Heat balance and flow conditions for electron beam and laser welding

P. G. Klemens
Citation: Journal of Applied Physics 47, 2165 (1976); doi: 10.1063/1.322866
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Heat balance and flow conditions for electron beam and

laser welding*
P. G. Klemens
Departme'lt of Physics and Institute of Materials Science, University of Connecticut, Storrs, Connecticut 06268
(Received 16 June 1975; in final form IS December 1975)
The conditions of energy and material flow during beam welding are investigated theoretically to determine
the factors which govern the shape of the vapor cavity and of the molten zone. Flow conditions in the
horizontal plane determine the dimensions of the weld. Material is moved around the advancing vapor
cavity mainly by liquid flow, but there is some vapor flow across the cavity, providing the pressure which
drives the liquid. The pressure inside the vapor cavity and its variation with depth is governed by surface
tension, by the hydrostatic pressure in the liquid, and by the viscous forces acting on the vapor stream.
These factors govern the radius of the cavity as a function of depth. The penetration is limited by the beam
power or by the absorption of the beam. For the laser beam, absorption is decreased in the hot center, and
beam penetration increases with power, but is insensitive to collimation. For electrons, absorption occurs
mainly near the walls of the cavity, and the beam penetration depends on collimation and power. The
balance between beam power and power dissipated by conduction, melting, and vaporization is discussed,
and a self-consistent description is given of cavity formation and beam penetration.
PACS numbers: 81.30.Qk, 42.60.Qm, 52.50.1m, 79.20.Ds

I. INTRODUCTION
While in most welding processes the energy is
deposited at the surface of the workpiece and is brought
into the interior by conduction, in electron beam and in
laser welding the energy is deposited in a deep and narrow cavity which is formed by the incident beam, so
that the material which is molten has narrow cross
section. The depth of the cavity is much greater than
the penetration of electrons or photons into the solid
or liquid phase. Given the fact that the beam forms a
cavity, one can understand some of the properties of
the welding process in terms of energy balance. Thus
one can calculate the depth of the molten zone for a
stationary beam in terms of the energy conducted away
and lost by vapor transport at the cavity entrance; while
in the case of a moving beam the depth of penetration
is reduced, because of the additional heat load resulting
from the formation of a trail of heated material. 1.2
However, all this is based on the assumption, or the
empirical evidence, that there exists a cylindrical
cavity of given radius into which the beam penetrates.
It is thus of interest to examine the conditions required for a cavity to form, and to understand the
factors which determine its shape. There is the problem of how the cavity is formed, and the problem of
how the cavity is maintained in a steady state. This
paper will be concerned only with the steady state, not
with the transient conditions when the beam is first
turned on. We shall also neglect the technically important problem of the instabilities in the shape of a
cavity under the influence of a beam; presumably an
understanding of the steady state is required before the
instabilities can be treated.

There is a continuous flow of material out of the cavity

at the point where the beam enters. It is therefore not
possible to have a steady state with a stationary beam,
as the material which is lost would not be replenished,
so that the cavity would grow continuously. However,
one can have a steady state for a moving beam: the
cavity and the associated molten zone move forward at
the speed set by the advance of the beam, while the
material lost by vaporization shows up as a depression
in the solidified melt, as porosity, or as an inward
deformation of the work piece, and of course possibly
as a combination of these effects, The requirement
that sufficient vapor be produced to maintain a steady
state leads to a minimum advance speed for a steady
state. While the cavity moves through the solid and
liquid material at a speed determined by the motion of
the beam, material must be moved continuously from
the region ahead of the cavity to the region behind it.
Either the material flows around the cavity in the surrounding liquid sheath, or it is transported in the vapor
phase across the cavity. The latter mechanism requires more energy. It will be shown that the transport
of material is mainly by flow in the liquid, similar to
the case of plasma arc welding. 7 However, part of the
transport is in the vapor phase, and the vapor transport
provides the excess pressure which drives the liquid
flow, while in the plasma arc weld this excess pressure
is due to the plasma jet.

A cavity is formed only if the beam is sufficiently

intense. It is filled with gas or vapor, created by continuous vaporization of the material due to the beam.
The cavity is surrounded by liquid, which in turn is
surrounded by solid. The flow of the liquid and surface
tension tend to obliterate the cavity; the vapor which
is continuously generated tends to maintain the cavity.

Assuming the cavity to be a vertical cylinder and

given its radius, one can determine from energy flow
considerations the liquid and vapor flow and the shape
of the solid-liquid boundary in the horizontal plane.
The flow and energy flow conditions will be discussed
in Sec. II. To determine the radius of the cavity one
must balance the forces maintaining the cavity (gas
pressure) against the forces tending to obliterate it
(hydrostatic pressure and surface tension). The pressure is thus a function of depth, and so is the cavity
radius. The pressure gradient leads to an outward
flow of vapor, governed by the viscosity of the vapor.
Since the total curvature of the cavity surface drops

2165

Copyright 1976 American Institute of Physics

Journal of Applied Physics, Vol. 47, No.5, May 1976

2165

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abruptly at the entrance to the cavity, there must be

an increase in the flow speed of the vapor. However,
the flow must be continuous. Hence the entrance to the
cavity is frequently constricted. One can set up an
equation relating pressure and flow to the radius of the
cavity as a function of depth. No analytic solution has
been obtained, but it is possible to draw some qualitative conclusions concerning the variations of cavity
radius with depth, and hence about the shape of the
molten zone.
Finally one must know the extent to which the beam
can penetrate the cavity and how the beam energy is
brought to the walls of the cavity. The cylindrical cavity
is filled with hot vapor, and the temperature is at a
maximum at the center. The energy absorption depends
on the temperature of the vapor. Here the considerations diverge for electron and laser beams. The absorption of energy from electrons depends on the density of
the gas. Absorption is less in the hot center Hence a
highly collimated electron beam, if sufficiently intense,
can create its own nonabsorbing central region, and the
ultimate beam penetration increases slowly with beam
power. In the case of laser beams the situation is
slightly different. The absorption of energy depends on
the degree of ionization and hence on temperature. It
also depends on temperature through the density, and
once the temperature is high enough for ionization
to be complete, the absorption also decreases with increasing temperature, but faster than in the case of
electrons. The absorption is least on the outside, increases towards the center, but if the central temperature is high enough, it drops off again towards the
center. Thus for low beam intensities the beam penetration is limited, but at high beam intensities penetration
grows with beam power, as in the case of electrons.
0

