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Acta metall, mater. Vol. 40, No. 9, pp. 2337 2342, 1992 0956-7151/92 $5.00 + 0.

00
Printed in Great Britain. All rights reserved Copyright t" 1992 Pergamon Press Ltd

GIBBS-DUHEM A N D CLAUSIUS-CLAPEYRON TYPE


EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS
W. C. J O H N S O N t and H. S C H M A L Z R I E D z
tDepartment of Metallurgical Engineering and Materials Science, Carnegie Mellon University,
Pittsburgh, PA 15213-3890, U.S.A. and 2lnstitut f/ir physikalische Chemie und Elektrochemie,
Universit/it Hannover, W-3000 Hannover 1, Germany

(Received 13 December 1991)

Abstract--General thermodynamic expressions relating the intensive variables in homogeneously


deformed, nonhydrostatically stressed crystals are derived for both open and closed systems
(Gibbs-Duhem equation). These equations are then combined with the equilbrium conditions to write
Clausius-Clapeyron type equations for crystal-gas and multiphase crystalline systems. As the components
of the elastic deformation (strain) can be either thermodynamic intensive variables or densities, depending
upon the imposed boundary conditions and system geometry, various Gibbs Duhem type equations exist;
the equation to use depends on the problem under consideration.

Rrsum~-Des expressions thermodynamiques g~nrrales, qui relient les variables intensives dans des
cristaux d~formrs d'une manirre homogrne et contraints d'une manirre non hydrostatique, sont 6tablies
~i la lois pour les systrmes fermrs et ouverts (equation de Gibbs et Duhem). Ces +quations sont alors
combinres avec les conditions d'rquilibre pour 6crire des 6quations du type Clausius et Clapeyron pour
des systrmes cristal-gaz et des systrmes cristallisrs polyphasrs. Comme les composants de la d&ormation
61astique peuvent &re soit les variables, soit les densit~s thermodynamiques intensives selon les conditions
aux limites imposres et la g~om+trie du syst~me, on obtient diffrrents types d'~quations de Gibbs et
Duhem; l'~quation ~i utiliser drpend du probl~me consider&

Zusammenfassung--Allgemeine thermodynamische Ausdrficke, die die intensiven Variablen in homogen


verformten, nicht-hydrostatisch verspannten Kristallen verknfipfen, werden sowohl ffir offene als auch ffir
geschlossene Systeme abgeleitet (Gibbs Duhem-Gleichungen). Diese Gleichungen werden dann mit den
Gleichgewichtsbedingungen kombiniert und ffihren zu Gleichungen yon der Art Clausius-Clapeyron ffir
Kristall-Gas- und ffir vielphasige kristalline Systeme. Da die Komponenten der elastischen Verformung
(Verzerrung) entweder thermodynamische intensive Variabten oder Dichten sein krnnem je nach
eingesetzten Randbedingungen und Systemgeometrien, existieren verschiedene Gibbs-Duhem-Gleichun-
gem die Gleichung, die benutzt werden muB, hfingt von dem zu behandelnden Problem ab.

