X.

Feng
Y. Huang
Department of Mechanical and Industrial
Engineering,
University of Illinois,
Urbana, IL 61801

A. J. Rosakis
Graduate Aeronautical Laboratory,
California Institute of Technology,
Pasadena, CA 91125

On the Stoney Formula for a Thin

Film/Substrate System With
Nonuniform Substrate Thickness
Current methodologies used for the inference of thin film stress through system curvature
measurements are strictly restricted to stress and curvature states which are assumed to
remain uniform over the entire film/substrate system. Recently Huang, Rosakis, and coworkers [Acta Mech. Sinica, 21, pp. 362370 (2005); J. Mech. Phys. Solids, 53, 2483
2500 (2005); Thin Solid Films, 515, pp. 22202229 (2006); J. Appl. Mech., in press; J.
Mech. Mater. Struct., in press] established methods for the film/substrate system subject
to nonuniform misfit strain and temperature changes. The film stresses were found to
depend nonlocally on system curvatures (i.e., depend on the full-field curvatures). These
methods, however, all assume uniform substrate thickness, which is sometimes violated in
the thin film/substrate system. Using the perturbation analysis, we extend the methods to
nonuniform substrate thickness for the thin film/substrate system subject to nonuniform
misfit strain. DOI: 10.1115/1.2745392
Keywords: thin films, nonuniform misfit strain, nonuniform substrate thickness, nonlocal
stress-curvature relations, interfacial shears

Introduction

Stoney 1 used a plate system composed of a stress bearing

thin film, of uniform thickness h f , deposited on a relatively thick
substrate, of uniform thickness hs, and derived a simple relation
between the curvature, , of the system and the stress, f, of the
film as follows:

f =

Eshs2
6h f 1 s

In the above the subscripts f and s denote the thin film and substrate, respectively, and E and are the Youngs modulus and
Poissons ratio, respectively. Equation 1 is called the Stoney
formula, and it has been extensively used in the literature to infer
film stress changes from experimental measurement of system
curvature changes 2.
Stoneys formula involves the following assumptions:
i
ii
iii
iv

v
vi

Both the film thickness h f and substrate thickness hs are

uniform, the film and substrate have the same radius R,
and h f
hs
R;
The strains and rotations of the plate system are infinitesimal;
Both the film and substrate are homogeneous, isotropic,
and linearly elastic;
The film stress states are in-plane isotropic or equibiaxial
two equal stress components in any two, mutually orthogonal in-plane directions while the out-of-plane direct
stress and all shear stresses vanish;
The systems curvature components are equibiaxial two
equal direct curvatures while the twist curvature vanishes
in all directions; and
All surviving stress and curvature components are spatially constant over the plate systems surface, a situation
which is often violated in practice.

Despite the explicitly stated assumptions, the Stoney formula is

Contributed by the Applied Mechanics Division of ASME for publication in the
JOURNAL OF APPLIED MECHANICS. Manuscript received October 18, 2006; final manuscript received January 14, 2007. Review conducted by Robert M. McMeeking.

1276 / Vol. 74, NOVEMBER 2007

often arbitrarily applied to cases of practical interest where these

assumptions are violated. This is typically done by applying
Stoneys formula pointwise and thus extracting a local value of
stress from a local measurement of the system curvature. This
approach of inferring film stress clearly violates the uniformity
assumptions of the analysis and, as such, its accuracy as an approximation is expected to deteriorate as the levels of curvature
nonuniformity become more severe.
Following the initial formulation by Stoney, a number of extensions have been derived to relax some assumptions. Such extensions of the initial formulation include relaxation of the assumption of equibiaxiality as well as the assumption of small
deformations/deflections. A biaxial form of Stoney formula with
different direct stress values and nonzero in-plane shear stress
was derived by relaxing the assumption v of curvature equibiaxiality 2. Related analyses treating discontinuous films in the
form of bare periodic lines 3 or composite films with periodic
line structures e.g., bare or encapsulated periodic lines have also
been derived 46. These latter analyses have removed assumptions iv and v of equibiaxiality and have allowed the existence
of three independent curvature and stress components in the form
of two, nonequal, direct components and one shear or twist component. However, the uniformity assumption vi of all of these
quantities over the entire plate system was retained. In addition to
the above, single, multiple and graded films and substrates have
been treated in various large deformation analyses 710.
These analyses have removed both the restrictions of an equibiaxial curvature state as well as the assumption ii of infinitesimal
deformations. They have allowed for the prediction of kinematically nonlinear behavior and bifurcations in curvature states that
have also been observed experimentally 11,12. These bifurcations are transformations from an initially equibiaxial to a subsequently biaxial curvature state that may be induced by an increase
in film stress beyond a critical level. This critical level is intimately related to the systems aspect ratio, i.e., the ratio of in-plane
to thickness dimension and the elastic stiffness. These analyses
also retain the assumption vi of spatial curvature and stress uniformity across the system. However, they allow for deformations
to evolve from an initially spherical shape to an energetically

