Deformation and failure of a film/substrate system subjected to spherical indentation: Part 1. Experimental validation of stresses and strains derived using Hankel transform technique in an elastic film/substrate system

Our concern here is to rationalize experimental observations of failure modes brought about by indentation of hard thin ceramic films deposited on metallic substrates. By undertaking this exercise, we would like to evolve an analytical framework that can be used for designs of coatings. In Part I of the paper we develop an algorithm and test it for a model system. Using this analytical framework we address the issue of failure of columnar TiN films in Part II [J. Mater. Res. 21, 783 (2006)] of the paper. In this part, we used a previously derived Hankel transform procedure to derive stress and strain in a birefringent polymer film glued to a strong substrate and subjected to spherical indentation. We measure surface radial strains using strain gauges and bulk film stresses using photo elastic technique (stress freezing). For a boundary condition based on Hertzian traction with no film interface constraint and assuming the substrate constraint to be a function of the imposed strain, the theory describes the stress distributions well. The variation in peak stresses also demonstrates the usefulness of depositing even a soft film to protect an underlying substrate.

Size Effect and Geometrical Effect of Polycrystals and Thin Film/Substrate System in Micro-indentation Test

Micro-indentation test at scales on the order of sub-micron has shown that the measured hardness increases strongly with decreasing indent depth or indent size, which is frequently referred to as the size effect. Simultaneously, at micron or sub-micron scale, the material microstructure size also has an important influence on the measured hardness. This kind of effect, such as the crystal grain size effect, thin film thickness effect, etc., is called the geometrical effect by here. In the present research, in order to investigate the size effect and the geometrical effect, the micro-indentation experiments are carried out respectively for single crystal copper and aluminum, for polycrystal aluminum, as well as for a thin film/substrate system, Ti/Si3N4. The size effect and geometrical effect are displayed experimentally. Moreover, using strain gradient plasticity theory, the size effect and the geometrical effect are simulated. Through comparing experimental results with simulation results, length-scale parameter appearing in the strain gradient theory for different cases is predicted. Furthermore, the size effect and the geometrical effect are interpreted using the geometrically necessary dislocation concept and the discrete dislocation theory. Member Price: $0; Non-Member Price: $25.00

Nanoindentation of thin-film-substrate system: Determination of film hardness and Young's modulus

In the present paper, the hardness and Young's modulus of film-substrate systems are determined by means of nanoindentation experiments and modified models. Aluminum film and two kinds of substrates; i.e. glass and silicon, are studied. Nanoindentation XP II and continuous stiffness mode are used during the experiments. In order to avoid the influence of the Oliver and Pharr method used in the experiments, the experiment data are analyzed with the constant Young's modulus assumption and the equal hardness assumption. The volume fraction model (CZ model) proposed by Fabes et al. (1992) is used and modified to analyze the measured hardness. The method proposed by Doerner and Nix (DN formula) (1986) is modified to analyze the measured Young's modulus. Two kinds of modified empirical formula are used to predict the present experiment results and those in the literature, which include the results of two kinds of systems, i.e., a soft film on a hard substrate and a hard film on a soft substrate. In the modified CZ model, the indentation influence angle, phi, is considered as a relevant physical parameter, which embodies the effects of the indenter tip radius, pile-up or sink-in phenomena and deformation of film and substrate.

Small scale, grain size and substrate effects in nano-indentation experiment of film-substrate systems

