Critical Reviews in Solid State and Materials Sciences

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Measurement of Residual Stresses Using

Nanoindentation Method

Li-Na Zhu, Bin-Shi Xu, Hai-Dou Wang & Cheng-Biao Wang

To cite this article: Li-Na Zhu, Bin-Shi Xu, Hai-Dou Wang & Cheng-Biao Wang (2015)
Measurement of Residual Stresses Using Nanoindentation Method, Critical Reviews in Solid State
and Materials Sciences, 40:2, 77-89, DOI: 10.1080/10408436.2014.940442

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Critical Reviews in Solid State and Materials Sciences, 40:77–89, 2015
Copyright Ó Taylor & Francis Group, LLC
ISSN: 1040-8436 print / 1547-6561 online
DOI: 10.1080/10408436.2014.940442

Measurement of Residual Stresses Using Nanoindentation Method

Li-Na Zhu,1 Bin-Shi Xu,2 Hai-Dou Wang,1,2,* and Cheng-Biao Wang1
1
School of Engineering and Technology, China University of Geosciences, Beijing 100083, China
2
National Key Lab for Remanufacturing, Academy of Armored Forces Engineering, Beijing 100072, China

Instrumented indentation, which is also known as nanoindentation or depth-sensing

indentation, is increasingly being used to probe the residual stresses of materials including
bulk solids, thin films, and coatings. The residual stresses are proved to have significant
effects on various nanoindentation parameters such as hardness, loading curve, unloading
curve, pile-up amount around indentation, and true contact area. By analyzing these
parameters, numerous methods are developed to evaluate the residual stresses of materials in
recent years. This article reviews six commonly used models which determine residual
stresses from analyzing load-depth curves, as well as indentation fracture technique which is
based on the classical fracture mechanics. Emphasis is placed on the principle, application
and limitation of each nanoindentation method.

Keywords nanoindentation, residual stress, non-destructive testing

Table of Contents

1. INTRODUCTION........................................................................................................................................... 2

2. BASIC PRINCIPLES OF NANOINDENTATION METHOD............................................................................. 2

3. EFFECT OF RESIDUAL STRESSES ON NANOINDENTATION RESPONSE................................................... 4

3.1. Effect on Mechanical Properties.................................................................................................................. 4
3.2. Effect on Load-Depth Curves ..................................................................................................................... 4
3.3. Effect on Pile-Up ...................................................................................................................................... 4
3.4. Effect on True Contact Area ....................................................................................................................... 5

4. NANOINDENTATION MODELS FOR THE DETERMINATION OF RESIDUAL STRESS ............................... 5

4.1. Suresh Model ........................................................................................................................................... 5
4.2. Lee Models .............................................................................................................................................. 7
4.2.1. Lee Model I.................................................................................................................................... 7
4.2.2. Lee Model II................................................................................................................................... 8
4.2.3. Application of Lee Models................................................................................................................ 8
4.3. Xu Model ................................................................................................................................................ 8
4.4. Swadener Models ..................................................................................................................................... 9
4.4.1. Swadener Model I ........................................................................................................................... 9
4.4.2. Swadener Model II .......................................................................................................................... 9
4.4.3. Limitation of Swadener Models ......................................................................................................... 9

5. INDENTATION FRACTURE TECHNIQUE FOR THE DETERMINATION OF RESIDUAL STRESS ..............10

*E-mail: wanghaidou@aliyun.com
Color versions of one or more of the figures in this article can be found online at www.tandfonline.com/bsms.