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simplicity. The substrate is modeled as a plate since hs
R. The

Youngs modulus and Poissons ratio of the film and substrate are
denoted by E f , f , Es, and s, respectively.
Let u f and us denote the displacements in the radial direction in
the thin film and substrate, respectively. The in-plane membrane
strains are obtained from = u, + u, / 2 for infinitesimal deformation and rotation, where , = r,. The linear elastic constitutive model, together with the vanishing out-of-plane stress zz
= 0, give the in-plane stresses as

E
1 + 1 + m,
1 2

where E , = E f , f in the thin film and Es,s in the substrate, and

the misfit strain m is only in the thin film. The nonvanishing axial
forces in the thin film and substrate are
Nr =
Fig. 1 A schematic diagram of a thin film/substrate system
with the cylindrical coordinates r , , z

favored shape e.g., ellipsoidal, cylindrical or saddle shapes that

features three different, still spatially constant, curvature components 11,12.
The above-discussed extensions of Stoneys methodology have
not relaxed the most restrictive of Stoneys original assumption
vi of spatial uniformity which does not allow either film stress
and curvature components to vary across the plate surface. This
crucial assumption is often violated in practice since film stresses
and the associated system curvatures are nonuniformly distributed
over the plate area. Recently Huang et al. 13 and Huang and
Rosakis 14 relaxed the assumption vi and also iv and v to
study the thin film/substrate system subject to non-uniform, axisymmetric misfit strain in thin film and temperature change in
both thin film and substrate, respectively, while Ngo et al. 15
studied the thin film/substrate system subject to arbitrarily nonuniform e.g., nonaxisymmetric misfit strain and temperature. The
most important result is that the film stresses depend nonlocally on
the substrate curvatures, i.e., they depend on curvatures of the
entire substrate. The relations between film stresses and substrate
curvatures are established for arbitrarily nonuniform misfit strain
and temperature change, and such relations degenerate to Stoneys
formula for uniform, equibiaxial stresses and curvatures.
Feng et al. 16 relaxed part of the assumption i to study the
thin film and substrate of different radii, i.e., the thin film has a
smaller radius than the substrate. Ngo et al. 15 further relaxed
the assumption i for arbitrarily nonuniform thickness of the thin
film. The main purpose of the present paper is to relax the remaining portion in assumption i, i.e., the uniform thickness of the
substrate. To do so we consider the case of thin film/substrate
system with nonuniform substrate thickness subject to nonuniform
misfit strain field in the thin film. Our goal is to relate film stresses
and system curvatures to the misfit strain distribution, and to ultimately derive a relation between the film stresses and the system
curvatures that would allow for the accurate experimental inference of film stress from full-field and real-time curvature measurements.

Governing Equations and Boundary Conditions

Consider a thin film of uniform thickness h f which is deposited

on a circular substrate of thickness hs and radius R Fig. 1. The
substrate thickness is nonuniform, but is assumed to be axisymmetric hs = hsr for simplicity, where r and are the polar coordinates. The film is very thin, h f
hs, such that it is modeled as a
membrane, and is subject to nonuniform misfit strain m. Here the
misfit strain is also assumed to be axisymmetric m = mr for
Journal of Applied Mechanics

ur
Eh dur
+ 1 + m
2
r
1 dr

dur ur
Eh
N =
+ 1 + m

dr
1 2
r

where h = h f in the thin film and hsr in the substrate, and once
again the misfit strain m is only in the thin film.
Let w denote the lateral displacement in the normal z direction. The curvatures are given by = w,. The bending moments in the substrates are
Mr =

