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Image forces on edge dislocations: a revisit of the fundamental concept
with special regard to nanocrystals
Prasenjit Khanikara; Arun Kumara; Anandh Subramaniama
a
Department of Materials Science and Engineering, Indian Institute of Technology Kanpur, Kanpur
208016, India
First published on: 04 December 2010
To cite this Article Khanikar, Prasenjit , Kumar, Arun and Subramaniam, Anandh(2011) 'Image forces on edge
dislocations: a revisit of the fundamental concept with special regard to nanocrystals', Philosophical Magazine, 91: 5, 730
— 750, First published on: 04 December 2010 (iFirst)
To link to this Article: DOI: 10.1080/14786435.2010.529089
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Philosophical Magazine
Vol. 91, No. 5, 11 February 2011, 730–750
Image forces on edge dislocations: a revisit of the fundamental
concept with special regard to nanocrystals
Prasenjit Khanikar, Arun Kumar and Anandh Subramaniam*
Department of Materials Science and Engineering, Indian Institute of
Technology Kanpur, Kanpur 208016, India
Downloaded By: [University of Cincinnati] At: 20:01 21 March 2011
(Received 3 April 2010; final version received 30 September 2010)
Two conditions under which image forces become significant are when a
dislocation is close to a surface (or interface) or when the dislocation is in
a nanocrystal. This investigation pertains to the calculation of image forces
under these circumstances. A simple edge dislocation is simulated using
finite element method (FEM) by feeding-in the appropriate stress-free
strains in idealised domains, corresponding to the introduction of an extra
half-plane of atoms. Following basic validation of the new model, the
energy of the system as a function of the position of the simulated
dislocation is plotted and the gradient of the curve gives the image force.
The reduction in energy of the system arises from two aspects: firstly, due
to the position of the dislocation in the domain and, secondly, due to
deformations to the domain (/surfaces). The second aspect becomes
important when the dislocation is positioned near a free-surface or in
nanocrystals and can be calculated using the current methodology without
constructing fictitious images. It is to be noted that domain deformations
have been ignored in the standard theories for the calculation of image
forces and, hence, they give erroneous results (magnitude and/or direction)
whenever image forces play an important role. An important point to be
noted is that, under certain circumstances, where domain deformations
occur in the presence of an edge dislocation, the ‘image’ can be negative
(attractive), zero or even positive (repulsive). The current model is extended
to calculate image forces based on the usual concept of an ‘image
dislocation’.
Keywords: dislocation stress fields; image forces; nanocrystals; finite
element method
1. Introduction
A dislocation near a free surface feels a force towards the surface, which is called the
image force [1]. The term image force is used in literature because a hypothetical
negative dislocation is assumed to exist on the other side of the free surface for the
calculation of the force. If the material with a dislocation is bonded with another
material of a lower elastic modulus, the dislocation would still feel an attractive
force towards the interface, which would be lower than that for a free surface.
*Corresponding author. Email: anandh@iitk.ac.in
ISSN 1478–6435 print/ISSN 1478–6443 online
ß 2011 Taylor & Francis
DOI: 10.1080/14786435.2010.529089
http://www.informaworld.com
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If the material across the interface is elastically harder, then the force experienced
by the dislocation could become repulsive in nature (depending on the exact
configuration). This could lead to an equilibrium position of a dislocation within the
crystal (instead of the free surface) [2]. Additionally, if the free surface is replaced by
a surface with constraints, then the magnitude and nature of the force experienced
would be altered. The term ’image force’ can be extended to these cases as well,
keeping in mind the fact that the construction of an image dislocation may or may
not be possible, as in the case of a free surface-bounded crystal (wherein, the vacuum
part is replaced with the same material having a negative dislocation).
These cases, with dislocations near an interface, can be analysed as dislocations
in semi-infinite domains [2]. Head [3] has analysed the force experienced by a
dislocation near a surface film by using an infinite set of images. When the
dislocation is near an interface, the interface deformations cannot be ignored and
should be taken into account for the calculation of the energy of the system [4,5]. In
free-standing nanocrystals, more than one surface will be at comparable distances
from the dislocation line, and net force experienced by the dislocation would then be
a superposition of all the image forces. Additionally, with decreasing size of the
crystallite, the deformations to the domain shape become increasingly important.
This implies that for free-standing nanocrystals, the standard theoretical formulations used in the analysis of semi-infinite domains do not yield correct results.
The image force experienced by a dislocation can be resolved into a glide
component parallel to the slip plane and a climb component perpendicular to the slip
plane. When the glide component of the image force exceeds the Peierls force [6], it
can lead to depletion of dislocations from regions near the surface of large crystals
[1,7] and, in the case of nanocrystals, these forces can lead to a completely
dislocation-free crystal [8]. The climb component of the image force is expected to
play a role at high temperatures when dislocation climb becomes feasible.