77
78
6. CONCLUSIONS ............................................................................................................................................11
FUNDING.............................................................................................................................................................11
REFERENCES......................................................................................................................................................11
1. INTRODUCTION
Residual stresses are readily generated by inhomogeneous
heat treatment or local plastic deformation involving bulk sol-
ids,1–3 thin films,4–6 and coatings7–9 used in various industrial
components. The existing residual stress field in these compo-
nents has a significant effect on their performance such as
mechanical properties,10 fatigue strength,11 wear and fracture
properties,12,13 etc. The existence of residual stress may be bene-
ficial or detrimental, depending upon its value and the potential
application. For instance, compressive residual stresses in the
coatings can improve the adhesion and fatigue strength of the
system, while high tensile stresses may cause cracking and
fatigue failure. Thus, to measure and control accurately residual
stresses is very important in both scientific and technological
perspectives.
Various experimental techniques have been developed to
measure the residual stresses in materials, such as X-ray dif-
fraction,14 hole-drilling,15 layer removal,16 neutron diffrac-
tion,17 synchrotron,18 Raman spectroscopy,19 ultrasonic
method,20 and magnetic method.21 However, these methods
all have some problems. For example, X-ray diffraction
method is confined to crystals and inapplicable to amorphous
materials. As the penetration depth of X ray is very shallow,
the measurement depth is only about 30 mm. Hole-drilling
method is destructive to materials, and the measurement accu-
racy is easily influenced by many factors such as aperture,
hole depth, and bonding quality of strain gauges. Raman spec-
troscopy and magnetic method are inapplicable to metals and
non magnetics, respectively. Neutron diffraction and synchro-
tron equipment are expensive and scanty, which are difficult
to apply to actual production. The limitation of these methods
drives the development of new measuring technology.
Nanoindentation is an instrumented indentation method,
which is often used to extract the mechanical properties of bulk
solids, thin films, and coatings.22–28 In addition, nanoindentation
also can be used to estimate residual stresses in materials. In past
decades, numerous studies have been conducted to determine
residual stresses by nanoindentation. The influence of residual
stress on various nanoindentation parameters such as hard-
ness,29–31 loading behavior,32–34 unloading behavior,35–37 con-
tact area,34,37–39 and pile-up,37,39–41 has been investigated both
experimentally and with finite element simulations.
The experiment carried out by Tsui et al.30 showed that
hardness calculated by standard methods decreased with ten-
sile stress and increased with compressive stress. However,
L.-N. ZHU ET AL.
the finite element analysis by Bolshakov et al.31 revealed that
the hardness was not always dependent of residual stress. For
materials that are prone to pileup, the hardness is not signifi-
cantly affected by residual stress when proper contact area is
used. Based on that hardness is invariant regardless of the
residual stress, Suresh et al. proposed a methodology to deter-
mine the equibiaxial residual stress from the difference in con-
tact area of stressed and stress-free materials indented to the
same depth.42 Lee et al.1 developed a new model to evaluate
the equibiaxial residual stress by combining stress relaxation
with a shear plastic-deformation concept. This model fitted the
contact area as an equation of the third degree in the indenta-
tion load to make the residual stress be only related to the
indentation load. To overcome the limitation of the model to
equibiaxial or uniaxial residual stress, Lee et al.43 proposed a
new indentation model, which can evaluate an arbitrary biaxial
stress. Through finite element simulations, Xu et al.35,36 pro-
posed an empirical model, which is based on the effect of
residual stress on the unloading curve of nanoindentation. It
was found that the elastic recovery parameter he/hmax has a lin-
ear relationship with the ratio of residual stress to yield stress
s r/s y. Subsequently, the empirical model was applied to deter-
mine the residual stress in a mechanically fused quartz beam.
Swadener et al.44 suggested that spherical indentation is more
sensitive to stress effects than sharp indentation, and then
developed two methods to measure biaxial residual stress.
An alternative way to measure the residual stress is using
indentation fracture technique, which is based on the classical
fracture mechanics.45 The residual stress can be estimated by
comparing the crack lengths of indentations on stressed surfa-
ces with those on stress-free surface.
This article reports on a brief description of different nano-
indentation models to determine residual stress. The prerequi-
site and limitation of these models are discussed.
2. BASIC PRINCIPLES OF NANOINDENTATION
METHOD
Figure 1 shows a typical load-depth curve consisting of load-
ing and unloading. During loading, both elastic and plastic defor-
mations occur as the permanent impression is generated. During
unloading, only the elastic formation is assumed to be recovered,
and reverse plastic deformation is usually negligible.46
Figure 2 illustrates the unloading process and important
parameters characterizing the contact geometry. At present,
the Oliver method is commonly used to characterize the
 RESIDUAL STRESS MEASUREMENT 79

reduced modulus Er is defined by

1 1 ¡ n2 1 ¡ n2i
D C ; (3)
Er E Ei

where E and Ei are the elastic modulus of the specimen and the
indenter, respectively and v and vi are the Poisson’s ratio of the
specimen and the indenter, respectively.
A crucial step in calculating the hardness and elastic modu-
lus is the determination of the contact stiffness at the initial
unloading and the projected contact area at the peak load. The
unloading curve is usually well approximated by the power
law relation:

P D aðh ¡ hr Þm ; (4)

where a and m are power law fitting constants and hr is the

residual depth after unloading.
The contact stiffness at the initial unloading can be
FIG. 1. A typical load-depth curve. obtained by differentiating Eq. (4) at the maximum depth hmax:
 
dP
hardness and elastic modulus based on the analysis of the load- SD D amðhmax ¡ hr Þm ¡ 1 : (5)
depth curves.47,48 The hardness H and reduced modulus Er are dh h D hmax
defined by
The projected contact area can be calculated from the relation
Pmax
HD (1) Ac D f ðhc Þ; (6)
Ac

pffiffiffi where hc is the contact depth. Since the Oliver method

S p
Er D pffiffiffiffiffi ; (2) assumes that the contact periphery sinks in, hc is always
2b Ac smaller than hmax :

where Pmax is the maximum load, Ac is the contact area, S D Pmax

hc D hmax ¡ e ; (7)
dP/dh is the contact stiffness at the initial unloading, and b is a S
constant which depends on the geometry of the indenter. The
where e is a constant that depends on the geometry of the
indenter.
As the indenter generally deviations from perfect geometry,
the area function is usually fitted by

X
8
Ac D Cn ðhc Þ2 ¡ n D C0 h2c C C1 hc C L C C8 h1=128
c ; (8)
nD0

where C0. . .C8 are constants determined by curve-fitting

FIG. 2. Schematic illustration of the unloading process show-
ing parameters characterizing the contact geometry. (Ó Cam-
bridge University Press. Reproduced with permission of
Oliver and Pharr.47 Permission to reuse must be obtained from
the rightsholder.)
procedures.
Once the contact stiffness and contact area are determined,
the hardness and elastic modulus can be calculated by Eqs.
(1)–(3).
Work-of-indentation methods can also be used to measure a
material’s hardness.49 The hardness can be determined based
80 L.-N. ZHU ET AL.

on the total work and plastic work:

kP3max
HWt D (9)
9Wt2

kP3max
H Wp D ; (10)
9Wp2

where Wt is the total work, Wp is the plastic work, and k is a

constant equal to 0.0408 for the Berkovich indenter. The total
work and elastic work can be obtained by integrating the load-
ing curve and unloading curve, respectively. The plastic work
is the difference between the total work and elastic work.
Note that the Oliver method does not account for the pile-
up of material at the contact periphery that occurs in some
elastic-plastic materials. For pile-up, many correction methods FIG. 3. Loading curves for indents made to a maximum depth
have been proposed based on imaging the contact impres- of 700 nm of copper single crystal with different residual
sion.50–55 stress states. (Ó Elsevier. Reproduced with permission of
Zhu et al.39 Permission to reuse must be obtained from the
3. EFFECT OF RESIDUAL STRESSES rightsholder.)
ON NANOINDENTATION RESPONSE
3.1. Effect on Mechanical Properties pure elastic process and the compressive stress in the material
Both experiments and finite element simulations were used tends to push the indenter up more, more elastic recovery and
to investigate the effect of residual stresses on nanoindentation smaller residual depth are induced.35 While the tensile stress
response. Both hardness and elastic modulus were found to gives an opposite effect, thus leading to less elastic recovery
increase with compressive stress and decrease with tensile and larger residual depth.
stress,30 when the nanoindentation data were analyzed by stan-
dard methods. However, the elastic modulus which is an 3.3. Effect on Pile-Up
intrinsic property of the material should not be affected by
It is well known that materials exhibiting low strain harden-
stresses. Subsequently, both experiments and simulations
ing tend to pile up around indents due to the incompressibility
show that the properties measured according to standard meth-
ods are inaccurate because pileup around the indentation is not
accounted for in the contact area determination. Once the
proper contact area is used, the hardness and elastic modulus
are significantly independent of stress.

3.2. Effect on Load-Depth Curves

The residual stresses significantly affect load-depth curves.
For a fixed penetration depth, the loading curves for compres-
sive stresses are higher than those for stress-free state, and
conversely for tensile stresses.31,32,34,37,39,56–59 Figure 3 shows
the effect of residual stress on loading curves. The compres-
sive stress can constrain the indentation plasticity, thus leading
to a higher indentation load than that for stress-free state. Sim-
ilarly, the effect of tensile stress is opposite to that in compres-
sive stress state by enhancing the indentation plasticity.
A similar behavior was found for the unloading curves
which shifted to the left for compressive residual stress and
right for tensile residual stress when compared with that FIG. 4. The ending part of unloading curves for indents made
of stress-free state.31,37,39 Figure 4 shows the ending part of to a maximum depth of 700 nm of copper single crystal with
unloading curves for indents made to a maximum depth of different residual stress states. (Ó Elsevier. Reproduced with
700 nm of copper single crystal with different residual stress permission of Zhu et al.39 Permission to reuse must be
states. Since the unloading process of nanoindentation is a obtained from the rightsholder.)
 RESIDUAL STRESS MEASUREMENT 81

of plastic deformation.60 The amount of pile-up can be charac-

terized by the height of the pile-up relative to the undeformed
surface. It is shown that pileup is large when there are large
compressive stresses in the materials, but relatively small for
large tensile stresses.31,37-39 For compressive stresses, the
materials are pushed out to the surface of indenter, which
results in more pile-up; whilst tensile stresses tend to pull the
materials away from the surface of indenter to decrease the
amount of pile-up. In addition to residual stress, pileup defor-
mation behavior is related with the ratio hf/hmax and work-
hardening behavior.61 The pile-up amount is large when hf/
hmax is close to 1 and the degree of work hardening is small.
When hf /hmax is less than 0.7, very little pile-up occurs no
matter what the work-hardening behavior of materials.