Reduction in gas pressure should increase the ultimate penetration for both electron and laser beams.
The intrinsic pressure effect should be more marked
for laser beams, but there is also an effect of outside
gas pressure on the collimation of the beam, which is
stronger in the case of the electrons.
II. FLOW CONDITIONS IN THE HORIZONTAL PLANE
To make the problem of the flow of heat and material
tractable, it is assumed that the three-dimensional
flow can be decoupled into two problems: the variation
of physical variables in the horizontal plane, i. e. ,
normal to the beam direction and parallel to the surface
of the solid, and the variation of parameters in the
vertical direction, i. e., parallel to the beam direction.
This implies that the radius of the cavity, Yo, varies
only slowly with z, the depth below the surface, and all
vertical variations are small over changes in z comparable to Yo. Since the ratio of penetration depth to
hole radius is often only 10: 1 this assumption is not
always well satisfied and is particularly questionable
right at the surface, where the entrance to the cavity
is probably constricted.
Figure 1 illustrates a horizontal section. There are
three regions. The innermost region is a cavity, filled
with vapor or gas, and is assumed to have a circular
2166

J. Appl. Phys., Vol. 47, No.5, May 1976

10
I
I

L_

Its

-0
1

I - - -L -

1
Vo

-1--1
I

FIG. 1. Schematic horizontal section through the vapor cavity

(inner circle) and molten zone. Half of the liquid-solid interface is shown. The line through the center of the cavity in the
direction of Vo is a line of symmetryo The beam advances to
the right. Critical dimensions marked are defined in the text.

cross section of radius Yo. It is surrounded by a liquid

region, with a tendency to trail behind the advancing
beam, and this in turn is surrounded by a solid region.
If the beam were stationary, the isotherms and phase
boundaries would be concentric circles. A beam advancing with a speed Vo makes the vapor cavity and all
isotherms advance at the same rate, and the isotherms
are distorted. However, there is symmetry about the
central line which defines the path of the beamo The
phase boundaries are at temperatures Tv and T m' the
vaporization and melting temperatures of the material.
The equation of heat conduction with moving sources
and isotherms 3 has been treated for the case of welding
by Rosenthal,4 and later by Rykalin5 and by Christensen
et al. 6 This theory has been applied for electron beam
welding. 7-9 The present paper does not use the exact
solutions, but aims merely to describe the important
physical processes. It thus makes the following
simplifications.
A. Liquid in front and at the side

To discuss the outward conduction of heat, let us

divide the material around the cavity into four quadrants
of 90 each, centered about the forward and backward
directions, and about the two sidewise directions normal to vo. Let tf be the thickness of the liquid in the
forward direction, and ts the average thickness sidewise. The cavity and the melt front advance with a
speed vo' Let Q's be the thermal diffusivity of the solid.
Heat conducted outward in the forward direction is not
lost, but available to subsequently melt the material,
unless it is conducted sideways, out of the path of the
advancing melt, faster than the advance speed. Heat is
conducted sideways with an average speed of order
Q' .I(Yo + t s). If Vo exceeds Q's/Yo, only a small fraction
of the heat conducted out in the forward quadrant will
be lost, so that vo> Q's/Yo defines an "adiabatic" heating
condition. B,10 We assume that this condition is always
satisfied; we shall see from vapor flow requirements
that small values of Vo lead in any case to lack of
stability.
0

The thickness of the melt in the forward direction,

tf' is determined by the condition that the heat conduct-

ed through the liquid region provides enough thermal

energy to advance the melt front at a speed vo' Let K,
P.G. Kle!flens

2166

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be the thermal conductivity of the liquid and a l its

thermal diffusivity; let C be the specific heat per unit
volume (taken to be the same in the liquid and solid
phase), and let Hm be the latent heat of melting per unit
volume. The average temperature gradient across the
liquid is (Tv - T m)/tl This heat conduction condition
thus becomes
(C T m + H m) Vo =

KI

Tv tl
- Tm

(1 - !!.it)
a/

(1)

The factor 1- Vo t/al corrects for the motion of the

boundaries relative to the medium. From Eq. (1) one
obtains, since KI =Co l , that
t -~ Tv-Tm
1- Vo Tv + Hm/ C

(2)

Note that tl o:.l/vo and that tl is small compared to r o,

as it must be if the present approximation (1) is to
remain valid.

01

)
Tv-Tm
Vo ro (Tv+ Tm)/2 +Hm/C '

(3)

(4)

(5)

The volume of liquid flowing around the hole on each

side is vtl (volume per unit time and unit length of hole).
The volume per unit length swept out in unit time by
half the hole is rovo. Thus
(10)

vtl = (1- (3) voro

and from Eqs. (9) and (10)

f3 = [1 + (t1/ro)(2Ps/pYf2]-t.

(11)

Since piPv is typically of order 104 , f3 is small and approximately given by

[3 "" (ro/tl)(pv/2pYf2
(12)

<Y

(ro vola 1)( Pv/2Ps)1/2(T v + Hm/C)(T v - T m)-l.

(13)

Typical values of [3 are between 1 and 10%. Note that

f3 0:. vo, while Vt 0:. v~ and po:. v%. For sufficiently high

The cavity advances through the solid, carrying with

it a sheath of liquid. Since the density of the vapor in
the cavity is much lower, material must be transported
continuously from the front face to the back face of the
cavity. We shall assume that this transport occurs in
the horizontal plane, though in shallow cavities one can
also consider a vertical flow down the front face and
up the back. 11 The horizontal flow can be flow of liquid
around the cavity, flow of vapor across the cavity, or
a combination of both. Flow of liquid around the cylindrical cavity is the dominant transport mechanism in
plasma arc welding. 7 In that case one need not consider
vaporization, as the gas jet provides the driving pressure for the liquid flow. In the present case, some
vapor flow is essential to provide the driving pressure
for the flow of liquid. Thus let both flow processes
occur together, and let f3 be the fraction of material
transported across the cavity as vapor. If Vt is the
average velocity of vapor flow transversely across the
hole, continuity of flow requires
(6)

where Pv is the density of the vapor at temperature Tv,

J. Appl. Phys., Vol. 47, No.5, May 1976

(8)

(9)

[3

B. Flow of material around the cavity

2167

since the quantity in parentheses is the mass of the

material removed per unit area and unit time. The
pressure acts on the liquid ahead of the cavity and sets
it in motion, so that will flow around the cavity. If
the flow is laminar and if viscous forces are negligible
(as shall be shown to be the case), then the liquid acquires a flow velocity v related approximately to the
excess pressure p by

or in view of Eq. (2)

Comparing this with Eq. (2), and disregarding the

small difference in the denominator,

t s "" {tl ro)t /2.

