.

Thin Solid Films 392 2001 6574

Finite element modeling of the stresses, fracture and
delamination during the indentation of hard elastic lms on
elasticplastic soft substrates

R.M. Souza
a,U
, G.G.W. Mustoe
b
, J.J. Moore
c
a
Surface Phenomena Laboratory, Department of Mechanical Engineering, Polytechnic School, Uniersity of Sao Paulo, A. Prof. Mello
Moraes 2231, Sao Paulo, SP 05508-900, Brazil
b
Diision of Engineering, Colorado School of Mines, Golden, CO 80401, USA
c
( ) Adanced Coatings and Surface Engineering Laboratory ACSEL , Colorado School of Mines, Golden, CO 80401, USA
Received 3 May 2000; received in revised form 22 March 2001; accepted 22 March 2001
Abstract
In this work, the mechanical behavior of hard lms on soft substrates was studied based on the nite element analysis of an
indentation with normal forces. As an attempt to reproduce situations found in practice, defects were considered during the
preparation of the nite element mesh, both in the lm and at the interface. A sequence of steps was considered during the
. . loading sequence applied in the models. Initially, the deposition intrinsic and thermal extrinsic stresses were introduced to
account for all residual stresses present in thin lms deposited by processes such as sputtering. Later, a normal load of 50 N was
applied on the pre-stressed system. The effects of a crack that propagated along the lmrsubstrate interface was studied directly,
by calculating the normal and shear stresses that develop at the lm surface and the lmrsubstrate interface, and indirectly, by
looking at the behavior of cracks located at the lm surface and propagating perpendicular to the interface. The results indicated
that the suppression of the constraint imposed by the interface resulted in a decrease in the stresses in the lm. However, the
crack at the interface apparently did not interact with the stresses responsible for the array of circular cracks usually observed at
the contact edge of the indentation of coated systems with soft substrates. 2001 Elsevier Science B.V. All rights reserved.
Keywords: Adhesion; Stress; Triboblogy
1. Introduction
The deposition of coatings is a widespread tech-
nology for improving the behavior of parts subjected to
wear. These methods are particularly important in the
case of soft substrates, such as aluminum, which are
w x
known for their poor tribological properties 1 .
In recent years, several processes were developed to
deposit thin lms on a substrate, each one associated
with a series of process parameters that can signi-
w x
cantly affect the characteristics of the lm 2 . There-
U
Corresponding author.

