axes
Cubic a=b=c  =  =  = 90° 3
parallel to body
diagonals
One 6-fold rotation
 =  = 90°;
Hexagonal a=b≠c or rotoinversion axis 5
 = 120°
parallel to z-axis
One 4-fold rotation
Tetragonal a=b≠c  =  =  = 90° or rotoinversion axis 6 or 7
parallel to z-axis

Rhombohedral One 3-fold rotation

a=b=c  =  =  ≠ 90° or rotoinversion axis 5, 6 or 7
(Trigonal)
parallel to z-axis
Three 2-fold rotation
Orthorhombic a≠b≠c  =  =  = 90° or rotoinversion axes 9
parallel to x,y,z-axes
One 2-fold rotation
Monoclinic a≠b≠c  =  = 90° ≠  or rotoinversion axis 13
parallel to y-axis
- None - Increasing
Triclinic a≠b≠c  ≠  ≠  ≠ 90° One 1-fold rotation 21 # Elastic
[Nye, pp. 287-288]
Table 21.4
B* Table 21.5 or rotoinversion axis const.

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Form of the elastic constant matrices for different symmetries.

More Reading Regarding the Reduction of Triclinic Monoclinic Orthorhombic

Elastic Constants with Increasing Symmetry

Both classes All classes All classes

• A clear explanation of the reduction in the number of

elastic constants due to crystal symmetry is provided in
Chapter 6 of Wagoner and Chenot (pp. 196-207). Tetragonal Trigonal
Classes 4mm, 42m,
Classes 4, 4, 4 / m 422,4 / mmm Classes 3, 3 Classes 32, 3m,3m Zero component (s = 0, c = 0)
Non-zero component (s ≠ 0, c ≠ 0)

• Excellent explanations are also provided in Nye (i.e., Equal components

Numerically equal but opposite
Ch. 8 and Appendix B) and in Reid (Ch. 3).  = 2 ฀ for s;  = ฀/2 for c
฀=2(s 11 – s22) or (c11 – c22)/2
Diad ฀x2 Diad ฀x3
standard
• You are urged, but not required, to review some of this orientation

material. Hexagonal
All classes
Cubic
All classes
Isotropic
All classes
Figure adapted from J.F.
Nye, Physical Properties of
Crystals, Oxford University
Press (1985), p. 140-141.

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Cubic Symmetry and Elastic Constants Isotropy considerations

3 3

2 2
1 1

• Application of a stress along the [100] direction evokes a certain • Cubic materials are not necessarily isotropic.
elastic response. Stresses applied along the [010] or [001] axes will
evoke an equivalent elastic response. Thus: • For these systems, anisotropy is defined by the Zener ratio, A:
– C11 = C22 = C33

• Similarly, applied shear stresses will evoke equivalent responses

C11  C12  / 2C44
NOTE: Some books (Ex., Hertzberg) present an
along the following axes: A or inverted version of this equation. However, the
– C44 = C55 = C66; C12 = C13 = C23 implications are still the same.
2 S11  S12  / S 44

• The number of independent elastic constants for a cubic material is 3. • When the Zener ratio = 1, the material is isotropic.

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FOR CUBIC SOLIDS

Many parameters are used to describe the elastic
 C11 C12 C12 0 0 0  properties of materials
  C11 C12 0 0 0 
 
   C11 0 0 0  C11  C22 1 ฀1
    C44 0 0 
C44 
2 E
1 G     S12
 
S11 S44 2 S11  S12  S11
     C44 0 
  
     C44 

These expressions are for isotropic solids. They are interrelated

 S11 S12 S12 0 0 0 

  S11 S12 0 0 0 
  E
   S11 0 0 0  G
 S 44  2  S11  S 22  2 1 
    S44 0 0 
     S44 0 
  
     S44  See Ch. 8 in Nye, Ch. 13 in Newnham, or Ch. 10 in Gersten for a
more thorough explanation.
We can assume that most polycrystalline solids are isotropic but not all. Wikipedia also provides a nice discussion.

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Elastic Moduli in Cubic Materials

We can use the different relations among elastic constants

to ascertain elastic moduli in any crystallographic orientation

1
 S 11  2  S11  S12  1 S 44   2  2   2 2   2 2 
Ehkl  2 

Where α, β, and γ are the direction cosines between the [hkl]

crystal direction and the [100], [010], and [001] directions
(i.e., the x,y,z axes).

α = cos([hkl][100]) ; β = cos([hkl][010]) ; γ = cos([hkl][010])

R.W. Hertzberg, Deformation & Fracture Mechanics of Engineering Materials, 4th ed.,
(John Wiley & Sons, New York, 1996) p. 14.

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Example Problem Example Problem – cont’d

• Compute the elastic modulus for tungsten in
1
the <110> direction.  S 11  2  S11  S12  1 S 44   2  2   2 2   2 2 
Ehkl  2 
We need the direction cosines for the unit
vectors in the cubic lattice. 1 1 1
 0.26  2  0.26  (0.07)  (0.66)  
  0  0 
E110  2  4 
<hkl> = <110>  0.26  (0)(1/ 4)

α = 1/√2
E110  384.6 GPa
β = 1/√2 z <110>

y
γ=0
x

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Elastic Moduli in Hexagonal Crystals

[001]

[001] Fig. 2.10 from Roesler et al.

 [hkl] Orientation dependence of Young’s
modulus for some materials. In each
1 spatial direction, the distance of the
 S11 (1  2 ) 2  S33 4   2 1  2 2S13  S 44 
[010]
[100] surface from the origin is a measure

 [010] Ehkl of Young’s modulus. For example,
Copper is elastically soft along
(a) Titanium carbide (b) Tungsten, A = 1.00 (c) Aluminum, A = 1.23 <100> type directions and is
[100]
A = 0.88 elastically stiff along <111> type
Hexagonal
directions.

We can describe anisotropy

• α = cos([hkl][100]) ; β = cos([hkl][010]) ; γ = cos([hkl][010]) in terms of the Zener ratio:
for the hexagonal unit cell.
2 S11  S12  2C44
A 
(d) Silicon, A = 1.57 (b) Gold, A = 1.89 (f)  Iron, A = 2.13 S44 C11  C12 
• In hexagonal crystals, Ehkl depends only on the direction When A = 1, the material is
cosine γ which lies perpendicular to the basal plane. isotropic. As A deviates, the
material becomes more
anisotropic.
• As a result the modulus of elasticity in hexagonal crystals is
isotropic everywhere in the basal plane.
(g) Nickel, A = 2.50 (h) Copper, A = 3.22 (i) Zinc
E(0001) / E(1010) =2.13

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Elastic properties of polycrystals Temperature dependence of elastic moduli

• In single crystals elastic constants are determined by • Young’s modulus does vary with temperature.
bonding between atoms. As such, most single crystals are
mechanically anisotropic.
• For metals and ceramics there are some general
rules of thumb for temperatures lower than half of the
• In polycrystals, the anisotropic behavior of each grain melting temperature.
“averages out” because: (a) grain orientations tend to be
random; and (b) the deformation of one grain is dependent  T 
on the deformation of its neighbor. Metals: E(T )  E(0 K)  1 0.5 
 Tmp 
• Exceptions occur when the material is textured (i.e., the  T 
grains exhibit a preferred orientation). Ceramics: E(T )  E(0 K)  1 0.3 
 Tmp 

• Page 34 in Hosford lists some possibilities.

• Different rules apply for polymers.

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Origin of T dependence Young’s modulus also tends to scale with Tmp for similar reasons.

E (GPa)
• Raising T increases the energy of 500 Ir
the atoms by an amount Ut
Re
causing them to oscillate about W
U Repulsion 400
Ru
their equilibrium positions.

300 Mo
ro rT1 • The repulsive interaction is short Be
range in comparison to the Fe
attractive interaction. 200
r Mn Ni
Cu Ta
T1 > 0 K Zn Cr
Ut • The mean distance between 100
Sn Al Ti Nb
Ag Au
To = 0 K atoms thus grows when Na Zr
temperature is increased due to Pb Mg
0
oscillation. 0 500 1000 1500 2000 2500 3000 3500
Attraction Tmp (K)
• Thermal expansion increases and
E decreases with increasing T.

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Influence of alloying
• Alloying generally has little
influence on the stiffness of
materials. This is because the 207

solubility of alloying elements is

generally very small (<10%).
121
• As noted by Roesler et al., the
elastic modulus for Al alloys
varies by roughly 10% while [Roesler, p. 41]

their strengths can be

significantly altered by alloying.

• The Cu-Ni system is an

exception to the rule. Ni is
100% soluble in Ni.

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HOMEWORK
From Dieter
Strain
2-7
• When a solid is subjected to a load, parts of the solid are
displaced from their original positions. Khi vật thể chịu tải,
các phần tử trong vật thể bị dịch chuyển khỏi vị trí ban đầu.
Module #4 • Think of it like this; the atoms making up the solid are displaced
from their original positions.
C´
Fundamentals of strain, The strain deviator, Mohr’s circle for strain
Cơ sở lý thuyết về biến dạng, biến dạng lệch, vòng tròn Morh B´ C
biến dạng B

Load
A´
A
READING LIST O´
DIETER: Ch. 2, Pages 38-46
O

Pages 11-12 in Hosford Ch. 6 in Nye Load

• This displacement of points or particles under an applied stress

is termed strain. Sự dịch chuyển vị trí của các chất điểm dưới
sự tác động của ứng suất gọi là biến dạng.

1 2

1
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y Where to begin
• Consider a point A in a solid located at position x,y,z.
Total Displacement • Xem xét điểm A trong vật thể có tọa đồ ban đầu x,y,z
Tổng sự dịch chuyển

Z
x
w A (x,y,z)
=

A′ (x+u,y+v,z+w)
uA
v
y
y y y
-v u u

+ +

x

• Apply force to the body and point A (x,y,z) is displaced to

 v v
x x x
Translation
Rotation Pure Shear A′ (x+u, y+v, z+w).
Tịnh tiến
Xoay Biến dạng trượt/cắt Khi vật thể chịu tác động của ngoại lực, điểm A dịch chuyển đến A’

3 4

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Displacement of points - Chuyển vị của 1 điểm

1-D Linear Strain
• Displacement vector- Véc tơ chuyển vị:
uA = f(u,v,w) A B

where u, v, and w are units of translation along the x, y, z dx

Axes- u,v, w đơn vị dịch chuyển theo các trục.
A´ B´
F
• Solids are composed of many x
particles. Vật thể bao gồm z
nhiều chất điểm như thế. A (x,y,z)
0 1 2 3 4 5

A′ (x+u,y+v,z+w)
uA
• If uA is constant for all y
particles, no deformation
• Points A and B are displaced from their original positions
occurs (only translation). x
• Nếu uA bằng hằng số với tất Displacement = Translation + Rotation + Shear • The amount of displacement is a function of x. Point B
cả các điểm thì vật thể chỉ moves farther than Point A.
chuyển động tịnh tiến • Let distance A  A’ = u.
• If uA varies from particle to particle, i.e., ui = f(xi), the solid • Thus, distance B  B’ = u+(Δu/Δx)dx = u+(u/x)dx.
deforms. Nếu uA thay đổi từ điểm này đến điểm khác, vật thẻ bị
biến dạng
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1-D Linear Strain – cont’d. Generalization to 3-D

A B
• Displacement is related to the initial coordinates of the
dx point.
A´ B´ z
F
u  exx x  exy y  exz z 
x  w
v  eyx x  e yy y  eyz z  ui eijx j A (x,y,z)

w  ezx x  ezy y  ezz z 

A′ (x+u,y+v,z+w)
• Strain is defined by the following relationship: uA
v
u y
dx  dx  dx u
L  A B  AB  x  u   u 
exx  • Normal / Linear Strains:
L AB dx x  x 
• Integrating yields the displacement. u v w x
exx  , e yy  , e zz 
u  uo  exx x x y z If we orient the system such that the load
v is applied parallel to the x-axis. The
• uo ≈ rigid body translation, which we can subtract, yielding:  u w
 exx  x , eyy  y , ezz  z  variables u, v, and w are displacements
u  exx x   parallel to the x, y, and z axes.

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Shear Strains in 2-D and 3-D 2D

• Displacement of AD increases with distance along the
• Consider a square or cubic element that is distorted by shear.
y-axis resulting in an angular distortion of y-axis.
y
y
C´
C´

  DD u or u  D´
D´
C exy   y  D C
D h DA y
u
u

B´
shear distortion of the B´
v x
v x y-axis in the x-direction A
A B
B
  BB v or v 
Incremental displacement in x-direction = u. • An analogous event eyx   x 
h AB x
Incremental displacement in y-direction = v. occurs along the
x-axis. shear distortion of the
Incremental displacement in z-direction = w. x-axis in the y-direction

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Strain in 3-D
• The displacement strain is defined by nine strain components: 3D Displacement Strain Matrix
– exx, exy, exz, eyy, eyx, eyz, ezz, ezx, ezy
– The strains on the negative faces are equal to satisfy the requirements
u u u u u u
for equilibrium.
z x y z x y z
• Notation is similar to stress; exx exy exz
ezz v v v v v v
subscripts reversed: eij  eyx eyy eyz  
exz
eyz
x y z x y z
ezy – eij: i = direction of displacement ezx ezy ezz
ezx eyy j = plane on which strain acts w w w w w w
exx
eyx exy
x y z x y z
y • Convention
– (+)ive when both i & j are (+)ive
x
– (+)ive when both i & j are (-)ive • The displacement strain matrix.
– (-)ive when both i & j are opposite

• Tension: eij = positive • Can produce pure shear strain and rigid-body rotation.
• Compression: eij = negative

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y exy = eyx y exy = -eyx y exy = u/y

eyx = 0
u u u
Decomposition of Strain
 
y
eij  ij  ij
v

x x  -v x x
1
(1) (2) (3)  e  e ji  12 eij  e ji 
2 ij
Pure Shear Rotation Simple Shear
w/o Rotation

1  u u  1  u u 
• We need to break the displacement matrix into strain   i  j   i  j 
and rotational components. 2  x j xi  2  x j xi 
Symmetric Anti-symmetric

• We can decompose the total strain matrix into Shear Rotation

symmetric and anti-symmetric components.

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Displacement strain
exx
e
exy
eyy
exz 

eyz 
Shear Strain
 yx
[matrix] ezx ezy ezz 
• Total angular change from a right angle.
=

=
  exy  eyx  2 xy (ij  0)
1 y exy = eyx

 exx exy  e yx  1 exz  ezx 
 xx  xy  xz  
 1
2 2
1

u
 ij  2ij (engineering shear strain)

Shear strain εij   yx  yy  yz   exy  eyx  eyy e  ezy 
2 2 yz
[tensor]  zx  zy  zz   1 
1
 exz  ezx 
2 2
eyz  ezy  ezz 
 u v
 xy  
+ + v
x
y x
w u
 1 1 (1)  xz  
 0 e  eyx  e  e  x z
xx xy xz   2
xy
2 xz zx  Pure Shear

  1 1 w/o Rotation w v
Rotation ij  xy yy yz   eyx  e xy 
2
0 e  ezy 
2 yz  yz  
[tensor] xz yz zz   1 1  y z
 e  e 
2 zx xz 2
ezy  eyz  0 


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1 2
Transformation of Strains  3 -  xx   yy   zz  2    xx yy   yy  zz   xxzz -

 -  2 -  2  
4 xy yz xz 
1 1
-  xx yy  zz   xy  yz  xz -  xx  yz2   yy xz2   zz  xy2   0
• Equations for strain, analogous to those for stress, can be  4 4 
written by substituting  for  and /2 for . or
 3 - I1 2  I2 - I3  0
   normal   xxl 2   yy m2   n 2   2lm   2mn   2nl
zz xy yz zx

• The directions in which the principal strains act are determined by

substituting 1, 2, and 3, each for  in:

( xx -  )2l   yx m   zx n  0
  normal   xxl 2   yy m 2   n 2   lm   mn   nl  xy l  ( yy -  )2m   zy n  0
zz xy yz zx  xz l   yz m  ( zz -  )2n  0

• We can also define a coordinate system where there will
be no shear strains. These will be principal axes
and then solving the resulting equations simultaneously for l, m, and n
(using the relationship l2 + m2 + n2 = 1).
(a)Substitute 1 for  in & solve; (b) Substitute 2 for  in & solve; (c)
Substitute 3 for  in & solve.

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Hydrostatic Component
Equations for Principal Shearing Strains
1   2  3 • Volume = dxdydz
z dz
 max   2  1   3
y
• Volume of strained element
 3  1   2 x dx = 1  xx 1  yy 1 zz dxdydz
dy

• Deformation of a solid involves a combination of volume • The volume strain is:

change and shape change.

1  xx 1  yy 1 zz dxdydz  dxdydz
dxdydz
• We can separate strain into hydrostatic (volume change)
and deviatoric (shape change) components.  1  xx 1  yy 1 zz   1

• If we neglect the products of strains (i.e., εii×εjj), this becomes:

   xx   yy  zz
which is equal to the first invariant of the strain tensor

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The Strain Deviator

• The hydrostatic component of strain, i.e., the mean strain, is:
 xx   yy  zz ii  
 mean    xx  mean  xy  xz
3 3 3
ij  yx  yy  mean yz
The mean strain does not induce shape change. It causes volume
zx zy zz  mean
change. It is the hydrostatic component.