(7)

Hence, from Eqs. (6)-(8)

or
ts=

The flow of vaporized material from the front face of

the cavity corresponds to momentum transport per unit
area and unit time, and thus creates an excess pressure
given by

tps J =p.

In each side quadrant sufficient heat must be conducted into the molten region to melt cold material at
such a rate that the melt boundary in the side quadrant
moves with a speed vo. This melt has a width ts and an
average temperature t(T m + Tv)' The heat conducted
across the vapor-liquid boundary, of area ro, under
the influence of a temperature gradient (Tv - T m)/ts,
has to provide the heat needed to warm and melt the
new material. Hence
K/ro(T v - T m)/ts = Vo tJH m + tC(T m + Tv))

and Ps is the density both of the solid and of the liquid,

taken to be equal for simplicity.

values of vo, v t becomes comparable to the sound velocity; at that point p becomes comparable to the
ambient pressure and f3 approaches 50%. Approximations (12) and (13) would then break down. More seriously, one could then no longer assume a pressure
which is approximately uniform over the horizontal
plane, and the horizontal and vertical flow could no
longer be treated as independent.
In the case of iron or steel at an ambient pressure of
1 atm, Ps/Pv=2X104. In the present context, Tv and Tm
are measured with respect to the ambient temperature,
and may thus be expressed in C. Thus (Tv + H m/
C)(T v - T m)-l is about 3, while 01 = O. 2 cm2 /sec. Taking, for example, ro = O. 1 cm and Vo = 3 cm/sec, we
find [3 = 0.02, P = 160 dyn/cm2 , and Vt = 400 cm/sec. If
Vo were 30 cm/sec, the overpressure p would exceed
1 atm, and the present treatment would not be valid.
The effect of viscosity was neglected in Eq. (8). The
pressure drop due to viscosity 1/ is of order 1/v/tl From
Eqs. (9) and (2) this pressure drop varies as v~. It is
however quite small. With 1/ = 3 X 10-2 P, it is only about
1% of pat vo=3 cm/sec, and would become important
only at low values of vo, where the cavity is unstable
for other reasons (see Sec. III).
P.G. Klemens

2167

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C. The liquid trail

III. VERTICAL PRESSURE VARIATION AND FLOW

To estimate the dimensions of the molten zone at the

rear of the cavity, one must consider the heat balance
in the rear quadrant. The heat transported to the rear
of the cavity gradually spreads sidewise by conduction
over a distance D in a time T, where

As pointed out by Mara et ai. , 13 the cavity is kept

open by an excess pressure of the hot vapor or gas,
which may be small compared to atmospheric pressure.
We make the simplifying assumption that this pressure
depends only on vertical distance, and is uniform over
a horizontal cross section. This neglects the slight
additional pressure at the front of the cavity which is
responsible for material transport around the cavity,
as discussed in Sec. II. This simplification allows us
to uncouple horizontal and vertical flow, but it breaks
down when the advance velocity Vo is too large.

(14)

Identifying D with the maximum width of the molten

zone, one can equate the heat brought in with the latent
heat of melting required to expand the melt from a
lateral distance of ro + ts to a distance D. The heat is
supplied because at the back face of the cavity the liquid
is at a temperature Tv; there is also some heat liberated
by the condensation of the vapor which is blown across
the cavity. The heat balance is
ro[/3Hv + C(Tv - T m)] =Hm(D - ro - is),

(15)

where Hv is the latent heat of vaporization per unit

volume of liquid. The equation neglects heat conduction, both the heat conducted from the cavity into the
molten region, and that conducted from the liquid into
the solid. Since these two terms tend to cancel, the
error is not too serious. From Eq. (15), defining a
factor 'Y,
_ D - ro - ts _ /3Hv + C(Tv - T m)

ro
Hm

'Y=

(16)

The variations of Po(z) with depth results in an upward flow of vapor. The pressure gradient and the flow
are related by the Poiseuille equation

8 (1)
ro

dp = - 17
-dz
7T

Q(z)

(20)

'

(21)

Q = 7TrJVa

(17)

and this defines approximately the length of the molten

zone trailing the cavity, i. e. ,
(18)

In a typical case when H v "" 5H m' H m "" C (Tv - T m), and

'Y is about L 1. For ro = 0.1 cm, D "" 2. 5ro
"" O. 25 cm. This value depends on Vo only through /3 and
ts> and since their variation with Vo act in opposition,
D should be insensitive to vo. On the other hand, it depends linearly on ro. Note that L increases practically
linearly with Vo, and also varies quadratically with ro.

/3 =0.02,

lf the hole radius ro varies with depth, this variation

is reflected in a variation of D with depth. The maximum width, 2D, of the molten zone can be deduced from
metallurgical inspections of the weld cross section.
The widths commonly observed are in accord with the
present estimate. The length L of the trailing molten
pool can be inferred from surface observations. For
vo=3 cm/sec, ro=O.l cm, and Q!/=0.2 cm2 /sec, L
should be about 1 cm. This is again in rough accord
with surface observations. That the molten pool seen
on the surface is of more than superficial depth can be
seen from the nature of the ripples on the surface. The
author has measured the velocity of short ripples seen
on high-speed films. 12 Although these ripples are unstable (a common property of very short surface-tension
controlled ripple waves), the velocity indicates that the
liquid is at least 2 mm deep. It is thus reasonable to
identify the shape of the molten pool seen at the surface
with the liquid region at some depth.
J. Appl. Phys., Vol. 47, No.5, May 1976

(19)

where 17 is the viscosity of the vapor and Q the flow of

vapor, related to the average flow velocity va by

During the time T it took for the melt to attain the

maximum width D, the beam advanced a distance

2168

The forces tending to close up the cavity are surface

tension and the hydrostatic pressure of the surrounding
liquid. Let S be the surface tension of the liquid-vapor
interfac e (for iron S = 1. 6 x 103 dyn/ cm 2), let z be the
depth below the surface, and let ro(z) be the hole radius
at the level z. The excess pressure Po(z), above the
ambient gas pressure outside the cavity, is

Combining Eqs. (19) and (20) one finds

Psg -

S dro
8 1
-d - - 17 ::4 Q(z) = O.