l. INTRODUCTION fields, like thermodynamic potentials, have the prop-


erty that they assume identical values in and between
Thermodynamic variables are often classified as phases that are in equilibrium. Thermodynamic den-
either intensive or extensive. Extensive variables sities remain constant upon the addition of two
depend upon the size of the system; the doubling of identical systems, but are not equal between phases at
the size of a single-phase homogeneous system leads equilibrium. They are conjugate variables to the
to a doubling of the extensive properties (e.g. energy, thermodynamic field variables. Examples of thermo-
entropy and mass). In contrast, an intensive variable dynamic densities include the energy, entropy and
is independent of the size of the system. Those mass densities and certain components of the stress
intensive variables that are constant within the phase and strain tensors.
and equal between phases in multiphase systems at The Gibbs D u h e m equation, as derived by
equilibrium are called thermodynamic potentials. If Gibbs for a fluid phase [3], is the differential of a
the product of an intensive and extensive variable has fundamental equation that connects the thermodyn-
the dimensions of energy, then they are considered to amic potentials or field variables necessary for the
be conjugate variables. thermodynamic description of the phase. In conjunc-
Certain thermodynamic variables, such as the con- tion with the equilbrium conditions, it forms the basis
jugate elastic stress and deformation tensors, do not of both the Clausius-Clapeyron type equations and
easily lend themselves to classification as either inten- the phase rule and is often invoked in phenomeno-
sive or extensive variables [1]. In such cases it is logical transport equations to eliminate the interde-
advantageous to introduce a more general classifi- pendency of the different driving forces [4]. Although
cation scheme based on the concept of thermodyn- Gibbs and many subsequent investigators have
amic field variables and densities [2]. Thermodynamic shown that the thermodynamics of crystalline solids

2337
2338 JOHNSON and SCHMALZRIED: EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS

differs fundamentally from that of fluid systems, the where the subscript v denotes a density, measured per
Gibbs-Duhem equation as derived for fluids is still unit volume. For example, P2 is the number of atoms
routinely applied to crystalline systems. Such appli- of component 2 per unit volume of fluid. Equation (4)
cations are not valid in general, as the Gibbs-Duhem is the closed form of the Gibbs equation. It indicates
equation for fluids accounts only for the chemical that only the number density of the components and
components and does not consider the various struc- entropy can be independently varied in a given
ture elements (e.g. vacant lattice sites, interstitials of volume element. Equivalently, an equal number of
various charge) arising from the crystalline nature of thermodynamic fields will be independently variable.
the phase. In addition, crystals are almost never Defining the thermodynamic potential, o~v, as
hydrostatically stressed; i.e. it requires more than just
knowledge of the local pressure (or trace of the stress) ~o, = ev - Os~- ~ #j Ps (5)
to describe the local thermodynamic state of a crystal. j=l

In this work, we examine Gibbs-Duhem relations gives