3.4. Effect on True Contact Area

The residual stresses also have a significant effect on the
true contact area of indentation in pile-up materials. Numerous
studies have shown that the true contact area has an almost lin-
ear relationship with the residual stress and increases with
increasing compressive stress, while it decreases with increas-
ing tensile stress.31,35,37,62 The different variation of true con-
tact area with residual stresses is due to the fact that
compressive stresses tend to increase the pile-up amount, thus
increasing the true contact area, while tensile stresses gives an
opposite effect to decrease the true contact area.
Determination of true contact area for pile-up material
has been a hot and difficult research topic in recent years.
Atomic force microscope is usually used to determine the
true contact area. Kese et al.51 proposed a semi-ellipse
model to correct the contact area. Each pileup contact
perimeter was approximated as projecting a semi-ellipse
with major axis b and minor axis ai. Then the true contact
area can be obtained as
X the area of pile-up deformation, the above two models (semi-
A D AO-P C 5:915hc ai ; (11)
where AO-P is the contact area from the Oliver-Pharr method
and ai (i D 1, 2, 3) is the width for 3 pileup lobes.
Saha et al.53 assumed that the piled-up material forms an
arc around the edge of the indentation (three-arc model).
Based on this assumption, Zhu et al. proposed a model to
determine the true contact area.50 The projected contact area
can be modeled as an equilateral triangle bounded by three
arcs, as shown in Fig. 5. The true contact area A can be
obtained as
!
up u pffiffiffi  2
A D 14:175 2 u
¡ 3cot C 3 hmax C have
p : (12)
120sin 2 2
FIG. 5. Schematic representation of the projected contact area
considering pile-up. (Ó Elsevier. Reproduced with permission
of Zhu et al.50 Permission to reuse must be obtained from the
rightsholder.)
The pile-up width x can be defined as
a  
u u
x D R ¡ Rcos D 2 u 1 ¡ cos (13)
2 sin 2 2
u 
1 ¡ cos 2
D 3:765 h max C h ave
;
sin 2u p
where hp and x can be determined from the profile of indents,
as shown in Figures 6 and 7.
Equating Eqs. (12) and (13), the true projected contact area
A can be calculated.
Maybe there are other methods that can be used to measure
ellipse model and three-arc model) both have been used by
other researchers.63,64 However, a unified method has not yet
been formed.
In summary, residual stresses have significant effect on
load-depth curve, pile-up height, and true contact area.
Thus, the state (tensile or compressive) of residual stress
can be determined by comparing the load-depth curve, pile-
up height, and true contact area of stressed material with
those of stress-free reference material. Among the three
parameters, it is easiest to obtain load-depth curve from
nanoindentation data. However, only residual stress state
can be qualitatively determined by simple comparison of
load-depth curves for stressed and stress-free materials. To
determine quantitatively the magnitude of residual stress in
the materials, specific relationship between residual stress
and nanoindentation parameters should be extracted from
analyzing load-depth curves.
82 L.-N. ZHU ET AL.

FIG. 6. Pile-up height hp.

