Fabrizio DErrico

_______________________________
Lecture Notes in Applied Metallurgy
for the course held at Politecnico di Milano for the Master
of Science (MS) Degree in Mechanical Engineering

This booklet is based on bibliography of the course. Several parts of this booklet, as well as pictures and tables, have been freely taken from the original text books in the selected bibliography
of the course. This booklet is provided by the teacher for internal use only to the students attending the course of Applied Metallurgy, course of the M.Sc. in Mech. Eng. at Politecnico di
Milano.
No other external uses and/or scopes that are out of preparation to final exam are therefore allowed.
Any other different uses by the students shall be under their own responsibility.

Chapter 1 - Resuming basic principles of metallurgy ........................................ 3

Vacancies, interstitial spaces and grain boundaries as drive-force for
diffusion in metals ............................................................................................... 14
Elastic and plastic deformation in metal by micromechanical models ........... 24
Mechanisms of Strengthening in Metals ........................................................... 36
Strengthening by grain size reduction ............................................................. 36
Solid solution strengthening ............................................................................ 39
Strain hardening .............................................................................................. 41
Phase boundaries as strengthening sources .................................................... 44
Grain Growth, Recovery and Recrystallization ............................................... 47
Recovery .......................................................................................................... 47
Grain growth ................................................................................................... 48
Recrystallization .............................................................................................. 50
Mechanical behavior of metals by macroscopic approach .............................. 53
Tensile test ....................................................................................................... 53
Ductility ........................................................................................................... 56
Resilience ......................................................................................................... 56
Toughness ........................................................................................................ 57
Hardness .......................................................................................................... 59
Resuming the main contents, defining the main paradigm for mechanical
response of metals................................................................................................ 60
Microstructural Features of Fracture in Metallic Materials ........................... 64
Chapter 2 - Damage mechanisms and root cause failure analysis basics ....... 71

Chapter 1 - Resuming basic principles of metallurgy

Introduction
Some of the important properties of solid materials depend on geometrical atomic
arrangements, and also the interactions that exist among constituent atoms or molecules. Several fundamental and important concepts namely, atomic structure,
electron configurations in atoms are here reviewed briefly (for more details you
may refer to: William D. Callister, Materials Science and engineering: an introduction - 7. ed. - New York: John Wiley & sons, 2007; F.C. Campbell, Metallurgy
and Engineering Alloys, ASM International, 2008).

Atomic Structure and Interatomic Bonding

Bohr atomic model, in which electrons are assumed to revolve around the atomic
nucleus in discrete orbitals, and the position of any particular electron is more or
less well defined in terms of its orbital. This model of the atom is represented in
Figure 1.1a.

(a)

(b)

Figure 1.1 (a) A schematic representation of the Bohr atom; (b) covalent bonding requires that electrons be shared between atoms in such a way that each atom has its outer sp orbital filled. In silicon,
with a valence of four, four covalent bonds must be formed.

The electron configuration or structure of an atom represents the manner in which

electron statesvalues of energy that are permitted for electrons states are occupied. Valence electrons are those ones that occupy the outermost shell: these electrons are extremely important for establishing the bonding between atoms. And
bonding between atoms are necessary to form atomic and molecular aggregates.
This implies many of the physical and chemical properties of solids are based on
these valence electrons.

The basics of atomic bonding are best illustrated by considering how two isolated
atoms interact as they are brought close together from an infinite separation (Fig.
1.2). At large distances, attraction forces exerted between positive nucleus of one
atom and the negative electrons of the other atom are negligible (mutual attraction): this depend on the fact the two atoms are too far apart to have an influence
on each other. At small separation distances, each atom can actually exerts forces
on the other, but when distance decrease too much, namely nuclei get close, repulsive forces between positive nuclei surpass attraction force. These counteracting
forces, attractive FA and repulsive FR, and the magnitude of each depends on the
separation or interatomic distance r (refer to Figure 1.2). The entity of attractive
force FA obviously shall depend on the particular type of bonding that exists between the two atoms, as discussed in brief above. In Fig. 1.2b the potential energy
is shown (as integral of bonding force Fdr ).

Figure 1.2 - (a) The dependence of repulsive, attractive, and net forces on interatomic separation for two isolated atoms. (b) The dependence of repulsive, attractive, and net potential
energies on interatomic separation for two isolated atoms.

Despite the above scheme deals with an ideal situation involving only two atoms,
a similar yet more complex condition exists for solid materials. The magnitude of
this bonding energy and the shape of the energyversus interatomic separation
curve (Fig.1.2b) that can vary from material to material influence physical properties of materials. For example, large bonding energies typically also have high
melting temperatures; at room temperature, solid substances are formed for large
bonding energies, whereas for small energies the gaseous state is favored; liquids
prevail when the energies are of intermediate magnitude. How much a material
expands upon heating or contracts upon cooling (that is, its linear coefficient of
thermal expansion) is related to the shape of its E vs r curve (a deep and narrow
trough, which typically occurs for materials having large bonding energies,
normally correlates with a low coefficient of thermal expansion and relatively
small dimensional alterations for changes in temperature).
Physical principles of elastic modulus
Among various physical properties affected by energy or interatomic force versus
relative distance r (see again Fig.1.2a) curve shape diagram, we focus on the tangent to F versus r curve at its stable equilibrium (i.e. in r0 in the Fig.1.2). Look at
the Fig.1.3 that shows the F-r curve around the equilibrium, r0 (equilibrium will
vary at different temperature: increase if T increases, decrease while T decreases).

Figure 1.3 - The force-distance curve for two materials, showing the relationship between
atomic bonding and the modulus of elasticity, a steep dF/da slope gives a high modulus.

If we refer to general results obtained by a stress-strain curve (i.e. curve, Fig.

1.4a), we observe most metals that are stressed in tension and at relatively low
levels result in a proportional stress and strain correlation to each other, obeying to
the relationship = E , also known as Hookes Law. We define deformation in

which stress and strain are proportional as elastic deformation (a nonpermanent

deformation) since each loading cycle performed in this stress-strain curve region is fully reversible (by unloading, the piece returns to its original shape).

(a)

(b)

Figure 1.4 (a) Typical engineering stressstrain behavior to fracture, point F; (b)
a detail of the stress-strain curve in the proportionality regime.

On an atomic scale, thus referring again to Fig.1.3, macroscopic elastic strain is

manifested as small changes in the interatomic spacing and the stretching of interatomic bonds. As a consequence, the magnitude of the modulus of elasticity is a
measure of the resistance to separation of adjacent atoms, that is, the interatomic
bonding forces. This modulus is proportional to the slope of the interatomic force
separation curve (Figure 1.3) at the equilibrium, and it is a physical properties of
material class: it does mostly depend on atomic bonding force of crystal lattice of
metals, over a very low influence of varying chemical analysis (steels exhibits
atomic bonding force higher than aluminum, so its Young Modulus is higher;
Young Modulus of any steels slightly varies in the range 200.000 220.000 MPa).
Atomic arrangements of metals
During melting phase, the energy introduced by heating causes vibration energy 1
of atoms to decrease. By opposite reasoning we can say that increasing vibration
energy causes progressively equilibrium distance r0 to increase. The material, if it
is solid, remains in this state till the equilibrium distance that is increased by in-

Atoms vibrates around their equilibrium r0 position at any temperature; at 273 K vibration ceases.

creasing temperature (consider that heating up provides energy for increase atom
vibration) is lower than low-bonding energy regime (see again Fig.1.2b: as interatomic atom distance increases, attractive force, i.e. bonding energy decreases). If
atoms reaches high interatomic distance, their mutual attractive force decreases
and atoms separate each other. While this phenomenon happens in metal, it is observe a change in status of aggregation: it passes from solid to liquid state.
Now, proceed again in back track: cool down temperature of metal that is provided in molten state. The vibration energy of atoms progressively decreases, till
some atoms can attract each others. These early movements make some atoms to
link each others, and some nuclei of solidified materials appears in the melting
phase (see Fig.1.5a)

Figure 1.5 - Schematic diagrams of the various stages in the solidification of a polycrystalline material; the square grids depict unit cells. (a) Small crystallite nuclei. (b) Growth of
the crystallites; the obstruction of some grains that are adjacent to one another is also
shown. (c) Upon completion of solidification, grains having irregular shapes have formed.
(d) The grain structure as it would appear under the microscope; dark lines are the grain
boundaries.

What distinguishes metals, some polymers and many ceramics is that when solid
state is reached, atoms occupies regular ordering of atoms that extends through the
material (Fig.1.5b and c). Particularly here we refer to metals.

For a metal, crystalline solid is built up during cooling down and solidification by
way of a periodic and repeated arrangement of atoms that extends throughout the
entirety of the specimen. The basic cell that repeat in the space at is called the unit
cell and its geometry varies for metals. In Fig. 1.6 are show various possibility
of arrangement in metals and the highlighted ones are those we deal with in this
course.

Figure 1.6 - The fourteen types of Bravais lattices grouped in seven crystal systems. The
highlighted structures are those of our interest.

The representation in Fig.1.6 is just schematic; in reality, the lattice structure is

made up by atoms that get close each other, compacting and packing in the unit
cell above illustrated. In Fig.1.7 is shown the more real structure of a face centered cubic, or FCC, unit cell (Fig.1.7a) compared with the schematic representation (Fig.1.7b) of unit cell, and how the unit cells combine in the space to form
solid material (namely, each single grain of Fig.1.5).

Fig.1.7 - For the face centered cubic crystal structure, (a) a hard sphere unit cell representation, (b) a reduced-sphere unit cell, and (c) an aggregate of many atoms.

Now, imagine to start from the scheme in Fig.1.7b made of ping pong balls at the
corner and in center of 6 faces of the cube, and pack as you can, trying to realize
by outer uniform compression a compact cube. What happens is that some spaces
will remain in your compacted cube. These spaces we call interstitial spaces, or
sites. In Fig.1.8, for example, are shown the interstitial spaces present in three type
of unit cells. In Fig.1.9 the octahedral site inside the face centered cubic cell.

10

Figure 1.8 - The location of the interstitial sites in cubic unit cells. Only representative sites
are shown. The name of the site (e.g. octahedral, tetrahedral, etc.) depends on its location in
the

Figure 1.9 - The location of the octahedral site in a face centered cubic unit cell.