for homogeneous, nonhydrostatically stressed, crys-
dco~= -s~dO - ~ pjd#s. (6)
talline solids in both open and closed systems. The j=l
Gibbs-Duhem equations are then combined with the
0 and the/~j are clearly thermodynamic fields. That ~ov
thermodynamic equilbrium conditions to illustrate
is also a thermodynamic field can be proven by
how Clausius-Clapeyron type equations for crystal-
considering the conditions for phase equilibria
gas and multiphase crystal systems can be obtained.
between two fluids. In addition to the equality of
temperature and chemical potentials between phases,
2. GIBBS--DUHEM EQUATION there is an interfacial equilibrium condition obtained
We first briefly review two derivations of the from the virtual variation of allowing the transform-
Gibbs-Duhem equation (GDE) for fluids that are ation of one phase (~) into the other phase (fl) [3]. At
based on open and closed system approaches, equilibrium
respectively. This provides a basis for contrasting the co~,- o~. (7)
similarities and differences of the GDE for crystalline
solids. Since the fluid phases are homogeneous in thermo-
dynamic state at equilibrium, the co, potential is
2.1. Fluids clearly a thermodynamic field and equation (6) is the
The combined form of the first two laws of thermo- GDE connecting the thermodynamic fields. If necess-
ary, the identification o~, = - P can be made using
dynamics (the Gibbs equation) for a simple bulk fluid
equation (2). It is important to note that the
phase can be written for an open system as
equations connecting the thermodynamic potentials
in the open-system formulation and the thermodyn-
dE=OdS-PdV+ ~ / t j dNj (1)
j=l amic field variables in the closed-system formulation
are identical for fluids.
where E is the internal energy, S the entropy, 0 the
temperature, P the pressure, V the volume of the 2.2. Crystals
fluid, and/~j and Nj are the chemical potential and As noted by Schottky [6], the number of statisti-
number of atoms, respectively, of thejth component. cally distinguishable constituents of a crystal (the
The summation extends over the n different mass structure elements) is usually greater than the number
components. The fundamental equation, equation of its chemical components. At the same time, how-
(1), connects the extensive variables. As E, S and Nj ever, the variations permitted in the structure
are all proportional to V, equation (1) is a homo- elements are constrained by the lattice itself. The
geneous equation of first order. It can be integrated lattice constraints give rise to diffusion potentials, in
using Euler's theorem to obtain [5] contrast to chemical potentials, which can be associ-
ated with the statistically distinguishable structure
E=OS-PV + ~ #iNj. (2) elements. When local equilibrium obtains, the num-
j=l
ber of independent diffusion potentials again reduces
Differentiating equation (2) and using equation (1) to the number of independent chemical components.
yields the Gibbs-Duhem equation In the following discussion of GD equations for
closed and open systems, we assume that local equi-
V d P = S dO + ~ Nyd#j. (3) librium is satisfied.
j=]
2.2.1. Closed systcm. To obtain an equation con-
An equation connecting the thermodynamic field necting the thermodynamic fields of a crystal, the
variables can also be derived by expressing the Gibbs Gibbs equation is written in closed form for an n
equation on a per-unit-volume basis component system as [7]