This paper was presented at ICMCTF 2000, San Diego, Califor-

nia.
fore, the number of possibilities to be tested for a given
application is not restricted to the choice of the coating
and its dimensions, but involves the selection of other
factors, such as the process and its parameters. Since
this number of possibilities is elevated, methods were
developed to give insights into the wear behavior of
coated systems without the need for long-term tests.
Some of these methods refer to the use of analytical
w x w x
3,4 or nite element analyses 58 to evaluate the
contact stresses originated when the system is sub-
jected to the normal andror tangential loads character-
istic of many situations involving wear.
w x
In previous works 911 , the authors presented a
sequence of nite element analyses studying the con-
tact stresses developed during the normal indentation
of systems with an elasticplastic aluminum substrate
0040-6090r01r$ - see front matter 2001 Elsevier Science B.V. All rights reserved.
. PII: S 0 0 4 0 - 6 0 9 0 0 1 0 0 9 5 9 - 2
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 66
coated with an elastic wear-resistant lm. In those
works, the authors improved the correlation between
the simulations and the situations found in practice by
.
considering that: i the lm was pre-stressed with
thermal residual stresses developed during the lm
w x .
processing 9 ; and ii the lm contained supercial
circular cracks that propagated perpendicular to the
interface under radial stresses developed during the
w x
indentation 10 .
Another common assumption found in the literature
is the consideration that the interface between the lm
and the substrate is perfect. Once again, perfect inter-
faces may not be observed during the indentation of
coated systems. In fact, indentation techniques are
used to evaluate the adhesion of thin lms to sub-
w x
strates 1215 .
The main difculty related to the analysis of cracks
that propagate along bimaterial interfaces comes from
the naturally complicated nature of this type of prob-
lem. The near-tip stress elds are given by a complex
w x
function 1618 , where tension and shear effects are
usually inseparable. Another complication arises from
.
the fact that the fracture energy of an interface
i
depends on the way the load is applied to the system,
usually presenting different values, depending on the
relative amount of tensile and shear contributions
w x
18,19 .
It would be ideal to provide the nite element mod-
els with a criterion that, for a given system, would allow
the calculation of the amount of propagation of an
interfacial crack under a given indentation load. How-
ever, to the knowledge of the authors, the difculties
mentioned above prevent such a procedure from being
applied using two fracture criteria for crack propaga-
w x
tion available in the ABAQUS software 20 . On the
other hand, a third criterion in ABAQUS allows the user
to specify a crack length as a function of time behavior,
which can be adopted to force the propagation of an
interfacial crack during the nite element analysis.
In this work, a normal load of 50 N was applied to
the system and the amount of propagation of 15 cracks
located entirely in the lm was calculated using the
w x
procedure adopted previously 10 . In addition, two
interfacial crack as a function of time behaviors were
imposed to a crack located at the lmrsubstrate inter-
face to study how the stresses in the system vary when
debonding occurs, and how the propagation of the
.
supercial lm cracks was affected by this debonding.
2. Model description
The ABAQUS software was used to run the nite
.
element method FEM models, using the mesh pre-
sented in Fig. 1a. Schematics of the most rened por-
tions of the mesh are presented in Fig. 1b,c.
The indenter shown in Fig. 1a was assumed to be
rigid and to apply only normal loads to the system. A
.
diameter of 1.59 mm 1r16 inch was selected, which is
the diameter of a Rockwell F indenter.
A total of 8867 four-noded elements was selected to
model the substrate. Since only normal loads were
applied, there was symmetry with respect to the inden-
tation axis, and axisymmetric elements could be used.
In all models, the substrate was composed of a 6061
aluminum alloy, with elasticplastic behavior. The elas-

tic and thermal properties of the aluminum elastic

modulus Es68.9 GPa, Poisson ratio s0.33 and co-
y6 y1
.
efcient of thermal expansion s23.6=10 K
w x
were taken from the literature 21 , and the plastic
behavior, including strain hardening, was selected based
on tensile tests conducted on 6061 aluminum samples
w x
11 .
The lm layer of wear-resistant material was as-
sumed to be elastic in all cases, having s9.8=10
y6
y1
w x
K 22 , Es280 GPa and s0.3. The additional
number of elements specied for the lm was 3150, the
thickness was xed at t s2.1 m and two fracture
toughness values were studied, K s1.5 and s2.5
Ic
MPa 6m.
As an attempt to better reproduce the situations
found in practice, defects were considered in the
preparation of the nite element mesh, both in the lm
and at the interface. For the lm cracks, results ob-
w x
tained previously 9 indicated that the location of the
maximum radial stresses at the lm surface varied
according to the lm thickness. Thicker lms tended to
have a peak of tensile stresses close to the contact edge
.
region A in Fig. 1b , while higher radial stresses were

found inside the contact region for thinner lms re-

.
gion B in Fig. 1b .
Since the intent was to evaluate the effect of super-
cial cracks, all the analyses conducted in this work
considered the presence of 15 cracks distributed along
w x .
the lm surface 10 Fig. 1b . It must be noted that,
due to the axisymmetric geometry, the initial cracks are
in fact circular cracks that propagate mainly under
.
radial stresses. A more precise conguration would
r
.
also consider cracks propagating under hoop

