Dislocation Propagation versus Dislocation Nucleation - Authors' Response

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A unified model for dislocation nucleation, dislocation emission and dislocation free zone

In this paper, a unified model for dislocation nucleation, emission and dislocation free zone is proposed based on the Peierls framework. Three regions are identified ahead of the crack tip. The emitted dislocations, located away from the crack tip in the form of an inverse pileup, define the plastic zone. Between that zone and the cohesive zone immediately ahead of the crack tip, there is a dislocation free zone. With the stress field and the dislocation density field in the cohesive zone and plastic zone being, respectively, expressed in the first and second Chebyshev polynomial series, and the opening and slip displacements in trigonometric series, a set of nonlinear algebraic equations can be obtained and solved with the Newton-Raphson Method. The results of calculations for pure shearing and combined tension and shear loading after dislocation emission are given in detail. An approximate treatment of the dynamic effects of the dislocation emission is also developed in this paper, and the calculation results are in good agreement with those of molecular dynamics simulations.

Dislocation nucleation and emission from crack-tip

The problems of dislocation nucleation and emission from a crack tip are analysed based on Peierls model. The concept adopted here is essentially the same as that proposed by Rice. A slight modification is introduced here to identify the pure linear elastic response of material. A set of new governing equations is developed, which is different from that used by Beltz and Rice. The stress field and the dislocation density field can be expressed as the first and second Chebyshev polynomial series respectively. Then the opening and slip displacements can be expanded as the trigonometric series. The Newton-Raphson Method is used to solve a set of nonlinear algebraic equations. The new governing equations allow us to extend the analyses to the case of dislocation emission. The calculation results for pure shearing, pure tension and combined tension and shear loading are given in detail.

Dislocation nucleation governed softening and maximum strength in nano-twinned metals

In conventional metals, there is plenty of space for dislocations-line defects whose motion results in permanent material deformation-to multiply, so that the metal strengths are controlled by dislocation interactions with grain boundaries(1,2) and other obstacles(3,4). For nano-structured materials, in contrast, dislocation multiplication is severely confined by the nanometre-scale geometries so that continued plasticity can be expected to be source-controlled. Nano-grained polycrystalline materials were found to be strong but brittle(5-9), because both nucleation and motion of dislocations are effectively suppressed by the nanoscale crystallites. Here we report a dislocation-nucleation-controlled mechanism in nano-twinned metals(10,11) in which there are plenty of dislocation nucleation sites but dislocation motion is not confined. We show that dislocation nucleation governs the strength of such materials, resulting in their softening below a critical twin thickness. Large-scale molecular dynamics simulations and a kinetic theory of dislocation nucleation in nano-twinned metals show that there exists a transition in deformation mechanism, occurring at a critical twin-boundary spacing for which strength is maximized. At this point, the classical Hall-Petch type of strengthening due to dislocation pile-up and cutting through twin planes switches to a dislocation-nucleation-controlled softening mechanism with twin-boundary migration resulting from nucleation and motion of partial dislocations parallel to the twin planes. Most previous studies(12,13) did not consider a sufficient range of twin thickness and therefore missed this strength-softening regime. The simulations indicate that the critical twin-boundary spacing for the onset of softening in nano-twinned copper and the maximum strength depend on the grain size: the smaller the grain size, the smaller the critical twin-boundary spacing, and the higher the maximum strength of the material.

Dislocation evolution in epitaxial multilayers and graded composition buffers

This paper presents models to describe the dislocation dynamics of strain relaxation in an epitaxial uniform layer, epitaxial multilayers and graded composition buffers. A set of new evolution equations for nucleation rate and annihilation rate of threading dislocations is developed. The dislocation interactions are incorporated into the kinetics process by introducing a resistance term, which depends only on plastic strain. Both threading dislocation nucleation and threading dislocation annihilation are characterized. The new evolution equations combined with other evolution equations for the plastic strain rate, the mean velocity and the dislocation density rate of the threading dislocations are tested on GexSi1-x/Si(100) heterostructures, including epitaxial multilayers and graded composition buffers. It is shown that the evolution equations successfully predict a wide range of experimental results of strain relaxation and threading dislocation evolution in the materials system. Meanwhile, the simulation results clearly signify that the threading dislocation annihilation plays a vital role in the reduction of threading dislocation density.

