Autumn 2024 (S1)

ME 221 Structural Materials

Chapter 0

Introduction
Prof. Soham Mujumdar
S23, Mechanical Engineering
Email: [email protected]

NOTE:NOTE:
SomeYou
ofdothe course material to
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adopted from ‘Material Science th
NOT have permission this file or any of its contents withand Engineering:
anyone else, and/orAn Introduction’
upload it on internet[10
or anyEd.] byplatforms
of the Callisterwhere
and itRethwisch, ‘The
can be accessed by Science
others. and
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Engineering of Materials’ [6 Ed.] by Askeland, Fulay and Wright, and lecture notes of Prof. A. A. Gokhale (IIT Bombay). You do NOT have permission to share this
file or any of its contents with anyone else, and/or upload it on the internet or any of the platforms where it can be accessed by others.
 Why study ‘materials’?
Materials drive technology! .. and technologies improve our lives https://link.springer.com/article/10.1007/s41918-019-00042-6
https://www.idesign.wiki/en/bronze-age-tools/
https://wisconsinmetaltech.com/guide-to-steel/

Clay, Cu/Bronze, Bones, Ivory

https://silicone.co.uk/news/
Stones, Wood,
Leather

Steels
Silicon, Plastics, Ceramics
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ME 221 Structural Materials 2

Historical Perspective
Ashby, M.F. Materials Selection in Mechanical Design; Elsevier: Oxford, UK, 2011.

Q: What has changed over the

time?
We have moved from simply
finding the materials to
manipulating the materials to
designing the materials.
Note: most of the materials we
use today are designed by
humans and NOT naturally
occurring.
Examples: Steel, Plastic,
Fibreglass, Semiconductors, ..
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ME 221 Structural Materials 3

How do we ‘select’ material?
● We select material based on the how it
will perform for the given application
(and cost of making)
● What are the performance needs for the
shown applications?
● Performance depends on the material
properties
● What are the properties of the materials
involved?
● How do the material get their
properties?

Containers for carbonated drinks: Cooking pots (kadhai)

Aluminum vs. Glass vs. Plastic Clay vs. Cast Iron vs. Stainless Steel
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ME 221 Structural Materials 4

ME 221 (S1) A2024
● Office hours: S23 (ME), Mondays after 5 PM by appointment

● Instructor: Prof. Soham Mujumdar ([email protected])

● TAs: Shayan Bayki ([email protected]), Anurag Srivastava

([email protected]), Vishesh Dharaiya
([email protected]), Pushpendra Kumar ([email protected])

● Reference Books:

1. Callister, William D., and David G. Rethwisch, “Materials science

and engineering: an introduction”, New York: Wiley (1964), 10th
Edition.

2. Askeland, Donald R., P. P. Fulay, and W. J. Wright. "The science

and engineering of materials 6th edition." Cengage Learning Inc
889 (2010), 6th Edition

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ME 221 Structural Materials 5

Grading Policy
Lecture Notes:
● Take your own notes AND read the reference books.
● Lecture notes/slides and reference material will be provided as and when required via MS Teams

Grading:
● Homeworks Not graded (typically after every lecture)
● Quiz 25% (Best 3/4, preannounced: 12/08, 29/08, 07/10, 22/10 NO MAKE-UP)
● Project 10% (Team project, topics will be announced soon)
● Midsemester Exam 25%
● Final Exam 40% (Comprehensive)

Any student/group found to have committed or aided and abetted the offense of plagiarism will receive
ZERO marks for the relevant assignment/quiz/exam/project without any exceptions
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ME 221 Structural Materials 6

Attendance Policy

https://www.iitb.ac.in/newacadhome/ugrulebook.pdf

● Attendance will be recorded within the first 5 min of every lecture via the SAFE app
● Students with < 80% attendance rate (for any reason whatsoever including medical grounds), will be
imposed with up to 5% penalty. This may lead to a potential reduction of 1-2 letter grades in the overall
performance.

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ME 221 Structural Materials 7

Performance ← Properties
Performance Property
● How the material performs under certain service ● Type and magnitude of response to a specific
conditions. imposed stimulus
● It depends on its properties, the component Type of
Example External Stimulus
design and material degradation due to high property
temperature, corrosion, cyclic loading, etc.

Chem ------Physical--------- Mech

Elastic modulus, Strength,
Mechanical Stress (force)
Toughness

Example: Electrical conductivity,

Electrical Electrical field
Strength decreases with Dielectric constant
increasing temperature Heat capacity, Thermal
Thermal External heat flux
conductivity
DIY: What happens when
Magnetic Magnetisation, Coercivity Magnetic field
temperature decreases?
(read case study 1.1 from Electromagnetic or
Optical Refractive Index
Callister) light radiation
Galvanic potential
Deteriorative Corrosion
difference
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ME 221 Structural Materials 8

Examples

Ref: Askeland, Fulay and Wright

https://www.youtube.com/watch?v=PlvyZ1r1DCM

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ME 221 Structural Materials 9

Structure of a Material
● Properties of a material are a function of its structure
● The structure of a material usually relates to the
arrangement of its internal components
● The structure could be different depending on what
scale you are looking at

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ME 221 Structural Materials 10

 Structure of a Material
https://alg.manifoldapp.org
● Subatomic structure—involves electrons within the
individual atoms, their energies and interactions with the
nuclei.
● Atomic structure—relates to the organization of atoms to
yield molecules or crystals.
● Nanostructure—deals with aggregates of atoms that form
particles (nanoparticles) that have nanoscale dimensions
(less that about 100 nm).
● Microstructure—those structural elements that are
subject to direct observation using some type of
microscope (structural features having dimensions
between 100 nm and several millimeters).
● Macrostructure—structural elements that may be viewed
with the naked eye (with scale range between several
millimeters and on the order of a meter).

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ME 221 Structural Materials 11

Structure → Property → Performance

Carbon with different Strength and Conductivity

Al2O3 with different Optical Property (transmittance)

Single Crystal vs. Poly-crystal vs. Polycrystal with voids

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ME 221 Structural Materials 12

 Processing → Structure → Property → Performance
● Processing refers to how the material is made/synthesized/manufactured
● Structure of the material is often a result of the processing
● Involves cost considerations

https://www.cityu.edu.hk/kto/industry/find-new-opportunities-our-ip-portal/accelerating-alloy-design-3d-printing-situ-alloying
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ME 221 Structural Materials 13

Material Science and Engineering Paradigm
https://gems.matse.illinois.edu/educators/

Material Science

Processing Structure Properties Performance

Material Engineering

In this course, we will study the material paradigm related to ‘structural materials’, i.e., materials
that are used in load bearing applications, where mechanical properties are factored into the
design
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ME 221 Structural Materials 14

Learning about materials as a Mechanical Engineer
https://gems.matse.illinois.edu/educators/

● All machine designs / component designs have to

take into account materials properties
● You can make informed choices between property
combination to choose for given service conditions
● Be able to account for deterioration in material
properties likely to take place during service due to
high temperature exposure or due to corrosive
conditions
● To make compromises between properties and costs
(which depend on raw materials and processing
steps)

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ME 221 Structural Materials 15

 MSE Paradigm Examples

Material for Car Chassis Material for LEDs

(e.g., Steel) (e.g., GaA)
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ME 221 Structural Materials 16

Classification of Materials
Based on chemical composition and atomic structure
● Metals (and alloys)
● Polymers
● Ceramics
● Composites

● Advanced Materials: Semiconductors, biomaterials, smart materials, nano materials

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ME 221 Structural Materials 17

