CLASS NOTES

Study Topic 1
Introduction to materials and family of materials
Chapter 1 (Callister Pg 2-15 1, Pg 1-16 2)
Study theme outcomes: After studying this chapter, the student should be
able to:
- Appreciate the development and increase in diversity of materials
- Know and define materials properties and to understand and
apply the use thereof in specifying materials
- Know the six families of materials and their distinguishing
properties
- Understand the classification system for a material
- Classify a given material with known properties
- Know the three families of processing of a material
- Understand the classification system for a process
- Understand the process-property interaction and quote
examples
- Specify a material and/or process for the manufacturing of a
given component/s
- Solve problems in which knowledge gained in this chapter
must be applied

1.1 Materials, process and choice

Materials: why do we need it ???
Process: Way in which materials are manufactured
Process selection is influenced by the the material you
choose.

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Ninth edition
Eight edition

1-1

1.2 Materials properties

Mechanical properties
Thermal properties
Electrical, magnetic and magnetic properties
Chemical properties

1.2.1 Mechanical Properties

Some of the important mechanical property terms:
1) Elastic Modulus : Indicates the stiffness of material.
For example steel has a elastic modulus of 205 GPa and
Polyethylene has elastic modulus of 0.4 1.3 MPa
2) Yield strength:
Stress level related to the onset of irreversible
plastic deformation. Example steel alloys 315 MPa while aluminium
alloys have a yield strength of 276 MPa
3) Tensile strength: The highest value of engineering stress that a
material can sustain before it start to neck.
Examples: Steel alloys have an UTS of 420 MPa and aluminium alloys
have an UTS of 310MPa
4)
Fracture toughness:
Measure of resistance to cracks and fracture.

1.2.2 Thermal properties

Properties of material change with temperature. With increasing
temperature it can creep, it may oxidize or degrade and there is loss of
strength.
1) There is a limiting temperature called the maximum service
temperature Tmax for use of material.
2) Thermal expansion coefficient __. Materials expand when heated
but by differing amounts, which depend on this factor.
3) Thermal conductivity _____ and heat capacity _____are the two
factors responsible for the feel of the material. Thermal conductivity
measures the rate at which heat flows through the material and heat
capacity is the measure of the amount of heat that it takes to make
temperature of material rise by a given amount.

1-2

Uses of materials with high and low thermal conductivity and heat
capacity:--------------------------------------------.
4) Thermal diffusivity : Its a measure of rate of heat transfer in non-steady
state conditions. a =/*Cp

1.2.3.Electrical, magnetic and chemical properties

Design- limiting properties
The performance of a component is limited by certain properties of the
materials of which it is made. Materials are chosen by identifying design
limiting properties and the limits imposed on the materials by the design
and operation.

1.3 Classifying materials

Materials can be classified into five broad families.

Metals
Polymers
Ceramics/ glasses
Composites
Advanced materials
Members of each family have certain characteristics in common:
Metals : have high stiffness, they are tough with usefully high fracture
toughness. They are made strong by alloying additions,mechanical
treatment and heat treatment. They are reactive and so most of them
corrode if not protected.
Ceramics : they are non-metallic inorganic solids. They are stiff hard
abrasion resistant and retain their strength to high temperatures. Most are
good insulators. They have low K1c value. Glasses : are noncrystalline
solids. Commonest are borosilicate glasses and sodalime. lack of crystal
structure suppresses plasticity. They are hard and remarkably corrosion
resistant . They are excellent insulators and transparent to light. But like
ceramics they are brittle .
Polymers : are organic solids based on long chain of carbon atoms. They
are characterized by low density and moduli E. they are easy to shape.

1-3

few polymers have useful strength above 1500C . .

Composites (Hybrids): combination of two or more materials to get the
best of both. Hybrids components are expensive and difficult to form and
join. examples are glass and fiber reinforced polymers.
Advanced materials are members of the above families but manipulated
for specific applications for eg electronic, bio materials and nano
materials.

1.4 Process and its classification

A process is the method of joining, shaping or finishing a material. The

choice of material limits the choice of process.
Primary process creates shapes. The six primary process are listed :like
casting , molding, deformation , powder methods, methods for forming
composites, special methods.
Secondary process: modifies the shapes and properties. Like machining
which add features to already shaped body, heat treatment which
enhances surface or bulk properties.
After secondary processes comes joining and surface treatment
In a broad manner the process universe can be classified as three
families: shaping, joining and surface treatment.

Process property interaction

Processing change properties.

If you hammer a metal it gets harder; if you heat it it softens.
Plastic bags when drawn to fibers, its strength increases by a factor 5
Soft stretchy rubber is made hard and brittle by vulcanizing
Heat treatment of glass in particular way gives enough impact resistance
to withstand a projectile
Composites without processing are just like soup of resins and sheaf of
fibers
Joining too changes properties. Welding for example involves local
melting and resolidifying so weld zone has different properties than of
material far of from weld
Surface treatments improve properties like electro plating improves
corrosion resistance.

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1-5

Study Topic 2
The Structure of Crystalline Solids
(Callister p 47-51 p 75-93 ,p100-103 1: p 45-72 2)
Study theme outcomes: At the end of this chapter a student will be able to:
- formulate the definitions and the terms listed at the end of the chapter
- sketch BCC, FCC, BCT and HCP unit cells and indicate the location of
the atoms
- define the shape and size of the above unit cells in terms of their axial
lengths and inter-axial angles
- determine the coordination number and the number of atoms per unit cell
of the BCC, FCC, BCT and HCP unit cells
- calculate the lattice constants (a, c) of the BCC, FCC and HCP unit cells
if the size of the atoms or ions involved is given, and vice versa
- calculate the atomic packing factor (APF) of the BCC, FCC and HCP
crystals
- distinguish between close-packed and non-close-packed directions and
planes within unit cells
- sketch various planes within unit cells and show to scale the atomic or
ionic arrangement of the atoms or ions within these planes
- explain the difference in stacking sequence of close-packed planes in
FCC and HCP crystal types
- calculate the density of a material if the atomic mass , atomic radius and
crystal type are given
- solve the problems referred to in on clickUp or in the Class Notes.

2.1 The Space Lattice and Unit Cells.

Crystal Structure. A solid material has a crystal structure if
the atoms or ions are arranged in a regular pattern that
repeats itself in three dimensions (3-D).
Space Lattice.
This is represented by the points of
intersection of a network of lines in 3-D. These points
represent the centre of the atoms or ions in the crystal.

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Ninth edition
Eight Edition

2-1

 Each point in
surroundings.

the

space

lattice

has

identical

Unit Cell. This is the smallest portion (building block) of the

space lattice which is fully representative of the entire space
lattice.

Space Lattice

Unit Cell

The lattice constants (axial lengths a, b, c; inter-axial angles

, , ) fully define the size and the shape of the unit cell.

2.2 Principal Metallic Crystal Structures.

Most metals have simple and dense-packed crystal structures.
This is due to fact that all the atoms have the same size and due
to the electropositive nature of metals.
The more important crystal structures are:
(a) (FCC)
(b) (BCC)
(c) (HCP)
(d) (BCT)

Example:
If the cube size of the unit cell of iron is 0,287 nanometers (nm),
how many unit cells can be fitted into a length of 1 mm?
2-2

The FCC Crystal Structure

Callister Fig. 4.1 3

Refer to the figure: Black dots represent the centres of the metal
atoms. The four spheres (atoms) at the corners of a face, are in
contact with the sphere (atom) in the centre of the face.

Coordination Number (CN):

The number of nearest neighbours to each atom in the crystal
lattice.
For FCC:
CN = 12

Number of atoms per unit cell:

For FCC:

Atoms per unit cell = 6 x + 8 x = 4

The Atomic Packing Factor (APF)

3

9 th ed.

2-3

APF = Volume of atoms per unit cell

Volume of unit cell
The APF is an indication of the packing density of atoms for each
specific crystal type.
The FCC structure has the densest packed atoms, thus:
APF = 4 x 4/3 x x R3 / a3

FCC:

but a = 22/R

APF = 0,74

See example problems: Callister 4.1 & 4.2 4

Examples of FCC metals:

Al, Cu, Pb, Ni, Au

The BCC crystal structure.

Coordination Number (CN):

for BCC:

CN = 8

Number of atoms per unit cell:

for BCC:

9 th ed.

Atoms per unit cell = 1 + 8 x = 2

2-4

 The relationship between cube side (lattice constant)

and atomic radius:
R
a

= atomic radius
= lattice constant (cube side)

Length of the cube diagonal

Example 2.1: Iron is BCC and has an atomic radius of 0,124 nm.
Calculate its lattice constant.

The Atomic Packing Factor (APF)

Example 3.2:
Calculate the APF for BCC.
atoms per unit cell
volume per atom =
volume of unit cell

=
=

APF =

but for BCC a =

Thus APF for BCC = 0,68

Examples of BCC metals: Fe, Cr, Mo, V, W.

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(Refer also to NaCl (ionic) & diamond (covalent) structures

The HCP Crystal Structure

The HCP crystal structure also has a APF of 0,74 but the mode of
packing of the atoms is different from that of FCC. (See 4.3)

Examples of HCP metals: Cd, Zn, Mg, Co

Assignment:
1)

Make a free-hand sketch of the HCP unit cell and indicate

the positions of the atoms.

2)

Determine the Coordination Number for HCP:

CN

6
(central
plane)

3
+
3
=
(plane
(plane
below)
above)

3)

Number of atoms per unit cell

4)

Geometrical relationships:

12

2-6

a = 2R

and

c/a = 1,633 (for ideal HCP)

5) HCP unit cell volume: (see Example Problem 4.3) 5

Answers:

Ninth edition

2-7

2.3 Polymorphism or Allotropy.

(Callister p 97-98 ; p 52)
It is a phenomenon occurring in some materials, by which it
transforms from one crystal type to another, due to change in
temperature and/or pressure.

Examples:
(1)

Iron (Fe) (A metallic bond):

-iron

912C

(BCC)
(2)

1394C

-iron
(FCC)

-iron
(BCC)

Carbon (C): (A covalent bond)

High T

graphite
(hexagonal flakes)

high p

diamond
(diamond-cubic)

Table with allotropic form for some metals (Ref. Smith table 3.5)
Metal
Ca
Co
Hf
Li
Na
Tl
Ti
Y
Zr

Structure
below temp.
FCC
HCP
HCP
HCP
HCP
HCP
HCP
HCP
HCP

Transformation
temp. oC
447
427
1742
-193
-233
234
883
1481
872

Structure
above temp.
BCC
FCC
BCC
BCC
BCC
BCC
BCC
BCC
BCC

2-8

2.4 Crystal Systems and Bravais unit cells.

(Callister p 50-51; p 52-54) 6

Unit cells could be also subdivided into 4 types of crystal

structures namely:
# simple
# body-centered
# face-centered
# base-centered
Unit cells are furthermore divided into 7 crystal systems
(see Table 3.1)

2.5 Closed-packed Crystal Structures.

(Callister p 100-103 7; p 70-71 8)
The FCC and the HCP crystal structures are both closed-packed
structures (APF =0,74).There are however two major differences:
1) In the FCC structure, successive closed-packed planes have a
stacking sequence of ABC ABC ABC, etc..
In the HCP structure, successive closed-packed planes have a
stacking sequence of AB AB AB, etc..

2) More than one set of closed-packed planes are present in the

FCC structure, each with a different orientation. Various sets
of closed packed planes are therefore intersecting each other
in this structure.
The HCP structure has only one set of closed-packed planes.
The closed-packed planes have therefore only one orientation
within the crystal structure.

Ninth ed.
Ninth ed
8
Eight ed.
7

2-9

These differences in stacking of closed-packed planes are the

major factors responsible for the difference in mechanical
properties of FCC and HCP metals.

The BCC crystal is not a closed-packed structure and hence has

no closed-packed planes. The most densely-packed planes in
BCC are the diagonal planes. There are a number of these
planes intersecting each other in the BCC structure.

Assignment: Sketch the BCC unit cell and indicate the position
of the atoms.
a) Sketch one diagonal plane within the BCC unit cell.
b) Make a separate sketch of the plane to show the
atomic arrangement within this plane. (Use circles to
represent the atoms.)
c) Sketch the BCC unit cell and draw two possible intersecting
diagonal planes within this unit cell.

2-10

Summary & Definitions: Callister p 68-69; p 109-110 9

Assignment: See the problems on clickUP.

Refer also: Chapter 12 of text book (pages 457-460) for those

who use 8th edition
Those who use 9th edition its chapter 3 and 4 of the text book

9th ed.

2-11

Study Topic 3
Solidification and Crystalline Imperfections in Solids
Study theme outcomes: At the end of this chapter a student should be able to:
- formulate the definitions and concepts addressed in this chapter
- explain the purpose of and the operation of the Chzokralski process
- give some examples of engineering applications of single crystals
- predict the relative degree of solid solubility of a given element in the
crystal lattice of a given parent metal, by application of the HumeRothery rules
- specification of composition
- calculate the size of the interstitial void within a given crystal lattice
- know crystal defects and sketch schematic representations of the various
point and line defects within crystals
- calculate the concentration of vacancies in a crystal
- show that the presence of solid solution atoms, point defects and edge
dislocations have an effect on the properties of a material
- determine the ASTM grain size number of a polycrystalline material

4.1 Solidification of Metals.

(Callister P 65 66 1 ; p72-73 2)
Some crystalline imperfections are formed during solidification. During
normal solidification, many small crystals (nuclei) are formed at random
within the liquid. After complete solidification, each separate crystal is
represented by a separate grain within the structure of the metal.
The orientation of the crystal lattice of each grain is different.
Consequently neighbouring grains are separated by grain boundaries.
The structure of the solid metal therefore consist of a large number of
grains (polycrystalline structure).