Imperfections in the Atomic and Ionic Arrangements

Thus far it has been tacitly assumed that perfect order exists throughout crystalline
materials on an atomic scale. However, such an idealized solid does not exist.
Meanwhile cooled down, a metal solidifies by solid nuclei formation (see again
Fig.5) and grain growth. It is worth of noticing that the simplified scheme of solidification in Fig.5 actually it is to be considered as a low magnification representation; if you imagine to observe by an atomic microscope (we imagine we holds
such a marvelous equipment) nuclei that are forming inside liquid phase as illustrated in Fig.5, actually we have to consider they are building up meanwhile atoms
by atoms occupy fixed position inside the specific unit cell. Each metal, we know,
has its own specific atomic arrangement it is just like the DNA code for organisms - that mainly depends on the base element, e.g. body cubic centered, BCC,

11

for Fe (at ambient temperature), face cubic centered, FCC, for aluminum, highly
compact hexagonal for Mg, etc. Thus, when metal cools down and rapidly solidifies, it is impossible all atoms perfectly arrange to build up a perfect crystal lattice
into perfect grain: in reality many atoms will occupy wrong positions.
Point defects
We call these wrong positions imperfections of crystal lattice, or more simply defects. Basic defects of a real crystal lattice consists in a punctual (single) wrong
position occupied by an atom that is missing, thus we call it a vacancy, or it is inserted in an insufficient space, thus we can define a self-interstitial atom (see Fig.
1.10). We call this type of imperfections point defects, because of their effect
onto lattice irregularity: they can be several, but they are punctual imperfections
distributed in crystal planes.

Figure 1.10 - Two-dimensional representations of a vacancy and a self-interstitial.

If you consider the most generalized case of non-pure metals, namely the solid solutions of two or more elements, we call metal alloys, like Fe-C alloys, aluminum
silicon added alloys, etc. exhibit same type of defects as vacancies, but additionally to the self-interstitial atoms, crystalline defects can refer also to irregular occupancy of an alloying element atom that would have a smaller or wider radius than
base element. In Fig.1.11 it is shown a summary of possible point defect situations
we can observe in metal alloys. Whichever is origin of point defect, all of these
defects disrupt the perfect arrangement of the surrounding atoms.

12

Figure 1.11 - Point defects: (a) vacancy, (b) interstitial atom, (c) small substitutional atom,
(d) large substitutional atom,

Interfacial defects: grain boundary

Grain boundary is represented schematically from an atomic perspective in Figure
1.14. Within the boundary region, which is probably just several atom distances
wide, there is some atomic mismatch in a transition from the crystalline orientation of one grain to that of an adjacent one. Various degrees of crystallographic
misalignment between adjacent grains are possible (Figure 1.15).When this orientation mismatch is slight, on the order of a few degrees, then the term small- (or
low-) angle grain boundary is used. These boundaries can be described in terms of
dislocation arrays. One simple small-angle grain boundary is formed when edge
dislocations are aligned in the manner of Figure 4.8. This type is called a tilt
boundary; the angle of misorientation, , is also indicated in the figure. When the
angle of misorientation is parallel to the boundary, a twist boundary results, which
can be described by an array of screw dislocations.

13

Figure 1.14 Schematic diagram showing small and high-angle grain boundaries and the
adjacent atom positions.

Figure 1.15 A tilt boundary having an angle of misorientation , results from an alignment of edge dislocations.

As special type of grain boundary twin boundary is worth of noticing: it exhibits a

specific mirror lattice symmetry (it depends on crystal lattice). Thus atoms on one

14

side of the boundary are located in mirror-image positions of the atoms on the other side (Figure 1.16).

Figure 1.16 Schematic diagram showing a twin plane or boundary and the adjacent atom positions (colored circles).

Vacancies, interstitial spaces and grain boundaries as driveforce for diffusion in metals
Firstly we address the diffusion by the phenomenological point of view. Let us see
the scheme in Fig. 1.16. The phenomenon of diffusion may be demonstrated with
the use of a diffusion couple, which is formed by joining bars of two different
metals together so that there is intimate contact between the two faces; this is illustrated for copper and nickel. which includes schematic representations of atom positions and composition across the interface. This couple is heated for an extended
period at an elevated temperature (but below the melting temperature of both metals) and cooled to room temperature. Chemical analysis will reveal a condition
similar to that represented in Figure 1.15 namely, pure copper and nickel at the
two extremities of the couple, separated by an alloyed region. Concentration of
both metals vary with position as shown in Figure 1.15f. This result indicates that
copper atoms have migrated or diffused into the nickel, and that nickel has diffused into copper. This process, whereby atoms of one metal diffuse into another,
is termed inter-diffusion, or impurity diffusion. There is a net drift or transport of
atoms from high- to low-concentration regions.
Diffusion also occurs for pure metals, but all atoms exchanging positions are of
the same type; this is termed self-diffusion. Of course, self-diffusion is not normally subject to observation by noting compositional changes.
This was the experiment, to allow us to observe results of diffusion: but which are
mechanisms that causes diffusion into metals?

15

(a)

(d)

(b)

(e)

(c)

(f)

Figure 1.16 Start experiment time: (a) a coppernickel diffusion couple before a hightemperature heat treatment; (b) schematic representations of Cu (red circles) and Ni (blue
circles) atom locations within the diffusion couple; (c) concentrations of copper and nickel
as a function of position across the couple; (d) the coppernickel diffusion couple after a
high-temperature heat treatment, showing the alloyed diffusion zone; (e) schematic representations of Cu (red circles) and Ni (blue circles) atom locations within the couple; (f)
Concentrations of copper and nickel as a function of position across the couple.

Mechanisms of diffusion into metal

From an atomic perspective, diffusion is just the stepwise migration of atoms from
lattice site to lattice site. In fact, the atoms in solid materials are in constant motion, rapidly changing positions. For an atom to make such a move, two conditions
must be met: (1) there must be an empty adjacent site, and (2) the atom must have
sufficient energy to break bonds with its neighbor atoms and then cause some lattice distortion during the displacement. As stated, this energy is vibrational in nature until cooling down metals to -273 K. At a specific temperature some small
fraction of the total number of atoms is capable of diffusive motion, by virtue of
the magnitudes of their vibrational energies. This fraction increases with rising
temperature.
Several different models for this atomic motion have been proposed; of these possibilities, two dominate for metallic diffusion.

16

Vacancy Diffusion: involves the interchange of an atom from a normal lattice position to an adjacent vacant lattice site or vacancy, as represented
schematically in Fig.1.17a. This process of course necessitates the presence of vacancies, and the extent to which vacancy diffusion can occur is a
function of the number of these defects that are present.

Interstitial Diffusion: The second type of diffusion involves atoms that migrate from an interstitial position to a neighboring one that is empty; this
mechanism is found for interdiffusion of impurities and very small-radius
atoms (such as hydrogen, carbon, nitrogen, and oxygen) that are small
enough to fit into the interstitial positions and move (Fig.1.17b). In most
metal alloys, interstitial diffusion occurs much more rapidly than diffusion
by the vacancy mode, because the interstitial atoms are smaller and thus
more mobile. Furthermore, there are more empty interstitial positions than
vacancies; hence, the probability of interstitial atomic movement is greater
than for vacancy diffusion.

Figure 1.17 Schematic representations of (a) vacancy diffusion and (b) interstitial
diffusion.

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Box - Modeling of diffusion into metals

Diffusion is a time-dependent processthat is, in a macroscopic sense, the quantity of an element that is transported within another is a function of time. Often it is
necessary to know how fast diffusion occurs, or the rate of mass transfer. This rate
is frequently expressed as a diffusion flux (J), defined as the mass (or, equivalently,
the number of atoms) M diffusing through and perpendicular to a unit crosssectional area of solid per unit of time. In mathematical form, this may be represented as:
(. 1.1)

where A denotes the area across which diffusion is occurring and t is the elapsed
diffusion time. In differential form, this expression becomes:
(. 1.2)

The units for J are kilograms or atoms per meter squared per second (kg/m2. s or
atoms/m2. s). If the diffusion flux does not change with time, a steady-state condition exists.
Steady-state diffusion and Ficks first law
One common example of steady-state diffusion is the diffusion of atoms of a gas
through a plate of metal for which the concentrations (or pressures) of the diffusing
species on both surfaces of the plate are held constant. This is represented schematically in Figure 1.17a.

Figure 1.17 (a) Steady-state diffusion across a thin plate. (b) A linear concentration
profile for the diffusion situation in (a).

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When concentration C is plotted versus position (or distance) within the solid x, the
resulting curve is termed the concentration profile; the slope at a particular point on
this curve is the concentration gradient:

In the present experiment, the concentration profile is assumed to be linear, as depicted in Figure 1.17b, and:
(. 1.3)

(. 1.4)

The mathematics of steady-state diffusion in a single (x) direction is relatively

simple, in that the flux is proportional to the concentration gradient through the
expression:
(. 1.5)

The constant of proportionality D is called the diffusion coefficient, which is expressed in square meters per second. The negative sign in this expression indicates
that the direction of diffusion is down the concentration gradient, from a high to a
low concentration. Equation 1.5 is sometimes called Ficks first law. When diffusion is according to Equation 5.3, the concentration gradient is the driving force.
Non-steady state diffusion and Ficks second law
The diffusion flux and the concentration gradient at some particular point in a solid
vary with time, with a net accumulation or depletion of the diffusing species resulting. This is illustrated in Figure 1.18, which shows concentration profiles at three
different diffusion times. In this case, instead the Ficks first law, a partial differential equation is used to more precisely model the phenomenon:

(. 1.6)

= (

The above equation is known as Ficks second law. If the diffusion coefficient is
independent of composition (which should be verified for each particular diffusion
situation), Equation 1.6 simplifies to:
(. 1.7)

2
=

19

Solutions to this expression (concentration in terms of both position and time) are
possible when physically meaningful boundary conditions are specified.

Figure 1.18 - Concentration profiles for nonsteady-state diffusion taken at three different
times, t1, t2, and t3.