2 xx   yy  zz
 xy  xz
• The part that causes shape change is called the strain deviator. 3
We get the strain deviator by subtracting the mean strain from the 2 yy  zz   xx
normal strain components.
  yx  yz
3
 xx  mean  xy  xz  zx  zy
2zz  
xx yy

3
ij  yx  yy  mean yz
zx zy zz  mean

 
 ij   ij  m    ij   ij    ij
 3  3

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Mohr’s Circle for Strain MAXIMUM & MINUMUM PRINCIPAL STRAINS IN 2-D STATE
CW
Allows us to determine the
magnitude and directions of the
    yy    xy 
2 2
principal strains.  max 1  xx   yy
+γ/2     xx
max/2
min 2 2  2   2 
H(yy, yx/2)
Intersection with
the -axis is min=2
  yy 2   

2
C(average, 0)
(1, ) ε
 max   3  xx xy

(2, ) 2

 xy
tan 2 normal 
V(xx, -xy/2)
 xx   yy

Intersection with
the -axis is  xx   yy
CCW
max = 1 tan 2 shear  
 xy

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Strain Measurement State of stress at a point:

  xx  xy  xz   11 12 13 

• Strain can be measured using a strain gauge.    
 yx  yy  yz    21  22  23
• When an object is deformed, the wires in the strain    
  zx  zy  zz    31  32  33 
gate are strained which changes their electrical
resistance, which is proportional to strain.   11 12 13 
  12  22  23 

• Strain gauges make only direct readings of linear  
 13  23  33 
strain. Shear strain must be determined indirectly.

State of strain at a point:

45°
60°
 11 12 13   11 12 13 
y   22  23    12  22  23 
 60 120 21
 45 45°  32 33   13 23 33 
 31
60° x 60°
x
There are many different systems of notation.
Rectangular Delta BE WARY!

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Matrix Notation General forms for stress and strain in matrix notation
• We often replace the indices with matrix notation for 6 5 

simplicity  1 2 2
 1  6  5  
     6
 4 
xx 11 1 yy 11  2 zz  33  3  6 2 4 2
    2 2
yz  23 4 xz 13  5 xy 12  6  5 3  
4
 5 5
3 
2 2 
11 12 13   1 6 5 
 22 23   2 4 NOTE
 
33   3 
 1  11;2   22; 3  33
 4  223   23
• This will be particularly important when we discuss higher
order tensors and tensor relationships (i.e., elastic properties) Special definitions  5  213  13
 6  212  12

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HOMEWORK
From Dieter Engineering Stress-Strain Curve in Tension
8-1, 8-6, 8-7, 8-8

Module #6a ELASTIC PLASTIC

Ultimate tensile • Elastic deformation

Đường cong ứng suất – biến dạng

Stress (Force/Area)
Strain strength, u or UTS
Hardening
up to elastic limit.
(σ = Kεn) Necking • Plastic deformation
Elastic after elastic limit.
limit
• Uniform plastic
Stress-strain curves deformation between
Plastic deformation Elastic elastic limit and the
Modulus
UTS.
Empirical relationships for stress and strain E (σ = εE)
0.2% Offset yield stress • Nonuniform plastic
Criteria for necking (o, ys, YS, etc.)
deformation after
UTS.
READING LIST Recoverable
• In tension this non-
elastic strain
DIETER: Ch. 8, pp. 275-295 energy uniform deformation
Strain is called necking.
0.2% STRAIN, p=0.002
Ch. 3 in Meyers & Chawla, 1st ed. (pp. 112-160)
Uniform plastic strain Non-uniform
Ch. 1, Pages 1-39 in Courtney plastic strain
Elastic strain

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Strain Hardening
• The stress-strain curve (i.e., flow curve) in the region of Strain-hardening exponent
uniform plastic deformation does not increase proportionally
d (log ) d(ln )  d
with strain. The material is said to work harden (i.e., strain n  
harden). d (log  ) d (ln  )  d

• An empirical mathematical relationship was advanced by

Holloman in 1945 to describe the shape of the engineering n = 0 for perfectly plastic solids
stress-strain curve. n = 1 for perfectly elastic solids
n = 0.1 – 0.5 for most metals
σ = K εn,
where is the σ true stress, ε is true strain, K is a strength
coefficient (equal to the true stress at ε = 1.0), and n is the Strain-hardening rate
strain-hardening exponent. Thus, one can obtain n from a log- d
log plot of σ versus ε.  n
d 

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Post-necking deformation
Why does necking occur?
Necking Non-uniform
begins plastic
deformation • We can explain things mathematically by considering
Uniform
plastic strength increases caused by strain hardening and
deformation
Fracture F F reductions in cross-sectional area caused by the Poisson
UTS effect.
F (or s = F/Ao)

YS • During plastic deformation, the load carrying capacity of

the material increases as strain increases due to strain-
Lo Af
Ao Li
Lf
Ai
necking hardening.

• Strain hardening is opposed by the gradual decrease in the

F
0.2% eu ef F cross-sectional area of the specimen as it gets longer.

L = L-Lo (or e = [(L-Lo)/Lo])

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Why does necking occur? Criteria for Necking

• At maximum load (i.e., the UTS on the engineering stress- • Let us start by considering the amount of force (dF)
strain curve) the required increase in stress to deform the that is required to deform a specimen by dε.
material further exceeds its load carrying capacity. This
leads to localized plastic deformation or “necking.” FA
NOTE: We are
F F The slope of the stress strain curve is: using true stress
and strain (i.e., , ε)
dF   dA    d  here rather than
    A  engineering stress
“The material can’t d    d    d  and strain (s, e)

sustain the increase in

Lo
Ao Li
Ai
Lf
Af
stress required to (d/d) is the Work Hardening Rate. It is the slope of
necking continue deforming and the stress-strain curve. It is always positive.
work hardening it”

F (dA/d) is the Rate of Geometrical Softening. It is the

F
rate at which the cross-sectional area of the
• Necking represents “unstable” flow (deformation) specimen decreases with increasing strain due to
constancy of volume. It is always negative.

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Criteria for Necking – cont’d Criteria for Necking – cont’d

• Local ↓ in A (i.e., deformation) causes that region to
• The criteria for instability is defined by the condition
strain harden locally (relative to the rest of the cross
where the slope of the force distance curve equals
section). The remainder of the cross section then
zero (dF = 0):
deforms until a uniform cross-section is re- F A
established.
where
• The rates balance at the UTS [(dA/d) = (d/d)]. F  load, NOTE: We are using true
stress and strain here
• When (dA/d) > (d/d), deformation becomes   true stress, rather than engineering

unstable. The material cannot strain harden fast A  area at max load
enough to inhibit necking.

dF   dA  Ad  0 ……………..(*)

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Criteria for Necking – cont’d Criteria for Necking – cont’d

• Thus, at the point of tensile instability,
• Recall that deformation is a constant volume process. d
Thus:  When “necking” occurs.

d
Lo Ao  LA  constant • If we incorporate engineering strain e, into the equation
presented above, we can develop a more explicit
expression:
dL dA d d de d dL /Lo  d L  d (1 e)  
  d  
L A d de d de dL /L de Lo de
or
• If we invoke the instability criteria from above (*) then
d ฀
we get: 
de (1 e)
dA  d  d • This is known as Considère’s construction.
A 

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Considère’s Construction Unstable deformation

True stress

• If we substitute the necking criterion,

d 

d

uts
suts into the equation for the work hardening rate, we get:

d  
n
-1 +1 d 
0
1.0 euts Engineering strain
1 + euts which, after re-arranging, becomes:
n

Work hardening exponent True uniform strain or

Strain at the onset of
necking

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Process of Necking F F F F Other Stress-Strain Relationships

(a) During tensile deformation, strain can • We’ve already considered the strain hardening
become localized along the sample length. (b)
When strains are less than the UTS, work exponent. We’ve noted how it increases with
hardening strengthens the material in the strain
localized area relative to the rest of the Lo Li1
increasing strength and, as you will learn later,
decreasing dislocation mobility.
Ao Ai1 Li2 LUTS AUTS Lf Af
specimen. (c) The work-hardening rate (WHR) Ai2
decreases as strain increases. At εUTS the
decrease in cross-sectional area becomes
equal to the increase in flow strength due to
work hardening. As a result, the localized
region (i.e., “neck”) becomes permanent. (d) as
• Stress-strain behavior is also influenced by the rate
F
strain increases, the neck gets bigger until the F F F of deformation (i.e., the strain rate):
material fails.
ε =0 ε < εUTS ε = εUTS ε > εUTS

Parameter Fundamental Before Necking After Necking   K฀m

Definition
F F
Engineering stress σe  sF e e
e
Ao Ao Ao
  true stress
F F
   F t  t
True stress σt
K   constant = stress at strain rate of 1 s
-1
t
Ai Ai Aneck

  e  L  L  L
Engineering strain εe e
Lo
e
Lo e
Lo ฀  true strain rate
  ln Li  ln Ao  ln 1    m  strain-rate sensitivity factor  d log  d log
True strain εt   ln Ao t t
Lo Ai e   ln Ao t
Amin Aneck
฀

15 16

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฀3 ฀2
฀3 ฀1 or
,T3
฀2 T1 T2 T3
,T2

฀1
s = F/Ao

,T1

Increasing strain rate

or
decreasing temperature

e = [(L-Lo)/Lo]

Mechanical properties are sensitive to temperature and strain rate.

HOW AND WHY?

17

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Mohr’s Circle in 3-D

• We can use a 3-D Mohr’s circle to visualize the state of
stress and to determine principal stresses.
Leson 6-b – Điều kiện dẻo, phá hủy 

• Essentially three 2-D Mohr’s

Yield/failure criteria circles corresponding to the
x-y, x-z, and y-z faces of the 2
READING LIST elemental cubic element. 3
z 1
DIETER: Ch. 2, pp. 36-38; Ch. 3, pp. 77-85 3 2 1 
Dowling: Ch. 7, pp. 254-302 zz
zy
zx
yz
Ch. 3 in Roesler xz yy
Ch. 2 in McClintock and Argon xy yx
Ch. 7 in Edelglass xx
y

1 2

1
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
Influence of States of Stress
2 2

1 max 3

max
3
 1
• Biaxial and triaxial tension:
Uniaxial 3 = 2 = 0 1 = 2 = 0 Uniaxial
Tension 1 3
Compression
1 0 0 0 0 0 
0 0 0  

 0 0 0
0 0 0 
0 0  3 
– Effectively reduces the shear stresses resulting in a
  considerable decrease in ductility. (Plastic deformation is
2 produced by shear stresses.)
2
1 3 max = 2= 3
1
1 max = 2
 
3
3 = 0 2= 3
σ3
1 = 22 = 23
• Uniaxial tension plus biaxial compression:
2
Biaxial 1 1 Triaxial Tension
Tension (unequal)
1 0 0 1 0 0
– Produces high shear stresses and contributes towards

 0 2 0


 0 2 0
 increased plastic deformation without fracture.
 0 0 0  0 0  3 
max = 2= 3
2

1 – This is like metal forming via extrusion which gives better

Adapted from G.E.
 ductility than uniaxial tension.
Dieter, Mechanical σ3 Uniaxial Tension plus
Biaxial Compression
Metallurgy, 3rd ed., 1 = -22 = -23 1
2 = 3
McGraw-Hill (1986) p. 37

3 4

2

Multiaxial Loading
Most service conditions and forming operations
(Ex., drawing) involve multiaxial loading.
Under multiaxial loading conditions, a material or
structure may yield or fracture locally (or globally)
depending upon the state of stress.
We can use the calculated principal stresses to
define criteria for yielding or failure.
5 6
9/30/2023
Yield/Failure Criteria (1)
Mathematical tools to decide whether the stress
state in a material will cause plastic deformation or
failure.
Consider an isotropic polycrystalline metal
deformed in uniaxial tension. It will yield when:
 applied  YS
This is a valid yield criterion for the stated problem.
3
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Yield/Failure Criteria (2) Yield/Failure Criteria (3)

Consider the same isotropic polycrystalline metal The equivalent stress, being a function of the stress
deformed in a multiaxial stress state. tensor, can be expressed as:

 equivalent  xx , yy , zz , yz , xz , xy 
We can’t simply determine the stress at yielding
because stress will vary from point to point.
At yielding/failure, this equivalent stress much reach
the critical value (e.g., σYS, σf, τCRSS, etc.). Thus:
Instead we calculate an equivalent stress from the
components of the stress tensor and compare it with  equivalent  xx , yy , zz , yz , xz , xy    critical
the critical stress for yielding/failure. or
 equivalent ij    critical
(at failure)

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Yield/Failure Criteria (4) Yield/Failure Criteria (5)

Yield criteria are generally expressed as: For isotropic materials, we can express yield criteria
in terms of principal stresses.
f ij    equivalent ij   critical  0
f 1 , 2 , 3   0
Thus, when f(σij) < 0, the material does not yield/fail.
If we plot the function f(σ1,σ2,σ3) on orthogonal σ1, σ2,
When f(σij) ≥ 0, the material yields/fails. σ3 axes we obtain a yield surface.

Example: We can use the yield surface to determine, for each

Uniaxial tension. Material deforms elastically up to the yield stress. When possible state of stress, whether or not a material
applied load reaches the critical load (i.e., the YS), plastic deformation yields/fails.
occurs. The yield/failure criterion could be expressed as:

f  ij    applied  YS  0

9 10

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Yield/Failure Criteria (6) Yield (Failure) Criteria (7)

There are many different yield criteria. Tresca (Maximum-Shear-Stress) Yield Criterion:
• Yielding occurs when the difference between the
maximum and minimum normal stresses reaches a critical
We will limit ourselves to these three: value, the yield strength

 max   min  1   3   1   3   ys
1. Rankine ys OR  max    CRSS
[for a tensile test]
2 2
2. Tresca
τ τ
3. von Mises CRSS
Yield strength
CRSS
Yield strength

3 2 1 3 2 1
Remember, there are more than these two. σ σ

CRSS CRSS
Yield strength Yield strength

No Yielding! Yielding!

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Yield (Failure) Criteria (8) Yield (Failure) Criteria (9)

Rankine (Maximum-Principal-Stress) Criterion: Von-Mises Yield Criterion (Distortion Energy Criterion):
• Cleavage fracture occurs when the cleavage strength is
reached before the yield strength. • Yielding occurs when the second invariant of the stress
deviator, J2, exceeds a critical value or:
 eq 1 ,  2 ,  3    ys
BUT
J2 = constant = k2.
1   f (the cleavage strength)
τ τ
Yield strength Yield strength
• What is the stress deviator and how do I find k2?
CRSS CRSS
Cleavage

Cleavage
strength

strength

3 2 1
f σ
3 2 1
f σ • The stress deviator represents the part of the total stress
state that causes shape change (i.e., deformation).
CRSS CRSS
Yield strength Yield strength

Cleavage fracture! Yielding!

13 14

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z z z
zz m zz-m
The Stress Deviator (1)
zy zy
zx zx
yz yz
xz = + xz

xy yx
yy m
xy yx
yy-m
 xx  xy  xz  m 0 0  xx   m   xy  xz
xx
y m
y xx-m
y  yx  yy  yz  0  m 0   yx  yy  m   yz
 zx  zy  zz 0 0 m
x x x
 zx  zy
฀ ฀฀ ฀ ฀ ฀ ฀ ฀฀ ฀ ฀ ฀ ฀ ฀ ฀ ฀ ฀ ฀ ฀฀  zz ฀฀m 
฀฀฀
฀ ฀
Total Stress Hydrostatic Stress
฀฀
Stress Deviator
TOTAL HYDROSTATIC DEVIATOR
[ISOTROPIC] The hydrostatic stress,  m , does not cause plastic deformation

causes causes  xx   yy   zz  1   2   3  I1
dilation distortion m  P 
3 3 3
Volume change Shape change

No shape
change! The stress deviatior causes plastic deformation

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The Stress Deviator (2) The Stress Deviator (3)

 xx - m   xy  xz
 ji   yx  yy - m   yz • This yields a new cubic equation that has
 zx  zy  zz - m  three new invariants:

2 xx   yy   zz
 xy  xz  3  J1 2  J2  J3  0
3
2 yy   zz   xx
  yx  yz
3 • The invariants are the:
2 zz   xx   yy (1) sum of main diagonal;
 zx  zy (2) sum of principal minors;
3
(3) determinant of deviator tensor.
• Take the determinant of the stress deviator.

17 18

9
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The Stress Deviator (4) The Stress Deviator (5)

• Two of the new invariants, the invariants of the • In uniaxial tension, yielding occurs when σ1 = σYS
stress deviator, are of great importance: (yield stress) and σ2 = σ3 =0. Thus J2 becomes:

1
J1  I1   m  ( xx   m )  ( yy   m )  ( zz   m ) J 2  (   2 ) 2  ( 2   3 )2  ( 3  1 ) 2 
6 1
1
 ( )2  ( YS )2 
1
J 2  I 2   m  ( xx   yy )2  ( yy   zz )2  ( zz   xx )2  6( xy2 -  yz2 -  xz2 ) 6  YS
6
1  k2
 (1   2 ) 2  ( 2   3 ) 2  ( 3   1 ) 2 
6  2
฀YS
3

• It represents the condition required to cause

yielding.

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10
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The Stress Deviator (6) • Look at Figure 1.11 from Courtney’s text (next page). This figure shows
the yield locus for plane stress.