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9th ed.
8th ed.

3-1

Fig. 3.1;

Solidification of Single Crystals.

(Callister p 65-66, p72)
Almost all engineering materials are composed of many crystals (grains)
and are therefore polycrystalline. However, there are a few which
consist of only one crystal and are therefore single crystals.

Examples of single crystal materials:

(1)

Electronic components, such as transistors, made from

semiconducting ionic materials.

(2)

Silicon single crystals used for many semi-conducting

electronic devices, like silicon
wafers for microchips.

A single crystal can be grown by bringing a seed crystal in contact with

the molten metal. The contact surface of the crystal is dissolved and heat
dissipates through the crystal. Grain growth occurs as the crystal is
slowly withdrawn with a rotating movement (Chzokralski process)..
Hence very careful control of the temperature during solidification is
required.

3-2

Single crystal growth of silicon

(Chzokralski process).
(Ref. Smith, William F. 1995. Principles of Materials Science and
Engineering. Third Edition. New York:McGraw-Hill. Fig. 4.11)

4.2 Crystalline Imperfections.

(Callister p 144-152 ; p 90-94 ;96-104)

Crystalline defects affects the following properties of

metals:
-

mechanical
ductility
electrical and heat conductivity
atomic diffusion
corrosion resistance

Typical imperfections in crystals:

Micro defects:
- point defects, line defects and surface defects
Macro defects:
- cracks, pores and inclusions

Micro defects
1) Point defects. There are basically 5 types:
3-3

# Vacancy: (Callister Fig. 6.1 3)

The number of vacancies ( Nc) in a material at temperature (T) is
calculated by:
Nc = N exp ( - Qv/kT)
with

N = total number of atomic sites

Qv = energy (eV) required to form a vacancy
k = Boltzman constant (1.38 x 10 23 J/atom.K)
T = absolute temperature

See: Callister Example problem 6.1 4

# Self-interstitial defect (Callister Fig 6.1 )
# Impurities Metallic solid solutions
Pure metals have very few engineering applications.
Example: pure copper for electrical conductors.
Most engineering materials are composed of more than one metal and
are termed alloys. Alloys have more desired properties, e.g. higher
strength.
Alloys can be:
- a mixture of two or more metals
- a mixture of a metal and a non-metal
Alloys are normally composed of:
- a major (primary) metal. (also termed the parent metal).
Example: copper in brass.
- minority metal(s) and/or non-metal(s) (also termed the
alloying elements).
Example: carbon and manganese in steel.
Solid Solutions. This is the simplest type of alloy, in which the alloying
elements are dispersed within the structure of the parent metal. It
therefore has a single phase microstructure.

Substitutional Solid Solutions:

3
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9th ed.
9th ed.

3-4

In substitutional solid solutions some of the atoms in the crystal lattice

of the parent metal (solvent) are substituted by the atoms of the alloying
element(s) (solute).

Callister Fig. 6.2

It is clear that the crystal structure of the parent metal remains
unchanged, but that it may be distorted due to the difference in atomic
diameters of the solvent and the solute atoms.
This crystal lattice distortion has the effect to change and improve the
properties of the alloy. Hardness and strength increases.
Example: The hardness of Cu-Ni alloys

Hardness

[Cu]

% Ni

[Ni]

The fraction (%) of the alloying element (solute) which can be dissolved
in the crystal lattice of the parent metal (solvent) can vary from almost
none to as much as 100%.

Solubility Limit: The maximum atomic% or mass% of an alloying

element which can be dissolved in the crystal lattice of the parent metal.
If this limit is exceeded, a single-phase structure can no longer exist and
3-5

a two-phase microstructure is formed.

Requirements for solid solubility: (Hume-Rothery rules):

(Callister p 150-151; p94-95)
1)
2)
3)
4)

The diameters of the atoms must not differ by more than

15%.
The type of crystal structure of the two metals must be the
same.
Small differences in electronegativities between the two
elements are required.
The two elements should have the same valence.

Interstitial Solid Solutions:

Interstitial solid solutions form when the solute atoms are much smaller
than the solvent atoms.
The solute atoms fit into the spaces (voids) between the atoms of the
parent metal (solvent). These voids are termed interstitial voids.

Example: Carbon (also H2 or N2) in iron (steel).

radius of the carbon atom: 0,075 nm
radius of the iron atom: 0,129 nm
(1) -iron (BCC) : radius of interstitial void:
max. solubility of C in :
(2) -iron (FCC) : radius of interstitial void:
max. solubility of C in :

0,036 nm
0,025 mass%
0,053 nm
2,08 mass%

In both cases the voids are smaller than the carbon atoms. Therefore,
lattice distortion occurs during solution of carbon atoms. This lattice
distortion results in an increase of the hardness of the steel.
(Class problem)

3-6

# Schottky defect
# Frenkel defect
Schottky and Frenkel defects are found in ceramic materials
(ionic bonds). Electrical neutrality is maintained.

(Callister Fig. 6.3 p 147 ;p473)

How point defects are formed:

Vacancies originate :
- with solidification of material
- when material is rapidly cooled. Atoms which vibrate at high
temperature are caught in non-equilibrium positions
- as a result of cold working
- as a result of radio-active bombardment.
Self-interstitial atoms: Does not occur regularly.
- originate as a result of bombardment with radio-active
particles.
Impurities occur as a result of:
- solid solution and diffusion of foreign atoms

2) Line Defects (Dislocations)

(Callister p 158-161 ; p 99-102)
There are two types of dislocations : edge and screw dislocations.
Only edge dislocations will be considered:
3-7

Callister Fig. 6.9 .Edge dislocation

How are dislocations formed in crystals?

- at solidification
- with plastic deformation or cold working
- with vacancy condensation
Dislocations also play an important role during plastic deformation of
metals. During forming of metals, plastic deformation (slip) is
facilitated by the movement of dislocations on the close-packed crystal
planes (slip planes).
Dislocations can be observed by means of the transmission electron
microscope at very large magnifications (eg. 40 000X).
(See: Callister Fig. 6.12 )

3) Surface defects:
Only Grain and twin boundaries will be considered in more detail.
(Callister p 162-165 ; p102-104)
#

Grain

boundaries

are

two-dimensional

imperfections

in
3-8

polycrystalline materials that separate grains (crystals) of different

orientations.
Grain boundaries have higher energy than the grains themselves (surface
energy). The atomic packing in grain boundaries is lower than within the
grains. This is due to the atomic mismatch of the lattices of neighboring
grains.
Grain boundaries are observed by means of the optical microscope.
Prior to microscopic examination, the surface of the sample is polished
and also etched in a chemical. By etching, grooves are formed on the
surface at the location of the grain boundaries.
(See: Callister Fig. 6.13 and 6.14)

Callister Fig. 6.20

# A twin boundary is a plain across which a mirror image of the
structure is observed. Twinning forms during plastic deformation of
material (mechanical twins) or during annealing (heating) of deformed
material (annealing twins)

3-9

Callister : Fig 6.15,6.19

Macro defects
1) Cracks could form during shrinkage of solidifying material or
mechanical deformation.
2)
Pores or blow holes form e.g as a result of the decrease in gas
solubility in the liquid at the interface with the solid during solidification
3)
Inclusions are foreign matter in the material introduced during
fabrication

4.3 Grain Size measurement (pg 171-174)

Grain size is important, since the amount of grain boundary surface has
an important effect on many properties of materials.

Example: At low temperatures (e.g. room temp.) strength is increased

by a decrease in the grain size.
This is because grain boundaries restrict plastic flow, by making it
difficult for dislocations to move from one grain boundary to the other
across the grain boundary.

3-10

The ASTM-method for measuring grain size:

N = 2 n 1
N = number of grains per square inch at a magnification of
100X
n = ASTM grain size number
(n 1/grain size)

Examples of different ASTM grain sizes.

(Kehl. G.L. 1949. Princ. of Metall. Lab. Practice. London: McGraw-Hill)

If Magnification is not 100X and area is not one inch squared then we
have
(N/A)(M/100)2 = 2n-1

Summary and Def.: Callister p 174-176 ; p116-117

Assignment: See the problems on clickUP

3-11

STUDY TOPIC 4
Mechanical Properties of Metals
This chapter contains material from Chapters 6 and 8 in Callister (for 8th edition)
This chapter contains material from Chapters 8 and 10 in Callister (for 9th edition)

(Callister 209-240;p 285-319; p151-178 , 235-272)

Study theme outcomes: At the end of this chapter a student will be able to amongst others:
- define and explain the meaning of terms, concepts and mechanical properties such as:
tensile force (load), elongation, tensile stress, shear stress, engineering stress, true stress,
engineering strain, true strain, strength, hardness, ductility, Poisson ratio, Hooke's law,
elastic deformation, plastic deformation, fatigue failure, fatigue strength, creep strength and
fracture toughness
- define and explain the practical significance and the application of mechanical properties
of metals and other materials, such as: yield strength, O,2%-offset yield strength, ultimate
tensile strength, engineering fracture strength, true fracture strength, % (final) elongation
(A), % (final) reduction in area (2), Young's modulus, Rockwell hardness, Brinell hardness,
Vickers hardness, Charpy V-notch impact strength, ductile-to- brittle transition temperature
and endurance limit etc.
- calculate various mechanical properties of a metal, such as y or p0,2 , m , A, Z,
true fracture strength and true final strain, if the results of a tensile test performed on a
specimen of the metal are given (Load-elongation plot and the do, df, 1o and lf
measurements)
- interpret a given engineering - diagram in terms of the strength properties and the
elastic and plastic behaviour of the specific metal or alloy
- explain the large difference in shape of the engineering stress-strain diagram and the
true stress-strain diagram, particularly from the onset of necking and onwards
- determine the ductile-to-brittle transition temp. (BTT) of a BCC metal like steel, by
application of data obtained from Charpy V -notch impact testing and to interpret and
apply the result (BTT-value) to practical situations
- distinguish between stress amplitude, frequency and average stress
- distinguish between fatigue (endurance) limit , fatigue life and fatigue strength
describe a test for determining the fatigue properties( SN curves) of a material and to
interpret, apply and explain the results
- distinguish between high and low cycle fatigue
explain the influence of average stress, variable stress amplitude and the presence of
existing cracks on the fatigue properties of material and to identify and explain the applicable
mathematical laws
- name and explain factors which influences the fatigue properties of material
- distinguish and explain the differences between the three phases of creep
- explain and quantify, with the applicable equations, the effect of a change in stress and/or
temperature on the creep curves, more specifically the rate of steady state creep
- distinguish and explain the difference between diffusion flow and power law creep
- name the mechanism which could contribute to power law creep
- read, interpret and use deformation mechanism diagrams
- describe fracture in creep
- apply mathematical equations in solving problems
- understand the terms stress concentration, critical flaw size, stress intensity factor, modes

4.1

of fracture, surface energy, elastic and plastic deformation energy, tensile and brittle material
(in the context of fracture mechanics), modes of fracture and fracture toughness and their
interrelationship
- apply equations in solving problems

4.1 Introduction
The mechanical properties of a material are those properties
associated with the elastic and the non-elastic (plastic) reactions
of the material, when an external force is applied.

Important mechanical properties:

- Yield Strength
- Tensile Strength
- Ductility
- Hardness

- Toughness
- Fatigue strength
- Creep resistance
- Stiffness

The mechanical properties of a material depend on the internal

atomic structure, such as:
type of atomic bonding
crystal structure
dislocation density
alloying elements
microstructure (grain size, phases present
and their shape and size).
The mechanical properties of any specific material can be
modified by processing, such as hot working, cold working and
heat treatment, by which the microstructure is affected.
Mechanical Properties under static application of loads are
referred to as static mechanical properties
Mechanical Properties under dynamic application of loads
(where the applied loads vary with time) are referred to as
dynamic mechanical properties
Other categories of mechanical properties are hightemperature properties and fracture mechanics properties.

4.2

PART A: STATIC AND SEMISTATIC PROPERTIES

4.2 Stress and Strain in Metals
(Callister p 209-220; p151-162)
When an external force, either uniaxial tension, compression or
shear is applied, deformation of the internal lattice structure of the
metal occurs.
Elastic deformation. (non-permanent deformation)
It occurs if the atoms return to their original positions in the crystal
lattice when the force is removed.
Plastic deformation. If the external force exceeds a certain limit,
the atoms are displaced from their original positions, resulting in
permanent deformation.

Engineering stress

average uniaxial tensile force

original cross sectional area

F/Ao

[N/unit area = N/m2

or Pa ]

Engineering strain
Engineering strain is a measure of the elastic and /or the plastic
deformation resulting from the application of a uniaxial tensile
force.
(See Callister Fig. 8.2 1)

change in length of rod

original length of rod

= (li - lo) / lo

= l / lo

Thus: % Engineering strain

(mm/mm)

= l x 100 / lo

9th ed.