de, = 0 ds, + ~/~j dpy (4) de,. = 0 ds,. + Tki d~k + ~ Mjt dp; (8)
)=l j=l
JOHNSON and SCHMALZRIED: EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS 2339
%
where the prime superscript indicates that all quan-
tities are measured on a per unit reference volume
basis, with the reference state assumed to be the
stress-free state. T is the first Piola-Kirchhoff stress I
I
I
I
I I
tensor, F is the deformation gradient, and Mjl is the I I
I I
diffusion potential [7]. Here, vacancies (/) have been I I
I I
arbitrarily chosen as the dependent structure element I
I
I
I
I I
in the diffusion potential. For a crystal in chemical I I
I I
equilibrium with a fluid, Mjt = # j [7]. I I
L -'
Equation (8) differs from the corresponding closed-
system expression for fluids, equation (4), in two Tg3
important ways. First, is the presence of the mechan-
ical work term indicating that the actual size and a) Displacement Boundary Condition
shape of a unit volume of reference crystal can be
changed without accretion of mass. Secondly is the r°3
introduction of the diffusion potential instead of a
chemical potential. The diffusion potential, which
also must be equal between and within phases at
equilibrium, emphasizes the crystallinity and struc-
ture of the solid. It represents the change in energy -r,°, [
associated with the exchange of two atomic species
(or structure elements) [7] holding the number of
lattice sites or unit cells fixed. So long as the lattice
is conserved, the addition of an atom to a unit volume
of crystal requires either the removal of another
-7 li
atomic species or the annihilation of a vacant lattice rg3
site, either in a regular or an interstitial sublattice. b) Traction Boundary Condition
The following results are entirely independent of the
Fig. 1. A system geometry in which the phases are nonhy-
choice of the dependent structure element.
drostatically stressed and homogeneous in state. The mech-
The classification of the stress and strain com- anical boundary conditions can be given by specifying the
ponents as thermodynamic fields or densities depends displacement (a) or the traction (b) on the edge of the planes.
upon the system geometry and mechanical loading
conditions for a crystal [1]. As an example, consider
the two-phase system depicted in Fig. 1. The a-fl potential in coherent crystalline systems is the equiv-
interface is coherent and lies in the x~-x2 plane. alent of the o),, potential in fluid systems.
Traction boundary conditions are applied along the Equations (9)-(11) show that the deformation
x3 axis while either a displacement or traction bound- components Fix and F22 and the stress component T33
ary condition can be applied along those surfaces are thermodynamic fields. They are constant within
perpendicular to the x~ and x2 directions. In this each phase and equal between phases at equilibrium.
simple model, it is assumed that the shear com- In addition, the ~b,,,potential is a thermodynamic field
ponents of the stress and deformation vanish. The as the phases are homogeneous in the assumed
coherency constraint requires continuity of defor- configuration. Differentiating q~,,.and using equation
mation across the interface. This gives (8) gives the fundamental equation
F~l = F,~ (9) dq~, = -s~,dO + Tll dF u + T22dF22
and
- F 3 3 d T 3 3 - ~ p.;dM/,. (13)
j= 1
F~2 = F2~2. (lO)
The fundamental equation, equation (13), connects
In addition to the equality of diffusion potentials and
the thermodynamic fields for the system of parallel
temperature between phases, equilibrium between the
plates depicted in Fig. 1. As such it can be considered
phases requires [1]
the Gibbs-Duhem equation for this nonhydrostati-
T~3 = T~3 = T~3 3 (11) cally stressed crystal under closed-system conditions.
If the crystal experiences a hydrostatic stress and
and
one chooses to classify the stress components as the
q~, = ~v~, -- T~3 F]3 = ~ , = (.or0, - T3#3F~3 (12) thermodynamic field variables, the corresponding
fundamental equation, which could also then be
where T°3 is the mechanically applied stress in the x3
considered as the Gibbs-Duhem equation, is
direction. Equation (12) is an interfacial equilibrium
condition obtained by allowing a virtual phase tran-
dhv,= -so, dO + J dP - i p~ dMjt (14)
sition of one phase into the other. As such, the 4~o, j= I
2340 JOHNSON and SCHMALZRIED: EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS

where J, the determinant of the deformation tensor F, Equation (17) also follows directly from the differen-
is the ratio of the actual volume to the reference tiation of equation (16). Dividing equation (17) by
volume and P = -Tkk/3. J yields the usual expression for the GDE
In contrast to the "closed-system" GDE for a fluid,
equation (14) indicates that 0, P and the Mjt can be d e =sodO + ~ pjdMjt. (18)
independently varied in a given volume element of j=1
hydrostatically stressed crystal. The potential, he, Thus the open-system form of the GDE for a crystal
where is different from the closed-system form.

h~,= -s~.O + J P - ~ p~Mjt (15)


j=] 3. CLAUSIUS-CLAPEYRON TYPE EQUATIONS
is a dependent thermodynamic potential that is a The generalized Clausius421apeyron equations
function of 0, P and Mjt. The independence of the (CCE) express the interdependence of the thermodyn-
temperature, pressure and diffusion potentials in a amic field variables for coexisting phases in equi-
crystal element should not be surprising. Imagine that librium. They give the "slope" of the coexistence
the pressure (stress state) of a given volume element curve between two or more phases in a field diagram
in a large crystal that is initially in equilibrium and or phase diagram of the first type (a phase diagram
under hydrostatic pressure is changed at constant depicting phase equilibria as a function of the ther-
temperature. In a multicomponent system, the den- modynamic field variables) [5]. In systems composed
sities of the various components (including vacancies) entirely of fluid phases, each phase possesses its own
would change in such a way that the diffusion Gibbs-Duhem equation connecting the thermodyn-
potential of every component remains constant and amic field variables for the phase. The individual
equal to those of the surrounding crystal. (The sur- GDE are connected through the conditions demand-
rounding crystal acts as a chemical potential reser- ing that the thermodynamic field variables be equal
voir.) In a one component system, the vacancy between phases at equilibrium. This same procedure
concentration in the volume element would change. is applicable to nonhydrostatically stressed systems as
The final thermodynamic state of the element pos- shown below.
sesses the same temperature and diffusion potentials
as the original state, although the pressure (or state 3.1. Crystalline systems
of stress) has changed. This is precisely what occurs
We consider equilibrium between two or more
in solute redistribution around dislocations and pre-
phases which possess the geometry shown in Fig. 1.
cipitates and can be treated using the open-system
The thermodynamic field variables have been
elastic constants approach of Larch6 and Cahn [7].
identified as 0, Mjt, FII , F22 , T33 and q~,.,. If we
2.2.2. Open system. Care must be taken in writing designate the dependent thermodynamic field as
the open-system Gibbs equation for a nonhydrostat-
q~ = h0 and the independent thermodynamic fields by
ically stressed crystal in that the accretion terms,
ht (i = 1, 2 . . . . . k) with corresponding conjugate
corresponding to a change in the number of lattice
thermodynamic density di defined by
sites of the crystal, depend explicitly on how (and
where) mass is added or lattice is created [8]. This d, = Oh__~o (19)
problem was first treated by Gibbs for a solid [Gibbs' Ohi
equation (367)] and extended by Herring [9], among
others [7, 10], to stressed crystals containing then the GDE can be written as
vacancies. If we imagine a hydrostatically stressed k
crystal that does not exchange mass with its surround- E di dh, = o (20)
i=o
ings but is able to create vacancies at its surface,
thereby changing the number of unit cells comprising where we have defined do = - 1. If we consider a
the crystal, equilibrium is obtained when [7] system of two coexisting phases in which the exper-
imentally established thermodynamic fields, h4,
o9~,= --JP (16)
hs . . . . , hk are held fixed, then one obtains for the
where P is the mechanically imposed pressure acting generalized CCE [5]
on the crystal. Comparison of equation (16) with
dh I (dB2/d~) - - ( d ~ / d ~ )
equation (15) indicates that the potential h~, = 0 in a
dh--~2= (d~/d~) - (d~/d~)" (21)
system capable of changing the number of its cells or
vacancies, when the number of atoms of each mass If q~, is chosen as the dependent variable, one
component is held fixed [10]. At equilibrium, dh,, = 0, obtains from equation (13)
and the open-system Gibbs-Duhem equation for the
crystal, in view of equation (14), becomes (s~,-s~,) d0 + ( r ~ l - T~,) dF], + (r~2- T~2) dF22

J dP = s., dO + ~ pj dMjt . (17) +(F~3-F~3) aT33+ ~ (p~'-pf) dMjt = 0. (22)


j=l j=l
JOHNSON and SCHMALZRIED: EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS 2341

An expression similar to equation (22) was obtained (sv - s{) dO + ( p j - pf) d.j
earlier examining phase equilibria between elastically y=l
stressed heteroepitaxial thin films [11]. The equi- --(all + P) den - (a22 + P) de22 = 0 (26)
librium conditions can also be applied to heteroge-
neously stressed systems, at least in a local sense at where a~ and e,j are the Cauchy and small strain
the interface, to obtain a Gibbs-Duhem equation for tensors, respectively. The pressure or a33 component
the interface [12]. of the stress tensor has been used as the dependent
variable in the CCE of equation (26).
3.2. Crystal-gas systems If the pressure (a33) is to be established experimen-
Two different crystal-gas (or crystal-fluid) systems tally, the appropriate CCE is determined as above; a
can be imagined. The first is a system in which the dependent thermodynamic field is chosen and the
crystal is in a state of hydrostatic stress with the equilibrium conditions are then employed. For
mechanical state of the crystal being determined by example, if #j is chosen as the independent variable,
the pressure of the gas. This is the classic problem and it follows from the equilibrium condition d/l~= dM~
the corresponding CCE are obtained directly from that
the open-system G D E for the crystal under hydro-
static pressure [equation (18)] and the G D E for the da),,, + s~,,dO - Tki dFik q- ~" p~ dM/~
j=2
gas [equation (3)]. If the pressure is chosen as the
dependent variable, then the corresponding CCE is