• Therefore, the von Mises criterion becomes: • States of stress with principal stresses lying within the bounds of
the yield locus do not produce yielding.

1 1/2
Quadrant I: yielding occurs when 1 or 2 = ys
( 1   2 ) 2  ( 2   3 )2  ( 3  1 ) 2   3k 2   YS  YS

2 max (1) - min (3=0) = ys

Quadrant II: 1 (min)< 0; 2  0; 3 = 0)

2 - 1 = ys
• Yielding occurs when J2 equals or exceeds the so neither 1 or 2 = ys and still get yielding
tensile yield stress. • The Tresca criterion is less complicated (in terms of math). It is often
used in engineering design. It is also more conservative.

• However, the Tresca criterion does not take into account the
intermediate principal stress and requires that you know the maximum
and minimum principal stresses.

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BIAXIAL TENSION (σ1 ,σ2 >0 ) BIAXIAL TENSION (σ1,σ2 > 0 )

minor tensile stress does 2
not affect the stress minor tensile stress does
Tresca 2
required for yielding.
2
y
2 not affect the stress
Yielding Yielding
y y required for yielding.
II I
Steel Yielding
y
Copper  ys
No yielding No yielding Nickel II I Tresca
1 1 1
y • Stress combinations lying within the
Tresca y No yielding
III
 y IV y curve do not result in plastic flow; those
1, 2  0
von Mises
1 lying outside it do.
y
3  0 von Mises
• In quadrants I and III, yielding occurs
( 1  )22( 1  )32 (  2  )3
when the magnitude of the algebraically
2

y  EXPERIMENTAL DATA
FOR BIAXIAL LOADING III IV
2
Von Mises more accurately
 ys largest (in I) or smallest (in III) stress
H* shows that for biaxial
exceeds σys, the tensile yield strength.
[adapted from Courtney, p. 18]
loading the minor stress 1, 2  0
FIGURE 1.11 does affect yielding
30 • In quadrant II, (σ2>0, σ1<0, σ3=0),
(a) The Tresca yield condition for biaxial loading. Stress combinations lying within the curve do not result in plastic flow;
those lying outside it do. In quadrants I and III, yielding occurs when the magnitude of the algebraically largest (in I) or yielding is defined by σmax (=σ2)-
[adapted from Courtney, p. 18]
smallest (in III) stress exceeds σys, the tensile yield strength. In quadrant II, (σ2>0, σ1<0, σ3=0), yielding is defined by σmax σmin (=σ1) =σys, and this results in a 45°
(=σ2)-σmin(=σ1) =σys, and this results in a 45° line defining yielding. The yield criterion is similar in quadrant IV (σ1>0, σ2<0,
σ3 = 0), except that σ1 and σ2 are interchanged. (b) The von Mises yield condition for biaxial loading is shown by the solid line.
line defining yielding. The yield criterion
Stress combinations lying within the ellipse do not lead to plastic flow; those lying outside do. The Tresca condition (dotted is similar in quadrant IV (σ1>0, σ2<0, σ3
line) is compared to the von Mises one in the figure. The former is more conservative and the two are equivalent only for = 0), except that σ1 and σ2 are
uniaxial (σ1,2>0 with σ2,1=σ3=0), and balanced biaxial (σ1=σ2, σ3=0), tension. (c) Comparison of experimental data for selected
metals with the Tresca and von Mises criteria. The latter clearly fits the better data, though the difference between the criteria interchanged.
is not great.

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2 2 von Mises
Yielding Rankine

 ys
von Mises Comparison
 ys
• The von Mises yield condition for biaxial • Comparison of experimental data for
No yielding Tresca
loading is shown by the solid line. selected metals with the Tresca, Rankine,
1
1 • Stress combinations lying within the and von Mises criteria.
 ys ellipse do not lead to plastic flow; those
• The latter (von Mises) clearly fits the
lying outside do.
 ys data better for ductile metals.
• The Tresca condition (dotted line) is
compared to the von Mises one in this • The Rankine criterion fits a brittle metal
figure. like gray cast iron quite well.
(   )  ( 3  )  ( 
2
3  )
2 2
 ys ฀1 2 1 2

2 • The former (Tresca) is more

[adapted from Courtney, p. 18]
conservative and the two are equivalent
only for uniaxial (σ1, σ2 > 0 with σ2, σ1 =
σ3=0), and balanced biaxial (σ1=σ2,
σ3=0), tension.
• However, the difference between the
criteria is not great.
From, Mechanical Behavior of Materials: Engineering Methods for
Deformation, Fracture, and Fatigue, Third Edition, p. 275, by
Norman E. Dowling. ISBN 0-13-186312-6.
© 2007 Pearson Education, Inc., Upper Saddle River, NJ. All rights
reserved.

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Example Problem
p. 1/4 p. 2/4

Example Problem
1. First determine the principal stresses
• The yield strength for a new Ni-base superalloy is 1000
MPa. Determine whether yielding will have occurred on  0 0 500 
the basis of both the Tresca and Von Mises failure criteria  0 200 0 MPa

assuming the following stress state. 500 0 900

 3  ( xx   yy   zz ) 2  ( xx yy   yy zz   xx zz   xy2   yz2   xz2 )

 0 0 500 
 0 200 ( xx yy zz  2 xyyz xz   xxyz2   yyxz2   zzxy2 )  0
0 MPa

500 0 900   3 - (0  200  900) 2  [(0  200)  (200  900)  (0  900)  (0)2  (500)2  (0)2 ]
[(0  200  900)  2(0  500  0)  (0  02 )  (200  5002 )  (900  02 )]  0

 3  (1100) 2  [70, 000] [50, 000,000]  0

 3  1,100 2  70,000  50,000,000  0

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p. 3/4 p. 4/4
2. Substitute principal stresses into equations for Tresca and Von Mises
failure criteria
3000 • Principal stresses:
 +1,100 -70,000+50,000,000 (10 MPa)

σ1 = 223.7; σ2 = -200.0; σ3 = -1123.0

6

2000
• Von Mises:
1
J 2  (1  )2 2 (  2  3) 2(  3  1 ) 2
6
1000 1
2 = -200  (223.7 (200))2  ((200)  (1123))2  ((1123)  223.7)2 
6
3 = -1123  623,908.6
0 For yielding to occur J2 ≥ k2 (=σo2/3) therefore k = 789.9.
σo = k  (3)1/2 = 1368.1 MPa
   223.7
2

Since 1168.1 MPa > 1000 MPa, yielding occurs.

-1000

• Tresca:
3

-2000    223.7  (1123.0)  673.4   o

 max  1 3  OR  o  2  673.4  1346.7
-2000 -1000 0 1000 2 2 2
 (MPa) Since σo = 1346.7 MPa > 1000 MPa, yielding occurs.

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HOMEWORK
Estimate the theoretical
shear and cleavage
strengths for tungsten.
Elastic constants can be
found are on p. 50 of
your text.
When exposed to external forces,
materials will “break”
Lesson #7 – Biến dạngdẻo,lý thuyết độ bền của vật liệu

Plasticity and the Theoretical Strength of Materials deformation

[i.e., change shape]

READING LIST and/or

DIETER: Pages 117-119 and 243-245

Pages 44-53 in Meyers and Chawla, 1st edition fracture

[i.e., separate into pieces]
Ch. 1 in Strong Solids

1 2

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Ways to “break” things

• Specimen breaks suddenly with little or no
Uniaxial Normal distortion; consumes little energy.
Stresses • Brittle fracture.

CLEAVAGE
• The fracture path is perpendicular to a
plane. What is more likely,

cleavage or shear?
• Specimen breaks with lots of distortion
Shear Stresses (i.e., deformation) a specimen; consumes
 energy.
SHEAR • Ductile fracture.
• The fracture path is parallel to a plane.

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Theoretical Strength “Perfect” Crystalline Solids

• Atoms, ions, or molecules are arranged in periodic, repeating,
• We can answer the question posed on the previous symmetric patterns in three dimensions (i.e., atoms, ions, or
viewgraph by estimating estimate the theoretical strengths molecules occupy specific lattice sites and exhibit specific
required to cleave or shear a “perfect” material (i.e., a symmetry relationships in their arrangement).
material that contains no defects).
FCC HCP
• Theoretical strengths are related to:

– Interatomic forces

– Temperature

– State of stress

• For now, let’s ignore temperature effects and variations in

the state of stress.
Fig. 1.7 from Hull & Bacon, 4th ed. Fig. 1.8 from Hull & Bacon, 4th ed.

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Cleavage Cleavage – cont’d

• Separation of all atomic bonds on a  max

plane perpendicular to an applied A

F
stress. A
do
At rest: F, σ = 0
do do
x
d
• Polanyi1 and Orowan2 devised
a simple
method to determine the theoretical F F
A • The stress required to separate two
Force applied:
strength of a perfect crystal. Bonds stretch;
atomic planes varies as a function of
di the distance between planes.
F F, σ > 0
A
• Critical assumptions: • Orowan assumed a sinusoidal
d
F
variance for simplicity.
– The crystal contains no defects and no
F
stress concentrations at the crack tip. A • The area beneath the curve
– All atoms separate simultaneously once they F represents the work required to cleave
reach a critical separation distance d. d At failure: F, σ = 0 the crystal (i.e., the work of
deformation).
1M. Polanyi, Z. Phys., v. 7 (1921) p. 323.
2E. F
Orowan, Rep. Prog. Phys., v. 12 (1949) p. 185.

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Work to Cleave • The stress dependence on planar separation can be

expressed as:
• Two new surfaces are created by cleavage. Work
is needed to create these surfaces. Thus there is a   F  K sin 2 (x  d ) [1]
surface energy associated with these surfaces. A 2d o

• We can find the constant K by relating the initial slope

of the force-distance curve to Young’s modulus.
– Let  = surface energy/area (= E/A)


– For the two surfaces created, the • When x is close to do [i.e., when (x-do) is small], the
total surface energy = 2A. material responds in accord with Hooke’s law
(i.e., σ = E).   max
F
A
• The work to cleave must be greater than the surface
do
energy of the newly created surfaces. do
x
d
F

9 10

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• If we assume that elastic deformation is restricted to • Recall that:

the two planes shown in the adjacent figure, and
  K sin  (x  d o )
that the material is isotropic, we can define the d
incremental strain (dε) as:
F
A
• We can determine K by taking the derivative of this
dx expression with respect to x and substituting it into
d  do
do our expression for E at x = do.
• If we substitute this expression into F
d  
Hooke’s law: do  K d o cos (x  d o )  E
d d dx d d
E  max
d dx / do
or E d
K [2]
d do  do
do E d
x

dx
• Where E is Young’s modulus. • The value of d, the interplanar spacing, is unknown
and must be estimated.

11 12

6
 9/30/2023

• Polanyi and Orowan equated the area under the stress- The theoretical cleavage stress is the, max, maximum value
distance curve to the energy of the surfaces created: of σ in equation [1] where we set the sine term equal to 1.
do d do d
 
 max  K  E d 

  dx  2   K sin
d
(x  do )dx   do 
do do
If we substitute our recently derived value for d (from the
• From calculus: previous slide) into this expression , we get:
1  max  K  E
sinay dy   a cos ay Kd o
which can be re-written as:
• Let y = x – do; then dx = dy.
K 2  E   max  since  max  K.
2

a
 do
 d d 
K  sin ydy  2  K   cos  cos 0 
d     E
0   max 
do
K
2d
 2  d 
 .
[3]
 K The cleavage strain is:
d

     max
 max 
2d o 2 Edo 2 E

13 14

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Some typical values for the theoretical cleavage stress as calculated

In this model, the surface energy term can be expressed as:
from the derived expression are reproduced below. Table 1.1 in
Ka  E  d 2 . Chapter 1 of Strong Solids has a more complete listing.
  
 do   
E Surface energy max
Substance Direction
(GPa) (mJ m-2) (GPa)
The critical separation distance d is of the same order of
Silver <111> 121 1130 24
magnitude as do (i.e., d  do). THUS we can estimate the
Silver <100> 44 1130 16
surface energy as:
Gold <111> 110 1350 27
Edo Edo
  Nickel <100> 138 1730 37
2 10 Tungsten <100> 390 3000 61

-Iron <100> 132 2000 30
E E Diamond <111> 1210 5400 205
 max  
do  Al2O3 <0001> 460 1000 46

From this derivation we can conclude that the cleavage The largest sources of error are the surface energies (), which are
strength at absolute zero (i.e., 0 K) will be highest in materials very difficult to measure accurately.
with high values of E and , and low values of do. More accurate methods for determining max are summarized
Chapter 1 of Strong Solids (pp. 7-24).

15 16

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 9/30/2023

b y
Shear Under an applied stress, atoms will
x

b pass sequentially through
• The other way to break/deform a d
material is via shear.
 equilibrium positions (i.e., A, B, C,

A B C D

etc…).
d

Potential
• Frenkel3 has devised a simple method to

Energy
At each equilibrium position, the
estimate the theoretical shear strength
potential energy  is minimum and
of a perfect crystal.
  = 0.

Stress
Shear
• Consider a crystal structure consisting of δ Ao At non-equilibrium positions,  Displacement, x
two neighboring planes with a
separation distance d and an interatomic increases.  is maximum at ½b.
F
spacing b.
Plastic deformation will occur when the applied shear stress (app) is
• Assume the individual planes do not d
θ
 F large enough to overcome the potential energy barriers. At that point,
distort under an applied shear stress. Ao atoms will move from one equilibrium position to the next one.

F     tan This process is known as “slip.”

d

3J. Frenkel, Z. Phys., v. 37 (1926) p. 572.

17 18

9
 9/30/2023

b y
δ Ao
x
Between equilibrium positions,  If we can re-arrange the equation, and solve
varies cyclically. Assuming the
 for K.
F

variation is sinusoidal.
A B C D d
 b x Gb
K G  d
θ
We can express this variation as: 2 x d 2 d
Potential

 F
Energy

Ao
  K sin 2 x . If we substitute this expression back into our F
b idealized expression for  we get:    tan
d
Stress
Shear

Displacement, x   Gb sin 2 x
In this equation K is a constant that describes the amplitude of the sine 2 d b
wave and b is the period of the sine wave. Since τ is essentially the derivative of the Φ-x curve, τmax occurs when
x = b/4 (i.e., when the sine term → 1)
Recall: for small displacements, Hooke’s law (i.e.,  = εE or  = γG for
isotropic solids) applies leading to: Gb
 max 
2 d
 ฀K 2 x  G  G  x . 
b ฀d The relationships between energy and stress for shear yielding are more
 clearly illustrated on the next viewgraph.
Shear
Strain

19 20

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Consider a face centered cubic (fcc) crystal. The relationship between the
lattice parameter and the interatomic spacing is given by:

2 2 2 ao
b  ao a o  b is the
2 2 2 2 distance
ao between
atom
The spacing between crystal planes in a cubic b centers on
ao
system is given by: lines where

a ao they touch!

dhkl ฀o
h2  k 2  l 2

For fcc crystals, the close packed plane, which is the most likely plane
where shear will occur is (1 1 1).
ao
d111 
3

Substituting the expression for d111, the spacing between (111) planes, in
Fig. 6.15. Energy and stress curves for for d in the original equation and our new expression for b into the equation
rigid shear yielding. for max:
[Copied from G. Gottstein, Physical
G 2ao 3 ฀ G
Foundations of Materials Science,  max 
(Springer-Verlag, Berlin, 2004) p. 213] 2 2 ao 5.13
More refined methods of calculation are described in Chapter 1 of Strong
Solids.

21 22

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 9/30/2023

Some typical values for the theoretical shear Slip bands:

stress (adapted from p.29 of Strong Solids). Composed of
several slip
lines/traces
G max
Material
(GPa) max/G
(GPa) If we compare max and 100’s of Å In ductile crystalline
1000’s of Å
max, we find that max is solids, proof that slip (i.e.,
Copper (10K) 33.2 0.039 1.29
two or more times planar shear) occurs is
Copper 30.8 0.039 1.2
larger than max. provided by the
Gold 19.0 0.039 0.74
Silver 19.7 0.039 0.77
appearance of slip lines
Cobalt 84 0.039 3.49
on the surfaces of single
Aluminum 23 0.039 0.9 What this means is that Figure crystals or individual
Slip in a zinc single crystal. grains.
Aluminum 23 0.114 2.62 materials are more [Copied from W.D.
Nickel 62 0.039 2.4
likely to deform via Callister, Jr, Materials
Nickel 62 0.114 7.1
shear than to cleave. Science and Engineering:
Silicon* 57 0.24 13.7 An Introduction, 7th Ed., I’ve schematically
α-Iron 60 0.11 6.6 (Wiley, New York, 2007) illustrated slip lines above
Tungsten 150 0.11 16.5 p.183.]
This isn’t always true. and provided a picture of
Al2O3 (basal) 147 0.115 16.9
Zinc 38 0.034 2.3 Just most of the time. the real thing. We’ll
Graphite 2.3 0.05 11.5  10-2
discuss their
NaCl 18 0.159 2.9 crystallographic nature a
*For Si, the same value of max/G has been taken as for diamond. little later.
Therefore the estimate for Si is likely high.