The use of Erf Function in modeling diffusion

Frequently, the source of the diffusing species is a gas phase, the partial pressure of
which is maintained at a constant value. Furthermore, the following assumptions
are made:
1. Before diffusion, any of the diffusing solute atoms in the solid are uniformly
2. distributed with concentration of C0.
3. The value of x at the surface is zero and increases with distance into the solid.
4. The time is taken to be zero the instant before the diffusion process begins.
These boundary conditions are simply stated as
For t =0, C= C0 at 0 x
For t > 0, C = Cs (the constant surface concentration) at x = 0
C= C0 at x =
Application of these boundary conditions to Equation 1.7 yields the solution:

Where:

(. 1.8)

0
2

Cs is the surface concentration of gas diffusing into the surface,

Co is the initial concentration of the element in the solid, x is the distance

from the surface,

D is the diffusivity of the solute element in the solvent matrix, and t is time;

erf (error function) is a mathematical function that can be found in standard

mathematical tables, also included in excel function;

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Case study - Carburization process modeling

Assume gas carburizing process conducted on 1020 steel, at 930 C;

Assume that the steel has a nominal carbon content of 0.20%, and the carbon
content at the surface is 0.90%.

The diffusion coefficient under these conditions is D930C =1.28 10-11 m2/s

The time necessary to increase the carbon content to 0.40% at 0.50mm below
the surface can be calculated in the following manner:

Figure 1.19 Carbon concentration during carburizing.

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Internal factors that affect diffusion

In the following are listed two main inner factors among various which affect diffusion kinetics.
Diffusing species: The magnitude of the diffusion coefficient D is indicative of the
rate at which atoms diffuse. The diffusing species as well as the host material influence the diffusion coefficient. For example, there is a significant difference in
magnitude between self-diffusion and carbon interdiffusion in iron at 500C, the
D value being greater for the carbon interdiffusion (3.0 x 10-21 vs. 2.4 x 10-12 m2/s).
This comparison also provides a contrast between rates of diffusion via vacancy
and interstitial modes as discussed earlier. Self-diffusion occurs by a vacancy
mechanism, whereas carbon diffusion in iron is interstitial.
Temperature: Temperature has a most profound influence on the coefficients and
diffusion rates. For example, for the self-diffusion of Fe in -Fe, the diffusion coefficient increases approximately six orders of magnitude in rising temperature
from 500C to 900C. The temperature dependence of the diffusion coefficients
is:
(eq.1.9)

= 0 exp

Where:
D0 is a temperature-independent pre-exponential (m2/s)
Qd is the activation energy for diffusion (J/mol)
R is the gas constant, 8.31 J/molK
T is the absolute temperature (K)

The activation energy may be thought of as that energy required to produce the
diffusive motion of one mole of atoms. A large activation energy results in a relatively small diffusion coefficient.

Box - Determining D0 and Qd

Taking natural logarithms of Equation 1.9 yields:

(. 1.10)

= 0

Q 1

2.3

Because D0, Qd, and R are all constants, Equation 1.10 takes on the form of an
equation of a straight line: y = b+ mx. where y and x are analogous, respectively,
to the variables log D and 1/T. Thus, if log D is plotted versus the reciprocal of
the absolute temperature, a straight line should result, having slope and intercept

22

of -Qd/2.3R and log D0, respectively. This is the manner in which the values of
Qd and D0 are determined experimentally. From such a plot for several alloy
systems (Figure 1.20), it may be noted that linear relationships exist for all cases
shown.

Figure 1.20 - Plot of the logarithm of the diffusion coefficient versus the reciprocal of absolute temperature for several metals.

Line defects: dislocations in metals

Punctual defects are not the only type of wrong arrangement of atoms inside crystal lattice. Several atoms can occupy wrong positions, at the same time. We therefore talk about the line or plane defect. Let us see what it does mean. Assume to
consider a perfect ordered crystal lattice, as it is schematically represented by perfect cubes link together in a perfect spatial order, as the scheme in Fig.1.21a depicts.

23

Figure 1. 21 Constructions of a line defect (dislocation): (a) a perfect crystal; (b) an extra
half-plane of atoms is inserted; (c) the bottom edge of the extra plane is an edge dislocation.

Now consider a half-plane is inserted in the perfect crystal, by operation on

Fig.1.21b. The results is a locally deformed lattice (see Fig. 1.21c), because of the
presence of the added semi plane. We call this defect dislocation and it is a linear
or one-dimensional defect around which some of the atoms are misaligned: the
half-plane edge terminates within the crystal. This is termed also as edge dislocation and the final row of atoms that held to the dislocation plane is called the dislocation line, which, for the edge dislocation in Fig.1.21c is perpendicular to the
plane of the page. A more detailed representation of an edge dislocation is provided in Fig.1.22.

Figure 1.22 - The atom positions around an edge dislocation; extra half-plane of atoms
shown in perspective.

As the point defects above discussed disrupt the perfect arrangement of the surrounding atoms, irregularities induced by dislocations works in similar way: within the region around the dislocation line there is some localized lattice distortion.
The atoms above the dislocation line in Figure 1.13 are squeezed together, and

24

those below are pulled apart; this is reflected in the slight curvature for the vertical
planes of atoms as they bend around this extra half-plane.

Elastic and plastic deformation in metal by micromechanical

models
Let us consider the scheme in Figure 1.23, representing by micromechanics approach a perfect crystal lattice of metal: spheres represent atoms of same specie
(thus we deal in this moment with pure metal), no defects, neither vacancies, or
dislocations are present. The link (electric bonding we discussed in previous paragraph) between atoms is represented by a spring that exhibits, if loaded in tension,
an attractive force (this is in analogy with electric attraction between nuclei and
opposite atoms electrons). Finally, we assume, for the sake of simplicity, that the
box-shaped atoms grid that represents the 2D-dimension crystal lattice of our metal is actually a single grain. This means that square perimeter of the grid in
Fig.1.23a actually corresponds to the grain boundary. Now let us apply on this
grid a tensile load, as it is illustrated by the arrows in Fig.1.23b. What does it happen to our grid in term of deformation?

(a)

(b)

(c)

Figure 1.23 (a) Tensile external load applied to perfect crystal lattice; (b) tensile stress
leads to elastic deformation, and eventually to (c) a brittle rupture consisting in simultaneous breaking of atom bonds.

Let us proceed reasoning about the assumptions we stated.

Each spring in the micromechanical model that represents the atom bond obeys
to a well-known mechanical relation F=Kx; this means, each spring has same behavior and same maximum strength. Applying tensile stress, the grid will extend
as shown in Fig.1.23b. But, when the load is so high and springs extend too much

25

that they exceed their own maximum resistance, springs finally break 2. Moreover,
if one single spring breaks, all the springs distributed in the row perpendicular to
the force direction break at the same time (remember that they have same maximum strength, as they are similar). The result in this case is that all the atoms of
the grid, from the left side to the right side, detach as Fig.1.23c shows. In other
words, the grain (remember the square grid for us represent a single grain) rapidly
fracture into two pieces. This is the failure scheme which is usual in brittle materials, like ceramics. Think to throw a ceramic piece onto floor: it breaks into two or
more separate pieces, with no deformation. We know by experience that metals,
usually, when they break exhibit also large deformed surface. The scheme in
Fig.1.23 cannot therefore explain the plastic deformation in metals; on the other
hand, it can well explain the elastic deformation, as in the next we can understand.
Look again at Fig.1.4. We stated initial stage of the stress-strain curve in metal
concerns on reversible, or elastic, deformation. Once the load is removed, the
specimen recovers original dimension. This is well explained by the micromechanical model shown in Fig.1.23a, since until tensile load we apply is sufficiently
low (i.e. onto macro-mechanical model, this means keeping stress below the
Yield Strength, YS), the springs in the atomic grid elastically extends. As soon
as we remove the load, the grid recovers its original shape.
Thus, which way should we modify the micromechanical model to well explain
what we macroscopically observe when specimen surpasses the YS and enters in
plastic deformation regime? We know in metals, as stress arises above the YS, the
elastic regime stage is abandoned, thus metal starts to permanently deform. We
now want to seek a micromechanical model that allows us to explain such a plastic
regime. Let us consider the same atomic grid of Fig.1.13 but now we want to
check what happens if we apply a shear stress scheme, instead of the tensile stress,
accordingly with the scheme in Fig.1.24.

internal

Slip plane

(a)

(b)

Figure 1.24 (a) Shear stress applied to perfect crystal lattice; (b) on certain plane shear
stresses can develop and induce atoms in two facing rows to slip. The final shape of the perimeter of the grid irreversibly changes, thus depicting plastic deformation has occurred.
2

You can read this statement as follows: when atoms are separated by a distance that
determine attractive force drastically reduces, see Fig. 1.2.

26

By such a stress field, shear stresses develop onto the intermediate plane, as
shown in the scheme of Fig.1.14b. Let us for the next that shear stress is higher
enough (well better comment how much high it should be), it is capable to make
one crystal lattice plane to slip over the opposite one; the result of this movement
is clearly shown in Fig.1.24b. The atoms of the upper part of the grid have moved
of one step ahead, of the order of an interatomic space. If you imagine to remove
the external load, the perimeter of the grid cannot be restored at its original shape.
The irreversible deformation has occurred, without implying brittle rupture of
atomic bonds. Thus, the plastic deformation in metal can be effectively explained
by this micromechanical scheme.
But, there is still a but. If we refer to perfect crystal lattice shown in Fig.1.24, during the slip movement of one step order, 6 atomic bonds have been broken and 5
have been restored. It appears the net balance of energy concerns on 1 atomic
bonds, but we need to consider the start of the movement has required in any case
external load is sufficient to develop shear stresses capable to break out 6 atom
bonds. You should take into account that were enormously reducing the scale of a
grain to a 36 atoms! But if we consider a grain in reality, the number of atoms
from one border to the opposite border is of the order of millions! This means that
to realize a very insignificant variation of perimeter of grain, shear stress along the
grain should be capable to break millions of atomic bonds, simultaneously, thus
recovering this huge quantity of energy as the atoms onto slip plane advance one
step (see again the scheme in Fg.1. 24b). This cannot be explainable in reality,
since too much high would be the minimum shear stress to activate the slip that no
machines on Earth would be adequate to plastically deform metals. From our
knowledge of the metallic bond, it is possible to derive a theoretical value for the
stress required to produce slip by the simultaneous movement of atoms along a
plane in a metallic crystal. However, the strength actually obtained experimentally
on single crystals is only about one-thousandth (1/1000) of the theoretical value,
assuming simultaneous slip by all atoms on the plane. Obviously, slip does not occur by the simple simultaneous block movement of one layer of atoms sliding over
another. The modern concept is that slip occurs by the step-by-step movement of
dislocations through the crystal. But, how does it contribute in plastic deformation
of metals?
Dislocation and plastic deformation in metal
Fortunately in metals there are millions of dislocations distributed into crystal lattice, as that one shown in the scheme of Fig.1.22. To comprehend how dislocation
positively works for plastic deformation, let us consider the scheme in Fig.1.25.
When force is applied such that it shears the upper portion of the crystal to the
right the plane of atoms above the dislocation can easily establish bonds with the
lower plane of atoms to its right, with the result that the dislocation moves one lattice spacing at a time. Note that only single bonds are being broken at any one
time, rather than the whole row. The atomic distribution is again similar to the initial configuration, and so, the slipping of atom planes can be repeated. The move-

27

ment is much like that of advancing a carpet along a floor by using a wrinkle that
is easily propagated down its length.
This stress required to cause plastic deformation is orders of magnitude less when
dislocations are present than in dislocation-free, perfect crystalline structures.