The utility finite element method (FEM) at the nanometre length-scale is
highlighted through the work of Benabbas et al. [9], Zhang and Bower [10],
Rosenauer [11] and other researchers. FEM has also proved to be an important tool
in understanding dislocations in materials and its interactions with other stress fields
[12–15]. Belytschko and co-workers [16–19] have made significant contributions to
the understanding of dislocations; especially in the vicinity of interfaces (free surfaces
and bimaterial interfaces). They have used techniques, such as enrichment of finite
element space and J-integrals, to develop methodologies applicable to non-linear and
anisotropic materials. Their contributions include calculating stress fields using
XFEM along with Peach–Koehler forces.
Schall et al. [20] have noted that, even on a scale of a few lattice vectors, the
dislocation behaviour is well described by a continuum approach. In systems with
complexity in: (i) distribution of dislocations or other internal stress fields, (ii)
external loading and boundary conditions, (iii) geometry of the domain or (iv)
material distribution, FEM becomes an indispensable tool. However, any model
based on linear elasticity is not expected to be valid when the dislocation is very near
an interface and atomistic models taking in the core structure can yield good results
[21,22]. Researchers have used different computational methods to calculate image
stress fields. Xin et al. [23] have used boundary element method for the investigation
of dislocation–boundary interactions. Weinberger and Cai [24] have developed a
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P. Khanikar et al.
numerical method to compute image stress fields of defects in an elastic cylinder.
Investigators studying dislocation dynamics (e.g. Van der Giessen and A. Needleman
[25], Zaiser et al. [26], Weygand and coworkers [27]) have used alternatives to FEM
[28] and also a hybrid of FEM and dislocation dynamics methodologies, to take into
account image forces [29, 30]. Yasin et al. [31] have considered size and boundary
effects in their 3D discrete dislocation model to understand the deformation of single
crystal metals. Zbib and de la Rubia [32] have developed a multiscale model of
plasticity wherein the effect of the interaction of interfaces with dislocations and
point defects is taken into account. Verdier et al. [33] have reviewed the methods and
techniques used for the simulation of dislocation dynamics on a mesoscopic scale,
including the effects of image forces. Moriarty et al. [34] have covered the broader
area of atomistic simulations of dislocations and defects in their review. Due to
limitations of space, the review of literature presented here is but a sampling of the
vast literature on the subject of dislocations. The reader can consult these references
as a starting point to a detailed study.
The manuscript is intended to make the following fundamental contributions to
our understanding of image forces, especially with reference to nanocrystals and
their computation using FEM: (i) A dislocation near a free surface deforms it and,
hence, alters the energy state of the system along with the image force experienced by
the dislocation. This effect is not taken into account in the standard formulations
and will be a topic of focus in this work. (ii) In nanocrystals, the surface and domain
deformations cannot be ignored, which will lead to an altered state of stress and
energy of the domain and, hence, the image forces (which could be drastically
altered). The current work considers these factors. (iii) In a fixed boundary scenario,
it is easy to visualise the direction of the image force. In nanosized domains, which
can bend or buckle, this cannot be taken for granted and the direction of the image
force is a function of the position of the dislocation in the domain (i.e. it has to be
calculated for a given position). The methodology developed is well suited to address
this issue. (iv) In nanocrystals, due to proximity of more than one surface, the net
image force, to a first approximation, is a superposition of multiple images.
The current work proposes a methodology wherein multiple images need not be
considered (i.e. no fictitious images need to be constructed). (v) The work shows
a systematic comparison between the concept of an image dislocation for the
calculation of image forces and the use of a single dislocation. In the context of
nanocrystals, this also brings out the limitations of the standard equation for the
calculation of the image force. (vi) This work brings out the concept of a positive
image (via FEM), which brings about the convergence of the two and single
dislocations models presented. (vii) The current methodology is easy to implement
and extend to other configurations (e.g. in the presence of coherent or semi-coherent
precipitates in a free standing film). (viii) There are other minor contributions,
including finding a bimaterial configuration, which can yield a nearly zero image
force over most positions of the dislocation in the domain (implying regions of
stability even with low Peierls stress).
The current work, which uses methods different from the standard discrete
dislocation plasticity techniques, aims at the following tasks: (i) simulation of an
edge dislocation in idealised domains using FEM, (ii) calculation of the glide and
climb components of the image force, using a single dislocation or by using two
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dislocations (one of which is the ‘image dislocation’) and compare the results of the
simulations with that of the standard equations, (iii) determination of the image
force experienced by an edge dislocation near a bi-material interface or near a
constrained boundary, (iv) utilise this methodology to analyse the case of
dislocations in nanocrystals, wherein domain deformations lead to a lowered net
energy of the system and hence affects the image force. Additionally, efforts will be
made to keep the procedures intuitive and simple; with suitable illustrations of the
models considered. Some of the configurations considered are similar to those
investigated by Sasaki et al. [13] and Belytschko and Gracie [18].