23 24

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 9/30/2023

Theoretical and experimental yield/shear strengths for various Materials

How do theoretical strengths compare with real Theoretical Shear Stress Experimental Shear Stress

strengths? Material
G/2
(GPa)
G/2
(106 psi) (MPa) (psi) max/exp.
Silver 12.6 1.83 0.37 55 ~3  104

ESTIMATE Aluminum 11.3 1.64 0.78 115 ~1  104

Copper 19.6 2.84 0.49 70 ~4  104
In most cubic crystals, b  d Nickel 32 4.64 3.2-7.35 465-1,065 ~1  104
(i.e., they are of the same order of magnitude). Iron 33.9 4.92 27.5 3,990 ~1  103
Molybdenum 54.1 7.85 71.6 10,385 ~8  102
Niobium 16.6 2.41 33.3 4,830 ~5  102

Gb G E E Cadmium 9.9 1.44 0.57 85 ~2  104

 max     Magnesium 7 1.02 39.2 5,685 ~2  104
2 d 2 4(1) 17 (basal slip)
Magnesium
7 1.02 39.2 5,685 ~2  104
(prism slip)
Titanium
E (prism slip)
16.9 2.45 13.7 1,985 ~1  103
 max 
 Beryllium
(basal slip)
49.3 7.15 1.37 200 ~4  104

Beryllium 49.3 7.15 52 7,540 ~1  103

(prism slip)

experimental << max ; also, experimental << max

25 26

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The difference is attributed to the

presence of DEFECTS

• Microcracks → σexperimental << σmax

• Dislocations → τexperimental << τmax

• Etc…

27

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HOMEWORK
From Dieter
4-6 Structure, Processing, & Properties
• Properties depend on structure
ex: hardness vs. structure of steel
Lesson #8 – Lệch (d)

Property 600

Hardness (BHN)
30 m
Defects in Crystalline Materials 500 (c)
Data obtained from Figs. 10.30(a)
400 (b) and 10.32 with 0.4 wt% C composition,
(a) and from Fig. 11.14 and associated
READING LIST 4 m discussion, Callister 7e.
300 Micrographs adapted from (a) Fig.
DIETER: Ch. 4, Pages 103-114 10.19; (b) Fig. 9.30;(c) Fig. 10.33;
30 m and (d) Fig. 10.21, Callister 7e.
200 30m
Ch. 4, Pages 103-117 in Meyers & Chawla, 1st ed.
Ch. 1, Pages 1-26 in Argon 100
0.01 0.1 1 10 100 1000
Cooling Rate (°C/s) Processing

• Processing can change structure

ex: structure vs. cooling rate of steel
[© John Wiley & Sons]

1 2

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Crystals Lattice Defects

FCC HCP ► Real crystals do not exhibit perfect periodicity.

• Lattice defects describe any variation from a periodic

array of lattice points.

Structure-insensitive Structure-sensitive
Elastic constants Electrical conductivity
Melting point Semiconductor properties
Density Yield stress
Specific heat Fracture strength
Coefficient of thermal expansion Creep strength
Fig. 1.7 from Hull & Bacon, 4th ed.
Fig. 1.8 from Hull & Bacon, 4th ed.
• Lattice defects and their interactions determine structure-
Solids where atoms, ions, or molecules occupy specific lattice sites and exhibit
specific symmetry relationships in their arrangement. sensitive properties.

3 4

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Point Defects (0-D)

• Point Defects (metals or elemental semiconductors)
(0-D)

Vacancy and vacancy

• Line Defects interstitial
(1-D) point defects

Self interstitial
• Planar Defects
(2-D)
Impurities: substitutional
substitutional
• Volume Defects and interstitial
(3-D) point defects
http://www.msm.cam.ac.uk/doitpoms/tlplib/dislocations/images/raft3.jpg interstitial

5 6

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Other Point Defects Vacancies and Interstitials

(compound structures – ceramics and ionic crystals)

• At low temperatures, diffusional processes are too

slow to be of importance in deformation.
Frenkel

• Point defects can play a supporting role in dislocation

based plasticity.
Schottky
• Point defects distort the crystal lattice.
Schottky Defect
a pair of oppositely charged ion vacancies • At high temperatures, where diffusion is significant,
point defects can play a significant role in plasticity.
Frenkel Defect vacancy–
interstitial combination

7 8

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Point Defects (0-D)

z Edge dislocation
Line Defects (1-D)
Dislocations
• Production/Sources
– Quenching
– Irradiation 
– Ion implantation x y
d
b
• Influence on Mechanical Properties
– Aid plastic deformation via diffusion z Screw dislocation
– Increased yield strength when interact w/ line defects
b
– Can also cause embrittlement [Weaver, 1995]

Linear defects around which

atoms are “dislocated” from
x d  y their equilibrium lattice
positions.

9 10

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Line Defects (1-D) Planar Defects (2-D)

• Production/Sources • Grain boundaries
– Crystal growth – Low angle
– Deformation – High angle
– Special (e.g., coincident site lattice, Σ5, etc…)

• Twin boundaries
• Influence on Mechanical Properties – Annealing
– Motion leads to plastic deformation via shear – Deformation
– Increased yield strength when line defects interact w/ other All of them disrupt the
line defects
• Stacking Faults periodicity of the
– Intrinsic crystal lattice.
– Extrinsic All induce strain fields!

11 12

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Examples of planar (2-D) defects

GRAIN BOUNDARIES DEFORMATION TWINS Planar Defects (2-D)
• Production/Sources
– Crystal growth
– Deformation
– Annealing
[Dowling, p.32] [Meyers, p.424]

STACKING FAULTS
• Influence on Mechanical Properties
– Increased yield strength when interact w/ line defects
C C
C B B
A A
A A C
B B
B
A A
C (111) C
FCC
stacking
[Weaver, 1992]
sequence

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Volume Defects (3-D) Volume Defects (3-D)

• Inclusions • Production/Sources
– Ex., MnS in steel – Solidification and heat treatment of certain alloys
– Phase transition
• Dispersed Particles – Other processing methods
– Ex., Al2O3 in Al
• Influence on Mechanical Properties
• Precipitates – Increased yield strength when interact w/ line defects
– Coherent
– Can improve or reduce resistance to diffusive flow
– Partially coherent
– Etc…
– Incoherent Some of them disrupt the
periodicity of the crystal
• Voids lattice.
Some induce strain fields!

15 16

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Volterra 1907
Line Defects (1-D)
Dislocations • Considered rotational and translational dislocations.

– Rotational dislocations are called “disclinations.”

• In the rest of this course, dislocations
will be directly or indirectly involved with
– Translational dislocations are called “dislocations.”
all of the topics that we discuss.
• Strength of “dislocation” is determined by its Burgers
• A dislocation is a line that forms a vector b.
boundary between a region of a crystal
that has slipped and one that has not. • Strength of “disclination” is determined by its Frank
vector Ω.

17 18

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Volterra Dislocations and Disclinations

DISLOCATION DISCLINATION Line Defects (1-D) in Crystals
Un-deformed Un-deformed
Dislocations
• Primary line defects in solid crystals.
Edge Wedge Twist
Edge • Involve translation of one portion of a crystal
F F
with respect to another part.
F F
F F F F

b b Ω Ω

z
z
Disclinations
Screw
F
Twist x
y
• Primary line defect in liquid crystals.
F
• Involve rotation of one part of a crystal relative
F x
y F

b
Ω to another part
Fig. 5.10 Fig. 5.11

Adapted from S.M. Allen and E.L. Thomas, The Structure of Materials, John Wiley & Sons (1999).

19 20

10
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Basic Types of Dislocations

From this point forward we ► Edge

shall refer to translational

dislocations simply as ► Screw
“dislocations”

21 22

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 9/30/2023

Atomic Scale Visualization of an

EDGE DISLOCATION

Perfect crystal

Dislocation
line and core

Split to center NOTE : ฀, , and tˆ are often used to

y
& insert extra ½ plane of
atoms indicate the dislocation line direction
x
(i.e., the "sense" vector).
EDGE DISLOCATION a

23 24

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 9/30/2023

Edge Dislocation

y
Perfect crystal
b0
A
r
R 
A x Split to center and
b
 slide cut faces across each other
z (i.e. shear them)
b b

Geometries of an edge dislocations in an elastic cylinder.

SCREW DISLOCATION
[Figure adapted from A.S. Argon, Strengthening Mechanisms in Crystal Plasticity, (Oxford
University Press, Oxford, 2008) p. 17]

25 26

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 9/30/2023

y S′1

3
4
S1
x
 2
1

[Roesler, p.167]

Figure 7.1 A screw dislocation in a

[Adapted from McClintock, p.198] primitive cubic lattice Figure 7.6 Screw dislocation in a simple
cubic crystal (a) looking along the
dislocation and (b) looking normal to the
Some Common Symbols : $ dislocation which lies along S1S′1.

Atomic Scale Visualization of a

Adapted from Kelly, Groves and Kidd, Crystallography and Crystal
SCREW DISLOCATION Defects, Revised Edition, John Wiley & Sons, 2000

27 28

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Screw Dislocation The dislocation type (i.e., character) depends

y upon the relationship between the Burgers
vector (b) and the dislocation line (ξ)
b0
B

R
r How to establish the character?

b x
B

z b
“Draw a Burgers circuit”

Geometries of a screw dislocations in an elastic cylinder. Look at angle between the Burgers vector and
[Figure adapted from A.S. Argon, Strengthening Mechanisms in Crystal Plasticity, (Oxford
the dislocation line.
University Press, Oxford, 2008) p. 17]

29 30

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PERFECT LATTICE “DISLOCATED” LATTICE

Tangent to dislocation line

Fingers curl around

in the direction
sketch m X n step loops of same size through both crystals of Burgers
S
circuit
S
F
1 2 3 4 1 2 3 4
F 1 3 1
3
 goes
2 2 2 2 into
page
1 3 3
1
4 3 2 1 4 3 2 1
[SF/RH]

Fig. 6.3. Right-hand rule for determining the direction of a Burgers circuit.
Complete closure of circuit = BURGERS VECTOR [Figure adapted from Roesler et al., p. 168]

The Burgers vectors for given dislocations never change!

31 32

16
 9/30/2023

z
Figure 5.18 Determination of the
Burgers vector of an edge dislocation
in a simple cubic crystal. A right-
b
handed circuit that would be closed in a In ceramics or ionic crystals the
S F perfect crystal is made surrounding the
 dislocation core, from starting point S to character of a dislocation is decided
finishing point F. Burgers vector b and
x
d
y
ξ are perpendicular. the same way.

z Must consider balance of charge.

b F Figure 5.19 Determination of the
Burgers vector of a screw dislocation
S using the SF/RH convention. For a
screw dislocation, b and ξ are either
Examples of edge dislocations are

parallel or antiparallel. This particular
dislocation is a left-handed screw
shown on the next two viewgraphs.
x y
d dislocation.

[Figures adapted from Allen & Thomas]

33 34

17
 9/30/2023

Consider MgO Consider MgO Start

Perfect lattice Finish Start Perfect lattice

[010] = O2- [010] = O2-

Finish
= Mg2+ = Mg2+
[100] [100]

[001] [001]
Slip direction  [100] Slip direction  [100]
[110] [110]
goes goes
into into
page page
[SF/RH] [SF/RH]

Edge dislocation in MgO showing slip direction, Burgers circuit and Burgers vector.
[Adapted from Kingery et al. Introduction to Ceramics, 2nd Edition, (Wiley, New York, 1976), p. 715]

35 36

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Edge Dislocation

slip

Dislocations move on planes that plane 

b0
contain both vector (b) and the
dislocation line (ξ).
b

• The extra half plane terminates at the dislocation core.

That plane is called the slip plane.
• The Burgers vector (b) is perpendicular to the dislocation
line (ξ).

• b and ξ define a unique slip plane where dislocations move.

37 38

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Screw Dislocation Characteristics of dislocations

Possible
cross-slip
plane

slip Type of Dislocation

plane Dislocation Characteristic Edge Screw
 b 0
Slip direction // to b // to b

Relation between dislocation line and b  //

Direction of line movement relative to b // 

b
Process by which dislocations can leave slip plane Climb Cross-
• The Burgers vector (b) is parallel to the dislocation line (ξ). slip

• b and ξ are parallel. No unique slip plane. A screw

dislocation can glide on any crystallographically suitable slip
plane.

39 40

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 9/30/2023

Transmission Electron Microscope

Electron Beam

(TEM)
FEI Technai F20 Thin Foil
< 500 nm thick
Super-twin

0.5 μm
(a) (b)

(a) Transmission electron microscope image of dislocations (dark lines) in a

0.2um
deformed single-crystal of NiAl and (b) relationship between image and position of
dislocations in thin-foil specimen. The schematic depicts three dislocations
Used by materials scientists to characterize microstructures confined to a single crystallographic plane in the specimen. [Part (b) adapted from
and deformation mechanisms. From Allen and Thomas, The Structure of Materials, (John Wiley & Sons, 1999).]

41 42

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Dislocations in Crystals Characteristics of dislocations

Type of Dislocation
Dislocation Characteristic Edge Screw Mixed

Slip direction // to b // to b // to b

Relation between dislocation line and b  // Not // or 

Direction of line movement relative to b //  // and 

Process by which dislocations can leave slip plane Climb Cross- Climb
slip

[Weaver, 1995]

Most dislocations are curved. The Burgers vectors for given dislocations never change!
Since Burgers vectors don’t change, this means we need
to define another type of dislocation.

43 44

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Mixed Dislocations Dislocations in Crystals

b α
Dislocation line
ξ Dislocations can terminate at free surfaces, or
b
b at grain or phase boundaries; but never within
b the crystal.
Mixed

$ Dislocations must form closed loops or

networks with branches that terminate at a
surface.
The Burgers vector is oriented at some angle with
respect to the dislocation line
0° ≤ α ≤ 90°
The junction point within a network is called a
node.

45 46

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Dislocations will either: Geometry of a closed dislocation loop

► Form closed loops
 • Form nodes/networks
• Emerge at the surface of a crystal.

slipped
“unslipped”
b Positive
screw Positive
edge

(+)

$ (+)
b
Slip Plane
(–)
Slipped b

Unslipped (–)
Negative
b edge
Negative
screw

This figure was adapted from H.W. Hayden, W.G. Moffatt, and J.W. Wulff, The
[Weaver, 1995] Structure and Properties of Materials, Vol. III, (Wiley, New York 1965) p. 65.

47 48

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Dislocations will either: n

Nodes and Dislocation Networks
• Form closed loops  bi  0
► Form nodes/networks i 1

• Emerge at the surface of a crystal.

Schematic of a Frank net Atomic simulation and TEM image of a

in a well-annealed crystal symmetric 4-node in b.c.c. molybdenum

Three dislocations forming a node. From D. Hull and D.J. Bacon, Introduction From D. Hull and D.J. Bacon,
to Dislocations, 4th Ed., (Butterworth-Heinemann, Oxford, 2001) p. 19. Introduction to Dislocations,
4th Ed., (Butterworth-
Heinemann, Oxford, 2001) p.
20.
V.V. Bulatov, L.L. Hsiung, M. Tang, A. Arsenlis,
M.C. Bartelt, W. Cai, J.N. Florando, M. Hiratani, M.
Rhee, G. Hommes, T.G. Pierce and T.D. de la
Rubia; “Dislocation multi-junctions and strain
hardening”; Nature, v. 440 (2006) p. 1174.

49 50

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Dislocations will either:

Intersection of Dislocation Loops Lot’s of this…
• Form closed loops
b
• Form nodes/networks
► Emerge at the surface of a crystal.