(s,, - s{) dO + ~ (pj - pf) d#j = 0 (23) where J* = p~/p{. Using the equilibrium condition,
i= I
equation (24), equation (27) simplifies in the small
where the superscript f denotes the gas phase. strain limit to
A second possible system consists of a nonhydro-
statically stressed crystal in equilibrium with a fluid. (s, - J's{) dO + ~, ( p i - J*p~) dl~,
One possible geometry, intended to model a thin film j-2

in equilibrium with the melt from which it is grown, +(J*-J)dP-(an + P)-(a22+ P)=O. (28)
is depicted in Fig. 2. The normal stress acting on
the crystal, T33, is assumed to be established by the 4. DISCUSSION
pressure of the fluid.
The interracial equilibrium condition valid at the Unlike fluid systems, the open-system GDE for a
crystal-liquid interface is [7] crystal differs from its closed-system form, even when
the elastic state of the crystal is a hydrostatic press-
(o,,, = J~o{. (24) ure. This difference reflects the two distinct ways in
Differentiating equation (24) and using the relation- which an atom can be added to a crystal, with or
ship o9{= - P yields without a change in the number of lattice sites. This
difference does not exist for a fluid system and the
(s .... Js{) dO - Tk, dF~k open and closed-system G D E for a fluid are identical.
Which G D E should be used depends upon the
+ ~ (pj - Jpf) d#j = P dJ. (25) problem under consideration. Phenomena concerned
j-1
with the internal crystal would require use of the
Equation (25) is further simplified by noting that closed-system GDE. This includes diffusion studies
J=Fll[22/33 and 7 " 3 3 = - F uF22P. In the small and the determination of solute redistribution. The
strain approximation, equation (25) becomes open-system form under hydrostatic stress might be
more appropriate when examining properties of the
crystal as a whole.
X
The physical properties of the system may also
T ~' Xl
dictate which form of the G D E is most appropriate
to employ. Consider a simple oxide, AO, in contact
with oxygen gas, 02. The crystal will endeavor to
Fluid
establish equilibrium with the gas by the transfer of
oxygen to the gas, if the chemical potential of oxygen
Crystal
in the gas is less than that of the crystal, or by
accretion of oxygen to the crystal when the opposite
Substrate
situation obtains. This process requires that charge
neutrality be maintained and, hence, that electronic
transport is involved in addition to ion transport
Fig. 2. Nonhydrostatically stressed planar film in equi-
librium with a fluid. The substrate imparts a displacement (1/202 + 2e' = 02-) [13].
field similar to that induced by the displacement boundary If the diffusivity of the cation in the crystal, D A , is
conditions of Fig. l(a). much larger than the diffusivity of the oxygen ion,
2342 JOHNSON and SCHMALZRIED: EQUATIONS FOR ELASTICALLY STRESSED CRYSTALS

D O , the crystal will behave essentially as an open tation of the GDE, in which the crystal is free to
system (for an appropriate time scale). The supply of change its number of lattice sites and is hydrostati-
the cation to the interface or its removal from the cally stressed, is identical to that of its fluid counter-
interface is sufficiently fast to maintain equilibrium part; the pressure, temperature and diffusion
and to allow the new equilibrium concentration of potentials cannot be independently varied. The
cation vacancies to form through the creation or appropriate form of the G D E to use, depends upon
destruction of unit ceils at the interface. If, on the the problem considered.
other hand, D A ~ Do, the flow of cations to (or away Clausius-Clapeyron type equations, coupling the
from) the interface will be insufficient to allow unit thermodynamic field variables between coexisting
cells of AO to be accreted (dissolved) at the interface phases in equilibrium, can be obtained from the GDE
and the number of lattice sites of unit cells in the of each phase for nonhydrostatically stressed crystals.
crystal will remain approximately constant. In this
ease, the entire crystal might best be treated as a Acknowledgements--WCJ gratefully acknowledges the sup-
closed system, Similar arguments would obtain for port of the Alexander von Humboldt Foundation through
the crystal in contact with a gas of the metallic a fellowship at the Institut fiir physikalische Chemic und
component. Elektrochemie, Universit/it Hannover, and the U.S.
A strain volume tensor, ~ij, is sometimes defined National Science Foundation through grant I) MR-
8620026.
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