Metals
● Composed primarily of metallic elements (e.g., Fe, Al, Cu, Ti,
Au, Ag, Ni, Cr, Mg, Mo, W)
● Metal alloys could have a small amount of non-metals (e.g.,
C, N, O)
● Atoms are arranged in very orderly manner (crystalline
form)
● Relatively dense compared to polymers and ceramics
● Mechanical Properties: stiff, strong, yet ductile (large
deformation without fracture) -> structural applications
● Have large number of non-localized electrons -> good
electrical conductors
● Not transparent to light, lustrous appearance

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ME 221 Structural Materials 18

Ceramics
● Compounds between metallic and non-metallic elements
● Typically, oxides (Alumina, Silica), nitrides (Si3N4), carbides
(SiC), borides (ZrB2) of metals
● Inorganic crystalline form or amorphous
● Stiff, strong and hard, but brittle (susceptible to fracture)
● New ones are engineered with improved toughness
● Thermal and electrical insulators
● More resistant to high temperatures and corrosive
atmosphere
● Transparent, translucent or opaque
● Some are magnetic (Fe3O4)

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ME 221 Structural Materials 19

Polymers
● Familiar plastic and rubber material
● Many are organic compounds based on C, H, and other non-
metallic elements like O, N, Si
● Large molecular, chain-like structures
● Examples: Polyethylene (PE), Nylon, Polyvinyl Chloride (PVC),
Polycarbonate (PC), Polystyrene (PS), Silicone rubber
● Low density, less stiff and less strong than metals and ceramics
● Sometimes stiffness and strengths per unit mass maybe
comparable to metals
● Extremely ductile and pliable (‘plastic’) -> easy to shape
● Chemically inert in large range of environments
● Some soften at high temperatures (limits the use)
● Low electrical conductivities, non-magnetic
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ME 221 Structural Materials 20

Composites
● Composed of two or more materials from metals, ceramics, and
polymers
● Goal is to attain the properties that is not exhibited by any single
group
● Naturally occurring examples: wood, bone
● Artificial: Glass fiber epoxy composites (fiberglass)
● Glass fibers (ceramic) are strong and stiff but brittle
● Epoxy (polymer) is flexible and has low density
● The composite ‘fiberglass’ is relatively stiff, strong, flexible and light
weight – used in automobiles, aircraft, surfboards
● CFRP Composite: Carbon fiber-reinforced polymer - used in sports
equip., bicycle frames, airframes)

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ME 221 Structural Materials 21

Comparison of Mechanical Properties

Density Stiffness

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ME 221 Structural Materials 22

Comparison of Mechanical Properties

Strength Fracture Toughness

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ME 221 Structural Materials 23

Ashby Charts for Material Selection

Similar charts are available for

other combinations of mechanical
properties

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ME 221 Structural Materials 24

Recap
https://gems.matse.illinois.edu/educators/

DOI:10.1557/opl.201.41

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ME 221 Structural Materials 24

Ashby Charts for Material Selection

Similar charts are available for

other combinations of mechanical
properties

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ME 221 Structural Materials 25

Example of a Modern Product

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ME 221 Structural Materials 26

Advanced Materials
Semiconductors Biomaterials Smart Materials

Nano
Materials

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ME 221 Structural Materials 27

Advanced Material Example: Graphene

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ME 221 Structural Materials 28

Functional Classification of Materials

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ME 221 Structural Materials 29

Case: Rank the Melting Points
660 °C 801 °C 0 °C

Aluminum Salt (NaCl) Ice (H2O)

40 °C
70 °C

Rubber Paraffin Wax

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ME 221 Structural Materials 31

 Autumn 2024 (S1)

ME 221 Structural Materials

Chapter 1

Atomic Structure and Bonding

Prof. Soham Mujumdar
S23, Mechanical Engineering
Email: [email protected]

NOTE:NOTE:
SomeYou
ofdothe course material to
is share
adopted from ‘Material Science th
NOT have permission this file or any of its contents withand Engineering:
anyone else, and/orAn Introduction’
upload it on internet[10
or anyEd.] byplatforms
of the Callisterwhere
and itRethwisch, ‘The
can be accessed by Science
others. and
th
Engineering of Materials’ [6 Ed.] by Askeland, Fulay and Wright, and lecture notes of Prof. A. A. Gokhale (IIT Bombay). You do NOT have permission to share this
file or any of its contents with anyone else, and/or upload it on the internet or any of the platforms where it can be accessed by others.
Atom DIY

The first direct observation of the orbital

structure of an excited hydrogen atom,
made using a newly developed "quantum
microscope." (Stodolna et al. / Physical
Review Letters)

DIY: Revise following concepts (Ref. Callister, Chapter 2)

Atomic models (Bohr vs. Wave-mechanical), electronic configurations in the
atoms, quantum numbers, valance electrons, electropositive vs. electronegative
elements
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ME 221 Structural Materials 33

Types of Atomic Bonding
1. Ionic Bonding
● Found in compounds formed by both metal and non-metal elements
● Metal atoms easily give valence electrons to non-mental atoms
● In process, both atoms acquire stable configurations AND charge
● The attractive bonding force is coulombic
● Bond is nondirectional

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ME 221 Structural Materials 34

Types of Atomic Bonding
2. Covalent Bonding
● Found in materials whose atoms have small differences in electronegativity
● Stable electron configurations achieved by sharing of electrons
● The bonds have fixed directional relationship (for example tetrahedron in Si with 109.50)

Silicon

Hydrogen Molecule

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ME 221 Structural Materials 35

Types of Atomic Bonding
3. Metallic Bonding
● Metallic elements have electropositive atoms that donate their
valence electrons to form a ‘sea of electrons’ surrounding the atoms.
● The valence electrons move freely within the electron sea and
become associated with several atom (ion) cores.
● Positively charged ion cores are held together by mutual attraction to
electrons (‘glue of electrons’)
● Valence electron sea provides good electrical conductivity
● Metallic bonds are non-directional

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ME 221 Structural Materials 36

Types of Atomic Bonding
4. Van Der Waals Bonding (Secondary)
● Weaker in comparison to primary bonds
● Usually exists between virtually all atoms/molecules but
maybe obscured if primary bonds are present
● Arise from atomic/molecular dipoles – charge separation
● Molecules or atoms with either induced (external E field) or
permanent (direction/nature of bonds) dipole moments
attract each other

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ME 221 Structural Materials 37

Bonding Energies
● Materials with a high binding
energy often have a high melting
temperature, a high modulus of
elasticity, and a low coefficient of
thermal expansion.
● Metals actually exhibit lower
strength and higher ductility that
we expect from atomic bonding ->
something that’s explained by
structure at higher scales (nm - µm)

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ME 221 Structural Materials 38

Example: Mixed Bonding

PVC

Carbon with different Strength and Conductivity

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ME 221 Structural Materials 39

Interatomic Bonding Forces and Energies

e
e
-
r e
e
-
- -
e- e- e- e-

𝐹(𝑟) = 𝐹𝐴 + 𝐹𝑅

● Attractive force (FA) due to type of bonding, for example between

electrons and ion cores
● Repulsive force (FR) due to interactions between two ion cores or
two electron clouds
● Net force (F) is ZERO at a distance, r = r0 “the equilibrium
interatomic spacing”
● Potential energy (E = E0) at equilibrium is “bonding (binding) energy”
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ME 221 Structural Materials 40

 Modulus of Elasticity
Which material has higher modulus of elasticity? Why? r0

A0
Interatomic Force (F)

Distance (r)
0 r0 r0 Let A0 = area that approximately corresponds to one atom
Let the inter-atomic distance = r0
Stress  = F/A0
Strain ‘e’ = change in length r/r0
Young’s modulus E = 𝜕 / 𝜕e = (𝜕F/𝜕r).(r0/A0) )
Since r0 and A0 are constant for a crystal structure,
Stiffness i.e. Young’s modulus is proportional to 𝜕F/𝜕r
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ME 221 Structural Materials 41

Coefficient of Thermal Expansion (CTE)

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ME 221 Structural Materials 42

Case: Which can you ‘shape’?