[Callister, p. 183]
After complete motion
through the crystal

Leads to…

Slip bands:

 bi  0 Composed of
several slip
i lines/traces 100’s of Å
1000’s of Å
Fig. 2.8. Joining of three dislocation loops to form a node. [Figure adapted
from J.J. Gilman, “Nature of Dislocations,” in Mechanical Behavior of
Materials At Elevated Temperatures, edited by J.E. Dorn, McGraw-Hill, New
York (1961), p. 25].
This… [Callister, p. 186]

51 52

26

HOMEWORK
From Dieter
4-2, 4-7
Module #9 – Chuyển động của lệch
Slip by Dislocation Motion and Dislocation Theory
Sự di chuyển của lệch bằng trượt và Lý thuyết lệch
READING LIST
DIETER: Ch. 4, p. 114-132; Ch. 5, p. 145-183; Ch. 8, p. 310-314
Ch. 2 in Hertzberg
Ch. 3, Pages 85-139 in Courtney Ch. 3,
Pages 42-61 in Hull & Bacon
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Types of Dislocation Motion
CÁC LOẠI CHUYỂN ĐỘNG LỆCH
• Glide (conservative motion)- Trượt (chuyển động bảo toàn):
–  moves on a plane that contains both its line and Burgers vector.
Lệch xê dịch trên mặt phẳng chứa đường lệch và véc tơ burger
– A  that moves glides is called glissile.
– A  that can’t move is called sessile.
–  glide plane and direction depend upon crystal structure.
Lệch trượt trên mặt và phương phụ thuộc vào cấu trúc tinh thể
• Climb (non-conservative motion)-Leo (chuyển động k bảo toàn)
–  moves out of the glide plane perpendicular to the Burgers vector.
Lệch di chuyển ra khỏi mặt trượt vuông góc với v
ếc tơ burger
• Glide of many dislocations leads to slip which is the most
common manifestation of plastic deformation.
Xê dịch của nhiều lệch dẫn đến trượt đây là biểu hiệnphố biến nhất
của biến dạng dẻo kim loại
1

Slip by Dislocation Glide
Glide requires relatively little atomic motion compared with
the process for slip that we outlined for perfect (i.e., defect
free) crystals. Xê dịch liên quan các nguyên tử dịch chuyển khỏi vị trí cân
bằng một khoảng cách nhỏ hơn so với trượt…
b tác giả khác
After complete motion
through crystal
Monotonic slip step
There is also no net change in bonding. This makes the stress
to move a dislocation smaller than the theoretical stress to
shear a perfect dislocation free crystal.
Không có sự thay đổi trong liên kết. Điều này dẫn đến ứng suất làm lệch di chuyển nhot hơn
ứng suất lý thuyết để một lệch hoàn chỉnh trượt tự do trong mạng tinh thể
3 4
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Force is required to move individual dislocations
Lực cần thiết để các lệch riêng rẽ di chuyển
• We call it the Peierls-Nabarro force- Gọi là lực Peierls-Nabarro.
• The concept was originally developed in 1940 by Peierls1,
but later refined by others2-4.
Khái niệm được bắt đầu từ Peierls năm 1940 và được phát triển thêm bởi các
• It is the frictional force that must be overcome to move an
individual dislocation. Các lệch riêng phần muốn chuyển ddoogj
được phải thắng được lực ma sát
• It is a consequence of the distortion caused by the presence of
a dislocation in a crystal lattice.
• Hậu quả là biến dạng dẻo xảy ra do sự hiện diện của lệch trong mạng tinh
thể
1R. Peierls, Proc. Phys. Soc., v. 52, p. 34 (1940).
2F.R.N. Nabarro, Proc. Phys. Soc., v. 59, p. 256 (1947).
3G. Leibfried and K. Lücke, Z. Phys., v. 126, p. 450 (1949).
4A.J. Foreman, M.A. Jawson, and J.K. Wood, Proc. Phys. Soc., v. 64, p. 156 (1951).
2
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• A dislocation must pass through a higher energy configuration to move.

• Lệch phải vượt qua một mức năng lượng cao để di chuyển

EP-N Force EP-N

Energy
Un-slipped Slipped
state state or τP-N
E
Stress

0 b/2 b Displacement, x 0 b/2 b Displacement, x

• The force required to move the dislocation (i.e., to overcome stress • The Peierls-Nabarro stress is the shear stress required to move an
field caused by lattice distortion)  shear stress on a slip plane. individual dislocation on its slip plane.

• The Peierls-Nabarro force depends on the form of the force distance • Its value depends upon the amount the lattice is distorted by the
relation between atoms. dislocation.
• Amount of distortion described by dislocation width (w).

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b
Distortion induced Displacement u Distortion described in terms
by the presence of dislocation width, w Δu
of a dislocation. +b/2

x
B
Slip plane w
d
A
-b/2

• The width, w, is the distance over which the magnitude of Δu > ½ of

• Above and below the slip plane, atoms are displaced from their its maximum value (i.e., Δ u/b > ½ or -b/4 ≤ Δu ≤ b/4).
equilibrium positions (u); this represents the distortion in the lattice
caused by the dislocation.
• The width also provides a measure of the size of the core.
• To accommodate the dislocation, there is differential displacement
across the slip plane (Δu = uB – uA); this produces shear. • Core widths vary between b and 5b and depend upon:
– Interatomic potential,
• The maximum value of Δu is ±b/4. – Crystal structure.
The width, w, is directly
related to crystal structure

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Peierls and Nabarro estimated the energy of the dislocation

Close packed per unit length as a function of dislocation position as:
Fig. A. Schematic
structures: w is larger.
illustration of a wide
Distortion distributed Gb2  2 w 
dislocation; more EP N  exp  
typical of close- through crystal lattice.  (1 )  b 
packed metals.

b/4 b/4
from which the shear stress required to move a dislocation
w (i.e., Peierls stress) can be determined as:
2 2G exp  2 w   2G  2 d 
 PN  2 EPN    exp  
b (1 )  b  (1 )  (1 )b 
Fig. B. Schematic Non-close packed
illustration of a structures: w is
narrow dislocation;
more typical of smaller. Distortion Values of P-N vary with crystal structure. In general,
ceramics, concentrated into a
intermetallics, and smaller area. P-N << theo.
non-close- packed
metals. Structure P-N
b/4 b/4 FCC & HCP 10-5 to 10-6 G
w Covalent crystals ~10-2 G

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b
Variation of Peierls Stress w/ d and b
 2G  2 d 
A B C D
 PN  exp  
d (1 )  (1 )b 
 14 b = 1.0
b = 5.0
12 • For fixed b, τP-N decreases
b = 10.0
2G  2w  2G as d increases.
 PN  22 E PN  exp  
 2 d 
exp 

Peierls Stress (x107)

10 d = 1 to 10
(1 )  b  (1 ) 
b  (1 )b  • An increase in b results in a
8 larger τP-N.
Let G = 100 GPa and ν = 0.3. 6 • “Slip via dislocation motion
4 occurs more readily in close
packed directions (lowest b)
What is the impact of crystal structure on τP-N? 2 and on widely spaced planes
0
(highest d).” This is because
τP-N values are lowest on
0 2 4 6 8 10 these planes.
Interplanar Spacing (arb. units) [d]
b
The width, w, is
 directly related to
B* A B C D
d crystal structure


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Variation of Peierls Stress w/ d and b

2G  2 d 
Close Packed Planes
 PN  (1 ) exp  (1 )b  • Recall from your introductory materials courses:
 
12 d = 1.0
d = 2.0
• For fixed d, P-N increases
10 d = 5.0 • Close packed planes (i.e., those with the smallest interatomic
d = 10.0 as b increases.
separation, d) are the ones that are spaced farthest apart (i.e., those
Peierls Stress (x107)

b = 1 to 10
8 • An increase in d results in a with the largest b).
reduced P-N.
6
• “Slip via dislocation is more • We can relate properties to atomic/ionic packing factors (APF/IPF) or
4 likely to occur more readily planar density.
in close packed directions
2
(lowest b) and on widely
Ionic Covalent
0 spaced planes (highest d).”
This is because P-N values
Diamond
0 2 4 6 8 10 are lowest on these planes. FCC/HCP BCC SC KCl NaCl CsCl MgO cubic (Si)

Atomic Separation (arb. units) [b] APF

0.74 0.68 0.52 0.725 0.67 0.68 0.627 0.34
IPF
b
The width, w, is  PN 1 3 7 2 5 3 6 8
 directly related to
B* A B C D
d crystal structure
 Rank 1 – 8 where 1 is lowest and 8 is highest.

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Close Packed Planes Slip vs. atomic density

• Recall from your introductory materials courses:
Slip • Close-packed planes/structures
distance, b
• Close packed planes (i.e., those with the smallest interatomic Planar – Smaller b
separation, a) are the ones that are spaced farthest apart (i.e., those spacing, d
with the largest b). – Larger d

Slip plane – Smaller  PN

• We can relate properties to atomic/ionic packing factors (APF/IPF) or (high atomic density)

planar density.

Planar
Ionic Covalent
spacing, d Slip
distance, b • Non close-packed planes/structures
Diamond
FCC/HCP BCC SC KCl NaCl CsCl MgO cubic (Si)
– Larger b
APF
0.74 0.68 0.52 0.725 0.67 0.68 0.627 0.34
IPF
– Smaller d
 PN 1 3 7 2 5 3 6 8
– Larger  PN

B* Rank 1 – 8 where 1 is lowest and 8 is highest.

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Slip Systems in Crystals

Fz
• A specific shear stress is required to
z′ z
The Peierls-Nabarro stress is induce dislocations to move.


smaller than the critical resolved • Dislocations slip on specific slip
y′
systems (i.e., specific crystal plane +
shear stress or the yield stress. specific crystal direction on that plane).
As

• The resolved shear stress on plane As x′

in direction y′ is:
The CRSS and YS represent the Fy F cos 
 zy   z   zz cos  cos
conditions to move lots of Az Ao cos  Ao
y
dislocations • Applies for single crystals and individual
grains in polycrystals.
x Fz

   90
   is not necessarily 90

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Resolved Shear Stress Critical Resolved Shear Stress

• Consider an arbitrary plane oriented at angle  with respect to the applied load F.
 RSS  F cos cos    flow cos cos    flow m
Let y′ = slip direction and z′ = slip plane normal.
Refer to Ao Schmid Factor

• Consider SLIP on the -plane. illustration on

previous • The active slip system will have the largest Schmid factor.
viewgraph
• NORMAL Force: FN = Fz′ = Fz cos

• SHEAR Force in the slip direction (y′): Fs = Fz cos. • If we relate the resolved shear stress to the macroscopic tensile yield
stress as opposed to the flow stress, we get:
• Area of slip-plane: As = A/cos (check: As must have larger area than Ao.)
CRSS
Resolved NORMAL Stress on the slip plane: y  or  CRSS   y cos  cos    y m
cos cos 
 N  FN / As   F cos   Ao / cos    cos  2

Resolved SHEAR Stress on the slip plane in the slip direction: • CRSS is the resolved shear stress required to cause plastic
deformation via slip.
 s   RSS  Fs / As  F cos    Ao / cos    cos cos 

• The slip direction is not necessarily in same direction as tilt of the slip Skip
example
plane! problems

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Solution to Example Problem 1

Example Problem 1 The angle between the tensile axis [120] and the normal to the slip
plane (11 1)is:
Calculate the tensile stress that is applied along the [120]
axis of a gold crystal to cause slip on the (1 11)[011] slip
(1)(1)  (2)(1) (0)(1) 3 3
Angle btw.
cos   
system. The critical resolved shear stress is 10 MPa. Tensile axis & slip
plane normal
(1) 2  (2) 2  (0) 2 (1) 2  (1) 2  (1) 2 5 3

The angle between the tensile axis [120] and the slip direction [0 11] is:
[120]
[111] Angle btw.
Tensile axis & slip cos  
(1)(0)  (2)(1) (0)(1)

2

2
[0 11] direction
(1)  (2)  (0)
2 2 2
(0)  (1)  (1)
2 2 2 5 2 10

Since CRSS = 10 MPa,

(111) 10
CRSS
P   20.41 MPa
A cos cos  
3/ 15 2/ 10  

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Solution to Example Problem 1 Room temperature slip systems and critical resolved shear stress for
metal single crystals (from Dieter, 3rd Edition, p. 126).
Critical
The angle between the tensile axis [120] and the normal to the slip Crystal Slip Slip Shear stress
(MPa)
Metal Structure Purity Plane Direction Reference
plane (11 1)is: Zn HCP 99.999 (0001) [1120] 0.18 [1]
Mg HCP 99.996 (0001) [1120] 0.77 [2]
Cd HCP 99.996 (0001) [1120] 0.58 [3]
Ti HCP 99.99 (1010) [1120] 13.7 [4]
(1)(1)  (2)(1)  (0)(1) 3 3 99.9 (1010) [1120] 90.1
cos    Ag FCC 99.999 (111)
(111)
[110]
[110]
0.48 [5]
(1)2  (2)2  (0)2 (1)2  (1)2 (1)2 5 3 15 99.97 (111) [110] 0.73
(111) [110]
99.93 1.3
Cu FCC 99.999 (111) [101] 0.65 [5]
99.98 (111) [101]
0.94
The angle between the tensile axis [120] and the slip direction [0 11] is: Ni FCC 99.8 (111) [110] 5.7 [5]
Fe BCC 99.96 (110) [111] 27.5 [6]
(112)
(123)
(1)(0)  (2)(1)  (0)(1) 2 2 Mo BCC ฀ (110) [111] 49.0 [7]
cos    
(1)  (2)  (0)
2 2 2
(0)  (1) (1)
2 2 2 5 2 10 [1] D.C. Jillson, Trans. AIME, v. 188, p. 1129(1950).
2 E.C. Burke and W.R. Hibbard, Jr., Trans. AIME, v. 194, p. 295 (1952).
3 E. Schmid, "International Conference on Physics," v. 2, Physical Society of London (1935)
4A.T. Churchman, Proc. R. Soc. London Ser. A, v. 226A, p. 216 (1954) [5]
Since CRSS = 10 MPa, F.D. Rosi, Trans. AIME, v. 200, p. 1009 (1954)
6 J.J. Cox, R.F. Mehl, and G.T. Horne, Trans.Am. Soc.Met., v. 49, p. 118 (1957)
7 R. Maddin and N.K. Chen, Trans. AIME, v. 191, p. 937 (1951)

CRSS 10 Note the differences in slip systems for different crystal structures. Slip occurs
B*  P   20.41 MPa
A cos cos  
3/ 15  2/ 10  when m is maximum. This means that we must determine which particular slip
system has the maximum m to obtain the CRSS.

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Example Problem 2 Solution to Example Problem 2

Consider a cylindrical single crystal of silver of 5 mm Silver has an FCC crystal structure. Thus the slip system is 111 110 .
There are 12 distinct slip systems for FCC. For each we must compute
diameter with its axis parallel to [321]. This crystal begins
and tabulate the corresponding angles  and , as well as the Schmid
to deform plastically in compression at a load of 39 N.
factors. This is done via the cosine law. cos   hk
h1h2   k2 k1   l1l2 
1 1 1l h2 k
2 2l  
Determine the CRSS for this crystal. h
1
2
 k12  l12  h22  k 22  l 22 

Schmid factor
Slip System   cos cos
(a/2) [1 1 0] (1 1 1) 79.11 22.21 0.1749
(a/2) [1 0 1] (1 1 1) 67.79 22.21 0.3500
(a/2) [0 1 1] (1 1 1) 79.11 22.21 0.1749
(a/2) [0 1 1] (1 1 1) 55.46 51.89 0.3499
(a/2) [1 0 1] (1 1 1) 40.89 51.89 0.4666
(a/2) [1 1 0] (1 1 1) 79.11 51.89 0.1166
(a/2) [1 1 0] (1 1 1) 19.11 72.02 0.2917
(a/2) [1 0 1] (1 1 1) 67.79 72.02 0.1167
(a/2) [0 1 1] (1 1 1) 55.46 72.02 0.1750
(a/2) [0 1 1] (1 1 1) 79.11 90.00 0.0000
(a/2) [1 0 1] (1 1 1) 40.89 90.00 0.0000
(a/2) [1 1 0] (1 1 1) 19.11 90.00 0.0000

39 N
 CRSS  P cos cos   cos cos   2 MPa  m max
A  (5 mm2 ) / 4
CRSS  2 MPa  0.4665  0.93 MPa

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Solution to Example Problem 2

Silver has an FCC crystal structure. Thus the slip system is 111 110 . Critical Resolved Shear Stress
There are 12 distinct slip systems for FCC. For each we must compute
• Condition for dislocation motion: R  CRSS
and tabulate the corresponding angles  and , as well as the Schmid
factors. This is done via the cosine law. cos   hk
1 1 1l h2 k
2 2l  
h1h2   k2 k1   l1l2  • Crystal orientation can make typically
h
1
2
 k12  l12  h22  k 22  l 22  it easy or hard to move dislocation
10-4 GPa to 10-2 GPa
Schmid factor R   cos  cos 
Slip System
(a/2) [1 1 0] (1 1 1)

79.11

22.21
cos cos
0.1749
  
(a/2) [1 0 1] (1 1 1) 67.79 22.21 0.3500
(a/2) [0 1 1] (1 1 1) 79.11 22.21 0.1749
(a/2) [0 1 1] (1 1 1) 55.46 51.89 0.3499
(a/2) [1 0 1] (1 1 1) 40.89 51.89 0.4666 mmax
(a/2) [1 1 0] (1 1 1) 79.11 51.89 0.1166
(a/2) [1 1 0] (1 1 1)
(a/2) [1 0 1] (1 1 1)
19.11
67.79
72.02
72.02
0.2917
0.1167 R = 0 R = /2 R = 0
(a/2) [0 1 1] (1 1 1)
(a/2) [0 1 1] (1 1 1)
55.46
79.11
72.02
90.00
0.1750
0.0000 =90° =45° =90°
(a/2) [1 0 1] (1 1 1) 40.89 90.00 0.0000  =45°
(a/2) [1 1 0] (1 1 1) 19.11 90.00 0.0000

39 N
 CRSS  P cos cos   cos cos   2 MPa  m max
A  (5 mm2 ) / 4
CRSS  2 MPa  0.4665  0.93 MPa  maximum at  =  = 45º

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Common Slip Planes in Metals

z
112
fcc
The next 14 viewgraphs provide
111
illustrations of the operative slip systems
in different crystals. y

x
110
We will cover basic structures (i.e., fcc,
hcp, bcc) in lecture. 101 011

Four 111 planes each with 3 110 slip directions

You should review the material on ionic, 12 slip systems
covalent, and ordered (intermetallic)
crystals on your own time.