Figure 1.25 - Line dislocation movement.

If a large number of dislocations move in succession along the same slip plane, the
accumulated deformation becomes visible, resulting in macroscopic plastic deformation. This effect is represented by a simplified scheme in Fig.1.26 representing the macroscopic effect of grain boundary modification into polycrystalline
metal. If a large number of dislocations move in succession along the same slip
plane, the accumulated deformation becomes visible, resulting in macroscopic
plastic deformation.

45

No force applied, dislocation

inside grain do not move

Force applied, maximum shear

stress induces dislocations on 45
slip planes to move to grain
boundary

Figure 1.26 Permanent deformation occurring at grain boundaries in polycrystalline metals that reveal macroscopic deformation onto surface of specimen under tensile loading.

28

Fig.1.26 also introduces further important key-point: dislocations do not move

with the same degree of ease on all crystallographic planes nor in all crystallographic directions. Ordinarily, there are preferred planes, and in these planes, there
are specific directions along which dislocation motion can occur. These planes are
called slip planes, and the direction of movement is known as the slip direction.
The combination of a slip plane and a slip direction forms a slip system
Slip planes in metals
For a particular crystal structure, the slip plane is that plane having the most dense
atomic packing; that is, it has the greatest planar density. The slip direction corresponds to the direction, in this plane, that is most closely packed with atoms, that
is, has the highest linear density.
Consider, for example, the FCC crystal structure, a unit cell of which is shown in
Figure 1.27a. There is a set of planes, the {111} family, all of which are closely
packed. A (111)-type plane is indicated in the unit cell; in Figure 1.27b, this plane
is positioned within the plane of the page, in which atoms are now represented as
touching nearest neighbors.

Figure 1.27 (a) A {111} slip system shown within an FCC unit cell. (b) The (111) plane
from (a) and three slip directions (as indicated by arrows) within that plane constitute possible slip systems.

Slip occurs along -type directions within the {111} planes, as indicated by arrows
in Figure 1.27. Hence, represents the slip plane and direction combination, or the
slip system for FCC. Figure 1.27b demonstrates that a given slip plane may contain more than a single slip direction. Thus, several slip systems may exist for a
particular crystal structure; the number of independent slip systems represents the
different possible combinations of slip planes and directions. For example, for
face-centered cubic, there are 12 slip systems: four unique {111} planes and, within each plane, three independent directions.
The possible slip systems for BCC and HCP crystal structures are listed in Table
1.1. For each of these structures, slip is possible on more than one family of planes

29

(e.g., {110}, {211}, and {321} for BCC). For metals having these two crystal
structures, some slip systems are often operable only at elevated temperatures.

Table 1.1. - Slip Systems for Face-Centered Cubic, Body-Centered Cubic, and Hexagonal
Close-Packed Metals.

Face-centered cubic (fcc) metals have a large number of slip systems (12) and are
therefore capable of moderate-to-extensive plastic deformation. Although bodycentered cubic (bcc) systems often have up to 12 slip systems, some of them, like
steel, exhibit a ductile-to-brittle transition as the temperature is lowered due to the
strong temperature sensitivity of their yield strength, which causes them to fracture prior to reaching their full potential of plastic deformation. In general, the
number of slip systems available for hexagonal close-packed (hcp) metals is less
than that for either the fcc or bcc metals, and their plastic deformation is much
more restricted. The hcp structure normally has only three to six slip systems, only
one-fourth to one-half the available slip systems in fcc.
Since plastic deformation takes place by slip, or sliding, on the close-packed
planes, the greater the number of slip systems available, the greater the capacity
for plastic deformation.
Slip in single crystal: the Schmids law
A further explanation of slip is simplified by treating the process in single crystals,
then making the appropriate extension to polycrystalline materials. By mechanics
in solid we know that, though an applied stress may be pure tensile (or compressive), shear components exist. Existence of shear stress is necessary to activate
slip planes, so to move dislocation onto this plane along its slip direction. However the shear stress acting along this direction shall be sufficiently higher to promote dislocation movement. We need therefore to calculate the projected shear
stress along the slip direction of the external tensile force F applied (see again
Fig.1.28a), thus compare the value of this shear stress to the minimum shear stress
necessary for dislocation movement, or critical shear stress, c. The former shear
stress is called the resolved shear stress, r and its magnitude depends not only
on the applied stress, but also on the orientation of both the slip plane and direction within that plane. To best understand last statement, look at the scheme in

30

Fig.1.28a. Assume the normal, n, of the slip plane lies at an angle, , to the tensile
axis. The area A of the slip plane considered for all the specimen will be A0/cos .
Similarly, if the slip plane lies at an angle, , to the tensile axis, the component of
the axial force, F, acting on the slip direction will be Fcos . The resolved shear
stress, r, is then given by:
(. 1.20)

cos

cos

= cos cos

Where is the applied stress. If we consider the theoretical case of a single crystal
(grain) specimen where the slip direction is orthogonal to tensile stress we applied
on specimen (see Fig.1.29), the shear stress r for the Schmid law is 0: this means
that also for high applied tensile stress, resolved shear stress does not develop and
any dislocations cannot move. Ultimately, slip of planes cannot occur and plastic
deformation cannot occur.

(a)

(b)

Figure 1.28 (a) Tensile test of single crystal and the Schmids Law components. (b) If dislocation is present perpendicular onto slip plane, it can be activated, and planes slip.

Figure 1.29 - If a slip plane is perpendicular to applied stress , the shear stress r = 0. Also
for high applied stress, no resolved shear stress develop and no dislocation can move. Slip
cannot occur, deformation cannot occur.

31

In general, + 0 because it need not be the case that the tensile axis, the slip
plane normal, and the slip direction all lie in the same plane. A metal single crystal
has a number of different slip systems that are capable of operating. The resolved
shear stress normally differs for each one because the orientation of each relative
to the stress axis ( and angles) also differs. However, one slip system is generally oriented most favorablythat is, has the largest resolved shear stress, r
(max):
(. 1.21)

= (cos cos )

In response to an applied tensile or compressive stress, slip in a single crystal

commences on the most favorably oriented slip system when the resolved shear
stress reaches a critical value, termed the critical resolved shear stress crss; it
represents the minimum shear stress required to initiate slip and is a property of
the material that determines when yielding occurs. The single crystal plastically
deforms or yields when r (max) = crss, and the magnitude of the applied stress
required to initiate yielding (i.e., the yield strength y) is:
(. 1.22)

(cos cos )

The minimum stress necessary to introduce yielding occurs when a single crystal
is oriented such that = = 45; under these conditions:
(. 1.23)

= 2

For example, if a single-crystal specimen is stressed in tension (see Fig.1.30), and

their slip planes are favorably 45 oriented with tensile stress direction, slip occurs
at minimum tensile stress value, accordingly with the Schmids law solved in
eq.1.22 and calculated in eq.1.23.

32

(a)

(b)

Fig.1.30 Theoretical deformation occurring in a single crystal specimen. (a) A favorable

slip direction in crystal lattice are favorable 45 around oriented; (b) in this particular case
the tensile stress necessary for activating slip of planes is the minimum value, accordingly
with the eq.1.22 and solve eq.1.23.

However, instead this very simplified and most theoretical case, most metals used
in industry are not single crystal. Under an applied axial load, the Schmids factor
will be different for each grain 3. Let us consider a 2D simplified scheme that can
take into account existence of various slip system inside specimen loaded in tension. In the example, two grains are marked with bold arrows: the arrows represent the slip direction for each random oriented crystal lattices of various grains.
These two grains have their slip directions 45 around oriented with the tensile
stress direction. Thus, these two grains will result in the maximum Schmids factor, thus they will result in the minimum value in the eq.1.22, namely the minimum tensile stress for activating the movement of dislocations onto slip plane
(necessary condition for grain plastic deformation).

3 For randomly oriented grains, the average value of the Schmid factor is ~1/3, which is
referred to as the Taylor factor. It then follows that the yield strength should have a value of
approximately 3c.

33

+45 45

max

max

Fig.1.31 Scheme of polycrystalline plastic deformation initiation: in crystal lattice there

are several grains with several slip systems. Because grains have random orientation, their
slip planes have, too. Some grains therefore could result most favorable oriented for activating dislocation movements if slip directions (represented by arrows in the grains) are favorably 45 angles oriented with the load axis. The 45 orientations represents orientation of
such planes where the shear stress produced by external tensile load reaches its maximum
value.

Dislocations start to move in these grains, thus plastic deformation initiates in

these grains. However, with continued extension of specimen, increases and this
causes other dislocation systems in other grains not 45 oriented will be activated
(i.e. the Schmids factor is lower in other grains but the stress rises to values for
satisfying the eq.1.22).
Finally, you might consider that in real crystal lattice, 3D oriented, there are several slip systems, as Table 1.1 has shown. For FCC and BCC metals, slip may
eventually begin along a second slip systemthe system that is next most favorably oriented with the tensile axis (see the Fig.1.32 and Fig.1.33).

34

Figure 1.32 - Slip lines on the surface of a polycrystalline specimen of copper that was polished and subsequently deformed.

Figure 1.33 - Alteration of the grain structure of a polycrystalline metal as a result of plastic
deformation. (a) Before deformation the grains are equiaxed. (b) The deformation has produced elongated grains.

35

Box - DEFORMATION BY TWINNING

In addition to slip, plastic deformation in some metallic materials can occur by
the formation of mechanical twins, or twinning. The concept of a twin concerns
with a shear force that in some crystal lattices can produce atomic displacements
such that on one side of a plane (the twin boundary), atoms are located in mirrorimage positions of atoms on the other side. The manner in which this is accomplished is demonstrated in Figure 1.34. Here, open circles represent atoms that
did not move, and dashed and solid circles represent original and final positions,
respectively, of atoms within the twinned region. As may be noted in this figure,
the displacement magnitude within the twin region (indicated by arrows) is proportional to the distance from the twin plane. Furthermore, twinning occurs on a
definite crystallographic plane and in a specific direction that depend on crystal
structure.