::1'

ro

7T

(22)

ro

Note that - dQ/dz is the volume of vapor generated

per unit length and time. In the steady state, when ro(z)
is independent of time, the rate of vapor generation
at the front face of the cavity is 2/3rovo(p.!pv)' This
forms an upper limit to - dQ/dz, since some vapor
may recondense on the back face. In Sec. II it was assumed that all the vapor recondenses; fortunately the
corresponding term contributes only about 10% to the
left-hand side of Eq. (15). With the extreme opposite
assumption that no material is recondensed
Q(z) = 2vo( Ps/Pv) fz~ /3 (z') ro(z') dz'
= (vo/tf )(2P s/p)1/2

i:

[ro(z')]2 dz',

(23)

where z 0 is the depth of the hole. This expression

can be substituted into Eq. (22), which thus becomes
an integral equation.
A. Cavity entrance

The effective pressure due to surface tension was

taken as S/ro, provided the principal curvature is in
the horizontal plane, i.
d2ro/dz2 is negligible compared to l/ro. Near the entrance of the cavity, however, there must be convex curvature in the vertical
plane, and continuity of pressure requires that the
total curvature vanishes right at the entrance. Thus,
the opening of the hole may be flared like that of a
trumpet, but as we shall see below it is easier to satis-

e.,

P.G. Klemens

2168

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(25)

--J /--"
I
I
I
~

If we take rO(zl) = 0.15 cm, we find I5pvi8c = 1600 dyn/

cm 2, while PO(zl) = Slr O(Zl) = 11 700 dyn/cm 2, so that
I5Pvi8c reduces Eq. (24) by about 15o/c. From Eq. (24)
we find ve=7500 cm/sec. Since rO(z>zl) is increased
by a factor of 1. 5, va is increased by a factor of (1. 5)2
and is now 3800 cm/sec. Hence velva = 2, and thus close
to the ratio of 2.25 required by continuity of flow. We
conclude that the exit cavity should be constricted, with
a general shape as in Fig. 2.

- - -- -z,
~'O(l)

B. Cavity taper
2

FIG. 2. Schematic vertical section through the vapor cavity,

showing constriction at the entrance, and the radius ro decreasing with depth z.

fy continuity of flow if the opening is constricted, as

illustrated in Figo 20

Equation (22) may be written

Since Po must drop to zero over a small interval of

z near the. entrance, the emerging vapor (or vapor-gas
mixture) is emitted with an exit velocity ve given by
(24)
where I5pvi8c is the viscous pressure drop at the constricted exit, and Zt is the level where the constriction
starts. Curvature considerations require zl to be of the
order of roo
lf we assume ro to be constant, we can use Eq. (22)
to calculate Q, now independent of z, and hence find va'
However, if we estimate Po from Eq. (19) for z - 0,
and then calculate ve from Eq. (24), it would be found
that ve exceeds va' so that ro cannot stay constant near
the exit. For example, consider the case of a beam of
0.1 cm radius, assuming ro = 0.1 cm, and take the
material to be iron or steel, for which Ps g=7000 dyn/
cm2. A rough kinetic theory estimate of TJ at a temperature Tv of 3000C yields TJ=5 x l0- 3 P. Thus, from Eqs.
(22) and (21), we estimate va=1700 cm/sec. However,
po=S/ro= 16 000 dyn/cm2. Using Eq. (24) and neglecting I5pvtsc we obtain an exit velocity ve=10000 cm/sec,
since Pv=3 x lo-t g/cm 3 at 3000C. This wide discrepancy between ve and va indicates that continuity of flow
cannot be satisfied if ro is constant.

The continuity of flow can be improved by having

an exit constriction, with r', the hole radius at the
constriction, still 0.1 cm, ro(z) constant for z > zl, and
also 0.1 cm. We can make rO(zl) somewhat larger than
roo Continuity of flow would now imply that VelVa
= [rO(zl)/r,]2. Also I5Pvi8c is no longer negligible in Eq.
(24). Since the viscous pressure drop is Psg per unit
length in the section where ro is constant, it follows
that
2169

J. Appl. Phys., Vol. 47, No.5, May 1976

Although Eq. (22) is quite complicated even if Eq. (23)

is assumed, it could be solved numerically and matched
to boundary conditions to predict hole shapes for various conditions of energy deposition and advance speed,
This has not yet been attempted, but Eq. (22) can be
used to test the consistency of models. Equation (22)
permits a variety of hole shapes, which should be reflected in the variation of melt width D with depth, since
D is proportional to roo Although D is usually observed
to decrease with depth, cases are observed where D
increases, so that dro/dz can be of either sign, though
a negative sign (i. e., a hole tapered as in Fig. 2)
seems to be more common.

(s

_ 1
dro +.!! Q(z))
(26)
Psg - ::2"r
dz
7T TJ y-r
.
o
0
Since all terms must be positive except dro/dz, the latter can be negative only if Q(z) is sufficiently large
or ro sufficiently small. lf ro(z) exceeds some critical
value, which depends on Q(z), then ro can only increase
for larger values of z, but cannot decrease. However,
Q(z) generally increases with total hole depth zo, and
also with vo, so that larger advance speeds and larger
depths (or beam powers) generally favor holes tapered
as in Fig. 2.
From Eq. (6) and (12)
_ dQ
dz

= Vo (rJ)
tf

(2PPs )

(27)

With the rough assumption that vapor generation per

unit length is independent of z, and that no additional
vapor is generated at the bottom, zo, Q(z) = (z - zo)
x (- dQ/dz) and the condition that dro/dz be negative
becomes
2PS)1/2
( Pv

(EQ..)2
ro

(24TJ)

(zo-zPsg.