Aluminum Salt (NaCl) Ice (H2O)

Plastic (Polyethylene) Clay

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ME 221 Structural Materials 43

Case: Which can you ‘shape’?
Crystalline, Metallic Bonds Crystalline, Ionic Bonds Crystalline, H2 Bonds

Aluminum Salt (NaCl) Ice (H2O)

Semisolid, Mix of Soil + Water
Amorphous, Covalent + Van Der Waals Bonds

Plastic (Polyethylene) Clay

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ME 221 Structural Materials 43

Lattice
● A lattice is a collection of points, called lattice points, which are arranged in a periodic
pattern so that the surroundings of each point in the lattice are identical.
● A lattice is a purely mathematical construct and is infinite in extent. A lattice may be one-,
two-, or three-dimensional.

A Unit Cell is a subdivision of the lattice that

still retains the overall characteristics of the
entire lattice

They are small repetitive units or groups of

points

The aim is to repeat the unit cell to fill up the

space completely

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ME 221 Structural Materials 45

Crystal Structure
● Basis or Motif = What you would like to place at the lattice points, e.g, atom, ion, molecule
Crystal Structure = Lattice + Basis

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ME 221 Structural Materials 46

Examples

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ME 221 Structural Materials 47

Bravais Crystal Systems (3D Lattices)

/ / (Rhombohedral)

(Least Symmetric)
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ME 221 Structural Materials 48

Bravais Crystal Structures (14)

www.Wikipedia.com
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ME 221 Structural Materials 49

Examples

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ME 221 Structural Materials 51

Simple Cubic Crystal Structure

Spheres or ion cores of nearest

neighbors touch one another.

● Except polonium which is a metalloid, there is no other element with this crystal structure
● Can we find
● a = the size of the unit cell (cube)
● N = number of atoms per unit cell
● CN = Coordination Number = Number of neighbours to an atom
● APF = Atomic Packing Factor =

● Has a low packing factor

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ME 221 Structural Materials 52

Face Centered Cubic (FCC) Crystal Structure
Face Centred Cubic crystal structure
(Hard sphere model-based unit cells) (a) a hard-sphere unit cell representation,
(b) a reduced sphere unit cell, and
(c) an aggregate of many atoms

● Common metals with FCC crystal structure: Cu, Al, Ni, Ag, Au
● In FCC, the nearest neighbors lie along the face diagonal
● Equivalence of center and face positions: It is possible to translate the
original lattice by half atomic position to the right and up. Now the face
centered position becomes the corner position and vice versa.
● What is a, N, CN, and APF?

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ME 221 Structural Materials 56

Face Centered Cubic (FCC) Crystal Structure
Also, find a, N, CN, and APF?

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ME 221 Structural Materials 57

Body Centered Cubic (BCC) Crystal Structure

(a) a hard-sphere unit cell

R representation,
(b) a reduced sphere unit cell, and
(c) an aggregate of many atoms

● In BCC, cubic unit cell with atoms located at all eight corners and a single atom at the
cube centre.
● Common metals with BCC crystal structure: Cr, Fe, W
● What is a, N, CN, and APF?

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ME 221 Structural Materials 58

Hexagonal Closed Packed (HCP) Crystal Structure

● Top and bottom faces: hexagons with six corner atoms and one face centered atom + 3 atoms in
the mid-plane
● Common metals with HCP crystal structure: Cd, Mg, Ti, Zn
● What is a, c, N, CN, and APF?
● Ideal c/a ratio should be 1.633. In reality, it deviates from this.
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ME 221 Structural Materials 59

Hexagonal Closed Packed (HCP) Crystal Structure

● Top and bottom faces: hexagons with six corner atoms and one face centered atom + 3 atoms in
the mid-plane
● Common metals with HCP crystal structure: Cd, Mg, Ti, Zn
● What is a, c, N, CN, and APF?
● Ideal c/a ratio should be 1.633. In reality, it deviates from this.
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ME 221 Structural Materials 59

FCC vs. HCP Stacking https://www.youtube.com/watch?v=B1JzFAD1GAo

HCP FCC

(111) planes
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ME 221 Structural Materials 60

Density of a Crystal

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ME 221 Structural Materials 61

Case Study: “Tin Disease”
In 1850, the uniforms of some Russian soldiers started falling apart because all the buttons crumbled! –
so did many of the organ pipes of the village church
Both these products (buttons, and organ pipes) were made from Tin. People thought there was some ‘tin
disease’ where ‘tin pests’ are devouring the metal
What do you think really happened?
● Related factoid: The winter in 1850 in Russia was particularly cold with record low temperatures for extended
periods of time
● “Allotropic Transformation of Tin in Cold Temperatures”

The rate at which this change takes place is

extremely slow; however, the lower the
temperature (below 13.2°C) the faster the
rate. Accompanying this white-to-gray-tin
transformation is an increase in volume
(27%), and, accordingly, a decrease in Increase in Volume
density (from 7.30 g/cm3 to 5.77 g/cm3). Decrease in Density
Consequently, this volume expansion results
in the disintegration of the white tin metal
into a coarse powder of the gray allotrope.

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ME 221 Structural Materials 62

How do these atomic arrangements matter?
● Metals deform more easily, in directions in which
atoms are in closest contact.
● The magnetic properties of iron and other
magnetic materials depend on the
crystallographic directions. It is much easier to
magnetize iron in certain directions.

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ME 221 Structural Materials 64

Points, Directions, and Planes in Crystals
Point Coordinates
● In unit cell with right-handed coordinate system
● Measured in terms of number of lattice parameters “Crystal
● To locate certain points, e.g., atomic positions Notations”
Directions
● Called ‘Miller Indices’ for directions
● Step 1: Determine the coordinates of two points that lie on the
direction.
● Step 2: Subtract the coordinates of the “tail” point from the
coordinates of the “head” point to obtain the number of lattice
“Lattice Parameters” parameters traveled in the direction of each axis of the coordinate
system.
a, b, c and 𝜶, 𝜷, 𝜸
● Step 3: Clear fractions and/ or reduce the results obtained from the
subtraction to lowest integers.
● Step 4: Enclose the numbers in square brackets [ ]. If a negative sign
is produced, represent the negative sign with a bar over the number.
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ME 221 Structural Materials 65

Miller Indices for Directions
Direction A =
Direction B =
Direction C =

● Miller indices for same directions? Same Same

● Miller indices for opposite directions? Same with bar upside

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ME 221 Structural Materials 66

Equivalent Directions (Family of Directions)
Example: FCC Crystal Structure ● In a cubic system, a [100] direction becomes [010]
direction, if we redefine our coordinate system
● Properties are same in both these directions, hence
they are considered to be equivalent
● <100> indicates the family of equivalent directions

In a cubic system like the FCC crystal, equivalent

directions (such as [100] [100] and [010] [010]) show identical properties,
which is why they are grouped into families like <100>. This equivalence
reflects the crystal's symmetry, and helps in simplifying analysis of crystal properties.

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ME 221 Structural Materials 67

Miller Indices for Planes
● Step 1: Identify the distance at which the plane intercepts the x, y, and z coordinates as a multiple or
fraction of the lattice parameters. If the plane passes through the origin, the origin of the coordinate
system must be moved to that of an adjacent unit cell.
● Step 2: Take reciprocals of these intercepts.
● Step 3: Clear fractions but do not reduce to lowest integers.
● Step 4: Enclose the resulting numbers in parentheses (). Again, negative numbers should be written with
a bar over the number.