Figure 1.34 - Schematic diagram showing how twinning results from an applied shear
stress . In (b), open circles represent atoms that did not change position; dashed and solid
circles represent original and final atom positions, respectively.

Slip and twinning deformations are compared in Figure 8.13 for a single crystal
that is subjected to a shear stress .

Figure 1.35 - For a single crystal subjected to a shear stress , (a) deformation by slip, (b)
deformation by twinning.

36

Mechanical twinning occurs in metals that have BCC and HCP crystal structures,
at low temperatures, and at high rates of loading (shock loading), conditions under which the slip process is restricted; that is, there are few operable slip systems.

Mechanisms of Strengthening in Metals

Metallurgical and materials engineers are often called on to design alloys having
high strengths yet some ductility and toughness; typically, ductility is sacrificed
when an alloy is strengthened. Several hardening techniques are at the disposal of
an engineer, and frequently alloy selection depends on the capacity of a material to
be tailored with the mechanical characteristics required for a particular application. Important to the understanding of strengthening mechanisms is the relation
between dislocation motion and mechanical behavior of metals. Because macroscopic plastic deformation corresponds to the motion of large numbers of dislocations, the ability of a metal to deform plastically depends on the ability of dislocations to move. Because hardness and strength (both yield and tensile) are related to
the ease with which plastic deformation can be made to occur, by reducing the
mobility of dislocations, the mechanical strength may be enhanced; that is, greater
mechanical forces will be required to initiate plastic deformation. In contrast, the
more unconstrained the dislocation motion, the greater is the facility with which a
metal may deform, and the softer and weaker it becomes. Virtually all strengthening techniques rely on this simple principle: Restricting or hindering dislocation
motion renders a material harder and stronger. The present discussion is confined
to strengthening mechanisms for single-phase metals by grain size reduction, solid-solution alloying, and strain hardening. Deformation and strengthening of multiphase alloys are more complicated, involving concepts beyond the scope of the
present discussion; later chapters treat techniques that are used to strengthen multiphase alloys.
Strengthening by grain size reduction
The size of the grains, or average grain diameter, in a polycrystalline metal influences the mechanical properties. Adjacent grains normally have different crystallographic orientations and, of course, a common grain boundary, as indicated in
Fig. 1.36. During plastic deformation, slip or dislocation motion must take place
across this common boundary say, from grain A to grain B in Fig.1.36.The
grain boundary acts as a barrier to dislocation motion for two reasons:
1.

2.

Because the two grains are of different orientations, a dislocation passing

into grain B will have to change its direction of motion; this becomes
more difficult as the crystallographic misorientation increases.
The atomic disorder within a grain boundary region will result in a discontinuity of slip planes from one grain into the other.

37

It should be mentioned that, for high-angle grain boundaries, it may not be the
case that dislocations traverse grain boundaries during deformation; rather, dislocations tend to pile up (or back up) at grain boundaries. These pileups introduce
stress concentrations ahead of their slip planes, which generate new dislocations in
adjacent grains. A fine-grained material (one that has small grains) is harder and
stronger than one that is coarse grained because the former has a greater total grain
boundary area to impede dislocation motion. For many materials, the yield
strength y varies with grain size according to:
(. 1.24)

= 0 + 2

In this expression, termed the HallPetch equation, d is the average grain diameter, and 0 and Ky are constants for a particular material. Note that Equation 1.24
is not valid for both very large (i.e. coarse) grain and extremely fine grain polycrystalline materials. Fig.1.37 demonstrates the yield strength dependence on grain
size for a brass alloy 4.

Figure 1.36 - The motion of a dislocation as it encounters a grain boundary, illustrating how
the boundary acts as a barrier to continued slip. Slip planes are discontinuous and change
directions across the boundary.

Grain size may be regulated by the rate of solidification from the liquid phase, and also
by plastic deformation followed by an appropriate heat treatment, as discussed in Section to
be defined.

38

Figure 1.37 - The influence of grain size on the yield strength of a 70 Cu30 Zn brass alloy.
Note that the grain diameter increases from right to left and is not linear.

It should also be mentioned that grain size reduction improves not only the
strength, but also the toughness of many alloys; this fact can be explained as follows. Considering the scheme in Fig.1.31, if you imagine to reduce the grain size,
many grains will appear in the same round window. This fact implies several
further slip systems will add, because they are pertinent to each single new grain
you may consider. The result is the following. On one hand increasing of number
of grain boundaries, that leads to increasing strength as above discussed; on the
other hand, the increasing number of slip systems can contemporarily lead material to be prone dislocation movement inside the grain; this phenomenon results in
higher energy absorption during dislocation movement inside the grain, toward
the grain boundaries where dislocation will pile up.
Small-angle grain boundaries are not effective in interfering with the slip process
because of the slight crystallographic misalignment across the boundary. On the
other hand, twin boundaries will effectively block slip and increase the strength of
the material. Boundaries between two different phases are also impediments to
movements of dislocations; this is important in the strengthening of more complex
alloys.

39

Solid solution strengthening

Another technique to strengthen and harden metals is alloying with impurity atoms that go into either substitutional or interstitial solid solution. Accordingly, this
is called solid solution strengthening. High-purity metals are almost always softer
and weaker than alloys composed of the same base metal. Increasing the concentration of the impurity results in an attendant increase in tensile and yield
strengths, as indicated in Fig.1.38a and 1.38b, respectively, for nickel in copper;
the dependence of ductility on nickel concentration is presented in Fig. 1.38c.

Figure 1.38 - Variation with nickel content of (a) tensile strength, (b) yield strength, and (c)
ductility (%EL) for coppernickel alloys, showing strengthening.

40

Alloys are stronger than pure metals because impurity atoms that go into solid solution typically impose lattice strains on the surrounding host atoms. Lattice strain
field interactions between dislocations and these impurity atoms result, and, consequently, dislocation movement is restricted. For example, an impurity atom that
is smaller than a host atom for which it substitutes exerts tensile strains on the surrounding crystal lattice, as illustrated in Figure 1.39a.

Figure 1.39 - (a) Representation of tensile lattice strains imposed on host atoms by a smaller substitutional impurity atom. (b) Possible locations of smaller impurity atoms relative to
an edge dislocation such that there is partial cancellation of impuritydislocation lattice
strains.

Figure 1.40 - (a) Representation of compressive strains imposed on host atoms by a larger
substitutional impurity atom. (b) Possible locations of larger impurity atoms relative to an
edge dislocation such that there is partial cancellation of impuritydislocation lattice
strains.

Conversely, a larger substitutional atom imposes compressive strains in its vicinity

(Figure 1.40a).These solute atoms tend to diffuse to and segregate around dislocations in such a way as to reduce the overall strain energythat is, to cancel some
of the strain in the lattice surrounding a dislocation. To accomplish this, a smaller
impurity atom is located where its tensile strain will partially nullify some of the
dislocations compressive strain. For the edge dislocation in Figure 1.39b, this
would be adjacent to the dislocation line and above the slip plane. A larger impuri-

41

ty atom would be situated as in Figure 1.40b. The resistance to slip is greater when
impurity atoms are present because the overall lattice strain must increase if a dislocation is torn away from them. Furthermore, the same lattice strain interactions
(Figures 1.39b and 1.40b) will exist between impurity atoms and dislocations that
are in motion during plastic deformation. Thus, a greater applied stress is necessary to first initiate and then continue plastic deformation for solid-solution alloys,
as opposed to pure metals; this is evidenced by the enhancement of strength and
hardness.
Strain hardening
Strain hardening is the phenomenon by which a ductile metal becomes harder and
stronger as it is plastically deformed. Sometimes it is also called work hardening
or, because the temperature at which deformation takes place is cold relative to
the absolute melting temperature of the metal, cold working. Most metals strain
harden at room temperature. Fig. 1.41a and 1.41b demonstrate how steel, brass,
and copper increase in yield and tensile strength with increasing cold work. The
price for this enhancement of hardness and strength is in a decrease in the ductility
of the metal. This is shown in Fig.1.41c, in which the ductility, in percent elongation, experiences a reduction with increasing percent cold work for the same three
alloys.

Figure 1.41 - For 1040 steel, brass, and copper, (a) the increase in yield strength, (b) the
increase in tensile strength, and (c) the decrease in ductility (%EL) with percent cold work

The influence of cold work on the stressstrain behavior of a low-carbon steel is

shown in Figure 8.20; here stressstrain curves are plotted at 0%CW, 4%CW, and
24%CW.

42

Figure 1.42 - The influence of cold work on the stressstrain behavior of a low-carbon
steel; curves are shown for 0% cold worked, 4% cold worked, and 24% cold worked.

Strain hardening is demonstrated in a stressstrain diagram presented in Fig.1.43.

Initially, the metal with yield strength y0 is plastically deformed to point D. The
stress is released, then reapplied with a resultant new yield strength, yi. The metal
has thus become stronger during the process because is greater than y0.

Figure 1.43 Schematic tensile stressstrain diagram showing the phenomena of elastic
strain recovery and strain hardening.

43

The strain-hardening phenomenon is explained on the basis of dislocation dislocation strain field interactions similar to those discussed for the solid solution
strengthening, but more effective. The dislocation density in a metal increases
with deformation or cold work because of dislocation multiplication or the formation of new dislocations, as noted previously. Consequently, the average distance of separation between dislocations decreasesthe dislocations are positioned closer together. On the average, dislocationdislocation strain interactions
are repulsive. The net result is that the motion of a dislocation is hindered by the
presence of other dislocations. As the dislocation density increases, this resistance
to dislocation motion by other dislocations becomes more pronounced.
As a metal is plastically deformed, new dislocations are thus created, so that the
dislocation density becomes higher and higher. In addition to multiplying, the dislocations become entangled and impede each others motion. Dislocations, in fact,
are influenced by the presence of other dislocations and interact with each other,
as shown for a number of different interactions in Fig. 1.44.

Figure 1.44 Examples of dislocation interactions.