7T0! I

(28)

For z = zl' this yields a critical value of vO/rO(zl) which

must be exceeded if the hole is to narrow with increasing depth. The critical value of v OlrO(Zl) is given by

(ro(~l))~it =Psg 2:TJ ;: (~srl/2

(29)

Taking the numerical values previously assumed for

iron and zo= 1 cm .
(vo/ro)crit "" 13 sec- 1,

(30)

where Vo is expressed in cm/sec and ro also in cm.

Thus if vo=3 cm/sec, then dro/dz is negative and the
P.G. Klemens

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hole narrows with increasing depth provided that rO{zl)

< 0.23 cm. This condition is satisfied frequently, and
this would explain why in the majority of cases D{z),
the half-width of the molten zone, decreases with increasing depth. However, it is not impossible that
Eq. (28) is satisfied at the surface and not at some
depth, so that a hole, after narrowing initially, can
become wider again.
Criterion (29) can also be used to estimate the minimum advance speed for a stable hole. For a stable advancing hole Q must be sufficient so that, near the
surface, the term in Q{z) in Eq. (26) balances the
hydrostatic pressure gradient Psg. From Eq. (30), for
a total depth Zo = 1 cm, and with rO{zl) = 0.15 cm,
14
(VO)crit is about 2 cm/sec or 48 in. Imino It is observed
that stable penetration ceases at somewhat lower mininum speeds of around 18 in./min. This may be because
the hole widens with depth at these low speeds. On the
other hand, the numerical estimate (30) may be in error. It may be that there is substantial vapor generation at the bottom of the hole, which was not considered
in deriving Eq. (29). Further work, both theoretical
and experimental, is needed to fully understand hole
shapes and stability.
IV. LASER BEAM PENETRATION

Energy can be deposited by the beam directly onto the

walls of the cavity, and it can also be absorbed by the
vapor and conducted to the walls. The absorption limits
the depth of penetration of the beam, if it is not already
limited by the total energy of the beam, so that the detailed mechanism of absorption is of interest.
The walls are at temperature Tv, the vaporization
temperature, but the center of the cavity, at To, is
considerably hotter. The absorption depends on temperature, partly because the density varies with temperature, but also because the degree of ionization is
a function of temperature. The absorption of laser
radiation depends on the presence of free electrons.
As the vapor is heated in the presence of an intense
beam, the absorption coefficient increases.

strahlung, and a (T) 0:: n~T -3/ 2, where n. is the density

of electrons (or ions). For iron vapor, with a slightly
higher ionization temperature, the temperature of maximum absorption should be slightly higher and the maximum attenuation lower, with a (T) merging towards a
common curve at temperatures above the maximum for
both metals.

A. Radial heat flow and absorption

Assume the cylindrical cavity of radius ro to be uniformly filled with intense laser radiation; the vapor has
a temperature distribution T(r). Let w(r) be the energy
absorbed per unit volume at a radial distance r; w(r) is
proportional to a(T{r)). Let K be the thermal conductivity of the vapor. It is a function of temperature. Let
us assume for Simplicity that it is independent of temperature as long as the degree of ionization is small,
and that it has a value K' when the degree of ionization
is high.
The radial heat flow equation is
per) = -

dT
dr 27Tr,

(31)

where per) is the power absorbed per unit length within

a radius r. This is related to w(r) by
P(r)=!oT 27Trw(s)ds,

(32)

s being a value of the radial distance in that interval.

This equation cannot be solved analytically for T(r),
since w{r) depends on T. However, one can obtain an
analytic solution when w(r) is either constant or, zero.
If w vanishes for r< r1 and if w(r) is constant for r> r1'
one obtains
T(r)=T1 -

~{r2-rl [l+ln(~rJ}

(33)

where T1 is the temperature at ri' In the special case

when r1 - 0, if To is the temperature at the center,
(34)

T(r)=T o- :. r2.

The same processes in air or other gases give rise

to the creation of plasmas in the presence of intense
laser beams (plasma ignition) and the spreading of the
plasma within that volume of gas where the laser intensity is high, in particular towards the light source
(laser-supported absorption waves). 15

On the other hand, if w = 0 for r> r e, if P(re) =P, and

if Tc corresponds to the temperature at r e , then for

The absorption coefficient of 10. 6-1J. radiation at

atmospheric pressure has been calculated by Nighan for
air and aluminum vapor. Unfortunately his work has
not been published, though his unpublished curves have
been cited and reproduced. 16 The calculations are
based on the assumption that the electrons and atoms
are in thermal equilibrium. At low temperatures the
absorption coefficient a (T) is proportional to the degree
of ionization and increases rapidly with temperature.
For Al vapor it reaches a maximum value of about
6 cm-1 at 10000 OK, where the degree of ionization is
high (about 50%). At higher temperatures ionization is
essentially complete, and aCT) decreases with increasing temperature, because the electron and ion densities decrease. The absorption is by inverse brems-

B. Approximate model

2170

J. Appl. Phys., Vol. 47, No.5, May 1976

(35)

Let us assume that there exists a critical temperature T e, such that a (T) is negligible for T < T e and may
be taken to be constant for T> T e' Thus there exists
a critical radius re such that w=O for r>re and w is
constant for r < re' The power absorbed is therefore
P=wr;. Let K' be the thermal conductivity for r< re'
Thus in the inner region, from Eq. (34)

P-' ~1-::-!
r2) ,
=Te +
4 7TK
re

(36)

while
P.G. Klemens

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(37)
In the outer region T(r) is given by Eqo (35)0 At r=ro,
T= Tv, so that
-PI n . (r)2
-!
=T-T
41TK

re

(38)

and thus

(~~) 2 =exp (41TK(~- T)).