stresses, but such consideration is impossible in a two-

dimensional axisymmetric geometry. Fortunately, it was
w x
already observed 23,24 that, in systems with wear-
resistant lms on soft substrates, indentation results in
an array of parallel cracks centered at the indentation
axis, which suggests that circular cracks are the domi-
nant mechanism of lm fracture in the situations stud-
ied in this work.
It is also important to mention that the axisymmetric
geometry requires a crack to simultaneously propagate
over its entire perimeter. Therefore, it was not possible
to reproduce facts that may be observed in practice,
such as a crack propagating only over a circumferential
w x
section 23 , or a crack that locally propagates through
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 67
. . Fig. 1. Mesh used in the nite element analyses to calculate contact stresses during the indentation of coated systems: a overview; b schematic
. of the distribution of surface cracks; and c schematic of the initial location of the interfacial crack.
the lm and later propagates over the perimeter of a
w x
circle 18 .
In terms of defect size, the actual initial value de-
pends on the quality of the lm, but for the uniformity
of the analyses, an initial crack size c s0.2 m was
0
considered reasonable and adopted in all cases.
For the interfacial cracks, the debonding pattern
w x
observed during indentation of coated systems 12
suggests that the propagation of this type of crack
starts inside the contact region, at a point located at a
certain radial distance from the indentation axis. Addi-
tionally, a circular pattern was also observed during the
w x
propagation of such crack 12 . Thus, part of the analy-
ses conducted in this work also considered the pres-
ence of a crack at the lmrsubstrate interface, which
was initially located at an arbitrary position distant
from the model axis. In all cases, this position was
.
under supercial crack number 12 Fig. 1c . Once again,
due to the axysimmetric geometry, this was also a
circular crack.
Three steps were used to load the system. Initially, a
uniform biaxial stress was imposed on the lm ele-
ments to account for the intrinsic stresses that result
from lm processing. A compressive value of 1 GPa
was selected, although it is recognized that larger val-
.
ues were reported for physical vapor deposition PVD
w x
processes 25 . In the second loading step, it was as-
sumed that the temperature reached during deposition
was 498 K, a temperature that is in the range usually
observed during sputtering processes. Thermal residual
stresses were then calculated when the system was
. w x
cooled to room temperature 298 K 9 . In the third
step, a normal load of 50 N was gradually applied on a
.
reference node on the indenter Fig. 1a , following the
sequence presented in Fig. 2. The stresses during in-
dentation were calculated, both at maximum load and
after the system was unloaded.
During the indentation part of all analyses, the su-
.
percial cracks Fig. 1b were allowed to propagate in
pure mode I along a predetermined path perpendicular
to the interface. Based on the assumption of elastic
lms, the most suitable ABAQUS criterion for crack
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 68
Fig. 2. Evolution of load and interfacial crack size through the nite
element analyses used to calculate contact stresses during the inden-
tation of coated systems.
w x
propagation was the maximum stress 20 , according to
which, the lm cracks were allowed to propagate when
a critical stress value was reached at a certain position
ahead of the crack tip. Further information regarding
the model and the criterion for propagation of the
w x
supercial cracks can be obtained elsewhere 10,11 .
As mentioned before, crack propagation as a func-
tion of time behaviors were imposed to induce propa-
gation of the interfacial crack. Three different situa-
tions were studied. In the rst, no crack was present at
.
the interface and, in other two, the crack length L as
a function of time behaviors were those presented in
Fig. 2. These types of behavior were selected based on
w x
the work by Jindal et al. 12 , who measured the amount
of debonding as a function of the load applied by a
spherical indenter.
Once crack propagation occurred, a frictionless con-
dition was specied for the contact of cracked surfaces,
both for cracks located entirely in the lm and for the
crack at the lmrsubstrate interface. This frictionless
condition was also adopted for the contact between the
indenter and the lm, since the friction coefcient is
usually small during the contact between a TiN lm
w x
and a part made of steel 1 .
It is important to mention that, as in the previous
w x
studies 311 , the microstructural features of the
wear-resistant lm were considered to affect the lm
mechanical properties, and thus indirectly affected the
results. In addition to computational limitations, the
direct effect of these microstructural features was ne-
glected, based on the dimensional characteristics of the
model. As will be presented in the results, the indenter
radius and the applied load resulted in stresses dis-