4.3

= % elongation
(See: Callister Ex. Problem 8.1 2)

Shear stress and Shear strain

Materials can also be deformed by a shear force couple.
See Callister Fig. 8.1 c)
Shear stress

= S/A

Shear strain

= a/h = tan

Further

= G with G = shear modulus

(MPa)

4.3 The Tensile Test and the Engineering Stressstrain Diagram

The tensile test is used to evaluate amongst others the strength
and the ductility of materials.

Strength: ability to resist an applied tensile stress measured

as yield, tensile or fracture strength (MPa)

Ductility: ability to deform plastically

Tensile testing machines (Callister Fig. 8.3)
During the test force is measured continuously by means of a
load cell and elongation is measured by an extensometer and are
recorded on a chart.
The test sample has a standard circular or rectangular cross
sectional area (Ao) and gauge length (lo) with the relationship:
Lo = 5,65 Ao

9th ed

4.4

Callister Fig. 8.2

Test data
The test data from the chart are converted to engineering stress
and engineering strain, from which an engineering stress vs.
strain diagram is constructed.

Example: - diagram for a material.

4.5

The following mechanical properties are obtained from the -

diagram:
#
#
#
#
#

Modulus of Elasticity (Young's Modulus) (E)

Yield Strength (y) or 0.2%-offset Yield Strength (p0,2)
Ultimate Tensile Strength (UTS) (m)
% Elongation (A)
% Reduction in Area (Z)

Modulus of Elasticity (E)

This is the slope of the - curve, within the elastic range. E is
a measure of the stiffness of a material, which is related to the
atomic bonding strength within the crystal lattice.
4.6

Examples:

EAl = 72,4 GPa

Esteel = 200,0 GPa

Slope in the elastic range:

E =

= E

[ N/m2 or Pa]
(Hookes law)

(See: Callister Table 8.1 & 8.2 and Example problem 8.1.) 3

Yield Strength
The yield point is the stress at which elastic deformation ends and
plastic deformation begins. Due to the gradual transformation
from elastic to plastic behaviour observed for most ductile
materials, the 0,2%-offset yield strength (p 0,2) is often chosen as
the yield point (the stress at which 0,2% plastic strain has
occurred) (p = 0,002).
In some materials, e.g. mild steel, the yield point is very sharp.
This stress is defined as the yield strength (y).

Callister Fig. 8.10

9th ed.

4.7

In the design of engineering structures, care must be taken that

the applied static and dynamic stresses are always below the
yield strength, in order to avoid permanent deformation of the
structure during use.
(See Callister Ex. Prob. 8.2)

Ultimate Tensile Strength (UTS) (Rm)

This is the maximum strength reached on the - curve. This is
the point where the specimen starts to "neck" during the tensile
test.
( See: Callister Fig. 8.11 & Ex. Prob. 8.2 )
The UTS is not of much use in engineering design.

Ductility
% Elongation (A) = ( lf - l0) x 100
l0
with

l0 = initial gauge length

lf = final gauge length between marks

% Reduction (Z) = (A0 - Af ) x 100

A0
with A0 = initial cross-section area
Af = cross-section area in neck after fracture
Z and A are both a measure of the ductility of a material. Ductility
is an important parameter in the processing (deep drawing and
forging) of metals.
(See: Callister Ex. Problem 8.4(a))

Comparison of - curves for different engineering

Materials.

4.8

(Smith Fig. 6.25)

Note the difference in the work hardening rate (slope of the

curves in the plastic range) for the different alloys.
Compare for example, the work hardening rate of Ni- alloy steel to
that of structural steel.
Ni-alloy steel:
FCC
Structural steel:
BCC

True stress and True Strain

(Callister p 151 152 , 170-171)
An error is made in the calculation of the engineering stress
because the cross-sectional area continuously decreases during
the tensile test.
Engineering stress

F / Ao

True stress

F / Ai

[ MPa ]
[ MPa ]

with A i = instantaneous minimum cross-sectional area.

4.9

It seems as though the strength of the material decreases after

necking. It is as a result of using the original surface area in the
calculation. The strength of the material however continuously
increases.

Callister Fig. 8.16

True strain

t = ln li / lo

The volume of the specimen remains constant during the test,

This applies only till necking starts:
Thus
l oA o = l i A I
and
li /l0 = Ao/Ai
t = ln li = ln Ao
lo
Ai
( See Callister Ex. Prob. 8.4 b), Class problem)

4.10

4.4 Hardness and Hardness Testing.

(Callister p 231-236 ;174-179)
Hardness is a measure of the resistance of a material to
permanent (plastic) deformation. It is measured by the size of the
indentation made by a hard indentor during application of a
specific load.

Hardness tests:
# Brinell Hardness (BHN) (steel ball indentor)
BHN = Load / Area of indentation

[ kg/mm2 ]

# Vickers Hardness (VHN) (diamond pyramid indentor)

VHN = Load / Area of indentation

[ kg/mm2 ]

# Rockwell Hardness (R)

R 1/t
RC :
RB :
RF :

[ No units ]

depth of indentation
diamond conical indentor (150 kg load)
(for hard metals like steel)
steel ball indentor (100 kg load)
(alloys like brass)
steel ball indentor (60 kg load)
(soft alloys like Al-alloys)

Summary of the hardness tests:

(See: Callister Table 8.5)

Requirements for successfully measuring hardness

# the surface of the sample must be clean and free of oxides
# the sample surface must be firm and at right angles to indentor
4.11

# thickness of sample must be at least 10 X depth of indentation

# distance between measurements - 3 to 5 x indentation dia.

Uses of hardness tests

Hardness is a measure of the resistance to plastic deformation
and is therefore directly related to strength.
The hardness test is an easy non-destructive test by which the
strength of products can be evaluated, for the purpose of quality
control.
It is also extensively used during the evaluation of surface
hardened components like gears.

Comparison of several hardness scales

(Callister Fig. 8.18 )

4.12

PART B: DYNAMIC, HIGH-TEMPERATURE AND

FRACTURE MECHANICS PROPERTIES
4.5 Fracture of Metals.
(Callister p 286-292; 236-242)
Fracture normally occurs as the result of the propagation of a
crack in a direction perpendicular to the applied stress.

Two types of fracture of metals:

(1) Ductile fracture: It occurs as a result of crack initiation and
slow crack propagation. Extensive plastic deformation and thus
energy absorption occurs.
(See: Callister Fig. 10.2 & 10.3 a)

(2) Brittle fracture: It occurs after almost no plastic deformation.

It proceeds along characteristic crystallographic planes (cleavage
planes) and has rapid crack propagation. Materials which are
prone to brittle fracture require very little energy for the
propagation of a crack, due to the small amount of plastic
deformation occurring at the crack tip during propagation because
the yield strength of brittle material is usually very high. Their
fracture toughness (K1c) is therefore low. (To be discussed in
para. 6.7)
(See: Callister Fig. 10.3b)

4.6 Toughness and the impact test

(Callister p 299-303 ;250-255)
Toughness is a measure of the amount of energy a material can
absorb before fracturing. It is also an indication of the resistance
of a material to the propagation of a crack. (The tougher a
material, the more difficult crack propagation) In general a tough
material has both high strength and good ductility.

4.13

The toughness of metals is evaluated by means of the impact

test, for example the Charpy V-notch impact test. An alternative
test is the shear test,
(See: Callister Fig. 10.12, 10.15)

The energy (Joules) absorbed by the specimen during fracture is

obtained from the impact test and is a measure of the toughness
of the material.

Effect of test temperature on the impact energy

Callister Fig. 10.15

The ductile-to-brittle transition temperature (BTT)

Some materials, particularly carbon-steels (BCC), are
characterised by a sharp transition from brittle to ductile
behaviour within a narrow test temperature range.
4.14

The BTT of such materials is defined as that test temperature

coinciding with a specific value of the impact energy (e.g. 30 J),
within the transition test temperature range.
(See: Callister Fig. 10.14 for fracture surfaces)

4.7 Principles of fracture mechanics

(Callister p 291-299 ; p 242 247)
Fracture mechanics relates materials properties, stress levels,
size of crack-producing flaws and crack propagation mechanisms
in a material with each other.

Stress concentration
A defect in a material specimen under load causes a local
increase in stress.

local = ( 1 + yc/2r )
with local = the stress at a distance r from the crack tip [m]
= applied tensile (uniform) stress [MPa]
c = crack length associated with a crack tip [m]
= length of surface crack
= length of an internal crack
y = constant ( y = 1 if c << width of material. If not, a
value must be experimentally determined)

local = yc/2r
When r is very small or close to crack tip.

4.15

Ashby Fig. 8.3

The value of local , for a value of r, is proportional to the applied
stress and crack length c,
i.e c.
This quantity is called the mode 1 stress intensity factor K1, with
K1 = yc

[MPa.m]

The different modes of fracture are shown below:

Callister Fig. 10:10

Fracture toughness
A material fracture under stress when cracks propagate. When a
sample of cross sectional area A m2 fracture, 2A m2 surfaces are
created. A surface has specific surface energy [J/m2]. The
amount of energy required to fracture the surface is therefore:
4.16

2 A
This energy is obtained from the elastic deformation energy
released (resilience) when the crack propagates. The elastic
energy stored in a sample is:
Uv = = 2/ E
It could be shown that the critical stress c required to propagate
a crack and therefore fracture a brittle material is given by:

c = 2E / c
cc = 2E
But for y = 1:

K1 = c

Thus:

K1c = cc

= 2E

or

K1c = ycc = y 2E

[MPa.m]

With K1c = fracture toughness which relates the critical stress for
propagation of a crack with length c. K1c is a materials property.
Its value is experimentally determined and it is independent of
sample size or geometry.
The fracture toughness of ductile material is higher than brittle
material. It is explained as follows:

4.17

Material deforms elastically under stress until the yield strength y

is reached. Plastic deformation commences at higher stress. The
defects in the material act as stress raisers, causing micro-cracks
and voids to form. These voids coalesce to form cracks which
result in ductile fracture. The voids also reduce the stress raisers
because the void radii are not as sharp as that of micro-cracks. A
large amount of plastic deformation, which absorbs a lot of
energy, thus occurs. This energy absorption reduces the energy
available for crack propagation and K1c is increased.

Class examples:
1. Assume the fracture toughness of (K1c) a steel is equal 40
MPam. Calculate:
a) The stress intensity K1 at the tip of a 3 mm long surface crack
when a stress of 200 MPa is applied. Let Y = 1,3 (25,24)
b) Will the sample fracture or not. Give a brief motivation.
2. A material has a fracture toughness of 55 MPam, yield
strength of 355 MPa and critical surface crack size of 5 mm.
Will a component made from the same material but with an
internal crack with a length of 15 mm fracture when a stress of
300 MPa is applied to it. Y 1.

4.18

4.8 Fatigue of Metals.

(Callister p 304-315 ; 255-265 )
Fatigue failure of metals occurs in components which are
subjected to repetitive or cyclic stresses during service, such as
axles, shafts, springs, connecting rods and gears. The stress may
be characterised as mean stress (m), range of stress (r) or
stress amplitude (a)
m = (max + min)/2

r = max - min

a = r/2 = (max - min) /2

4.19

Callister Fig 10.17 b)

Failure occurs as a result of the slow propagation of a fatigue
crack. Fatigue which occurs in material in which the cracks first
have to be initiated, is referred to as initiation controlled fatigue.
Fatigue which occur in material in which there are already cracks
present, is referred to as propagation controlled fatigue. Low
cycle fatigue occur where the applied stress is higher than the
yield strength while high cycle fatigue occur when the applied
stress is lower than the yield strength.

Typical appearance of a fatigue fracture:

(See: Callister Fig. 10.22, 10.22, 10.23)

Typical fatigue test

The fatigue strength of a metal may be evaluated with a fatigue
test where the number of cycles until fracture at a certain stress
amplitude is determined.

(See; Callister Fig. 10.18)

4.20

S-N curve (Callister Fig. 10.19; Smith Fig. 6.66 )

For high cycle fatigue the S-N curve is described by Basquins

law:
Nf b = C1
with = stress range = 2 x stress amplitude
Nf = number of cycles to fracture
b & C = constants
The law applies when the mean stress is zero, which is obtained
with a rotary fatigue test. A correction must be applied to the
stress amplitude when the mean is not zero. Goodmans rule
relates the stress range m for failure under a mean stress (m)
to the stress range o for failure at zero mean stress (o):
m = o [1 - m/ TS]
with TS = tensile strength of material
Basquins law also applies to test results where a constant stress
amplitude was used on samples which has no defects or stress
raisers present in the material. (Initiation controlled). Components
could however be subjected to cyclic loading with variable stress
amplitudes. Miners rule of cumulative damage is used under
such circumstances.
4.21

Ashby Fig. 9.5

The figure 9.5 a) above shows cyclic loading where Goodmans
rule applies and 9.5 b) where Miners rule must be applied. Fig.
9.5 b) shows three amplitudes with zero mean stress. The
number of cycles until fracture, Nfi , if each of the cycles was
maintained until fracture, could be calculated with Basquins law.
If N1 cycles are spent at stress amplitude 1 a fraction N1/Nf1 of
the available life of the component is used up. Similarly for stress
amplitudes 2 and 3 the fractions are N2/Nf2 and N3/Nf3
respectively. Failure will occur when the sum of the damage
fractions accumulates to 1, that is:
ni=1Ni/Nf,I = 1
There are defects or stress raisers present in the material from
which all components are made. There are fracture mechanical
principles available to account for these defects in the design of
such components. It falls outside the scope of this course.