Metals deform along planes of A: (111)

atoms that are most tightly
packed together B: (210)
C: (01̅0)

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ME 221 Structural Materials 68

Family of Equivalent Planes
● Planes and their negatives are identical (this was not the case
for directions) because they are parallel. Therefore, (020) =
(02ത 0)
● Planes and their multiples are not identical (again, this is the
opposite of what we found for directions). We can show this by
defining planar densities and planar packing fractions. The
planar density is the number of atoms per unit area with
centers that lie on the plane; the packing fraction is the fraction
of the area of that plane actually covered by these atoms.
● In each unit cell, planes of a form or family represent groups of
equivalent planes that have their particular indices because of
the orientation of the coordinates.
● We represent these groups of similar planes with the notation
{}.
● In cubic systems, a direction that has the same indices as a
plane is perpendicular to that plane.

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ME 221 Structural Materials 69

DIY

A: (111)
B: (210)
C: (01̅0)

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ME 221 Structural Materials 70

Linear and Planar Density
● Linear density is the number of lattice points per unit length along the
direction.
● Planar density is the number of atoms per unit area with centers that lie on
the plane; the packing fraction is the fraction of the area of that plane
actually covered by these atoms.

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ME 221 Structural Materials 71

Example
Planar density in [110] plane of FCC

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ME 221 Structural Materials 72

Construction of Direction and Plane
ഥ and plane (𝟐𝟏𝟎)
Draw a direction [𝟏𝟐𝟏] ഥ in a cubic unit cell

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ME 221 Structural Materials 73

What about Hexagonal Lattices?
c

o b What are the miller indices for the planes?

a a=b≠c
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ME 221 Structural Materials 74

What about Hexagonal Lattices?
c

o b What are the miller indices for directions

a a=b≠c
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ME 221 Structural Materials 75

Miller Bravais Indices for Hexagonal Lattice: Planes

● The coordinate system uses four

Plane A
axes instead of three (this way, the Planes 1. a1 = a2 = a3 = , c = 1
directions and planes with the same
indices are perpendicular – so it is 2.
convenient) 3. No fractions to clear
● The axes a1, a2, and a3 lie in a plane 4. (0001)
that is perpendicular to the fourth
axis c. a3 axis is redundant.
● Four intercepts are required to
specify planes, giving them the form
(hkil), where. h + k = -i

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ME 221 Structural Materials 76

Miller Bravais Indices for Hexagonal Lattice: Directions

● Denoted with either the three-axis or four-axis system

● Three-axis system: the procedure is the same as for conventional
Miller indices
● Four-axis system: Convert the three-axis notation to the four-axis
notation 𝑢, 𝑣, 𝑡, 𝑤 for directions by the following relationships,
where 𝑈, 𝑉 and 𝑊 are the indices in the three-axis system

After conversion, the values of u, v, t, and w

may require clearing of fractions or reducing
to lowest integers.
Directions

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ME 221 Structural Materials 77

Example

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ME 221 Structural Materials 78

Example

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ME 221 Structural Materials 78

Constructing Directions from Indices

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ME 221 Structural Materials 79

Close-packed Directions and Planes
Close-packed directions/planes are directions/planes where ALL atoms connect with each other (touch)

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ME 221 Structural Materials 80

Close-packed Directions and Planes
Close-packed directions/planes are directions/planes where ALL atoms connect with each other (touch)

(110) Provides closest possible packing

These planes intersect each other

These planes are parallel

FCC
Presence or absence of
intersecting close-packed planes
affects the mechanical behavior

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ME 221 Structural Materials 81

Isotropy and Anisotropy
● Because of differences in atomic arrangement in the planes and directions within a crystal, some
properties also vary with direction.
● A material is crystallographically anisotropic if its properties depend on the crystallographic direction
along which the property is measured.
● For example, the modulus of elasticity of aluminum is 75.9 GPa in <111> directions, but only 63.4 GPa in
<100> directions – if it’s in a single crystal form
● Materials that are single crystals or in which many grains are oriented along certain directions (naturally
or deliberately obtained by processing) will typically have anisotropic mechanical, optical, magnetic, and
dielectric properties.

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ME 221 Structural Materials 83

Isotropy and Anisotropy
● Because of differences in atomic arrangement in the planes and directions within a crystal, some
properties also vary with direction.
● A material is crystallographically anisotropic if its properties depend on the crystallographic direction
along which the property is measured.
● For example, the modulus of elasticity of aluminum is 75.9 GPa in <111> directions, but only 63.4 GPa in
<100> directions – if it’s in a single crystal form
● Materials that are single crystals or in which many grains are oriented along certain directions (naturally
or deliberately obtained by processing) will typically have anisotropic mechanical, optical, magnetic, and
dielectric properties.

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ME 221 Structural Materials 83

Interplanar Spacing
The distance between two adjacent parallel planes of atoms with the same Miller indices
is called the interplanar spacing (dhkl)

In Cubic Lattice

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ME 221 Structural Materials 84

Interstitial Sites
● In all crystal structures, there are small holes between the usual atoms into which smaller atoms may be
placed. These locations are called interstitial sites
● An atom, when in an interstitial site, touches two or more atoms in the lattice (Coordination Number)
● The cubic site (CN = 8), occurs in the SC structure at the body-centered position.
● Octahedral sites give a coordination number of six (not eight). They are known as octahedral sites
because the atoms contacting the interstitial atom form an octahedron. The octahedral sites in BCC unit
cells are located at the faces of the cube. In FCC unit cells, octahedral sites occur at the center of each
edge of the cube, as well as at the body center of the unit cell.
● Tetrahedral sites give a coordination number of four.

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ME 221 Structural Materials 86

Example

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ME 221 Structural Materials 87

Interstitial Radius Ratio
● Interstitial atoms or ions whose radii are
slightly larger than the radius of the
interstitial site may enter that site, pushing
the surrounding atoms slightly apart.
● Atoms with radii smaller than the radius of
the hole are not allowed to fit into the
interstitial site because the ion would
“rattle” around in the site.
● If the interstitial atom becomes too large,
it prefers to enter a site having a larger
coordination number.
● Many ionic crystals can be viewed as being
generated by close packing of larger
anions. Cations then can be viewed as
smaller ions that fit into the interstitial
sites of the close-packed anions.

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ME 221 Structural Materials 88

Examples
ZnS

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ME 221 Structural Materials 89

World’s Largest Crystal Structure Model

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ME 221 Structural Materials 90

Single vs. Poly Crystals
Single Crystalline Materials Polycrystalline Materials
The entire solid is composed of only one crystal. Periodic Solids are composed of a collection of many small
arrangement of atoms extending throughout the specimen crystals or grains
without interruption

Naturally grown without Engineered products

constraints on its boundaries Special processes have been
Have facetted shapes since developed
different crystallographic planes Ex: Semiconductor grade Si, Ni
grow at different rates base superalloy turbine blades

Single crystal ingot of Si

Ni base superalloy
turbine blade SX

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ME 221 Structural Materials 91

Single vs. Poly Crystals

Growth of the crystallites; and

obstruction of some grains that
are adjacent to one another

Small Crystallite Nuclei

Grain structure under the microscope;

dark lines are the grain boundaries where
the periodicity of atomic arrangement is
disturbed and many atoms are left
without nearest neighbours

Completion of solidification: grains

with irregular shapes and random
crystal orientations
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ME 221 Structural Materials 92

Single Vs Poly Crystals

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ME 221 Structural Materials 93

How can we ‘see’ the crystal structures?

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ME 221 Structural Materials 94

X-Rays

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ME 221 Structural Materials 95

Diffraction of Light

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ME 221 Structural Materials 96

Bragg’s Law

n is an integer

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ME 221 Structural Materials 97

X-Ray Reflection Rules
● Bragg’s law is a necessary but not sufficient condition for diffraction by real crystals. It specifies when
diffraction will occur for unit cells having atoms positioned only at cell corners.
● However, atoms situated at other sites (e.g., face and interior unit cell positions as with FCC and BCC) act
as extra scattering centers, which can produce out-of-phase scattering at certain Bragg angles. The net
result is the absence of some diffracted beams that, according to Equation 3.20, should be present.
● Specific sets of crystallographic planes that do not give rise to diffracted beams depend on crystal
structure. These restrictions, called reflection rules.