tributed in areas that are approximately 30-fold larger
than the lm thickness. Therefore, independent of the
lm microstructure, the regions under high radial
.
stresses including the peaks would necessarily occur
in regions with lm defects, and the propagation of a
lm crack, or the sliding or splitting of the columns of
w x
lms with a columnar structure 24 , would probably
occur at the same position, independent of the lm
w x
structure 23 . In other words, with the dimensions
studied, the array of circular cracks would be similar
for lms with similar mechanical properties and initial
crack sizes.
3. Testing the model
Two different procedures were applied to test the
meshes developed for the FEM. Initially, models with
an aluminum substrate and no lm were developed to
test the substrate mesh. The size of the smallest ele-
.
ments in region C Fig. 1b was gradually reduced
.
until minimal variation -1% in the results was ob-
tained. The selected mesh was then used in the calcula-
.
tion of stresses during the indentation 5 N of an
elastic aluminum substrate, and the results were com-
.
pared with analytical Hertzian values. A further test
of the substrate mesh was obtained by comparing the
calculated depth prole formed during the indentation
.
600 N of an elasticplastic aluminum substrate with
.
that of a Rockwell F 600 N test conducted on a 6061
aluminum alloy. Good agreement was found when
comparing FEM data with analytical and experimental
w x
results 11 .
A similar procedure was conducted to establish the
size and number of lm elements that are on both sides
of the supercial crack paths. The radial size of the
elements in regions A and B was gradually decreased
and the number of elements through lm thickness was
gradually increased until minimal variation was
observed in terms of the calculated stresses, and also in
the amount that each of the 15 cracks propagated
w x
during the entire analysis 10,11 .
4. Results
The results were obtained based on the effect of the
propagation of the interfacial cracks on the amount of
.
propagation of the supercial lm cracks and on the
contact stresses developed during the indentation.
Fig. 3 presents the amount of propagation of the 15
supercial cracks for all the six analyses conducted in
this work. The results indicate a signicant difference,
depending on the values of the lm fracture toughness
.
K . The amounts of crack propagation were similar
Ic
.
when K was set at 2.5 MPa 6m Fig. 3df . In most
Ic
cases, only cracks 1015 were activated and only mini-
mal crack propagation was observed after unloading.
When the lm fracture toughness was reduced to 1.5
.
MPa 6m Fig. 3ac , more supercial cracks were acti-
vated and signicant differences were observed, de-
pending on the presence or absence of interfacial crack
propagation. The propagation of cracks 711 proceeded
during the unloading portion of the analysis without
.
the interfacial crack Fig. 3a and remained arrested in
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 69
. Fig. 3. Length of circular supercial lm cracks calculated during the 50-N normal indentation of systems for a lm with Es280 GPa and
. . t s2.1 m deposited on an elasticplastic aluminum substrate: a no interfacial crack and K s1.5 MPa 6m; b short interfacial crack and
Ic
. . . K s1.5 MPa 6m; c long interfacial crack and K s1.5 MPa 6m; d no interfacial crack and K s2.5 MPa 6m; e short interfacial crack and
Ic Ic Ic
. K s2.5 MPa 6m; and f long interfacial crack and K s2.5 MPa 6m
Ic Ic
the situations considering crack propagation along the
.
interface Fig. 3b,c .
In terms of the contact stresses developed during the
indentation, Fig. 4 presents the distribution of radial
. .
Fig. 4a and axial Fig. 4b stresses obtained after
unloading, for one of the analysis considering the pres-
ence of the interfacial crack. In Fig. 4, the fracture
toughness of the lm was 2.5 MPa 6m and the interfa-
cial crack length as a function of time behavior was
.
that given by curve 1 in Fig. 2 short interfacial crack .
The contour plot shown in Fig. 4b is reproduced in
Fig. 5b. Fig. 5 presents a comparison of the distribution
of the radial stresses obtained after unloading, for the
three cases where the fracture toughness of the lm
was 2.5 MPa 6m. Fig. 5a presents the case without the
interfacial crack and Fig. 5b,c the cases where the
interfacial crack propagated according to the short and
.
long behaviors Fig. 2 , respectively.
More localized information regarding the variation
of the contact stresses is presented in Figs. 6 and 7. Fig.
.
6a shows a comparison at maximum load of the radial
. .
stresses along the lm surface zs0 , with and
r
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 70
Fig. 4. Contour plots of stresses calculated during the 50-N normal indentation of systems for a lm with Es280 GPa, t s2.1 m and K s2.5
Ic
MPa 6m lm deposited on an elasticplastic aluminum substrate. Short interfacial crack and values obtained after the load was entirely released:
. . a radial stresses, and b axial stresses, .
r z
without crack propagation along the interface. The
same results are presented in Fig. 6b for the variation
.
of the hoop stresses along the lm surface; in Fig.