2. Theoretical background
The x component of the stress field of an edge dislocation in an infinite isotropic
medium [35] has been modified by Sasaki et al. [13] for a finite cylindrical domain of
radius r2:
Gb
y
r2 2
3r2 2
3 1 2 x þ 1 2 y ,
ð1Þ
x ¼
2ð1 Þ ðx2 þ y2 Þ2
r2
r2
where G is the shear modulus, b is the modulus of the Burgers vector and is the
Poisson’s ratio. When r2 ! 1, the equation for the infinite domain case is obtained.
The energy of an edge dislocation per unit length (Edl) is given by [1]
Gb2
2 þ ln
,
ð2Þ
Edl ¼
r0
4ð1 Þ
where is the radius of a cylindrical crystal and r0 is the core radius (usually assumed
to be of the order of b [36]). The first term in the equation is due to the contribution
from the core of the dislocation, which is estimated to be a fraction of the total
energy [1]. The image force (Fimage) experienced by the edge dislocation at a distance
d from the surface of a semi-infinite domain is given by [1]
Fimage ¼
Gb2
:
4ð1 Þd
ð3Þ
For a finite domain of length L (Figure 1), the image force experienced by the
edge dislocation (towards the vertical surfaces) can be computed as a superimposition of two image forces (by assuming two image dislocations) as follows:
Gb2
1
1
Gb2
2x
,
ð4Þ
¼
Fimage ¼
4ð1 Þ d L d
ð1 Þ L2 4x2
where x is the position of the dislocation from the centre of the domain (Figure 1). It
is seen from Equation (4) that the dislocation does not experience any force at the
centre of the domain (x ¼ 0), which is symmetrical position with respect to the two
surfaces.
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P. Khanikar et al.
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Figure 1. Schematic illustration showing an edge dislocation in a finite domain experiencing
two image forces. The ‘image dislocations’ are of opposite sign and lie on the extension of the
slip plane.
3. Simulation methodology
An p
edge
ffiffiffiffiffiffiffidislocation is simulated in aluminium (a0 ¼ 4.04 Å; slip system: h110i{111},
b ¼ 2a0 /2 ¼ 2.86 Å, G ¼ 26.18 GPa, ¼ 0.34837) by imposing the stress-free strain
corresponding to the introduction of an extra half-plane of atoms. Stress-free strains
are also called eigen strains (or Eshelby strains) and the point to be noted is that on
the imposition of these strains, stresses would develop in the crystal (stress field of
the edge dislocation in the present case). The term stress-free strain implies that if the
body were unconstrained, then no stresses would develop in the body (e.g. thermal
expansion or phase transformation of an unconstrained crystal). Use of anisotropic
material properties is not expected to alter the methodologies developed in the
current work. However, this allows the use of simple theoretical equations for
comparison (Equations (1)–(4)). The value of G and are calculated by Voigt
averaging single crystal data [35]. It is assumed that material properties of bulk
crystals are valid at the length-scales used in the simulations. The structure and the
energy of the core of the dislocation are ignored in the model. The energy of the core
is not expected to play an important role in the calculation of image forces, except
when the dislocation is at a distance of a few Burgers vectors from the an interface
(i.e. the core energy is not expected to be a strong function of the position of a
dislocation from the interface and, hence, would be nearly a constant additional term
to the total energy of the system). At this point, it should be noted that the current
model is amenable to modifications, to include a core model, as prescribed by Stigh
[12], by altering the shape of the region where strains are imposed to a wedge shape.
It is assumed that the dislocation has not split into partials. Isotropic, plane-strain
conditions are assumed and the stress-free (eigen) strain ("T) introduced as thermal
strains into a region (of width b) as shown in Figure 2 is
"T ¼
ða0 þ bÞ a0 1
¼ ,
2
a0
ð5Þ
where a0 (¼2b) is the face diagonal of the cubic unit cell. The strain is imposed only in
a direction along the face diagonal of the cube (x-direction in Figure 2), as this
corresponds to the insertion of an extra half-plane of atoms (to simulate the stress
fields of an edge dislocation). This insertion implies that the additional half-plane is
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735
Figure 2. Symmetrical half of a circular domain showing the regions where stress-free strains
are imposed to simulate an edge dislocation. Two sets of boundary conditions are used to
study the effect of deformations to the domain shape on the energy of the system: (a) less
constrained system, and (b) more constrained system to restrict parts of circumference from
deforming. The strain imposed in this case and future cases for the simulation of the edge
dislocation are according to Equation (5).
added along the face diagonal making the total length (a0 þ b) and, hence, the strain
is calculated to be ½ as in Equation (5). In the absence of symmetry, where a full
domain will have to be considered (instead of the symmetric half), this region where
thermal strains are imposed to simulate an edge dislocation, will be of width 2b.