(39)

Let us choose the temperature T e below which absorption is negligible somewhat arbitrarily as 6000C,
while Tv = 3000 c. The thermal conductivity of the nonionized gas, K, can be estimated from the kinetic theory
of gases or from an extrapolation of the measured
thermal conductivities of gases which exist at room
temperatureo Thus for iron vapor at 6000 c,
K = 1. 3 X 10-3 W cm-1 deg- 1 The ratio (r olre )2 depends
on P, the power absorbed per unit length. The larger
P, the closer will re be towards roo For a typical
value of P = 2 kW /cm, we find re "" O. 988ro. Hence the
cold and nonionized gas occupies only a very narrow
rim around the cavity, and the average attenuation coefficient of the vapor is essentially a temperatureaveraged attenuation coefficient of the ionized vapor
0

To estimate To from Eq. (37) we require K',

the thermal conductivity of the ionized gas. This conductivity is composed of a component due to the motion
of the ions, and a component due to the electrons. The
former is approximately the same as K, the conductivity of the neutral gas. Taking an average temperature
of 10000 c and using an expression given by Spitzer17
for the thermal conductivity of a Lorentz electron gas
(nondegenerate, with an energy-independent mean free
path), the electronic component becomes about
303 x 10-2 W cm-1 deg-1 This component must be reduced by a factor which depends on the thermoelectric
power, to ensure heat conduction with zero electric
current. For a singly-ionized Lorentz gas, this factor
is 00419, but would more likely be about 0.2 for a more
realistic variation of the electron mean free path with
energy. 17 Thus taking the electronic component Ke as
O. 7 x 10-2 W cm-1 deg-1, one estimates K' = K + Ke to be
about 8 x 10-3 W cm- 1 deg-1
Thus for P=2 kW/cm, one would estimate from Eq.
(37) that To- Te=20000C, or To=26 OOOC. Note,
however, that this estimate depends on the estimate
of K'o
Now a (T) for iron has a value of 1 cm-1 at 25000 c.
For To = 26 000 c, the assumption that w is constant
for T> Te is thus not a good one, but if it is made, then
an average value of 2 cm-1 for oCT) would be appropriate. Neglecting the cold rim outside r e, since re/ro is
so close to unity, we conclude that if W is the energy
flux in the cavity, the absorbed power per unit length is
P = oW, where a has a value roughly about 2 cm- t
This would hold for values of W up to about 1 kW, where
P would be 2 kW/cm, and To about 26000C. For higher values of the energy flux, the central temperature
would increase further, but since oCT) decreases with
increasing temperature, the present approximation
would become increasingly inappropriate.
2171

J. Appl. Phys., Vol. 47, No.5, May 1976

C. Approximation with nonabsorbing core

One can refine the model as follows. Let a (T) be

zero for T < T e , let it have a constant value for
Te< T< T t , and let it be zero for T> T 1 We choose
Te and T t as 6000 and 25000 C for iron. For re> r> rt
the temperature is given by Eq. (33) with K replaced
by K'. For r < r1' T = T t , since in this approximation
there is not heat flow in the central coreo The power
absorbed per unit length is given by
(39')

P = 1Tw(r; - rl)

and from Eq. (33)

T 1 -T e =4

P
,
1TK

[1-~
re - r1

In(r

rt

)2J.

(40)

One can thus calculate rt and hence estimate P in terms

of the total heat flux W. Generally, as W and ware increased, P is increased, but not as fast, since rt is
increased, so that absorption occurs only in an annulus
r1 < r< re' For all practical purposes, re can then be
identified with roo
Consider the case when W is so large that rt approaches re' Let (r/rJ2 = 1 - E where E is small, so
that In(re/r1)2 =E, while rll(r; - rl) = (1- E)/E. Hence
Eq. (40) becomes
(41)
As P, the total power absorbed, is increased, E must
be decreased in proportion, so that r1 comes closer to
re' Now if a is the attenuation coefficient (which was
assumed constant) in the interval Te< T< T 1, and taking
re=ro,

(42)

P=1Twr;E=oEW.

Thus
(43)
so that E varies as w-t / 2 and P varies as
average attenuation coefficient is given by
_ P _ E (41TK'(T 1 - Te))
W -0
W

av-

1/2

1/2

w1/ 2.

The

(44)

With numerical values previously assumed

_ (2XI03)

0av-

1/2

-1

(45)

{2 cm ,

where W is expressed in watts. Thus the average attenuation decreases and the beam penetration increases
as the square root of the beam flux, provided the flux
exceeds 1 kW, because a superheated and weakly absorbing region develops in the center and expands with
increasing beam power. For example, a penetration of
the beam of ~ in. would require a beam power of 10 kW
at atmospheric pressure, a penetration of 1 in. would
require 40 kW. This estimate is, of course, uncertain
because of the oversimplified model and the uncertainties in K', but the increased penetration with increased
power should be qualitatively correct.
It is interesting to note that while an increase in
welding depth can only be achieved by a quadratic increase in beam power, there would be an increase in
the power absorbed per unit length, so that it would
P.G. Klemens

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be possible to increase welding speeds and thus recover

at least some of the disadvantage of the high beam
power requirement.
V. ELECTRON BEAM PENETRATION

Electrons of energy between 10 and 150 keY have a

range which, exoopt for the very light elements, depends only weakly on atomic number, and not at all on
the state of aggregation of the material, if expressed
as mass traversed per unit area. 10 With a typical range
of about 30Xl0- 3 g/cm2 , it would be only about 4xl0-3
cm in solid or liquid iron. For iron vapor at temperature Tv, since Ps/Pv is about 2 x 104 , it is 80 cm. Thus
absorption by the vapor in the cavity is not important,
even though the absorption and scattering of electrons
in gas at atmospheric presure between the electron gun
and the cavity entrance can be an important limitation.
This problem has been discussed recently by Smith and
Schumacher, 18
.
The range of electrons in the vapor-filled cavity is
sufficient for deep penetration, but beam collimation
will be important In order to achieve penetration to a
depth zo, the divergence of the beam entering the cavity
should be less than ro/zo, where ro is the cavity radius,
Laser radiation can be specularly reflected off the
cavity walls, so that the radiation flux is confined by
the cavity, but an electron is absorbed at the wall once
it reaches the wall, and is thus completely lost to the
beam. On the other hand, too high a degree of collimation might also be undesirable. If the beam is highly
collimated, the actual depth of penetration is controlled
by the total beam power,l since the energy removed
by heat conduction, and the energy required to move the
cavity forward as the beam advances, are both proportional to zoo Since the range of the electrons in the vapor
is generally larger than z 0, energy will be deposited
preferentially at the bottom of the hole, rather than uniformly along the length, if the beam is too highly collimated. This has undesirable effects, such as excess
vapor generation at the bottom and associated instabilities. Ideally, the beam divergence at the entrance to
the cavity should be matched to the optimum depth of
penetration which, according to energy limitation, is
in turn related to the beam power and the speed of advance. One should remember, of course, that the beam
divergence at the entrance is larger than at the electron
gun, unless the system is operated at low pressure.
VI. ENERGY BALANCE