The effect of thermal-activation on dislocation processes at an atomistic crack-tip

The effects of thermal activation on the dislocation emission from an atomistic crack tip are discussed, Molecular dynamics simulations at different constant temperatures are carried out to investigate the thermal effects. The simulated results show that the processes of the partial dislocation generation and emission are temperature dependent. As the temperature increases, the incipient duration of the partial dislocation nucleation becomes longer, the critical stress intensity factor for partial dislocation emission is reduced and, at the same loading level, more dislocations are emitted. The dislocation velocity moving away from the crack tip and the separations of partial dislocations are apparently not temperature dependent. The simulated results also show that, as the temperature increases, the stress distribution along the crack increases slightly. Therefore stress softening at the crack tip induced by thermal activation does not exist in the present simulation. A simple model is proposed to evaluate the relation of the critical stress intensity factor versus temperature. The obtained relation is in good agreement with our molecular dynamics results.

A discrete dislocation analysis of fatigue crack growth

Cyclic loading of a plane strain mode I crack under small scale yielding is analyzed using discrete dislocation dynamics. The dislocations are all of edge character, and are modeled as line singularities in an elastic solid. At each stage of loading, superposition is used to represent the solution in terms of solutions for edge dislocations in a half-space and a non-singular complementary solution that enforces the boundary conditions, which is obtained from a linear elastic, finite element solution. The lattice resistance to dislocation motion, dislocation nucleation, dislocation interaction with obstacles and dislocation annihilation are incorporated into the formulation through a set of constitutive rules. An irreversible relation between the opening traction and the displacement jump across a cohesive surface ahead of the initial crack tip is also specified, which permits crack growth to emerge naturally. It is found that crack growth can occur under cyclic loading conditions even when the peak stress intensity factor is smaller than the stress intensity required for crack growth under monotonic loading conditions; however below a certain threshold value of ΔKI no crack growth was seen.

Tensile response of passivated films with climb-assisted dislocation glide

The tensile response of single crystal films passivated on two sides is analysed using climb enabled discrete dislocation plasticity. Plastic deformation is modelled through the motion of edge dislocations in an elastic solid with a lattice resistance to dislocation motion, dislocation nucleation, dislocation interaction with obstacles and dislocation annihilation incorporated through a set of constitutive rules. The dislocation motion in the films is by glide-only or by climb-assisted glide whereas in the surface passivation layers dislocation motion occurs by glide-only and penalized by a friction stress. For realistic values of the friction stress, the size dependence of the flow strength of the oxidised films was mainly a geometrical effect resulting from the fact that the ratio of the oxide layer thickness to film thickness increases with decreasing film thickness. However, if the passivation layer was modelled as impenetrable, i.e. an infinite friction stress, the plastic hardening rate of the films increases with decreasing film thickness even for geometrically self-similar specimens. This size dependence is an intrinsic material size effect that occurs because the dislocation pile-up lengths become on the order of the film thickness. Counter-intuitively, the films have a higher flow strength when dislocation motion is driven by climb-assisted glide compared to the case when dislocation motion is glide-only. This occurs because dislocation climb breaks up the dislocation pile-ups that aid dislocations to penetrate the passivation layers. The results also show that the Bauschinger effect in passivated thin films is stronger when dislocation motion is climb-assisted compared to films wherein dislocation motion is by glide-only. © 2012 Elsevier Ltd.