Circular and rectangular domains were meshed with bilinear quadrilateral elements
with mesh size b b (Figures 2 and 3). In the current simulations, L is taken to be
500b. Two sets of boundary conditions imposed are also shown in Figure 2
(the second set of boundary conditions is used to study the effect of deformations to
the domain shape on the energy of the system). This simple geometry has been
considered to make a comparison with the standard theoretical Equations (1) and (2)
and to validate the FEM model of the edge dislocation. The numerical model was
implemented using the Abaqus/standard (Version 6.7, 2007) FEM software. As the
standard equations for stress fields and energy are for circular domains (cylindrical
in three dimensions), the circular domain is used for the comparison of the FEM
calculations with the theoretical equations [1,13] and to validate the finite element
model. The size of the circular domain is varied to get a plot of the energy of the
dislocation as a function of the domain size. The rectangular domain is used for
image force calculations. For a comparison of the energy obtained from the finite
element model, with the theoretical equation for energy (Equation (2)), the core
contribution term in the equation was ignored.
The energy of the system (per unit depth) is calculated from the model and then
plotted as a function of the position of the dislocation. The direction of depth is
parallel to the dislocation line, which is perpendicular to the xy-plane (Figure 3).
Hence, the energy computed is the energy of the dislocation per unit length of the
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P. Khanikar et al.
Figure 3. Rectangular domain showing regions where stress-free strains are imposed, along
with the boundary conditions used, for the simulation of an edge dislocation at a distance x
from the centre of the domain along the x-direction.
Figure 4. Domain, boundary conditions and the regions where stress-free strains are imposed
to simulate a positive and a negative edge dislocation. This configuration is consistent with the
theoretical concept of an ‘image dislocation’ and is used for the calculation of glide component
of the image force.
dislocation line. The image force (per unit depth) experienced by the dislocation is
the slope of the energy versus distance plot (negative slopes correspond to attractive
forces towards the boundary). By positioning the dislocation at various points along
the x-direction, the glide component of the image force is computed.
To make a direct comparison with the theoretical notion of an image of a
dislocation, the configuration shown in Figure 4 is considered. It should be noted
that the theoretical image dislocation annuls surface stresses in the case of a screw
dislocation, but does not annul the xy (shear) stresses in the case of the edge
dislocation [35]. Furthermore, the image force calculated using the image
(edge) dislocation gives a correct result; but, the stresses have to be modified to
annul the residual shear stresses. More on this aspect will be considered along with
the results based on this model. As shown in the figure, the domain is an extended
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Figure 5. FEM model used for the calculation of the climb component of the image force:
(a) single-dislocation model, and (b) two-dislocation model (one of the dislocations being an
‘image dislocation’). Symmetrical half of the domain used in the FEM analysis is shown in
both the figures.
one containing a simulated edge dislocation of the opposite sign. The energy of these
systems as the dislocations are brought towards each other (symmetrically) is plotted
as a function of their position and the slope of this curve gives an alternate
calculation of the image force; which is consistent with the concept of an image
dislocation.
The methodologies adopted for calculating the glide component of the
image force can be repeated to determine the climb component of the image force.
This is done using the models shown in Figure 5. The distance y (distance from the
centre of the domain) is varied to position the dislocation at various points along
the y-axis.
As mentioned in Section 1, the concept of image force experienced by a
dislocation can be applied to three distinct cases for the dislocation in the vicinity of:
(i) a free-surface, (ii) an interface with another material, and (iii) a constrained
surface. In the case of the interface with a harder material and the case of a
constrained surface, the image force could be repulsive (this depends on the exact
configuration). The case of a constrained surface is illustrated here with an example,
wherein the nodes on the boundary are locked in the x-direction. In this model, the
image developed is a positive dislocation and, hence, the force is repulsive in nature.
It is worthwhile to note that the concept of an ‘image dislocation’ can directly be
extended to the case of crystal bound by constrained surface (of the kind described),
by making the image a positive one. To investigate these additional cases, the
configurations shown in Figure 6 are used. Without loss in generality, the harder
material can be made a softer one, which would lead to purely attractive force on the
edge dislocation. Nickel is chosen as the harder material for the simulations
(G ¼ 94.66 GPa, ¼ 0.2767). Aluminium will now play the role of the softer material.
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P. Khanikar et al.
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Figure 6. Domains used for the simulation of image forces experienced by an edge dislocation
in the vicinity of: (a) an interface with a material of higher elastic modulus, and (b) a surface
locked in x-direction (constrained surface).
Figure 7. FEM models which highlight the power of the new methodology developed in the
current investigation: (a) inclined slip plane of length ‘s’ in a rectangular domain of aluminium
with length (L) to breadth/height (h) ratio of 1:3, (b) a thin plate of aluminium with a
horizontal slip plane (b ¼ 2.86 Å), and (c) an interfacial misfit edge dislocation in an
heteroepitaxial system (Si/SiGe, b ¼ 3.84 Å).