.
6c for the variation of the radial stresses along the
r
lm side of the interface; in Fig. 6d for the variation of
.
the axial stresses along the lm side of the inter-
z
.
face and on Fig. 6e for the shear stresses along the
rz
lm side of the interface. The same plots of Fig. 6 are
shown on Fig. 7, but with stresses calculated after the
load was entirely released. On Figs. 6 and 7, the frac-
ture toughness of the lm was 2.5 MPa 6m and all the
.
results were normalized by the contact area a and
os
.
the maximum contact pressure p obtained when a
os
rigid spherical indenter applies a normal load of 50 N
w x
on an elastic aluminum substrate 911 .
5. Discussion
Different phenomena are experimentally observed
during the spherical indentation of coated systems with
soft substrates. Usually, an array of circular cracks is

observed close to the indentation contact edge region

. w x
A in Fig. 1b 11,23,24 . In many cases, these cracks
nucleate at defects located close to the lm surface,
where the stresses are tensile due to the presence of
. w x
lm bending Fig. 6 811 . Weppelmann and Swain
w x
26 studied the mode I and II stress intensity factors
associated with the circular cracks developed during
spherical indentation, specically for situations where
.
the crack sizerthickness crt ratio was small less
.
than 1r3 . Their conclusion was that mode I contribu-
tions are predominant in the early stages of supercial
crack propagation, especially in the cases where the
.
ratio Rrt of indenter radiusrlm thickness was large
.
f2 .

In this work, the ratio Rrt was much larger Rrt s

.
379 than those studied by Weppelmann and Swain
w x
26 , and it is possible to assume that the predominance
of mode I stress intensity factors would extend to larger
.
crack sizerthickness crt ratios. Therefore, even with
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 71
Fig. 5. Contour plots of radial stresses calculated during the 50-N normal indentation of systems for a lm with Es280 GPa, t s2.1 m and
. K s2.5 MPa 6m deposited on an elasticplastic aluminum substrate. Values obtained after the load was entirely released: a no interfacial
Ic
. . crack; b short interfacial crack; and c long interfacial crack.
a pure mode I fracture criterion for the lm cracks, it is
possible to conclude that the model is efcient in
predicting the cracks which would propagate in the
analysis, and errors with respect to the situations found
.
in practice effect of mode II would only occur after
the lm crack had already propagated a signicant
amount towards the interface.
Based on these points, it is possible to assume that
the model has correctly calculated the similarity in the
number of lm cracks that propagated with or without
.
the propagation of an interfacial crack Fig. 3 . An
explanation to this phenomenon can be given based on
the fact that bending stresses are the most important
contribution to the peak in radial stresses observed at
the lm surface close to the contact edge. Since bend-
ing is associated with the deformation of the system, it
is mainly affected by the characteristics of the sub-
strate, and minimal differences in bending, and conse-
quently in the number of cracks that propagated, should
be observed for lms with the same fracture toughness
in situations with and without an interfacial crack.
The morphology of the cracks may be different in

areas close to the indentation axis region B in Fig.

.
1b . Cracks may occur not only in circles, but also in
w x
the radial direction 11 , which indicates that the pre-
. .
dominant stresses are radial and hoop stresses
r
. w x
Fig. 6a,b . Begley et al. 8 explained that high and
r
close to the model axis are observed when the