[Felbeck and Atkins, 2nd Ed., p. 117]

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1120
Common Slip Planes in Metals
(a) (b) (c)
1120
2110 hcp (a) (b) 1120
1210 2110

1210
1210

Basal Plane 0001 Prismatic Plane 1010 Pyramidal Plane 1011 Basal Plane 0001 2110

c
(d)
Figure. (a) Basal slip plane; (b) atomic arrangement on basal
5 plane with possible slip directions indicated.
Pyramidal Plane 124 1012
hcp a3 4 Pyramidal Plane 135 1121
a2 One 0001 plane with three 1120 slip directions
3
Pyramidal Plane 134 1122
a1
Three 10 10 planes with one 1120 slip direction on each
1 2
Six 10 11 planes with one 1120 slip direction on each
Figure. Primary slip planes and directions for HCP crystals. (a) Basal slip plane; (b) 12 slip systems possible
prismatic slip plane; (c) pyramidal plane; and (d) other possible slip planes. # active depends on c/a ratio

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Common Slip Planes in Metals

ao
z 111
111 010  Slip systems for the most common lattice types.
101

bcc y ao 2 12 Crystal Slip Slip Number of non- Slip directions Number of

structure plane direction parallel planes per plane slip systems
010
x 101 101 fcc 111 110 4 3 4  3  12
z 111 bcc 110 111 6 2 6  2  12
110
111 112   
112 111 12 1 121  12
110
ao 3
12 123 111 24 1 24 1  24
y
hcp 0001 1120 1 3 1 3  3
x
ao 2
1010 1120 3 1 31  3
z
213  120
111
1011 1120 6 1 6 1  6
1 11

ao 3
24
120 y
48 slip
x
ao 5
systems
[After Felbeck and Atkins, 2nd Ed., p. 118]

33 34

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Dislocations and Materials Classes Ionic Solids

• Metals: Disl. motion easier. + + + + +
+ + + + + + + +
-non-directional bonding + + + + + + + +
+
-
+
-
+
-
+
-
+
-

-close-packed directions + + + + + + + + + + + + +

for slip. electron cloud ion cores + + + +

Fig. 4.21. (a) Schematic
+ + + + representation of an edge
dislocation in NaCl; (b)
► Covalent Ceramics + + + +
demonstration of how
(Si, diamond): Motion hard. dislocation jogs in ionic
-directional (angular) bonding crystals can have effective
charges. [Figure adapted
from Kingery et al, p. 172].
► Ionic Ceramics (NaCl): + - + - + - +
Motion hard. The edge dislocation in the
- + - + - + - ionic crystal consists of two
-need to avoid ++ and - -
extra half planes of ions to
neighbors. + - + - + - +
maintain charge neutrality.

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Ionic Solids – cont’d

Extra ½ planes of atoms
• It’s a bit easier to see
on this diagram.
Anion
• To preserve electrical
Cation neutrality, an extra half
b plane of atoms must
consist of:
NOTE
• To maintain structural regularity (and charge neutrality),
two extra half planes of atoms are required.
• This makes Burgers vectors more complicated in ionic crystals
compared to metallic counterparts with the same crystal
structures (see next slide).

– a half plane of
cations • Dislocations in ionic crystals can have an effective charge
which can influence mobility.
Schematic representation of an edge
dislocation in a solid with a NaCl – a half plane of
structure. You are looking at the anions.
(100) plane. In this image the
Burgers vector is [011].

37 38

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Ionic Solids
Limited #
independent slip
systems
NaCl has an FCC Table 17.4 Independent slip systems for some ceramics.
Bravais lattice

b  01 1 (100)

(011)

Must maintain charge balance and same nearest neighbors

Fig. 14.10. Translation gliding in the <110> direction on (a) the {110} plane and (b) the [from Carter and Norton, Ceramic Materials Science and Engineering, p. 314]
{100} plane for crystals with the rock salt (i.e., NaCl) structure. {110}<110> glide is
preferred. [Figure adapted from Kingery et al, p. 713].

39 40

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Ordered Structures Ordered Structures

A B A B A B A B A B A B A B A B

a) Schematic of an ordered AB crystal. B A B A B A B A

c) Slip by movement of a B A B A B A B A

A. B A B A B A B “superlattice” dislocation (i.e., A B A B A B A B

A B A B A 2 partial dislocations, Burgers B A B A B A B A

B. A B
vector = 2b) retains desired  
A atoms are next to B atoms. B A B A B A B A B A B
A. B A
bonding. 2b
B. A B A B A B A B A B A B A

A. B A B A B A B A atoms next to B atoms. A B A B A B

(a) (c)
b) Slip by passage of a single B. A B A B A B A B A B A B A

edge dislocation (Burgers d) Due to elastic repulsion,

vector = b) produces like A B A B A B A B superlattice dislocations split A B A B A B A B

bonds (A-A, B-B). B A B A B A B A into partials dislocations B A B A B A B A

separation and an APB.
A B A B A B A B A. B A B A B A B
Undesirable. Antiphase .B
B A B A B A B A APB width (w) depends on A
 B Aw B A B
 A
boundary (APB) forms. A B A B A B A B APB energy. AA B B A B

B A B A B A B A
b B
b A B A B
b A

A B A B A B A B A. A B B A B
(b) (d)
[Figures adapted from Courtney, p. 122] B A B A B A B A [Figures adapted from Courtney, p. 122] B. B A A B A

41 42

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RECALL
Ordered Structures dislocations move via
• In some crystals such as FCC
Cu3Au or Ni3Al, the • Glide (conservative motion):
superdislocations are composed of –  moves on a surface that contains both its line and Burgers
two unit (a/2)[110] dislocations. vector.
– A  that moves this way is glissile.
• In this structure the – A  that can’t move is sessile.
superdislocations can dissociate –  glide surface and direction depend upon crystal structure.
producing an additional APB bound
on each side by individual stacking
faults. • Climb (non-conservative motion)
–  moves out of the glide surface, perpendicular to the
Burgers vector.
• Really complicates dislocation motion.
Schematic looking down on a slip plane in an ordered
A3B crystal. [Figure adapted from Courtney, p. 123;
Originally from Marcinkowski, et al., Acta Metall., 9
(1961) 129]

43 44

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(1)

Dislocation motion via “glide” / “slip”  Process of slip by

expansion of a dislocation
Dislocation line loop on a slip plane.
EDGE y

Screw 
moves G x
b b (2)
this way τyx F τyx b
H $ 
Edge  E
moves τyx τyx Dislocation line
this way z
b
(a) (b)
y b
(3)


Schematic illustration of single crystal deformation via motion of
D
x
a screw dislocation. (a) Application of a shear stress τyx can
b
τyx τyx
B introduce a screw dislocation into a crystal along line EF and
C cause it to move to position HG. (b) Lattice presentation clearly
A showing that the dislocation has right-hand screw character.
τyx τyx
Adapted from S.M. Allen and E.L. Thomas; The Structure of
Metals; Wiley, New York, (1998) p. 285
z (a) (b) • Edge, screw, and mixed
segments move. b b
Schematic illustration of single crystal deformation by motion
of an edge dislocation. (a) Application of shear stress τyx can
introduce an edge dislocation into a crystal along AB and
cause it to move to position DC. (b) Lattice representation • Final shear of crystal is
clearly showing that the dislocation has edge character. SCREW produced by edge and
Adapted from S.M. Allen and E.L. Thomas; The Structure of
Metals; Wiley, New York, (1998) p. 284 screw dislocations.

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Dislocation Glide
Slip Cross-Slip • Dislocations glide at glide velocities that depend on:
Cross-slip plane
– Applied stress;
– Purity of the crystal;
– Temperature;

 b
– Type of dislocation.

b
• Johnston and Gilman who showed that the dislocation velocity for a
number of ionic crystals and metals is a strong function of the shear
stress in the slip plane as follows:

 
m This equation is empirical in nature
v  A  and applies for a specific velocity
Slip plane Primary slip plane  o  range: 10-9 to 10-3 m/s

Screw dislocations are not restricted to • Where v is the dislocation velocity,  is the applied shear stress in
a single plane. They can cross-slip the slip plane, o is the shear stress for v = 1 m/s, and m is a
constant.
Edge dislocations cannot

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• Dislocation velocity increases

Climb
rapidly at the critical resolved
shear stress (crss or CRSS).
Edge ’s Positive climb of a
move
dislocation due to
faster!
• This is where plastic V vacancy annihilation
deformation actually begins.

• We address the details later.

Figure
Stress dependence of the velocity of edge
and screw dislocations in LiF (after Johnston Negative climb of a
and Gilman, J. Appl. Phys. 30, 129, 1959). dislocation due to
Scanned from E.W. Billington and A. Tate, V vacancy generation
The Physics of Deformation and Flow,
McGraw-Hill, New York, 1981, pages 418 V
and 420.

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Climb Implications of Climb

• Climb is a diffusion dominated process.
• It will be minimal at low temperatures where
diffusion is difficult.
• It can be significant at high temperatures
where diffusion is easier.
• Climb of short sections of
dislocation lines result in the
formation of steps called jogs.
• Dislocation climb proceeds by
the nucleation and motion of
jogs
jogs.
► Jogs are steps on a
Dislocation
line dislocation that move it from
one atomic plane to another.
•There is also another type of dislocation step called a kink.

►Kinks are steps that displace the dislocation within the slip
plane.

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Jogs and kinks Kinks in edge and screw dislocations

• Jogs and kinks are short segments of a dislocation. These figures

were adapted
from Hull and $ $
Bacon’s text
• They have the same Burgers vector as the line on (Fig. 3.16).

which they lie.

b

• The same rules apply for conservative and non-

conservative motion of jogs and kinks as regular
• Kinks have the same slip plane as the dislocation line.
dislocations.
• Kinks do not impede glide of a dislocation line.
• Kinks can actually assist glide.

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5
MOTION OF DISLOCATIONS
Kink Propagation
w
4 • To glide, dislocations
must overcome the • Dislocation velocity, v, is a function of kink velocity, vk:
Kink x Peierls-Nabarro barrier.
b
w 3
v  vk vk ฀ v 
y L
w 2
• Dislocation lines do this where L is the length of the dislocation segment and b is
1 in a step-like fashion the Burgers vector.
b
where a small segment
proceeds beyond the
• Kink velocity is a function of kink formation energy (Wk):
EP-N Peierls barrier first
x producing a kink. 2 b2 Dk  Q 
vk  exp  
b kT  kT 
• Kinks spread laterally along the length of the dislocation line where Q = Wk for a single kink (#2) and 2Wk for a double
resulting in forward motion of the dislocation line. kink (#3 and #4).

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MOTION OF DISLOCATIONS
Kink Geometry
• Kink widths are determined (A)
v 3 4
by a balance between line max
x
EP-N
tension forces and the min
y Peierls barrier. 1 2

vk E0 x
(B)
b • (A) Kinks tend to be θ
3 4
y
EP-N
b
[Argon, p.96] narrower and more difficult max

There is a driving force for the

to move in less close min
x 1 2
kink to move from a high energy packed structures.
to a low energy state.
b
(C) 4
• This process occurs because lateral propagation of kinks occurs • (B, C) Kinks tend to be
more readily than forward motion of an entire line over the more diffuse and easier to
max

Peierls-Nabarro barrier. move in close-packed 1

min

• This is because vk ฀ v . structures.

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Jogs in edge and screw dislocations Movement of a jog on a screw 

2´
These figures The edge portion can only
were adapted move in this direction via
$ 2
from Hull and climb. This increases point
Bacon’s text $ defect concentration. B´
(Fig. 3.16).
B D
b A´ b
The edge portion is restricted
1´ A to glide on this plane.

• Edge dislocations: 1 
Direction the screw [Adapted from Hull & Bacon, p. 131]
– Jogs do not impede the glide of edge dislocations. dislocation will
move

• Screw dislocations: Movement of a jog on a screw dislocation. The jog AB has a Burgers vector normal to
– Jogs have “edge character” and are be restricted to glide along the AB. It is therefore a short length of edge dislocation. The plane defined by AB and it’s
dislocation line (normal to b). This requires climb. Thus, they do Burgers vector is AB2D. It is the plane upon which AB can glide. Movement of the
impede motion of screw dislocations. (illustrated on the next viewgraph) screw dislocation 1AB2 to 1´A´B´2´ requires climb of jog AB to A´B´

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Motion of a jogged screw dislocation Origin of dislocation debris and dipoles

implications
Direction of
dislocation The trails of defects are often produced
motion Slip plane
b
during plastic deformation usually appear as
dislocation loops.
b A: No stress

b
b
B: Under stress
Slipped The jog, which has edge
character can’t move on the
available slip plane. The screw
R segments continue moving b
forming a dislocation dipole.
b
C: At critical stress
At this stress, the dislocation Fig. 7. Dislocation dipoles and debris in two-phase
dipole pinches off leaving Figure Formation of dislocation loops titanium aluminides. Alloy 1, compression at T=295 K to
behind interstitials or from a dislocation dipole. (a) strain =3%. (a) Dislocation dipoles and debris (arrowed)
Rc dislocation loops. Dislocation dipole; (b) Elongated are trailed and terminated at jogs in screw dislocations.
Adapted from Fig. 2.26 in R.W. dislocation loop; and (c) row of small From F. Appel, U. Sparka and R. Wagner, Intermetallics
Hertzberg, Deformation and Facture loops (i.e., debris). [Adapted from Fig. v.7, n. 3-4 (1999) pp. 325-334.
Mechanics of Engineering Materials, 4th 7.11 in Hull & Bacon].
Ed., (Wiley, New York, 1996) p. 84.
Vacancies

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Synopsis:
• Small jogs are dragged
behind
• Large jogs, dislocations
move independently
• Intermediate jogs,
dislocations interact and
cannot pass each other
except at very high
stress.
Jogs and kinks can also result
from the intersection of
dislocations
From D. Hull and D.J. Bacon,
Introduction to Dislocations, 4th
Ed., (Butterworth-Heinemann,
Oxford, 2001).

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Intersection of Dislocations Dislocation Intersections

Creation of
2 edge
jogs which
impedes
Creation further
of 1 edge dislocation
jog which motion
impedes
further
screw
dislocation
motion
Figure 7.4 Intersection of screw dislocation
AB and XY. (a) Before intersection. (b) After
intersection jogs are produced on both screw
dislocations. [Adapted from Hull & Bacon].

Figure 7.3 Intersection of edge dislocation AB with

Figure 7.1 Intersection of edge dislocations with
Burgers vectors at right angles to each other. (a)
before intersection and (b) after intersection
producing jog PP´ in AB. [Adapted from Hull &
Bacon].
Figure 7.2 Intersection of edge dislocations with right-handed screw dislocation XY. (a) Before
parallel Burgers vectors. (a) before intersection Dislocation intersections
intersection. (b) After intersection jog PP´ is
and (b) after intersection producing kink PP´ in produced on AB and jog QQ´ is produced on XY can lead to dislocation
AB and kink QQ´ in XY [Adapted from Hull & [Adapted from Hull & Bacon]. multiplication and work
Bacon].
hardening.

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What happens when dislocations collide (5)? What happens when dislocations collide (6)?
Edge
dislocation

Edge Figure A. What happens b2

dislocation when two edge dislocations H G
H G Figure B. Two edge dislocations
with different Burgers vectors screw
are assumed to have moved
move across the slip planes
b2 screw jogs across the slip planes ABCD and
E F ABCD and EFGH and to cut a
E EFGH and to have cut a
D C dislocation loop. D F C
b3 b1 b1 b3 dislocation loop. The result of
edge edge edge edge this intersection is the formation
kinks of a pair of kinks and jogs on the
A B A B dislocation loop. In this drawing
screw
Edge the kinks will be of magnitude b1
dislocation screw while the jogs will be of
Edge
magnitude b2.
Dislocation loop dislocation Dislocation loop

67 68

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HOMEWORK
From Dieter
4-12

Module #10 – Lệch và biến dạng dẻo What are the implications of dislocation
motion on the properties of crystals?
Ý nghĩa sự chuyển động của lệch đến tích chất của mạng tinh thể
Plastic Strain via Dislocation Motion and Dislocation
Multiplication
Biến dạng dẻo và chuyển động của lệch và sự nhân bản lệch
READING LIST
DIETER: Ch. 4, Pages 119-123 How much strain is caused
by dislocation motion?
Mức độ biến dạng ảnh hưởng thế nào đến sự chuyển động của lệch

1 2

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Implications of dislocation motion

Ý nghĩa sự chuyển động của lệch b

h h
w
z • Consider the crystal illustrated to
L L
h y
the left.
w x Xét mạng tinh thể hình bên trái • First we recognize that the shear strain is simply defined by the equation-
L Biến dạng cắt được định nghĩa đơn giản thông qua công thức:
b
shear strain   
• If a single dislocation passes through the crystal, what will be the h
resulting strain? Nếu một lệch đơn đi qua mạng tinh thể thì kết quat biến dạng là gì? • Let’s assume that the original crystal dimension are 1 cm  1 cm  1 cm
b
and that b = 1 Å (this is roughly of the correct order of magnitude).
Giả thiết kích thước tinh thể ban đầu là 1 cm x 1 cm x 1 cm và b = 1 Å
h h
w • The shear strain can be calculated as- biến dạng cắt được tính:
L L
  b  110 2m  1108 or 1106 %
10
3-D 2-D
h 110 m
Cubic crystal after passage of a single dislocation
Tinh thể lập phương sau khi lệch đơn đi qua
This amount is not really perceptible so how can dislocations cause strain?
Giá trị này rất nhỏ, vậy làm thế nào để lệch gây nên biến dạng

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How can dislocations be responsible for plastic strain?