Dislocations of the same sign will repel each other, while dislocations of opposite
signs will attract each other and, if they meet, annihilate each other. If the two dislocations of opposite signs are not on the same slip plane, they will merge to form
a row of vacancies. These types of interactions occur because they reduce the internal energy of the system.
The result, in any case, is increasing resistance to plastic deformation with increasing dislocation density. Work hardening thus results in a simultaneous increase in
strength and a decrease in ductility. Since the work hardened condition increases

44

the stored energy in the metal and is thermodynamically unstable, the deformed
metal will try to return to a state of lower energy. This generally cannot be accomplished at room temperature. Elevated temperatures, in the range of 1/2 to 3/4 of
the absolute melting point, are necessary to allow mechanisms, such as diffusion,
to restore the lower-energy state. The process of heating a work-hardened metal to
restore its original strength and ductility is called annealing. Metals undergoing
forming operations often require intermediate anneals to restore enough ductility
to continue the forming operation. Approximately 5% of the energy of deformation is retained internally as dislocations when a metal is plastically deformed,
while the rest is dissipated as heat.
The imposed stress necessary to deform a metal increases with increasing cold
work. In the mathematical expression relating true stress and strain shown by
equation 1.25:
(. 1.25)

the parameter n is called the strain-hardening exponent, which is a measure of the

ability of a metal to strain harden; the larger its magnitude, the greater is the strain
hardening for a given amount of plastic strain.
Phase boundaries as strengthening sources
While a grain boundary is an interface between grains of the same composition
and same crystalline structure (/ interface) with different orientations, a phase
boundary is one between two different phases (/ interface) that can have different crystalline structures and/or different compositions. In two-phase alloys, such
as copper-zinc brass alloys containing more than 40% Zn, second phases, such as
the one shown in Fig. 1.45, can form due to the limited solid solubility of zinc in
copper.

Figure 1.45 Phase boundary in copper-zinc system.

45

There are three different types of crystalline interfaces that can develop between
two phases (Fig. 1.46): coherent, semicoherent, and incoherent. A fully coherent
phase boundary (Fig. 1.46a, b) occurs when there is perfect atomic matching and
the two lattices are continuous across the interface. The interfacial plane will have
the same atomic configuration in both planes. Since there is perfect matching at
the interface, the interfacial energy is low. When the distances between atoms at
the interface are not identical (Fig. 1.46c), coherency strains start to develop.
However, since there is still perfect atomic matching, it is still a coherent phase
boundary; only the interfacial energy will be higher than one with no distortion.
When the mismatch becomes sufficiently large, dislocations form to accommodate
the growing disregistry. The result is called a semicoherent interface (Fig. 1.46d)
that has an medium-high interfacial energy. Finally, an incoherent interface (Fig.
1.46e, f) is an interphase boundary that results when the matrix and precipitate
have very different crystal structures, and little or no atomic matching can occur
across the interface. The interfacial energy is even greater. An incoherent boundary is essentially equivalent to a high-angle grain boundary.

Figure 1.46 Phase boundaries systems.

In many instances, second phases have a tendency to form at the grain boundaries.
This occurs because they reduce their interfacial energy by occupying a grain
boundary; that is, by occupying a grain boundary, part of the interfacial energy is
eliminated, and the total energy of the system is reduced.

46

Depending on the type of their phase boundaries, such fine particles can exhibit
slight or very high obstruction to dislocation movement. These in fact are in any
case an irregularity for the matrix crystal lattice constituting the grain where dislocation can move. These fine precipitate particles, in other words, act as barriers to
the motion of dislocations and provide resistance to slip, thereby increasing the
strength and hardness.
Particles are usually classified as deformable or non-deformable, meaning that the
dislocation is able to cut through it (deformable) or the particle is so strong that
the dislocation cannot cut through (non-deformable). When a dislocation encounters a fine particle, it must either cut through the particle or bow (loop) around it,
as shown schematically in Fig. 1.47.

Figure 1.47 Particle strengthening.

For effective particle strengthening (Fig. 1.48), the matrix should be soft and ductile, while the particles should be hard and discontinuous. A ductile matrix is better in resisting catastrophic crack propagation. Smaller and more numerous particles are more effective at interfering with dislocation motion than larger and more
widely spaced particles. Preferably, the particles should be spherical rather than
needlelike to prevent stress-concentration effects. Finally, larger amounts of particles increase strengthening.

47

Figure 1.48 Particle-hardening considerations.

In summary we have discussed mechanisms that may be used to strengthen and

harden single-phase metal alloys: strengthening by grain size reduction, solidsolution strengthening, strain hardening and second phase-dispersed (or fine particles) hardening. Of course they may be used in conjunction with one another; for
example, a solid-solution-strengthened alloy may also be strain hardened.

Grain Growth, Recovery and Recrystallization

Plastically deforming a polycrystalline metal specimen at temperatures that are low

relative to its absolute melting temperature produces microstructural and property

changes that include (1) a change in grain shape, (2) strain hardening, and (3) an increase in dislocation density. Some fraction of the energy expended in deformation is
stored in the metal as strain energy, which is associated with tensile, compressive, and
shear zones around the newly created dislocations.
These properties and structures may revert back to the precold-worked states by appropriate heat treatment, sometimes termed an annealing treatment. Such restoration
results from two different processes that occur at elevated temperatures: recovery and
recrystallization, which may be followed by grain growth.

Recovery
Recovery is the initial stage of the annealing cycle before recrystallization occurs.
During recovery, some of the stored internal strain energy is relieved by virtue of
dislocation motion (in the absence of an externally applied stress), as a result of
enhanced atomic diffusion at the elevated temperature. There is some reduction in

48

the number of dislocations, and dislocation configurations are produced having

low strain energies.
During recovery, basic types of processes that occur are:
(1) the annihilation of excess point defects, particularly vacancies; the vacancies that were generated during cold working are annealed out by migrating to dislocations, grain boundaries, or surfaces;
(2) the rearrangement of dislocations into lower energy configurations,
which also annihilates many of them; At slightly higher temperatures, the
rearrangement of dislocations occurs, and, in the process, the annihilation
of dislocations of opposite signs takes place. The rearrangement of dislocations is assisted by thermal energy, which aids in both climb and slip
mechanisms.
(3) the formation of subgrains that grow and interlock into sub-boundaries
(Fig.1.49).

Figure 1.49 - the coalescence mechanism of two grains by mutual accommodation (rotation) and coalescence

Grain growth
It should also be noted that the strengthening effects due to grain size reduction
and strain hardening can be eliminated or at least reduced by an elevatedtemperature heat treatment. Regarding with the enlarging of grain size, heating up
metals produces diffusivity to increase. The higher is the diffusivity (refer to eq.
1.9), the higher is the diffusion of species in matrix. This is true also for the selfdiffusion of element. When atoms move from one position to another obeying to

49

diffusion mechanisms (refer to par. Vacancies, interstitial spaces and grain

boundaries as drive-force for diffusion in metals), they also can move from one
grain boundary to another: what could happen is schematically shown in
Fig.1.50a. Basing on the grain boundary migration, in the Fig. 1.50b is shown
the mechanisms that provokes grain growth by small grains disappearing. Ultimately, grain growth occurs because of metal with its original microstructure is
heated up to certain temperature (Fig.1.51).

(a)

(b)
Figure 1.50 (a) Schematic representation of grain growth via atomic diffusion; (b) disappearing of small grains.

Empirically, it has been shown that grain growth occurs according to:
(. 1.26) =

Where:
D is the average grain diameter,
t is time,
n is a constant,

= 0 2

50

The constant n increases with temperature and approaches a theoretical value of

0.5. It should also be noted that the activation energy, Q, also varies with temperature.

Figure 1.51 Schematic representation of grain size versus treatment temperature relationship.

Recrystallization
Even after recovery is complete, the grains are still in a relatively high strain energy state. Recrystallization is the formation of a new set of strain-free and equiaxed
grains (i.e., having approximately equal dimensions in all directions) that have low
dislocation densities and are characteristic of the precold-worked condition. The
driving force to produce this new grain structure is the difference in internal energy between the strained and unstrained material. The new grains form as very
small nuclei and grow until they completely consume the parent material, processes that involve short range diffusion. Two stages in the recrystallization process
are represented in Fig.1.52a, 1.52b and 1.52c. In these photomicrographs, the
small, speckled grains are those that have recrystallized.
Recrystallization of cold-worked metals may be used to refine the grain structure.
Also, during recrystallization, the mechanical properties that were changed as a
result of cold working are restored to their precold-worked values; that is, the
metal becomes softer and weaker, yet more ductile (the extent of recrystallization
depends on both time and temperature), as shown in Fig.1.53.
The influence of temperature is demonstrated in Figure 1.54, which plots tensile
strength and ductility (at room temperature) of a brass alloy as a function of the
temperature and for a constant heat treatment time of 1 h. The grain structures
found at the various stages of the process are also presented schematically.
Recrystallization is considered complete when the mechanical properties of the recrystallized metal approach those of the metal before it was cold worked; on the
other hand, recrystallization and the resulting mechanical softening completely
cancel the effects of cold working.

51

Figure 1.52 Recrystallization progression in low-carbon steel. (a) Recrystallized 10%. (b)
Recrystallized 40%. (c) Recrystallized 80%.

52

Figure 1.53 The influence of annealing temperature (for an annealing time of 1 h) on the
tensile strength and ductility of a brass alloy. Grain size as a function of annealing temperature is indicated. Grain structures during recovery, recrystallization, and grain growth stages are shown schematically.

Figure 1.54 The variation of recrystallization temperature with percent cold work for iron.
For deformations less than the critical (about 5% cold work, CW), recrystallization will not
occur.

53

Plastic deformation operations are often carried out at temperatures above the recrystallization temperature in a process termed hot working (Fig.1.55), described in Section to be defined.
The material remains relatively soft and ductile during deformation because it does not
strain harden, and thus large deformations are possible.

Figure 1.55 Recrystallization during hot rolling.