4. NANOINDENTATION MODELS FOR THE This model is based on the difference of contact area
DETERMINATION OF RESIDUAL STRESS between a stress-free material and the same material with
At present, there is no one set method that can be applied to residual stress. When indented to the same depth, the contact
the calculation of residual stress for all materials. In this sec- area of material with compressive stress is larger than that of
tion, six typical models usually used to quantitatively deter- stress-free material, while smaller for tensile stress.
mine residual stress from analyzing load-depth curves are Note that there is a coefficient difference (sina) between the
discussed, including Suresh model, Lee models, Xu model, calculation formulae for tensile stress and compressive stress.
and Swadener models. Because the effects of tensile stress and compressive stress on
the indentation process are different, as shown in Figures 8
4.1. Suresh Model and 9. It is obvious that sA is the difference of load in the z
The residual stresses (tensile or compressive) are assumed direction between the materials with and without tensile stress,
to be equibiaxial and the magnitude is uniform over a depth while sAsina is the difference of load in the z direction
which is at least several times larger than the indentation con- between the materials with and without compressive stress.
tact diameter. The prerequisite of the model is that the material Before calculating the magnitude of residual stress using the
hardness H is unaffected by any pre-existing residual stresses. Suresh model, the residual stress state (tensile or compressive)
The relation between the residual stress s and the ratio of the should be determined from the loading curves for the stressed
real contact area A of material with residual stress to that of and stress-free specimens. Figure 10 shows the loading curves
stress-free material A0 can be written as for the stressed and stress-free 1045 steels at a fixed depth of
230 nm. It is concluded that the residual stress in the stressed
  steel is compressive, because the material with compressive
A0
sDH ¡ 1 for tensile stress (14) residual stress requires larger force to be indented to the same
A
  depth as the one without residual stress.65 According to Eq.
H A0 (15), the residual stress in the stressed steel was ¡117 § 20
sD 1¡ for compressive stress: (15)
sin a A MPa, which was in good agreement with that by the traditional

FIG. 7. Pile-up width x.

 RESIDUAL STRESS MEASUREMENT
FIG. 8. Schematic of the role of tensile stress at the indented
surface. (Ó Elsevier. Reproduced with permission of Suresh
and Giannakopoulos.42 Permission to reuse must be obtained
from the rightsholder.)
XRD method (¡114 § 32 MPa). As the measuring depths for
the indentation and XRD methods are different, the XRD
results cannot provide a calibration standard for indentation
testing, and only can be used as a reference.
Considerable efforts have been made to determine the resid-
ual stresses introduced during the preparation of thermal spray-
ing coatings.66–69 The Suresh model has been confirmed to be
an attractive method, since it allows such residual stresses to be
quickly measured in a small region with non-destructive man-
ner and to be mapped across the coating thickness.29 Note that
the Suresh model is only valid for homogeneous coatings, and
the calculated value is only an approximation for unhomogene-
ous coatings containing micropores and microcracks, or
FIG. 9. Schematic of the role of compressive stress at the
indented surface. (Ó Elsevier. Reproduced with permission of
Suresh and Giannakopoulos.42 Permission to reuse must be
obtained from the rightsholder.)
83
FIG. 10. Loading curves for the stressed and stress-free 1045
steels at a fixed depth of 230 nm. (Ó Elsevier. Reproduced
with permission of Zhu et al.34 Permission to reuse must be
obtained from the rightsholder.)
complicated phase structures. If the indentation location is
close to micropores or microcracks, the indentation depth will
increase. This will lead to the increase of contact area and
decrease of hardness. As the contact area and hardness are char-
acteristic parameters for the Suresh model, errors for the calcu-
lated value of residual stress are bound to be produced.
Therefore, in order to increase the accuracy of measurement,
the location of indents should be selected through optical
microscope or atomic force microscope to keep away from
micropores or microcracks as far as possible.
The Suresh model also provides an accurate measure of
residual stress in thin films with unknown material properties.
The study by Taylor et al.70 showed that the residual stresses in
the thin carbon films calculated using the Suresh model agree
well with the theoretical analysis. The Suresh model and classi-
cal XRD technique were used by Atar71 to determine the resid-
ual stresses in ceramic thin films. The residual stresses obtained
by the indentation method have been found to be three times
higher than those of the XRD technique. As the XRD technique
has certain errors in measuring residual stresses, thus it cannot
be used to confirm the accuracy of the Suresh model.
Although the Suresh model can be applied to various mate-
rials, it has obvious disadvantages. The model is specific for
sharp indenters, such as Berkovich or Vickers indenters, and is
limited to equi-biaxial residual stresses. Moreover, the model
requires a stress-free reference sample such as free-standing
film or coating, which is often difficult to produce. On the
other hand, the residual stresses in free-standing film or coat-
ing cannot be completely released; the hardness values of the
stressed sample or stress-free reference sample are not identi-
cal. Thus, unavoidable errors cannot be diminished from an
experimental standpoint.
84 L.-N. ZHU ET AL.