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ME 221 Structural Materials 98

Recap
● Interstitial sites
● X-Ray Diffraction: Braggs’ law
● X-Ray Reflection Rules
n is an integer

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ME 221 Structural Materials 99

XRD (X Ray Diffraction) Technique
● Powdered or polycrystalline specimen - many fine and randomly oriented crystals that are exposed to
monochromatic x-radiation
● As the counter moves at constant angular velocity, a recorder automatically plots the diffracted beam
intensity (monitored by the counter) as a function of 2𝜃; 2𝜃 is termed the diffraction angle, which is
measured experimentally
https://www.youtube.com/watch?v=HrWT2M63DbU

https://www.youtube.com/watch?v=Z5aCuGxUPpI

Diffraction Pattern of Powdered Lead (Pb)

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ME 221 Structural Materials 100

Example: Diffraction Angle Calculation

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ME 221 Structural Materials 101

Example: Lattice Parameter Calculation

31.30

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ME 221 Structural Materials 101

Example: Determination of Crystal Structure
The results of an x-ray diffraction experiment using x-rays with λ = 0.7107 Å (radiation
obtained from a molybdenum (Mo) target) show that diffracted peaks occur at the
following 2𝜃 angles. Determine the crystal structure, the indices of the plane producing
each peak, and the lattice parameter of the material

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ME 221 Structural Materials 102

Example: Determination of Crystal Structure

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ME 221 Structural Materials 103

Questions
● Why do different gemstones have different colors? How is ruby different from
blue/green sapphire?
● How do you get semiconductors (Si) to work as transistors?
● Perfect pure Al crystal should have strength of 4600 MPa. In reality, pure Al
has strength of only 100 MPa! Why?

Because of crystal defects. Perfect crystals are rare! Cr

Fe - Ti

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ME 221 Structural Materials 105

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ME 221 Structural Materials 106

 Autumn 2024 (S1)

ME 221 Structural Materials

Chapter 2

Crystal Imperfections (Defects)

Prof. Soham Mujumdar
S23, Mechanical Engineering
Email: [email protected]

NOTE:NOTE:
SomeYou
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NOT have permission this file or any of its contents withand Engineering:
anyone else, and/orAn Introduction’
upload it on internet[10
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others. and
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Engineering of Materials’ [6 Ed.] by Askeland, Fulay and Wright, and lecture notes of Prof. A. A. Gokhale (IIT Bombay). You do NOT have permission to share this
file or any of its contents with anyone else, and/or upload it on the internet or any of the platforms where it can be accessed by others.
Crystal Defects
You can have crystal defects on 0, 1, 2 or 3 dimensions

Point Defects (0D) Line Defects (1D) Interfacial Defects (2D) Volume Defects (3D)
vacancies and foreign dislocations grain boundaries, twin voids, inclusions
elements boundaries, stacking faults

Vacancies enable atomic Dislocations enable ‘crystalline Grain boundaries resist slip. Generally undesirable
diffusion which is at the root slip’ which allows metals to be Strengthen materials at since they reduce
of why metals soften at high deformed into various shapes ambient temperatures. fracture toughness
temperatures at relatively low stresses.
But they are a source of
weakness at high
temperature, and are usually
eliminated.

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ME 221 Structural Materials 108

Crystal Defects
You can have crystal defects on 0, 1, 2 or 3 dimensions

Point Defects (0D) Line Defects (1D) Interfacial Defects (2D) Volume Defects (3D)
vacancies and foreign dislocations grain boundaries, twin voids, inclusions
elements boundaries, stacking faults

Vacancies enable atomic Dislocations enable ‘crystalline Grain boundaries resist slip. Generally undesirable
diffusion which is at the root slip’ which allows metals to be Strengthen materials at since they reduce
of why metals soften at high deformed into various shapes ambient temperatures. fracture toughness
temperatures at relatively low stresses.
But they are a source of
weakness at high
temperature, and are usually
eliminated.

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ME 221 Structural Materials 108

Point Defects
● Point defects are localized disruptions in otherwise perfect atomic or ionic arrangements in a crystal
structure.
● Even though we call them point defects, the
disruption affects a region involving several
atoms or ions.
● These imperfections may be introduced by
movement of the atoms or ions when they Vacancy Interstitial Small
gain energy by heating, during processing of atom substitutional
the material, or by the intentional or atom
unintentional introduction of impurities.

Intentional foreign atoms: solute atoms

Unintended foreign atoms: impurities Frenkel defect
Large a cation /anion is dislocated Schottky defect
substitutional from its normal site to a cation /anion pair is
atom interstitial site missing
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ME 221 Structural Materials 109

Point Defect: Vacancies
Vacancy: An atom or an ion (or a couple) missing from regular crystallographic site(s).
● Disruption in regular arrangement of atoms (creating strain in lattice) can form during solidification of
molten metals, or metal- working, high temperature service or nuclear radiation
● Typical vacancy concentration: 1012 − 1016 𝑚−3

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ME 221 Structural Materials 110

Recap
● How to identify (cubic) crystal structures
and lattice parameters from XRD
● Crystalline Defects: Point defects

Vacancy Interstitial Small

atom substitutional
atom

Frenkel defect
Large a cation /anion is dislocated Schottky defect
substitutional from its normal site to a cation /anion pair is
atom interstitial site missing
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ME 221 Structural Materials 111

Thermodynamics of Vacancies
● When atoms or ions are missing (i.e., when vacancies are present), the overall randomness or entropy of
the material increases, which increases the thermodynamic stability of a crystalline material.
● All crystalline materials have vacancy defects.
● Vacancies play an important role in determining the rate at which atoms or ions move around or diffuse
in a solid material, especially in pure metals.

Arrhenius Behavior
• N𝑣 = equilibrium number of vacancies per m3
• N = total number of atomic sites in the crystal per m3
• Q 𝑣 = energy required for the formation of a vacancy (J/atom or eV/atom), ~1 in 10,000 sites is vacant
near the melting temperature
• T = absolute temperature in Kelvins (K) and k is the Boltzmann’s constant
• k = 1.38 x 10-23 J/(atom.K), or 8.62 x 10-5 eV/atom.K
• If 𝑄𝑣 is expressed as J/mol, then k is replaced by the gas constant R = 8.314 (J/mol.K)
It is possible to heat a metal to high temperature to generate high concentration of vacancies, quench the metal and
retain the vacancy concentration
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ME 221 Structural Materials 112

Example

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ME 221 Structural Materials 113

Point Defect: Interstitial Elements
● Foreign atom occupies normally unoccupied space Self-interstitials are highly
● These atoms are smaller than solvent (parent) atoms, but larger than the improbable. Why?
volume of the vacant site it occupies. Hence surrounding crystal structure is
distorted creating high amount of strain (= displacement of atoms away from
their equilibrium positions)
● Foreign atoms have to be smaller than ~ 85% of the size of solvent metal
atoms to be able to occupy interstitial spaces (Example: C: 0.071 nm, Fe:
0.124 nm in steel)
Likely sites for interstitials in fcc and bcc

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ME 221 Structural Materials 114

Point Defect: Substitutional Elements
● Host metal atom is replaced by solute atom (could be an alloying element or an
impurity element)
● Solute atoms may be larger or smaller than host atoms
● Substitutional defects disturb the surrounding crystal structure and cause a local
increase in the lattice strain energy

Solute atoms are smaller Solute atoms are larger

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ME 221 Structural Materials 115

Solid Solutions
● Solute atoms can be added to the solvent only up to the solubility limit, forming solid
solutions.
● The solid solution has the same crystal structure as the parent metal. This is the
example of a single phase ‘alloy’.
● Solute atoms are uniformly and randomly distributed in a solution
● If excess number of atoms are added, a new crystal structure (‘new phase’) forms,
resulting in a two- phase alloy.