Class examples.

4.22

3) Calculate the value of C1 in Basquins law for high frequency

fatigue when b = 0,11, a = 80 MPa and Nf = 2 x 105 cycles.

4) What will the number of cycles until fracture in question 1) be

if a = 120 MPa at a mean stress of m = 40 MPa and
TS = 320 MPa.

5) Assume the material in question 1) is subjected to variable

stress ranges of 160 MPa for 50 000 cycles, then for 10 000
cycles at a stress range of 200 MPa. How many cycles will
the material endure at an additional stress range of 120 MPa.

4.23

 Factors affecting the fatigue strength:

1. Stress concentration (stress raisers). Notches, holes, keyways
and sharp changes in cross-section (positions where cracks
initiate).
2. Surface roughness. Rough surfaces create stress raisers, from
where fatigue cracks are initiated.
3. Surface condition. Hard surfaces inhibits the initiation of
fatigue cracks (carburizing, nitriding).
4. Environment. Corrosive environments enhance the propagation
of fatigue cracks. (Corrosion fatigue)

4.9 Creep and Stress Rupture of Metals.

(Callister p 315-321 ; 265-270)
Elastic and plastic deformation at room temperature is
independent of time. At higher temperatures however, stresses
lower than the yield point, result in time dependent plastic
deformation or creep.

4.24

Creep is desirable in extrusion, hot rolling, hot pressing and

forging where power law creep plays a dominant role in the
deformation

Creep test and results

A sample of the material is subjected to a constant load (below
yield strength) at constant elevated temperature ( ca. 0,5 Tm) and
the strain measured and a graph of strain vs. time (log scale) is
drawn.
See Callister Fig. 8.28, Ashby Fig. 13.3
The initial strain is immediate and is a function of the applied
stress. The primary creep phase then follows. The slope of the
curve decreases with time because work hardening occurs more
than recovery. Recovery is the process where (+) and (-) edge
dislocations annihilate each other.
Secondary or steady state creep then follows. Work hardening
and recovery is in balance and the slope of the curve is constant.
The rate of creep increases during the tertiary phase of creep
until the sample fractures.
Fig. 7.1 below shows the influence of increased applied stress
and temperature on the creep curve. ( increase at constant
applied stress but increase in temp. because E decrease with
increase in temp.)

4.25

The relationship:

ss =Bn

with n = creep exponent and B = a constant

could be deduced from a graph of log(slope of the steady state
creep) vs log at constant temp. It follows that:
log = logB + nlog

Ashby Fig. 13.4 (a) & (b)

A distinction is made between diffusional flow where n= 1 and
power law creep where n = 3-8.

4.26

The following equation could be deduced from a graph of ln vs

1/T as shown in Fig. 13.4 (b):
ss = Ce-Q/RT
with Q = activation energy for creep
R = gas constant
C = a constant
The steady state rate of creep increases exponentially with
temperature as can be deduced from Fig. 7.1b) above. The rate is
however dependant on temp. and stress as is given by the
equation:
ss =Cne-Q/RT

Creep damage and creep fracture.

# Diffusional flow (n = 1)
The section of the log vs log curve (Fig. 13.4) where n = 1
occurs as a result of diffusional flow (Nabarro-Herring diffusion)

A compressive stress exists at right angles to the direction of an

applied tensile stress in a material (Poisson ratio). A stress
gradient is generated at the grain boundaries. Grains elongate in
the direction of the applied tensile stress as a result of diffusion
caused by the stress gradient. Grain boundaries act as source
and sink of vacancies. Atoms move to the grain boundaries which
are subjected to tensile stresses and vacancies move to grain
boundaries subjected to compressive stresses. The rate of creep
4.27

and stress gradient is dependant on the grain size of the material.

The rate of creep is given by the equation:
# Dislocation climb and power-law creep. (n = 3 to 8)
A number of micro-structural processes which, in combination
with each other and diffusional flow, could result in power law
creep of metals at high temperatures were observed. For
example:
- slip of dislocations in the grains ( see plastic deformation)
- grain boundary slide
- climb, by diffusion, of dislocations across defects which
obstructs slip
# Deformation mechanism diagrams.
The specific mechanism which results in creep deformation of a
material under the combined effect of stress and temperature is
given in the diagram below:

Ashby Fig. 13.14

If for example, the material is subjected to a stress of 30 MPa at a
temperature of 1000 oC, power law creep will occur with a steady
state creep rate of approximately 10 5/sec.

4.28

# Creep fracture
After a certain period of time of tertiary creep, depending on the
temperature, the applied stress and the type of material, the
component will eventually fail by rupture. Grain boundaries slide
relative to each other. Micro voids or internal cracks also form in
the material at grain boundaries during creep. These voids grow
and coalesce to reduce the load carrying surface and the stress
increases resulting in fracture.
An empirical equation for the time to fracture tf in creep is:
ss.tf = C

..13.7

Examples where failure due to creep is a problem:

# turbine blades and other turbine components.
# boiler pipes in power stations.
Certain alloys are more resistant to creep than others. A small
grain size is particularly detrimental.
Summary and Def.: Callister p 321-323, 270-275
Problems:
See the problems on clickUP.

4.29

4.30

Study Topic 5
Plastic Deformation, Strengthening and
Recrystallization of Metals (Callister Chapter 9)1
Study outcomes:
At the end of this study a student must be able to:
Define and explain the meaning of terms, concepts and properties
such as: formability, mechanism of slip, slip systems, hot working,
cold working, % cold work (% reduction), work hardening, solid
solution strengthening, recovery, recrystallization, grain growth,
toughness, ductile fracture and brittle fracture
Explain why (1) plastic deformation (slip) is assisted and facilitated
by the presence of dislocations and (2) plastic deformation (slip) is
favoured along close-packed planes and directions.
Determine and indicate the number of and the nature of the slip
systems present in FCC, BCC and HCP explain by means of the
mechanism of slip why HCP metals tend to be less ductile than FCC
metals
Explain by means of the mechanism of slip why the yield strength of a
metal or alloy is improved by each of the following means: (1) grain
refinement (2) cold work (3) solid solutions
Quantify the effects of grain refining, cold work and solid solutions
on the strength and ductility properties of metals and materials.
Explain the changes which occur in the internal structure of metals
during annealing heat treatment (recovery , recrystallisation and grain
growth) of previously cold-worked metals; as well as the practical
purpose of this heat treatment.
Explain the various factors which affect the recrystallisation process
Calculate parameters such as time and temperature of
recrystallization, by means of an Arrhenius-type equation

9th Ed.

5-1

5.1 Plastic deformation of metal single crystals.

(Callister p 260-262; p 204-209)
Single crystal: A piece of metal consisting of only one grain.
Each crystallographic plane therefore has a specific orientation
throughout the entire grain. Consequently the mechanism of slip,
by which plastic deformation occurs, can be studied more easily
than in a polycrystalline metal.
A tensile stress could be resolved into a tensile and shear stress
component. When the crystal is stressed beyond its elastic limit,
the resolved shear stress exceeds a certain critical resolved
shear stress and plastic deformation will occur due to shear
deformation (slip) of atoms along slip planes. As a result, socalled slip lines and slip bands appear at the surface of the
crystal, due to the relative displacement of the successive slip
planes.
The maximum value for the resolved shear stress is attained at
an angle of 45o to the applied tensile stress.

Example: Plastic deformation of a zinc single crystal (HCP).

5-2

Callister Fig. 9.8 , 9.9

Analysis of the slip mechanism

If plastic deformation was to occur by slippage of one block of

atoms over another on the slip plane, it is calculated that the
shear strengths of metals should be about 1 000 to 10 000 times
greater than their observed shear strengths.
It was found that slip actually occurs by the displacement of
dislocations along the slip plane. By this mechanism a much
smaller applied stress is required. This mechanism is illustrated
for edge dislocations in Callister Fig. 9.1 & 9.3 ;
After solidification, metals typically have a dislocation density in
the order of 106 cm/cm3. Plastic deformation increases this
dislocation density up to 1010 cm/cm3. This increase of the
dislocation density results in work hardening, whereby the
hardness and the yield strength are increased.

5.2 Slip Systems

(Callister p 258-260 ; p202-204 )
Slip is favoured on close-packed planes, since a lower shear
stress for atomic displacement is required than for less densely
packed planes.

Closed packed planes

Non Closed packed planes

Slip planes:
HCP:
FCC:
BCC:

basal plane
there are various intersecting octahedral planes)
diagonal planes - not close-packed, but they are the
most densely packed or closest planes in BCC
5-3

For each slip plane, slip occurs along the most densely or closed
packed direction within that plane.

Example:

In FCC the diagonals in a plane are the slip

directions.

(Develop FCC system on board)

A slip system is a combination of a slip plane and a slip direction.

The number of slip systems for a particular crystal type is given
by:
no. of slip planes

no. of slip directions

(See: Callister Table 9.1 p 259; p203)

Due to the limited number of slip systems in the HCP crystal,
plastic deformation is more difficult. HCP metals are therefore
less ductile than FCC and BCC metals.

5.3 Plastic deformation of polycrystalline metals.

(Callister p 263-265 ; 208-210)
Most engineering materials are polycrystalline. Grain boundaries
increase the strength of metals.
Plastic deformation initially occurs in grains which have their slip
systems orientated parallel to the maximum resolved shear
stress. Dislocations move and additional dislocations are
generated on these slip planes. Dislocations pile up against grain
boundaries as a result of the atomic disorder at the grain
5-4

boundary. The direction of slip also has to change when crossing

the grain boundary into a neighbouring grain because grains have
random crystallographic orientation. Grains which deforms
plastically are surrounded by adjacent grains which then have to
rotate in order to maintain coherency.
(See: Callister Fig. 9.10 & 9.11)

5.4 Mechanisms for strengthening in metals.

(Callister p 266-272 ; 211-218)
Any mechanism which inhibits dislocation movement on slip
planes will increase strength and hardness of the material.
Only single phase alloys will be considered here.

Strengthening by reducing grain size.

A decrease in the grain size of a polycrystalline metal results in

an increase in the total grain boundary area. Additional energy is
required for further plastic deformation by dislocation movement
across these boundaries. The effect is to increase the strength of
the material.
Hall-Petch equation:

y = 0 + k d 1/2
y
0
d
k

yield strength
grain size independent material constant
mean grain diameter
constant

Grain refining processing of metals is a method by which the

strength of metals can be increased. Grain refining could be
obtained by plastic deformation and recrystallization as well as
control over the solidification process.

Solid solution strengthening of metals

Strengthening can also be achieved by addition of alloying
elements (solutes) to the parent metal (solvent). (Substitutional or
5-5

interstitial solid solutions.)

Due to the disturbance of the crystal lattice caused by the
presence of the solute atoms, a tensile stress field is created
around a solute which is smaller than the solvent and a
compressive stress field around a solute atom which is larger
than the solvent atom. The solute atoms tend to diffuse to
dislocations to relieve the stress fields at the dislocation and
impede their movement. The strength of the alloy is increased.
(See: Callister Fig. 9.4, 9.15 & 9.16)
Factors which affect the degree of solid solution strengthening:
(1)
(2)
(3)

relative size factor

short-range order
the solute concentration

Class example:
By use of Callister Fig. 9.19 (b) & (c), compare the yield strength
which can be obtained in the following materials:
(1)
(2)

pure copper after a certain amount of cold work.

copper with 30 wt% Ni with the same amount of cold
work

Which of the above two materials (1) or (2) has the best strength :
ductility ratio?

Work or strain hardening

Work or strain hardening is the phenomenon that metals
strengthens and hardens with increased plastic deformation.
Work hardening occurs as a result of:
# Pile up of dislocations at grain boundaries, precipitates and
impurity atoms.
# The dislocation density increases as a metal is cold worked.
5-6

normal dislocation density:

after severe cold working:

106 cm/cm3
1012 cm/cm3

Dislocations of like sign repulse each other. The higher the

dislocation density, the higher the stresses required for further
plastic deformation.
# Crossing and anchoring of dislocations where interaction
occurs between their stress fields which inhibits further
movement
# the more plastic deformation, the more must crystals rotate to
maintain coherency and the stronger the metal
(See: Callister Fig. 9.19)
Cold working is one of the methods by which metals can be
strengthened. As indicated in the Figures, strengthening occurs
here at the expense of ductility.
The degree of cold working can be expressed as the % cold work,
also known as the % reduction.
For plates and sheets:

% Reduction =

(to - tf) 100

to

to = original thickness
tf = final thickness after cold working
For rods and wire:

% Reduction

(Ao - Af) 100

Ao

(d02 df2) x 100

d o2

A = cross sectional area

d = diameter
(See: Callister Ex. Problem 9.2)
5-7

5.5 Recovery and Recrystallization of cold-worked

metals (Callister p 272-277;218-225 )
Cold work has the effect to change the condition (grain shape and
an increase of the dislocation density), with a concomitant change
of the mechanical properties (strength, hardness, ductility) of the
metal.
If required, the condition and the properties of the metal can be
restored to its initial state prior to cold working, by means of an
annealing heat treatment at an elevated temperature when the
recrystallization process occurs

Def.: The recrystallization temperature is that temperature at

which a cold worked material will recrystallize in 1 hour.