4.2. Lee Models
4.2.1. Lee Model I
In 2003, Lee et al. proposed a new model based on stress
relaxation theory to determine equibiaxial residual stresses.
Keeping the penetration depth constant, relax the residual
stress from the initial value s r to zero.
The residual stress can be calculated from the stress-
induced normal load and load difference between the materials
with and without residual stress:
ðP0 ¡ P1 Þ2
sr D 3
2 R3 P41 C ðR2 ¡ R3 P0 ÞP31 C ðR1 ¡ R2 P0 ÞP21 C ðR0 ¡ R1 P0 ÞP1 ¡ R0 P0 ; (16)
where P0 and P1 are the peak loads for the stress-free material
and the material with residual stress. R0, R1, R2, and R3 are fit-
ting constants between the contact area and peak load.
4.2.2. Lee Model II
In 2004, Lee et al. proposed another model to calculate
non-equibiaxial surface stresses. Six different stresses were
applied to the specimens using a special apparatus and divided
into four categories (see Table 1): uniaxial stress
(s rx 6¼ 0; s ry D 0, 3# and 5#), equibiaxial stress (s rx D s ry 6¼ 0, 1#
and 6#), biaxial stress (s rx 6¼ s ry 6¼ 0, 2#), and pure shear stress
(s rx D ¡ s ry 6¼ 0; 4#). s ry can be expressed as ks rx using a stress
ratio k, i.e. k D s ry =s rx , where k ranges from ¡1.0 to 1.0.
The biaxial stress can be separated into an equibiaxial stress
and a pure shear stress. As the pure shear stress has no effect
on the indentation load, the measurement of biaxial stress can
be simplified as an equibiaxial problem. The biaxial stress can
be calculated as
3ð P0 ¡ P1 Þ
s rx D ; (17)
ð1 C k ÞAc
where P0 and P1 are the peak loads for the stress-free material
and the material with residual stress. Ac is the contact area of
stressed material. Actually, Lee model I is the same as Lee
TABLE 1
Unstressed reference and six different stressed states.
(Ó Elsevier. Reproduced with permission of Lee and Kwon.43
Permission to reuse must be obtained from the rightsholder)
Stress state s rx (MPa) s ry (MPa) k D s ry =s rx
Reference 0 0 Unstressed
model II when the stress ratio k D 1, namely, equibiaxial stress
state.
4.2.3. Application of Lee Models
The nanoindentation tests were performed on the cross-sec-
tions of stressed and unstressed thermal barrier coating (TBC)
samples.72 The unstressed sample was obtained by immersing
the stressed sample in hydrochloric acid to dissolve the 304
stainless steel substrate. The residual stress in the TBC was
compressive since the coefficient of thermal expansion of the
TBC is less than that of metal substrate. As the indentations
were performed on the cross-section of the TBC, the compres-
sive stress applied on the indenter can be considered as a uni-
axial stress. Thus, the residual stress in the TBC was
calculated using Eq. (17), k D 0. The results showed that the
compressive stresses in the top coat (TBC) decrease from the
bonding coat (BC)/TBC interface to the top surface of TBC. It
is obvious that the Lee model can evaluate the distribution of
the residual stress in micro scales.
X. Zhao et al.57 investigated the residual stresses in TBCs
by photoluminescence piezospectroscopy (PLPS) and nanoin-
dentation. The residual stresses obtained by nanoindentation
have similar trend with those calculated from PLPS measure-
ments. However, X. Zhao et al pointed out that the Lee model
is only valid for a homogeneous material. As the TBC is far
from homogeneous, the residual stresses calculated by nanoin-
dentation are only approximation.
M.K. Khan et al.37 determined the residual stresses in
Al-cladding and Al 2024-T351 by the Suresh and Lee models.
The residual stresses from both of the Suresh and Lee models
agree well with those from finite element simulation. The
divergence of the residual stresses on the far ends of the com-
pressive and tensile regions is due to that the Suresh model
describes a nonlinear relationship and the Lee model considers
linearity in these regions.
Like the Suresh model, the Lee models also require a stress-
free reference sample, although non-equi-biaxial surface stress
can be determined. In addition, the models are based on a
stress-relaxation theory, i.e., the residual stresses are deter-
mined from the changes in applied load during stress relaxa-
tion at fixed indentation depth. However, the indentation
process is often considered as an elasto-plastic problem and
residual stress cannot be relaxed alone when keeping the depth
invariable, because the stress-relaxation process can lead to a
simultaneous change in the indentation load and depth.65