Eshs3
121

s2

Eshs3

1 dw
d 2w
+ s
r dr
dr2

d2w 1 dw
+
M =
2 s
dr2 r dr
121 s

For nonuniform misfit strain distribution m = mr, the shear

stress along the radial direction at the film/substrate interface does
not vanish, and is denoted by . The in-plane force equilibrium
equations for the thin film and substrate, accounting for the effect
of interface shear stress , becomes
dNr Nr N
+
=0
dr
r

where the minus sign in front of the interface shear stress is for
the thin film, and the plus sign is for the substrate. The moment
and out-of-plane force equilibrium equations for the substrate are
hs
dM r M r M
+
+Q =0
dr
r
2

dQ Q
+ =0
dr
r

where Q is the shear force normal to the neutral axis. Equation

6, together with the requirement of finite Q at r0, gives Q0.
The substitution of Eq. 2 into 4 yields the governing equations for u and ,
dm
d2u f 1 du f u f 1 2f
=
+
+ 1 + f
dr2 r dr r2
Efhf
dr

dus us
d
hs
+
dr
dr
r

1 s

1 s2
dhs us
=

dr r
Es

Equations 3, 5, and 6 give the governing equation for w and

,

d 3 d2w 1 dw
h
+
dr s dr2 r dr

1 s

1 dhs3 dw 61 s2
=
hs 9
r dr dr
Es

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The continuity of displacements across the film/substrate interface requires

u f = us

hs dw
2 dr

Mr

hs f
N =0
2 r

11

3 Perturbation Method for Small Variation of Substrate Thickness

In the following we assume small variation of substrate thickness
13

where hs0 constant is the average substrate thickness, and

hsr is the substrate thickness variation which satisfies
hs
hs0; hsr is also written as hs1 in 13, where 0

1 is a small, positive constant, and hs1 = hs1r is on the
same order as hs0.
We use the perturbation method to solve the ODEs analytically
for
1. Two possible scenarios are considered separately in the
following:
i

The substrate thickness variation hs is on the same order

as the thin film thickness h f , i.e., hs h f . This is represented by = h f / hs0
1. For this case the film stresses
and system curvatures are identical to their counterparts
for a constant substrate thickness hs0. This is because the
Stoney formula 1, as well as all its extensions, holds only
for thin films, h f
hs. As compared to unity one, terms
that are on the order of Oh f / hs are always neglected. In
this case the difference between the film stresses or system curvatures, for nonuniform substrate thickness hs
and those for constant thickness hs0 is on the order of
Ohs / hs0 as compared to unity, which is the same as
Oh f / hs since hs h f , and is therefore negligible.
ii The substrate thickness variation hs is much larger than
the thin film thickness h f , i.e., hs  h f . This is represented by h f / hs0

1. In the following we focus on
this case and use the perturbation method for
1 to
obtain the analytical solution.
Elimination of from 7 and 8 yields an equation for u f and
us. For h f / hs0
1, u f disappears in this equation, which becomes
the governing equation for us,

E f h f 1 s2 1
us0 =
1 f Eshs0 r

m =

15

This is a remarkable result that holds regardless of the substrate

thickness and boundary conditions at the edge r = R. Therefore, the
interface shear stress is proportional to the gradient of misfit
strain. For uniform misfit strain mr = constant, the interface
1278 / Vol. 74, NOVEMBER 2007

2
R2

17

md

18

Its general solution is

us1r =
+

1
hs1
us0 +
hs0
2r

1 + s + 1 s

r2 hs1
u d
2 hs0 s0

A
r
2

19

where the constant A is to be determined. The total substrate displacement is then given by

usr = 2

1
hs
us0 +
hs0
2r

1 + s + 1 s

r2

hs
A
us0d +
r
hs0
2

20

The substitution of 15 into 9 yields the governing equation

for the displacement w,

hs3 w +

w
r

1 shs3

6E f h f 1 s2
w

h s m
=
r
1 f Es
21

Its perturbation solution can be written as

w = w0 + w1

22

where w0 is the solution for a constant substrate thickness hs0, and

is given by Huang et al. 13

E f h f 1 s2 1
2
1 f Eshs0
r

and once again

E f h f dm
1 f dr

1 s m
r
1 + s 2

us0
hs1
hs1
us1
us0
= 1 s
u +

r
hs0 r
hs0 s0 r

+
us1

The above equation, together with 8, gives the interface shear

stress

md +

is the average misfit strain in the thin film; us1 in 16 is on the

same order as us0. In the following we use u to denote du / dr.
The substitution of 16 and 17 into 14 and the neglect of
O2 terms give the following linear ODE with constant coefficients for us1,

w0 = 6

1 s

and

dhs us E f h f 1 s2 dm
=
14
dr r 1 f Es dr

dus us
d
hs
+
dr
dr
r

16

where
1, us0 is the solution for a constant substrate thickness

hs0, and is given by Huang et al. 13

12

where the superscripts f and s denote the film and substrate, respectively.