Lệch có vai trò gì đối với quá trình biến dạng dẻo
• The solution is simple. There must be multiple dislocations to cause
perceptible amounts of strain.
Sự nhân bản lệch là nguyên nhân gây nên biến dạng
• We can calculate this too – Chúng ta có thể tính toán điều này.
When dislocations pass partially through a crystal
Khi lệch đi qua một phần tinh thể
• Assuming that all of the dislocations move a distance xi along
the crystal length, the strain equations for single and multiple
dislocations can be expressed as follows:
b

• Assuming a random number of dislocations, N, the shear strain h

xi
– Single dislocation- Lệch đơn:
becomes: Giả sử với một số lượng lệch ngẫu nhiên, biến dạng trượt là:
xi b
  Nb L 
h Lh
• This expression yields better results, however, it assumes that all
dislocations pass all of the way through the crystal- giả thiết tất cả các – Multiple dislocations- Đa lệch:
lệch đều đi qua mạng tinh thể.. N

  1 b  xi
In reality, we can’t make this assumption. Sometimes dislocations can Lh 1
form nodes within a crystal or just annihilate out. Thực tế không như giả thiết
vì một số lệch dừng lại tại các nút, số khác bị triệt tiêu

Thus we need to revise our estimate – Vì vậy cần ước tính lại.

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If N dislocations move an average distance x then, Example Problem

b • Consider a 1 cm  1 cm  1 cm cubic crystal containing a uniform
distribution of edge dislocations with an average spacing of x as
h
schematically illustrated below. Keep in mind that we do not know
xi
exactly how many dislocations there are. How many dislocations per
unit area are required to cause 1% strain (i.e.,  = 0.01) in this crystal?
L How many dislocations per unit area are required to cause 10% strain
(i.e.,  = 0.10) in this crystal? Once again, we will let b = 1 Å.
Actually  is defined as the total dislocation line length per unit volume OR more
simply as the number of dislocation lines that cut a unit cross-sectional area.
Thực tế mật độ lệch được định nghĩa là tổng chiều dài đường lệch/1 đơn vị thể tích hoặc
đơn giả hơn có thể coi là số lượng đường lệch trên một đơn vị diện tích mặt cắt ngang.

The shear strain rate associated with this type of motion is- Tốc độ biến dạng cắt
tương ứng với kiểu di chuyển này :

where v is the dislocation velocity.

This is the Taylor-Orowan relation, which relates dislocation
motion to strain rate. We'll use it again a bit later.

7 8

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How does the calculation compare with reality?

 Tính toán và so với thực tế như thế nào?

h
Typical dislocation densities encountered in a parallepiped sample (3 x 3 x 8 mm)
L
Length of Mean distance D
dislocation density dislocation line between dislocations
Sample history  (m )
-2
per sample (km) (m)
  102   (108 cm)x As grown 1010 100 10

As grown and annealed 108 1 100
We find x by invoking (viện dẫn) the definition of shear strain: Deformed 1013 1015 105 108 0.1
Nb x x [from Veyssiere, in Mechanics of Materials Fundamentals and Linkages, 1999, p.272]
    ; x 10 2
h h h 1 cm

1% strain:  


102
, 108 dislocation lines per cm2
• There generally many dislocations to begin with.
bx (108 )(102 )
• Many more are required for deformation.
 101
10% strain:    , 109 dislocation lines per cm2
bx (108 )(102 ) • Dislocation density () increases significantly during
deformation. Mật độ lệch tăng rất nhanh trong quá trình biến dạng.

9 10

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Dislocation Sources - Nguồn lệch

• Homogeneous nucleation – Tạo mầm đồng nhất
► Interfaces
– Grain or phase boundaries
– Surfaces or surface films

► Frank-Read sources
• Form during crystal for film growth
• To accommodate of strains at interfaces
► Condensation of point defects
• Etc…

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Dislocation sources
Meyers Model for Homogeneous Nucleation
• Homogeneous nucleation of dislocations is unlikely under
normal circumstances. Tạo mầm đồng nhất của lệch không thể thực hiện
During Shock Loading – Mô hình Meyers cho lệch
không đồng nhất dưới tải trọng Shock
tỏng điều kiện thông thường.

 hom • Dislocations are homogeneously nucleated at (or near) a shock

front by deviatoric stresses set up by the state of uniaxial strain;
generation of these dislocations relaxes deviatoric stresses.
 hom Lệch đồng nhất hình thành ở gần vùng shock bởi các ứng suất lệch được thiết lập từ
biến dạng đơn
• These dislocations move short distances at subsonic speeds.
Lệch di chuyển ở khoảng cách ngắn gần với tốc độ âm
(a) (b)

Requires very high stresses – Cần ứng suất cao • New dislocation interfaces are generated as the shock wave
propagates through the material. Các lệch mới được tạo ra do sự lan
 hom  G to G truyền sóng qua vật liệu.
14 30
• M.A. Meyers, Dynamic Behavior of Materials, (Wiley, New
York, 1994) P. 405.
(c) Possible under “shock loading” conditions
Có thể dưới tải trọng shock

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M.A. Meyers and K.K. Chawla, Dislocation sources – Nguồn lệch

Dislocation sources Mechanical Metallurgy:
Principles and Applications,

• Steps and ledges on grain

Prentice-Hall (1984) p. 261 • High local stresses at second phase particles and those near
boundaries are potent dislocation second phase particles (or other defects) make nucleation easier.
sources during the early stages of • Ứng suất cục bộ cao ở pha thứ hai và khuyết tật lân cận dễ hình thành nguồn lệch hơn.
deformation just as small surface
steps are in single crystals.
Các bậc và các gờ trên biên giới hạt là nguồn
lệch khi biến dạng còn nhỏ giống như các bước
nhỏ bề mặt trên đơn tinh thể.

• They act as stress concentrators. Primary prismatic loops at

Chúng hoạt động như sự tập trung ứng suất. Al2O3 particles in an α-
brass crystal
• Second phase particles and Ledge, Step

inclusions can also have the

same effect (see next page). Pha
thứ hai và tạp chất cũng có tác
dụng tương tự.
Schematic of dislocation emission
F.J. Humphreys & M. Hatherly, Recrystallization
from grain boundary sources. Hình
and Related Annealing Phenomena, 2nd Edition,
ảnh lệch từ biên giới hạt. Elsevier (2004) p. 58
Edge view

15 16

8
 9/30/2023

y x Frank-Read Source
b=x
A
L
=z A a) Moving dislocation is pinned.
B
B
b) Applied shear stress causes the
z yx
segment to bow out to a radius of
curvature (R). Recall:
  Gb R
A A
C B
B D c) Bowing continues until R = L/2.
Shear stress is maximum. Loop
begins to bend around upon itself.
Here:
A
  2Gb L  Gb L
B

d) Loop expands spontaneously. This

Formation of a dislocation loop via the
Frank-Read mechanism. Figure adapted
from Allen and Thomas, Structure of
Materials, (Wiley, New York, 1999) p. 306.
continues until points C and D which
are dislocations of opposite sign
annihilate each other.
Frank-Read source in a Si crystal
e) The loop grows while segment AB
[Fig. 8.6 from Hull & Bacon]
repeats the process.

17 18

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1 10 - Principal slip plane Other types of Frank-Read sources

A, B - Cross slip plane
S - Screw component
Figure Schematic representation of dislocation
E - Edge component multiplication via double cross-slip.
J - Jog Figure 8.4 Single ended
• Loops given off by a single source move Frank-Read source. (a)
through the lattice. Dislocation lying partly in a
slip plane CEF. (b)
Formation of a slip step and
• Edge segments are restrained to a single slip spiral dislocation by rotation
plane. of BC about B.
[Hull & Bacon]
• When a screw oriented segment of the loop
encounters an unfavorable local stress, it can
J
move off onto another plane until it reaches a
J
position where the local stress allows it to
move on a plane parallel to the original one.

• The segment lying on the new slip plane can

now operate as a Frank-Read source and
generate new loops.

• The process repeats.

[adapted from J.R. Low and R.W. Guard, Acta Spiral propagation of a dislocation – Lan truyền xoắn ốc của lệch
Metall., v. 7 (1959) pp. 171-179.]
[adapted from Fig. 6.20, Roesler, Harders, & Baeker]

19 20

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Images of Actual Dislocation Sources Dislocation sources

Source

• Dislocations can also form by the collapse or aggregation

Bonded area of vacancies (or interstitials) into discs or prismatic loops.

Dislocation emission at an interface
between bonded Si wafers
http://www.tf.uni-kiel.de/matwis/amat/
def_en/kap_5/illustr/x_topo_constantin_mittel.jpg
Numerous F-R sources in NiAl A 3-D perspective drawing is
[Intermetallics, v.7 (1999) p.455-466] provided on the next
viewgraph

21 22

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A prismatic (vacancy) loop.

From S.M. Allen and
Plane of atoms
E.L. Thomas, The
(a) Structure of Materials,
Wiley (1999) p. 291.
The Burgers vector is
orthogonal to the line
b direction around the entire
loop. The loop consists of
the vacant circle of atoms
within the crystal.

(d) Prismatic loop (Interstitial) Prismatic loop (Vacancy)

Plane with disk of Figure 5.25 Schematic illustration of a
vacancies
Frank dislocation loop in single a crystal.
(b) (a) Single plane of atoms. (b) A small
number of atoms has been removed from
the center of the plane, and its relation to
the normal section plane AA´ is indicated.
(c) Stack of planes with defective plane b
from (b) inserted, as viewed looking onto
section plane AA´. Except for the plane of
Stack of planes the imperfection, planes are illustrated
showing half of schematically. Half of the dislocation loop is
b Frank loop seen in (c). (d) TEM image of annealed an
NiAl single crystal showing unusually large
concentric Frank dislocation loops formed
by vacancy condensation. These dislocation loops are restricted to glide parallel to their Burgers vectors.
(c) [From S.M. Allen and E.L. Thomas, The Loop expansion or contraction requires climb.
Structure of Materials, Wiley (1999) p. 291.]

23 24

12

Frank Partial dislocations in FCC crystals
• Formed by inserting or
removing one close-
packed {111} layer of
atoms. This results in
either an intrinsic or an
extrinsic stacking fault.
b
• This results in an edge
dislocation with a
Burgers vector is normal
to the {111} plane of the
fault. This dislocation is
sessile.
25
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Dislocations generation during crystal growth
• Near the melting point, small stresses are required to
cause plastic deformation. Such stresses arise for a
[1
2
1
variety of reasons. A few are listed below.
]
2
– Thermal stresses,
ao
[111] – Constitutional stresses,
3
– Supersaturation of vacancies.
Formation of a 1/3[111] Frank partial dislocation by
removal of a close-packed layer of atoms. [Figure • These mechanisms, and others, are detailed in P.
adapted from Hull & Bacon, Introduction to
Haasen, Physical Metallurgy, 3rd Edition, (Cambridge
Dislocations, 4th Edition, (Butterworth-Heinemann,
Oxford, 2001) p. 92].
University Press, Cambridge, 1996) p. 63.
B*
26
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Dislocations at interfaces between coherent/epitaxial

Dislocations generation during crystal growth phases
• Slight variances in lattice
• Gradients in composition and/or temperature can result in
parameter can lead
dendrite misalignment during solidification and growth.
dislocations during epitaxial
This can result in dislocation networks and grain boundaries.*
Biến đổi thành phần và nhiệt độ là nguyên nhân gây nên sai lệch mạng tt
growth.
trong uqas trình kết tinh và lớn lên của hạt dẫn đến lưới lệch và biên giới hạt

• There is a critical thickness

• Similar misalignments can occur between growing islands in that must be reached to
form misfit dislocations.
thin films resulting in dislocations and/or grain boundaries.
• Misfit dislocations reduce
the total strain energy in a Figure 4.51 Epitaxial growth of a thin film. (a) Substrate.
system. (b) Start of epitaxial growth. (c) Formation of “misfit”
dislocations at substrate/film interface. [Figure copied from
Meyers and Chawla, 1st ed.].

* P. Haasen, Physical Metallurgy, 3rd Edition, (Cambridge University Press,

B* Cambridge, 1996) p. 63. B*

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Dislocation Pileups Dislocation pileups – cont’d

• Dislocations moving on slip planes often pile up at barriers: • Pileup at a barrier causes a stress concentration at the lead
– Grain boundaries dislocation.
– Second phases
– Sessile dislocations • As dislocation density increases in the pileup, the stress on the
– Etc… dislocation can become high enough to cause yielding on the
other side of the barrier or to nucleate a crack at the barrier.
• Lead dislocation is acted on S
by applied shear stress and L • Pileups produce a back stress that acts to oppose movement of
interaction forces (i.e., back additional dislocations along the slip plane in the slip direction.
stress) from other dislocations.
• The number of dislocations than an obstacle can support
• # dislocations in pileup is: depends on:
 (lead dislocation)  n
k L k D – Type of barrier
n or n  – Orientation relationship between slip plane and barrier
Gb 4Gb – Material
[For  source in center of grain]
– Temperature
where k = 1 for screw dislocations and (1-ν) for edge dislocations.

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Dislocation pileups – cont’d Dislocation-Point Defect Interaction

• Pileup can be overcome by:
• Vacancies and isolated solute atoms distort the crystal
– Cross-slip (screw dislocations)
lattice and can interact with dislocations.

– Climb (illustrated below) • Strain fields surrounding point defects are spherically
symmetric. They usually do not influence the motion of
– Generation of cracks.
screw dislocations.

• Exceptions: interstitial carbon or nitrogen in BCC iron.

• Combined operation of a number of dislocation sources

and dislocation-defect interactions are the basis for
work/strain hardening.

Figure from Eisenstadt, Introduction to Mechanical Properties of Materials, (Macmillan, New York, 1971) p.250

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Dislocation-Point Defect Interaction – cont’d

• Differences in elastic modulus between solutes and the
lattice can lead to interactions with dislocations.

• Point defects that are elastically softer than the matrix are
attracted to the dislocation line and visa versa.

• An increase in point defect content around a dislocation is

called an impurity cloud/atmosphere.

• Condensation of impurity atmospheres on dislocation lines

is one cause for upper yield points, strain aging and solid
solution strengthening.

33

17
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RECALL
HOMEWORK
From Dieter • Consider SLIP in a single crystal oriented at the angle  with respect to the tensile axis.
4-10, 4-11, 4-13, • Xem xét trượt của đơn tinh thể định mp trượt tạo góc 
4-14, 4-15

Lesson #11- Biến dạng dẻo trong tinh thể chất rắn • NORMAL Force: FN = F cos 
F
Ao

• SHEAR Force: FS = F cos.
Plastic Deformation in Crystalline Solids • Area of slip-plane: As =A/cos

(check: As must have larger area than A.) Slip plane
READING LIST normal
DIETER: Ch. 4, pp. 124-132, 135-137, and 139-144 NORMAL Stress to the -plane:
Slip
N = FN / As = (Fcos)/ (Ao/cos)=  cos2 Ass
A direction
Hertzberg: Ch. 3
Courtney: Ch. 4 SHEAR Stress in the -plane:
s = Fs / As = (Fcos)/ (Ao/cos)=  cos cos
F
The shear stress causes slip to occur. Tensile Stress
Slip is not in same direction as tilt of plane! F
Ứng suất tiếp gây nên trượt Ao
Trượt không giống nhau trên các mặt trượt khác nhau

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Factors influencing ys or CRSS

Resolved Shear Stress - Ứng suất trượt
• The active slip system will have the
largest Schmid factor. We’ll
address this a little later. Hệ trượt
linh động khi có hệ số Schmid lớn
• The critical resolved shear stress is:
• Ứng suất trượt
CRSS   y cos cos   ym
Chỉ số ảnh hưởng đến ứng suất chảy - Ứng suất tiếp tới hạn
F
 Ao ► Temperature – Nhiệt độ
 – Increase T  decrease CRSS.

► Strain rate – Tốc độ biến dạng
Slip plane
normal – Decrease ' decrease CRSS.
Slip
Ass
A direction • Defect content – Lệch
– Impurity level – Mức độ tạp chất
• Decrease impurity content  decrease CRSS.
F

– Dislocation density – Mật độ lệch

• CRSS is the resolved shear stress needed for slip.
• Decrease   decrease CRSS.

• It is a function of temperature, impurity level, strain rate, and

dislocation density - Là một hàm số của nhiệt độ, độ tinh khiết, tốc • Etc…
độ biến dạng và mật độ lệch.