1# ¡415 ¡414 1.0 (equibiaxial) 4.3. Xu Model

2# ¡375 ¡248 0.66 (biaxial) In 2006, Xu et al investigated the effect of equibiaxial
3# ¡408 0 0 (uniaxial) residual stress on the elastic recovery of nanoindentation using
4# ¡239 231 ¡1.0 (pure shear) finite element simulations. The results showed that the residual
5# 414 0 0 (uniaxial) stress affects not only the real contact area but also the elastic
6# 428 427 1.0 (equibiaxial) recovery parameter, i.e. the ratio of elastic recovery to the
maximum penetration depth, he/hmax. The he/hmax ratio has a
 RESIDUAL STRESS MEASUREMENT
FIG. 11. Effect of residual stress on elastic recovery parame-
ter he/hmax. (Ó Taylor & Francis. Reproduced with permission
of Xu and Li.36 Permission to reuse must be obtained from the
rightsholder.)
linear relationship with the ratio of residual stress to yield
stress, s r/s y, as shown in Figure. 11. In addition, the slope of
the he/hmax vs. s r/s y depends only on the E/s y ratio. The fol-
lowing equation can be used to relate the he/hmax ratio with the
s r/s y ratio:
he sr
D ¡ a C b; (18)
hmax sy
where a and b are fitting constants, a is the slope of he/hmax vs.
s r/s y curves, and b is the intercept of he/hmax vs. s r/s y curves
at s r D 0. a depends only on the E/s y ratio, and the relation-
ship between them follows a power law relationship:
  ¡ 1:25
E
a D 10:53 : (19)
sy
Equations (18) and (19) are the empirical model to determine
equibiaxial residual stresses.
In order to verify the above model, Xu et al. estimated the
residual stress in the mechanically polished fused quartz
beam. The fused quartz beam was firmly held in a three-point
bending device. The obtained residual stress in the mechani-
cally polished fused quartz beam is a compressive stress with
the magnitude of 30 MPa.
The Xu model does not require any reference sample with
known stress state, such as stress-free sample, or any particular
mechanical properties. However, it requires a special three-
point bending device, which limits the practical applications
of this method. Moreover, as the method relies on an accurate
determination of the ratio of he/hmax, experimental factors
such as surface roughness will result in a great error in
85
determination of he/hmax ratio from the unloading curve of
indentation. Besides, the Xu model may be just suitable for
the determination of residual stress in very hard materials with
low E/s y ratios and limits the application to very soft materials
with high E/s y ratios, since the sensitivity of the he/hmax ratio
to the residual stress is inversely proportional to the E/s y ratio
of the material.
4.4. Swadener Models
4.4.1. Swadener Model I
In 2001, Swadener et al presented two methods for making
measurements of biaxial residual stress using spherical inden-
tation. The model based on the fact that the indentation depth
or contact radius at the onset of yielding is affected by the
residual stress in a way that can be analyzed by Hertzian con-
tact mechanics. The residual stress can be calculated by
 
sR 3:72 Er a
D1¡ ; (20)
sy 3p s y R 0
where R is the indenter radius; a the contact radius; s y the
yield stress. Obviously, if s y is available, the residual stress
can be determined by Eq. (20) with experimental measurement
of (Era/s yR)0, which can be determined using least squares
regression curve fits of hr/hmax D A1 C A2log(Era/s yR), as
shown in Figure 12.
4.4.2. Swadener Model II
Swadener model II is based on the empirical Tabor relation-
ship between hardness and yield stress,
H D Cs y ; (21)
FIG. 12. Relationships between hr/hmax and Era/s yR at differ-
ent residual stresses. (Ó Cambridge University Press. Repro-
duced with permission of Swadener et al.44 Permission to
reuse must be obtained from the rightsholder.)
86 L.-N. ZHU ET AL.

where C is the constrain factor. For stressed materials, Eq.
(21) should be rewritten as
H C s R D Cs y : (22)
By establishing the variation of Cs y with Era/s yR through
experiments in a reference material in a known stress state,
then the residual stress can be calculated from measurements
of hardness.
4.4.3. Limitation of Swadener Models
Swadener model I has an advantage that the measured
depth at which yielding occurs is affected by the stress in a
manner that can be analyzed by Hertzian contact mechanics.
However, this model requires that the yield stress of materials
be known in advance and that data be extrapolated outside the
range of experimental accessibility.73
Swadener model II can be used to measure residual
stresses in bulk materials to within 10–20%, but it cannot
be easily applied to thin films.73 The stress-free reference
specimen must be structurally identical to the tested speci-
men if accurate residual stress measurements are to be
made. Unfortunately, this is often difficult to achieve in
practice. For bulk materials, there is no substrate influen-
ces. However, the substrate greatly affects the measure-
ment of thin film residual stresses. The substrate effects
can be alleviated when the indenter radius is on the order
of or less than the film thickness.
Table 2 gives a comparison of the above six models. It is
obvious that the models can characterize only equibiaxial
stress or biaxial stress, while the stress along specimen depth
cannot be obtained. Moreover, the six models all have limita-
tions. Except Swadener model I, the other models requires a
reference specimen, which is often difficult to obtain. For
Swadener model I, although a reference specimen is not
required, the yield stress must be determined by extra
experiment.
5. INDENTATION FRACTURE TECHNIQUE FOR THE
DETERMINATION OF RESIDUAL STRESS
When a brittle material is indented using a moderate force,
a permanent impression is often formed with radially oriented
cracks at the indent corner, as shown in Figure 13.74 Based on
the classic indentation fracture mechanics, the fracture tough-
ness Kc of elastic-plastic brittle materials is directly related to
the indentation load P and the length of the radial cracks at the
surface, c0. For stress-free materials, the fracture toughness
can be determined using the following expression:
P
Kc D x 3=2
; (23)
c0
where x is the dimensionless residual stress factor which is
related to the ratio of elastic modulus to hardness (E/H). It is
given by
x D ξ 0 ðcotuÞ2=3 ðE=H Þ1=2 ; (24)
where ξ 0 is a dimensionless constant, and u is the indenter
half-angle.
For materials with preexisting residual stress s, the fracture
toughness is
P
Kc D x § csc1=2 ; (25)
c3=2
where c is a dimensionless constant which can be obtained
from the crack shape, and c is the crack length for the stressed
material. The first term on the right hand of Eq. (25) is the
stress intensity factor due to the indentation load, while the
second term is the stress intensity factor due to the residual
stress. Note that the second term is added to the first term for
tensile stress and subtracted for compressive stress.

