Vacuum 64 (2002) 393–399

Residual stress and cracking in thin PVD coatings

V. Teixeira*
Physics Department, IMAT-Institute of Materials, University of Minho, Campus de Gualtar, 4700 Braga, Portugal

Abstract

High temperature processing is currently present in the industrial production of advanced functional coatings. This
paper discusses the role of residual stress on the mechanical integrity of PVD protective coatings. A numerical model of
the residual stress distribution within a layered metal-ceramic composite coating is presented. The stress-induced failure
modes are analysed. Residual stress distribution near the edges and within microcracked ceramic coatings is also
analysed. The topics discussed should provide some insights into the development of a methodology for designing fail-
safe coating systems which should complement experimental procedures for evaluation of protective coatings. r 2002
Elsevier Science Ltd. All rights reserved.

1. Introduction thermal expansion mismatch between the coating

and the substrate results in thermal residual stress.
Advanced composite ceramic coatings are com- Tensile stress in the coating causes through-
monly used as protective coatings for several thickness microcracking while compressive stress
technological applications such as hard coatings tends to promote microcrack propagation along
on cutting tools, decorative coatings, protective the interface. Buckling can occur when there is a
coatings for advanced power engineering applica- pre-existing flaw at the coating/substrate interface
tions to improve performance, e.g. thermal barrier and when the in-plane compressive stress exceeds a
coatings deposited by physically vapour deposi- critical value. Therefore, stress-induced cracking in
tion (PVD) techniques are currently applied on gas the ceramic or interfacial decohesion will affect the
turbine blades and diesel engine components [1,2]. thermo-mechanical integrity of the functional
Residual stress in functional coatings play an coated component [3–6].
important role in the performance and lifetime of
the coated component. The mechanical integrity of
a protective coating is influenced by residual stress
2. Residual stress in PVD coatings
which derive from four principal sources: growth
stress, geometric constraints, thermal gradients
2.1. Origins of residual stress
and service stress. When a coating/substrate
composite is deposited at an elevated temperature
and cooled down to room temperature, the There are various sources of stress in coatings:
(i) Stress resulting from coating growth. In this
case, it is necessary to distinguish between intrinsic
*Tel.: +351-253-604334; fax: +351-253-678981. growth stress and geometrically induced stress.
E-mail address: vasco@fisica.uminho.pt (V. Teixeira). Intrinsic growth stress is due to chemical reactions,
0042-207X/02/$ - see front matter r 2002 Elsevier Science Ltd. All rights reserved.
PII: S 0 0 4 2 - 2 0 7 X ( 0 1 ) 0 0 3 2 7 - X
394 V. Teixeira / Vacuum 64 (2002) 393–399

phase transformations, energetic particle bom- is zero) [2,9,10]:

bardment, etc., such as intrinsic stress generated X
n
in PVD coatings or oxide layers grown at high Fi ¼ 0: ð1Þ
temperature in Ni-alloys. i¼1
(ii) Thermally induced stress resulting from
The other equations are obtained from the
temperature changes and differences on the CTE
strain compatibility at the interfaces assuming
of coating and substrate material.
that the layers are perfectly bonded
(iii) External stress due to deformation of the
coating/substrate systems. ei ¼ eiþ1 ; ð2Þ
The origin of thermal residual stress
developed during the cooling down of a ceramic- where
metal bilayer from an elevated temperature of ei ¼ a DTi þ Fi =ðEi ti Þ þ ti =ð2RÞ: ð3Þ
deposition can be qualitatively explained as
follows: upon imposition of a change in tempera- If bending of the layered system is assumed, the
ture differential in the expansion or contraction of bending moments should be in equilibrium
the dissimilar layered materials results in a !
Xn Xn Xi
1
variation of the residual stress along the thickness Mi þ Fi tj  ti ¼ 0 ð4Þ
direction of each layer. The stress translates i¼1 i¼1 j¼1
2
between the coating and the substrate by shear at
with Mi ¼ Ei Ii =R: For simplicity, a simple elastic
the interface, causing the coated systems to
material behaviour is assumed for this
contract, elongate or bend. Away from the edges,
one-dimensional stress analysis. It is also assumed
the in-plane stress (parallel to the interface) is
that the stress in each layer does not exceed the
typically compressive in the ceramic (owing to a
yield stress and there are no plastic strains to
lower CTE) [3,4,7,8].
be considered in the biaxial stress model. In
Table 1, the residual stress distribution for some
2.2. Thermal stress modelling
ceramics coatings calculated by the present model
and the comparison with experimental measure-
To provide a methodology for the design of
ments is shown. The increase in compressive
fail-safe coating systems, it is important to include
stress observed in zirconia coatings after thermal
a model for thermal stress analysis in the
cycling is due to high temperature relaxation
multilayered structure [2,6,8]. To model
mechanisms [2].
the temperature gradients in a multilayered coat-
Without temperature gradients and homoge-
ing during the cooling down from temperature
neous materials, a simple equation to estimate the
of deposition or during a heat treatment process
thermal stress due to the CTE mismatch and
of a layered structure, the 1D non-stationary
temperature difference can be derived, which is
heat conduction equation should be numerically
even simplified if the coating thickness is much
solved. To solve this equation, a finite difference
smaller than the substrate thickness
method can be used. An implicit approach
(Crank–Nicolson method) was chosen because Ec ðas  ac ÞDT
sTc ¼  
this method provides a second-order accuracy ð1  nc Þ þ 2tc Ec =ts Es ð1  ns Þ
in both space and time. After the numerical Ec ðas  ac ÞDT
calculation of temperature gradients within E : ð5Þ
1  nc
the layered coating, a biaxial stress model is
used to determine the thermal stress distributions Eq. (5) does not consider bending although,
at each time step [2,8,9]. The stress in each bending is an important phenomenon in multi-
element is obtained by solving n independent layers. The consequences can be illustrated for the
equations resulting from the equilibrium condition simple case of an elastic bilayer. Consider the
(the summation of in-plane force, F; in all layers geometry shown in Fig. 1 with the parameter S
 V. Teixeira / Vacuum 64 (2002) 393–399 395

Table 1
Residual stress in individual layers in the as-deposited and thermal cycled state of PVD and plasma sprayed thermal barrier coatings as
determined by several methods. Results for chromia and alumina layers are also presented

State of the coating Coating typea Model X-ray Raman Curvature

calculation diffraction spectroscopy laser transducer
(MPa) (MPa) (MPa) (MPa)

As-deposited Zirconia PVD F 280 320 270

As-deposited Zirconia PVD-P F 1200 1300 1580
After thermal cycling at 10001C Zirconia PVD 640 800 760 F
As-deposited Zirconia APS5 52 38 F F
As-deposited Zirconia APS7 12 10 F F
As-deposited Zirconia APS9 5 17 F F
After thermal cycling Cr2O3 1800 2060 1680 F
After thermal cycling Al2O3 2800 2500–3300 F F
a
The code PVD-P means the substrate was polished with SiC-P1200, otherwise was grit blasted. APS-5, APS-7. IPS-9, etc. means the
mode of deposition of the ZrO2–8 wt%Y2O3 top coat (e.g. APS5 is an atmospheric plasma sprayed zirconia coating deposited at 500 K,
etc.).

opposite sign from the thermal stress and becomes

substantially larger in magnitude than the average
stress in that layer. In the case of a thin layer,
h1 5h2 ; the residual stress in this layer is every-
where approximately the thermal stress. When
layer 2 is relatively thin the stress, throughout
layer 1 approaches zero.

2.3. Stress distribution near discontinuities

Near interfacial defects, borders, curved sur-

faces and cracks, the stress gradient within coat-
ings can be substantially different [4,7,11,12]. Two
cases should be considered: the stress field near the
Fig. 1. General trends in residual stress at the top of layer 1 for free edge of a semi-infinite planar coating and the
relative layer thickness h1 =h2 ; for an elastic bilayer system stress distribution between two adjacent cracks.
having several modulus ratios, S: The stress field near the free edge was analysed by
finite difference method using the algorithm
presented by Hu [12]. The concentrated force
(modulus ratio) defined as model was used to calculate the coating edge-
induced stress. According to this model, the force
E1 =ð1  n1 Þ
S¼ : ð6Þ F on the substrate is concentrated at its edge at
E2 =ð1  n2 Þ
x ¼ 0 and is equal to so wtc ; where tc is the coating
The results of the stress at the top of layer 1 for thickness, w is the coating width and so is the
different combinations of thickness elastic proper- stress in the coating far away from the edge. The
ties of layers 1 and 2 are plotted in Fig. 1. thickness of the coating is assumed to be small and
Bending has its maximum effect when the two therefore, variation of stress across the thickness is
layers have about equal thickness, resulting in a neglected. Hu has treated the more realistic case in
substantial redistribution of the thermal stress which the force on the substrate is distributed over
[8,11]. The stress at the top of layer 1 develops the a certain distance near the edge of the coating. The
396 V. Teixeira / Vacuum 64 (2002) 393–399