Having used the aforementioned models to validate the applicability of the new
methodology; three further models (Figure 7) are considered, which illustrate those
cases wherein the analytical formulation clearly breaks down (with respect to the
direction and magnitude of the image force). These models will be used to highlight
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Figure 8. Plot of the FEM-simulated x stress contours and its comparison with the
theoretical equation [13] in a symmetrical half of a circular domain: a close match is seen
between the two values.
the power of the current method. The objectives behind the choice of these cases are
outlined next. In the first model (Figure 7a), the slip plane is inclined, which implies
proximity of the free surface. However, the domain is longer than this length,
implying that the self energy of the dislocation will be high. Additionally, this
configuration implies only a small bending of the domain. In the second model
(Figure 7b), the bending is larger, leading to considerable deviation in energy
(and stress plots), compared to a constrained domain. When the models shown in
Figures 3 and 7a,b are put together, a broad range of domain deformations are
covered. These represent cases wherein Equation (4) becomes progressively
inapplicable. The third model (Figure 7c) corresponds to an interfacial misfit edge
dislocation in a heteroepitaxial system (Si/Ge0.5Si0.5). As discussed later, the misfit
edge dislocation represents a considerable deviation from the conventional edge
dislocation and, hence, there are no available analytical expressions to compute the
image force experienced by such a dislocation. The details of the simulation of the
epitaxial system (model Figure 7c) along with the material properties are given
elsewhere [14].
4. Results and discussion
Figure 8 shows the plot of x stress contours in a circular domain of 125b radius,
determined from the current FEM simulations, along with those calculated using the
theoretical Equation (1). A comparison of the two sets of contours in Figure 8 shows
a close match. Unlike the case of the infinite domain, wherein the compressive and
tensile regions are separated by a single horizontal zero stress line, the finite circular
domain shows a stress reversal. A comparison of the variation in the energy of the
dislocation (per unit length) in a circular domain, as a function of the domain
size, determined from the FEM calculations, with that from the theoretical
Equation (2) is shown in Figure 9 (these simulations correspond to the
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P. Khanikar et al.
Figure 9. Energy of the edge dislocation (per unit length of the dislocation line) as a function
of the circular domain size: FEM-calculated values and its comparison with the theoretical
values [1].
configurations shown in Figures 2a and b). Similar trends, along with a good match
are observed between the theoretical results and the FEM computed values. It is also
seen that the energy of the system increases with additional constraints to the
deformation of the domain, with the energy of the more constrained domain being
closer to the theoretical values. The FEM determined values are expected to be lower
than the theoretical values, as relaxations are allowed in the FEM model (i.e. the
surface is allowed to deform, except at points on which it has been constrained
(Figure 2)). The shape of the deformed and the undeformed domains have been
compared in Figure 10. It should be noted that slight geometrical relaxations could
lead to large energetic relaxations.
Figure 11 shows the plot of the FEM calculated energy values of the system as the
simulated edge dislocation is positioned at various points along the x-axes. Two
configurations of the system with edge dislocation(s) have been used to determine the
energy as shown in Figures 3 and 4. These two configurations represent domains in
which one domain is double the size of the other and a comparison in the energy
values is made possible by taking half the energy determined from the double-sized
domains. The image forces (glide component) calculated from these curves are also
shown in Figure 11, along with the plot of the theoretical equation (Equations (3)
and (4)). Positive image force values are indicative of an attraction towards the
surface. Figure 12 shows the deformations to the free-surface, along with the x
stress contours, when the edge dislocation is positioned at a distance of 20b from it.
It is important to note that small geometric deformations can lead to considerable
relaxation in energy and, hence, can have a profound effect on the image force
experienced by the dislocation. It is to be noted that, in the model with twodislocations (Figure 4), these deformations would be restricted, compared to the
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Figure 10. Deformation to the shape of a circular domain (symmetrical half shown) of
diameter 100b, due to the dislocation stress fields (plot of x contours shown on the deformed
domain). The deformed shape has been shown exaggerated by a scale factor of six.
Figure 11. Energy of an edge dislocation (per unit length of the dislocation line) and the image
force (glide component) experienced by it as a function of its position along the x-axis from the
centre of the rectangular domain.
model with a single dislocation (Figure 3). This implies the energy of the system with
a single dislocation would be lower, which is seen in Figure 11. It is seen from the
plots in Figure 11 that there is a reasonable match between the theoretical plot of
image force (Equation (4)) and the values calculated from the FEM simulation.
However, it is seen that the values obtained from the simulation are higher than that
from theory for positions of the dislocation away from the centre. This is as expected
and is due to a steeper fall in the energy of the system as the dislocation moves away
from the centre of the domain, which is consistent with the relaxations allowed by a
free-standing crystal.
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Figure 12. Deformations to a free surface due to the presence of a FEM-simulated edge
dislocation at a distance of 20b from the surface. Plot of x contours shown on the deformed
domain (the deformed shape has been shown exaggerated by a scale factor of six).