Mechanical behavior of metals by macroscopic approach

The mechanical behavior of a material is its response to an applied load or force.
Important mechanical properties are strength, hardness, stiffness, and ductility.
There are three principal ways in which a load may be applied: tension, compression, and shear. Large number of mechanical property tests have been developed
to determine a material response to applied loads or forces.
Tensile test
The tensile test is the most commonly used mechanical property test. Its chief use
is to determine the properties related to the elastic design of structures. In addition,
the tensile test gives information on the plasticity and fracture of a material. A typical stress-strain curve for a metal is shown in Fig. 1.55. The parameters used to
describe the stress-strain curve of a metal are the tensile strength, yield strength or
yield point, percent elongation, and reduction in area. The first two are strength
parameters, and the last two are indications of ductility. As long as the specimen is
loaded within the elastic region, the strain is totally recoverable. However, when
the load exceeds a value to the yield stress, the specimen undergoes plastic deformation and is permanently deformed when the load is removed. The stress to
produce continued plastic deformation increases with increasing strain, thus obeying to work hardening phenomenon, discussed above as one of strengthening
mechanism active in metals. To a good engineering approximation, the volume
remains constant during plastic deformation (Al=A0l0), and as the specimen elongates, it decreases uniformly in cross-sectional area along its gage length. Initially,

54

strain hardening more than compensates for this decrease in area, and the engineering stress continues to rise with increasing strain. However, eventually, a
point is reached where the decrease in area is greater than the increase in deformation load from strain hardening. This condition will be reached first at some
point in the specimen that is slightly weaker than the rest. All further plastic deformation is then concentrated in this region, and the specimen begins to neck or
thin locally. Because the cross-sectional area is now decreasing far more rapidly
than the deformation load is being increased by strain hardening, the engineering
stress continues to decrease until fracture occurs.

Figure 1.55 Typical stress-strain curve.

Figure 1.56 Different stress-strain responses.

With most metals, there is a gradual transition from elastic to plastic behavior, and
the point at which plastic deformation actually begins is difficult to define with
precision. The transition from elastic to plastic deformation is illustrated in Fig.
1.57.

55

Figure 1.57 Elastic and plastic behavior during tensile loading.

Metals that yield discontinuously have a stress-strain curve similar to that shown
in Fig. 1.58a, instead of a continuous gradual yield point as in Fig. 1.58b. While in
the former case the yield point is univocally identified as lower and higher yield
point (see Fig.1.58a), for the metals with indefinite yield point, yield strength is
determined by drawing a straight line parallel to the initial straight line portion of
the stress-strain curve. The line is normally offset by a strain of 0.2% (0.002).

(a)

(b)

Figure 1.58 (a) Transition from elastic to plastic behavior; (b) Discontinuous yielding in
plain carbon steels.

56

Ductility
Measures of ductility that are obtained from the tension test are the engineering
strain at fracture (f) and the reduction of area at fracture. Both are usually expressed as percentages, with the engineering strain at failure often reported as the
percent elongation. Both of these properties are obtained after fracture by putting
the specimen back together and taking measurements of the final length, lf, and final specimen cross section at fracture, Af. Percent elongation can be determined
by:

where l0 is the original gage length, and lf is the final length of the gage section.
Likewise, reduction in area can be determined by:

where A0 is the original area of the gage section, and Af is the final area of the
gage section at fracture.

Resilience
Resilience is the capacity of a material to absorb energy when it is deformed elastically and then, upon unloading, to have this energy recovered. The associated
property is the modulus of resilience, Ur , which is the strain energy per unit volume required to stress a material from an unloaded state up to the point of yielding. The modulus of resilience for a specimen subjected to a uniaxial tension test
is just the area under the engineering stressstrain curve taken to yielding:
(. 1.27)

=
0

Assuming a linear elastic region, we have:

(. 1.28)

1 2
1
= [ ] =
2
2

in which y is the strain at yielding (see scheme in Fig.1.59). The units of resilience
are the product of the units from each of the two axes of the stressstrain plot. For SI
units, this is joules per cubic meter (J/m3, equivalent to Pa).

57

Figure 1.59 Schematic representation showing how modulus of resilience (corresponding

to the shaded area) is determined from the tensile stressstrain behavior of a material.

Toughness
Although there are a number of approaches to defining toughness, one of the oldest is to consider it as the total area under the stress-strain curve. This area is an
indication of the amount of work per unit volume that can be done on a material
without causing it to fail. As shown in Fig. 1.60, this definition of toughness implies that toughness is a function of both strength and ductility.
Another way of defining toughness is as the ability of a material to absorb energy
and plastically deform before fracturing. For dynamic (high strain rate) loading
conditions and when a notch (or point of stress concentration) is present, notch
toughness is assessed by using an impact test (Fig.1.61).

Figure 1.60 Area under stress-strain curve as a measure of toughness.

58

Figure 1.61 Impact test machine (Charpy test) conducted onto notched specimen.

Box Stress concentration

Geometrical features, such as holes, fillets, and radii, produce higher local stresses
than encountered in the body of the material. For example, the tensile stresses at
the top and bottom of the hole shown in Fig. 1.62 are three times greater than they
are in the body of the material. These higher stresses are a result of the inability of
the stresses to pass through the hole.

Figure 1.62 Stress-concentration effect around a hole.

Such stress increases are described by the stress-concentration factor, K:
K = Maximum actual stress/ Nominal stress
While the stress-concentration factor K for a round hole is 3, much higher stress
concentration factors occur when there is a sharp notch in the material. Values for
a wide range of geometries can be found in handbooks dealing with stress analysis.

59

Hardness
Hardness is the resistance to penetration, and the majority of hardness testers force
a small sphere, pyramid, or cone into a specimen by means of an applied load. A
number is obtained, and the hardness can often be correlated to the tensile strength
of the metal. This proportional relationship depends on the fact both tensile
strength and hardness are indicators of a metals resistance to plastic deformation,
that occurs on same micro-mechanical mechanisms of dislocation movement.
Consequently, they are roughly proportional, as shown in Figure 1.63 for tensile
strength as a function of the HB for cast iron, steel, and brass. As a rule of thumb,
for most steels, the HB and the tensile strength are related according to:
UTS (MPa) = 3.34 x HB (or HV for hardness higher than 500 HB)

In any case, the same proportionality relationship does not hold for all metals, as
Figure 1.63 indicates. This depend, in fact, by micro-mechanisms of dislocation
movement in different matrix of different metals.

Figure 1.63 Relationships among hardness and tensile strength for steel, brass, and cast
iron.

60

Box Hardness test, the basics.

Resuming the main contents, defining the main paradigm for

mechanical response of metals
On an atomic scale level, plastic deformation corresponds to the motion of dislocations in response to an externally applied shear stress. For example, an edge dislocation moves by the successive and repeated breaking of atomic bonds and shifting by interatomic distances of half planes of atoms. For dislocation edge, in
particular, dislocation line motion and direction of the applied shear stress are thus
parallel. We call slip the motion of dislocations in response to an externally applied shear stress. It occurs on specific crystallographic planes and within these
planes only in certain directions, depending on crystal structure of the metal. The
combination of slip planes and slip direction, expressed by the Schmids Law, is
defined slip system. The slip plane is that plane that has the densest atomic packing, and the slip direction is the direction within this plane that is most closely
packed with atoms. Operable slip systems, namely the planes where dislocation
are active, depend on the crystal structure of the material.
A resolved shear stress is the shear stress resulting from an applied tensile stress
that is resolved onto a plane that is neither parallel nor perpendicular to the stress
direction. For polycrystalline materials, slip occurs within each grain along those
slip systems that are most favorably oriented with the applied stress. As favorable

61

oriented we mean that in such grains the resolved shear stress is highest and it can
achieve the critical shear stress, namely the shear stress necessary to activate dislocation slip along slip plane and in the slip direction. During deformation, grains
change shape and extend in those directions wherein there is gross plastic deformation.
The basic concept is that the ease with which a material is capable of plastic deformation is a function of dislocation mobilitythat is, restricting dislocation motion leads to increases hardness and strength.
Various modes are practicable to inhibit dislocation mobility. We call these modes
strengthening mechanisms:
- Grain Size Reduction: as grain boundaries are barriers to dislocation
motion for two reasons: a) when crossing a grain boundary, a dislocations direction of motion must change; b) there is a discontinuity of slip
planes within the vicinity of a grain boundary. A metal that has small
grains will be stronger than one with large grains because the former has
more grain boundary area, and, thus, more barriers to dislocation motion.
For most metals, yield strength depends on average grain diameter according to the HallPetch equation.
- Solid-Solution Strengthening: the strength and hardness of a metal increase with increase of concentration of impurity atoms that go into solid
solution (both substitutional and interstitial).Solid-solution strengthening
results from lattice strain interactions between impurity atoms and dislocations; these interactions produce a diminishment in dislocation mobility.
- Strain Hardening: strain hardening is just the enhancement in strength
(and decrease of ductility)of a metal as it is plastically deformed. Degree
of plastic deformation may be expressed as percent cold work, which depends on original and deformed cross-sectional areas. Yield strength, tensile strength, and hardness of a metal increase with increasing percent
cold work; ductility diminishes. During plastic deformation dislocation
density increases, the average distance between adjacent dislocations decreases, andbecause dislocationdislocation strain field interactions,
are, on average, repulsivedislocation mobility becomes more restricted; thus, the metal becomes harder and stronger.
On the opposite, mechanisms that tend to recover the dislocation mobility, driven
by heating up structure, are:
- Recovery: There is some relief of internal strain energy by dislocation
motion. Dislocation density decreases, and dislocations assume lowenergy configurations. Some material properties revert back to their precold-worked values.
- Recrystallization: During recrystallization, a new set of strain-free and
equiaxed grains form that have relatively low dislocation densities. The
metal becomes softer, weaker, and more ductile. The driving force for recrystallization is the difference in internal energy between strained and
recrystallized material. For a cold-worked metal that experiences recrystallization, as temperature increases (at constant heat-treating time), ten-

62

sile strength decreases and ductility. The recrystallization temperature of

a metal alloy is that temperature at which recrystallization reaches completion in one hour. Two factors that influence the recrystallization temperature are percent cold work and impurity content. Furthermore, recrystallization temperature diminishes with increasing percent cold work.
Grain growth is the increase in average grain size of polycrystalline materials, which proceeds by grain boundary motion. The driving force for
grain growth is the reduction in total grain boundary energy.