hs = hs0 + hs = hs0 + hs1

us = us0 + us1

10

Equations 710 constitute four ordinary differential equations

ODEs for u f , us, w, and . The ODEs are linear, but have nonconstant coefficients.
The boundary conditions at the free edge r = R require that the
net forces and net moments vanish,
Nr f + Nrs = 0

shear stress vanishes even for nonuniform substrate thickness.

We use the perturbation method to write us as

2
m =
R2

md +

1 s m
r
1 + s 2

23

md

is the average misfit strain in the thin film; w1 in 22 is on the

same order as w0. Equations 2123 give the following linear
ODE with constant coefficients for w1
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w1 +

w1
w0
6E f h f 1 s2 hs1
hs1
=
3
w +
2
r
1 f Eshs0
hs0 m
hs0 0 r
+ 31 s

w0
hs1
hs0 r

The displacement u f in the thin film is then obtained from us in

20 and w in 26 via 10.
The constants A and B, or equivalently, A and B, are determined from the boundary conditions 11 and 12 as

24

Its general solution is

3
hs1
w1 = 3 w0 +
hs0
2r

r2 h
1 + s + 1 s 2 s1 w0d

hs0

B
E f h f 1 s2 1
r+3
2
2
1 f Eshs0
r

d
hs1
r2 2
md
d
hs0

where the constant B is to be determined. The complete solution

for w is obtained from 22 as
r

31 s
R2

B =

25

3
hs
w +
w = 4 3
hs0 0 2r

1 s
R2

A =

d
d

R2 2 hs
us0d

hs0

R2 2 hs
E f h f 1 s 1
wd 6
2

hs0 0
1 f Eshs0
R2

1 + sR2 + 1 s2

d
h s
r2 2
1
d
hs0

E f h f 1 s2
6
2
1 f Eshs0

32

where

Thin-Film Stresses and System Curvatures

hs
hs 31 s hs hs0 1 s
m + 4 3
+
m
2
hs0
hs0
hs0
1 + s

31 s

m =

md m

2
R2

hs
d
hs0

= 6

md

43

hs
hs0

2
hs
E f h f 1 s2
+
1 m 2
2
hs0
r
1 f Eshs0

1
r2

2
r2

2 m +

md

uf + f

uf
1 + f m
r

f uf +

uf
1 + f m
r

and
f

Ef
1 2f

where u f is given in 10. The sum of thin film stresses, up to the

O2 accuracy as compared to unity, is related to the misfit
strain by
Journal of Applied Mechanics

h s
1 md
hs0

31 + s

The thin film stresses are obtained from the constitutive relations

29

is the average misfit strain in the thin film. The difference of system curvatures rr is given by

md

The system curvatures rr = d2w / dr2 and = 1 / rdw / dr are

obtained from 26. Their sum rr + is given in terms of
the misfit strain by

26

2f

28

md

Ef

h s
1
hs0

r 2 h
1 + s + 1 s 2 s w0d

hs0

B
E f h f 1 s2 1
r+3
2
2
1 f Eshs0
r

f
rr
=

27

md +

hs
31 s
d
m
2
hs0

f
f
rr
+
=

30

Ef
2m
1 f
f

31

The difference of thin film stresses rr is on the order of

f
OE2f / Esmh f / hs0, which is very small as compared to rr
f
+ . Therefore only its leading term is presented
f
f
rr

= 4E f

2
E f h f 1 s2
m 2
r
1 2f Eshs0

md

32

4.1 Special Case: Uniform Misfit Strain. For uniform misfit

strain distribution m = constant and nonuniform substrate thickNOVEMBER 2007, Vol. 74 / 1279

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ness, the interface shear stress in 15 vanishes. The thin film

stresses become constant and equibiaxial, and are given by
f
f
rr
=
=

Ef
m
1 f

33

The curvatures in 29 and 30 become

= 12

5 s hs
E f h f 1 s
1
1
2
1 f Eshs0
2
hs0

+ 1 2s

hs hs0
m
hs0

E f h f 1 s2
= 18
2
1 f Eshs0

hs 2

hs0 r2

34

h
s d m
hs0

which are neither constant nor equibiaxial for varying substrate

thickness.
Figure 2 shows a substrate with a step change in thickness; a
uniform thickness h in the outer region r Rin and a slightly
different value h h in the inner region r Rin, where