An important point worthy of reiteration here is the fact that theoretical
calculation of stress fields using an image edge dislocation need corrections [35];
unlike the stress fields computed using an image screw dislocation. However, the
image force calculated from the image dislocation model turns out to be right [35].
This aspect further highlights the importance of single-dislocation model developed
in the current work; wherein the construction of an image dislocation need not be
considered and stress fields arise naturally from the model (hence, is an additional
motivation for the current work). In light of these discussions, it becomes clear that
the FEM model with an image dislocation has been considered for making an
internal comparison and also to emphasise the importance of the single dislocation
model (main theme of the current work).
Figure 13 shows the plot of the climb component of the image force, along with
theoretical plots of Equations (3) and (4), using the models shown in Figure 5. As in
the plots in Figure 11, it is seen that the model with a single dislocation yields a lower
energy for the system, compared to a model with two dislocations (one of the edge
dislocations being an image dislocation as before). One difference to be noted
between Figures 11 and 13 is the residual climb component of the image force present
for the position of the dislocation at the centre of domain, using a single-dislocation
model (in Figure 13). This is due to the asymmetry in the boundary conditions used
(Figure 5a). This was necessitated by the requirement to leave a free-surface, towards
which the dislocation can feel the image force. The lower surface could also have
been left free (with the numerical requirement of locking just the central point on this
line along the y-direction); which would lead to further relaxation of the system, by
buckling of the domain maintaining the x ¼ 0 line mirror symmetry.
In Figures 11 and 13, the theoretical plot of the image force obtained
from Equation (3) has been included; which is valid only for semi-infinite domains.
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Figure 13. Energy of an edge dislocation (per unit length of the dislocation line) and the image
force (climb component) experienced by it as a function of its position along the y-axis from
the centre of the rectangular domain.
The inclusion of this plot is for the estimation of the distance of the dislocation from
the surface, at which the domain seems like an infinite one, with regard to the image
forces experienced. The rule of thumb, which can be evolved by analysing the plots,
is that, when d/L 5 0.1, the finite domain behaves like an semi-infinite one within
an error of 1%.
At this point, it should be noted that the FEM simulations are expected to be
valid for dislocation positions which are large compared to the core dimension (i.e.
approximately, when d 4 5b). In the examples considered, the method has been used
to calculate the image force along the x- and y-directions and can readily be extended
to force calculations along any arbitrary direction.
Figure 14 shows FEM calculations of image force (glide component) in the
presence of an elastically harder material (according to the model in Figure 6a) of
three thicknesses (t ¼ 5b, 50b and 100b). For t ¼ 5b, the edge dislocation feels an
attractive force towards the interface in the validity regime of the simulations.
For t ¼ 50b, there is an equilibrium position for the dislocation at a distance of about
20b from the interface. If the thickness of the harder material is made larger, the
dislocation feels only a repulsive force from the interface. This is seen for the case of
t ¼ 100b; wherein, it is additionally observed (Figure 14) that the repulsive force
experienced by the dislocation is very small and nearly a constant, till the dislocation
is at a distance of 50b from the interface. This implies that choosing a harder material
of appropriate modulus and thickness, one can ‘taylor’ the image force to be nearly
zero for most part of the domain. Head [2,37] had analysed the case of the image
force experienced by a screw dislocation near a bi-material interface using an infinite
set of images. It was pointed out in Head’s work that the equilibrium position of
a screw dislocation in the presence of a harder material would be of the order of the
thickness of the harder material, for the case of a semi-infinite domain. Additionally,
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Figure 14. FEM calculations of image force (glide component) in the presence of an
elastically harder material (according to the model in Figure 6a) of three thicknesses (t ¼ 5b,
50b and 100b).
Head [2,38] had pointed out the difficulty in analysing the case of an edge dislocation
near a bi-material interface. As seen from the example considered, the current
methodology can avoid the use of images and can be used for finite domains, wherein
the image forces can be considerably altered with respect to an infinite domain.
A comparison of a single-dislocation model (model shown in Figure 6b) with a
two-dislocations model, for the case of a dislocation approaching a constrained
surface, is shown in Figure 15. The surface has been constrained in the x-direction.
The model with two dislocations consists of two positive edge dislocations, unlike the
case of a dislocation near a free-surface, wherein the image dislocation was a negative
one. It is seen from the figure that a very good match is obtained between the models.
This is to be expected, as the additional boundary condition used, acts like a ‘mirror’
(reflecting the domain on the left) and there are no free-surface deformations to
differentiate the two models. It is interesting to note that the concept of an ‘image
dislocation’ can be extended to the case of a constrained boundary, with a change in
the sign of the image dislocation and with a reversal in the direction of the force
experienced.