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ME 221 Structural Materials 116

Hume Rothery Rules for alloying by formation of substitutional solid solution
● Atomic size factor: Appreciable quantities of a solute may be accommodated in solid solution only when
the difference in atomic radii between the two atom types is less than about 15%. Otherwise, the solute
atoms create substantial lattice strain and a new phase forms if large amount of solute is present.
● Crystal structure: For appreciable solid solubility, the crystal structures for metals of both atom types
must be the same. Otherwise, there is some limit beyond which a transition occurs from one phase to a
second phase with a different structure.
● Electronegativity factor: The more electropositive an element and the more electronegative the other,
the greater the likelihood that they will form an intermetallic compound. Otherwise a solid solution
forms.
● Valencies: The elements must have the same valence; otherwise, the valence electron difference
encourages the formation of compounds rather than solutions. Element with lower valence dissolves
ones with higher valence – (there are many exceptions).

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ME 221 Structural Materials 117

Solid Solution Examples
● Cu, Ni substitutional solid solution: These two elements are completely soluble in one
another at all proportions.
● Hume Rothery Rules:
● the atomic radii for copper and nickel are 0.128 and 0.125 nm, respectively;
● both have the FCC crystal structure; and
● their electronegativities are 1.9 and 1.8
● Finally, the most common valences are +1 for copper (although it sometimes can be +2) and +2 for
nickel
● Fe, C interstitial solid solution: when added to Fe; the maximum concentration of
carbon is about 2%. The atomic radius of the carbon atom is much less than that of
iron: 0.071 nm versus 0.124 nm

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ME 221 Structural Materials 118

Line Defects: Edge Dislocation
● A perfect crystal is cut and an extra half plane of atoms is inserted.
The bottom edge of the extra half plane is an edge dislocation.
● The atoms above the dislocation line are squeezed together, and
those below are pulled apart
● Notice slight curvature for the vertical planes of atoms as they bend
around this extra half-plane.
● Creates compressive strain field in upper half and tensile in the lower

https://www.tf.uni-kiel.de
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ME 221 Structural Materials 120

Bergers Vector
● Bergers vector provides magnitude and direction

Bergers’ Vector

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ME 221 Structural Materials 121

Line Defects: Screw Dislocation
● Part of crystal is cut and two halves of crystal sheared against each other (shear strain field created
around dislocation line)
● The magnitude and direction of the lattice distortion associated with a dislocation are expressed in terms
of a Burgers vector (b). In screw dislocations, b is parallel to the dislocation line.
● There is spiral stacking of crystal planes around the dislocation line (parking lot analogy)
Isometric view Top view

Dislocation line

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ME 221 Structural Materials 122

Line Defects: Screw Dislocation
● Part of crystal is cut and two halves of crystal sheared against each other (shear strain field created
around dislocation line)
● The magnitude and direction of the lattice distortion associated with a dislocation are expressed in terms
of a Burgers vector (b). In screw dislocations, b is parallel to the dislocation line.
● There is spiral stacking of crystal planes around the dislocation line (parking lot analogy)
Isometric view Top view

Dislocation line

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ME 221 Structural Materials 122

Line Defect: Mixed Dislocations
● In reality, edge, screw and mixed-type dislocations are present in crystals – atomic disruptions along a plane
● Length (up to few 1000’s atomic spacings) ≫ width (one or two atomic spacings).
● Can form during solidification as well as during thermo-mechanical working
● Soft metals: 106 cm of total dislocation length per cm3 of material
● After mechanical working: 1012 and 1014 cm per cm3
● Have strong influence on material properties such as strength, deformability, ductility and fracture toughness

Dislocations in Titanium (high resolution

transmission electron microscope)
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ME 221 Structural Materials 123

Interface (2D) Defects
● External surfaces
● Surface atoms are not bonded to the maximum number of nearest neighbors and are therefore in a
higher energy state than the atoms at interior positions.
● To reduce this energy, materials tend to minimize, if at all possible, the total surface area/interface
area (liquid drops tend to be spherical)
● Grain boundaries
● Phase boundaries
● Twin boundaries
● Stacking faults

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ME 221 Structural Materials 124

Interface Defects: Grain Boundaries
● Surface that separates the individual grains is called a grain boundary; is typically two atom spacing thick
● Narrow zone across which lattice structure of two adjoining grains is not aligned
● They impede dislocation motion, thereby influencing strength and ductility – to be taught later

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ME 221 Structural Materials 125

Interface Defects: Grain Boundaries
● Atoms are bonded less regularly along a grain boundary (e.g., bond angles are longer); there is an interfacial or grain
boundary energy similar to the surface energy
● Small (Low) angle boundaries: few degrees mis-orientation, they allow dislocation slip across the boundary
● High angle boundaries: mis-orientation > 5-8 deg, stops or restricts dislocation motion across the boundary

Small angle grain boundary is produced

by an array of edge dislocations, causing
an angular mismatch between the
lattices on either side of the boundary.
A twist boundary is possible (screw
dislocations present)

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ME 221 Structural Materials 126

Role of Grain Boundaries
● More chemically reactive than the grains themselves due to higher boundary energy.
● Impurity atoms often preferentially segregate along these boundaries because of their
higher energy state
● The total interfacial energy is lower in large or coarse-grained materials than in fine-
grained ones because there is less total boundary area in the former
● Grains grow at elevated temperatures to reduce the total boundary energy

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ME 221 Structural Materials 127

Interface Defects: Twin Boundaries
● A twin boundary is a plane across which there is a special mirror image mis-orientation of the crystal
structure
● Produced when a shear force, acting along the twin boundary, causes the atoms to shift out of position
● Occurs during deformation or heat treatment of certain metals
Twins within
● They interfere with the slip process and increase the strength of the metal a grain of
brass (x250)

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ME 221 Structural Materials 128

Interface Defects: Stacking Faults
● Occur in FCC metals
● Sequence of stacking is locally disturbed, e.g. ABC ABA BC instead of ABC ABC ABC
● Stacking faults interfere with the slip process

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ME 221 Structural Materials 129

Energy of Interface Defects
● Each interface defect is associated with interfacial energy (J/m2)
● The high-energy grain boundaries are much more effective in blocking dislocations than
either stacking faults or twin boundaries

Surface Imperfections (J/m2)​ Al​ Cu​ Pt​ Fe​

Stacking fault​ 0.20​ 0.075​ 0.095​ ---
Twin boundary​ 0.12​ 0.045​ 0.195​ 0.190​
Grain boundary
0.625​ 0.645​ 1​ 0.78​
(higher the misorientation, higher is the energy)

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ME 221 Structural Materials 130

Volume (3D) Defects
(Unintentional)
● Inclusions and voids are 3 dimensional defects.
● These are arbitrarily shaped, sized and distributed.
● Particles have relatively little effect on YS/UTS but can cause a loss of toughness.
● Particles may crack at small plastic strains, forming internal voids which, under the action of further
plastic strain, may coalesce leading to premature fracture.
(Intentional)
● Precipitates, dispersoids, particles/ fibres may be purposefully created/added to improve properties
● Ex: Precipitation hardened alloys, composites etc. Here, the size, size distribution and orientation of the
3-D features are carefully controlled

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ME 221 Structural Materials 131

Dislocation Slip and Strength
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 If applied shear stress is small, it causes
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 small displacement of atoms in the upper
half (w.r.t. lower half) = ∆𝑎
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 𝑥′
𝑥 𝑥′ 𝑥 ∆𝑎
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7
The dimensions are returned to their original 0 1 2 3 4 5 6 7
a a'
values when the stress is removed. 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7
“Elastic Shear Deformation” 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7
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ME 221 Structural Materials 133