The penetration of the beam is limited not only by

absorption in the vapor-filled cavity, but also by the
beam power. The power requirements have been discussed for a stationary beam and for the case of low
advance speed,l where the heat conducted into the solid
is the same in all directions, or the same into the four
quadrants of the present model (see Fig. 1). Here we
assume the adiabatic condition, where the heat conducted into the forward quadrant is not lost, because
the beam "catches up" with it. The energy balance
argument must thus be modified.
For a stationary beam, with cylindrical symmetry,
the heat conducted into the solid is given by
2172

J. Appl. Phys., Vol. 47, No.5, May 1976

(46)

where Ks is the thermal conductivity of the solid, R is

the radius of the isotherm T = T m' i. e., of the liquidsolid interface, and Zo is the cavity depth. This assumes
that T is at the ambient or zero temperature at a radial
distance zo, where the geometry of heat conduction is
no longer cylindrical.
In the adiabatic case we disregard conduction into the
forward quadrant, take conduction into the side quadrants from the liquid into the solid to be the same as in
the stationary case, and assume the conduction through
the rear quadrant to be the same as through the quadrant in the stationary case. The conduction into the
solid thus becomes
Pc =

3;

Ks

Tm

In[((ro~ ts 0]

(47)

-1

There is an additional heat load in the molten region

of the side quadrants, which is where cold material
brought in continuously, with a speed vo, has to be
melted, and on the average brought to a temperature
t(T m + Tv). As seen in Sec. II, Eq. (3), this heat load
per unit depth is

2vots[H m + tc (T m + T vl].

(48)

There is also power needed to melt and heat the material in the front quadrant. The volume of material per
unit depth and time is voro, so that the total power per
unit depth needed to melt and heat the liquid which is
formed is
(49)

There is additional power needed to vaporize material at the front face. The volume of liquid vaporized per
unit depth and time is rovo{3, where {3 is given by Eq.
(12) or (13); the power needed to bring it to temperature Tv from t(T m + Tv) and then to vaporize it is
P v =rovo{3[tC(Tv -T m )+Hv]'

(50)

Some of the vapor may recondense on the back face,

and some will leave the cavity at the entrance, but this
partition does not affect the power requirement.
The energy balance relates the depth of penetration

z 0 to the total beam power W by

(51)
where Pc is independent of the advance speed vo, Pm
is roughly proportional to vo, and P v varies as Jo, since
{3, given by Eq. (13), varies as vo. It will turn out,
however, that P v is not important for moderate speeds.
In the previous treatment1 P v was defined as the energy
removed by the vapor flow at the entrance, and was thus
independent of vo' An error made in Eq. (7) of that
paper led to a substantial overestimate of P v'
For the specific numerical case considered earlier,
namely, iron or steel with ro = 0,1 cm and Vo = 3 cm/
sec, one obtains the following power requirements:
Pc=1. 3xl03 W/cm, P m =3xl0 3 W/cm, and P v =O.l
x 103 W/cm, The total power requirement is about
4 x 103 W/cm. Typical laser beam powers which yield
penetrations of about 1 cm are somewhat larger than
4 x 103 W, perhaps even twice as much, but it should
P.G. Klemens

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be remembered that not all the beam actually enters

the cavity, since the plasma outside the entrance absorbs and scatters some of it. Also excess energy
entering the cavity beyond what is required will result
in excess vapor generation, probably mainly from
the bottom of the cavity. Optimum working conditions
would result if the beam power, which controls the
maximum penetration according to Eq. (45), would
equal the total power needed by Eq. (51), with Zo equal
to the 1/ (lIav of Eq. (45). This can be achieved by adjusting liD. For a value of lio=3 cm/sec, the optimum beam
power is indeed 4 x 10 3 W, leading to a penetration of 1
cm.
It is interesting to note that the vapor flow does not
play an important role in the energy balance, even
though it is responsible for keeping the cavity open,
and helps to determine how much of the total beam
power actually enters the cavity. It is only the latter
fraction which constitutes the total flux W of the present
argument.

VII. FURTHER PROBLEMS

The present analysis is but a step towards understanding the processes which control laser and electron
beam welding. The qualitative picture developed here
shows how heat flow, vapor flOW, surface tenSion, and
gravity are interrelated to control the cavity and the
melt shape. In view of the approximations made, the
conclusions are only semiquantitative; in any case, not
all the physical parameters are well known. Apart from
the crude approximations made in the thermal conduction problem, the most important simplification was in
the vapor flow, where the vapor was treated as being at
a single temperature, even though it must be much
hotter and less dense at the center of the cavity. The
physical properties of the vapor, particularly the thermal conductivity and the absorption of laser radiation,
need to be further studied.
The dependence of the welding process on beam
power, beam divergence, and advance speed has been
studied by several authors. 19 Their experimental data
should be compared in detail with the predictions of
the present theory. Unfortunately most of the data is in
a form which does not permit a direct comparison,
and the task of reducing it to a suitable form is far
from trivial. There is a need for experiments designed
specifically to test the theoretical model and to identify
factors which the present model may have neglected.
Even more important is the fact that the present model
is restricted and should be extended. Only a steady state
has been conSidered, yet there are obvious instabilities
which affect weld quality and which ought to be understood, since the task of improving weld quality is just
as important as that of achieving maximum penetration.
These instabilities, or spiking, have been studied by
Weber et al. ,20 Mara et al. ,13 and by O'Brien et al. 21
Qualitative explanations have been given in terms of
the closing of the hole by the liquid, either at the entrance or at some depth, or by a combined process.
Furthermore, we have confined ourselves to processes
2173