The plot of state of stress ( x) for the models considered in Figure 7, are shown in
Figure 16. Figures 7a and b also show the deformed shape of the domains in the
presence of the dislocation. Table 1 gives a comparison of the magnitude and
direction of the image force, between the analytical results (Equation (4)) and the
current work. It is seen that when large domain deformations occur in the presence
of the dislocation (leading to considerable relaxation of energy of the system), a
major alteration to the image force takes place (both in magnitude and in direction).
The important point to be noted is that ‘image’ can be negative (attractive but with
altered direction and magnitude), zero (no image construction possible) or even
positive (repulsive). From Figures 16a and b, it is seen that the compression–tension
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Figure 15. Comparison of single- and two-dislocation finite element models for the
image force experienced by a dislocation in the vicinity of a constrained surface. In the
model with two dislocations, two positive edge dislocations are used for the determination
of the image force.
inversion symmetry present in the stress plot of a usual edge dislocation is lost.
This is an additional point to be noted and will occur when there is buckling
(additionally, geometrical configuration of the system can lead to this asymmetry,
as in Figure 16a).
Special attention should be focussed on the case of the misfit edge dislocation in a
heteroepitaxial film. An interfacial edge dislocation represents a very different case as
compared to a normal edge dislocation, in the following aspects: (i) the compression–
tension inversion symmetry present in the stress plot of an usual edge dislocation is
broken (firstly due to the asymmetry in the geometry), (ii) the material properties
above (film) and below (substrate) the interface are different, (iii) the interaction of
coherency stresses of the system with the dislocation stress fields significantly
modifies the latter. Hence, there are no analytical expressions for comparison with
the results of the current work (Table 1). The interfacial misfit dislocation feels a
force towards the centre of the domain from the position indicated in Figure 7c
(99.5b), as the energy of the system can be lowered by its position at the centre of the
domain. As for the case considered in Figure 7b (climb force), this aspect is reflected
by the negative sign for the image force in Table 1. This in not an ‘image-force’ in the
usual sense of the phrase and arises primarily due to interaction of coherency stresses
with the dislocation stress fields. Nonetheless, the dislocation feels a force which can
be calculated from the current method and does not lead to the erroneous conclusion
that the dislocation is attracted towards the free surface. When the dislocation is
‘sufficiently close’ the surface the image force will again be positive (attractive
towards the surface).
Even in the case of the thin plate with horizontal slip plane (Figure 16b), the
applicability of the analytical formula (Table 1) is questionable, as in the analytical
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P. Khanikar et al.
Figure 16. x plot for the models considered in Figures 7a–c, respectively. x ¼ 20b (y ¼ 10b) in
part (b) of the figure. The shape of the deformed domains in the presence of edge dislocation
are to be noted (a) and (b). Dimensions correspond to the undistorted domains.
model the domain is assumed to be infinite in the y-direction. A thin plate deviates
considerably from this assumption. The error in direction (angles) calculated in
Table 1 are with respect to the domain where distortions are not considered; wherein,
the direction of the force would be along the x-axis (horizontal). Additionally, the
angles calculated in Table 1 are approximate as the deformations are non-uniform.
The cases illustrated in Figure 7 are just a few of the cases where the current
model can be used. Further configurations include image forces experienced by
dislocation loops (normal and misfit), dislocations in the presence of other
dislocations, dislocations in epitaxial superlattices, etc.
Although, on the one hand, the FEM models considered suffer from the
following assumptions: (i) material properties of bulk crystals have been used for the
nano-sized crystals, (ii) Voigt averaged material properties have been used to
simplify the comparisons between theory and simulations, (iii) structure and energy
of the core of the edge dislocation have been ignored in the simulation, (iv)
dissociation of the dislocation into partials has not been considered, (v) certain
idealised domain shapes have been used instead of real shapes of crystals, and (vi)
calculations are for 300 K (room temperature). On the other hand, it offers the
following advantages: (i) can be used in cases standard equations of stress fields and
image forces are not valid (e.g. small domain sizes of any shape), (ii) the current
model can account for surface deformations as a result of the internal stress fields,
2.95 103 (Error of 85%)
(for x ¼ 40.5b, y ¼ 10b)
Fx ¼ 8.61 102 (Glide)
(Error of 89.5%)
(for x ¼ 20.5b, y ¼ 10b)
Fx ¼ 1.8 102 (Glide)
(Error of 100%)
(for x ¼ 0, y ¼ 14.5b) Fy ¼ 1.03 101
(Climb) (Error of 346%)
None available for comparison
Plate with horizontal slip plane along the
length of the plate (Figure 7b)
Epitaxial film with misfit edge
dislocation (Figure 7c)
Image force (Analytical)
(N/m) (% Error)
Inclined slip plane in a plate (Figure 7a)
Model
4
3.5
4
180
(180 )
9.0 103
0
2.53 101 (towards the centre)
5.28 102 (towards the centre)
Error in direction
4.4 104
Image force (FEM) (N/m)
Table 1. Comparison between analytical (Equation (4)) and results from the current work for the models shown in Figure 7. ‘Error in direction’
refers to the error in the analytical model with respect to the FEM calculations (see Figure 16). The negative signs in column 3 are to be noted, which
implies a force away from the surface (details are explained in the text).