Dislocation Slip and Strength

0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
𝑥 𝑥′ 𝑥 𝑥′
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7

“Plastic Shear Deformation”

In a Perfect Crystal

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ME 221 Structural Materials 134

Plastic Deformation in a Crystal with Dislocations

Under applied shear stress, atomic bonds break on one side of dislocation line, and new bonds form on the other.
This is called crystallographic slip.
The caterpillar movement analogy

The hump formed by the caterpillar is analogous to the dislocation in crystal

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ME 221 Structural Materials 135

Dislocation Density
● All metals and alloys contain some dislocations that were introduced during
solidification, during plastic deformation, and as a consequence of rapid cooling.
● The number of dislocations, or dislocation density in a material
= the total dislocation length per unit volume [mm/mm3] or, equivalently,
= the number of dislocations that intersect a unit area of a random section [#/mm2]
● Typical dislocation densities,
● Carefully solidified metal crystals: 103 𝑚−2 (low)
● Heavily deformed metals: 109 − 1010 𝑚−2 (high)
● Heat-treated deformed metals: 105 − 106 𝑚−2 (Reduced)
● Ceramic crystals: 102 − 104 𝑚−2
● Silicon crystals in ICs: 10−1 − 100 𝑚−2 (Ultra low)

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ME 221 Structural Materials 138

Lattice Strain Energy
● When metals are plastically deformed, some fraction of the
deformation energy (approx. 5%) is retained internally; the
remainder is dissipated as heat.
● The major portion of this stored energy is as strain energy
associated with dislocations.
● During plastic deformation, the number of dislocations increases
dramatically – existing dislocations multiply or new dislocations
formed at defects (grain boundaries, surface scratches, nicks)
Strain Field around
● The lattice distortions may be considered to be strain fields that Edge Dislocation
radiate from the dislocation line. The strains extend into the
surrounding atoms, and their magnitude decreases with radial
distance from the dislocation.

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ME 221 Structural Materials 139

Interaction of Dislocations

Two edge dislocations of the same sign and lying on the

same slip plane exert a repulsive force on each other

Edge dislocations of opposite

sign and lying on the same
slip plane exert an attractive
force on each other.
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ME 221 Structural Materials 140

Slip
● The process by which plastic deformation is produced by dislocation motion is called “slip”; the
crystallographic plane along which the dislocation line traverses is the “slip plane”
● Macroscopic plastic deformation corresponds to the motion of large numbers of dislocations

Motion of Edge Dislocation

The direction of motion of the mixed dislocation line is

neither perpendicular nor parallel to the applied stress,
but lies somewhere in between.
Motion of Screw Dislocation
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ME 221 Structural Materials 141

Slip

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ME 221 Structural Materials 142

Slip
● Slip is a characteristic of crystalline materials
● Amorphous materials do not have periodicity of atomic arrangement, hence no
dislocations and no slip
● Slip explains why real strength of metals is 103 to 104 times lower than theoretically
predicted strength (4600 MPa vs. 100 MPa)
● Slip gives ductility to materials, making them amenable to be shaped by metalworking
processes, such as forging, into useful shapes.
● Without dislocations, materials are brittle (i.e. when fracture occurs without prior
plastic deformation or when the plastic deformation is very small)
● Covalent and ionically bonded materials do not slip easily because the bonding is very
specific and atom positions are not allowed to change arbitrarily. Hence these materials
are often brittle
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ME 221 Structural Materials 143

Slip
● Slip is a characteristic of crystalline materials
● Amorphous materials do not have periodicity of atomic arrangement, hence no
dislocations and no slip
● Slip explains why real strength of metals is 103 to 104 times lower than theoretically
predicted strength (4600 MPa vs. 100 MPa)
● Slip gives ductility to materials, making them amenable to be shaped by metalworking
processes, such as forging, into useful shapes.
● Without dislocations, materials are brittle (i.e. when fracture occurs without prior
plastic deformation or when the plastic deformation is very small)
● Covalent and ionically bonded materials do not slip easily because the bonding is very
specific and atom positions are not allowed to change arbitrarily. Hence these materials
are often brittle
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ME 221 Structural Materials 143

Peierls-Nabarro Stress to move the dislocations

The Peierls-Nabarro stress is required to move the dislocation from one equilibrium location to another,
𝒌𝒅
𝝉 = 𝒄. 𝐞𝐱𝐩 −
𝒃
where 𝝉 is the shear stress required to move the dislocation, d is the interplanar spacing between adjacent
slip planes, b is the magnitude of the Burgers vector, and both c and k are constants for the material

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ME 221 Structural Materials 144

Slip Systems
● Dislocations do NOT move with the same degree of ease on all crystallographic planes of atoms and in all
crystallographic directions.
● There are preferred planes (slip planes) – along which there are preferred directions (slip directions)
Slip System = Slip Plane + Slip Direction
● The slip system depends on the crystal structure and occurs to that the atomic distortion during the
motion of a dislocation is a minimum. Bergers Vector
● Typically, planes and directions with densest atomic packing

FCC

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ME 221 Structural Materials 145

Slip Systems

4 3

Slip systems in 2nd/3rd rows,

6 2 which are difficult at room
temperature, become active at
higher temperatures, because
of increased dislocation mobility

Basal 2 are independent

Prism 2 are independent

Pyramid 4 are independent

{112ത 2} ത
<1123> c + a slip 6 5 are independent
HCP: Only 2 of 3 basal, 2 of 3 prism, and 4 of 6 pyramid slip systems are independent (since displacements in 𝒂𝟑 axial
direction can be obtained by vector addition of displacements in 𝒂𝟏 and 𝒂𝟐 axis directions.
Besides, pyramid slip can be obtained by vector addition of basal and prism slip
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ME 221 Structural Materials 146

Slip Systems

HCP

Crystal structure with large number of slip systems (FCC, BCC) are typically ductile, but with
a fewer active slip systems (hcp) are brittle.
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ME 221 Structural Materials 147

Recap
● Dislocation slip provides ductility to crystalline materials
● Dislocations do NOT move with the same ease on all crystallographic planes of atoms
and in all crystallographic directions. They prefer densest planes and directions
● Slip System = Slip Plane + Slip Direction

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ME 221 Structural Materials 146

Slip Systems

4 3

Slip systems in 2nd/3rd rows,

6 2 which are difficult at room
temperature, become active at
higher temperatures, because
of increased dislocation mobility

Basal 2 are independent

Prism 2 are independent

Pyramid 4 are independent

{112ത 2} ത
<1123> c + a slip 6 5 are independent
HCP: Only 2 of 3 basal, 2 of 3 prism, and 4 of 6 pyramid slip systems are independent (since displacements in 𝒂𝟑 axial
direction can be obtained by vector addition of displacements in 𝒂𝟏 and 𝒂𝟐 axis directions.
Besides, pyramid slip can be obtained by vector addition of basal and prism slip
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ME 221 Structural Materials 147

Slip Systems

BCC

FCC

HCP

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ME 221 Structural Materials 148

Slip in Single Crystal under applied stress
F Normal to F 𝝅
slip plane Φ Note: 𝝀 + 𝝓 ≠
𝟐
F

A0 A0
𝝀

F A
Slip direction in the
A0 slip plane
F

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ME 221 Structural Materials 149

Schmid’s Law for Slip in Single Crystal
When 𝝉𝒓 > 𝝉𝒄𝒓𝒔𝒔 Schmid’s Law Schmid factor = cos.cos
𝜏𝑐𝑟𝑠𝑠 is a critical value of the resolved shear stress that depends on slip plane, crystal structure,
obstacles for the slip plane, etc.
● If 𝜏𝑐𝑟𝑠𝑠 is high for a crystal structure, its strength is high
● If number of slip systems is high, ductility is high
● If slip planes are intersecting, ductility is high (because of cross slip)

no close packed planes

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ME 221 Structural Materials 150

 Slip on Zn single crystal
(single dominant slip
plane: basal plane)
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ME 221 Structural Materials 151

Plastic Deformation of Polycrystalline Material
● Deformation and slip in polycrystalline materials is somewhat
more complex.
● Because of the random crystallographic orientations of the
numerous grains, the direction of slip varies from one grain to
another. For each, dislocation motion occurs along the slip system
that has the most favorable orientation, as defined earlier.
● Yield strength: the stress needed to cause dislocation slip. This is
defined with respect to the entire test specimen, averaged over
thousands of crystals and their slip planes.
● Polycrystalline metals are stronger than their single-crystal
equivalents.
● Even though a single grain may be favorably oriented with the
applied stress for slip, it cannot deform until the adjacent and less
favorably oriented grains are capable of slip also; this requires a
higher applied stress level Slip lines on the polycrystalline Cu
that was polished and then deformed
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ME 221 Structural Materials 153

Strength Requirements
What are the mechanical property requirements for following components?