stress component scxx in the coating is given by crack surface drops to zero. If the distance
Z between cracks is sufficiently long, then the stress
2tc N qscxx ðuÞ du
scxx ¼ so  ; ð7Þ approaches the nominal stress. The state of stress
kp 0 qu x  u
in a ceramic/metal bilayer with planar geometry
where k is expressed as and under uniaxial tensile loading was analysed
Es ð1  n2c Þ [15,16]. This case is important, since in many
k¼ : ð8Þ ceramic coatings, cracking occurs due to thermal
Ec ð1  n2s Þ
cycling. To calculate stress relaxation due to
Fig. 2 shows some plots of the distribution of microcracking, e.g. in lifetime modelling, it is
stress near the free edge of a coating for several necessary to estimate stress redistribution as well
modulus ratio, k: The stress in the coating as physical changes in the material layers. The
approaches zero at the edge and far away tends model can also be used in mechanical analysis of
to the nominal value so : coated specimens by applying an external tensile
For thick coatings the stress distribution should stress to analyse the crack density.
be calculated by finite element methods. When a For the specimen geometry of a cracked ceramic
ceramic-metal coating is produced, the free edge coating on a metallic substrate, when a load is
stress generates additional stress at the interface applied to the substrate, shear stress is developed
between the two layers. This stress plays an in the vicinity of the interface, resulting from the
important role in determining the structural difference in axial displacement between the coat-
integrity of the coating system after the process. ing and the substrate. A normal tensile stress in the
Shear stress concentration occurs at the interface coating is coupled to the shear stress at or near the
close to the free edge whose magnitude is propor- interface through an integral equation
tional to the CTE mismatch [4,13]. This state of Z
1 x
stress at the free edge may lead to interfacial edge sðxÞ ¼ tðxÞ dx: ð9Þ
cracking and delamination of the coating [11,14]. tc 0
Consider now the case of stress redistribution A shear lag model [15,17] was used to calculate
after cracking within a coating. The stress state the stress distribution parallel to the interface
changes significantly once through-thickness
cracks are formed. The normal stress, sxx ; to the

Fig. 3. Stress distribution for several crack separation dis-

tances. The coating/substrate modelled was a thin PVD zirconia
Fig. 2. Distribution of in-plane stress near the free edge of a coating on an Ni-alloy substrate (b ¼ 1:44  105 with
planar semi-infinite coating/substrate system calculated by a Ec ¼ 80 GPa, nc ¼ 0:25; tc ¼ 6 mm, Es ¼ 210 GPa, ns ¼ 0:3 and
finite difference method using the Hu model. ts ¼ 2 mm).
 V. Teixeira / Vacuum 64 (2002) 393–399 397

between two adjacent cracks. One simple analy- In terms of energy, this means that a separation at
tical solution is the interface increases when the resulting decrease
sðxÞ ¼ so ½tanh ðbxÞ sinh ðbxÞ  cosh ðbxÞ þ 1; ð10Þ in elastic strain energy is at least equal to the
energy required to create new surfaces along
where x is the position between two cracks and the interface. Assuming linear elastic behaviour
x ¼ l=2; i.e., half of the separation between the of the coating-substrate system, the tensile stress
cracks, and b is a constant which depends on the necessary to increase a separation of length c is
elastic properties and thickness of coating and given by
substrate. A plot for several distances between  
adjacent cracks is shown in Fig. 3. E * Gc 1=2
si ¼ ; ð11Þ
pc