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CRSS as a function of T and  - CRSS là hàm số của T và  The components of internal

• μ (athermal)
– Arises from the stress to move dislocations in the presence of long-
Figure 4.2: range internal stress fields.
CRSS Schematic illustrating the variation of – Long-range stresses are present over large distances in comparison
* τCRSS with temperature and strain rate. to atomic dimensions. Examples of such barriers include the stress
[Adapted from Courtney, p. 143]. fields of other dislocations.
I  II III Sự thay đổi của ứng suất tới hạn phụ thuộc
nhiệt độ và tốc độ biến dạng hình 4.2 •  * (thermally dependent)
~0.25 Tmp ~0.7 Tmp T
– Represents resistance to dislocation motion due to “short-range
Seeger, 1954 barriers” (i.e., atomic scale barriers). These barriers are so small that
Flow stresses in crystals consist of two components, an athermal component temperature induced thermal vibrations can affect the Peierls stress
a which is proportional to the shear modulus, and a thermal component  * that (i.e., lattice friction). Examples of such barriers include dislocation kinks
is more sensitive to temperature and strain rate. a -mô đun trượt, ฀ * sự nhạy cảm and segregated/interacting impurity atoms.
nhiệt độ và tốc độ biến dạng.
CRSS    
* – This component decreases as T increases and goes to zero at
temperatures where short-range obstacles become ineffective in
restriction dislocations.
μ is the athermal component * is the thermally dependent
of flow stress (μ  F(T)) component of flow stress
(*  as T )

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Thermally activated flow- Dòng kích hoạt nhiệt  internal   a  * Rate limiting step consists
of overcoming the
strongest short-range
• Very important in creep. Can play a significant role in deformation above 0 K. * obstacle situated near the
Can reduce stress necessary to overcome obstacles. top of the opposing long-
Rất quan tọng trong dão, giảm ứng suất cần thiết để vượt qua chướng ngại vật range stress field.
• Consider an effective stress which drives dislocation motion. The effective 
stress, eff, is: Xem xét a/h của ứng suất đến sự dịch chuyển của lệch:

 eff   applied -internal

• The internal stress, internal, is the stress that resists dislocation motion.
• internal consists of two terms:- Ứng suất nội chống lại sự di chuyển của lệch gồm 2 thành Figure 8-20 Schematic representation of superimposed long-range and short-range
stress fields. (Originally adapted from H. Conrad, Materials Science and Engineering,
phần
v. 6 (1970) pp. 265-273).
– (1) a resistance to long-range obstacles (>10 atom diameters) that cannot be For thermal fluctuations to assist
overcome by thermal fluctuation, μ; dislocation motion, enough energy
– (2) a resistance to short-range obstacles (~10 atom diameters) that can be overcome (i.e., ΔH) must be supplied to
overcome the short-range stress
by thermal fluctuations, *.
fields.
 internal     *
 Figure 8-21 Thermal activation barrier.
 eff   applied -   *  [Figures copied from Dieter, p. 312]

7 8

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Overcoming short-range barriers Short-range barriers – cont’d

• Apply a stress  > a. The force on this dislocation is: • The energy, ΔH, is the area beneath the force-
distance curve between xo* and xo. It is designated
F   *bL* as:
where L* is the length of dislocation segment involved x*o

in thermal fluctuation. H   F  x - *bd * dx  H * - v* *

• Energy (ΔH) must be supplied to overcome the
superimposed short-range barriers.
• The work done by the applied stress during thermal
activation is:
W   * xo* - xo b
xo
where ΔH* is the activation energy at zero applied
stress.
• v* is known as the activation volume. It represents
the average area swept out by the dislocation during
some thermally activated event.

9 10

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Activation Volume CRSS as a function of T and  [1]

 CRSS     *
• The activation volume v* = L*bd* = A*b.
A* is known as the activation area.
Figure 4.2:
CRSS Schematic illustrating the variation of
• The activation volume is important because it can be used * τCRSS with temperature and strain rate.
to identify the mechanism controlling the thermally activated [Adapted from Courtney, p. 143].
process. I  II III

• This is done by comparing the values of ΔH and v* with ~0.25 Tmp ~0.7 Tmp T
values predicted from specific dislocation models.
• Region I (T  0.25Tmp)
Climb mechanism v* = 1 b3
– CRSS  with  T.
Peierls-Nabarro mechanism v* = 10 – 102 b3
Cross slip mechanism v* = 10 – 102 b3 – CRSS  with '.
 Intersection mechanism v* = 102 – 104 b3 – Athermal component of flow stress is large. Difficult for
dislocations to surmount short-range barriers.
Non-conservative motion of jogs v* = 102 – 104 b3

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CRSS as a function of T and  [2] CRSS as a function of T and  [3]

 CRSS     *  CRSS     *
 ฀1  ฀1
฀2  Figure 4.2: ฀2  Figure 4.2:
฀2 ฀2
CRSS Schematic illustrating the variation of CRSS Schematic illustrating the variation of
* τCRSS with temperature and strain rate. * τCRSS with temperature and strain rate.
[Adapted from Courtney, p. 143]. [Adapted from Courtney, p. 143].
I  II III I  II III

~0.25 Tmp ~0.7 Tmp T ~0.25 Tmp ~0.7 Tmp T

• Region III (T  0.7Tmp) • Region II (0.25Tmp < T < 0.7Tmp)

– In this temperature range, diffusive processes become – In this temperature range, μ  F(T) & *  0;  CRSS =
important. Diffusion aids dislocation motion (i.e., makes it
constant.
easier for dislocations to surmount barriers to their motion).
– Temperature is too low for diffusion to influence permanent
– Both μ & *  as T .
deformation, thus   μ  F(T).
– CRSS  with  T.
– CRSS  with  ฀. – Does crystal structure play a role?

13 14

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Temperature variation of CRSS for various materials

Full caption from Figure 4.2
KEY POINTS:

• FCC metals have low resistance to

Figure 4.2: [Covalent plastic deformation (i.e., they are
bonding] weaker)
Schematic illustrating the variation of τCRSS with temperature and
strain rate. At high temperatures (Region III), τCRSS is a strong [Metallic
• BCC metals have much higher
function of both variables. At intermediate temperatures τCRSS is bonding] resistances to plastic deformation
(i.e., they are generally stronger)
independent of strain rate and temperature and is given by τμ. At
lower temperatures, τCRSS again increases with decreasing • T dependence of CRSS:
temperature and increasing strain rate. Thus, for example, at [Ionic
–BCC – high; FCC – lower
temperature T1, τCRSS can be considered to be the sum of the bonding] • Impurities  CRSS, sometimes greatly
athermal stress τμ and a thermally dependent stress τ*. At the (principle behind solid solution
hardening)
transition from Region I to Region II, τ* effectively becomes
zero. [Adapted from Courtney, p. 143]. • Ionically bonded materials have low
Figure 4.3: CRSS (Ex., NaCl, CsCl, etc.)
The temperature variation of τCRSS for materials
• Covalently bonded materials have
with different structures and bonding
characteristics. [Adapted from Courtney, p. 144] high  CRSS (Ex., TiC, diamond, etc.)

15 16

8

• There are also
temperature effects.
• Yield stress (and CRSS)
increases as T decreases.
Figure
Stress dependence of the velocity of edge
dislocations in 3.25% silicon iron at four
temperatures (after Stein and Low, J.
Appl. Phys. 31, 362, 1960). Scanned from
m78K ~ 44
E.W. Billington and A. Tate, The Physics
of Deformation and Flow, McGraw-Hill,
m298K ~ 35
New York, 1981, pages 418 and 420.
17
9/30/2023
The dependence of dislocation
velocity on applied shear stress
for a variety of materials.
Figure scanned from D. Hull
and D.J. Bacon, Introduction to
Dislocations, 4th Edition,
(Butterworth-Heinemann,
Oxford, 2001) p. 51; originally
adapted from Haasen, Physical
Metallurgy, 3rd Edition,
(Cambridge University Press,
Cambridge, 1996) p. 283.
• Dislocation velocity also varies from material to material.
• Could there also be some relationship to crystal structure, elastic
properties, and/or melting temperature?
• Think about it!
18
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Characteristic tensile stress-strain curve for a single crystal

Deformation of single crystals (1)
Characteristic  vs.  Characteristic  vs. 
for single crystals III for single crystals III
depends on depends on
crystallographic
orientation of the  crystallographic
orientation of the 
stress axis. II stress axis.
II
I I


CRSS 
CRSS

Stage I Stage II Stage III Stage I

 
Stage I:
3 stages of work hardening for single crystals
• After yielding, the shear stress for plastic deformation is essentially constant.
There is little or no work hardening.
Stage I Stage II Stage III
Easy Linear Parabolic • This is typical when there is a single slip system operative. Dislocations do not
interact much with each other. “Easy glide”
Glide Hardening Hardening
• Active slip system is one with maximum Schmid factor (i.e., m = cos cos)

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Deformation of single crystals (2) Deformation of single crystals (3)

Characteristic  vs.  Characteristic  vs. 
for single crystals III for single crystals III
depends on depends on
crystallographic
orientation of the  crystallographic
orientation of the 
stress axis. stress axis.
II II
I I


CRSS 
CRSS

Stage II Stage III

 
Stage II: Stage III:
• The shear stress needed to continue plastic deformation begins to increase • There is a decreasing rate of work hardening.
in an almost linear fashion. There is extensive work hardening (  G/300).
• This decrease is caused by an increase in the degree of cross slip resulting
• This stage begins when slip is initiated on multiple slip systems. in a parabolic shape to the curve.
• Work hardening is caused by interactions between dislocations moving on
intersecting slip planes.

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Deformation of single crystals (4) Deformation of single crystals (5)

Characteristic  vs.  Characteristic  vs. 
for single crystals
T1
for single crystals III
depends on depends on
crystallographic
orientation of the  T2
crystallographic
orientation of the 
stress axis. stress axis.
II
I
T2 > T1

CRSS 
CRSS

Stage I Stage II Stage III Stage I Stage II Stage III

 
Effect of Temperature: Stacking Fault Energy (SFE):
• Increasing T results in a decrease in the extent of Stage I and Stage II and in • FCC metals
a decrease in τCRSS. – Decrease SFE, decrease cross slip (faults get wider).
• Stage I: – This increases the stress level needed to have a transition from Stage II to Stage III.

– Initiation of secondary slip systems is easier

• Example:
– Cu-Zn: Cu-30 at.% Zn has low SFE, extends Stage II to high stress levels.
• Stage II:
– Cross slip is easier

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Outline for Discussions of

Orientation of slip plane and slip direction relative to the loading axis
Plastic Deformation in Single Crystals and Polycrystals

1. Deformation of single crystals • Stress normal to slip

a. Crystallography of slip  F plane:
b. Stress-strain curves Ao
  N   cos2 
c. Influence of # of slip systems
d. Crystal rotation during deformation
e. Temperature dependence of stress
 • Shear stress acting on
Slip plane slip plane:
normal  RSS   cos cos 
2. Deformation of polycrystals
Slip
a. Implications of grain boundaries Ass
A direction
b. Stress-strain curves • Shear stress acting on
c. Influence of # of slip systems slip plane, in slip direction
d. Influence of # of deformation modes F
CRSS   cos cos 
   90
   is not necessarily90

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What happens to a single crystal during a tensile test?

• The slip plane re-orients as the length of the specimen changes.

• (a) Consider a single crystal

oriented for slip on planes • The glide shear stress and shear strain can be determined from the
oriented  degrees from the initial orientation of the slip plane (o) and slip direction (o) and the
tensile axis. extension of the specimen (Li/Lo).
1/2
• (b) Ideally, crystal planes will  2
 
1   Li 
“glide” over one another    - sin 2
  - cos o 
sin  o   Lo  o

without changing their relative  
orientation to the load axis..

• (c) However, during tensile P  sin2 o 

1/2

testing, the ends of the tensile  sin o 1- 

bar are constrained.
A  Li Lo  
Orientation of crystal slip plane during tensile
deformation. (a) before deformation; (b) after
deformation w/o grip constraint; (c) after • Thus the crystal planes cannot • Crystal rotation can be traced with the aid of a stereographic
deformation with grip constraint [Scanned from glide freely. They are forced projection.
R.W. Hertzberg, Deformation & Fracture to rotate towards the tensile
Mechanics of Engineering Materials, 4th ed.,
(John Wiley & Sons, New York, 1996) p. 95]. axis (i <o) .

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100
Standard Why does the number of active slip systems change?
110
Triangle
101
• During plastic deformation, the
111
112
111
6 slip single crystal will either:
0 10
systems
011
001 123
011
010 3 planes; 2
directions in
– Undergo a translation of the
2 slip
111
each upper and lower sections
systems
1 11 111 2 planes; 1 relative to each other due to
direction in
101
each slip
110
OR
1 10
112
122
100 113 – When (as is usual) testing
1 slip system 2 slip constrains the upper and
systems
1 plane; 2
lower ends keeping them
(FCC) directions
aligned, the crystal will rotate
such that the angle between
001 013 023 011
the stress axis and the slip
8 slip 2 slip 4 slip direction decreases.
systems systems systems Orientation of crystal slip plane during tensile
4 planes; 2
directions in
2 planes; 1
direction in
2 planes; 2
directions in deformation. (a) before deformation; (b) after – THUS the Schmid factor
each each each
deformation w/o grip constraint; (c) after deformation changes! This can lead to
with grip constraint. Note rotation in gage to χi. the initiation of slip on a
Crystal Orientation: [Scanned from R.W. Hertzberg, Deformation & different system.
• Determines how many slip systems are active (through the Schmid factor). Fracture Mechanics of Engineering Materials, 4th ed.,
(John Wiley & Sons, New York, 1996) p. 95]

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15

Why does the number of active slip systems change?
Primary slip
direction
(001) Stereographic projection
showing lattice rotation for an
FCC crystal during tensile
elongation. [Adapted from
R.W. Hertzberg, Deformation
& Fracture Mechanics of
Engineering Materials, 4th ed.,
(John Wiley & Sons, New
York, 1996) p. 98]
Primary slip plane
• This figure illustrates lattice rotation for a crystal
oriented for single slip (orientation P).
• This figure is explained on the next page.
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Why does the number of active slip systems change?
• As the crystal rotates, the angle between the slip plane and the tensile
axis decreases. “The orientation of the tensile axis changes.”
• When the rotation causes the tensile orientation to change to P′, the
Schmid becomes equal for two slip systems. Slip will occur on two slip
systems (i.e., dislocations will move on both systems).
Overshoot caused
by latent
• The crystal will continue to
hardening rotate with deformation
101
111 occurring on alternating slip
Final stress systems. This will continue
112 axis orientation until the load axis reaches
[112]  [101]  [011] [112] where the crystal will
neck down until failure without
P Initial stress axis changing orientation.
001 011 orientation
Figure Lattice rotation of an FCC crystal involving “overshoot” of primary and conjugate
slip systems. [Adapted from R.W. Hertzberg, Deformation & Fracture Mechanics of
Engineering Materials, 4th ed., (John Wiley & Sons, New York, 1996) p. 99]
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What about compression?

Standard
Slip-
plane
o Compression axis Triangle
100
normal
See p. 131-132 in Hosford
110 2 slip
systems 111
101 2 planes; 1
111 111 direction in
112 each
 Compression axis 0 10 001 123 010
011 011
112
122
113
1 11 111
101 1 slip system 2 slip
systems
1 10 110 1 plane; 2
directions
(FCC)
100
001 013 023 011

8 slip 2 slip 4 slip

systems systems systems
4 planes; 2 2 planes; 1 2 planes; 2

• In a compression test, the compression axis rotates towards the slip- directions in
each
direction in
each
directions in
each

plane normal.
Lattice Rotation:
• The viewgraph on the next page shows the rotations on a
• Compression axis rotates towards [111] until it reaches the [001]-[011] boundary.
stereogram.
• Duplex slip begins there which induces a net rotation towards [011].

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RECALL Influence of stress axis orientation

Characteristic tensile stress-strain curve for a single crystal
The stress axis
Characteristic  vs.  orientation plays a major
for single crystals III role in the stress-strain
depends on behavior of a single 6 slip systems FCC Crystal
crystallographic
orientation of the  crystal
2 slip systems
stress axis. II

I
1 slip system
What would this 
CRSS
look like in
compression? Stage I Stage II Stage III
NOTE: there is no
 stage I for crystals
that contain multiple
3 stages of work hardening for single crystals  slip systems?
WHY?

Stage I Stage II Stage III Why is crystallographic orientation so important?

Easy Linear Parabolic • The stress axis orientation controls the number of active slip systems.

Glide Hardening Hardening • Recall: Slip occurs when the Schmid factor is maximum.
• More slip systems means a “harder” material.

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Implications for polycrystalline materials What does it all mean?

• Plastic deformation within an individual grain is constrained by the
neighboring grains. • Since in general one grain
(either A or B) will have a
higher resolved shear
• Because strains along grain boundaries must be the same for each stress (RSS), the plastic
grain, the grains will deform in a cooperative manner. If this is not deformation of that grain
the case, catastrophic failure occurs. will be restricted.

z THUS:

y • Higher yield stress for

 xA   xB
x
polycrystal versus single
 zA   zB crystal.
A B  xzA   xzB
Required to maintain continuity of the • Greater work hardening for
grain boundary polycrystal versus single
 crystal. Figure 4.15
Room-temperature tensile (force/stress)-strain curves of single crystal, bicrystals and
• Since plastic deformation of a single grain is restrained by its polycrystals of (a) Nb and (b) NaCl. Higher stress levels and lower ductilities of
polycrystals compared to single crystals are due to the restraints that adjacent crystals in a
neighboring grain, a polycrystalline material will have an intrinsically • This is the basis for polycrystal place on the deformation of each other. The level of the flow stress of a
bicrystal depends on the relative misorientation of the two crystals comprising it. (Data
greater resistance to plastic flow than would a single crystal. “texture” hardening. from C.S. Pande and Y.T. Chou, Treat. Matls. Sc. Tech., ed., H. Herman, 8, 43, 1975; for
NaCl from R.J. Stokes, Proc. Br. Cer. Soc., 6, 189, 1966.). [Adapted from Courtney]

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Grains rotate and elongate during plastic deformation.

Has implications on strength.

What about elastic modulus?

[Figure copied from W.D. Callister, Jr, Materials Science and Engineering: An Introduction, 7th Edition,
(Wi]ley, New York, 2007) p.186.

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