Sequence or steps of change during the recrystallization

process of a cold worked metal:
(1)
(2)
(3)

recovery
recrystallization
grain growth

5-8

Callister Fig. 9.22

(See: Callister Fig. 9.21)

(1) Recovery
It occurs at a temperature range just below the temperature range
for the recrystallization step. It also occurs at a short heating time
at high temperature.
During this stage, point defects are reduced, (+) and (-)
dislocations eliminate each other and the remaining dislocations
rearrange to form a sub-grain structure with low-angle grain
boundaries known as polygonization. Internal stresses are
relieved, due to the above. The driving force for this step is the
reduction in internal energy.

Polygonization
From: Dieter, G.E. 1961. Mechanical Metallurgy. McGraw-Hill: New York.
Fig. 5-5. p126

(2) Recrystallization.
During this stage, completely new gains are nucleated within the
cold worked structure. These grains will grow at the expense of
the cold worked metal, which eventually results in a completely
new recrystallized grain structure.
The driving force for recrystallization is the decrease in lattice
energy.
The recrystallization step is considered to be completed when all
cold worked material has transformed to non-cold worked
material.
5-9

(3) Grain growth.

If annealing is continued after complete recrystallization for longer
times and / or at higher temperature, grain growth will occur.
During grain growth, some of the recrystallized grains will grow at
the expense of others, which are eliminated.
The driving force for grain growth is the decrease of the total grain
boundary energy, due to a decrease of the total grain boundary
area.

Effect of the recrystallization

mechanical properties of a metal.

process

on

the

Example: 85% Cu-15% Zn brass, initially 50% cold rolled

(See: Callister Fig. 9.22)

The recrystallization process is affected by the following

factors:
(1)

A minimum amount of cold work is required.

(2)

The smaller the degree of cold work, the higher the

temperature needed for recrystallization.

(3)

Increasing the annealing temperature, decreases the time

necessary to complete recrystallization.

(4)

The final grain size directly after recrystallization depends on

the degree of cold work.

(5)

The larger the original grain size, the greater the amount of
cold work required to produce an equivalent recrystallization
temperature.

(6)

The recrystallization temperature decreases with increasing

5-10

purity of the metal.

In general, the time required for a specific degree of
recrystallization depends on the annealing temperature, and can
be determined from an Arrhenius-type equation:

t x%
tx%
Q
T

= C e( + Q /RT)

time for x% recrystallization

activation energy
absolute temp.
gas constant =
8,314
constant

[J / g.mol K]

Class example
It takes 9 x 103 minutes to 50% RC a piece of cold worked Cu at
88 oC and 200 min at 135 oC. Calculate the activation energy for
the RC process of Cu.

Summary and Def.: Callister p 279-280

Assignment: See the problems on clickUP
5-11

STUDY TOPIC 6
Diffusion in Solids
(Callister p 180-194 1 ; p 122-143)
Study Theme outcomes: After studying this chapter the students
should be able to
- describe the diffusion mechanism
- distinguish between steady and unsteady state
diffusion process
- Understand the difference between ficks first law and second
law.
- Application of diffusion in industry.
- Factors that influence the diffusion coefficient
-Solve problems based on knowledge gained in this chapter
regarding diffusion

6.1 Atomic Diffusion in Solids.

Solid state diffusion: the process whereby atoms and ions move
(migrate) through the crystal lattice.
Diffusion occurs as a result of the atoms having vibrational
energy, which assists them to jump from one position in the
crystal lattice to another. The higher the temperature, the higher
the jump rate and thus diffusion.
Importance of diffusion: processing of materials, like heat
treatment of steel and doping of micro-electronic components,
creep, recrystallization etc. involve atomic movements.

Ninth ed

6-1

Example of experimental proof of diffusion:

When two metals are brought in close contact at elevated
temperature (e.g. copper and nickel).
Cu

Ni

at t0 : pure Cu and pure Ni

100

%Cu

t > t2 > t1

50

at t : homogenous solid
solution of Cu and Ni

6.2 Diffusion Mechanisms

Vacancy or substitutional diffusion
Atoms can move from one atomic site to another, if there are
vacancies in the lattice for the atoms to move into. Activation
energy for the movement is provided by the thermal vibration of
the atoms.

6-2

Ashby Fig. 13.9

Interstitial diffusion
Small atoms (eg. carbon) can diffuse by moving from one
interstitial position to another, without permanently displacing
the atoms in the matrix (parent) crystal lattice.
Interstitial diffusion requires less activation energy and is
therefore more rapid than substitutional diffusion. Interstitial
spaces need not be created as vacancies are.

Callister Fig. 7.3 2

6.3 Steady State Diffusion

Consider the diffusion of solute atoms within the lattice of the
solvent. Diffusion will occur if a concentration gradient of solute
atoms exist:

Ninth ed.

6-3

Callister Fig. 7.4 ;

Steady state diffusion occurs if CA and CB remain constant with
time and if the concentration gradient (dC/dx) remains
unchanged.
Under these conditions, the flux (J) of solute atoms, which moves
from plane xA to plane xB, is given by Fick's First Law:
J = - D dc/dx

(1)

J = Diffusion flux (kg/m2.s or atoms/m2.s)

D = Diffusivity (diffusion coefficient) with units (m2/sec.)

6.4 Non-steady State Diffusion

Steady state diffusion is not commonly encountered in
engineering materials. In most cases non-steady state diffusion,
in which the concentration of solute atoms at any point in the
material changes with time, takes place.
Example: Diffusion of carbon into the surface of a steel camshaft
or gear. (Surface hardening by carburization)

6-4

For cases like these, Fick's Second Law must be applied:

dCx = d (D dCx)
dt
dx
dx

(2)

The solution to (2), is dependant on the application

One of the applications, and thus solutions to the differential
equation is for example:
Consider the case of gas A (solute) diffusing into solid B.
As the time of the diffusion increases, the concentration of solute
atoms at any point will also increase. However, the surface
concentration of the solute will remain constant.

Callister Fig. 7.5 & 7.6

In this case, the solution to equation (2) is as follows:

Cs Cx
Cs C0
erf
Cs
C0
Cx

=
=
=
=

x
= erf

2 Dt

Error Function (Callister Table 7.1)

surface concentration of A
initial uniform concentration of A in the solid
concentration of A at distance x at time t
6-5

x
D

=
=

distance from surface

diffusivity of A in B at temp. T

Table for diffusivities of some systems.

See Callister ex. Problem 7.2 & 7.3 3

9th ed

6-6

Gallium (Ga) is diffused into a silicon wafer with no previus Ga in

it, at a temp. of 1100C for 3h. What is the depth below the
surface at which the concentration is 1022 atoms/m3, if the surface
concentration is 1024 atoms/m3?
Given: At 1100C: D = 7,0 x 10-17 m2/s.

6.5 Factors that influence D (Callister p 189-181; p132)

Type of diffusion mechanism
Temperature
Temperature dependence of D:

D = D0 e Q/RT
with D0 = temp. independent constant (m2/s)
Q = activation energy (J/mol) (Callister Table 7.2)
See: Callister ex. Problem 7.4 & 7.5

Type of crystal structure of the solvent.

6-7

Compare for example the D values for C in Fe in Table 4.4.

The BCC Fe has a lower APF and larger inter-atomic
opening for diffusion to occur.

Type of crystal defects present.

The less densely packed the atoms, for example at grain
boundaries , and the higher the vacancy concentration, the
higher the diffusivity.

Concentration of diffusing species. - complex

6.6 Industrial Applications of Diffusion Processes

1)

Heat treatment of engineering components.

All types of heat treatment require re-arrangement of atoms by
diffusion.

2)

Case hardening of steel components by carburizing.

# See Callister p 180
# See Callister ex. Prob. 7.1 ;

Class example: Calculate the time in minutes to gas carburize a

gear of 1020 steel at 927 oC to a concentration of 0,4 % C at a
depth of 0,7 mm. Surface concentration of C is 0,9 % and initial
concentration of the steel is 0,2 % C. D 927 = 1,28 x 10-11 m2/s
(143 min.)

3)

Impurity diffusion into silicon wafers for integrated microelectronic circuits ("doping").

Summary and Def.: Callister p 201-202 ; p 142-143

Assignment: See problems on clickUP

6-8

STUDY TOPIC 7: PHASE DIAGRAMS/

TRANSFORMATIONS
AND
HEAT TREATMENT
Chapter 8: Heat
treatment
(pg 329-431)
Study outcomes
- Know and understand the terminology
- Use binary phase diagrams to determine and/or calculate:
- the phases present at certain temperatures and alloy compositions
- the composition of phases at certain temperatures
- the mass fraction of each phase at a certain temperature
- Draw and/or interpret microstructures for equilibrium cooling of binary
alloys e.g Fe-C
- Draw, explain and apply cooling or heating curves for binary alloys for
example for hypo-, hyper- and eutectoid steel
- Explain the difference in crystal structures of austenite (), ferrite ()
and martensite
- Understand the mechanism of perlite, bainite, martensite, tempered
martensite and spherodite formation and the corresponding
microstructures
- Iinterpret, explain and use graphs depicting mechanical properties of
the different microstructures
- Know and understand the terminology and heat treatment process
steps i.e. austenitizing, annealing, normalizing, hardening, tempering
and spherodizing
7.1 Introduction .(p329 ; p123 )
Heat treatment of a material is the heating of a material to a specific temperature for a certain period
of time and subsequent cooling in order to obtain some micro-structural (grain size, phase
transformation etc.), property or stress state in the material.
Examples:
- annealing,
- hardening and tempering,
- normalising,
- precipitation hardening,
- recrystallization ,
- stress relieving etc.
7.2 Phases (p331-333 ; p 284)
A phase is an atomic structural state i.e. as a gas, liquid or solid. The phase in which the material
appears is dependant on composition, temperature and the pressure.

7.1

Fig.11.2 Diagram of phases of water.

7.3 Equilibrium Phase diagrams. (p 334-339 ; p 285-289)
A phase diagram at constant pressure ( 1 atm.) is either:
- a diagram of composition (x axis) and temperature (y axis) with phase areas bordered by
lines in the case of alloys
- or a diagram of time (x axis) and temperature (y axis) with phase areas bordered by lines
in the case of alloys and bordered by line intercepts in the case of pure elements.

7.2

Consider for example the Ni Cu phase diagram in Fig 7. 2. The properties of the atoms and their
crystal structures are such that there is complete solubility between Cu & Ni. The element which is
in the majority is the parent metal or solvent and that which is in the minority the alloying element
or solute. Such a system is referred to as a binary isomorphous system.

Figure 7.2 Cu-Ni phase diagram

There are three phase areas on the equilibrium phase diagram:
- a liquid phase at higher temperatures
- a solid phase () area at lower temperatures
- a dual liquid + solid ().
The phase areas are bordered by a liquidus and a solidus line . These lines are determined from
cooling curves for different Cu-Ni alloys
7.4 Use of an quilibrium phase diagram. ( p 334-339 ; p285-289 )
The three basic rules
Other phase diagrams, i.e. binary eutectic, binary eutectoid, binary peritectic etc. are also found.
The following could be determined, regardless of which phase diagram is considered or used, by
applying the three basic rules :
1. The phases present are those in whose area the alloy composition and temperature
lines intercept.
2. The compositions of the phases are obtained from the intercept of the temperature
with the borderlines.
3. The relative amounts of the phases present are obtained by applying the lever rule.

7.3

 The lever rule

The lever rule is used to calculate the relative amounts (as wt fraction or % ) of the phases present
and will now be deduced.
o
Consider an alloy with composition
wt % Ni, wt % Cu at
C in Fig 9.2. The phases
present are L + with the composition of each phase read from the intercept of the liquidus (X) and
solidus (Y) with temperature respectively. Suspend a mass m at X and mass mL at Y . Join the two
masses by a weightless lever. Support the lever with masses at the alloy composition O.

Take moments around X:

Take moments around Y:

7.4

7.5 The iron-iron carbide (Fe-Fe3C) or iron-carbon (Fe-C) phase diagram. (p363-373; p319322)
The equilibrium Fe-C or Fe-Fe3C phase diagram, as shown in Fig. 7.4, is an important tool in
predicting the response of steel to heat treatment.

Figure 7.4 Fe-C Phase diagram

Inspection of the phase diagram show the following phases:
1. Liquid present at high temperatures above the liquidus line.
2. or ferrite. It is Fe with a BCC crystal structure with a maximum solubility of 0,022
wt% C at 727 oC.
3. or austenite. It is Fe with a FCC crystal structure with a maximum solubility of 2,2
wt% C at 1147 oC. Pure Fe transforms from to at 912 oC on heating.