3. Typical coating failure modes where E is the effective Young’s modulus of the
coating-substrate system and Gc is the critical
Interfaces between dissimilar materials are crack extension force which corresponds to the
susceptible to debonding and sliding. The coating energy necessary to extend the separation. In
failure mode by cracking and by spalling are Fig. 4, the elastic strain for the occurrence of
dependent both on the sign/magnitude of residual tensile cracking is plotted for different oxide layers
stress and on the relative strengths of coating and as a function of the microdefect length. The crack
coating-substrate interface. Under tensile condi- growth may be of a slow and stable nature, when
tions, through-thickness cracks develop from pre- the elastic strain energy in the system is increased
existing defects in the coating and these generate only slowly to the critical value and some limited
shear stress along the interface which may result in plasticity at the crack tip exists. A rapid increase of
decohesion. Under compressive stress, spallation strain energy results in unstable crack growth
may result either from the growth of a tensile, [11,18,19].
wedge crack along the interface or by buckling and The mode of coating failure depends upon the
cracking of the coating [5,18,19]. Cracks that form stress state in the coating. Residual tensile stress
within thin brittle layers extend normal to the tends to induce coating fracture normal to the
principal tensile stress and interact with interfaces. interface (see Fig. 5), while residual compressive
The interaction leads to tunnelling or channelling
modes of crack extension. These modes have a
steady-state release rate which can be obtained
from the solution of the two-dimensional plane
strain problem for the cracked layer well behind
the propagating crack front [20,21]. When crack
tunnels through one of the brittle layers, simulta-
neous slip or debonding at the interface can
increase the steady-state energy release rate, and
thereby lower the resistance of that layer to
cracking. However, these same effects reduce the
stress concentration in adjacent layers, suppressing
the spread of cracks out of a given layer [19,20].
A separation at the layer/substrate interface
occurs when, depending on the loading direction,
Fig. 4. Nominal elastic strain for the occurrence of tensile
either the tensile stress perpendicular to the inter-
cracking for different oxide layers as a function of the
face exceed a critical value si or the interfacial microdefect length. Yttria stabilized zirconia is also shown
shear stress exceed a critical value ti : A super- with a lower Young’s modulus (attributed to a porous and/or
position of both types of loading is also possible. microcracked coating).
398 V. Teixeira / Vacuum 64 (2002) 393–399

stress exceeds the critical value sb given by [22]

 2
kEc t
sb ¼ ; ð12Þ
12ð1  n2c Þ c
where k is a constant approximately equal to
14.7, Ec and nc are, respectively, the Young’s
modulus and Poisson’s ratio of the coating, t is the
coating thickness and c is the radius of separation
between the coating and substrate. When the
critical stress is exceeded and buckling occurs, a
driving force for crack growth develops. The
growth of the initial flaw will occur when the
crack driving force exceeds the critical value for
the weakest material element within the vicinity of
the interface. The extension of the crack eventually
leads to spalling (Fig. 5). The coating can spall
from a flat surface when the interface reaches a
critical size, cs where
pffiffi!1=2
cs Ec t
¼ : ð13Þ
t Kic

Flat surfaces, subject to a zero stress normal to the

interface are most resistant to spalling. An
additional crack driving force exists in the presence
Fig. 5. Failure modes of a thin coating under residual stress: (i)
of a curved substrate, and spalling will occur
delamination (coating under tensile stress and ‘‘weak’’ interface, sooner than predicted by Eq. (13) in regions of the
i.e., low adherence); (ii) perpendicular microcracking (coating substrate with small radii of curvature.
under tensile stress and ‘‘strong’’ interface) and (iii) buckling
and spalling (coating under compressive stress).

4. Concluding remarks

stress provides a driving force for buckling and Thin coatings and multilayers comprising of
eventual spallation. The mechanism of spallation different classes of materials are often used for
of coatings under lateral compression is deter- various engineering applications. Residual stress
mined by the relative fracture strengths of the influence performance, yield and reliability. The
coating-substrate interface and the coating. The present paper has provided some insight into the
mechanics of spalling has been analysed [5,19,22] effects of residual stress in coating integrity. A
by evaluating the crack driving force in the numerical stress analysis was presented and the
presence of an interface separation (microcrack). residual stress distribution near the edges and
The analyses indicate that, for flat coatings, a within microcracked ceramic coatings was also
driving force for crack growth at (or parallel to) discussed. The mechanics of delamination and
the interface only arises when elastic buckling of spallation by evaluation of the crack driving force
the coating is initiated. This occurs because no when an interface crack is present was analysed
long-range tensile or shear stress exists at the using models from the literature. It was deter-
interface in the unbuckled state. mined that a driving force for crack propagation
Buckling can only occur when there is a pre- along the interface only arises when the coating
existing separation and when the compressive buckles.
 V. Teixeira / Vacuum 64 (2002) 393–399 399

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