Fig. 2 a A schematic diagram of a thin film/substrate system

with a step change in substrate thickness. b The normalized
system curvatures rr = rr / 0 and = / 0, where 0
= 6Efhf / 1 f / 1 s / Esh2m, h / 2h = 0.1, s = 0.27, and Rin
= R / 3.

h
h. The average thickness becomes hs0 = h h R2in R2 .

The curvature in the circumferential direction is

E f h f 1 s
m
= 6
1 f E sh 2

1+

2
Rin
h
5 s 1 s 2
2h
R

1+

2
2
Rin
Rin
h
5 s 1 s 2 31 + s 1 2
2h
R
r

for r Rin

for r Rin

35

36

which is a constant in the inner region, and is continuous across r = Rin. The curvature in the radial direction rr is the same constant as
in the inner region; however, it is discontinuous across r = Rin, and is given by

rr = 6

E f h f 1 s
m
1 f E sh 2

1+

2
Rin
h
5 s 1 s 2
2h
R

1+

2
2
Rin
Rin
h
5 s 1 st 2 31 + s 1 + 2
2h
R
r

for r Rin

for r Rin

The continuous and discontinuous rr are illustrated in Fig. 2. Similar discontinuity in rr has been observed for varying thin film
thickness 17,18.
It should be pointed out that the results in this section hold for discontinuous substrate thickness. This is because the film stresses in
31 and 32 depend only on the misfit strain and are independent of substrate thickness. The system curvatures in 29 and 30 involve
the derivative of substrate thickness hs, which is not well defined for a discontinuous hs. However, it appears only in the integration
such that 29 and 30 still hold.
In the following, we extend the Stoney formula for arbitrary nonuniform misfit strain distribution and nonuniform substrate thickness.

Extension of Stoney Formula for Nonuniform Misfit Strain Distribution and Nonuniform Substrate Thickness

In this section we extend the Stoney formula for arbitrary nonuniform misfit strain distribution and nonuniform substrate thickness by
establishing the direct relation between the thin-film stresses and substrate curvatures. We invert the misfit strain from 29 as

1 f Es
m =
6E f h f 1 s2

where

1 s 2
hs
2

hs2
+

1
2

1 3s 31 shs2

1 s
R2

2 hs2

hs2 =

2
R2

hs
d
hs0

hs
d
hs0

37

hs2d

is the average of hs2, and we have used 30 in establishing 37.

1280 / Vol. 74, NOVEMBER 2007

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The thin film stresses are obtained by substituting 37 into 31 and 32 as

f
rr

f
f
rr

=

Es
31

s2h f

2E f hs0

31 + f

hs2
+

1
2

1 s 2
hs
2

1 3s 31 shs2

1 s
R2

2 hs2

39

Equations 38 and 39 provide direct relations between film

stresses and system curvatures. The system curvatures in 38 always appear together with the square of substrate thickness, i.e.,
hs2 and hs2. It is important to note that stresses at a point in the
thin film depend not only on curvatures at the same point local
dependence, but also on curvatures in the entire substrate nonlocal dependence via the term hs2 and the integrals in 38. For
uniform substrate thickness, 38 and 39 degenerate to Huang
et al. 13
The interface shear stress can also be directly related to system curvatures via 15 and 37

Es
61

s2

hs
1
d 2
hs 1 3shs2 31 shs2
2
dr
hs0

40
Equation 40 provides a way to determine the interface shear
stresses from the gradients of system curvatures once the full-field
curvature information is available. Since the interfacial shear
stress is responsible for promoting system failures through
delamination of the thin film from the substrate, Eq. 40 has a
particular significance. It shows that such stress is related to the
gradient of rr + , as well as to the magnitude of rr + and
rr for nonuniform substrate thickness.
In summary, 3840 provide a simple way to determine the
thin film stresses and interface shear stress from the nonuniform
misfit strain in the thin film and nonuniform substrate thickness.

5
6
7
8
9
10
11
12
13

14
15

16

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Journal of Applied Mechanics

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hs
d
hs0

hs
d
hs0

38

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NOVEMBER 2007, Vol. 74 / 1281

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