7.5

4. - iron. It is Fe with a BCC crystal structure. This phase occurs at temperatures above
that where steel is normally heat treated and will not be considered further in this
chapter.
5. Fe3C or cementite. It is an iron carbon intermediate compound with a fixed ratio of Fe to
C namely 6,7 wt % C.
6. In between the single phase areas are dual phase areas of which the following are of
relevance:
+ , + L, + Fe3C (ledeburite) and + Fe3C (pearlite)
Fe containing more than 6,7 % C is too brittle to use in engineering applications. Fe3C therefore
forms the right hand compound on the composition scale.
Phase transformations or reactions in the iron-iron carbide phase diagram
The Fe-Fe3C phase diagram contains three horizontal lines that indicate isothermal invariant
reactions (phase transformations that take pace at a single temperature and composition):
Peritectic reaction: This is a reaction that occur at 1493 oC where:
(0,1 %C)+ L (0,5 %C) (0,18 %C)
Temperatures in the vicinity of the peritectic temperature is above the normal heat treating
temperatures of steel and will not be further considered in this course.
Eutectic reaction: At the eutectic reaction point, liquid of 4,3 %C forms or austenite of 2,14 %C
and the intermetallic compound Fe3C or cementite with 6,7 %C. This reaction which occurs at
1147 oC, can be written as:
L (4,3 %C) (2,14 %C) + Fe3C (6,7 %C)
The eutectic mixture of + Fe3C in the Fe-Fe3C system is called ledeburite.
Eutectoid reaction: At the eutectoid reaction point, solid austenite of 0,76 %C produces a fine
eutectoid mixture of -ferrite with 0,022 %C and Fe3C (cementite) with 6,7 %C. This reaction
which occurs at 727 oC , can be written as:
(0,76 %C) ( 0,022 %C) + Fe3C (6,7 %C)
The eutectoid reaction product + Fe3C is called pearlite. The eutectoid reaction which takes
place in the solid state is important in the heat treatment of steel.
7.6 Equilibrium cooling of steel (p 363-373 : 319-322)
The equilibrium cooling of eutectoid plain carbon steel (0,76 %C).
If a sample of a 0,76%C steel is heated to above 727oC in the austenite phase area (austenitising.)
for a sufficient period of time, the microstructure will become homogeneous austenite. On slow
cooling to just above 727oC, the structure will be 100 % with a composition of 0,76 %C. When
cooled to just below the eutectoid temperature of 727 oC, it will transform to ( 0,022 %C) + Fe3C
(6,7 %C) or pearlite. The relative amounts of or ferrite and Fe3C or cementite can be calculated
by applying the lever rule.
w% = ( 6,7 0,76)x100 / (6,7 0,022) = %
w% Fe3C = 100
=
%

7.6

Figure 7.5 show the characteristic lamellar microstructure of pearlite

Fig 7.5 : Pearlite consists of plates of Fe3C in the matrix of Ferrite

The decomposition of to pearlite at the eutectoid temperature occurs by a process of nucleation

and growth.
The lower the transformation temperature relative to the eutectoid temperature, the higher the rate
of nucleation and the rate of growth. The net effect is that fine pearlite (small inter-lamellar
spacing) form at lower and course pearlite (larger inter-lamellar spacing) at higher transformation
temperatures. See Fig 7. 6 for microstructures.
The equilibrium cooling of hypo-eutectoid (less than 0,76 %C) plain carbon steel
Austenitise a sample with say 0,5 %C. On slow cooling, primary or pro-eutectoid nuclei will
form on the grain boundaries. These nuclei will grow with further cooling, to form a layer of on
the grain boundaries. On further cooling, the or austenite composition, gradually moves towards
the eutectoid composition or 0,76 %C just above 727 oC. The or ferrite composition, gradually
moves towards 0,022 %C just above 727 oC. The relative amounts of the phases present can be
calculated by applying the lever rule. The % increase while the % decrease as the temperature is
decreased. When the alloy is cooled to just below 727 oC, the (with 0,76 %C) which remained
just above 727 oC will now transform or react to form pearlite. The which forms in this eutectoid
reaction (below 727 oC) is called secondary or eutectoid to distinguish it from the pro-eutectoid
7.7

 which formed above 727 oC. The % Fe3C and % total can be calculated by applying the lever
rule just below 727 oC. The % eutectoid can be calculated by subtracting the % primary from
the total

Fig 7.6 :
(a) coarse pearlite
(b) Fine pearlite

The equilibrium cooling of hyper-eutectoid ( more than 0,76 %C) plain carbon steel.
Austenitise a sample with say 1,3 %C. On slow cooling, primary or pro-eutectoid Fe3C nuclei will
form on the grain boundaries. These nuclei will grow with further cooling, to form a layer of Fe3C
on the grain boundaries. On further cooling, the or austenite composition, gradually moves
towards the eutectoid composition or 0,76 %C just above 727 oC. The Fe3C composition, remains
constant at 6,7 %C.. The relative amounts of the phases present can be calculated by applying the
lever rule. The % Fe3C increase while the % decrease as the temperature is decreased. When the
alloy is cooled to just below 727 oC, the (with 0,76 %C) which remained just above 727 oC will
now transform or react to form pearlite. The Fe3C which forms in this eutectoid reaction (below 727
o
C) is called secondary or eutectoid Fe3C to distinguish it from the pro-eutectoid Fe3C which
formed above 727 oC.
The % total Fe3C and % total can be calculated by applying the lever rule just below 727 oC. The
% eutectoid Fe3C can be calculated by subtracting the % primary Fe3C from the total.

7.7 The non-equilibrium cooling of steel (p 373-374 ; p322-329)

Alternative phase diagrams, i.e isothermal transformation and continuous cooling diagrams are
applicable when the cooling rate is too rapid for equilibrium phases to form. The non-equilibrium
phases that do occur when steel is rapidly cooled are:
Bainite transformation (p402 ; p360 )
Bainite forms between approximately 250 oC and 550 oC . It has a feathery or needle-like structure
(as shown in Fig. 7) Bainite is nucleated by or ferrite, which is followed by the precipitation of
Fe3C in the ferrite. This process leads to a fine dispersion of Fe3C in a matrix of .
A distinction is made between upper and lower bainite. Upper or feathery bainite is bainite which
formed at temperatures between 350 oC to 550 oC, and has fine Fe3C plates generally parallel with
7.8

the long axis of the needles that make up the matrix. Lower bainite forms at temperatures between
250 oC and 350 oC and consist of very fine Fe3C plates usually oriented at an angle of 60 o to the
long axis of the needles. Fig .8 shows the difference between upper and lower bainite.

Fig 7.7 Microstucture of bainite under optical microscope magnification : 750 X

Fig 7.8 (a) upper bainite

(b) lower bainite

The dark matrix is ferrite and light particles are Fe3C

Martensite transformation (p404 ; p362)

With slow cooling of steel from the temperature range, carbon atoms are able to diffuse out of the
FCC austenite structures which subsequently form a BCC structure. With an increase in the
cooling rate, insufficient time is allowed for the carbon to diffuse out of the solution, the structure
cannot become BCC while the carbon is trapped in the solution. The resultant structure is BCT and
is called martensite. Fig 9. 9 show the straw like microstructure of martensite. The highly distorted
lattice structure is the primary reason for the high hardness and low ductility of martensite.

7.9

Fig 9.9 martensitic microstructure. Needle shaped grains are the martensite phase and white
regions are austenite that failed to transform during rapid quench
Figure 7.9.
Since no atomic diffusion takes place during martensite formation, the reaction is not time
dependent and occurs very rapidly. The amount of to martensite transformation is temperature
dependent. The transformation start at Ms and is completed at Mf .
7.8 Some heat treatments of plain carbon steel. (p591-593;p 404-418; p422-425; p375-376)
Annealing is a heat treatment process by which the steel is heated up to the austenite phase area
and then allowed to cool very slowly. It is very often allowed to cool with or in the furnace.
Equilibrium phases as discussed in para. 9.6 are obtained. The microstructures render soft ductile
material with large grain sizes and course pearlite.
Normalising is a heat treatment whereby the plain carbon steel is heated up to the austenite phase
area for hypo-eutectoid and eutectoid steels and then allowed to cool at an intermediate cooling rate
like being cooled in air. The equilibrium phase diagram can therefore not be used to determine the
amount of phases present. Normalising renders a finer pearlite and lower % pro-eutectoid
component than annealing. It is thus harder and less ductile than the annealed steel
Hyper-eutectoid steels are normalised at temperatures just above 727 oC This limits the amount of
pro-eutectoid Fe3C at the grain boundaries. Fe3C is hard and brittle and will cause embrittlement of
the steel if excessive amounts form on the grain boundaries. The decrease of the relative amount of
Fe3C will also improve machine-ability of the steel.
Hardening is the heat treatment process whereby the steel is austenitised and then very rapidly
cooled (quenched) to form martensite..
Tempering
7.10

Martensite is hard and brittle and has high residual stresses. Tempering is a heat treatment whereby
the physical properties of the martensite is altered to comply to certain requirements. The steel is
heated to a temperature range below the eutectoid temperature , kept at the temperature for a certain
period of time and then cooled to room temperature. Residual stresses are relieved and hardness
and ductility improved during tempering. Ductility increase but hardness and strength decrease.
The mechanism of tempering:
Martensite is a metastable phase, and as thermal energy is supplied during tempering, carbon will
tend to precipitate as rod-shaped carbide (Fe3C) and the iron, now depleted of carbon, will assume a
BCC ferrite structure. The process is diffusion controlled. The amount of diffusion is dependent on
temp. and time at temp.
Extended tempering at relatively high tempering temp. will result in the rod-like Fe3C particles
coalescing to from spherical Fe3C particles within the ferrite. This is known as spheroidising. The
corresponding microstructure is shown in fig 9.10. ( Spherodized cementite at 1000X
magnification)

Fig 7.10. ( Spherodized cementite at 1000 X magnification)

Stress relieving
Internal residual stresses are introduced into a metal component by :
- cold working
- quenching
- welding
- machining and grinding
These internal stresses could result in premature failure of the component. A stress relieve heat
treatment consist of heating the material to a temperature below the eutectoid temperature
for a controlled period of time.
Spheroidising
Prolong heating (i.e. 24 hours at 600 oC) of either tempered martensite, bainite or pearlite will
result in the Fe3C or cementite particles, which are present in all the mentioned phases, taking on a
spherical geometry or shape in a or ferrite matrix. This structure is called sheroidite and is more
7.11

ductile and softer and less strong than the phases from which it originated. It also has good
machine-ability.
The driving force for spheroidising is the minimisation of the inter-phase energy. The interface
between two phases has a surface energy (J/ m2). The microstructure with the lowest internal energy
is therefore a structure where the surface area between phases is a minimum. The geometry or shape
which has the lowest surface to volume ratio is a sphere.
7.9 Some mechanical properties of heat treated steel
See Callister for graphs. (fig 12.30 and 12.32 in callister)

7.12

Study Topic 8 Magnetic Properties of Materials

(Callister Chapter 21 p 752-772 1 ; p 800-823)
Study theme outcomes: After studying this chapter a student should amongst others be able to:
- define and explain the meaning of terms and concepts such as: ferromagnetic
materials; ferrimagnetic materials; paramagnetic materials; soft and hard
magnetic materials; magnetic field; magnetization and demagnetization;
magnetic field strength; magnetic induction (flux density); magnetic permeability
(o, , i, max, r ); Curie temp.; ferromagnetic domains; hysteresis loop;
saturation induction (Bs); remanent induction (Br); coercive force (Hc); maximum
energy product (BHmax);
- give the units, where applicable, for the concepts given above
- give examples of the different types of magnetic materials and give typical
applications of each
- describe an experimental method from which the B -H curve as well as hysteresis loop for a
ferro- (ferri-) magnetic material can be constructed and also how the i, max and r values
of the material can be obtained from the curve
- explain the principle of and the conditions for ferromagnetic behaviour of
elements and show why Fe, Co and Ni are the only ferromagnetic elements
- explain the concept of ferromagnetic domains and how the domain structure of a
ferromagnetic material is affected during magnetization and demagnetization in a
magnetic field
- explain why a magnetized ferromagnetic material is demagnetized after heating
to above its Curie temperature
- explain, with reference to their typical hysteresis loops, why soft ferromagnetic
materials are easily magnetized and demagnetized, while hard ferromagnetic
materials are difficult to magnetize and to demagnetize
- determine the following magnetic properties of a ferromagnetic material from its
hysteresis loop: Bs, Br, , Hc and BHmax. and explain the practical significance of
each of these properties (See Fig. 11.18 and Ex. Pr. 11.4)
- explain why coercive force (Hc) is considered a materials property while
magnetic field strength (H) is not a materials property
- solve the problems listed on clickUP

9th Ed

8.1

10.1 Introduction
Some uses of magnets

10.2 Basic concepts

( Callister 752-756: p801-805 )

Magnetic field strength

Magnetism is dipolar in its behaviour and therefore the field lines
extend from one pole to the other.
(See: Callister Fig. 21.1 )
Consider the magnetic field created around a coil or solenoid of
conducting wire:
(See: Callister Fig. 21.3)
H = n.i/l [A/m]
where;

n = number of turns in the solenoid

i = current [A]
l = length of the solenoid [ m ]

With reference to Callister Fig. 21.3 (a) )

Bo = o H
where

[T]

B o = magnetic induction or flux density

[Tesla=T ]
o = magnetic permeability of free space (4..10 7 T.m/A)

Now consider the situation where a bar of ferromagnetic material is

placed inside the solenoid. The magnetic field outside the coil will now
be stronger, due to magnetic induction.