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P. Khanikar et al.
which leads to a lowered state of energy and the deformed shape can be computed
(this aspect is not considered in the standard theoretical formulations), (iii) it is very
simple to implement and extend to three-dimensions and to complicated configurations (e.g. presence of multiple dislocations, splitting of the dislocation into
partials, presence of coherent precipitates etc.) and material properties
(e.g. multiphase materials, anisotropy etc.). Additionally, when domain deformations are small, an approximate estimate of the image force experienced by a pure
screw dislocation can be determined by considering a multiplication factor of (1 )
edge
screw
¼ Fimage
[1]). The biggest advantage perhaps, is the simplicity of the
(i.e. ð1 Þ Fimage
model and its ease of implementation using any standard FEM software.
A comparison of the current work with the state of the art techniques in
dislocation dynamics is perhaps due at this stage; even though the two methods
employ entirely different approaches and have different goals. As stated before,
studies using discrete dislocation dynamics techniques have provided considerable
insight into the mechanical behaviour of materials starting with dislocations and
other defects at the microscale. The evolution of the system in the presence of
internal and external stresses (and constraints) at multiple length scales has been
successfully implemented using an elasto-viscoplastic continuum framework [32].
In these techniques, the well known solutions of the dislocation fields are imposed as
in an infinite domain and the fields are corrected for (surface tractions [28]) the
presence of surfaces (and interfaces) using the superposition principle [31].
Computational efficiency (using FEM) is obtained by replacing the defected
inhomogeneous volume element with a homogenous body with eigenstress [32].
The aim of the current work is to simulate dislocation stress fields using eigen strains
and further calculate image forces using a FEM model. In this model, a priori
knowledge of dislocation stress fields either in a finite or infinite body is not required.
Hence, image forces naturally arise out of the model and not as a correction to the
infinite body solution. Though the model can handle complex material and
geometric, configurations (including the presence of other defects in the material);
it lacks any dynamics capability and is meant for static calculations.
5. Summary and conclusions
An edge dislocation is simulated using stress-free strains corresponding to the
insertion of an extra half-plane of atoms. The stress state and energy of the system is
calculated using the finite element model and are validated by comparison with the
standard theoretical equations (for cases where these expressions are valid). By
varying the position of the simulated dislocation, the variation of energy of the
system is calculated. The glide and climb components of the image force, experienced
by the edge dislocation are determined from these plots (as a slope of the curves). It
is seen that the image force experienced by the edge dislocation is a natural
consequence of its asymmetric position in the domain and can be calculated using the
FEM model without externally applying any forces or invoking the concept of
fictitious images. Surface/domain-shape relaxations are also taken into account in
the model, which are ignored in the standard theoretical formulations. An added
benefit of the method is its computational simplicity and efficiency.
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An alternate methodology for the determination of the image force is also
developed based on the concept of an ‘image dislocation’; which is in accord with the
theoretical notion of an ‘image force’. Good match is seen for the image force
determined by both the methodologies with the standard theoretical formulations.
However, it is seen that the model with a single dislocation, which takes into account
the surface/domain deformations (leading to some relaxation in energy), is a better
numerical model for dislocations in nanocrystals or for dislocations near a freesurface. These are the two cases where image forces become important, but the
theoretical formulation breaks down (gives erroneous results). Further, an important
point seen is that under certain circumstances where domain deformations occur the
’image’ can be negative (attractive but with altered magnitude and direction), zero
(no image construction is possible) or even positive (repulsive). Hence, this aspect
leads to a radical deviation from the conventional concept of an ‘image’.
The numerical model for the calculation of image forces is extended for the cases
of the edge dislocation near a bimaterial interface and near a constrained surface.
It is to be noted that for these cases the traditional concept of an ‘image dislocation’
is no longer valid. For a dislocation near an interface with a harder material the
equilibrium position of the dislocation is determined using the model (which is not
the surface as in the case of a dislocation near a free-surface or near an interface
bordering a softer material). The case of a dislocation near the type of constrained
surface considered can be analysed using a ‘positive image dislocation’ rather than
the usual ‘negative image dislocation’. The simplicity, versatility and power of the
simulation methodologies are brought forth via the examples considered. The
methodology developed in the current work can be extended to various complicated
cases, like the presence of multiple edge dislocations, anisotropic material properties,
systems with multiple materials, presence of coherent precipitates etc., without
recourse to additional concepts.
Acknowledgements
The authors would like to acknowledge the financial assistance from the Department of
Science and Technology, Government of India (SR/S3/ME/048/2006). The authors also thank
Professor Sumit Basu for his invaluable discussions.
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