.
friction coefcient between the indenter and the
lm is low. In cases where is low, there is little
restriction preventing the lm from slipping under the
indenter, which results in biaxial tensile stretching
stresses that overcome the bending contribution.
.
The effects of the unloading process Fig. 7 have
w x
already been presented by Montmitonet et al. 7 and
w x
previously discussed by the authors 10,11 . In those
cases, it was veried that unloading results in an in-
.
crease of and close to the model axis Fig. 7 ,
r

which was assumed to be a result of the plastic perma-

.
nent deformation of the substrate. Substrate plastic
deformation would prevent the elastic lm from return-
ing to its original position and would locally increase
the stresses.
In this work, the results obtained in cases with crack
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 72
Fig. 6. Stresses calculated during the 50-N normal indentation of systems for a lm with Es280 GPa, t s2.1 m and K s2.5 MPa 6m lm
Ic
. . deposited on an elasticplastic aluminum substrate. Values calculated at maximum load: a radial stresses at the lm surface; b hoop stresses at
. . . the lm surface; c radial stresses at the lm side of the interface; d shear stresses at the lm side of the interface; and e axial stresses at the
lm side of the interface.
propagation along the interface provided further evi-
dence of the stress contribution from the plastic defor-
mation of the substrate. Fig. 3 shows that the crack
.
propagation during unloading Fig. 3a was suppressed
when there was crack propagation along the interface
.
Fig. 3b,c . Therefore, this fact conrms that the in-
crease in stresses during unloading was associated with
some reaction imposed by the substrate, which was
eliminated when the lmrsubstrate interface was no
longer perfect.
In terms of the effect of the interfacial crack on the
contact stresses, it was again observed that the propa-
gation of cracks resulted in an overall and localized
w x
decrease in the stresses in the lm 10 . In Figs. 4 and
5, this stress reduction is evident in areas immediately
above the interfacial crack. The only exception is with
respect to the areas immediately ahead of the crack
.
tips interfacial and supercial , where the stress inten-
sity factor associated with the crack resulted in an
.
increase in the stresses in these areas Fig. 4 .
The observation of a localized and overall decrease
in the stresses due to the propagation of a crack along
the interface is also evident when the stresses were
calculated along the surface or along the lm side of
.
the interface Figs. 6 and 7 . In this case, it is possible
to observe that the stress reduction is not restricted to
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 73
Fig. 7. Stresses calculated during the 50-N normal indentation of systems for a lm with Es280 GPa, t s2.1 m and K s2.5 MPa 6m
Ic
. deposited on an elasticplastic aluminum substrate. Values calculated after the load was entirely released: a radial stresses at the lm surface;
. . . . b hoop stresses at the lm surface; c radial stresses at the lm side of the interface; d shear stresses at the lm side of the interface; and e
axial stresses at the lm side of the interface.
areas above the interfacial crack, but also occurs close
.
to the model axis r s0 . Examples of this behavior can
. .
be found in the case of the radial and hoop
r
stresses shown in Fig. 6a,b and Fig. 7a,b. Considering
the morphology of cracks observed close to r s0, the
results presented indicate that situations with interfa-
cial crack would probably result in a reduction in the
amount of circular and radial cracks observed in areas
w x
close to the indentation axis 11 .
6. Conclusions
In this work, the nite element method was applied
to study the effect of a crack propagating along the
lmrsubstrate interface on the contact stresses devel-
oped during the indentation of coated systems with an
elasticplastic soft substrate. The effect of the interfa-
cial crack was observed not only directly on the calcu-
lated contact stresses, but also indirectly. The indirect
analysis was conducted by looking at the behavior of
cracks located entirely in the lm and propagating in a
direction perpendicular to the interface. The results
indicated that, for the conditions studied, the interfa-
.
cial cracks: i did not interact with the bending stresses
responsible for the circular cracks observed close to the
contact edge of indentations of coated systems with
( ) R.M. Souza et al. rThin Solid Films 392 2001 6574 74
.
soft substrates; ii reduced the constraints imposed by
the substrate on the lm, which may be responsible for
the propagation of lm cracks during the unloading
.
portion of the indentation; and iii resulted in an
overall and localized reduction in the lm stresses in
most portions of the model, which is important in areas
close to the indentation axis, where a reduction in the
amount of circular and radial cracks would be ex-
pected.
Acknowledgements
The authors would like to thank Mr Argemiro L.A.
Costa, Mr Ricardo M. Dias, Mr Eduardo G. Pinheiro
and Pirelli Pneus S.A. in Brazil for their help in using
the ABAQUS software.
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