Temperature-dependent stability of stacking faults in Al, Cu and Ni: first-principles analysis

We present comparative analysis of microscopic mechanisms relevant to plastic deformation of the face-centered cubic (FCC) metals Al, Cu, and Ni, through determination of the temperature-dependent free energies of intrinsic and unstable stacking faults along 1 (1) over bar 0] and 1 (2) over bar 1] on the (1 1 1) plane using first-principles density-functional-theory-based calculations. We show that vibrational contribution results in significant decrease in the free energy of barriers and intrinsic stacking faults (ISFs) of Al, Cu, and Ni with temperature, confirming an important role of thermal fluctuations in the stability of stacking faults (SFs) and deformation at elevated temperatures. In contrast to Al and Ni, the vibrational spectrum of the unstable stacking fault (USF1 (2) over bar 1]) in Cu reveals structural instabilities, indicating that the energy barrier (gamma(usf)) along the (1 1 1)1 (2) over bar 1] slip system in Cu, determined by typical first-principles calculations, is an overestimate, and its commonly used interpretation as the energy release rate needed for dislocation nucleation, as proposed by Rice (1992 J. Mech. Phys. Solids 40 239), should be taken with caution.

Molecular/Cluster Statistical Thermodynamics Methods To Simulate Quasi-Static Deformations At Finite Temperature

The rapid evolution of nanotechnology appeals for the understanding of global response of nanoscale systems based on atomic interactions, hence necessitates novel, sophisticated, and physically based approaches to bridge the gaps between various length and time scales. In this paper, we propose a group of statistical thermodynamics methods for the simulations of nanoscale systems under quasi-static loading at finite temperature, that is, molecular statistical thermodynamics (MST) method, cluster statistical thermodynamics (CST) method, and the hybrid molecular/cluster statistical thermodynamics (HMCST) method. These methods, by treating atoms as oscillators and particles simultaneously, as well as clusters, comprise different spatial and temporal scales in a unified framework. One appealing feature of these methods is their "seamlessness" or consistency in the same underlying atomistic model in all regions consisting of atoms and clusters, and hence can avoid the ghost force in the simulation. On the other hand, compared with conventional MD simulations, their high computational efficiency appears very attractive, as manifested by the simulations of uniaxial compression and nanoindenation. (C) 2008 Elsevier Ltd. All rights reserved.

Molecular dynamics simulation of plastic deformation of nanotwinned copper

The plastic deformation of polycrystalline Cu with ultrathin lamella twins has been studied using molecular dynamics simulations. The results of uniaxial tensile deformation simulation show that the abundance of twin boundaries provides obstacles to dislocation motion, which in consequence leads to a high strain hardening rate in the nanotwinned Cu. We also show that the twin lamellar spacing plays a vital role in controlling the strengthening effects, i.e., the thinner the thickness of the twin lamella, the harder the material. Additionally, twin boundaries can act as dislocation nucleation sites as they gradually lose coherency at large strain. These results indicate that controlled introduction of nanosized twins into metals can be an effective way of improving strength without suppression tensile ductility. (C) 2007 American Institute of Physics.

Deformation mechanisms of face-centered-cubic metal nanowires with twin boundaries

This letter addresses the issue of deformation mechanisms and mechanical tensile behavior of the twinned metal nanowires using atomistic simulations. Free surfaces are always the preferential dislocation nucleation sites in the initial inelastic deformation stage, while with further plastic deformation, twin boundary interfaces will act as sources of dislocations with the assistance of the newly formed defects. The smaller the twin boundary spacing, the higher the yielding stresses of the twinned nanowires. Twin boundaries, which serve both as obstacles to dislocation motion and dislocation sources, can lead to hardening effects and contribute to the tensile ductility. This work illustrates that the mechanical properties of metal nanowires could be controlled by tailoring internal growth twin structures. (c) 2007 American Institute of Physics.

On the unstable stacking criterion for ideal and cracked copper-crystals

The unstable stacking criteria for an ideal copper crystal under homogeneous shearing and for a cracked copper crystal under pure mode II loading are analysed. For the ideal crystal under homogeneous shearing, the unstable stacking energy gamma(us) defined by Rice in 1992 results from shear with no relaxation in the direction normal to the slip plane. For the relaxed shear configuration, the critical condition for unstable stacking does not correspond to the relative displacement Delta = b(p)/2, where b(p) is the Burgers vector magnitude of the Shockley partial dislocation, but to the maximum shear stress. Based on this result, the unstable stacking energy Gamma(us) is defined for the relaxed lattice. For the cracked crystal under pure mode II loading, the dislocation configuration corresponding to Delta = b(p)/2 is a stable state and no instability occurs during the process of dislocation nucleation. The instability takes place at approximately Delta = 3b(p)/4. An unstable stacking energy Pi(us) is defined which corresponds to the unstable stacking state at which the dislocation emission takes place. A molecular dynamics method is applied to study this in an atomistic model and the results verify the analysis above.