The mechanical properties of film-substrate systems have been investigated through nano-indentation experiments in our former paper (Chen, S.H., Liu, L., Wang, T.C., 2005. Investigation of the mechanical properties of thin films by nano-indentation, considering the effects of thickness and different coating-substrate combinations. Surf. Coat. Technol., 191, 25-32), in which Al-Glass with three different film thicknesses are adopted and it is found that the relation between the hardness H and normalized indentation depth h/t, where t denotes the film thickness, exhibits three different regimes: (i) the hardness decreases obviously with increasing indentation depth; (ii) then, the hardness keeps an almost constant value in the range of 0.1-0.7 of the normalized indentation depth h/t; (iii) after that, the hardness increases with increasing indentation depth. In this paper, the indentation image is further investigated and finite element method is used to analyze the nano-indentation phenomena with both classical plasticity and strain gradient plasticity theories. Not only the case with an ideal sharp indenter tip but also that with a round one is considered in both theories. Finally, we find that the classical plasticity theory can not predict the experimental results, even considering the indenter tip curvature. However, the strain gradient plasticity theory can describe the experimental data very well not only at a shallow indentation depth but also at a deep depth. Strain gradient and substrate effects are proved to coexist in film-substrate nano-indentation experiments. (c) 2006 Elsevier Ltd. All rights reserved.

Ellipsometry as a Sensitive Technique to Probe film -Substrate Interfaces: Al2O3 on Si(100)

An attempt has been made to study the film-substrate interface by using a sensitive, non- conventional tool. Because of the prospective use of gate oxide in MOSFET devices, we have chosen to study alumina films grown on silicon. Film-substrate interface of alumina grown by MOCVD on Si(100) was studied systematically using spectroscopic ellipsometry in the range 1.5-5.0 eV, supported by cross-sectional SEM, and SIMS. The (ε1,ε2) versus energy data obtained for films grown at 600°C, 700°C, and 750°C were modeled to fit a substrate/interface/film “sandwich”. The experimental results reveal (as may be expected) that the nature of the substrate -film interface depends strongly on the growth temperature. The simulated (ε1,ε2) patterns are in excellent agreement with observed ellipsometric data. The MOCVD precursors results the presence of carbon in the films. Theoretical simulation was able to account for the ellipsometry data by invoking the presence of “free” carbon in the alumina films.

Investigation of the Mechanical Properties of Thin Films by Nanoindentation, Considering the Effects of Thickness and Different Coating-Substrate Combinations

In order to further investigate nanoindentation data of film-substrate systems and to learn more about the mechanical properties of nanometer film-substrate systems, two kinds of films on different substrate systems have been tested with a systematic variation in film thickness and substrate characteristics. The two kinds of films are aluminum and tungsten, which have been sputtered on to glass and silicon substrates, respectively. Indentation experiments were performed with a Nano Indent XP II with indenter displacements typically about two times the nominal film thicknesses. The resulting data are analyzed in terms of load-displacement curves and various comparative parameters, such as hardness, Young's modulus, unloading stiffness and elastic recovery. Hardness and Young's modulus are investigated when the substrate effects are considered. The results show how the composite hardness and Young's modulus are different for different substrates, different films and different film thicknesses. An assumption of constant Young's modulus is used for the film-substrate system, in which the film and substrate have similar Young's moduli. Composite hardness obtained by the Joslin and Oliver method is compared with the directly measured hardness obtained by the Oliver and Pharr method.

Applicability Range of Stoneys Formula and Modified Formulas for a Film/Substrate Bilayer

In addition to the layer thickness and effective Young’s modulus, the impact of the kinematic assumptions, interfacial condition, in-plane force, boundary conditions, and structure dimensions on the curvature of a film/substrate bilayer is examined. Different models for the analysis of the bilayer curvature are compared. It is demonstrated in our model that the assumption of a uniform curvature is valid only if there is no in-plane force. The effects of boundary conditions and structure dimensions, which are not-fully-included in previous models are shown to be significant. Three different approaches for deriving the curvature of a film/substrate bilayer are presented, compared, and analyzed. A more comprehensive study of the conditions regarding the applicability of Stoney’s formula and modified formulas is presented.