Electrical Wires

Cold-drink Cans

Gears
Structural (I) beams
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ME 221 Structural Materials 155

Yield Strength
For strengthening, we will refer to the 0.2% yield strength - which represents the stress required to cause
0.002 permanent (‘plastic’) strain (= 0.2% ),

Uniaxial Tension Test

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ME 221 Structural Materials 156

 Autumn 2024 (S1)

ME 221 Structural Materials

Chapter 3

Strengthening Mechanisms (Metals)

Prof. Soham Mujumdar

S23, Mechanical Engineering
Email: [email protected]

NOTE:NOTE:
SomeYou
ofdothe course material to
is share
adopted from ‘Material Science th
NOT have permission this file or any of its contents withand Engineering:
anyone else, and/orAn Introduction’
upload it on internet[10
or anyEd.] byplatforms
of the Callisterwhere
and itRethwisch, ‘The
can be accessed by Science
others. and
th
Engineering of Materials’ [6 Ed.] by Askeland, Fulay and Wright, and lecture notes of Prof. A. A. Gokhale (IIT Bombay). You do NOT have permission to share this
file or any of its contents with anyone else, and/or upload it on the internet or any of the platforms where it can be accessed by others.
How would you make the material STRONGER?

Electrical Wires

Cold-drink Cans

Gears
Structural (I) beams
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ME 221 Structural Materials 158

How would you make the material STRONGER?
Structural (I) beams

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ME 221 Structural Materials 159

 Autumn 2024 (S1)

ME 221 Structural Materials

Chapter 3

Strengthening Mechanisms (Metals)

Prof. Soham Mujumdar

S23, Mechanical Engineering
Email: [email protected]

NOTE:NOTE:
SomeYou
ofdothe course material to
is share
adopted from ‘Material Science th
NOT have permission this file or any of its contents withand Engineering:
anyone else, and/or An Introduction’
upload it on internet[10
or anyEd.] byplatforms
of the Callisterwhere
and itRethwisch, ‘The
can be accessed by Science
others. and
th
Engineering of Materials’ [6 Ed.] by Askeland, Fulay and Wright, and lecture notes of Prof. A. A. Gokhale (IIT Bombay). You do NOT have permission to share this
file or any of its contents with anyone else, and/or upload it on the internet or any of the platforms where it can be accessed by others.
How would you make the material STRONGER?

Electrical Wires

Cold-drink Cans

Gears
Structural (I) beams
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ME 221 Structural Materials 158

How would you make the material STRONGER?
Structural (I) beams

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ME 221 Structural Materials 159

Strengthening by Grain Size Reduction
The grain boundary acts as a barrier to dislocation motion for two reasons:
● Because the two grains are of different orientations, a dislocation passing into grain B from grain A must change its
direction of motion; this becomes more difficult as the crystallographic misorientation increases.
● The atomic disorder within a grain boundary region results in a discontinuity of slip planes from one grain into the
other.
A fine-grained material (one that has small grains) is harder and stronger than one that is coarse grained because the
former has a greater total grain boundary area to impede dislocation motion

“Hall-Petch Equation”

𝜎𝑦 is the yield stress, d is the

avg. grain diameter

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ME 221 Structural Materials 160

Strengthening by Grain Size Reduction
● During plastic deformation of polycrystals, slip or dislocation motion must cross the grain boundary – hindrance
● It results in the pile up of dislocations at the grain boundary, creating repulsive forces between dislocations – raises
stress required for further slip
● At sufficiently high stress, repulsive force acting on the dislocation nearest to grain boundary rises enough for (a)
cross over to other grain or (b) for creating dislocations in the neighbouring grain which continue slip
● This has a strengthening effect

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ME 221 Structural Materials 161

Strengthening by Grain Size Reduction

Hall-Petch relation

Steel Brass

• y = yield strength
• d = average grain diameter
• k = material constant (slope of y vs. d–1/2 plot)
• o = friction stress (lattice resistance), intercept on the stress axis.
• This is an empirical relation, works well from 1 µm and 1 mm
• Lower limit on grain size (for above relation to be valid) is decided by length of dislocations (submicroscopic grain size)
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ME 221 Structural Materials 162

Other Boundaries
● Low-angle grain boundaries: are not effective barriers to slip
● Twin boundaries: resist slip and strengthen alloys
● Inter-phase boundaries also strengthen alloys. Unlike grain boundaries, phase
boundaries have grains of different compositions on the two sides.

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ME 221 Structural Materials 163

Solid Solution Strengthening
● In solid solutions, solute atoms create strain fields due to size difference between atoms of parent
(solvent) and alloying element (solute)
● Larger substitutionals and all interstitials create compressive strain in the lattice, while small
substitutionals create tensile strain
● Dislocations may be repelled by or attracted by solute atoms depending on whether the solute atoms are
in the compressive or tensile strain side of the dislocations. In either case, greater stress is required to
continue slip.

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ME 221 Structural Materials 164

Solid Solution Strengthening: Cu-Ni Example

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ME 221 Structural Materials 165

Lattice strain increases critical resolved shear stress
● Interaction between lattice strain and dislocation strain impedes dislocation slip, requiring greater shear
stress
 = G.b.c. 3/2
c = solute concentration, G = shear modulus,  = lattice strain, b = Burger’s vector
● High-purity metals are almost always softer and weaker than alloys* composed of the same base metal
● Increasing the concentration of the impurity results in an increase in tensile and yield strengths, and
(mostly) reduction in ductility.

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ME 221 Structural Materials 166

Degree of Solid Solution Hardening
● Strength increases with amount of solute in solution
● Greater the atomic size difference, more is the lattice strain, thus offering greater resistance to
dislocation slip
● This mechanism operates up to the solubility limit with respect to the particular element (beyond which
the solute precipitates)
● Solid solution strengthening is effective at room temperature as well as at high temperatures

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ME 221 Structural Materials 167

Work (Strain) Hardening
● Existing dislocations lying on the slip plane are obstacles to dislocation motion (slip) on that plane

Both increase the stress required

for plastic deformation

The mechanism of increasing the strength of a material by deformation is known as work or strain hardening

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ME 221 Structural Materials 168

Dislocation Interaction during Deformation
● If a ⊥ undergoing slip tries to cross another one, it gets pinned
● With increasing shear stress, ⊥s loop, bow and pinch off into two ⊥s (‘⊥ multiplication’)
● ⊥ multiplication leads to dislocation forests (increased ⊥ density), creating more obstacles for further ⊥ slip.
● This mechanism results in strengthening = Sessile dislocations

Dislocation Dislocation entanglement

multiplication

⊥ pinning, bowing, loop formation, pinching..

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ME 221 Structural Materials 169