Molecular dynamics simulation of crack-tip processes in copper

The crack tip processes in copper under mode II loading have been simulated by a molecular dynamics method. The nucleation, emission, dislocation free zone (DFZ) and pile-up of the dislocations are analyzed by using a suitable atom lattice configuration and Finnis & Sinclair potential. The simulated results show that the dislocation emitted always exhibits a dissociated fashion. The stress intensity factor for dislocation nucleation, DFZ and dissociated width of partial dislocations are strongly dependent on the loading rate. The stress distributions are in agreement with the elasticity solution before the dislocation emission, but are not in agreement after the emission. The dislocation can move at subsonic wave speed (less than the shear wave speed) or at transonic speed (greater than the shear wave speed but less than the longitudinal wave speed), but at the longitudinal wave speed the atom lattice breaks down.

Design strategies for ultra-high efficiency photovoltaics

While concentrator photovoltaic cells have shown significant improvements in efficiency in the past ten years, once these cells are integrated into concentrating optics, connected to a power conditioning system and deployed in the field, the overall module efficiency drops to only 34 to 36%. This efficiency is impressive compared to conventional flat plate modules, but it is far short of the theoretical limits for solar energy conversion. Designing a system capable of achieving ultra high efficiency of 50% or greater cannot be achieved by refinement and iteration of current design approaches.

This thesis takes a systems approach to designing a photovoltaic system capable of 50% efficient performance using conventional diode-based solar cells. The effort began with an exploration of the limiting efficiency of spectrum splitting ensembles with 2 to 20 sub cells in different electrical configurations. Incorporating realistic non-ideal performance with the computationally simple detailed balance approach resulted in practical limits that are useful to identify specific cell performance requirements. This effort quantified the relative benefit of additional cells and concentration for system efficiency, which will help in designing practical optical systems.

Efforts to improve the quality of the solar cells themselves focused on the development of tunable lattice constant epitaxial templates. Initially intended to enable lattice matched multijunction solar cells, these templates would enable increased flexibility in band gap selection for spectrum splitting ensembles and enhanced radiative quality relative to metamorphic growth. The III-V material family is commonly used for multijunction solar cells both for its high radiative quality and for the ease of integrating multiple band gaps into one monolithic growth. The band gap flexibility is limited by the lattice constant of available growth templates. The virtual substrate consists of a thin III-V film with the desired lattice constant. The film is grown strained on an available wafer substrate, but the thickness is below the dislocation nucleation threshold. By removing the film from the growth substrate, allowing the strain to relax elastically, and bonding it to a supportive handle, a template with the desired lattice constant is formed. Experimental efforts towards this structure and initial proof of concept are presented.

Cells with high radiative quality present the opportunity to recover a large amount of their radiative losses if they are incorporated in an ensemble that couples emission from one cell to another. This effect is well known, but has been explored previously in the context of sub cells that independently operate at their maximum power point. This analysis explicitly accounts for the system interaction and identifies ways to enhance overall performance by operating some cells in an ensemble at voltages that reduce the power converted in the individual cell. Series connected multijunctions, which by their nature facilitate strong optical coupling between sub-cells, are reoptimized with substantial performance benefit.

Photovoltaic efficiency is usually measured relative to a standard incident spectrum to allow comparison between systems. Deployed in the field systems may differ in energy production due to sensitivity to changes in the spectrum. The series connection constraint in particular causes system efficiency to decrease as the incident spectrum deviates from the standard spectral composition. This thesis performs a case study comparing performance of systems over a year at a particular location to identify the energy production penalty caused by series connection relative to independent electrical connection.