The most important conclusion we point out is the full understanding the
strengthening mechanisms for metals and the resulting high or low mechanical
properties on the microscopic scale is easily explained by a high or low dislocation motion resources. The higher is dislocation mobility, the lower is the onset to
which plastic deformation occurs, namely the yield strength (YS) and the higher is
the plastic deformation capacity under static or impacting loads that we expressed
respectively by: a) the elongation percentage at break E% (alternatively or adding
to % reduction of area at break) and b) the energy stored (i.e. the Joule absorbed)
by breaking a standard notched sample by an impact test machine.
Summarizing, we can quickly measure by tensile test and impact test some macroscopic mechanical parameters by which we can state whether metallic materials
behave either by ductile and tough safe mode or brittle unsafe mode. To understand why we can correlate the ductile and tough behavior to a safe operating
mode of a metal for structural application, consider whether you would be happy
to know the axle of your car is so low ductile and tough that its mechanical behavior is like a ceramic material.
Basing on the 3 basic mechanical tests we have discussed so far, tensile test, hardness test and impact test, we therefore can group the main mechanical features we
obtain by 3 type of tests, distinguishing in mechanical resistance properties and
ductile properties, as shown in following Fig.1.65

Hardness (hardness test)

YS; UTS (tensile test)

E%, A% (tensile test)

KV (Impact test, e.g. Charpy)

Fig.1.65 Basic mechanical properties from tensile test, hardness test and impact test
grouped into: a) resistance capability (left side); b) ductility capability ( right side).

As we already learned, the left side and right side properties for metal are strictly
correlated, because of the following causal relationship:
i) Dislocations move and reach grain boundary grain boundary perimeter modifies macroscopic plastic deformation occurs(1)

63

Note 1: For example macroscopic deformation is observed in surpassing the onset

yield strength, necking occurs in tensile tests; indenting of test material by penetrator in the hardness test; highly plastically deformed regions in the notched section area of Charpy test specimen broken.

And its own counteracting relationship :

ii) Dislocations are temporarily locked dislocation motion is inhibited
critical resolved shear stress crss increases increase magnitude of
external load to unlock dislocation(2) dislocation move and reach
grain boundary
Note 2: Refer to eq.1.22.

What happens in metals is that, as well as dislocations are inhibited in their

movement (independently of reasons, namely whichever strengthening mechanism
is established), the yield strength increases, the ultimate tensile strength increases,
the hardness increases, as we expect because of the increase of such magnitude of
external load capable to unlock dislocation; but at the same time, in strengthened
matrix, mobility of dislocations decreases, thus resulting in decrease of ductile
properties.
The basic framework of such mutual relationships of a metal is shown in
Fig.1.64.

Strong, stiff and brittle

material

Strong and low-tough

material

High-tough and ductile

material

High stiffness

Low stiffness
UTS

High strength
UTS
UTS
Low toughness
r

Low ductility

Low strength

High toughness

high ductility

Fig. 1.65 - Understanding basic material properties and their mutual correlations. For example, a
high stiffness material (scheme on the left side) is a material with high slope measured in the
origin - of the (stress) and (deformation) curve obtained by a tensile test on the material. This
slope is called the elastic modulus of the material. Such a high stiffness material usually exhibits
further high mechanical strength (i.e. Ultimate Tensile Strength, UTS), low ductility (i.e. deformation at break, r) and low toughness (i.e. energy stored to break, proportional to area below the
tensile test diagram).

64

For example, a high hardness and consequently lack of ductility of one phase
found in steel, the martensite, is explained by a solid-solution strengthening effect,
that leads to an increase of resolved critical shear stress and consequently external
load necessary to unlock dislocations. But, in addition, the martensite structure has
very few slip systems. These double conditions leads on one hand to a very high
critical resolved shear stress, responsible of high hardness and the high strength of
martensite; on the other hand very few possibilities offered to dislocation to move
(few slip planes) causes few plastic deformation capability, that lead macroscopically to very low ductility and toughness.

Microstructural Features of Fracture in Metallic Materials

The dislocation motion or their inhibition to movement plays a determinant role in
the metal fracture. We mean as fracture in metals the same for any layman persons, not a metallurgist (actually you will be surprised in the following how much
intuitive is the vocabulary of a metallurgist!). Thus, fracture is simply the separation of a solid body made of metal into two or more pieces, under the action of external load.
For metals, fracture can be classified into two broad categories: a) ductile fracture
and b) brittle fracture. The ductile or brittle mode depends primarily on the macroscopic appearance of the fractured material. More precisely, the Fig. 13.1 shows a
schematic comparison between two ductile fractures - on the right side that are
both characterized by extensive plastic deformation, prior to and during crack
propagation.

Fig. 1.66 - Comparison of brittle and ductile fracture modes.

65

On the opposite, a brittle fracture occurs with little or no gross plastic deformation
and usually occur suddenly, without warning (thus in unsafe mode - remind the
ceramic vehicle axle!).
The tendency for brittle fracture increases as well as any external or internal conditions work for: a) locking dislocations and/or b) reduce slip planes. Thus, the
tendency for a material that has sufficient slip planes (this is not the case of the
Hexagonal Close Packing crystal structure) to brittle behavior increases as well as
its own dislocation population is inhibited in motion. This can happen, for example:
with decreasing temperature; as temperature decreases, the atomic vibration reduces and thus atomic planes tend to compact; this fact results unfavorable for dislocation slip;
increasing strain rate, namely under strain-hardening mechanisms for dislocation locking;
under triaxial stress conditions; remember that in the Mohrs diagram a triaxial tensile state of stress is represented by a point, not circles; in this special case, shear stresses are zero; no shear stress causes no dislocation slip
can occur (refer to scheme in Fig.1.24);
In the following we go in depth in two modes as they appear to microscopic observations.
Ductile Fracture
Ductile fracture normally occurs in a transgranular manner (through the grains) in
metals that have good ductility and toughness. Often, a considerable amount of deformationincluding neckingis observed in the failed component.

Fig. 1.67 - When a ductile material is pulled in a tensile test, necking begins and voids form
starting near the center of the barby nucleation at grain boundaries or inclusions. As deformation continues, a 45 shear lip may form, producing a final cup and cone fracture.

66

The deformation occurs before the final fracture. Ductile fractures are usually
caused by simple overloads, or by applying too high a stress to the material. In a
simple tensile test, ductile fracture begins with the nucleation, growth, and coalescence of microvoids near the center of the test bar (Figure 1.67). Microvoids form
when a high stress causes separation of the metal at grain boundaries or interfaces
between the metal and small impurity particles (inclusions). As the local stress increases, the microvoids grow and coalesce into larger cavities. Eventually, the
metal-to-metal contact area is too small to support the load and fracture occurs.
Deformation by slip also contributes to the ductile fracture of a metal. We know
that slip occurs when the resolved shear stress reaches the critical resolved shear
stress and that the resolved shear stresses are highest at a 45 angle to the applied
tensile stress (ref. to Schmids Law). These two aspects of ductile fracture give the
failed surface characteristic features.
In thick metal sections, we expect to find evidence of necking, with a significant
portion of the fracture surface having a flat face where microvoids first nucleated
and coalesced, and a small shear lip, where the fracture surface is at a 45 angle to
the applied stress. The shear lip, indicating that slip occurred, gives the fracture a
cup and cone appearance (Figure 1.68).

Fig. 1.68 Dimples form during ductile fracture. Equiaxed dimples form in the center, where
microvoids grow. Elongated dimples, pointing toward the origin of failure, form on the shear lip.

Simple macroscopic observation of this fracture may be sufficient to identify the

ductile fracture mode. Examination of the fracture surface at a high magnificationperhaps using a scanning electron microscopereveals a dimpled surface
(Figure 1.69). The dimples are traces of the microvoids produced during fracture.
Normally, these microvoids are round, or equiaxed, when a normal tensile stress
produces the failure (see Figure 1.69a); however, on the shear lip, the dimples are
oval-shaped, or elongated, with the ovals pointing toward the origin of the fracture
(see Figure 1.69b).

67

Fig. 1.69 Scanning electron micrographs of an annealed 1018 steel exhibiting ductile fracture
in a tensile test. (a) Equiaxed dimples at the flat center of the cup and cone, and (b) elongated
dimples at the shear lip.

Brittle Fracture
Brittle fracture occurs in high-strength metals and alloys or metals and alloys with
poor ductility and toughness. Furthermore, even metals that are normally ductile
may fail in a brittle manner at low temperatures, in thick sections, at high strain
rates (such as impact), or when flaws play an important role. Brittle fractures are
frequently observed when impact, rather than overload, causes failure. In brittle
fracture, little or no plastic deformation is required. Initiation of the crack normally occurs at small flaws, which cause a concentration of stress. The crack may
move at a rate approaching the velocity of sound in the metal. Normally, the crack
propagates most easily along specific crystallographic planes by cleavage.
Cleavage fractures are characterized by a planar crack that changes planes by the
formation of discrete steps. River patterns are formed at grain boundaries (Fig.
1.70) where the cleavage plane in one grain is not parallel to the plane in the adjacent grain, the difference being accommodated by a series of steps. The river patterns eventually diminish as the crack propagates and adopts the cleavage plane of
the new grain before being reformed at the next grain boundary.
Brittle fracture can be identified by observing the features on the failed surface.
Normally, the fracture surface is flat and perpendicular to the applied stress in a
tensile test. If failure occurs by cleavage, each fractured grain is flat and differently oriented, giving a crystalline or rock candy appearance to the fracture surface
(Fig. 1.71).

68

Fig. 1.70 Facetted brittle failure with river lines.

Fig. 1.71 Scanning electron micrograph of a brittle fracture surface of a quenched 1010 steel.

69

Another common fracture feature is the Chevron pattern (Figure 1.72), that appears at naked eye. They are produced by separate crack fronts propagating at different levels in the material. A radiating pattern of surface markings, or ridges,
fans away from the origin of the crack (Figure 1.73). Since the Chevron pattern is
visible with the naked eye or a magnifying glass and helps us identify both the
brittle nature of the failure process as well as the origin of the failure. Actually we
can say that the Chevron pattern are the naked eye result of the microscopic cleavage fractures, thus observed at grain scale.

Fig. 1.72 The Chevron pattern in quenched 4340 steel. The steel failed in a brittle manner
by an impact blow

Fig. 1.73 The Chevron pattern forms as the crack propagates from the origin at different
levels. The pattern points back to the origin.

In some cases, however, the crack may take an intergranular (along the grain
boundaries) path, when grain boundaries are abnormally weak (Fig.1.74).

70

Transgranular fracture
(NORMAL )

Intergranular fracture
(ABNORMAL )

Fig. 1.74 The Chevron pattern forms as the crack propagates from the origin at different
levels. The pattern points back to the origin.

71

In the next upload:

Chapter 2 - Damage mechanisms and root cause failure
analysis basics
-

Introduction

Fast brittle fracture in metals

Fatigue

Creep and metal alloys for high temperature applications

Wear

Contact fatigue

Corrosion