TABLE 2
Comparison of six commonly used models to characterize residual stress
Indenter Characteristic Scope of
Models type parameters application Limitations

Suresh model Sharp A Equibiaxial stress Require a stress-free reference sample

Lee model I Sharp P Equibiaxial stress Require a stress-free reference sample
Lee model II Sharp A Biaxial stress Require a stress-free reference sample
Xu model Sharp he/hmax ratio Equibiaxial stress Requires a special three-point bending device
Swadener model I Spherical Era/s yR Biaxial stress Require known yield stress
Swadener model II Spherical H Biaxial stress Require reference sample
 RESIDUAL STRESS MEASUREMENT
FIG. 13. Typical indent with radially-oriented cracks. (Ó
Elsevier. Reproduced with permission of Yen et al.74 Permis-
sion to reuse must be obtained from the rightsholder.)
For a given indentation load P, the residual stresses can be
determined by combining Eqs. (23) and (25):
" #
1 ¡ ðc0 =cÞ3=2
s D Kc for tensile stress (26)
cc1=2
" #
1 ¡ ðc0 =cÞ3=2
s D ¡ Kc for compressive stress: (27)
cc1=2
The residual stress state can be defined by comparing c0 and
c. The tensile stress can extend the cracks of the stress-free mate-
rial (c0 > c), while the compressive stress can shorten them.
T.-Y. Zhang75 et al. proposed a semi-empirical formula to
assess residual stresses in SiO2 and Cr thin films deposited on
Si wafers using indentation fracture technique. The residual
stresses in the SiO2 and Cr films were evaluated to be ¡358
and 1095 MPa, respectively, which agree well with the theo-
retical prediction. W.G. Mao76 et al. characterized the residual
stress in a thermal barrier coating system by indentation frac-
ture technique. The residual stress on the top coating varies
from ¡36.8 to ¡243MPa.
For the interface region between the coating and bond coat, the
residual stress varies from ¡5 to ¡30 MPa. These results are
in agreement with available data.
Indentation fracture technique can be used to determine
residual stresses in bulk materials, thin films and coatings.
However, it is only applicable to brittle materials. Moreover,
the difficulty in measuring the crack length at nanoscale
severely limits the accuracy of determination of residual stress
using indentation fracture technique.
87
6. CONCLUSIONS
Residual stresses are increasingly desired to be measured
using a nanoindentation technique. There is no one set method
that appears to work for all materials. Six major models from
analyzing load-depth curves and indentation fracture tech-
nique have been developed. Unfortunately, the six models
involving Suresh model, Lee model I, Lee model II, Xu model,
Swadener model I, and Swadener model II all have limitations.
The Suresh model and Lee model I are restricted to equi-biax-
ial residual stress. Lee model II accounts for a general residual
stress state but cannot describe the well-known nonlinearity.
Xu model requires a special three-point bending device and
limits the application to very soft materials with high E/s y
ratios. Swadener model I requires that the yield stress of mate-
rials be known. Swadener model II cannot be applied to thin
films. The indentation fracture technique is destructive and
only applicable to brittle materials. Therefore, in order to eval-
uate residual stresses accurately, new methods should be
developed in the future. The methods with non-destructive and
universal characteristic should be the research direction.
FUNDING
This article was financially supported by NSF of Beijing
(3120001), NSFC (51275105), and Distinguished Young
Scholars of NSFC (51125023).
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