8.2

B=H

Thus
Where

(B > Bo )

= magnetic permeability of the insert material

r = / o (relative permeability )

Typical values for r: 99,9% pure iron r = 5000

Fe-3% Si alloy r = 30 000
Note:
(a)
is the slope of the B-H curve.
(b)
is not a true constant, but fluctuates with the magnetic
field H (See Callister Fig. 21.13)
(c)
Magnetic materials with high and r values strongly
enhance the magnetic field around the coil and are
easily magnetized.

Origin of magnetic moments

Consider the situation of a single electron which rotates around the
atom core and spin around its own axis:
(See: Callister Fig. 21.4 )
This situation is equivalent to a current flowing through a coil. Small
magnetic dipoles are created by this rotation and spin around the
atom.
This situation is possible only in elements containing half filled inner
shell or orbitals (unpaired electrons). If these orbitals were ompletely
filled, the opposite spins of the two revolving electrons will neutralise
each other and no magnetic field is formed.

10.3 Types of magnetism.

(p756-760: p805-809)

Diamagnetism
8.3

The atomic magnetic dipole moments which are created when the
material is placed in a magnetic field opposes the applied magnetic
field. r is then smaller than 1
(See Callister Fig. 21.5 (a) )

Paramagnetism
The randomly oriented atomic dipole moments align themselves in the
direction of the applied magnetic field. When the external magnetic
field is removed, the material looses its magnetism. r is just larger
than 1.
(See Callister Fig. 21.5 (b))

Ferromagnetism
Some metallic elements i.e.Fe, Co, and Ni can be permanently
magnetized. The magnetic dipole moments maintain there orientation
in the same direction even after the external magnetic field was
removed.
Explanation
Figure showing electronic structure of the 3d orbital for transition metals
Atomic number

Element

Electronic configuration of 3d orbitals

23

24

Cr

25

Mn

26

Fe

27

Co

28

Ni

29

Cu

The 4s valence electrons participate in metallic bonding and are not shown..

( Ref. Smith, W.F. 1996. Fig. 11.6)

As shown in Figure 11.6, the elements Fe, Co and Ni contain a
8.4

number of half-filled 3d-orbitals. The atoms therefore has a nett dipole

moment while Cu does not. A further condition for ferromagnetic
behaviour is that the unpaired 3d-electrons of adjacent atoms align
their spins in a parallel direction. This is due to a positive exchange
energy between them. Fe, Co and Ni behave in this way. V, Cr and
Mn has a negative exchange energy with the result that their dipole
moments direct in an opposite direction (antiferroromagnetic)
For this parallel alignment to occur ( positive exchange energy), it is
required that the ratio of the inter-atomic distance (a) to the diameter
of the 3-d orbitals, must lie between a value of 1,4 and 2,7. Its for this
reason that the elements V, Cr and Mn are not ferromagnetic although
they have unpaired electrons.

Magnetic exchange energy as function of a/d

( Smith, W.F. 1996. Fig. 11.7)

Antiferromagnetism

Elements like Cr and Mn have a small magnetic dipole moment at

room temperature. These magnetic dipole moments align anti-parallel
in an external magnetic field as a result of negative exchange energy.
The a/d ratio falls outside the required values
(See Callister Fig. 21.8)

Ferrimagnetism
8.5

Ionic compounds with ions having different dipole moments. The

different ions align anti-parallel in an applied field but shows a net
magnetic dipole moment same as ferromagnetism.
(See Callister Fig. 20.9)

10.4 Effect of temperature on Ferromagnetism.

(Callister p763-764 :813-814)
The energy associated with an increase in temperature has the effect
to decrease the parallel alignment of unpaired 3d-electrons within the
magnetic domains.
At a specific temperature (Curie Temperature, Tc ), the ferromagne tic behaviour is completely lost & the material becomes paramagnetic.
Examples:
Fe (ferromagnetic)
iron:
cobalt:
nickel:

Tc

Fe (paramagnetic)

Tc = 770 oC
Tc = 1123 oC
Tc = 358 oC

(See: Callister Fig. 20.10 )

10.5 Domains and magnetic hysteresis.

(Callister 764-766; p814-818)

Magnetic domains
The crystal structures of ferro- (and ferri-) magnetic materials contain
small regions called magnetic domains, in which the atomic diploe
moments are aligned parallel. If the magnetic domains are randomly
orientated, there will be no net magnetization in a bulk sample. By
magnetization in a solenoid, they become orientated in one direction
and the material is macroscopically magnetized.
(See: Callister Fig. 21.11)
8.6

 Magnetization
When an external magnetic field is applied to a demagnetized
ferromagnetic or ferimagnetic material, it will become magnetized
again, due to the following structural changes:
(a) Magnetic domains whose moments are initially parallel to
the applied field (H), grow at the expense of the less favourably
orientated domains.
(b) If the applied field (H) is high (strong) enough, less favourably
orientated domains are also re-orientated by rotation of the dipole
moments thus moving the domain wall. See Callister Fig 20.12

Callister Fig 21.12

When the applied field is removed, the magnetized sample remains
magnetized (Br). Some magnetization is lost (Br < Bs) because
domains have a tendency to show a small amount of rotation back to
their original orientation.

Callister Fig. 21.13. Magnetization curve

Demagnitization
8.7

A material can be demagnetized by:

# applying an oppositely directed magnetic field
# heating the material to above its Curie temperature and slow
cooling
# cold work the material or expose it to impact

Hysteresis loop
The hysteresis loop of a ferro- or ferrimagnetic material is developed
by subjecting the material to a number of magnetization and
demagnetization cycles
The shape of the loop is a function of the type of ferromagnetic metal
or alloy. The internal area is a measure of the energy lost by the
magnetizing and the demagnetizing cycles.

Callister Fig. 21.14

Steps:
(1) The sample is magnetized in an applied field, during which the
8.8

magnetic induction (B) increases along Q-A, until the saturation level
is reached. (Bs = saturation induction)
(2) The applied field is now decreased to zero. The magnetic induction
(B) will decrease from A to C. Br is termed the remanent induction,
which is due to the magnetization of the material.
(3) The magnetic induction is now decreased along C-D by application
of a reverse (negative) applied field of the amount
Hc ( coercive force)
(4) If the negative applied field is increased still more, saturation is
reached at E.
(5) The reverse field is now decreased to zero, and the magnetic
induction (B) will now return to the remanent induction (Br) at F
(6) Upon final application of a positive field, the B-H curve will follow
F-G-A to complete the hysteresis loop.

10.6 Soft Maqnetic Materials.

(Callister 768-769: p 819-820)
Easy to magnetize and to demagnetize (low applied fields required
and low energy losses).

Requirements for soft magnetic materials

(1) High saturation induction (Bs) and high permeability ().
Iron is the most suitable.
(2) Minimum hysteresis losses which is increased by:
# impurities in solid solution
# high dislocation density (cold work)
# small grain size
# the presence of precipitates all which limits domain boundary
movement.
(3) Low eddy current energy losses.

8.9

(See Callister Table 21.5)

10.7 Hard Maqnetic Materials.

(Callister 770-772 : p822-824 )
Hard or permanent magnetic materials are characterized by a high
coercive force (Hc) and a high remanent induction (Br). A large
reverse magnetic field equal to Hc is therefore required to
demagnetize a hard magnetic material.
The area occupied by the largest rectangle that can be inscribed in
the second quadrant of the hysteresis loop is an indication of the
energy which is required for demagnetization. (BHmax )
Units: B x H = [T] x [kA / m] = [kJ / m3]
( See: Callister Table 20.6)

Callister Fig. 20.22

Summary and definitions: Callister: 779-780 . p832
Problems & examples: See clickUP

8.10

STUDY TOPIC 9
Electrical Properties of Materials
(Callister Chap. 19 p 681 687, 693-701, 723 ;p721-732,p733742;p766-768)
Study outcomes:
-

formulate the relevant definitions of the terms and know and understand the terms
used in this chapter
relate examples of typical practical applications of conductors, semiconductors
and insulators
explain why electrical resistance (R) is not a materials property, whilst resistivity
and conductivity are considered as materials properties
explain and indicate the similarity between the microscopic and microscopic form of
Ohm's law
calculate the resistivity and conductivity of a material at a specific temperature if its
temperature resistivity coefficient is given
predict the effect of impurities and alloying elements on the resistivity and the
conductivity of a conductor, by applying graphs with data
explain why the resistivity of a conductor like copper is increased by: (1) an
increase in the temperature, (2) the addition of alloying elements and (3) cold
working, of the material
apply the energy-band model to explain why some elements are good
conductors and why others are poor conductors of electricity
give examples of the use of dielectric materials
explain the mechanism by which electrical conduction occurs in intrinsic
semiconductors like silicon and germanium
derive an expression for the conductivity of an intrinsic semiconductor
calculate the resistivity and the conductivity of intrinsic semiconductors.
explain why the conductivity of semiconductors is increased by an increase of the
temperature, whilst the conductivity of good conductors is decreased by an
increase of the temperature.
explain by using a typical example of each, the difference in the mechanism of
electrical conduction between n-type extrinsic semiconductors and p-type
extrinsic semiconductors.
derive expressions for the conductivity of n-type and p-type extrinsic
semiconductors.
explain the mechanism by which an piezo-electric crystal works
calculate the resistivity and the conductivity of extrinsic semiconductors
solve the problems on clickUP

9-1

Most of the electrical properties of materials are related to the

conductivity, which is a materials property.
The effect of internal structure on the conductivity of metals and
semiconductors will be studied. (internal structure: atomic bonding,
crystal type, alloying elements, grain boundaries, etc.)
The conductivity properties of the various components of electrical
and electronic devices have to be controlled precisely.

9.1 Electrical Conduction in Metals.

(Callister p 681-683; 721-722 )
In the metallic bond the valence electrons are loosely shared by
many atoms in the crystal structure. So, free movement of electrons
is possible and metals have good electrical conductivity.

Smith, W.F. 1996 Fig. 5.2

In the absence of an electric potential, the motion of the valence
electrons is at random and there is no net current or current flow.
When an electric potential is applied, the electrons attain a directed
drift velocity, which results in directed flow of electrons (or current).

9-2

 Resistivity and Conductivity

Ohm's Law:
I
V
R

V = IR

= electric current (amperes, A) (1A = 1 Coulomb/s)

= potential difference (volts, V)
= resistance of the wire (ohms, )

The resistance R is not dependent on the type of material only, but

also on the shape of the wire (length (l) and cross-sectional area
(A)).
R = l / A

= electrical resistivity (.m)

The electrical resistivity is a true materials property and is

dependent on the type of material (internal structure) and on
temperature.
The electrical conductivity () is also a true materials property and
is defined as the reciprocal of the electrical resistivity.
= 1/

(.m)-1

According to the magnitude of their conductivities, materials are

divided into three groups:
#
#
#

conductors (high conductivity)

semiconductors (medium conductivity)
insulators (poor conductors)

Table with conductivities of some materials: (Taken from Callister Table 18.1)
Metal
Non-metal
(m)-1
(m)-1
Silver
6.8 x 107
Graphite
ca 105
Copper
6.0 x 107
Porcelein
ca 10 11
Gold
4.3 x 107
Al2O3
< 10 13
Aluminium
3.8 x 107
Polystyrene
< 10 14
Polyethylene
10 16
Nylon
ca <10 13

The expression I = V/R is termed the macroscopic form of Ohm's

law, since I and R are also dependent on the shape of the9-3

electrical conductor.
Ohm's law can also be expressed in its microscopic form, which is
independent of the shape of the conductor:
J = E/
J
E

=
=
=
=

or

J = E

current density [A / m2 ]
electrical field [V / m ]
electrical resistivity [.m]
electrical conductivity [.m] -1

This expression is more convenient when the effect of changes in

the internal structure of materials (e.g. alloying elements, impurities
and grain boundaries) on the electrical properties is studied.

Factors affecting the resistivity and the conductivity of

materials. (Callister p 688-691 ; 728-730)
Only the resistivity is considered here. The effect on conductivity
can be deduced from the resistivity ( = 1 / ).
Pure defect free metals at low temperatures have very low
resistivities. For other conditions, the total resisitivity of a conductor
is made up of a thermal (t), impurity (i) and deformation (d)
resistivity component.

Tot. =

Thus

t + i + d

T +

i + d

(Callister Eq. 19.9)

T = t = thermal component of resistivity

r = residual component of resistivity
(1)

Temperature

t increases almost linearly with temperature. At higher temperatures the

metal ions at the lattice positions vibrate more vigorously, by which the
conduction (valence) electrons are increasingly scattered.
9-4

Thus, the free path of electrons are decreased and resistivity is increased.
(See: Callister Fig. 19.8 )
Resistivity at 0 oC and temperature resistivity coefficient for some metals.
METAL
Aluminium
Copper
Gold
Iron
Lead
Magnesium
Nickel
Silver
Tungsten
Zinc

RESISTIVITY AT 0 0C,
(.nm)
27
16
23
90
190
42
69
15
50
53

TEMP. RESISITIVITY
COEFF. T, OC-1
0.0039
0.0039
0.0034
0.0045
0.0039
0.004
0.006
0.0038
0.0045
0.0037

(Ref. Van Vlack. L.H. 1980. Elements of Matl. Sc & Eng. Addison-Wesley:
London. p 154)

The electrical resistivity of most metals can be approximated by the

following equation:

= 0C ( 1 + T T) [.m]

0C = electrical resistivity at 0C
T = temperature coefficient of resistivity
(T is a function of the type of metal)
T
= temperature of conductor (C)
Class example:
a) Calculate the resistivity for pure Al at 90 oC
b) What is the conductivity of pure Al at 90 oC
(2)

Alloying Elements

When alloying elements are added to pure metals, solid solutions

are formed, whereby the crystal lattice of the parent metal is
deformed. This has the effect to cause additional scattering of the
conduction electrons, with an increase of the resistivity.
(See: Callister Fig. 19.8 & 19.9 )
9-5

(3)

Crystal Defects

Crystal defects like dislocations and grain boundaries also cause

additional scattering of the conducting electrons. The dislocation
density of a metal is increased for example, by plastic deformation
(cold work) during forming processes. After cold working the
resistivity can be completely restored to its original value, by a
recrystallisation heat treatment.
Summary:

Movement of electron through a) perfect crystal, b) crystal at high

temperature c) crystal with lattice defects.