J. Appl. Phys., Vol. 47, No.5, May 1976

inside the work piece. The vapor volume leaving the

cavity interacts with the beam and limits both the power
and the collimation of the beam which actually enters
the cavity. The radiation which is absorbed and scattered in front of the entrance heats the surface and
affects the cavity and weld shape near the surface, Finally, we have not considered the mechanism whereby
the absorbed power is partitioned in the cavity so that
a greater part of the beam energy is delivered to the
front surface to enable the cavity to advance with the
beam. This process is related to the slope of the cavity
and the tendency for parts of the cavity to become detached and to form holes in the weld. This process is
also governed by the rate of cooling of the molten material, another aspect of the problem not consider here.
More research is needed to gain a full understanding
of the beam welding process. It is hoped that the present considerations will assist in the solution of some
of these problems.
VIII. NOMENCLATURE
(lI, (lI

(T)

c
D
E

11
g
Y

Hm,Hv
K, K'

P,Po
Q
R

ro
r'

Ps,Pv

absorption coefficient for laser

radiation
thermal diffusivity (liquid, solid)
fraction of material transported across
cavity as vapor
specific heat per unit volume (condensed
phase)
half-width of melt (see Fig, 1)
2In(rc!r1)

viscosity
acceleration due to gravity
defined by Eq. (16)
latent heat of melting, resp. vaporization, per unit volume
thermal conductivity of un-ionized and
ionized vapor
electronic component thermal
conductivity
thermal conductivity (liquid, solid)
length of molten region (see Fig. 1)
power absorbed per unit depth of cavity
components of P used in conduction,
melting, and vaporization
total pressure and excess over outside
pressure of vapor in cavity
vapor flow (volume per unit time)
radius of isotherm T = T m [see Eq. (46)]
radius of cavity (see Figs. 1 and 2)
cavity radius at narrowest point of
constriction
radius of nonabsorbing hot region in
center
radius dividing absorbing region from
nonabsorbing cold outer region
density of condensed phase and of vapor,
respectively
surface tension
temperature
temperature of vapor, of vapor at r=O,
r=r1' and r=r c
melting and vaporization temperature
P.G. Klemens

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tf' ts
T

v
Vo

va
Ve
Vt

w
W

z
Zo
Zt

thickness of liquid at front and sides

(see Fig. 1)
time taken for melt to spread to maximum thickness D
velocity of liquid flow around cavity
advance speed of beam and weld
velocity of vapor flow parallel to cavity
axis (averaged over cross section)
exit velocity of vapor
velocity vapor flowing transversely
across cavity
power absorbed per unit volume
flux of radiation (energy per unit time)
into cavity
depth below surface (see Fig, 2)
depth of hole
depth where constriction starts
(see Fig. 2)

ACKNOWLEDGMENTS

The author wishes to acknowledge the hospitality of

the United Technologies Research center during
the performance of this work, and many helpful discussions there. Particular thanks are due to C. M.
Banas, J. W. Davis, and G. A. Peterson of that laboratory and to Dr. L. J, McGeady (Lafayette College,
Easton, Pa.) and to Dr. H. C. Rogers, Jr. (Drexel University, Philadelphia, Pa.), for their continuous help
and stimulation.
*This work was initiated at the (then) United Aircraft Research
Laboratories, East Hartford, Conn. 06108, under sponsorship of the NSF Faculty Research Participation Program.
The laboratories are now the United Technologies Research
Center.
Ip.G. Klemens, J. Electrochem. Soc. 116, 196 (1969).

2174

J. Appl. Phys., Vol. 47, No.5, May 1976

2T. Hashimoto and F. Matsuda, Trans. Natl. Res. lnst. Met.

7, 96 (1965).
3H. C. Carslaw and J. C. Jaeger, Conduction of Heat in Solids
(Oxford U. P., London, 1959).
4D. Rosenthal, Weld. J. (Miami) 20, 220-s (1941).
5N. N. Rykalin Berechnung der Waermevorgaenge beim
Schweissen (Verlag VEB Technik, Berlin, 1957).
"N. Christensen, V.de L. Davies, and K. Gjermundsen, Br.
Weld. J. 12, 54 (1965).
1M.J. Tomsic and C. E. Jackson, Weld. J. (Miami) 53,
109-s (1974).
3D. T. Swift-Hook and A. E. F. Gick, Central Electricity Generating Board (U.K.) Research Report No.R/M/N632, 1972
(unpublished) .
nH. Tong and W. H. Giedt; Trans. Am. Soc. Mech. Eng. 93,
155 (1970); Weld J. (Miami) 49, 259-s (1970).
lOB. W. Schumacher, Optik (Stuttgart) 39, 558 (1974).
l1See , for example, T. Hashimoto and F. Matsuda, Trans.
Natl. Res. lnst. Met. 7, 177 (1965).
12Made available to the author by C. M. Banas of the United
Technologies Research Laboratories.
13G. L. Mara, E.R. Funk, R. C. McMaster, and p. E. Pence,
Weld J. (Miami) 53, 246-s (1974).
14C. M. Banas (private communication).
I"R.T. Brown and D.C. Smith, Appl. Phys. Lett. 22, 245
(1973); D.C. Smith and M.C. Fowler, Appl. Phys. Lett. 22,
500 (1973).
16See , for example, M.C. Fowler and D.C. Smith, J. Appl.
Phys. 46, 138 (1975).
17L. Spitzer, Physics of Fully Ionized Gases (lnterscience,
New York, 1962).
lilR. C. Smith and B. W. Schumacher, Nucl. lnstrum. Methods
118, 73 (1974).
19See Ref. 10 for a review, in particular the dimensional analysis of M.H. Hablanian, Proc. Fifth Symposium on Electron
Beam Technology, Boston (1963), edited by J.R. Morley
(Allied Electronics Corp., Cambridge, Mass., 1963),
p. 262.
2oC.M. Weber, E.R. Funk, and R. C. McMaster, Weld. J.
(Miami) 51, 90-s (1972).
2IT.P. O'Brien, P.E. Pence, E.R. Funk, andR.C.
McMaster, Weld. J. (Miami) 53, 332-s (1974).

P.G. Klemens

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