Characterization of the Fracture Work for Ductile Film Undergoing the Micro-Scratch

The interface adhesion strength (or interface toughness) of a thin film/substrate system is often assessed by the micro-scratch test. For a brittle film material, the interface adhesion strength is easily obtained through measuring the scratch driving forces. However, to measure the interface adhesion strength (or interface toughness) for a metal thin film material (the ductile material) by the microscratch test is very difficult, because intense plastic deformation is involved and the problem is a three-dimensional elastic-plastic one. In the present research, using a double-cohesive zone model, the failure characteristics of the thin film/substrate system can be described and further simulated. For a steady-state scratching process, a three-dimensional elastic-plastic finite element method based on the double cohesive zone model is developed and adopted, and the steady-state fracture work of the total system is calculated. The parameter relations between the horizontal driving forces (or energy release rate of the scratching process) and the separation strength of thin film/substrate interface, and the material shear strength, as well as the material parameters are developed. Furthermore, a scratch experiment for the Al/Si film/substrate system is carried out and the failure mechanisms are explored. Finally, the prediction results are applied to a scratch experiment for the Pt/NiO material system given in the literature.

Extended Stoney'S Formula For A Film-Substrate Bilayer With The Effect Of Interfacial Slip

The curvature-stress relation is studied for a film-substrate bilayer with the effect of interfacial slip and compared with that of an ideal interface without interfacial slip. The interfacial slip together with the dimensions, elastic and interfacial properties of the film and substrate layers can cause a significant deviation of curvature-stress relation from that with an ideal interface. The interfacial slip also results in the so-called free edge effect that the stress, constraint force, and curvature vary dramatically around the free edges. The constant curvature as predicted by Stoney's formula and the Timoshenko model of an ideal interface is no longer valid for a bilayer with a nonideal interface. The models with the assumption of an ideal interface can also lead to an erroneous evaluation on the true stress state inside a bilayer with a nonideal interface. The extended Stoney's formula incorporating the effects of both the layer dimensions and interfacial slip is presented.

Effect of a laser pre-quenched steel substrate surface on the crack driving force in a coating-steel substrate system

A mechanical model of a coating/laser pre-quenched steel substrate specimen with a crack oriented perpendicular to the interface between the coating and the hardened layer is developed to quantify the effects of the residual stress and hardness gradient on the crack driving force in terms of the J-integral. It is assumed that the crack tip is in the middle of the hardened layer of the pre-quenched steel substrate. Using a composite double cantilever beam model, analytical solutions can be derived, and these can be used to quantify the effects of the residual stress and the hardness gradient resulting from the pre-quenched steel substrate surface on the crack driving force. A numerical example is presented to investigate how the residual compressive stress, the coefficient linking microhardness and yield strength and the Young's modulus ratio of the hardened layer to the coating influence the crack driving force for a given crack length. (C) 2007 Acta Materialia Inc. Published by Elsevier Ltd. All rights reserved.

Deflections and curvatures of a film-substrate structure with the presence of gradient stress in MEMS applications

The close form solutions of deflections and curvatures for a film-substrate composite structure with the presence of gradient stress are derived. With the definition of more precise kinematic assumption, the effect of axial loading due to residual gradient stress is incorporated in the governing equation. The curvature of film-substrate with the presence of gradient stress is shown to be nonuniform when the axial loading is nonzero. When the axial loading is zero, the curvature expressions of some structures derived in this paper recover the previous ones which assume the uniform curvature. Because residual gradient stress results in both moment and axial loading inside the film-substrate composite structure, measuring both the deflection and curvature is proposed as a safe way to uniquely determine the residual stress state inside a film-substrate composite structure with the presence of gradient stress.

EVALUATION OF FILM-SUBSTRATE ADHESION VIA IMPACT USING COATED BULLETS

A method was devised to evaluate the adhesion between a film and a substrate. A front-end coated bullet is accelerated by a gas gun and hits the substrate of the specimen under test. The impact generates a compressive stress pulse that propagates toward the film. After transmission through the interface, part of the pulse is reflected on the free surface of the film, and tensile stress arises at the film-substrate interface, possibly inducing debonding of the film. This dynamic process was demonstrated analytically and simulated numerically by the finite element method. The results validate the initial concept and lay the foundation for further optimization of this method.