9.2 The Energy-band Model for Electrical Conduction

(Callister p 683-688 ;722-727)
The energy-band model explains the ability of a material to conduct
electrons.

The energy-band model for metals:

According to the Pauli principle all electrons have different energies.
Accordingly, electrons are arranged into energy states, in
accordance with the electron configuration of the element.

The fig. shows the sequence how orbitals are filled by electrons.
9-6

Example: Sodium (Na) Atomic Number: 11

Electron configuration = 1s2 2s2 2p6 3s1
The electrons in the lower levels are tightly bound to the core of the
atom. The 3s1 electron is loosely bound and is free to be involved
in metallic bonding.

The 3s1 electrons in a block of sodium will therefore interact and

interpenetrate each other to form a 3s energy band, with each
electron at a slightly different energy level (Pauli).

If these 3s electrons are exited to above the Fermi-energy level,

electrons will be conducted. As a result very little energy is required
to excite electrons from the half filled 3s band to the conduction
band. Sodium is therefore a good conductor.

Na: 3S1

Mg: 3S2

Al: 3S23p1

Energy bands: Callister Fig. 18.5 ; Smith. W,F. 1996 Fig. 5.13(a)
This same argument can be followed for all good conductors like9-7

Cu, Ag, Au and Al.

The energy-band model for insulators.

In insulators all the electrons are tightly bound to their bonding
atoms by covalent or ionic bonding. They are therefore not free to
conduct electricity, unless highly energised.
The valence electron's energy band is therefore separated from the
upper (empty) conduction band by a large energy gap (Eg).
Empty conduction band
Energy gap (Eg)
Full valence band

Callister Fig. 18.4 & 18.6

To free an electron for conduction, the electrons must therefore be
energised to "jump" the gap, for which a large amount of energy is
required. Therefore, materials like diamond and alumina (Al2O3) will
act as electrical insulators.

9.3 Intrinsic Semiconductors

(Callister p 693-695 ; 733-735)
Intrinsic semiconductors are pure semiconducting materials, like
silicon and germanium.
Extrinsic semiconductors are very dilute solid solutions, having
semiconducting properties, like phosphorous-doped silicon.
Silicon and germanium are both covalent materials in which
bonding is effected by four highly directed sp3 hybrid covalent
bonds, to form a diamond cubic crystal structure. The four valence
electrons from each atom are therefore tightly attached to the
bonding atoms.
The crystal structure is as for carbon See Callister Fig. 4.17
Electric conduction in these materials is extremely difficult and9-8

occurs because some of the valence electrons are exited from their
bonding positions by thermal activation. The electrons jump from
the valance band across the energy gap Eg to conduction band.
(See: Callister Fig. 19.6)
When a valence electron is exited by an electric field from its
bonding position as shown below, a positively charged "hole" is left
behind and the electron becomes a free conducting electron.
Conduction will occur under the applied electric field due to the
movements of the positive "holes" to the negative pole and the
negative electrons to positive hole.

Callister Fig. 19.11

Quantitative relationships for conduction in intrinsic

semiconductors. (Callister p 694-695 ; 734)
There are two charge carriers contributing to electrical conduction in
intrinsic semiconductors i.e. free electrons and positive holes.
Current density (J) is equal to the sum of the conduction due to both
electrons and holes. The conduction could be expressed as:
= nqn + pqp
with n
p
q

=
=
=

n =
p =

number of conduction electrons / m3

number of conduction holes / m3
absolute value of electron or hole charge
(q = 1,6 x 10 -19 coulombs)
mobility of electrons [m2/V.s]
mobility of holes [m2/V.s]
9-9

But

p
ni

Thus:

ni

intrinsic carriers / m3

niq (n + p )

(m)-1

Table with Electrical properties of Si and Ge at 300 K

Property
Energy gap (eV)
Conductivity (.m) 1
Electron mobility (m2/Vs)
Hole mobility (m2/Vs)
Intrinsic carrier density ni (carrier/m3)
Intrinsic resistivity (.m)

Si
1.11
4 x 10-4
0.14
0.05
1.5 x 1016
2300

Ge
0.67
2.2
0.38
0.18
2.4 x 1019
0.46

(Data taken from Smith (1996) Table 5.4 and Callister Table 18.3)

(See: Callister Ex. Problem 19.1)

Effect of temperature on intrinsic semiconductivity

At zero Kelvin the valence bands of intrinsic semi-conductors such
as Si and Ge are completely filled and their conduction bands are
completely empty.
At temperatures above absolute zero, some of the valence
electrons are thermally activated and exited across the energy gap
into the conduction band, creating conduction pairs. Thus, in
contrast to metals, the conductivity of semiconductors increase with
increase in temperature.

= o e-Eg/2kT
with o = temp. independent constant
k = Boltzman constant = 8.620x10-5 (eV/K)
Eg = Energy gap (eV)
(See: Callister Fig. 19.16)
(See: Callister Ex. Problem 19.2)
9-10

9.4 Extrinsic Semiconductors

( Callister p 696-699 ; 736-740 )
Extrinsic semiconductors are very dilute substitutional solid
solutions in which the solute impurity atoms (dopants) have different
valence characteristics from the solvent (parent) lattice atoms.
Two types are distinguished
n-Type (negative-type) extrinsic semiconductors
p-Type (positive-type) extrinsic semiconductors
From the Periodic Table:
Group 3A
(dopant)
(valence = 3+)
B
Al
Ga
In

Group 4A
(parent lattice)
(valence = 4+)
Si
Ge

Group 5A
(dopant)
(valence = 5+)
P
As
Sb
n - type

p- type

The n-Type extrinsic semiconductor

If an atom from group 5A e.g. phosphorous, replaces a silicon atom,
which is a Group 4A element, there will be one excess valence
electron above the four needed for the covalent bonding in the
silicon lattice.
This extra electron is only loosely bonded and requires only 0,044
eV to be able to jump the energy gap. This is opposed to the 1,1
eV (Eg) which is required for the other valence electrons in the
silicon crystal.
See: Callister Fig. 19.12
Therefore, due to their valence of 5+, impurities from Group 5A like
P, As and Sb provide easily excitable electrons for conduction,
when added to Si or Ge. Due to that they provide conducting
electrons, they are termed donor impurity atoms.
They effectively narrow the energy gap Eg, as indicated by the
donor level.
9-11

Callister Fig. 18.13

The majority charge carriers are therefore electrons (n-type) , with
holes the minority charge carriers.

= nqn
The p-type extrinsic semiconductor
If an atom from Group 3A e.g. boron (valence 3+) replaces a silicon
atom (valence 4+), there will be one missing valence electron.
Therefore a positive hole is created at one of the four covalent
bonds surrounding this boron atom in the silicon lattice.
If an external electric field is applied to the silicon crystal, one of the
valence electrons from a neighbouring silicon atom can be exited to
move to the hole, and thereby the hole is transferred to another
position.
Hereby conduction will occur, due to the motion of holes in the
direction of the negative terminal of the applied electric field.
See: Callister Fig. 19.14
The energy associated with the movement of the hole in the case of
B in Si is 0,045 eV. This is small in relation to the 1,1 eV required
for the conduction of electrons in Si.
Therefore due to their valence of 3+, impurities from Group 3A like
B, Al or Ga provide easily excitable holes for conduction, when
added to Si and Ge.
In terms of the energy-band diagram, these elements provide an
9-12

energy level called an acceptor level, at which conduction can occur

due to the movement of holes.

Callister Fig. 19.15

These elements are called acceptor impurity atoms. The majority
charge carriers ( p-type) are therefore holes

pqp

Doping of extrinsic semiconductor materials

Doping is the process of introducing small amounts of impurity
elements like P and B (dopants) into selected areas into the surface
of a silicon wafer, to form small regions of n-type or p-type material.
This is effected by a special diffusion process, usually at around
1100C.

The influence of doping on carrier concentration in

extrinsic semiconductors
(Paragraph adequately summarized below)
At constant temperature, the product of the negative free electron
concentration (n) and the positive hole concentration (p) is a
constant.
- - - - - - - - - - - - - - (1)
ni

intrinsic concentration of (charge) carriers at a

certain temperature.

This relationship (1) is valid for both intrinsic and extrinsic

semiconductors.
9-13

Example : At 300 K (27C - "room" temperature):

for Si:
for Ge:

=
=

ni
ni

1,5 x 1016 [carriers./ m3]

2,4 x 1019 [carriers./ m3]

The material must be electrically neutral. Charge carriers in

extrinsic semiconductors are donor ions (Nd), acceptor ions (Na),
free electrons (n) and holes (p).
In general then, sum of negative carriers = sum of positive carriers,
or:
Na + n = Nd + p
#

-- - - - - - - - - - - - - - - - (2)

For n-type extrinsic semiconductors:

nn pn = ni

- - - - - - - - - - - - - - - - (3)

Where nn = concentration (-) electrons in n-type semiconductor

pn = concentration (+) holes in n-type semiconductor
Na = 0 and nn >> pn . Thus electrons carry most of the charge
(called majority carrier) and holes only a small number (called
minority carrier)
Thus, from (2) for majority carriers
nn

Nd

- - - - - - - - - - - - - - - - - (4)

Nd = concentration of dopant atoms, like P, As and Sb.

From equations (3) and (4) for minority carriers:
2

pn

ni
= n
n

Conductivity (n-type):
Because

ni
N
d

- - - - - - - - - - (5)

nn q n

nn q n - - - - - - - (6)

pn q p

nn >> pn

9-14

Resistivity
#

- - - - - - - - (7)

For p-type extrinsic semiconductors:

np pp = ni

- - - - - - - - - - - - - - - (8)

Where np = concentration (-) electrons in p-type semiconductor

pp = concentration (+) holes in p-type semiconductor
Nd =0 and pp >> np . Thus holes carry most of the charge (called
majority carrier) and electrons only a small number (called minority
carrier)
Thus, from equation (2) for majority carriers:
pp

Na

-- - - - - - - - - - - - - - - - (9)

(Na = concentration of dopant atoms, like B, Al and Ga.)

From (8) and (9):
2

np

ni
= p
p

ni
N
a

- - - - - - - - - - - - - -(10)

Conductivity: (p-type) = np q n + pp q p

pp q p

- - - - - - - - - (11)

Because pp >> np
Resistivity

- - - - - - - - (12)

Problems: 1) See: Callister Ex. Prob. 19.3;

A silicon wafer is doped with 1021 phosphorous atoms/m3.
Calculate: (a) the majority carrier concentration.
(b) the minority carrier concentration.
(c) the electrical resistivity of the doped silicon at 300 K.
Data for silicon:

ni
n
p

=
=
=

1,5 x 1016 [carriers / m3]

0,135
[m2 / V s]
0,048
[m2 / V s]

9-15

9.5

Dielectric (insulation) Behaviour

Ceramics are ionic materials and polymers covalent materials and

are therefore electrical insulators (dielectrics). Some ceramics are
however also used as semiconductors.
Many ceramic or polymer materials are used for electrical and
electronic applications, such as:
1) High and low voltage electrical insulators.
Examples of ceramic materials used as electrical insulators:
# electrical porcelain
# alumina (Al2O3)
# steatite
Examples of polymer materials used as electrical insulators:
# phenol formaldehyde (bakelite)
# nylon
# polyethylene
2) Inserts for capacitors. (A capacitor is an electrical device which
can store electric charge.)
Examples of ceramic materials used in capacitors:
# barium titanate (BaTiO3)
# BaTiO3 mixed with other ceramics
Table: Formulations for some Ceramic Dielectric Materials for Capacitors
Formulation
Dielectric const.
325
BaTiO3 + CaTiO3 + low % Bi2Sn3O9
2100
BaTiO3 + low % CaZrO3 and NbO5
6500
BaTiO3 + low % CaZrO3 and BaZrO3
(Data from Smith, W.F. 1996 Table 10.8)

9-16

9.6 Piezoelectric ceramics. (Callister p 723 ;

p 767)

It is eramics which can convert electrical pulses into mechanical

vibrations and vice versa
Examples of piezoelectric ceramics:
#
barium titanate (BaTiO3)
#
mixtures of lead zirconate (PbZrO3) and
lead titanate(PbTiO3)
Summary and Def: Callister p 713 714
Problems:
On clickUP

9-17